Unted Slates
Environmental Protector
Healthcare Environmental Assistance Resources
Pollution Prevention and Compliance Assistance
for Healthcare Facilities
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MANUAL
&EPA
United States
Environmental Protection
Agency
Resource Conservation and Recovery Act
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RCRA Orientation
Manual
January 2003
EPA530-R-02-016
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TABLE OF CONTENTS
Use of the Manual v
Foreword vii
Executive Summary ES-1
Section I: Introduction to the Resource Conservation and Recovery Act 1-1
Section II: Managing Solid Waste RCRA Subtitle D II-l
Section III: Managing Hazardous Waste RCRA Subtitle C III-l
Overview III-l
Chapter 1: Hazardous Waste Identification III-3
Chapter 2: Hazardous Waste Recycling and Universal Wastes 111-29
Chapter 3: Regulations Governing Hazardous Waste Generators 111-39
Chapter 4: Regulations Governing Hazardous Waste Transporters 111-49
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities 111-53
Chapter 6: Land Disposal Restrictions 111-89
Chapter 7: Hazardous Waste Combustion 111-99
Chapter 8: Permitting of Treatment, Storage, and Disposal Facilities Ill-109
Chapter 9: Corrective Action to Clean Up Hazardous Waste Contamination III-121
Chapter 10: Enforcement of Hazardous Waste Regulations III-127
Chapter 11: Authorizing States to Implement RCRA III-137
Section IV: Managing Underground Storage Tanks RCRA Subtitle I IV-1
Section V: Miscellaneous Statutory Provisions V-l
Overview V-l
Chapter 1: Federal Procurement Requirements V-3
Chapter 2: Medical Waste Regulations V-9
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Table of Contents
Section VI: RCRA and Its Relationship to Other Environmental Statutes VI-1
Overview VI-1
Chapter 1: Legislative Framework for Addressing Hazardous Waste Problems VI-3
Chapter 2: Superfund The Hazardous Waste Cleanup Program VI-9
Section VII: Public Participation VIM
Appendix A: Hazardous Waste Manifest A-l
Appendix B: Land Disposal Restrictions Notification Requirements B-l
Appendix C: Underground Storage Tank Notification Form C-l
Appendix D: Glossary D-l
Appendix E: Acronyms and Abbreviations E-l
Appendix F: OSW Organization Chart F-l
Appendix G: Environmental Contacts G-l
IV
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USE OF THE MANUAL
This document has been reviewed by the U.S. Environmental Protection Agency and has
been approved for publication. Mention of trade names, products, or services does not
convey, and should not be interpreted as conveying, official EPA approval, endorsement, or
recommendation.
This manual serves as an effective introduction to the various facets and basic structure of
the RCRA program designed to regulate solid waste, hazardous waste, and underground
storage tanks. In order to achieve this goal, the RCRA Orientation Manual is designed for
EPA and state staff, members of the regulated community, and the general public who wish to
better understand RCRA. While this manual constitutes a review of the RCRA program, it is
not a substitute for RCRA or its implementing regulations, nor is it a regulation itself. Thus,
it cannot impose legally binding requirements on EPA, states, or the regulated community. In
addition, the manual is not intended to modify or affect in any way existing statutory or
regulatory requirements or Agency policies; it is simply intended to briefly summarize those
requirements and policies. If there is any unintended variation between any statements in this
manual and existing requirements or policy statements, the requirements or policy statements
are controlling.
Further information is available over the Internet on the Office of Solid Waste and
Emergency Response's Homepage at: http://www.epa.gov/oswer. For more detailed
information about hazardous and nonhazardous solid waste, please see the Office of Solid
Waste's Homepage at: http://www.epa.gov/osw. Regulatory information and documents are
also available from the RCRA, Superfund & EPCRA Call Center at either (703) 412-9810 in
the Washington DC area or (800) 424-9346 toll-free elsewhere. TDD users should call either
(703) 412-3323 in the Washington DC area or (800) 553-7673 toll-free elsewhere. The Call
Center is accessible over the Internet at http://www/epa.gov/epaoswer/hotline. Many RCRA
guidance documents, publications, and other outreach materials are available on the Internet
at http://www.epa.gov/rcraonline.
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FOREWORD
This manual updates the 2000 RCRA
Orientation Manual, which has proven to be a
popular and valuable resource for anyone working
with EPA's solid and hazardous waste management
program or underground storage tank program.
Since the manual's publication in 1990, the RCRA
program has evolved dramatically. As a result of
changes in the dynamics of solid and hazardous
waste management, as well as changes in the
regulatory expectations and demands of government,
public, and private entities, the RCRA program has
been steadily modified through new regulations,
policies, Agency-wide initiatives, and Congressional
mandates. The manual's revision reflects the
progress that has been made in the program and
documents the changes in RCRA.
At this time, the RCRA Subtitle C hazardous
waste regulatory framework is completely in place,
and almost all states are implementing large portions
of the program. EPA has achieved significant
progress in establishing provisions to fully protect
both ground water and air resources. Under Subtitle
D, the establishment of municipal solid waste
landfill criteria ensures adequate protection of
human health and the environment from solid waste
disposal practices. In addition, the Agency has
significantly expanded initiatives aimed at reducing
the amount of waste generated, and in the event that
this cannot be achieved, making any resulting waste
management more efficient. Lastly, the Subtitle I
underground storage tank program is being fully
implemented, and tank owners and operators are
working towards upgrading their units to meet the
most current and environmentally protective
management standards.
As we move ahead in the continuing
implementation of RCRA, several priority initiatives
stand out. For example, EPA continues to encourage
waste minimization in order to reduce the quantities
of waste generated and the volume of waste that
needs to be handled by practices such as land
disposal and combustion. Also, the RCRA program
is advancing risk-based regulation by evaluating new
ways to regulate wastes based on the risk that they
might pose to human health and the environment.
Lastly, EPA is increasing the incorporation of states,
the regulated community, and the public into the
regulatory process in order to further a protective
environmental strategy that is easy to implement,
provides feasible compliance options, and takes into
account the interests of citizens.
The continued success of the RCRA program
rests on the involvement of all stakeholders. The
RCRA Orientation Manual provides a mechanism
through which affected parties can learn more about
the program, and it serves as an effective
introduction to the basic structure and various facets
of the RCRA program designed to regulate solid and
hazardous waste.
In addition to this manual, two new documents
provide an informative look back at the past and a
speculative look forward to the future of the RCRA
program. For a look back at past successes, the
report 25 Years of RCRA: Building on Our Past to
Protect Our Future commemorates RCRA's 25th
Anniversary in October 2001 and highlights the
VII
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Forward
accomplishments of RCRA's protective framework
to date. For a look ahead, the draft white paper
Beyond RCRA: Prospects for Waste and Materials
Management in the Year 2020 identifies trends that
could affect the future of waste management and
resource conservation and also suggests general
strategies that might be used to build a new vision
for the future of the program. For information
regarding document availability contact the RCRA,
Superfund & EPCRA Call Center (see section
entitled Use of the Manual).
The RCRA Orientation Manual was developed
by the Office of Solid Waste, Communications,
Information, and Resources Management Division.
Special thanks to the many individuals at EPA
Headquarters who reviewed the drafts and provided
comments.
VIM
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RCRA ORIENTATION
MANUAL
EXECUTIVE SUMMARY
OVERVIEW
The Resource Conservation and Recovery Act
(RCRA) was enacted in 1976 to address the huge
volumes of municipal and industrial solid waste
generated nationwide. After several amendments,
the Act as it stands today governs the management
of solid and hazardous waste and underground
storage tanks (USTs).
The U.S. Environmental Protection Agency
(EPA) published the RCRA Orientation Manual in
order to educate and inform the public about the
broad requirements of RCRA's regulatory program.
This manual has proven to be a popular and valuable
resource for anyone working with EPA's solid and
hazardous waste management program or UST
program.
Since the manual's initial publication in 1990,
the RCRA program has evolved dramatically. As a
result of changes in the dynamics of solid and
hazardous waste management, as well as changes in
the regulatory expectations and demands of
government, public, and private entities, the RCRA
program has been steadily modified through new
regulations, policies, Agency-wide initiatives, and
Congressional mandates. This revision reflects the
progress that has been made in the program and
documents the changes in RCRA that have occurred
since the last publication in 2000.
FEATURES OF THIS MANUAL
Specifically, this manual outlines RCRA in
seven sections:
Introduction to RCRA
Managing Solid Waste RCRA Subtitle D
Managing Hazardous Waste RCRA
Subtitle C
Managing Underground Storage Tanks
RCRA Subtitle I
Miscellaneous Statutory Provisions
RCRA and Its Relationship to Other
Environmental Statutes
Public Participation in RCRA.
This manual also contains appendices that
present important RCRA forms and paperwork
requirements, a glossary, a list of acronyms and
abbreviations, an organization chart for EPA's Office
of Solid Waste, and useful environmental contacts.
MANUAL HIGHLIGHTS
Each of the seven sections of the manual
discusses different aspects of the regulatory
program.
ES-1
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Executive Summary
Introduction to the Resource
Conservation and Recovery Act
RCRA's goals are to protect human health and
the environment from the hazards posed by
waste disposal; to conserve energy and natural
resources through waste recycling and recovery;
to reduce or eliminate the amount of waste
generated, including hazardous waste; and to
ensure that wastes are managed in an
environmentally safe manner.
RCRA, enacted in 1976, is an amendment to the
Solid Waste Disposal Act of 1965. RCRA has
been amended several times, most significantly
by the Hazardous and Solid Waste Amendments
(HSWA)ofl984.
Within this manual, the acronym RCRA refers
not only to the Statute itself, but also to
corresponding regulations codified in the Code
of Federal Regulations (CFR), guidance, and
policy.
RCRA addresses three programs
hazardous waste, and USTs.
solid waste,
RCRA involves several organizations and
entities, including Congress, EPA's Office of
Solid Waste and Emergency Response
(OSWER), EPA Regions, states, the regulated
community, and the general public.
Current program initiatives include encouraging
waste minimization, streamlining RCRA
regulations, fostering federal/state partnerships,
and enhancing public access to information.
Managing Solid Waste RCRA
Subtitle D
RCRA's solid waste management program,
Subtitle D, encourages environmentally sound
solid waste management practices that maximize
the reuse of recoverable material and foster
resource recovery.
The term solid waste is very broad, including not
only the traditional nonhazardous solid wastes,
such as municipal garbage, but also some
hazardous wastes. RCRA Subtitle D addresses
solid wastes, including those hazardous wastes
that are excluded from the Subtitle C regulations
(e.g., household hazardous waste), and
hazardous waste generated by conditionally
exempt small quantity generators (CESQGs).
The solid waste management program also
addresses municipal solid waste, which is
generated by businesses and households and is
typically collected and disposed in municipal
solid waste landfills (MSWLFs).
EPA recommends an integrated, hierarchical
approach to managing municipal solid waste that
includes: source reduction, recycling,
combustion, and landfilling. Source reduction
and recycling are preferred elements of the
system.
The Subtitle D
program includes
technical criteria for
MSWLFs to ensure
that such landfills
will be fully
protective of human
health and the
environment.
EPA has a number of programs to encourage
sound waste management Wastewise, the
Jobs Through Recycling program, unit pricing,
and full cost accounting for municipal solid
waste.
Managing Hazardous Waste RCRA
Subtitle C
The hazardous waste management program,
Subtitle C, is intended to ensure that hazardous
waste is managed safely from the moment it is
generated to the moment it is finally disposed.
The Subtitle C program includes procedures to
facilitate the proper identification and
classification of hazardous waste.
While waste recycling and recovery are major
components of RCRA's goals, they must be
implemented consistently with proper hazardous
waste management. As a result, RCRA contains
ES-2
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Executive Summary
provisions to ensure safe hazardous waste
recycling, and to facilitate the management of
commonly recycled wastestreams.
The program also includes standards for those
facilities that generate (i.e., produce), transport,
treat, store, or dispose of hazardous waste.
These standards include requirements for
general facility management and specific
hazardous waste management units. The
provisions for treatment, storage, and disposal
facilities (TSDFs) include additional precautions
to protect ground water and air resources.
The hazardous waste management program
includes safeguards to protect human health and
the environment from hazardous waste that is
disposed of on the land. These safeguards are
known as the land disposal restrictions (LDR).
RCRA also minimizes the hazards of burning
hazardous waste by imposing strict standards on
combustion units.
Because EPA wants to limit hazardous waste
treatment, storage, or disposal only to facilities
that can adequately protect human health and the
environment, RCRA requires these facility
owners and operators to obtain a hazardous
waste permit from the Agency.
Since hazardous waste management may result
in spills or releases into the environment, RCRA
Subtitle C also contains provisions governing
corrective action, or the cleanup of contaminated
air, ground water, and soil.
The RCRA statute additionally grants EPA broad
enforcement authority to require all hazardous
waste management facilities to comply with the
regulations.
The Subtitle C program also contains provisions
that allow EPA to authorize state governments to
implement and enforce the hazardous waste
regulatory program. State programs must be at
least as stringent as the federal program.
Managing Underground Storage
Tanks (UST) RCRA Subtitle I
The RCRA Subtitle I UST regulatory program
regulates underground tanks storing petroleum
or hazardous substances.
In order to protect human health and the
environment from threats posed by releases from
such tanks, the program governs tank design,
construction, installation, operation, release
detection, release
response, corrective
action, closure, and
financial
responsibility.
Many UST owners
and operators must secure loans from financial
and other institutions to comply with
environmental regulations, such as UST
upgrading and maintenance requirements. The
Subtitle I program contains specific provisions
to protect lending institutions from liability that
they might incur from extending these loans.
Similar to RCRA Subtitle C, Subtitle I contains
provisions that allow EPA to approve state
government implementation and enforcement of
the UST regulatory program.
The expense and threats of contamination from
leaking USTs necessitate efficient, effective, and
thorough cleanups. To guarantee that such
cleanups will be conducted in an efficient and
protective manner, Subtitle I also established a
Leaking Underground Storage Tank (LUST)
Trust Fund. The Fund facilitates cleanup
oversight and guarantees cleanups when the
responsible owner and operator cannot take
action, or when the situation requires emergency
response.
Miscellaneous Statutory Provisions
Consistent with RCRA's focus on recycling, the
Statute contains provisions for EPA to encourage
recycling and promote the development of
markets for items with recovered materials
content.
ES-3
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Executive Summary
To help achieve this goal, EPA publishes federal
procurement guidelines that set minimum
recovered materials content standards for certain
designated items. RCRA requires federal
procuring agencies to purchase items composed
of the highest percentage of recovered materials
practicable. These requirements are specified in
Comprehensive Procurement Guidelines (CPG)
and Recovered Materials Advisory Notices
(RMAN).
RCRA's focus is not limited to solid waste,
hazardous waste, or USTs. Medical waste can
pose similar threats to human health and the
environment. As a result, RCRA established a
medical waste tracking program to ensure that
such waste is properly handled from the moment
it is generated to the moment it is disposed. This
program was a demonstration program that
began June 22, 1989, and ended June 22, 1991.
At this time, the program has expired and no
federal EPA tracking requirements are currently
in effect, although some states have medical
waste requirements.
RCRA and Its Relationship to Other
Environmental Statutes
RCRA is only one of several regulatory
programs in place to protect the environment.
The RCRA regulations work closely with other
environmental statutes such as the Clean Air Act
(CAA); Clean Water Act (CWA); the Emergency
Planning and Community Right-to-Know Act
(EPCRA); the Federal Insecticide, Fungicide,
and Rodenticide Act (FIFRA); the Marine
Protection, Research, and Sanctuaries Act
(MPRSA); the Occupational Safety and Health
Act (OSHA); the Safe Drinking Water Act
(SDWA); and the Toxic Substances Control Act
(TSCA).
One statute in particular, the Comprehensive
Environmental Response, Compensation, and
Liability Act (CERCLA), or Superfund, is
closely tied to RCRA: both are designed to
protect human health and the environment from
the dangers of hazardous waste. While these
programs are similar, they do have different
regulatory focuses: RCRA regulates how wastes
should be managed to avoid potential threats to
human health and the environment; CERCLA
focuses on actual releases, or substantial threats
of a release in the environment of a hazardous
substance, pollutant, or contaminant, that present
an imminent and substantial threat to human
health.
Public Involvement in RCRA
RCRA contains extensive public participation
and involvement provisions to facilitate public
participation in the permitting, corrective action,
and state authorization processes.
EPA, consistent with the requirements of the
Administrative Procedures Act (APA),
proactively involves the public every time the
Agency issues a rulemaking that establishes or
changes regulatory provisions.
EPA is committed to equal protection of all
socioeconomic and racial groups in the
implementation and enforcement of the nation's
environmental laws. Consequently, RCRA seeks
to ensure that all segments of the population
have an equal opportunity to participate in the
regulatory process and equal access to
regulatory information.
Because the RCRA program as a whole is a
complex regulatory framework, EPA has
established several public outreach and
assistance mechanisms to foster public
involvement. These include access to
information through training grants; the
Freedom of Information Act (FOIA); EPA's
Office of Ombudsman; the EPA Docket Center;
the EPA Dockets (EDOCKET) Web site; and the
RCRA, Superfund & EPCRA Call Center.
ES-4
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SECTION I
INTRODUCTION TO THE RESOURCE
CONSERVATION AND RECOVERY ACT
In this section...
Overview 1-1
RCRA: What It Is I-2
- The Act I-2
- Regulations I-3
- Guidance and Policy I-4
RCRA: How It Works I-5
- Subtitle D Solid Waste I-5
- Subtitle C Hazardous Waste I-5
- Subtitle I Underground Storage Tanks I-5
Who Is Involved in RCRA? I-5
RCRA Today I-6
- Waste Minimization I-6
- Streamlining RCRA Regulation I-7
- Subtitle C Federal/State Partnership I-7
- Demonstrating Results I-8
Outline of the Manual I-8
Summary I-8
OVERVIEW
The Resource Conservation and Recovery Act
(RCRA), an amendment to the Solid Waste Disposal
Act, was enacted in 1976 to address the huge
volumes of municipal and industrial solid waste
generated nationwide.
Once, the amount of waste produced in the
United States was small and its impact on the
environment was viewed as relatively minor. Times
have changed. With the industrial revolution in the
late 1800s, the country began to experience
unparalleled growth. New products were developed,
and the consumer was offered an ever-expanding
array of material goods.
This growth continued through the early 20th
Century and accelerated after World War II when
the nation's industrial base, strengthened by war,
turned its energy toward domestic production. The
results of growth, however, were not all positive.
While the country produced more goods and
prospered economically, it also generated more
waste, both hazardous and nonhazardous. For
example, at the end of
World War II, U.S.
industry was generating
roughly 500,000 metric
tons of hazardous waste
per year. This amount
continued to increase
over the next 50 years. A
national survey conducted
by EPA in 1996 estimated
that 279 million metric tons of hazardous waste were
generated nationwide in 1995, more than a 500-fold
increase.
