United States
Environmental Protection
Agency
Solid Waste and
Emergency Response
(5305W)
EPA530-K-02-020I
October 2001
»EPA
RCRA, Superfund & EPCRA
Call Center Training Module
Introduction to:
RCRA State Programs
Updated October 2001
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DISCLAIMER
This document was developed by Booz Allen Hamilton Inc. 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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STATE PROGRAMS
Contents
1. Introduction 1
2. Elements of State Authorization Process 2
2.1 State Authorization Authority 2
2.2 State Authorization Applications 2
2.3 EPA Approval Process 4
2.4 Subsequent Program Revisions 7
3. State Authorization and Effective Dates 10
3.1 Effect of RCRA/HSWA Authority 10
3.2 Less Stringent Provisions 11
4. Withdrawal of Authorization 12
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State Programs - 1
1. INTRODUCTION
The Resource Conservation and Recovery Act (RCRA) addresses an enormous problem - how to
safely manage the huge volumes of solid and hazardous waste generated in this country. In the
Statute, Congress established the framework for a program that would address this problem by
establishing regulations for identifying and managing hazardous waste.
Congress delegated the responsibility to develop and oversee the implementation of these
regulations to EPA. However, Congress intended that states would assume the responsibility for
day-to-day implementation of the regulations and that EPA s role would be to provide federal
oversight for such state programs. The rationale was that states are more familiar with the
regulated community and are therefore able to administer the programs in a way that responds to
specific state and local needs.
In order to ensure that state programs are at least equivalent to and consistent with the federal
regulations, RCRA requires states to become authorized to meet minimum federal standards.
Once a state has met the federal standards and gone through the authorization process, the state
implements and enforces its program in lieu of the federal government. This prevents
overlapping or duplicative state and federal regulations.
This module outlines the requirements and procedures for a state to become authorized to manage
and oversee its own RCRA program. It also describes how the state authorization system can
affect the applicability of certain rules. When you have completed this module you will be
familiar with the state authorization process for hazardous waste management programs.
Specifically, you will be able to:
• Specify why states are authorized by EPA and list the elements of an authorized state
program
• Identify components of an authorization application and outline the stages of EPA s
approval process
• Specify the applicability of Hazardous and Solid Waste Amendments (HSWA) and non-
HSWA provisions in authorized and unauthorized states
• Define the effect of the "cluster rule."
Use this list of objectives to check your knowledge 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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- State Programs
2. ELEMENTS OF STATE AUTHORIZATION PROCESS
To become authorized to implement the hazardous waste regulations found in Subtitle C, states
must develop their own hazardous waste program and receive EPA approval for it. Initially, a
state typically adopts the federal rules in some manner. The state can write federal rules into the
state regulations or simply incorporate them by reference. The state may then submit an
application for final authorization to the EPA Administrator. The application must contain
certain elements that are described in 40 CFR Part 271. These elements are discussed below.
2.1 STATE AUTHORIZATION AUTHORITY
RCRA/3006 gives EPA the authority to authorize qualified states to administer and enforce the
RCRA hazardous waste program within the state. Following authorization, state regulations
operate in lieu of the federal regulations in that state (with some limits). In order to receive
authorization, a state's statute(s) and regulations must be equivalent to federal authorities,
consistent with the federal program, and at least as stringent as the federal program. The state
program must address requirements for permitting, compliance evaluation, enforcement, public
participation, and sharing of information. As part of the consistency requirement, state programs
may not restrict the free movement of hazardous waste across state borders to or from treatment,
storage, or disposal facilities (TSDFs) permitted to operate under RCRA or any approved state
program. Although many of the state programs closely parallel the federal program, some states
do adopt requirements more stringent or broader in scope for generators, transporters, or other
facilities handling hazardous waste.
While authorized states have primary enforcement responsibility under state law, EPA retains
enforcement authority under RCRA^3007, 3008, 3013, and 7003. When EPA does enforce in
authorized states (called "overfiling"), it enforces the authorized state programs where
appropriate.