This phenomenal growth in waste production
was not mirrored by advancements in the field of
waste management. Much of the waste produced
entered the environment, where it often posed a
serious threat to ecological systems and public
health.
In the mid-1970s, it became clear to Congress
and the American people that action had to be taken
to ensure that wastes were managed properly. This
realization began the process that resulted in the
passage of RCRA. The goals set by RCRA are:
1-1
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Section I: Introduction to the Resource Conservation and Recovery Act
To protect human health and the environment
from the hazards posed by waste disposal
To conserve energy and natural resources
through waste recycling and recovery
To reduce or eliminate, as expeditiously as
possible, the amount of waste generated,
including hazardous waste
To ensure that wastes are managed in a manner
that is protective of human health and the
environment.
To achieve these goals, RCRA established three
distinct yet interrelated programs (see Figure 1-1).
RCRA Subtitle D, the solid waste program,
encourages states to develop comprehensive plans to
Figure 1-1: RCRA's Three Interrelated Programs
I
SUBTITLE D
I
Solid
Waste
Program
I
SUBTITLE C
I
Hazardous
Waste
Program
I
SUBTITLE I
I
Underground
Storage Tank
Program
manage nonhazardous industrial solid waste and
municipal solid waste, sets criteria for municipal
solid waste landfills (MSWLFs) and other solid
waste disposal facilities, and prohibits the open
dumping of solid waste. RCRA Subtitle C, the
hazardous waste program, establishes a system for
controlling hazardous waste from the time it is
generated until its ultimate disposal in effect,
from cradle to grave. RCRA Subtitle I, the
underground storage tank (UST) program, regulates
underground tanks storing hazardous substances and
petroleum products.
Although RCRA creates the framework for the
proper management of hazardous and nonhazardous
solid waste, it does not address the problems of
hazardous waste found at inactive or abandoned
sites or those resulting from spills that require
emergency response. These problems are addressed
by a different act, the Comprehensive Environmental
Response, Compensation, and Liability Act
(CERCLA), commonly called Superfund, which was
enacted in 1980.
This section provides an overview of RCRA,
including the Act, regulations, guidance, and policy.
In addition, this section discusses the three major
programs that comprise RCRA and the
interrelationships between them. Finally, this
section details where RCRA is today, introduces
who is involved in RCRA, and outlines the
remainder of this manual.
RCRA: WHAT IT IS
Although RCRA is the acronym for the
Resource Conservation and Recovery Act, it is often
used interchangeably to refer to the law, the
regulations, and EPA policy and guidance. To avoid
confusion in this manual, the term "the Act" refers
to the public law and statutory requirements passed
by Congress. The term "regulations" is used
interchangeably with standards or regulatory
requirements, and means the rules developed by
EPA to implement the statute.
The Act
The Act
provides, in broad
terms, general
guidelines for the
waste management
program envisioned
by Congress (e.g.,
EPA is directed to
THE ACT
The law that describes the
kind of waste management
program that Congress wants
to establish. The Act also
provides the Administrator of
EPA (or his or her designee)
with the authority to
implement the program.
develop and
promulgate criteria for identifying hazardous waste).
The Act also provides the EPA Administrator (or his
or her representative) with the necessary authority to
develop these broad standards into specific
requirements for the regulated community.
What we commonly know as RCRA, or the Act,
is actually a combination of the first federal solid
waste statutes and all subsequent amendments (see
Figure 1-2). In 1965, Congress enacted the Solid
Waste Disposal Act, the first statute that specifically
focused on improving solid waste disposal methods.
The Solid Waste Disposal Act established economic
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Section I: Introduction to the Resource Conservation and Recovery Act
Figure 1-2: The Evolution
of Significant RCRA
Legislation
SOLID WASTE DISPOSAL
ACT OF 1965
RESOURCE
CONSERVATION AND
RECOVERY ACT OF 1976
HAZARDOUS AND SOLID
WASTE AMENDMENTS
OF 1984
FEDERAL FACILITIES
COMPLIANCE ACT OF 1992
LAND DISPOSAL PROGRAM
FLEXIBILITY ACT OF 1996
incentives for states to
develop planning,
training, research, and
demonstration
projects for the
management of solid
waste. The Act was
amended in 1976 by
RCRA, which
substantially
remodeled the
nation's solid waste
management system
and laid out the basic
framework of the
current hazardous
waste management
program.
The Act, which
has been amended
several times since
1976, continues to evolve as Congress alters it to
reflect changing waste management needs. The Act
was amended significantly on November 8, 1984, by
the Hazardous and Solid Waste Amendments
(HSWA), which expanded the scope and
requirements of RCRA. HSWA was created largely
in response to citizen concerns that existing methods
of hazardous waste disposal, particularly land
disposal, were not safe. Because of their
significance and differences in their implementation,
HSWA provisions are emphasized throughout this
manual. Congress also revised RCRA in 1992 by
passing the Federal Facility Compliance Act, which
strengthened the authority to enforce RCRA at
federal facilities. In addition, the Land Disposal
Program Flexibility Act of 1996 amended RCRA to
provide regulatory flexibility for the land disposal of
certain wastes.
Today, the Act consists of 10 subtitles (see
Figure 1-3). Subtitles A, B, E, F, G, H, and J outline
general provisions; authorities of the Administrator;
duties of the Secretary of Commerce; federal
responsibilities; miscellaneous provisions; research,
development, demonstration, and information
requirements; and medical waste tracking. Other
subtitles lay out the framework for the three major
programs that comprise RCRA Subtitle C (the
hazardous waste management program), Subtitle D
(the solid waste program), and Subtitle I (the UST
program).
The text of the Act can be found at
www.epa.gov/epahome/laws.htm.
Figure 1-3: Outline of the Act
Subtitle Provisions
A General Provisions
B Office of Solid Waste; Authorities of the
Administrator and Interagency Coordinating
Committee
C Hazardous Waste Management
D State or Regional Solid Waste Plans
E Duties of the Secretary of Commerce in Resource
and Recovery
F Federal Responsibilities
G Miscellaneous Provisions
H Research, Development, Demonstration, and
Information
I Regulation of Underground Storage Tanks
J Standards for the Tracking and Management
of Medical Waste
Regulations
The Act includes a Congressional mandate
directing EPA to develop a comprehensive set of
regulations. Regulations, or rulemakings, are
issued by an agency, such as EPA, that translate the
general mandate of a statute into a set of
requirements for the Agency and the regulated
community.
Regulations are developed by EPA in an open
and public manner according to an established
process. When a regulation is formally proposed, it
is published in an official government document
called the Federal Register to notify the public of
EPA's intent to create new regulations or modify
existing ones. EPA provides the public, which
includes the potentially regulated community, with
an opportunity to submit comments. Following an
established comment period, EPA may revise the
1-3
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Section I: Introduction to the Resource Conservation and Recovery Act
proposed rule based on both an
internal review process and
public comments.
REGULATIONS
Legal mechanisms that
establish standards or impose
requirements as mandated by
the Act. RCRA regulations are
promulgated by EPA,
published in the Federal
Register, and codified in the
Code of Federal Regulations.
The final regulation is
published, or promulgated, in the
Federal Register. Included with
the regulation is discussion of the
Agency's rationale for the
regulatory approach, known as
preamble language. Final regulations are compiled
annually and incorporated in the Code of Federal
Regulations (CFR) according to a highly structured
format based on the topic of the regulation. This
latter process is called codification, and each CFR
title corresponds to a different
regulatory authority. For
example, EPA's regulations are
in Title 40 of the CFR. The
codified RCRA regulations can
be found in Title 40 of the
CFR, Parts 240-282. These
regulations are often cited as
40 CFR, with the part listed
afterward (e.g., 40 CFR Part
264), or the part and section (e.g., 40 CFR §264.10).
Although this relationship between an Act and
the regulations is the norm, the relationship between
HSWA and its regulations differs slightly. Congress,
through HSWA, not only provided EPA with a
general mandate to promulgate regulations, but also
placed explicit instructions in the Statute to develop
certain regulations. Many of these requirements are
so specific that EPA incorporated them directly into
the regulations. HSWA is all the more significant
because of the ambitious schedules that Congress
established for implementation of the Act's
provisions. Another unique aspect of HSWA is that
it established hammer provisions, or statutory
requirements that would go
into effect automatically (with
the force of regulations) if EPA
failed to issue regulations by
certain dates.
clarifies the requirements of the Act and
its regulations through guidance
documents and policy.
The RCRA regulations can be found
athww.epa.gov/docs/epacfr40/chapt-
I.info/subch-I.htm.
Guidance and Policy
The interpretation of
statutory language does not
end with the codification of
regulations. EPA further
40
GUIDANCE = How To
Documents developed
and issued by EPA to
provide instructions on
how to implement the
requirements of either
the Act or regulations.
Guidance documents are issued by EPA
primarily to provide direction for implementing and
complying with regulations. They are essentially
"how to" documents. For example, the regulations
in 40 CFR Part 270 detail what is required in a
permit application for a
hazardous waste
management facility,
while the guidance for this
Part suggests how to
evaluate a permit
application to ensure that
all information has been
included. Guidance
documents also elaborate
on the Agency's interpretation of the requirements of
the Act.
Policy statements, on the other hand, specify
operating procedures that should generally be
followed. They are mechanisms used by EPA
program offices to outline the manner in which the
RCRA program are implemented. For example,
EPA's Office of Solid Waste (OSW) may issue a
policy outlining what
actions should generally
be taken to achieve RCRA
corrective action cleanup
goals. In many cases,
policy statements are
addressed to the staff
working on
implementation, but they
may also be addressed to the regulated community.
POLICY = Should Do
Statements developed
by EPA outlining a
position on a topic or
giving instructions on
how a procedure
should be conducted.
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Section I: Introduction to the Resource Conservation and Recovery Act
RCRA: HOW IT WORKS
The three programs established under RCRA
solid waste, hazardous waste, and USTs are
described in detail in the following chapters. To
provide an overall perspective of how RCRA works,
each of these programs and their interrelationships
are briefly summarized here. In this manual, the
Subtitle D (solid waste) program is discussed before
the Subtitle C (hazardous waste) program. Although
this is alphabetically out of order, the structure is
designed for better understanding by the reader.
Subtitle D Solid Waste
RCRA Subtitle D focuses on state and local
governments as the primary planning, regulating,
and implementing entities for the management of
nonhazardous solid waste, such as household
garbage and nonhazardous industrial solid waste.
EPA provides these state and local agencies with
information, guidance, policy and regulations
through workshops and publications to help states
and the regulated community make better decisions
in dealing with waste issues, to reap the
environmental and economic benefits of source
reduction and recycling of solid wastes, and to
require upgrading or closure of all environmentally
unsound disposal units. In order to promote the use
of safer units for solid waste disposal, EPA
developed federal criteria for the proper design and
operation of MSWLFs and other solid waste
disposal facilities. Many states have adopted these
criteria into their state solid waste programs.
Subtitle C Hazardous Waste
RCRA Subtitle C establishes a federal program
to manage hazardous wastes from cradle to grave.
The objective of the Subtitle C program is to ensure
that hazardous waste is handled in a manner that
protects human health and the environment. To this
end, there are Subtitle C regulations for the
generation, transportation, and treatment, storage, or
disposal of hazardous wastes. In practical terms, this
means regulating a large number of hazardous waste
handlers. As of 1999, EPA had on record 1,575
treatment, storage, and disposal facilities (TSDFs);
17,000 transporters; and about 20,000 large quantity
generators (LQGs).
The Subtitle C program has resulted in perhaps
the most comprehensive regulations EPA has ever
developed. The regulations first identify the criteria
to determine which solid wastes are hazardous, and
then establish various requirements for the three
categories of hazardous waste handlers: generators,
transporters, and TSDFs. In addition, the Subtitle C
regulations set technical standards for the design and
safe operation of TSDFs. These standards are
designed to minimize the release of hazardous waste
into the environment. Furthermore, the regulations
for TSDFs serve as the basis for developing and
issuing the permits required by the Act for each
facility. Permits are essential to making the Subtitle
C regulatory program work, since it is through the
permitting process that EPA or a state applies the
technical standards to TSDFs.
One of the primary differences between Subtitle
C and Subtitle D is the type of waste each regulates.
Subtitle C regulates only hazardous waste, a subset
of solid waste, whereas Subtitle D primarily
manages nonhazardous solid waste.
Subtitle I Underground Storage
Tanks
RCRA Subtitle I regulates underground storage
tanks (USTs) that contain petroleum or hazardous
substances (as defined under CERCLA). A major
objective of Subtitle I is to prevent and clean up
releases from tanks. Under Subtitle I, EPA has
developed performance standards for new tanks,
upgrading requirements for existing tanks, and
regulations to prevent, detect, and clean up releases
at all UST sites. State UST programs may be
approved to operate in lieu of the federal program.
WHO IS INVOLVED IN RCRA?
The RCRA program involves many people and
organizations, all with varying roles. Congress and
the President set overall national direction for the
RCRA program through amendments to the Act.
EPA, through its Office of Solid Waste and
Emergency Response (OSWER), translates this
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Section I: Introduction to the Resource Conservation and Recovery Act
direction into operating programs by developing
regulations, guidance, and policy.
Site-specific implementation of the RCRA
program is the responsibility of the EPA Regions and
states. All three RCRA programs hazardous
waste, solid waste, and USTs have mechanisms
through which states can exercise key program
responsibilities. Initial federal responsibilities vary
among the different programs.
Under Subtitle D, EPA established minimum
criteria for MSWLFs and required each state to gain
approval for their MSWLF permitting program
through an approval process which ensures that the
state's program meets minimum federal criteria.
Most of the Subtitle D solid waste program is
overseen by the states and compliance is assured
through state-issued permits.
State involvement in the Subtitle C program is
similar to involvement in the Subtitle D program.
Under Subtitle C, in the authorization process, EPA
reviews a state's hazardous waste program and, if it
is at least as stringent as the federal program, grants
the state authority to implement its own program in
lieu of the federal program. These states are known
as authorized states.
Under Subtitle I, EPA also allows state UST
programs to operate in lieu of the federal program
provided that a state's regulatory provisions are at
least as stringent as the federal provisions.
The regulated community that must understand
and comply with RCRA and its
regulations is a large, diverse
group. It includes not only
facilities typically thought of as
hazardous waste generators, such
as industrial manufacturers, but
also government agencies and
small businesses, such as a local
dry cleaner generating small
amounts of hazardous solvents,
or a gas station with underground
petroleum tanks.
Lastly, the general public
plays a key role in RCRA by
providing input and comments
during almost every stage of the program's
development and implementation, through
rulemaking participation and comments on TSDF
permits.
RCRA TODAY
When RCRA was first enacted in 1976, EPA was
faced with a huge implementation task. The bulk of
the activity during the first few years focused on
developing basic regulations for the management of
both hazardous and nonhazardous solid waste in
order to provide adequate protection of human
health and the environment. Although most of these
elementary standards are now in place, the RCRA
program has not remained stagnant. EPA continues
to measure and analyze the program's results to help
identify ways to make the RCRA program more
efficient and achieve better, more cost-effective
protection of public health and the environment.
Waste Minimization
EPA has devoted much of its efforts in the past
to the treatment and cleanup of pollutants after they
are generated. In fact, great strides have been made
in environmental protection over the past 20 years.
EPA realizes, however, that there are environmental
and economic incentives to reducing or eliminating
waste before it is even generated. Consequently,
both the RCRA solid and hazardous waste programs
have adopted waste minimization elements. EPA
uses the term waste minimization to mean the
reduction, to the extent feasible,
of solid and hazardous waste.
Both programs emphasize source
reduction (reducing waste at its
source, before it is even
generated) and environmentally
sound recycling.
InthetextofHSWA,
Congress specifically declared
that the reduction or elimination
of hazardous waste generation at
the source should be a priority of
the RCRA hazardous waste
program. To encourage
hazardous waste minimization
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Section I: Introduction to the Resource Conservation and Recovery Act
nationwide, EPA
developed the Waste
Minimization National
Plan. This initiative
promotes a long-term
national effort to
minimize the generation
of hazardous chemicals
in wastes. The goals of
the National Plan include:
WASTE MINIMIZATION
Waste minimization is
the reduction, to the
extent feasible, of
hazardous waste
generated prior to any
treatment, storage, or
disposal of the waste.
Reducing the presence of the most persistent,
bioaccumulative, and toxic (PBT) chemicals in
hazardous wastes 50% by the year 2005
Emphasizing source reduction and
environmental source recycling over treatment
and disposal
Preventing transfers of chemical releases from
one medium (air, water, land) to another.
EPA has also developed strategies and priorities
for encouraging source reduction and recycling of
nonhazardous solid waste streams regulated by
RCRA Subtitle D. EPA envisions a flexible
integrated waste management hierarchy where
source reduction, recycling, waste combustion, and
landfilling all play a part in the successful
management of solid waste at the local level. Source
reduction and recycling are preferred approaches and
are at the top of the management hierarchy. Waste
combustion and landfilling are less emphasized. In
addition, to expand the use of recovered materials,
EPA has developed the procurement program, which
establishes guidelines recommending that federal
agencies purchase products containing recycled
materials.
Streamlining RCRA Regulation
EPA is currently identifying options to reinvent
the RCRA program by streamlining compliance
requirements. EPA's reinvention philosophy
includes providing flexibility in how results are
achieved, sharing information and decision-making
with all stakeholders, creating incentives for
compliance with environmental requirements,
lessening the burden of complying with
environmental requirements, and seeking a better
interface with other environmental regulations.
EPA is also placing an increasing emphasis on
making the RCRA hazardous waste program more
risk-based and results-based (i.e., ensuring that the
regulations correspond to the level of risk posed by
the hazardous waste being regulated and that
technicalities will not interfere with the ultimate
goals for a site). This approach is particularly
valuable for the cleanup of contaminated sites.
Placing excessive regulation on sites whose
contamination poses low risks to human health and
the environment may create disincentives for
cleanup. Focusing regulations on risk and results
would allow states greater flexibility in determining
the appropriate way to clean up sites contaminated
with relatively small quantities of hazardous waste.
Subtitle C Federal/State Partnership
RCRA, like most federal environmental
legislation, encourages states to develop their own
hazardous waste programs as an alternative to direct
implementation of the federal program. At the
inception of RCRA, Congress envisioned that a
successful national program would be put in place
through joint action of the federal and state
governmentsEPA would set national goals and
standards based on the Agency's technical expertise,
and the states would be responsible for
implementing those policies.
Because EPA's hazardous waste regulations are
developed in stages, over time, the Agency has a
phased approach to approving state programs. Each
state must either adopt the new regulations or
upgrade those elements of its program that do not
meet federal standards. The authorization process is
often long and cumbersome. EPA has developed
streamlined procedures for these state revisions to
make the process quicker and more efficient. These
procedures help reduce the amount of resources
needed for preparing and processing authorization
applications and speed up state implementation of
additional parts of the RCRA program.
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Section I: Introduction to the Resource Conservation and Recovery Act
Demonstrating Results
As important it is for EPA to develop protective
environmental goals, it is as important to determine
if these goals are actually being achieved.
Recognizing this, Congress enacted the Government
Performance and Results Act (GPRA) of 1993 to
provide for the establishment of strategic planning
and performance measurements throughout the
federal government. The intent of GPRA is to
improve public confidence in federal agencies by
holding agencies accountable for achieving program
results.
EPA adopted the GPRA framework by
developing an Agency-wide strategic plan that
encompasses all EPA offices and program areas.
The strategic plan contains several goals specific to
RCRA, such as preventing pollution, reducing risk
to humans and the environment, better waste
management, and restoration of contaminated waste
sites. As part of the requirements of GPRA, EPA
has also developed specific, quantifiable objectives
for each of these goals. Progress toward these target
objectives are measured and evaluated annually.
This framework ensures that EPA can evaluate the
success of its different programs and can
demonstrate tangible results to the general public.
OUTLINE OF THE MANUAL
The remainder of this manual details the three
RCRA programs briefly discussed in this
introduction. The manual also describes two other
components of RCRA: the federal procurement and
medical waste tracking programs. In addition, the
manual discusses the interrelationships between
RCRA's Subtitle C program and other
environmental statutes, as well as RCRA's public
participation provisions. To supplement this
technical description of the RCRA regulatory
program, the manual also contains appendices that
present important RCRA forms and paperwork
requirements, a glossary (for the reader's
convenience, the terms that appear in this glossary
have been bolded throughout the text), a list of
acronyms and abbreviations, an OSW organization
chart, useful environmental contacts, and a keyword
index.
SUMMARY
RCRA was passed in 1976, as an amendment to
the Solid Waste Disposal Act of 1965, to ensure that
solid wastes are managed in an environmentally
sound manner. The broad goals set by RCRA are:
To protect human health and the environment
from the hazards posed by waste disposal
To conserve energy and natural resources
through waste recycling and recovery
To reduce or eliminate, as expeditiously as
possible, the amount of waste generated,
including hazardous waste
To ensure that wastes are managed in a manner
that is protective of human health and the
environment.
To achieve the goals, three distinct yet
interrelated programs exist under RCRA:
Subtitle D - The solid waste program promotes
and encourages the environmentally sound
management of solid waste. It includes
minimum federal technical standards and
guidelines for state solid waste plans.
Subtitle C - The hazardous waste program
establishes a management system that regulates
hazardous waste from the time it is generated
until its ultimate disposal, in effect, from cradle
to grave.
Subtitle I - The UST program regulates
underground tanks that contain petroleum or
hazardous substances (as defined under
CERCLA).
There are several components of RCRA:
Act - The law that describes the kind of waste
management program that Congress wants to
establish. The Act also provides the
Administrator of EPA (or his or her designee)
with the authority to implement the Act.
Regulations - The legal mechanism that
establishes standards or imposes requirements as
mandated by the Act. RCRA regulations are
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Section I: Introduction to the Resource Conservation and Recovery Act
promulgated by EPA, published in the Federal
Register, and codified in the CFR.
Guidance - Documents developed and issued by
EPA to provide instructions on how to
implement requirements of either the Act or
regulations.
Policy - Statements developed by EPA outlining
a position on a topic or giving instructions on
how a procedure should be conducted.
RCRA continues to change with amendments to
the Statute. HSWA, in particular, significantly
expanded both the scope and detailed requirements
of the Act, especially in the context of the land
disposal of hazardous wastes. Congress, EPA,
states, regulated entities, and the general public are
involved in developing and implementing the RCRA
program.
EPA continues to improve the RCRA program
by using measurable results to identify and promote
new initiatives, such as encouraging waste
minimization, improving the federal/state
partnership in the hazardous waste program, and
aiding state and local governments in reaping the
environmental and economic benefits of source
reduction and recycling.
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SECTION II
MANAGING SOLID WASTE - RCRA SUBTITLE D
In this section...
Overview 11-1
Definition of Solid Waste II-2
Municipal Solid Waste II-2
- Source Reduction II-3
- Recycling II-3
- Combustion II-4
- Landfilling II-4
Criteria for Solid Waste Disposal Facilities II-5
- Criteria for Classification of Solid Waste
Disposal Facilities and Practices II-5
- Technical Criteria for Solid Waste Disposal
Facilities II-5
- Technical Criteria for Municipal Solid Waste
Landfills II-6
- Conditionally Exempt Small Quantity
Generator Waste Disposal Facilities II-7
- Bioreactor Landfills II-8
Assistance to Native American Tribes II-8
Solid Waste Management Initiatives II-9
- WasteWise II-9
- Jobs Through Recycling Program II-9
- Unit Pricing 11-10
- Full Cost Accounting for Municipal Solid
Waste 11-10
- Extended Product Responsibility 11-10
- Green Buildings 11-10
- Industrial Ecology 11-11
Summary 11-11
Additional Resources 11-11
OVERVIEW
Since the 1960s, Americans have sought to
provide efficient and favorable methods of waste
management. Congress enacted the Solid Waste
Disposal Act of 1965 to address the growing
quantity of waste generated in the United States and
to ensure its proper management. Subsequent
amendments to the Solid Waste Disposal Act, such
as RCRA, have substantially increased the federal
government's involvement in solid waste
management.
During the 1980s, solid waste management
issues rose to new heights of public concern in
many areas of the United States because of
increasing solid waste generation, shrinking landfill
capacity, rising disposal costs, and public opposition
to the siting of new landfills. These solid waste
management challenges continue today, as many
communities are struggling to develop cost-
effective, environmentally protective solutions. The
growing amount of waste generated has made it
WHAT IS A SOLID WASTE?
Garbage
Refuse
Sludges from waste treatment plants, water supply
treatment plants, or pollution control facilities
Nonhazardous industrial wastes
Other discarded materials, including solid,
semisolid, liquid, or contained gaseous materials
resulting from industrial, commercial, mining,
agricultural, and community activities.
11-1
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Section II: Managing Solid Waste - RCRA Subtitle D
increasingly important for solid waste management
officials to develop strategies to manage wastes
safely and cost-effectively.
RCRA Subtitle D encourages environmentally
sound solid waste management practices that
maximize the reuse of recoverable material and
foster resource recovery. Solid waste is
predominately regulated by state and local
governments. EPA has, however, promulgated some
regulations pertaining to solid waste, predominately
addressing how disposal facilities should be
designed and operated. EPA's primary role in solid
waste management includes setting national goals,
providing leadership and technical assistance, and
developing guidance and educational materials. The
Agency has played a major role in this program by
developing tools and information through policy and
guidance to empower local governments, business,
industry, federal agencies, and individuals to make
better decisions in dealing with solid waste issues.
The Agency's involvement is intended to create
incentives to motivate behavioral change in
reference to solid waste management through a
nonregulatory approach.
This section presents an outline of the Subtitle D
program. In doing so, it defines the terms solid
waste and municipal solid waste, and it describes the
role EPA plays in assisting waste officials in dealing
with solid waste management problems. The section
will provide an overview of the criteria that EPA has
developed for solid waste landfills, and will
introduce some Agency initiatives designed to
promote proper and efficient solid waste
management.
Nonhazardous industrial wastes (e.g.,
manufacturing process wastewaters and
nonwastewater sludges and solids)
Other discarded materials, including solid,
semisolid, liquid, or contained gaseous materials
resulting from industrial, commercial, mining,
agricultural, and community activities (e.g.,
boiler slags).
The term solid waste is very broad, including not
only the traditional nonhazardous solid wastes, such
as municipal garbage, but also some hazardous
wastes. Hazardous waste, a subset of solid waste, is
regulated under RCRA Subtitle C. (Hazardous
waste is fully discussed in Section III.) RCRA
Subtitle D addresses solid wastes, including those
hazardous wastes that are excluded from the Subtitle
C regulations (e.g., household hazardous waste), and
hazardous waste generated by conditionally exempt
small quantity generators (CESQGs).
The definition of solid waste is not limited to
wastes that are physically solid. As noted above,
many solid wastes are liquid, while others are
semisolid or gaseous.
MUNICIPAL SOLID WASTE
Municipal solid waste is a subset of solid waste
and is defined as durable goods (e.g., appliances,
tires, batteries), nondurable goods (e.g., newspapers,
books, magazines), containers and packaging, food
wastes, yard trimmings, and miscellaneous organic
wastes from residential, commercial, and industrial
nonprocess sources (see Figure II-1).
DEFINITION OF SOLID WASTE
RCRA defines the term solid waste as:
Garbage (e.g., milk cartons and coffee grounds)
Refuse (e.g., metal scrap, wall board, and empty
containers)
Sludges from waste treatment plants, water
supply treatment plants, or pollution control
facilities (e.g., scrubber slags)
Figure //-/: Products Generated in MSWby
Weight, 2000 (total weight - 232 million tons)
Durable goods 15.7%
36.3 million tons
Other 1.5% Food waste 11.2%
3.5 million tons 26 million tons
Nondurable goods 27.5%
Yard Trimmings 12%
28 million tons
Containers and
packaging 32.2%
II-2
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Section II: Managing Solid Waste - RCRA Subtitle D
Municipal solid waste generation has grown
steadily over the past 35 years from 88 million tons
per year (2.7 pounds per person per day) in 1960, to
232 million tons per year (4.5 pounds per person per
day) in 2000. While generation of waste has grown
steadily, recycling has also greatly increased. In
1960, only about 7 percent of municipal solid waste
was recycled. By 2000, this figure had increased to
30 percent.
To address the increasing volumes of municipal
solid waste that are generated on a daily basis, EPA
recommends using an integrated, hierarchical
approach to waste management with four
components: source reduction, recycling,
combustion, and landfilling. The hierarchy favors
source reduction to reduce both the volume and
toxicity of waste and to increase the useful life of
manufactured products. Next preferred is recycling,
including composting of yard and food wastes,
because it diverts waste from combustion facilities
and landfills and has positive impacts on both the
environment and the economy. The goal of EPA's
approach is to use a combination of all these
methods to safely and effectively manage municipal
solid waste. EPA recommends that communities
tailor systems from the four components to meet
their individual needs, looking first to source
reduction, and second to recycling as preferences to
combustion and landfilling (see Figure II-2).
Source
Reduction
produced when the products reach the end of their
useful lives. The ultimate goal of source reduction is
to decrease the amount and the toxicity of waste
generated. Businesses, households, and state and
local governments can all play an active role in
source reduction. Businesses can manufacture
products with packaging that is reduced in both
volume and toxicity. They can also reduce waste by
altering their business practices (e.g., reusing
packaging for shipping, making double-sided copies,
maintaining equipment to extend its useful life,
using reusable envelopes). Community residents
can help reduce waste by leaving grass clippings on
the lawn or composting them with other yard waste
in their backyards, instead of bagging such materials
for eventual disposal. Consumers play a crucial role
in an effective source reduction program by
purchasing products having reduced packaging or
that contain reduced amounts of toxic constituents.
This purchasing subsequently increases the demand
for products with these attributes. State and local
governments include source reduction in their long-
term planning for solid waste management in order
to ensure its effectiveness.
Recycling
Municipal solid waste recycling refers to the
separation and collection of wastes, their subsequent
transformation or remanufacture into usable or
marketable products or materials, and the purchase
Rather than managing
waste after it is generated,
source reduction is
designed to change the
way products are made
and used in order to
minimize waste
generation. Source
reduction, also called
waste prevention, is
defined as the design,
manufacture, and use of
products in a way that
reduces the quantity and
toxicity of waste
Figure 11-2: The Solid Waste Management Hierarchy
;>
i Landfilling
INTEGRATED
SOLID WASTE
MANAGEMENT
SYSTEM
Source reduction, landfilling,
waste management puzzle.
the system.
recycling, and combustion are all pieces of the solid
Source reduction and recycling are preferred elements of
11-3
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Section II: Managing Solid Waste - RCRA Subtitle D
of products made from recyclable materials. In
2000, 30 percent (70 million tons), of the municipal
solid waste generated in the United States was
recycled (see Figure II-3). Solid waste recycling:
Preserves raw materials and natural resources
Reduces the amount of waste that requires
disposal
Reduces energy use and associated pollution
Figure 11-3: Management ofMSWin the U.S., 2000
(total weight = 232 million tons)
Combustion 15% Recycling (including composting) 30%
34 million tons 70 million tons
Land disposal 55%
128 million tons
Provides business and job opportunities
Reduces greenhouse gas emissions
Reduces pollution associated with use of virgin
materials.
Communities can offer a wide range of recycling
programs to their residents, such as drop-off centers,
curbside collection, and centralized composting of
yard and food wastes.
Composting processes are designed to optimize
the natural decomposition or decay of organic
matter, such as leaves and food. Compost, the end
product of composting, is a humus-like material that
can be added to soils to increase soil fertility,
aeration, and nutrient retention. Composting can
serve as a key component of municipal solid waste
recycling activities, considering that food and yard
wastes accounted for 23 percent of the total amount
of municipal solid waste generated in 2000. Some
communities are implementing large-scale
composting programs in an effort to conserve
landfill capacity.
The key to a successful recycling program is to
ensure that the recovered material is actually
reprocessed or remanufactured, and that the products
are bought and used by consumers. Recycling
programs will become more effective as markets
increase for products made from recycled material.
The federal government has developed several
initiatives in order to bolster the use of recycled
products. The federal procurement guidelines,
authorized by RCRA Subtitle F, are designed to
bolster the market for products manufactured from
recycled materials. The procurement program uses
government purchasing to spur recycling and
markets for recovered materials. (This program is
fully discussed in Section V.)
Combustion
For centuries, burning has been a popular
method of reducing the volume of solid waste.
Before the Clean Air Act (CAA) of 1970 essentially
banned it, the burning of waste was rampant and
uncontrolled. While uncontrolled burning of solid
waste can be detrimental to health and the
environment, confined and controlled burning,
known as combustion, can not only decrease the
volume of solid waste destined for landfills, but can
also recover energy from the waste-burning process.
Modern waste-to-energy facilities use energy
recovered from the burning of solid waste to produce
steam and electricity. In 2000, combustion facilities
handled 15 percent (34 million tons) of the
municipal solid waste generated (see Figure II-3).
Used in conjunction with source reduction and
recycling, combustion can recover resources and
materials and greatly reduce the volume of wastes
entering landfills.
Landfilling
Despite the effectiveness of source reduction,
recycling, and combustion, there will always be
waste that cannot be diverted from landfills. In fact,
landfilling of solid waste still remains the most
widely used waste management method as
11-4
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Section II: Managing Solid Waste - RCRA Subtitle D
Americans landfilled approximately 55 percent (128
million tons) of municipal solid waste in 2000 (see
Figure II-3). Many communities are having
difficulties siting new landfills largely as a result of
increased citizen and local government concerns
about the potential risks and aesthetics associated
with having a landfill in their neighborhoods. To
reduce risks to health and the environment, EPA
developed minimum criteria that solid waste
landfills must meet in order to alleviate some of the
concern raised over landfill siting and health
concerns.
CRITERIA FOR SOLID WASTE
DISPOSAL FACILITIES
One of the initial focuses of the Solid Waste
Disposal Act (as amended by RCRA) was to require
EPA to study the risks associated with solid waste
disposal and to develop management standards and
criteria for solid waste disposal units (including
landfills) in order to protect human health and the
environment. This study resulted in the
development of criteria for classifying solid waste
disposal facilities and practices.
Criteria for Classification of Solid
Waste Disposal Facilities and
Practices
On September 13, 1979, EPA promulgated
criteria to designate conditions under which solid
waste disposal facilities and practices would not
pose adverse effects to human health and the
environment (Part 257 Subpart A). Facilities failing
to satisfy the criteria were considered open dumps
requiring attention by state solid waste programs.
As a result, open dumps had to either be closed or
upgraded to meet the criteria for sanitary landfills.
States were also required to incorporate provisions
into their solid waste programs to prohibit the
establishment of new open dumps.
WHAT IS AN OPEN DUMP?
An open dump is defined as a disposal facility that
does not comply with one or more of the Part 257 or
Part 258 Subtitle D criteria. Using the Part 257,
Subpart A criteria as a benchmark, each state
evaluated the solid waste disposal facilities within its
borders to determine which facilities were open dumps
that needed to be closed or upgraded. For each open
dump, the state completed an Open Dump Inventory
Report form that was sent to the Bureau of the
Census. At the end of fiscal years 1981 through 1985,
the Bureau compiled all of the report forms and sent
them to EPA, where they were summarized and
published annually.
Technical Criteria for Solid Waste
Disposal Facilities
The Part 257, Subpart A regulatory criteria used
to classify solid waste disposal facilities and
practices consist of general environmental
performance standards. The criteria contain
provisions designed to ensure that wastes disposed
of in solid waste disposal units will not threaten
endangered species, surface water, ground water, or
flood plains. Further, owners and operators of
disposal units are required to implement public
health and safety precautions such as disease vector
(e.g., rodents, flies, mosquitoes) controls to prevent
the spread of disease and restrictions on the open
burning of solid waste. In addition, facilities are
required to install safety measures to control
explosive gases generated by the decomposition of
waste, minimize the number of birds attracted to the
waste disposed of in the unit, and restrict public
access to the facility. The criteria also restrict the
land spreading of wastes with high levels of
cadmium and polychlorinated biphenyls (PCBs) in
order to adequately protect ground water from these
dangerous contaminants.
II-5
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Section II: Managing Solid Waste - RCRA Subtitle D
These criteria serve as minimum technical
standards for solid waste disposal facilities. As a
result, facilities must meet the Part 257 standards to
ensure that ongoing waste management operations
adequately protect human health and the
environment. If they fail to do so, the facility is
classified as an open dump and must upgrade its
operations or close. States have the option of
developing standards more stringent than the Part
257, Subpart A criteria.
Technical Criteria for Municipal Solid
Waste Landfills
Protection of human health and the environment
from the risks posed by solid waste disposal
facilities was an ongoing concern of Congress after
RCRA was passed in 1976. As a result, HSWA
required EPA to report on the adequacy of existing
solid waste disposal facility criteria and gather
detailed data on the characteristics and quantities of
nonhazardous solid wastes.
Report to Congress on Solid Waste Disposal
In October 1988, EPA submitted a Report to
Congress indicating that the United States was
generating an increasing amount of municipal solid
waste. The Report revealed that approximately 160
million tons of municipal solid waste were generated
each year, 131 million tons of which were landfilled
in just over 6,500 MSWLFs. EPA also reported that
although these landfills used a wide variety of
environmental controls, they may pose significant
threats to ground water and surface water resources.
For instance, rain water percolating through the
landfills can dissolve harmful constituents in the
waste and can eventually seep into the ground,
potentially contaminating ground water. In addition,
improperly maintained landfills can pose other
health risks due to airborne contaminants, or the
threat of fire or explosion.