2.2 STATE AUTHORIZATION APPLICATIONS
Any state that seeks authorization for its hazardous waste program must submit an application
to EPA for review and approval. The state program application must include the following
items:
• Letter from the governor
• Description of the state s program
• Statement from the state attorney general
• Memorandum of agreement between state and Region
• Provisions for public involvement for initial program authorization.
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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State Programs - 3
GOVERNOR'S LETTER
In order to become authorized, a state must indicate a desire to implement its own RCRA
program. The state does this by submitting a letter from the governor of the state requesting
program approval (/271.5(a)(l)). The governor's letter transmits the state's application and is
the formal request for program approval.
PROGRAM DESCRIPTION
The state must demonstrate to EPA that its program meets minimum federal requirements. To
become authorized, the state must submit a copy of the state statutes and regulations that will
act in place of the federal RCRA regulations. A document is often included with the application
highlighting where federal requirements are incorporated in the state code (/271.5(a)(5)). Any
state that seeks approval to administer its own RCRA program must also submit a description of
the proposed program (/III.5(a)(2)). Pursuant to/271.6, the program description must include:
• Scope, structure, coverage, and processes of the state program
• Description of the organization or state agency that will manage the program
• Estimate of the cost of administering the program, as well as sources and amounts of
funding available
• Description of the applicable state procedures, such as procedures for permitting or
judicial review
• Copies of any forms used to administer the program under state law
• Description of the state's compliance tracking and enforcement program
• Description of the state's manifest tracking system
• Estimation of the size of the regulated community in the state (i.e., number of generators,
transporters, and TSDFs)
• Estimate of the annual quantities of hazardous waste generated, transported, stored,
treated, or disposed of within the state, if available.
ATTORNEY GENERAL'S STATEMENT
Before EPA can grant authorization to a state, it must be clear that the state has the necessary
legal authority to be able to implement and enforce the regulations. This is demonstrated by 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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4 — State Programs
statement, signed by the state attorney general, certifying that the state has the legal authority to
implement and enforce the regulations submitted in the application and that the submitted
regulations are adequate to meet authorization standards (/271.7).
MEMORANDUM OF AGREEMENT
A memorandum of agreement (MOA) serves as a contract between the state and the Regional
Administrator. This agreement identifies each party's roles and responsibilities and how the state
and Region plan to measure achievements. According to/271.8, the MOA must address:
• Cooperative activities in areas for which the state is not authorized (e.g., joint permitting)
• Transitional activities (e.g., transfer of permit or delisting applications)
• Enforcement and oversight authorities that EPA retains after authorization (e.g., routine
and emergency inspections by EPA)
• Administrative procedures (e.g., sharing information between state and EPA)
• Any state commitments to carry out administrative procedures or variances and waivers
to ensure state's adherence to authorization standards.
PUBLIC INVOLVEMENT
A state must demonstrate that the public was allowed to participate in the state s decision to
seek final authorization. Prior to submitting the application to EPA, a state seeking program
approval must give public notice across the state (e.g., by publication in major newspaper). The
notice must allow for a 30-day public comment period, as well as a public hearing if comments
are extensive. The state must document public involvement by compiling copies of comments
submitted as well as transcripts, recordings, or summaries of any public hearings held by the
state on program approval. The state must also address the comments received from the public
in the application (Z271.20).
2.3 EPA APPROVAL PROCESS
Once the state has followed the regulatory procedures for submitting an application for
authorization, EPA begins a process to determine whether or not authorization should be granted.
Some states are not able to receive final authorization immediately because their programs do not
meet minimum federal requirements. As a result, these states can obtain interim authorization.
Other states with programs that are fully equivalent to the federal program receive final
authorization directly.
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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State Programs - 5
INTERIM AUTHORZATION
To provide for smoother transitions from federal to state implementation, Congress allowed
interim authorization under both RCRA (X3006(c)) and HSWA (X3006(g)) statutory provisions
(/271.24(a)). Interim authorization was established to allow states to continue operating their
own hazardous waste programs while striving to achieve the requirements for final authorization.