To address these environmental and health
concerns, and to standardize the technical
requirements for these landfills, EPA promulgated
revised minimum federal criteria in Part 258 for
MSWLFs on October 9, 1991. The criteria were
designed to ensure that MSWLFs receiving solid
waste would be protective of human health and the
environment. All landfills that were not MSWLFs
remained subject to the Part 257, Subpart A criteria.
Criteria for Municipal Solid Waste Landfills
A municipal solid waste landfill is defined as a
discrete area of land or excavation that receives
household waste. A MSWLF may also receive other
types of RCRA Subtitle D wastes, such as
commercial solid waste, nonhazardous sludge,
CESQG waste, and industrial nonhazardous solid
waste. In 2000, there were approximately 2,000
MSWLFs in the United States.
The revised criteria address seven major aspects
of MSWLFs (see Figure II-4):
Location
Operation
Design
Ground water monitoring
Corrective action
Closure and post-closure
Financial assurance (i.e., responsibility).
Figure 11-4: Cross-Section of a Municipal Solid Waste Landfill
Ground Water
Monitoring Well
Liner
Leachate Collection
System
Explosive Gas
Monitoring Well
11-6
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Section II: Managing Solid Waste - RCRA Subtitle D
The first set of criteria restrict where a MSWLF
may be located. New landfills must meet minimum
standards for placement in or near flood plains,
wetlands, fault areas, seismic impact zones, and
other unstable areas. Because some bird species are
attracted to landfills, the criteria also restrict the
placement of landfills near airports to reduce the bird
hazards (i.e., collisions between birds and aircraft
that may cause damage to the aircraft or injury to the
passengers).
The operating criteria establish daily operating
standards for running and maintaining a landfill.
The standards dictate sound management practices
that ensure protection of human health and the
environment. The provisions require covering the
landfill daily, controlling disease vectors, and
controlling explosive gases. They also prohibit the
open burning of solid waste and require the owner
and operator of the landfill to control unauthorized
access to the unit.
The design criteria require each new landfill to
have a liner consisting of a flexible membrane and a
minimum of two feet of compacted soil, as well as a
leachate collection system. Leachate is formed
when rain water filters through wastes placed in a
landfill. When this liquid comes in contact with
buried wastes, it leaches, or draws out, chemicals or
constituents from those wastes. States with
approved MSWLF permit programs can allow the
use of an alternative liner design that controls
ground water contamination. The liner and
collection system prevent the potentially harmful
leachate from contaminating the soil and ground
water below the landfill.
In order to ensure that the liner and leachate
collection system are working properly and that the
landfill is not contaminating surrounding ground
water resources, MSWLF owners and operators
must also establish a ground water monitoring
program. Through a series of monitoring wells, the
facility owner and operator is alerted if the landfill is
leaking and causing contamination. If contamination
is detected, the owner and operator of the landfill
must perform corrective action (i.e., clean up the
contamination caused by the landfill).
When landfills reach their capacity and can no
longer accept additional waste, the criteria stipulate
procedures for properly closing the facility to ensure
that the landfill does not present any danger to
human health and the environment in the future.
The closure activities at the end of a facility's use
are often expensive and the owner and operator must
have the ability to pay for them. As a result, the
criteria require each owner and operator to prove
that they have the financial resources to perform
these closure and post-closure activities, as well as
any necessary corrective action.
Most of the solid waste program is overseen by
the states, and compliance is assured through state-
issued permits. Each state is to obtain EPA approval
for their MSWLF permitting program. This
approval process assesses whether a state's program
is sufficient to ensure each landfill's compliance
with the criteria. In addition to the minimum federal
criteria, states may impose requirements that are
more stringent than the federal requirements.
Conditionally Exempt Small Quantity
Generator Waste Disposal Facilities
Businesses that produce small amounts of
hazardous waste, known as conditionally exempt
small quantity generators, need not manage their
hazardous waste under the Subtitle C program. This
means that CESQG waste can be disposed of in solid
waste landfills. However, HSWA required EPA to
establish standards to ensure that CESQG waste
disposal in solid waste disposal units did not pose
threats to human health and the environment. As a
result, on July 1, 1996, EPA revised the Part 257,
Subpart B criteria to contain standards for
nonmunicipal, nonhazardous waste disposal units
that receive CESQG hazardous waste. These
revisions addressed location restrictions,
requirements for monitoring for ground water
contamination, and corrective action provisions to
clean up any contamination. (CESQGs are fully
discussed in Section III, Chapter 3.)
1-7
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Section II: Managing Solid Waste - RCRA Subtitle D
Bioreactor Landfills
A bioreactor landfill operates to rapidly
transform and degrade organic waste. The increase
in waste degradation and stabilization is
accomplished through the addition of liquid and air
to enhance microbial processes. This bioreactor
concept differs from the traditional "dry tomb"
municipal landfill approach, thus, decomposition
and biological stabilization of the waste in a
bioreactor landfill can occur in a much shorter time
frame than occurs in a traditional landfill providing a
potential decrease in long-term environmental risks
and landfill operating and post-closure costs. EPA is
currently collection information on the advantages
and disadvantages of bioreactor landfills through
case studies of existing landfills and additional data
so that EPA can identify specific bioreactor
standards or recommend operating parameters.
Additional information about bioreactor landfills
can be found at www.epa.gov/epaoswer/non-hw/
muncpl/landfill/bioreactors.htm.
ASSISTANCE TO NATIVE
AMERICAN TRIBES
EPA developed a municipal solid waste strategy
to assist Native American tribes in the establishment
of healthy, environmentally protective, integrated
solid waste management practices on tribal lands.
The strategy is based on input from tribal focus
groups convened by the National Tribal
Environmental Council and discussions with tribal
organizations, EPA Regional Indian Program
coordinators, other EPA offices, and other federal
agencies with trust responsibilities on Native
American lands. The strategy emphasizes building
tribal municipal solid waste management capacity,
developing tribal organizational infrastructure, and
building partnerships among tribes, states, and local
governments. Direct EPA support of these goals
includes technical assistance, grant funding,
education, and outreach.
Solid waste managers on Native American lands
face unique challenges. To address issues such as
jurisdiction, funding, and staffing, EPA offers
several resource guides featuring in-depth
information specific to Native American lands. The
Agency recognizes that every solid waste
management program needs funding to survive and
that, in an era of tightening budgets, it may be
difficult to find necessary resources. One of EPA's
ongoing priorities is to make current information
available to help tribes locate the funding they need
to develop and implement safe and effective solid
waste programs.
One such initiative is the Tribal Waste Journal.
The journal contains in-depth information on a
variety of solid and hazardous waste topics including
interviews with representatives from Native
American Tribes and Alaskan Native Villages. Each
issue focuses on a single topic and presents ideas,
approaches, and activities that other Native
American Tribes and Alaskan Native Villages have
successfully employed.
Additionally, EPA has initiated the Tribal Open
Dump Cleanup Project to assist tribes with closure
or upgrade of open dump sites. The project is part of
a Tribal Solid Waste Interagency Workgroup, which
is working to coordinate federal assistance for tribal
solid waste management programs. The cleanup
project's specific goals include assisting tribes with
1) completing and implementing comprehensive,
integrated waste management plans; 2) developing
realistic solid waste management alternatives; 3)
closing or upgrading existing open dumps; and 4)
developing post-closure programs.
Outreach and education materials are two other
tools EPA provides to tribes to support
environmentally sound integrated solid waste
management practices. The Agency's outreach
support helps tribes connect and learn from each
other's experiences. Educational resources help
tribal leadership as well as the general tribal
community understand the importance of good
municipal solid waste management. Better
understanding ensures that tribal municipal solid
waste programs are assigned a high priority and
facilitates the communities' adoption of new and
improved waste disposal practices.
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Section II: Managing Solid Waste - RCRA Subtitle D
"WASTE
WISE
SOLID WASTE MANAGEMENT
INITIATIVES
With the bulk of the RCRA Subtitle D program
already in place, EPA launched several new
initiatives to further the development of the solid
waste management program. These initiatives
promote proper waste management, and encourage
source reduction by both industry and the public.
WasteWise
*
Many companies,
institutions, and governments
have demonstrated that they
can save money by reducing
waste and recycling material
that would otherwise be disposeu.
The WasteWise program is designed to assist
companies, states, local governments, Native
American tribes, and other institutions in developing
cost-effective practices to reduce municipal solid
waste. These partners set and acheive certain goals
within three areas: waste prevention, recycling
collection, and buying or manufacturing recycled
products. Participation offers the partners several
advantages. EPA provides technical assistance,
publications, and program updates. Successful
waste reduction efforts are highlighted in EPA
documents, magazines, and trade publications.
Participating organizations can also use the
WasteWise logo to promote their participation.
These benefits along with the direct financial
savings that result from waste prevention and
recycling activities are helping to improve waste
management and resource efficiency. In 1999,
partners eliminated over 9 million tons of materials
through waste prevention, continuing the upward
trend in waste reduction. Partners also recycled over
8.4 million tons in 1999, avoiding approximately
$300 million in disposal costs. Since the program's
inception in 1994, partners have reduced nearly 32
million tons of waste.
Additional information on the WasteWise
program is found at www.epa.gov/wastewise.
Jobs Through Recycling Program
To support recycling markets, EPA launched the
Jobs Through Recycling program in 1994. The
goal of the program is to foster markets for recycled
goods by promoting and assisting the development
of businesses using recovered materials, creating
new recycling jobs, and spurring innovative
technologies. Under the program, EPA awards over
$1 million each year in grants to states and tribes.
Jobs Through Recycling funds programs that help
develop or retain intermediate processing and end-
use manufacturing capacity for recyclables and
reusable materials. Jobs Through Recycling
supports the development and strengthening of state,
multi-state, and tribal market development and
economic development programs. The activities
funded thus far include the creation of Recycling
Economic Development Advocates (REDAs),
Recycling and Reuse Business Assistance Centers
(RBACs), and commodity-specific demonstration
projects. RED As are staff in state or tribal economic
development agencies who pursue recycling
business growth, whereas RBACs are state full-
service centers providing business, technical, and
financing assistance to businesses using recovered
materials.
Jobs Through Recycling bolsters the job market
by actively promoting the recycling industry.
Recycling is estimated to create nearly five times as
many jobs as landfilling. One 1994 study reported
that 103,000 jobs, or 2.7 percent of all
manufacturing jobs in the Northeast region of the
United States, are attributed to recycling. In
addition, the jobs created by recycling businesses
draw from the full spectrum of the labor market
(ranging from low- and semi-skilled jobs to highly
skilled jobs). Materials sorters, dispatchers, truck
drivers, brokers, sales representatives, process
engineers, and chemists are just some of the jobs
needed in the recycling industry.
Since Jobs Through Recycling's inception in
1994, $8 million in funding has been awarded to
numerous states, tribes, and multistate organizations.
This funding has helped create more than 8,500 jobs,
generate $640.5 million in capital investment, create
15.3 million tons of landfill capacity, and utilize 13.9
million tons of recovered materials. One job has
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Section II: Managing Solid Waste - RCRA Subtitle D
been created for every $1,040 of Jobs Through
Recycling grant money invested.
Additional information about Jobs through
Recycling is available at www.epa.gov/jtr.
Unit Pricing
Some communities are using economic
incentives to encourage the public to reduce solid
waste sent to landfills. One of the most successful
economic incentive programs used to achieve source
reduction and recycling is variable rate refuse
collection, or unit pricing. Unit pricing programs,
sometimes referred to as pay-as-you-throw systems,
have one primary goal: customers who dispose of
more waste pay more for the collection and disposal
service. There are a few different types of unit
pricing systems. Most require residents to pay a per-
bag fee for refuse collection, and require the
purchase of a special bag or tag to place on bags or
cans. Other systems allow customers to choose
between different size containers, and charge more
for collection of larger containers. EPA's role in the
further development of unit pricing systems has been
to study effective systems in use and to disseminate
documentation to inform other communities about
the environmental and economic benefits that unit
pricing may have for their community. The number
of communities using unit pricing grew to more than
4,033 in 1999 and the population served has more
than tripled since 1990 to over 35 million today.
Additional information about unit pricing or
pay-as-you-throw programs is available at
www.epa.gov/payt.
Full Cost Accounting for Municipal
Solid Waste
Full cost accounting is an additional financial
management tool that communities can use to
improve solid waste management. Full cost
accounting is an accounting approach that helps
local governments identify all direct and indirect
costs, as well as the past and future costs, of a MS W
management program. Full cost accounting helps
solid waste managers account for all monetary costs
of resources used or committed, thereby providing
the complete picture of solid waste management
costs on an ongoing basis. Full cost accounting can
help managers identify high-cost activities and
operations and seek ways to make them more cost-
effective.
EPA is continually studying these and other
programs in order to assist communities in deciding
whether one of these programs is right for them. In
addition to these initiatives, EPA has published
numerous guidance documents designed to educate
both industry and the public on the benefits of
source reduction, to guide communities in
developing recycling programs, and to educate
students on the benefits and elements of source
reduction and recycling.
Additional information about full cost
accounting can be found at www.epa.gov/fullcost.
Extended Product Responsibility
Extended product responsibility, also known
as product stewardship, is a product-centered
approach to environmental protection. This
approach recognizes that lasting and substantial
environmental improvements in product systems can
only occur with the combined expertise, ingenuity,
cooperation, and commitment of each individual
involved in the product chain, from suppliers,
designers, manufacturers, and distributors, to
retailers, customers, recyclers, remanufacturers, and
disposers. Product manufacturers have the greatest
ability, and therefore must take on new
responsibilities to reduce the environmental impacts
of their products. Reducing use of toxic substances
and designing for reuse and recyclability are just a
few ways for companies to rethink their products in
order to provide more value at less environmental
impact.
Additional information about extended product
responsibility is available at www.epa.gov/epaoswer/
non-hw/reduce/epr/index.htm.
Green Building
Buildings that are designed, constructed,
operated, and ultimately removed in such a way as to
11-10
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Section II: Managing Solid Waste - RCRA Subtitle D
minimize their environmental impacts are referred to
as "green" buildings. Green buildings are
characterized by improved energy and water
efficiency, use of renewable sources of energy,
improved indoor air quality, and efficient use of
building materials. EPA supports projects to reduce,
reuse, and recycle waste generated from building
construction, renovation, deconstruction, and
demolition. Construction and demolition wastes
commonly include building materials, and products
such as concrete, asphalt, wood, glass, brick, metal,
insulation, and furniture. From incorporating used
or environmentally friendly materials into a
building's construction or renovation to
disassembling structures for the reuse and recycling
of their components, each phase of a building's life
cycle offers opportunities to reduce waste.
Additional information about green buildings is
available at www.epa.gov/greenbuilding.
Industrial Ecology
The study of material and energy flows and their
transformations into products, byproducts, and waste
throughout industrial and ecological systems is the
primary concept of industrial ecology. This
initiative urges industry to seek opportunities for the
continual reuse and recycling of materials through a
system in which processes are designed to consume
only available waste streams and to produce only
usable waste. Wastes from producers and consumers
become input for other producers and consumers,
and resources are cycled through the system to
sustain future generations. Individual processes and
products become part of a n interconnected
industrial system in which new products or
processes evolve out of or consume available waste
streams, water, and energy; in turn, processes are
developed to produce usable resources.
SUMMARY
Subtitle D addresses primarily nonhazardous
solid waste. The term solid waste includes garbage,
refuse, sludges, nonhazardous industrial wastes, and
other discarded materials. Solid waste also includes
hazardous wastes that are excluded from Subtitle C
regulation (e.g., household hazardous waste).
Municipal solid waste, a subset of solid waste, is
waste generated by businesses and households. EPA
recommends an integrated, hierarchical approach to
managing municipal solid waste that includes, in
descending order of preference:
Source reduction
Recycling
Combustion
Landfilling.
As part of Subtitle D, EPA has developed
detailed technical criteria for solid waste disposal
facilities, including specific criteria for MSWLFs.
These criteria include specific provisions for
MSWLF:
Location
Operation
Design
Ground water monitoring
Corrective action
Closure and post-closure
Financial assurance (i.e., responsibility).
EPA has helped develop and implement new
initiatives and programs that aid businesses, states,
local governments, and Native American tribes in
implementing effective solid waste management
programs. Focusing particularly on the
environmental and economic benefits of source
reduction and recycling, EPA fosters integrated solid
waste management in communities and businesses.
These initiatives include:
WasteWi$e
Jobs Through Recycling program
Unit pricing
Full cost accounting
Extended product responsibility
Green buildings
Industrial ecology.
ADDITIONAL RESOURCES
Additional information about municipal
solid waste management can be found at
www.epa.gov/msw.
11-11
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SECTION III
RCRA SUBTITLE C -
MANAGING HAZARDOUS WASTE
In this section...
Some threats posed by the mismanagement of
hazardous waste are obvious. Reports of chemical
accidents or spills of hazardous waste that close
Overview 111-1 highways, or illegal midnight dumping that
Chapter 1: Hazardous Waste Identification.. III-3 contaminates property, are familiar. Yet, even when
Chapter 2: Hazardous Waste Recycling and hazardous waste is managed or disposed of in a
Universal Wastes III-29 careful manner, it may still pose a serious threat to
Chapter 3: Regulations Governing human health and the environment. For example,
Hazardous Waste Generators .... III-39 toxic hazardous wastes can leak from a poorly
Chapter 4: Regulations Governing constructed or improperly maintained hazardous
Hazardous Waste Transporters .. III-49 waste landfill. Such waste contamination can
Chapter 5: Regulations Governing Treatment, severely, and sometimes irreversibly, pollute ground
Storage, and Disposal water, the primary source of drinking water for half
Facilities III-53 the nation.
Chapter 6: Land Disposal Restrictions III-89
Chapter/: Hazardous Waste Combustion ... III-99 Ground water pollution is not the only problem
Chapter 8: Permitting of Treatment, Storage posed by hazardous waste mismanagement. The
and Disposal Facilities 111-109 improper disposal of hazardous waste has polluted
Chapter 9: Corrective Action to Clean Up streams, rivers, lakes, and other surface waters,
Hazardous Waste killing aquatic life, destroying wildlife, and stripping
Contamination 111-121 areas of vegetation. In other cases, careless waste
Chapter 10: Enforcement of Hazardous Waste disposal has been linked to respiratory illnesses, skin
Regulations 111-127 diseases (including skin cancer), and elevated levels
Chapter 11: Authorizing States to Implement of toxic materials in the blood and tissue of humans
RCRA 111-137 and domestic livestock. In still other cases, the
mismanagement of hazardous waste has resulted in
fires, explosions, or the generation of toxic gases
that have killed or seriously injured workers and
OVERVIEW firefighters
The improper management of hazardous waste
poses a serious threat to the health of American
citizens and their environment. When EPA began
developing the hazardous waste management
regulations in the late 1970s, the Agency estimated
that only 10 percent of all hazardous waste was
managed in an environmentally sound manner.