This provides states with a transition period to adopt all the changes necessary to implement
programs equivalent to the federal requirements. A state with interim authorization can
temporarily implement the state hazardous waste program in lieu of the federal program.
Although RCRA program interim authorization expired on January 31, 1986, interim
authorization still exists for HSWA provisions. Interim authorization for the HSWA provisions
expires January 1, 2003 (/271.24(c)). Any state with HSWA interim authorization must obtain
final authorization by this date or the HSWA program will revert to EPA.
FINAL AUTHORIZATION PROCESS
In order to grant final authorization to a state, the EPA Regional Administrator (RA) must
determine whether or not the state s program meets the federal requirements (See Figure 1). The
RA will review the application and must be satisfied that the program is consistent with and at
least as stringent as the federal program before approval. After receipt of the state program
application, the RA has 90 days to make a tentative determination in the Federal Register (then
there is an additional 30-day public comment period). Within 90 days of the tentative
determination, the RA must make a final determination and publish a notice in the Federal
Register and major newspapers within the state. The notice must include the reasons for making
any determination and responses to significant comments received (/271.20(e)).
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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- State Programs
Figure 1
Initial Program Applications
State Program Approval Process
State issues public notice of intent to seek approval
(/I 71.20(a))
3 0-day coment period (/2 71.20(a)(4))
Sufficient public interest
YES
Public hearing 30 days after
notice(/27 1.20(a)(6)
NO
State submits proposed program to EPA for
approval^ 71.20(c))
NO
Substantial modification to
program (/271.20(b))
Within 90 days the Administrator gives notice
of tentative determination in the Federal Register
(/I 71.20(d))
YES
Further opportunity for
comment
Sufficient public interest
(/I 71.20(d)(l)?
NO
May not require
sufficient public hearing
YES
Public hearinhno earlier than 30 days
after tentative determination (/21 1.20(d)(l))
I
3 0-day comment period (/ 271.20(d)(2))
Within 90 days the Administrator makes a final
determination (/I 71.20(e))
The Administrator publishes notices in
the Federal Register and newspapers
addressing reasons for determination
and responding to comments
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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State Programs - 7
2.4 SUBSEQUENT PROGRAM REVISIONS
Once a state has gained final authorization, it must continually amend and revise its program to
reflect changes in the federal regulations and maintain its authorization status. To revise its
authorized program, a state must submit documentation similar to the documents used in the
initial authorization applications discussed above. The actual documentation required will vary,
depending on the scope of the state modifications and previously submitted application
materials. EPA generally uses a streamlined process for issuing an immediate final rule for
subsequent revision approvals. This means that authorization is automatically effective in 60
days unless adverse comment is received within 30 days (/271.21(b)(3)(iii)).
THE CLUSTER RULE
The federal RCRA program is constantly evolving. If states were required to adopt every federal
change into their program as soon as it occurred, they would be continually changing their
requirements. To avoid the burden this would place on state lawmakers and the regulated
community, RCRA only requires that states modify their programs on a yearly basis. Therefore,
a state can incorporate all of the changes of a year into the program at one time. EPA groups new
federal rules into annual clusters (See Figure 2). A state may revise its program by adopting and
becoming authorized for the entire cluster, or may request authorization for parts of a cluster,
provided the state eventually adopts all of the required provisions.
States that have adopted the basic cluster of RCRA regulations, those promulgated before
January 26, 1983, are considered to be base authorized. Rules issued after January 26, 1983,
are each assigned a checklist number, and are grouped into clusters based on the period of time in
which they were promulgated. Each cluster has a name as well as due dates by which authorized
states must submit applications to revise their program to include that group of rules
(/271.21 (e)). See Appendix G of the State Authorization Manual for a complete list of all
clusters.