Since 1980, under RCRA Subtitle C, EPA has
developed a comprehensive program to ensure that
hazardous waste is managed safely: from the
moment it is generated; while it is transported,
treated, or stored; until the moment it is finally
disposed (see Figure III-l). This cradle-to-grave
management system establishes requirements for
each of the following:
11-1
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Hazardous Waste Identification To facilitate
the proper identification and classification of
hazardous waste, RCRA begins with hazardous
waste identification procedures.
Hazardous Waste Recycling and Universal
Wastes To provide for the safe recycling of
hazardous wastes, and facilitate the management
of commonly recycled materials, RCRA
includes provisions for hazardous waste
recycling and universal wastes.
Hazardous Waste Generators To ensure
proper and safe waste management, the RCRA
regulations provide management standards for
those facilities that produce hazardous waste,
and provide reduced regulations for facilities
that produce less waste.
Hazardous Waste Transporters To govern the
transport of hazardous waste between
management facilities, RCRA regulates
hazardous waste transporters.
Treatment, Storage, and Disposal Facilities
To fully protect human health and the
environment from hazardous waste treatment,
storage, and disposal, the TSDF requirements
establish generic facility management standards,
specific provisions governing hazardous waste
management units, and additional precautions
designed to protect soil, ground water, and air
resources.
Land Disposal Restrictions (LDR) To reduce
the hazards posed by permanently land disposed
waste, this program requires effective and
expeditious hazardous waste treatment.
Combustion To minimize the hazards posed
by the burning of hazardous waste, RCRA
imposes strict standards on units conducting
such combustion.
Permitting To ensure that only facilities
meeting the TSDF standards are treating,
storing, and disposing of hazardous waste, and
to provide each TSDF facility with a record of
the specific requirements applicable to each part
of its operation, RCRA requires owners and
operators of these facilities to obtain a permit.
Corrective Action Since hazardous waste
management may result in spills or releases into
the environment, the corrective action program
is designed to guide the cleanup of any
contaminated air, ground water, or soil resulting
from such management.
Enforcement To ensure that RCRA-regulated
facilities, from generators to TSDFs, comply
with these regulations, RCRA provides EPA
with the authority to enforce provisions of the
Act.
State Authorization To empower states and
make enforcement more efficient, RCRA also
allows EPA to authorize state governments to
administer various parts of the RCRA program.
Each of these aspects of the RCRA Subtitle C
program is carefully detailed in separate chapters in
this section.
Figure 111-1: RCRA's Cradle-to-Grave Hazardous Waste Management System
Hazardous Waste
Transportation
I-2
-------
CHAPTER 1
HAZARDOUS WASTE IDENTIFICATION
OVERVIEW
In this chapter...
What is a hazardous waste? Simply defined, a
Overview 111-3 hazardous waste is a waste with properties that
Hazardous Waste Identification Process 111-4 make it dangerous or capable of having a harmful
Is the Material a Solid Waste? 111-4 effect on human health or the environment.
- Recycled Materials 111-5 Unfortunately, in order to develop a regulatory
- Secondary Materials 111-7 framework capable of ensuring adequate protection,
- Sham Recycling 111-9 this simple narrative definition is not enough.
Is the Waste Excluded? 111-9 Determining what is a hazardous waste is
- Solid Waste Exclusions 111-10 paramount, because only those wastes that have
- Hazardous Waste Exemptions 111-13 specific attributes are subject to Subtitle C
- Raw Material, Product Storage, and Process regulation
Unit Waste Exclusions 111-16
- Sample and Treatability Study Exemptions... 111-16 Making this determination is a complex task
- Dredge Materials Exclusion 111-16 which is a central component of the hazardous
Is the Waste a Listed Hazardous Waste? 111-17 waste management regulations. Hazardous waste is
- Listing Criteria 111-17 generated from many sources, ranging from
- Hazardous Waste Listings 111-17 industrial manufacturing process wastes, to
- Waste Listed Solely for Exhibiting the batteries, to fluorescent light bulbs. Hazardous
Characteristic of Ignitability, Corrosivity, waste may come in many forms, including liquids,
and/or Radioactivity 111-21 solids, gases, and sludges. To cover this wide range,
- Delistings 111-21 EPAhas developed a system to identify specific
Is the Waste a Characteristic Hazardous substances known to be hazardous and provide
Waste? 111-21 objective criteria for including other materials in
- Ignitability III-22 this universe. The regulations contain guidelines for
- Corrosivity III-22 determining what exactly is a waste (called a solid
- Reactivity III-23 waste) and what is excluded from the hazardous
- Toxicity III-23 waste regulations, even though it otherwise is a
Special Regulatory Conventions III-24 so\{^ an(j hazardous waste. Finally, to promote
- Mixture Rule III-24 recycling and the reduction of the amount of waste
- Derived-From Rule III-25 entering the RCRA system, EPA provides
- Contained-ln Policy III-26 exemptions for certain wastes when they are
Mixed Waste III-27 recycled in certain ways.
Summary III-27
I-3
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Section III: Managing Hazardous Waste - RCRA Subtitle C
This chapter introduces the hazardous waste
identification process, describes how to determine if
a waste is a solid waste, and provides the regulatory
definition for hazardous waste. It also discusses
those wastes specifically excluded from Subtitle C
regulation, and those wastes exempted when
recycled.
HAZARDOUS WASTE
IDENTIFICATION PROCESS
Proper hazardous waste identification is
essential to the success of the RCRA program. This
identification process can be a very complex task.
Therefore, it is best to approach the issue by asking a
series of questions in a step-wise manner (see Figure
III-2). If facility owners and operators answer the
following questions, they can determine if they are
producing a hazardous waste:
1. Is the material in question a solid waste?
2. Is the material excluded from the definition of
solid waste or hazardous waste?
3. Is the waste a listed or characteristic hazardous
waste?
4. Is the waste delisted?
This chapter will examine these key questions.
IS THE MATERIAL A SOLID
WASTE?
The Subtitle C program uses the term solid
waste to denote something that is a waste. In order
for a material to be classified as a hazardous waste,
it must first be a solid waste. Therefore, the first
step in the hazardous waste identification process is
determining if a material is a solid waste.
The statutory definition points out that whether a
material is a solid waste is not based on the physical
form of the material (i.e., whether or not it is a solid
as opposed to a liquid or gas), but rather that the
material is a waste. The regulations further define
solid waste as any material that is discarded by
being either abandoned, inherently waste-like, a
certain military munition, or recycled (see Figure III-
3).
Figure 111-2: Hazardous Waste Identification Process
1. Is material a
solid waste?
No
2. Is waste excluded from
the definition of solid or
| hazardous waste?
I No
3. Is waste a listed or characteristic
hazardous waste?
I Yes
4. Is waste delisted?
MATERIAL IS NOT
SUBJECT TO
RCRA SUBTITLE C
REGULATION
WASTE IS SUBJECT TO RCRA
SUBTITLE C REGULATION
I
III-4
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Chapter 1: Hazardous Waste Identification
Abandoned The term abandoned simply
means thrown away. A material is abandoned if
it is disposed of, burned, or incinerated.
Inherently Waste-Like Some materials pose
such a threat to human health and the
environment that they are always considered
solid wastes; these materials are considered to be
inherently waste-like. Examples of inherently
waste-like materials include certain dioxin-
containing wastes.
Military Munition Military munitions are all
ammunition products and components produced
for or used by the U.S. Department of Defense
(DOD) or U.S. Armed Services for national
defense and security. Unused or defective
munitions are solid wastes when abandoned (i.e.,
disposed of, burned, incinerated) or treated prior
to disposal; rendered nonrecyclable or
nonuseable through deterioration; or declared a
waste by an authorized military official. Used
(i.e., fired or detonated) munitions may also be
solid wastes if collected for storage, recycling,
treatment, or disposal.
Recycled A material is recycled if it is used
or reused (e.g., as an ingredient in a process),
reclaimed, or used in certain ways (used in a
manner constituting disposal, burned for energy
recovery, or accumulated speculatively).
(Recycled materials are fully discussed in
Section III, Chapter 2.)
Recycled Materials
Materials that are recycled are a special subset
of the solid waste universe. When recycled, some
materials are not solid wastes, and therefore, not
hazardous wastes, while others are solid and
hazardous waste, but are subject to less-stringent
regulatory controls. The level of regulation that
applies to recycled materials depends on the material
and the type of recycling (see Figure
III-4). Because some types of recycling pose threats
to human health and the environment, RCRA does
not exempt all recycled materials from the definition
of solid waste. As a result, the manner in which a
material is recycled will determine whether or not
the material is a solid waste, and therefore
potentially regulated as a hazardous waste. In order
to encourage waste recycling, RCRA exempts three
types of wastes from the definition of solid waste:
Wastes Used as an Ingredient If a material is
directly used as an ingredient in a production
process without first being reclaimed, then that
material is not a solid waste.
Wastes Used as a Product Substitute If a
material is directly used as an effective
substitute for a commercial product (without
Figure 111-3: Is It a Solid Waste?
Is material discarded by being either:
1) Abandoned;
2) Inherently waste-like;
3) A discarded military munition; or
4) Recycled?
MATERIAL IS NOT A
SOLID WASTE AND IS
NOT SUBJECT TO
RCRA SUBTITLE C
REGULATION
I Yes
MATERIAL IS A SOLID WASTE|
AND MAY BE A HAZARDOUS
WASTE SUBJECT TO RCRA
SUBTITLE C REGULATION
I-5
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Section III: Managing Hazardous Waste - RCRA Subtitle C
first being reclaimed), it is exempt from the
definition of solid waste.
Wastes Returned to the Production Process
When a material is returned directly to the
production process (without first being
reclaimed) for use as a feedstock or raw
material, it is not a solid waste.
Conversely, materials are solid wastes, and are
not exempt, if they are recycled in certain ways. If
these materials are used in a manner constituting
disposal; burned for energy recovery, used to
produce a fuel, or contained in fuels; accumulated
speculatively; or are dioxin-containing wastes
considered inherently waste-like; then they are
defined as solid wastes.
Used in a Manner Constituting Disposal Use
constituting disposal is the direct placement of
wastes or products containing wastes (e.g.,
asphalt with petroleum-refining wastes as an
ingredient) on the land.
Burned for Energy Recovery, Used to Produce a
Fuel, or Contained in Fuels Burning
hazardous waste for fuel (e.g., burning for
energy recovery) and using wastes to produce
fuels are regulated activities. Conversely,
commercial products intended to be burned as
fuels are not considered solid wastes. For
example, off-specification jet fuel (e.g., a fuel
with minor chemical impurities) is not a solid
waste when it is burned for energy recovery,
because it is itself a fuel.
Accumulated Speculatively In order to
encourage recycling of wastes as well as ensure
that materials are actually recycled, and not
simply stored to avoid regulation, EPA
Figure 111-4: Are All Recycled Wastes Hazardous Wastes?
Is waste recycled by being:
1) Used as an ingredient;
2) Used as a product substitute; or
3) Returned to the production process?
Yes
Is waste reclaimed?
No
Is recycled waste:
1) Used in a manner constituting disposal
2) Burned for energy recovery, used to
produce a fuel, or contained in fuels;
3) Accumulated speculatively; or
4) A dioxin-containing waste considered
inherently waste-like?
No
WASTE S A SOL D WASTE
WASTE IS NOT A SOLID WASTE
Facility must determine if waste is a:
1) Spent material;
2) Sludge;
3) By-product;
4) Commercial chemical product; or
5) Scrap metal
II-6
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Chapter 1: Hazardous Waste Identification
established a provision to encourage facilities to
recycle sufficient amounts in a timely manner.
This provision designates as solid wastes those
materials that are accumulated speculatively. A
material is accumulated speculatively (e.g.,
stored in lieu of expeditious recycling) if it has
no viable market or if the person accumulating
the material cannot demonstrate that at least 75
percent of the material is recycled in a calendar
year, commencing on January 1 (see Figure
III-5).
Dioxin-Containing Wastes Considered
Inherently Waste-Like Dioxin-containing
wastes are considered inherently waste-like
because they pose significant threats to human
health and the environment if released or
mismanaged. As a result, RCRA does not
exempt such wastes from the definition of solid
waste even if they are recycled through direct
use or reuse without prior reclamation. This is
to ensure that such wastes are subject to the most
protective regulatory controls.
Secondary Materials
Not all materials can be directly used or reused
without reclamation. A material is reclaimed if it is
processed to recover a usable product (e.g., smelting
a waste to recover valuable metal constituents), or if
it is regenerated through processing to remove
contaminants in a way that restores them to their
useable condition (e.g., distilling dirty spent solvents
to produce clean solvents). If secondary materials
are reclaimed before use, their regulatory status
depends on the type of material. For this solid waste
determination process, EPA groups all materials into
five categories. These secondary materials consist
of spent materials, sludges, by-products, commercial
chemical products (CCPs), and scrap metal.
Spent Materials
Spent materials are materials that have been
used and can no longer serve the purpose for which
they were produced without processing. For
example, a solvent used to degrease metal parts will
eventually become contaminated such that it cannot
be used as a solvent until it is regenerated. If a spent
material must be reclaimed, it is a solid waste and is
subject to hazardous waste regulation. Spent
materials are also regulated as solid wastes when
used in a manner constituting disposal; burned for
energy recovery, used to produce a fuel, or contained
in fuels; or accumulated speculatively (see Figure
III-6).
Figure 111-5: Materials Accumulated Speculatively
January 2001 ~\^_
1 J2
^
15 1^
22 1 23
29 30
3
10
17
\
3\
4
11
18
25
3(n
5
12
19
26
6
13
20
27
7
14 '.
21 -.
28 _
December 2001 ]_,
1
8
15
22
29
2
9
16
23
30
3
10
17
24
4
11
18
25
\
5
12
19
26
6
13
20
27
7 _ '
14 , '
21 . '
28
200 Ibs. of recyclable material in
storage
150 Ibs. of the same recyclable
material still in storage
On January 1, 2001, a facility has 200 Ibs. of a material that it wants to re-insert directly into its production process. Such a
material is technically exempt from the definition of solid waste because it is being recycled through direct reuse without prior
reclamation. However, by the end of the calendar year (December 31, 2001), less than 75 percent (i.e., less than 150 Ibs.) of the
material has been reclaimed or sent off site for reclamation. Therefore, the material has been speculatively accumulated and is
no longer exempt from the definition of solid waste. The material may then be regulated as a hazardous waste.
II-7
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Sludges
Sludges are any solid, semisolid, or liquid
wastes generated from a wastewater treatment plant,
water supply treatment plant, or air pollution control
device (e.g., filters, baghouse dust). Sludges from
specific industrial processes or sources (known as
listed sludges) are solid wastes when reclaimed;
used in a manner constituting disposal; burned for
energy recovery, used to produce a fuel, or contained
in fuels; or accumulated speculatively. On the other
hand, characteristic sludges (which are sludges that
exhibit certain physical or chemical properties) are
not solid wastes when reclaimed, unless they are
used in a manner constituting disposal; burned for
energy recovery, used to produce a fuel, or contained
in fuels; or accumulated speculatively (see Figure
III-6). (Listings and characteristics are fully
discussed later in this chapter.)
By-Products
By-products are materials that are not one of
the intended products of a production process. An
example is the sediment remaining at the bottom of a
distillation column. By-product is a catch-all term
and includes most wastes that are not spent materials
or sludges. Listed by-products are solid wastes
when reclaimed; used in a manner constituting
disposal; burned for energy recovery, used to
produce a fuel, or contained in fuels; or accumulated
speculatively. On the other hand, characteristic by-
products are not solid wastes when reclaimed, unless
they are used in a manner constituting disposal;
burned for energy recovery, used to produce a fuel,
or contained in fuels; or accumulated speculatively
(see Figure III-6).
Figure 111-6: Regulatory Status of Secondary Materials
These materials are solid wastes when...
Spent Materials
Listed Sludges
Characteristic Sludges
Listed By-products
Characteristic By-products
Commercial Chemical Products
Scrap Metal
Reclaimed
V
V
V
V
Used in a manner
constituting
disposal
V
V
V
V
V
V*
V
Burned for energy
recovery, used to produce
a fuel, or contained in fuels
V
V
V
V
V
V*
V
Accumulated
speculatively
V
V
V
V
V
V
* If such management is consistent with the product's normal use, then commercial chemical products used in a
manner constituting disposal or burned for energy recovery, used to produce a fuel, or contained in fuels are not
solid wastes.
V Material is a solid waste
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Chapter 1: Hazardous Waste Identification
Commercial Chemical Products
Commercial chemical products are unused or
off-specification chemicals (e.g., chemicals that have
exceeded their shelf life), spill or container residues,
and other unused manufactured products that are not
typically considered chemicals. CCPs are not solid
wastes when reclaimed, unless they are used in a
manner constituting disposal; or burned for energy
recovery, used to produce a fuel, or contained in
fuels (see Figure III-6).
Scrap Metal
Scrap metal is worn or extra bits and pieces of
metal parts, such as scrap piping and wire, or worn
metal items, such as scrap automobile parts and
radiators. If scrap metal is reclaimed, it is a solid
waste and is subject to hazardous waste regulation
(see also Section III, Chapter 2). Scrap metal is also
regulated as a solid waste when used in a manner
constituting disposal; burned for energy recovery,
used to produce a fuel, or contained in fuels; or
accumulated speculatively. This does not apply to
processed scrap metal which is excluded from
hazardous waste generation entirely (as discussed
later in this chapter).
Sham Recycling
For all recycling activities, the above rules are
based on the premise that legitimate reclamation or
SHAM RECYCLING
Sham recycling may include situations when a
secondary material is:
Ineffective or only marginally effective for the
claimed use (e.g., using certain heavy metal sludges
in concrete when such sludges do not contribute any
significant element to the concrete's properties)
Used in excess of the amount necessary (e.g., using
materials containing chlorine as an ingredient in a
process requiring chlorine, but in excess of the
required chlorine levels)
Handled in a manner inconsistent with its use as a
raw material or commercial product substitute (e.g.,
storing materials in a leaking surface impoundment
as compared to a tank in good condition that is
intended for storing raw materials).
reuse is taking place. EPA rewards facilities
recycling some wastes by exempting them from
regulation, or by subjecting them to lesser
regulation. Some facilities, however, may claim that
they are recycling a material in order to avoid being
subject to RCRA regulation, when in fact the activity
is not legitimate recycling. EPA has established
guidelines for what constitutes legitimate recycling
and has described activities it considers to be
illegitimate or sham recycling. Considerations in
making this determination include whether the
secondary material is effective for the claimed use, if
the secondary material is used in excess of the
amount necessary, and whether or not the facility has
maintained records of the recycling transactions.
IS THE WASTE EXCLUDED?
Not all RCRA solid wastes qualify as hazardous
wastes. Other factors must be considered before
deciding whether a solid waste should be regulated
as a hazardous waste. Regulation of certain wastes
may be impractical or otherwise undesirable,
regardless of the hazards that the waste might pose.
For instance, household waste can contain dangerous
chemicals, such as solvents and pesticides, but
subjecting households to the strict RCRA waste
management regulations would create a number of
practical problems. As a result, Congress and EPA
exempted or excluded certain wastes, such as
household wastes, from the hazardous waste
definition and regulations. Determining whether or
not a waste is excluded or exempted from hazardous
waste regulation is the second step in the RCRA
hazardous waste identification process. There are
five categories of exclusions:
Exclusions from the definition of solid waste
Exclusions from the definition of hazardous
waste
Exclusions for waste generated in raw material,
product storage, or manufacturing units
Exclusions for laboratory samples and waste
treatability studies
Exclusions for dredged material regulated under
the Marine Protection Research and Sanctuaries
Act or the Clean Water Act.
-------
Section III: Managing Hazardous Waste - RCRA Subtitle C
If the waste fits one of these categories, it is not
regulated as a RCRA hazardous waste, and the
hazardous waste requirements do not apply.
Solid Waste Exclusions
A material cannot be a hazardous waste if it does
not meet the definition of a solid waste. Thus,
wastes that are excluded from the definition of solid
waste are not subject to RCRA Subtitle C hazardous
waste regulation. There are 19 exclusions from the
definition of solid waste.
Domestic Sewage and Mixtures of Domestic
Sewage
Domestic sewage, or sanitary waste, comes from
households, office buildings, factories, and any other
place where people live and work. These wastes are
carried by sewer to a municipal wastewater
treatment plant (called a publicly owned treatment
works (POTW)). The treatment of these wastes is
regulated under the Clean Water Act (CWA).
Mixtures of sanitary wastes and other wastes
(including hazardous industrial wastes) that pass
through a sewer system to a POTW are also
excluded from Subtitle C regulation once they enter
the sewer. In certain circumstances, this exclusion
may be applied to domestic sewage and mixtures of
domestic sewage that pass through a federally
owned treatment works (FOTW).
Industrial Wastewater Discharges (Point Source
Discharges)
Another exclusion from RCRA designed to
avoid overlap with CWA regulations applies to point
source discharges. Point source discharges are
discharges of pollutants (e.g., from a pipe, sewer, or
pond) directly into a lake, river, stream, or other
water body. CWA regulates such discharges under
the National Pollutant Discharge Elimination System
(NPDES) permitting program. Under this exclusion
from the definition of solid waste, wastewaters that
are subject to CWA regulations are exempt from
Subtitle C regulation at the point of discharge. Any
hazardous waste generation, treatment, or storage
prior to the discharge is subject to RCRA regulation.
Many industrial facilities that treat wastewater on
site utilize this point source discharge exclusion.
Irrigation Return Flows
When farmers irrigate agricultural land, water
not absorbed into the ground can flow into reservoirs
for reuse. This return flow often picks up pesticide
or fertilizer constituents, potentially rendering it
hazardous. Because this water may be reused on the
fields, it is excluded from the definition of solid
waste.
Radioactive Waste
Radioactive waste is regulated by either the
Nuclear Regulatory Commission or the U.S.
Department of Energy (DOE) under the Atomic
Energy Act (AEA). To avoid duplicative regulation
under RCRA and AEA, RCRA excludes certain
radioactive materials from the definition of solid
111-10
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Chapter 1: Hazardous Waste Identification
waste. However, RCRA excludes only the
radioactive components of the waste. If a
radioactive waste is mixed with a hazardous waste,
the resultant mixture is regulated by both AEA and
RCRA as a mixed waste. Similarly, if a facility
generates a hazardous waste that is also radioactive,
the material is a mixed waste and is subject to
regulation under both RCRA and AEA (the
regulatory status of mixed waste is fully discussed
later in this chapter).
In-Situ Mining Waste
In-situ (in-place) mining of certain minerals may
involve the application of solvent solutions directly
to a mineral deposit in the ground. The solvent
passes through the ground, collecting the mineral as
it moves. The mineral and solvent mixtures are then
collected in underground wells where the solution is
removed. Such solvent-contaminated earth, or any
nonrecovered solvent, is excluded from the
definition of solid waste when left in place.
Pulping Liquors
Pulping liquor, also called black liquor, is a
corrosive material used to dissolve wood chips for
manufacturing of paper and other materials. To
promote waste minimization and recycling, EPA
excluded pulping liquors from the definition of solid
waste if they are reclaimed in a recovery furnace and
then reused in the pulping process. If the liquors are
recycled in another way, or are accumulated
speculatively, they are not excluded.
Spent Sulfuric Acid
Spent sulfuric acid may be recycled to produce
virgin sulfuric acid. To promote waste reduction and
recycling, such recycled spent sulfuric acid is
excluded from the definition of solid waste, unless
the facility accumulates the material speculatively.
Closed-Loop Recycling
To further promote waste reduction and
recycling, spent materials that are reclaimed and
returned to the original process in an enclosed
system of pipes and tanks are excluded from the
definition of solid waste, provided that:
Only tank storage is involved, and the entire
process, through reclamation, is closed to the air
(i.e., enclosed)
Reclamation does not involve controlled flame
combustion, such as that which occurs in boilers,
industrial furnaces, or incinerators
Waste materials are never accumulated in tanks
for more than 12 months without being
reclaimed
Reclaimed materials are not used to produce a
fuel, or used to produce products that are used in
a manner constituting disposal.
An example of such a closed-loop system might
include a closed solvent recovery system in which
the dirty solvents are piped from the degreasing unit
to a solvent still where the solvent is cleaned, and
then piped back to the degreasing unit.
Spent Wood Preservatives
Many wood preserving plants recycle their
wastewaters and spent wood preserving solutions.
These materials are collected on drip pads and
sumps, and are in many cases returned directly to the
beginning of the wood preserving process where
they are reused in the same manner. While the
process resembles a closed-loop recycling process,
the closed-loop recycling exclusion does not apply
because drip pads are open to the air. Consistent
with their objective to encourage recycling
hazardous waste, EPA developed two specific
exclusions for spent wood preserving solutions and
wastewaters containing spent preservatives,
provided that the materials have been reclaimed and
are reused for their original purpose. In addition,
wood preserving solutions and wastewaters are
excluded from the definition of solid waste prior to
reclamation. To use this exclusion, a facility is
required to reuse the materials for their intended
purpose and manage them in a way that prevents
releases to the environment.
Coke By-Product Wastes
Coke, used in the production of iron, is made by
heating coal in high temperature ovens. Throughout
the production process many by-products are
1-11
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Section III: Managing Hazardous Waste - RCRA Subtitle C
created. The refinement of these coke by-products
generates several listed and characteristic
wastestreams. However, to promote recycling of
these wastes, EPA provided an exclusion from the
definition of solid waste for certain coke by-product
wastes that are recycled into new products.
Splash Condenser Dross Residue
The treatment of steel production pollution
control sludge generates a zinc-laden residue, called
a dross. This material, generated from a splash
condenser in a high temperature metal recovery
process, is known as a splash condenser dross
residue. Because this material contains 50 to 60
percent zinc, it is often reclaimed, reused, or
processed as a valuable recyclable material. Since
facilities commonly handle this material as a
valuable commodity by managing it in a way that is
protective of human health and the environment,
EPA excluded this residue from the definition of
solid waste.
Hazardous Oil-bearing Secondary Materials and
Recovered Oil from Petroleum Refining
Operations
Petroleum refining facilities sometimes recover
oil from oily wastewaters and reuse this oil in the
refining process. In order to encourage waste
minimization and recycling, EPA excluded such
recovered oil from the definition of solid waste when
it is returned to the refinery. Oil-bearing hazardous
wastes which are recycled back into the petroleum
refining process are also excluded.
In 2002, EPA proposed to conditionally exclude
oil-bearing secondary materials that are processed in
a gasification system to produce synthesis gas fuel
and other non-fuel chemical by-products.
Condensates from Kraft Mill Steam Strippers
The Kraft process, the most commonly used
pulping process today, utilizes various chemicals to
break down wood into pulp. This process generates
overhead gases that are condensed and often
recycled as fuel. To encourage the recycling of these
condensates, EPA excluded them from the definition
of solid waste provided the condensate is combusted
at the mill that generated it.
Comparable Fuels
In order to promote the recycling of materials
with high fuel values, certain materials that are
burned as fuels are excluded from the definition of
solid waste, provided that they meet certain
specifications (i.e., are of a certain degree of purity).
This is to ensure that the material does not exceed
certain levels of toxic constituents and physical
properties that might impede burning. Materials that
meet this specification are considered comparable to
pure or virgin fuels.
Processed Scrap Metal
Scrap metal includes, but is not limited to, pipes,
containers, equipment, wire, and other metal items
that are no longer of use. To facilitate recycling,
scrap metal that has been processed to make it easier
to handle or transport and is sent for metals recovery
is excluded from the definition of solid waste.
Unprocessed scrap metal is still eligible for an
exemption from hazardous waste regulation when
recycled (as discussed in Section III, Chapter 2).
Shredded Circuit Boards
Circuit boards are metal boards that hold
computer chips, thermostats, batteries, and other
electronic components. Circuit boards can be found
in computers, televisions, radios, and other
electronic equipment. When this equipment is
thrown away, these boards can be removed and
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Chapter 1: Hazardous Waste Identification
recycled. Whole circuit boards meet the definition
of scrap metal, and are therefore exempt from
hazardous waste regulation when recycled (as
discussed in Section III, Chapter 2).
On the other hand, some recycling processes
involve shredding the board. Such shredded boards
do not meet the exclusion for recycled scrap metal.
In order to facilitate the recycling of such materials,
EPA excluded recycled shredded circuit boards from
the definition of solid waste, provided that they are
stored in containers sufficient to prevent release to
the environment, and are free of potentially
dangerous components, such as mercury switches,
mercury relays, nickel-cadmium batteries, and
lithium batteries.
Mineral Processing Spent Materials
Mineral processing generates spent materials
that may exhibit hazardous waste characteristics.
Common industry practice is to recycle these
mineral processing wastes back into the processing
operations to recover mineral values. EPA created a
conditional exclusion from the definition of solid
waste for these spent materials when recycled in the
mineral processing industry, provided the materials
are stored in certain types of units and are not
accumulated speculatively.
Petrochemical Recovered Oil
Organic chemical manufacturing facilities
sometimes recover oil from their organic chemical
industry operations. EPA excluded petrochemical
recovered oil from the definition of solid waste when
the facility inserts the material into the petroleum
refining process of an associated or adjacent
petroleum refinery. Only petrochemical recovered
oil that is hazardous because it exhibits the
characteristic of ignitability or exhibits the toxicity
characteristic for benzene (or both) is eligible for the
exclusion.
Spent Caustic Solutions from Petroleum
Refining
Petrochemical refineries use caustics to remove
acidic compounds like mercaptans from liquid
petroleum streams to reduce produce odor and
corrosivity as well as to meet product sulfur
specifications. Spent liquid treating caustics from
petroleum refineries are excluded from the definition
of solid waste if they are used as a feedstock in the
manufacture of napthenic and cresylic acid products.
EPA believes that spent caustic, when used in this
manner, is a valuable commerical feedstock in the
production of these particular products, and is
therefore eligible for an exclusion.
Glass Frit and Fluoride-rich Baghouse Dust
Generated by the Vitrification of K088
In July 2000, EPA proposed that glass frit and
fluoride-rich baghouse dust generated by the
vitrification of K088 be classified as products and
excluded from the definition of solid waste. Glass
frit is usable as a commercial chemical product and
fluoride-rich baghouse dust can be recycled back
into the aluminum reduction pots as electrolyte or
sold as a product for other industrial uses such as
steel making.
Zinc Fertilizers Made from Recycled Hazardous
Secondary Materials
EPA promulgated a conditional exclusion from
the definition of solid waste for hazardous secondary
materials that are recycled to make zinc fertilizers or
zinc fertilizer ingredients. Zinc, an important
micronutrient for plants and animals, can be
removed from zinc-rich manufacturing residue and
used to produce zinc micronutrient fertilizer. A
second conditional exclusion applies to the zinc
fertilizer products made from these secondary
materials.
Hazardous Waste Exemptions
EPA also exempts certain solid wastes from the
definition of hazardous waste. If a material meets an
exemption from the definition of hazardous waste, it
cannot be a hazardous waste, even if the material
technically meets a listing or exhibits a
characteristic. There are 17 exemptions from the
definition of hazardous waste.
Household Hazardous Waste
Households often generate solid wastes that
could technically be hazardous wastes (e.g., old
1-13
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Section III: Managing Hazardous Waste - RCRA Subtitle C
solvents, paints, pesticides, fertilizer, poisons).
However, it would be impossible to regulate every
house in the United States that occasionally threw
away a can of paint thinner or a bottle of rat poison.
Therefore, EPA developed the household waste
exemption. Under this exemption, wastes generated
by normal household activities (e.g., routine house
and yard maintenance) are exempt from the
definition of hazardous waste. EPA has expanded
the exemption to include household-like areas, such
as bunkhouses, ranger stations, crew quarters,
campgrounds, picnic grounds, and day-use
recreation areas. While household hazardous waste
is exempt from Subtitle C, it is regulated under
Subtitle D as a solid waste (as discussed in Section
II).
Agricultural Waste
To prevent overregulation of farms and promote
waste recycling, solid wastes generated by crop or
animal farming are excluded from the definition of
hazardous waste provided that the wastes are
returned to the ground as fertilizers or soil
conditioners. Examples of such wastes are crop
residues and manures.
Mining Overburden
After an area of a surface mine has been
depleted, it is common practice to return to the mine
the earth and rocks (overburden) that were removed
to gain access to ore deposits. When the material is
returned to the mine site, it is not a hazardous waste
under RCRA.
Bevill and Bentsen Wastes
In the Solid Waste Disposal Act Amendments of
1980, Congress amended RCRA by exempting oil,
gas, and geothermal exploration, development, and
production wastes (Bentsen wastes); fossil fuel
combustion wastes; mining and mineral processing
wastes; and cement kiln dust wastes (Bevill wastes)
from the definition of hazardous waste pending
further study by EPA. These wastes were
temporarily exempted because they were produced
in very large volumes, were thought to pose less of a
hazard than other wastes, and were generally not
amenable to the management practices required
under RCRA. The following paragraphs describe
these exemptions in detail.
Fossil Fuel Combustion Waste
In order to accommodate
effective study, fossil fuel
combustion wastes were
divided into two categories,
large-volume coal-fired utility
wastes and remaining wastes.
After studying these wastes,
in 1993, EPA decided to
permanently exempt large-
volume coal-fired utility wastes,
including fly ash, bottom ash, boiler slag, and flue
gas emission control waste from the definition of
hazardous waste. Further study by EPA, in 2000,
indicated that all remaining fossil fuel combustion
wastes need not be regulated under RCRA Subtitle
C. However, EPA determined that national non-
hazardous waste regulations under RCRA Subtitle D
are appropriate for coal combustion wastes disposed
in surface impoundments and landfills and used as
minefill. These regulations are expected to be
proposed in March of 2003.
Oil, Gas, and Geothermal Wastes
Certain wastes from the exploration and
production of oil, gas, and geothermal energy are
excluded from the definition of hazardous waste.
These wastes include those that have been brought to
the surface during oil and gas exploration and
production operations, and other wastes that have
come into contact with the oil and gas production
stream (e.g., during removal of waters injected into
the drill well to cool the drill bit).
Mining and Mineral Processing Wastes
Certain wastes from the mining, refining, and
processing of ores and minerals are excluded from
the definition of hazardous waste.
Cement Kiln Dust
Cement kiln dust is a fine-grained solid by-
product generated during the cement manufacturing
process and captured in a facility's air pollution
control system. After study, EPA decided to develop
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Chapter 1: Hazardous Waste Identification
specific regulatory provisions for cement kiln dust.
Until EPA promulgates these new regulatory
controls, however, cement kiln dust will generally
remain exempt from the definition of hazardous
waste.
Trivalent Chromium Wastes
The element chromium exists in two forms,
hexavalent and trivalent. EPA determined that while
hexavalent chromium poses enough of a threat to
merit regulation as a characteristic hazardous waste,
trivalent chromium does not. Therefore, to prevent
unnecessary regulation, EPA excluded, from the
definition of hazardous waste, trivalent chromium-
bearing hazardous wastes from certain leather
tanning, shoe manufacturing, and leather
manufacturing industries.
Arsenically Treated Wood
Discarded arsenically treated wood or wood
products that are hazardous only because they
exhibit certain toxic characteristics (e.g., contain
harmful concentrations of metal or pesticide
constituents), are excluded from the definition of
hazardous waste. Once such treated wood is used, it
may be disposed of by the user (commercial or
residential) without being subject to hazardous waste
regulation. This exclusion is based on the fact that
the use of such wood products on the land is similar
to the common disposal method, which is
landfilling. This exclusion applies only to end-users
and not to manufacturers.
Petroleum-Contaminated Media and Debris from
Underground Storage Tanks
USTs are used to store petroleum (e.g., oil) and
hazardous substances (e.g., ammonia). When these
tanks leak, the UST program under RCRA Subtitle I
provides requirements for cleaning up such spills
(the regulatory requirements for USTs are fully
discussed in Section IV). To facilitate the corrective
action process under the UST regulations,
contaminated media (soils and ground water) and
debris (tanks and equipment) at sites undergoing
UST cleanup that are hazardous only because they
exhibit certain toxic characteristics (e.g., contain a
harmful concentrations of leachable organic
constituents) are excluded from the definition of
hazardous waste.
Spent Chlorofluorocarbon Refrigerants
Chlorofluorocarbons (CFCs) released to the
atmosphere damage the stratospheric ozone layer.
To promote recycling and discourage the practice of
venting used CFCs to the atmosphere as a means of
avoiding Subtitle C regulation, EPA excluded
recycled CFCs from the definition of hazardous
waste since the refrigerants are generally reclaimed
for reuse.
Used Oil Filters
In order to promote the recycling and recovery
of metals and other products from used oil filters,
EPA exempted used oil filters that have been
properly drained to remove the used oil.
Used Oil Distillation Bottoms
When used oil is recycled, residues (called
distillation bottoms) form at the bottom of the
recycling unit. To promote used oil recycling and
the beneficial reuse of waste materials, EPA
excluded these residues from the definition of
hazardous waste when the bottoms are used as
ingredients in asphalt paving and roofing materials.