To become authorized for new regulations, a state must adopt those regulations in its state
program before applying for authorization. Usually the state needs only to amend its regulations
to reflect the new rules. When this is the case, states have one year from the closing date of the
cluster in which the rule was placed to apply for revisions. Sometimes, however, the
implementing agency lacks the statutory authority from the state legislature to write certain
regulations. If a state statutory change is required before regulations can be issued, a second year
is allowed £271.21(e)(2)(v)).
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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8 — State Programs
Figure 2
The Cluster System
Non-
HSWA
Clusters
HSWA
Clusters
RCRA
Clusters
Cluster
Number*
I
II
III ... V
VI
I
II
I
II
III ... VII
VIII
IX
Cluster
Period
July 1, 1984, to
June 30, 1985
July 1, 1985, to
June 30, 1986
July 1, 1986, to
June 30, 1987, etc.
July 1, 1989, to
June 30, 1990, etc.
November 8, 1984, to
June 30, 1987
July 1, 1987, to
June 30, 1990
July 1, 1990, to
June 30, 1991
July 1, 1991, to
June 30, 1992
July 1, 1992, to
June 30, 1993, etc.
July 1, 1997, to
June 30, 1998
July 1, 1998, to
June 30, 1999
State
Modification
Deadline**
July 1, 1986
July 1, 1987
July 1, 1988, etc.
July 1, 1991
July 1, 1989
July 1, 1991
July 1, 1992
July 1, 1993
July 1, 1994, etc.
July 1, 1999
July 1, 2000
State Revision
Application Deadline
September 1, 1986
September 1, 1987
September 1, 1988, etc.
September 1, 1991
September 1, 1989
September 1, 1991
September 1, 1992
September 1, 1993
September 1, 1994, etc.
September 1, 1999
September 1, 2000
Program Areas
Affected
Non-HSWA Rules and
HSWA/3006(f)
Non-HSWA Rules
Non-HSWA Rules
Non-HSWA Rules
HSWA Provisions
HSWA Provisions
All HSWA and
Non-HSWA Provisions
All HSWA and
Non-HSWA Provisions
All HSWA and
Non-HSWA Provisions
All HSWA and
Non-HSWA Provisions
All HSWA and
Non-HSWA Provisions
* Checklists 1-8 were issued prior to establishment of the cluster system. State modification deadlines for these
rules are one year from the promulgation date of each rule, or two years if a statutory change is required.
** One additional year provided if statutory change is needed. Can be extended by up to 18 months (see
^271.21(e)and(g)).
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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State Programs - 9
ABBREVIATED REVISION PROCESS
On November 30, 1998, EPA promulgated an abbreviated program revision process in/271.21(h)
(63 FR 65874). EPA believes it is appropriate to have an abbreviated authorization process for
minor or routine rules to be used by states that have already received authorization for the
significant parts of the RCRA program that are being revised. In the future, as EPA proposes
rulemakings, the Agency will also propose to list additional minor or routine rules in Table 1 to
/271.21(h). EPA is developing guidance to enable states and Regions to make proper decisions
regarding which previously promulgated rules should be included in an authorization application
that uses the abbreviated procedures (63 FR 65929; November 30, 1998).
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 — State Programs
3. STATE AUTHORIZATION AND EFFECTIVE DATES
The state authorization process and the effective dates of rules depend upon whether EPA
promulgated a rule pursuant to HSWA or RCRA authority, and whether the rule is less stringent
or more stringent than current regulations.
3.1 EFFECT OF RCRA/HSWA AUTHORITY
Prior to the enactment of HSWA, a state with final authorization administered its hazardous
waste program entirely in lieu of the federal program. This meant the federal requirements no
longer applied in an "authorized" state. When a new, more stringent, federal requirement was
enacted, the state was obligated to enact equivalent authorities within specified time frames, but
the new federal requirements were not effective in the authorized state until the state adopted the
new requirements as state law and received authorization for them. Some federal rules are still
issued based on the original pre-HSWA authority and become effective in authorized states only
when the state adopts the provisions as state law. These rules are known as "non-HSWA"
rulemakings.