Landfill Leachate or Gas Condensate Derived
from K169, K171, and K172 Listings
Landfill leachate and landfill gas condensate
derived from previously disposed wastes that now
meet the listing description of one or more of the
petroleum refinery listed wastes K169, K170, K171,
and K172, would be regulated as a listed hazardous
waste. However, EPA temporarily deferred such
landfill leachate and gas condensate from the
definition of hazardous waste provided their
discharge is regulated under the Clean Water Act
(CWA). The exclusion will remain effective while
EPA studies how the landfill leachate and landfill
gas condensate are currently managed, and the effect
of future CWA effluent limitation guidelines for
landfill wastewaters.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Project XL Pilot Project Exclusions
EPA has provided two facilities with site-
specific hazardous waste exclusions pursuant to the
Project XL pilot program. The waste generated from
the copper metalization process at the IBM Vermont
XL project is excluded from the F006 listing. By-
products resulting from the production of automobile
air bag gas generants at the Autoliv ASP Inc. XL
project in Utah are exempt from regulation as D003
hazardous waste. In addition to these finalized
exclusions, in July of 2001, EPA proposed a site-
specific exclusion for mixed wastes generated at the
Ortho-McNeil Pharmaceutical, Inc. facility in Spring
House, Pennsylvania, under the Project XL program.
Raw Material, Product Storage, and
Process Unit Waste Exclusions
Hazardous wastes generated in raw material,
product storage, or process (e.g., manufacturing)
units are exempt from Subtitle C hazardous waste
regulation while the waste remains in such units.
These units include tanks, pipelines, vehicles, and
vessels used either in the manufacturing process or
for storing raw materials or products, but specifically
do not include surface impoundments. Once the
waste is removed from the unit, or when a unit
temporarily or permanently ceases operation for 90
days, the waste is considered generated and is
subject to regulation.
Sample and Treatability Study
Exclusions
Hazardous waste samples are small, discrete
amounts of hazardous waste that are essential to
ensure accurate characterization and proper
hazardous waste treatment. In order to facilitate the
analysis of these materials, RCRA exempts
characterization samples and treatability study
samples from Subtitle C hazardous waste regulation.
Waste Characterization Samples
Samples sent to a lab to determine whether or
not a waste is hazardous are exempt from regulation.
Such samples (typically less than one gallon of
waste) are excluded from Subtitle C regulation,
provided that
these samples are
collected and
shipped for the
sole purpose of
determining
hazardous waste
characteristics or
composition.
Storage, transportation, and testing of
the sample are excluded from RCRA regulation even
when the lab testing is complete, provided the
sample is returned to the generator, and other
specific provisions are met. When shipping the
sample to or from the laboratory, the sample
collector must comply with certain labeling
requirements, as well as any applicable U.S. Postal
Service (USPS) or U.S. Department of
Transportation (DOT) shipping requirements.
Treatability Study Samples
To determine if a particular treatment method
will be effective on a given waste or what types of
wastes remain after the treatment is complete,
facilities send samples of waste to a lab for testing.
EPA conditionally exempts those who generate or
collect samples for the sole purpose of conducting
treatability studies from the hazardous waste
regulations, provided that certain requirements,
including packaging, labeling, and recordkeeping
provisions, are met. In addition, under specific
conditions, laboratories conducting such treatability
studies may also be exempt from Subtitle C
regulation.
Dredge Materials Exclusions
Dredge materials subject to the permitting
requirements of 404 of the Federal Water Pollution
Control Act of
Section 103 of
the Marine
Protection,
Research, and
Sanctuaries Act
of 1972 are not
considered
hazardous
wastes.
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Chapter 1: Hazardous Waste Identification
DEFINITION OF HAZARDOUS WASTE
In RCRA §1004(5), Congress defined hazardous waste
as a solid waste, or combination of solid wastes, which
because of its quantity, concentration, or physical,
chemical, or infectious characteristics may:
(a) Cause, or significantly contribute to, an increase in
mortality or an increase in serious irreversible, or
incapacitating reversible, illness; or
(b) Pose a substantial present or potential hazard to
human health or the environment when improperly
treated, stored, transported, or disposed of, or
otherwise managed.
Based on this broad definition, Congress instructed
EPA to develop more specific criteria for defining solid
and hazardous waste. Congress believed that EPA
should define hazardous waste using two different
mechanisms: by listing certain specific solid wastes as
hazardous (i.e., wastes from certain industrial
processes or sources), and by identifying
characteristics (i.e., physical or chemical properties)
which, when exhibited by a solid waste, make it
hazardous. Taking Congress' lead, EPA proceeded to
develop an elaborate definition of hazardous waste
that included both of these mechanisms.
IS THE WASTE A LISTED
HAZARDOUS WASTE?
After a facility determines that its waste is a
solid waste and is not either excluded from the
definitions of solid or hazardous waste or exempt
from Subtitle C hazardous waste regulation, the
owner and operator must determine if the waste is a
hazardous waste. The first step in this process is
determining if the waste is a listed hazardous waste.
The hazardous waste listings consist of four lists:
The F list
The K list
The P list
The U list.
Listed wastes are wastes from generic industrial
processes, wastes from certain sectors of industry,
and unused pure chemical products and
formulations. Because these wastes are dangerous
enough to warrant full Subtitle C regulation based on
their origin, any waste fitting a narrative listing
description is considered a listed hazardous waste.
Listing Criteria
Before developing each hazardous waste listing,
EPA thoroughly studies a particular wastestream and
the threats that it can pose to human health and the
environment. If the waste poses sufficient threat,
EPA includes a precise description of that waste on
one of four hazardous waste lists within the
regulations.
In order to determine whether a waste should be
listed in the first place, the Agency developed a set
of criteria to use as a guide and a consistent frame of
reference when considering listing a wastestream.
These criteria were developed by EPA to use in
evaluating whether a waste warrented being listed as
a hazardous waste. These listing criteria cannot be
use by waste handlers for waste identification
purposes. Waste handlers must instead consult the
actual listings to determine if their waste is regulated
as a listed hazardous waste.
There are three different criteria EPA uses to
decide whether or not to list a waste as hazardous.
The three criteria are:
The waste typically contains toxic chemicals at
levels that could pose a threat to human health
and the environment if improperly managed.
Such wastes are known as toxic listed wastes.
The waste contains such dangerous chemicals
that it could pose a threat to human health and
the environment even when properly managed.
These wastes are fatal to humans and animals
even in low doses. Such wastes are known as
acute hazardous wastes.
The waste typically exhibits one of the four
characteristics of hazardous waste: ignitability,
corrosivity, reactivity, and toxicity.
In addition, EPA may list a waste as hazardous, if
it has cause to believe that, for some other reason,
the waste typically fits within the statutory definition
of hazardous waste developed by Congress.
Hazardous Waste Listings
EPA has applied the listing criteria to hundreds
of specific industrial wastestreams. These wastes
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Section III: Managing Hazardous Waste - RCRA Subtitle C
HAZARD CODES
To indicate its reason for listing a waste, EPA assigns a
hazard code to each waste listed on the F, K, P, and U
lists. The last four hazard codes in the table below
apply to wastes that have been listed because they
typically exhibit one of the four regulatory
characteristics of hazardous waste. The first two
hazard codes apply to listed wastes whose
constituents pose additional threats to human health
and the environment. The hazard codes indicating the
basis for listing a waste are:
Toxic Waste (T)
Acute Hazardous Waste (H)
Ignitable Waste (I)
Corrosive Waste (C)
Reactive Waste (R)
Toxicity Characteristic Waste (E)*
The hazard codes assigned to listed wastes affect the
regulations that apply to handling the waste. For
instance, acute hazardous wastes accompanied by the
hazard code (H) are subject to stricter management
standards than most other wastes.
"Currently, there are no hazardous wastes listed solely for
exhibiting the toxicity characteristic.
are grouped into the four lists located at 40 CFR Part
261, Subpart D. Listed wastes are organized as
follows:
The F list The F list includes wastes from
certain common industrial and manufacturing
processes. Because the processes generating
these wastes can occur in different sectors of
industry, the F list wastes are known as wastes
from nonspecific sources. The F list is codified
in the regulations at 40 CFR §261.31.
The K list The K list includes wastes from
specific industries. As a result, K list wastes are
known as wastes from specific sources. The K
list is found at 40 CFR §261.32.
The P list and the U list These two lists
include pure or commercial grade formulations
of specific unused chemicals. Chemicals are
included on the P list if they are acutely toxic. A
chemical is acutely toxic if it is fatal to humans
in low doses, if scientific studies have shown
that it has lethal effects on experimental
organisms, or if it causes serious irreversible or
incapacitating illness. The U list is generally
comprised of chemicals that are toxic, but also
includes chemicals that display other
characteristics, such as ignitability or reactivity.
Both the P list and U list are codified at 40 CFR
§261.33.
Each list includes anywhere from 30 to a few
hundred listed hazardous wastestreams. All of the
wastes on these lists are assigned an identification
number (i.e., a waste code) consisting of the letter
associated with the list (i.e., F, K, P, or U) followed
by three numbers. For example, wastes on the F list
may be assigned a waste code ranging from F001 to
F039, while wastes on the K list may be assigned a
waste code ranging from K001 to K178. These
waste codes are an important part of the RCRA
regulatory system since waste code assignment has
important implications for the future management
standards that will apply to the waste.
The F List: Wastes From Nonspecific Sources
The F list designates hazardous wastes from
common industrial and manufacturing processes.
The F list wastes can be divided into seven groups,
depending on the type of manufacturing or industrial
operation that creates them:
Spent solvent wastes (waste codes F001 through
F005)
Electroplating and other metal finishing wastes
(F006 through F012 and F019)
Dioxin-bearing wastes (F020 through F023 and
F026 through F028)
Chlorinated aliphatic hydrocarbons production
wastes (F024 and F025)
Wood preserving wastes (F032, F034, and F035)
Petroleum refinery wastewater treatment sludges
(F037andF038)
Multisource leachate (F039).
Spent Solvent Wastes
The spent solvent waste listings (F001 through
F005) apply to wastestreams that are generated from
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Chapter 1: Hazardous Waste Identification
the use of certain common organic solvents.
Solvents are commonly used in various industries,
such as mechanical repair, dry cleaning, and
electronics manufacturing, for degreasing and
cleaning in addition to other functions. While
solvents are chemicals with many uses, these listings
only apply to solvents that are used as solvents for
their solvent properties (e.g., to solubilize, dissolve,
or mobilize other constituents) and are spent (e.g.,
cannot be used further without reprocessing). In
addition, these listings only apply to solvents that
contain one or more of the specific organic solvent
constituents found in the F001-F005 narrative
descriptions. Lastly, these listings only cover
solvents that were above a certain concentration
before use.
Electroplating and Other Metal Finishing Wastes
The electroplating and other metal finishing
waste listings (F006 through F012 and F019) apply
to wastestreams that are commonly produced during
electroplating and other metal finishing operations.
Diverse industries use electroplating and other
methods to change the surface of metal objects in
order to enhance the appearance of the objects, make
them more resistant to corrosion, or impart some
other desirable property to them. Industries involved
in plating and metal finishing range from jewelry
manufacture to automobile production.
Dioxin-Bearing Wastes
The dioxin-bearing waste listings (F020 through
F023 and F026 through F028) describe a number of
wastestreams that EPA believes are likely to contain
dioxins, which are allegedly among the most
dangerous known chemical compounds. The dioxin
listings apply primarily to manufacturing process
wastes from the production of specific pesticides or
specific chemicals used in the production of
pesticides. With the exception of F028, all of the
dioxin-bearing wastes are considered acutely
hazardous wastes and are designated with the hazard
code (H). These wastes are therefore subject to
stricter management standards than other hazardous
wastes.
Chlorinated Aliphatic Hydrocarbon Production
Wastes
The chlorinated aliphatic hydrocarbons
production wastes (F024 and F025) list certain
wastestreams produced by the manufacture of
chlorinated aliphatic hydrocarbons. Chlorinated
aliphatic hydrocarbons are used in the manufacture
of certain pesticides and fire retardants. Many other
wastestreams from the manufacture of organic
chemicals are found within the K list, including two
waste codes for chlorinated aliphatic wastes, K174
andK175.
Wood Preserving Wastes
The wood preserving waste listings (F032, F034,
and F035) apply to certain wastes from wood
preserving operations. Most wood used for
construction or other nonfuel applications is
chemically treated to slow the deterioration caused
by decay and insects. For example, telephone poles,
railroad cross ties, and other wood products are
treated to withstand the rigors of outdoor use.
Wood preservation typically involves coating
lumber with pentachlorophenol, creosote, or
preservatives containing arsenic or chromium. The
wood preserving process creates wastestreams
containing these chemicals, such as excess
preservative solution that drips from wood products
after treatment. Waste from wood preservation
using pentachlorophenol is F032, waste from use of
creosote is F034, and waste from treating wood with
arsenic or chromium is F035.
These listings (as well as some K list waste
listings) also apply to a variety of other residues
from wood preserving.
Petroleum Refinery Wastewater Treatment
Sludges
The petroleum refinery wastewater treatment
sludge listings (F037 and F038) apply to specific
wastestreams from petroleum refineries. The
petroleum refining process typically creates large
quantities of contaminated wastewater. Before this
wastewater can be discharged to a river or sewer, it
must be treated to remove oil, solid material, and
chemical pollutants.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
To remove most of this oily waste from the
wastewater, refineries typically use two methods. In
the first step, gravity separates the pollutants from
the wastewater. The solids and heavier pollutants
sink to the bottom of a tank, forming a sludge, while
the lighter materials (called float) float to the surface
of the wastewater, where they can be skimmed off.
This sludge is F037. The second step uses physical
(stirring or agitating) and chemical means to
separate remaining pollutants from the wastewater
into sludge and float. This sludge and float are
F038. The K list also includes wastes codes for
certain petroleum wastestreams generated by the
petroleum refining industry. These waste codes are
K048 through K052 and K169 through K172.
Multisource Leachate
The F039 listing applies to multisource leachate,
the liquid material that accumulates at the bottom of
a hazardous waste landfill. The leachate that
percolates through landfills, particularly hazardous
waste landfills, usually contains high concentrations
of chemicals, and is often collected to minimize the
potential for it to enter and contaminate the soil or
ground water below the unit.
The K List: Wastes From Specific Sources
The K list designates hazardous wastes from
specific sectors of industry and manufacturing. Like
F list wastes, K list wastes are manufacturing
process wastes.
To determine whether a waste qualifies as K-
listed, a facility must first determine whether the
waste fits within one of the 13 different industrial or
manufacturing categories on the list. Second, a
facility must determine if this waste matches one of
the detailed K list waste descriptions in 40 CFR
§261.32. The 13 industries that generate K list
wastes are:
Wood preservation
Organic chemicals manufacturing
Pesticides manufacturing
Petroleum refining
Veterinary pharmaceuticals manufacturing
Inorganic pigment manufacturing
Inorganic chemicals manufacturing
Explosives manufacturing
Iron and steel production
Primary aluminum production
Secondary lead processing
Ink formulation
Coking (processing of coal to produce coke, a
material used in iron and steel production).
Previously, the K list also included waste codes
for 17 different industries. However, due to various
court actions taken, EPA withdrew the K waste
codes applicable to wastestreams in the primary
copper, primary lead, primary zinc, and ferroalloys
industries.
The P and U Lists: Discarded Commercial
Chemical Products
The P and U lists designate as hazardous waste
pure and commercial grade formulations of certain
unused chemicals that are being disposed. Unused
chemicals may become wastes for a number of
reasons. For example, some unused chemicals are
spilled by accident. Others are intentionally
discarded because they are off-specification and
cannot serve the purpose for which they were
originally produced. For a waste to qualify as P- or
U-listed, the waste must meet the following three
criteria:
The waste must contain one of the chemicals
listed on the P or U list
The chemical in the waste must be unused
The chemical in the waste must be in the form of
a commercial chemical product (CCP).
For purposes of the P and U lists, a CCP is
defined as a chemical that is one of the following:
100 percent pure
Technical (e.g., commercial) grade
The sole active ingredient in a chemical
formulation.
While 100 percent pure means that the chemical
is the only chemical constituent in the product,
technical grade means that the formulation is not
100 percent pure, but is of a grade of purity that is
either marketed or recognized in general usage by
the chemical industry. Sole active ingredient means
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Chapter 1: Hazardous Waste Identification
that the chemical is the only ingredient serving the
function of the formulation. For instance, a pesticide
made for killing insects may contain a poison such
as heptachlor, as well as various solvent ingredients
which act as carriers or lend other desirable
properties to the poison. Although all of these
chemicals may be capable of killing insects, only the
heptachlor serves the primary purpose of the
insecticide product. The other chemicals involved
are present for other reasons, not because they are
poisonous. Therefore, heptachlor is the sole active
ingredient in such a formulation even though it may
be present in low concentrations.
Wastes Listed Solely for Exhibiting
the Characteristic of Ignitability,
Corrosivity, and/or Reactivity
Hazardous wastes listed solely for exhibiting the
characteristic of ignitability, corrosivity, and/or
reactivity are not regulated the same way that other
listed hazardous wastes are regulated under RCRA.
When a waste meets a listing description for one of
the 29 wastes listed solely for exhibiting the
characteristic of ignitability, corrosivity, and/or
reactivity, the waste is not hazardous if it does not
exhibit that characterisitic at the point of generation.
For example, F003 is listed for the characteristic of
ignitability. If a waste is generated and meets the
listing description for F003 but does not exhibit the
characteristic of ignitability, it is not regulated as a
hazardous waste.
Delistings
The RCRA regulations provide a form of relief
for listed wastes with low concentrations of
hazardous constituents. Through a site-specific
process known as delisting, a waste handler can
submit to an EPA Region or state a petition
demonstrating that even though a particular
wastestream generated at its facility is a listed
hazardous waste, it does not pose sufficient hazard
to merit RCRA regulation. For example, a waste
generated at a specific facility may meet a listing
description even though the process uses different
raw materials than EPA assumed were used when
listing the waste, thus the waste may not contain the
contaminants for which it was listed. Similarly, after
treatment of a listed waste, the residue may no
longer pose a threat to human health and the
environment.
Specifically, the petition must demonstrate that
the waste does not:
Meet the criteria for which it was listed
Exhibit any hazardous waste characteristics (as
discussed later in this chapter)
Pose a threat to human health and the
environment by being hazardous for any other
reason (e.g., does not contain additional
constituents that could pose a threat).
If the EPA Region or state grants a delisting
petition, the particular wastestream at that facility
will not be regulated as a listed hazardous waste.
IS THE WASTE A
CHARACTERISTIC HAZARDOUS
WASTE?
After a facility determines its waste is a solid
waste and is not excluded from the definitions of
solid or hazardous waste, it must determine if the
waste is a hazardous waste. This entails determining
if the waste is listed, and also if the waste is
characteristic. Even if a waste is a listed hazardous
waste, the facility must then determine if the waste
exhibits a characteristic by testing or applying
knowledge of the waste.
Characteristic wastes are wastes that exhibit
measurable properties which indicate that a waste
poses enough of a threat to deserve regulation as
hazardous waste. EPA tried to identify
characteristics which, when present in a waste, can
cause death or illness in humans or lead to
ecological damage. The characteristics are an
essential supplement to the hazardous waste listings.