In contrast, HSWA amended RCRA by adding/3006(g). Under this section, new requirements
and prohibitions imposed by HSWA take effect in authorized states at the same time that they
take effect in unauthorized states. These regulations are known as "HSWA" provisions. EPA
implements these requirements in authorized states until the state is granted authorization to
implement the new regulation(s). While states must still adopt HSWA provisions as state law to
maintain authorization, HSWA requirements are implemented by EPA in authorized states until
they do so.
The underlying statutory authority is explained with each new rule in the Federal Register on the
first page under "Summary" and at the end of the preamble in a special section titled
"Applicability of Rules in Authorized States." Until authorized states obtain approval for
HSWA-based requirements, there will be joint state/EPA permitting of facilities in the authorized
state. The MOA must discuss joint permitting responsibilities and procedures.
One example of the applicability of HSWA provisions and non-HSWA provisions in authorized
and non-authorized states is illustrated by the rulemaking that promulgated the wood preserving
listings (F032, F034, and F035). These wood preserving wastes were promulgated pursuant to
both HSWA and non-HSWA authorities. The F032 listing is a HSWA provision, and is
applicable in all states, both authorized and non-authorized. The F034 and F035 listings are non-
HSWA provisions. The F034 and F035 listings are effective only in states that are not
authorized for the RCRA program and in states that have incorporated the listings into their state
programs and have received EPA approval for their revised state programs. The F034 and F035
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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State Programs - 11
listings are not applicable in authorized states that have not yet modified their state programs to
include the listings.
3.2 LESS STRINGENT PROVISIONS
In order to maintain the authority to administer the federal hazardous waste program, authorized
states are generally required to revise their state hazardous waste programs as new federal
regulations are promulgated. Sometimes, however, federal rulemakings are less stringent than the
existing federal standards. In such instances, authorized states are not required to incorporate the
less stringent standards into the state hazardous waste program, and they retain authorization for
the RCRA program. For example, if EPA were to promulgate an exemption for some forms of a
currently listed hazardous waste, authorized states would be under no obligation to adopt the
less stringent rule. The rule would be effective in the authorized state only if adopted by the
state.
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 — State Programs
4. WITHDRAWAL OF AUTHORIZATION
Neither RCRA nor HSWA requires that states apply for initial authorization. Once a state has
been granted authorization, however, it must regularly modify its program to incorporate new
federal requirements in order to maintain full authorization (/271.21(e)(l)). An authorized state
must modify its program and submit authorization applications according to the schedule in the
cluster rule, described above. If a state falls behind the schedule set out by the cluster rule, the
Region may grant the state an extension or put it on a compliance schedule (/111.21 (g)). An
important exception to this requirement is for changes in the federal program that are deemed less
stringent than previous requirements. States are not required to incorporate less stringent
provisions into their hazardous waste programs.
The Administrator may withdraw program approval of any authorized state when the state no
longer complies with the requirements of Part 271. Withdrawal of program approval may occur
for the following reasons: the state's legal authority no longer meets the requirements of Part 271,
the operation of the state program does not comply with the Part 271 requirements, the state's
enforcement program fails to comply with Part 271, or the state program fails to comply with
the terms of the MOA (/271.22). The program withdrawal authority is discretionary, however,
and EPA encourages Regions to approve states' authorization applications, even when there are
elements of a cluster that are incomplete or overdue.
If an authorized state determines that it can no longer comply with the requirements of Part 271,
the state may voluntarily transfer program responsibilities to EPA. In doing so, the state must
give the Administrator 180 days notice of the proposed transfer of all relevant program
information. At least 30 days before the approved transfer occurs, the Administrator must
publish notices of the transfer in the Federal Register and major newspapers within the state.
A transfer of program responsibilities may also occur after the Administrator orders withdrawal
proceedings to begin. Commencement of the proceedings may be under the Administrator's own
initiative or in response to a petition from an interested person alleging failure of the state to
comply with the requirements of Part 271. A more detailed description of the procedures for
withdrawing approval of a state program is codified in/271.23.
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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