For example, some wastes may not meet any listing
description because they do not originate from
specific industrial or process sources, but the waste
may still pose threats to human health and the
environment. As a result, a facility is also required
to determine whether such a waste possesses a
hazardous property (i.e., exhibits a hazardous waste
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Section III: Managing Hazardous Waste - RCRA Subtitle C
characteristic). The characteristics are applied to
any RCRA solid waste from any industry.
Even if a waste does meet a hazardous waste
listing description, the facility must still determine if
the waste exhibits a characteristic. If such listed
wastes do exhibit a characteristic, the waste poses an
additional hazard to human health and the
environment, and may necessitate additional
regulatory precautions. For example, wastes that are
both listed and characteristic may have more
extensive LDR requirements, than those that are
only listed (the LDR program is fully discussed in
Section III, Chapter 6).
EPA decided that the characteristics of
hazardous waste should be detectable by using a
standardized test method or by applying general
knowledge of the waste's properties. Given these
criteria, EPA established four hazardous waste
characteristics:
Ignitability
Corrosivity
Reactivity
Toxicity.
Ignitability
The ignitability characteristic identifies wastes
that can readily catch fire and sustain combustion.
Many paints, cleaners, and other industrial wastes
pose such a hazard. Liquid and nonliquid wastes are
treated differently by the ignitability characteristic.
Most ignitable wastes are liquid in physical
form. EPA selected a flash point test as the method
for determining whether a liquid waste is
combustible enough to deserve regulation as
hazardous. The flash point test determines the
The ignitability
characteristic
identifies wastes
that can readily
catch fire and
sustain
combustion.
lowest temperature at which the fumes above a
waste will ignite when exposed to flame.
Many wastes in solid or nonliquid physical form
(e.g., wood, paper) can also readily catch fire and
sustain combustion, but EPA did
not intend to regulate most of
these nonliquid materials as
ignitable wastes. A nonliquid
waste is considered ignitable if
it can spontaneously catch fire
or catch fire through friction or
absorption of moisture under
normal handling conditions and can burn so
vigorously that it creates a hazard. Certain
compressed gases are also classified as ignitable.
Finally, substances meeting the Department of
Transportation's definition of oxidizer are classified
as ignitable wastes. Ignitable wastes carry the waste
code D001 and are among the most common
hazardous wastes. The regulations describing the
characteristic of ignitability are codified at 40 CFR
§261.21.
Corrosivity
The Corrosivity characteristic identifies wastes
that are acidic or alkaline (basic). Such wastes can
readily corrode or dissolve
flesh, metal, or other materials.
They are also among the most
common hazardous wastes.
An example is waste sulfuric
acid from automotive batteries.
EPA uses two criteria to
identify liquid and aqueous
corrosive hazardous wastes.
The first is a pH test. Aqueous
wastes with a pH greater than
or equal to 12.5 or less than or equal to 2 are
corrosive. A liquid waste may also be corrosive if it
has the ability to corrode steel under specific
conditions. Physically solid, nonaqueous wastes are
not evaluated for Corrosivity. Corrosive wastes carry
the waste code D002. The regulations describing the
Corrosivity characteristic are found at 40 CFR
§261.22.
The corrosivity
characteristic
identifies wastes
that are acidic or
alkaline (basic)
and can readily
corrode or
dissolve flesh,
metal, or other
materials.
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The reactivity
characteristic
identifies wastes
that readily
explode or
undergo violent
reactions.
Reactivity
The reactivity characteristic identifies wastes
that readily explode or undergo violent reactions or
react to release toxic gases or fumes. Common
examples are discarded
munitions or explosives. In
many cases, there is no reliable
test method to evaluate a
waste's potential to explode,
react violently, or release toxic
gas under common handling
conditions. Therefore, EPA
uses narrative criteria to define
most reactive wastes and requires waste generators
to use their best judgment in applying the narrative
definitions to determine if a waste is sufficiently
reactive to be regulated. This is possible because
reactive hazardous wastes are relatively uncommon
and the dangers that they pose are believed to be
well known to the waste handlers who deal with
them.
A waste is reactive if it meets any of the
following criteria:
It can explode or violently react when exposed
to water or under normal handling conditions
It can create toxic fumes or gases when exposed
to water or under normal handling conditions
It meets the criteria for classification as an
explosive under DOT rules
It generates toxic levels of sulfide or cyanide gas
when exposed to a pH range of 2 through 12.5.
Wastes exhibiting the characteristic of reactivity
are assigned the waste code D003. The reactivity
characteristic is described in the regulations at 40
CFR§261.23.
Toxicity
When hazardous waste is disposed of in a land
disposal unit, toxic compounds or elements can
leach into underground drinking water supplies and
expose users of the water to hazardous chemicals
and constituents. EPA developed the toxicity
characteristic (TC) to identify wastes likely to
leach dangerous concentrations of toxic chemicals
into ground water.
In order to predict whether any particular waste
is likely to leach chemicals into ground water at
dangerous levels, EPA designed a lab procedure to
replicate the leaching process and other conditions
that occur when wastes are buried in a typical
municipal landfill. This lab procedure is known as
the Toxicity Characteristic Leaching Procedure
(TCLP).
The TCLP requires a facility to create a liquid
leachate from its hazardous waste samples. This
leachate would be similar to the leachate generated
Figure 111-7: TCLP Regulatory Levels
Waste Code
D004
D005
D018
D006
D019
D020
D021
D022
D007
D023
D024
D025
D026
D016
D027
D028
D029
D030
D012
D031
D032
D033
D034
D008
D013
D009
D014
D035
D036
D037
D038
D010
D011
D039
D015
D040
D041
D042
D017
D043
Contaminant
Arsenic
Barium
Benzene
Cadmium
Carbon tetrachloride
Chlordane
Chlorobenzene
Chloroform
Chromium
o-Cresol*
m-Cresol*
p-Cresol*
Total Cresols*
2,4-D
1 ,4-Dichlorobenzene
1 ,2-Dichloroethane
1 , 1 -Dichloroethylene
2,4-Dinitrotoluene
Endrin
Heptachlor (and its epoxide)
Hexachloro benzene
Hexachlorobutadiene
Hexachloroethane
Lead
Lindane
Mercury
Methoxvchlor
Methyl ethyl ketone
Nitrobenzene
Pentachlorophenol
Pvridine
Selenium
Silver
Tetrachloroethylene
Toxaohene
Trichloroethylene
2,4,5-Trichlorophenol
2,4,6-Trichlorophenol
2,4,5-TP (Silvex)
Vinyl chloride
Concentration
5.0
100.0
0.5
1.0
0.5
0.03
100.0
6.0
5.0
200.0
200.0
200.0
200.0
10.0
7.5
0.5
0.7
0.13
0.02
0.008
0.1
0.5
3.0
5.0
0.4
0.2
10.0
200.0
2.0
100.0
5.0
1.0
5.0
0.7
0.5
0.5
400.0
2.0
1.0
0.2
*if o-, m-, and p-cresols cannot be individually measured,
the regulatory level for total cresols is used.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
by a landfill containing a mixture of household and
industrial wastes. Once this leachate is created via
the TCLP, the waste handler must determine whether
it contains any of 40 different toxic chemicals in
amounts above the specified regulatory levels (see
Figure III-7). These regulatory levels are based on
ground water modeling studies and toxicity data that
calculate the limit above which these common toxic
compounds and elements will threaten human health
and the environment by contaminating drinking
water. If the leachate sample contains a
concentration above the regulatory limit for one of
the specified chemicals, the waste exhibits the
toxicity characteristic and carries the waste code
associated with that compound or element. The
TCLP may not be used however, for determining
whether remediation waste from manufactured gas
plants (MGP) is hazardous under RCRA. Therefore,
MGP remediation wastes are exempt from TC
regulation. The regulations describing the toxicity
characteristic are codified at 40 CFR §261.24, and
the TC regulatory levels appear in Table 2 of that
same section.
DETERMINING BOTH LISTINGS AND
CHARACTERISTICS
A facility must determine both listings and
characteristics. Even if a waste is a listed hazardous
waste, the facility must then still determine if the waste
exhibits a characteristic because waste generators are
required to fully characterize their listings. While some
wastes may not meet any listing description because
they do not originate from specific industrial or process
sources, the waste may still pose threats to human
health and the environment. As a result, a facility is
also required to determine whether such a waste
possesses a hazardous property (i.e., exhibits a
hazardous waste characteristic).
SPECIAL REGULATORY
CONVENTIONS
Once a facility generates a hazardous waste, the
waste may become mixed with other wastes, be
treated and produce residues, or even be spilled.
RCRA provides special regulatory provisions to
address the regulatory status of hazardous wastes in
these situations.
Mixture Rule
The mixture rule is intended to ensure that
mixtures of listed wastes with nonhazardous solid
wastes are regulated in a manner that minimizes
threats to human health and the environment.
Listed Wastes
The mixture rule regulates a combination of any
amount of a nonhazardous solid waste and any
amount of a listed hazardous waste as a listed
hazardous waste (see Figure III-8). Even if a small
vial of listed waste is mixed with a large quantity of
nonhazardous waste, the resulting mixture bears the
same waste code and regulatory status as the original
listed component of the mixture, unless the generator
obtains a delisting. This is intended to prevent a
facility from mixing a listed waste with a
nonhazardous waste in order to escape having to
manage the waste as hazardous.
Characteristic Wastes
The mixture rule applies differently to listed and
characteristic wastes. A mixture involving
characteristic wastes is hazardous only if the mixture
itself exhibits a characteristic. Characteristic wastes
are hazardous because they possess one of four
unique and measurable properties. Once a
characteristic waste no longer exhibits one of these
four dangerous properties, it no longer deserves
regulation as hazardous. Thus, a characteristic waste
can be made nonhazardous by treating it to remove
its hazardous property; however EPA places certain
restrictions on the manner in which a waste can be
treated. (These restrictions will be discussed in
Section III, Chapter 6.)
Wastes Listed Solely for Exhibiting the
Characteristic of Ignitabilty, Corrosivity, and/or
Reactivity
All wastes listed solely for exhibiting the
characteristic of ignitability, corrosivity and/or
reactivity characteristic are not regulated as
hazardous wastes once they no longer exhibit a
characteristic. If a hazardous waste listed only for a
characteristic is mixed with a solid waste, the
original listing does not carry through to the
resulting mixture if that mixture does not exhibit any
11-24
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Chapter 1: Hazardous Waste Identification
hazardous waste characteristics. For example, EPA
listed the F003 spent solvents as hazardous because
these wastes typically display the ignitability
characteristic. If F003 waste is treated by mixing it
with another waste, and the resulting mixture does
not exhibit a characteristic, the F003 listing no
longer applies.
Exemptions
There are several exemptions from the mixture
rule. One exemption applies to certain listed
hazardous wastes that are discharged to wastewater
treatment facilities in very small or de minimis
amounts. Many industrial facilities produce large
quantities of nonhazardous wastewaters as their
primary wastestreams. These wastewaters are
typically discharged to a water body or local sewer
system after being treated to remove pollutants, as
required by CWA. At many of these large facilities,
on-site cleaning, chemical spills, or laboratory
operations create relatively small amounts of
hazardous waste. For example, a textile plant
producing large quantities of nonhazardous
wastewater can generate a secondary wastestream of
listed spent solvents from cleaning equipment.
Routing such secondary hazardous wastestreams to
the facility's wastewater treatment system is a
practical way of treating and disposing of these
wastes. This management option triggers the
mixture rule, since even a very small amount of a
listed wastestream combined with very large
volumes of nonhazardous wastewater causes the
entire mixture to be listed. EPA provided an
exemption from the mixture rule for situations where
relatively small quantities of
listed hazardous wastes are routed
to large-volume wastewater
treatment systems.
Other exemptions apply to
mixtures of listed and
characteristic wastes with mining
and mineral processing that are
exempt from the definition of
hazardous waste under the Bevill
exemption. Wastes that are
hazardous via the mixture rule
can also exit Subtitle C regulation
through the delisting process.
Derived-From Rule
Hazardous waste treatment, storage, and
disposal processes often generate residues that may
contain high concentrations of hazardous
constituents. In order to adequately protect human
health and the environment from the threats posed
by these potentially harmful wastes, the derived-
from rule governs the regulatory status of such
listed waste residues.
Figure 111-9: The Derived-From Rule
Listed Hazardous Waste
O
Any residue from the treatment,
storage, or disposal or a listed waste...
O
...is still a hazardous waste...
O
...unless the residue is derived-from a hazardous
waste that is listed solely for exhibiting the
characteristic of ignitability, corrosivity, and/or
reactivity and does not exhibit a characteristic of
hazardous waste
or
...unless the waste is recycled to make new products
or processed to recover usable materials with
economic value (provided that product is not used in a
manner constituting disposal or burned for energy
recovery)
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Listed Wastes
Residues produced from the treatment of listed
hazardous wastes may pose a significant threat to
human health and the environment. If not captured
by the waste's listing description, such waste could
escape regulation. To close this potential regulatory
gap, EPA created the derived-from rule which states
that any material derived from a listed hazardous
waste is also a listed hazardous waste (see Figure
III-9). For example, ash created by burning a
hazardous waste is considered derived-from that
hazardous waste. Thus, such ash bears the same
waste code and regulatory status as the original
listed waste, regardless of the ash's actual properties.
This principle applies regardless of the actual health
threat posed by the waste residue or the residue's
chemical composition.
Characteristic Wastes
Treatment residues and materials derived from
characteristic wastes are hazardous only if they
themselves exhibit a characteristic.
Wastes Listed Solely for Exhibiting the
Characteristic of Ignitability, Corrosivity, and/or
Reactivity
If a waste derived from the treatment, storage, or
disposal of a hazardous waste listed for the
characteristics of ignitability, corrosivity, and/or
reactivity, no longer exhibits one of those
characteristics, it is not a hazardous waste. For
example, if a sludge is generated from the treatment
of F003, and that sludge does not exhibit the
characteristic of ignitability, corrosivity, or
reactivity, the F003 listing will not apply to the
sludge.
Exemptions
There are several regulatory exemptions from
the derived-from rule. The first exemption applies
to products reclaimed from hazardous wastes. Many
listed hazardous wastes can be recycled to make new
products or processed to recover usable materials
with economic value. Such products derived-from
recycled hazardous wastes are no longer solid
wastes, provided that they are not used in a manner
constituting disposal or burned for energy recovery
(see Figure III-9). The other exemptions from the
derived-from rule apply to residues from specific
treatment operations. Wastes that are hazardous via
the derived-from rule can also exit Subtitle C
regulation through the delisting process.
Contained-ln Policy
Sometimes listed and characteristic wastes are
spilled onto soil or contaminate equipment,
buildings, or other structures. The mixture and
derived-from rules do not apply to such
contaminated soil and materials because these
materials are not actually wastes. Soil is considered
environmental media (e.g., soil, ground water,
sediment), while the equipment, buildings, and
structures are considered debris (e.g., a broad
category of larger manufactured and naturally
occurring objects that are commonly discarded).
Examples of debris include:
Dismantled construction materials, such as used
bricks, wood beams, and chunks of concrete
Decommissioned industrial equipment, such as
pipes, pumps, and dismantled tanks
Other discarded manufactured objects, such as
personal protective equipment (e.g., gloves,
coveralls, eyewear)
Large, naturally occurring objects, such as tree
trunks and boulders.
Environmental media and debris are
contaminated with hazardous waste in a number of
ways. Environmental media become contaminated
through accidental spills of hazardous waste or spills
of product chemicals which, when spilled, become
hazardous wastes. Debris can also be contaminated
through spills. Most debris in the form of industrial
equipment and personal protective gear becomes
contaminated with waste or product chemicals
during normal industrial operations.
In order to address such contaminated media and
debris, EPA created the contained-in policy to
determine when contaminated media and debris
must be managed as RCRA hazardous wastes.
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Chapter 1: Hazardous Waste Identification
Environmental media are not, in and of
themselves, waste, but are regulated as hazardous
waste when they contain (are contaminated by) a
RCRA listed hazardous waste or exhibit a
characteristic. In these cases, the media and debris
must be managed as if they were hazardous waste.
EPA considers contaminated media or debris to no
longer contain hazardous waste when it no longer
exhibits a characteristic of hazardous waste. This
applies when the hazardous waste contained within
the media or debris is either a characteristic waste or
a waste listed solely for a characteristic. Otherwise,
when dealing with listed waste contamination, EPA
or states can determine that media and debris no
longer contain hazardous waste by determining that
the media or debris no longer poses a sufficient
health threat to deserve RCRA regulation. Once this
contained-out determination is made, the media and
debris are generally no longer regulated under
RCRA Subtitle C. However, under certain
circumstances, the RCRA LDR requirements might
continue to apply.
MIXED WASTE
RCRA specifically exempts certain radioactive
mixed materials from the definition of solid waste.
However, some radioactive material may be mixed
with hazardous wastes that are regulated under
RCRA. In addition, a facility may generate a
hazardous waste that is also radioactive. Because
the material in both of these situations contains both
radioactive material and RCRA hazardous waste, it
is referred to as mixed waste under RCRA. RCRA
and AEA regulate these mixed wastes jointly. AEA
regulates the RCRA-exempt radioactive portion and
RCRA regulates the hazardous waste portion.
Mixed waste generators include DOE, power plants,
labs, hospitals, and universities using radioactive
materials.
EPA has provided increased flexibility to
generators and facilities that manage low-level
mixed waste (LLMW) and technologically enhanced
naturally occurring and/or accelerator-produced
radioactive material (NARM) containing hazardous
waste. The Agency is exempting LLMW from some
RCRA storage and treatment regulations, and
LLMW or eligible NARM from RCRA hazardous
waste transportation and disposal regulations. These
wastes are exempt from RCRA Subtitle C
requirements, including permitting, provided they
meet specific conditions. The exempt wastes must
then be managed as radioactive waste according to
Nuclear Regulatory Commission (NRC) regulations.
SUMMARY
In order to determine if a facility is subject to
RCRA Subtitle C, the owner and operator must
determine if they have a hazardous waste. This
determination must be made by using the following
methodology:
Is the material a solid waste?
Is the waste excluded?
Is the waste a listed hazardous waste?
Is the waste a characteristic waste?
A waste must first be a solid waste before it can
be a hazardous waste. A solid waste is a waste that
is abandoned, inherently waste-like, a military
munition, or recycled. On the other hand, if a
material is directly reused without prior reclamation
by being either used as an ingredient, used as a
product substitute, or returned to the production
process, then the material is not regulated as a waste
at all. If such reused materials, however, are used in
a manner constituting disposal; burned for energy
recovery, used to produce a fuel, or contained in
fuels; accumulated speculatively; or dioxin-
containing wastes considered inherently waste like;
then they are regulated as solid wastes. If a recycled
material needs reclamation prior to direct use or
reuse, its regulatory status is determined by the type
of material that it is:
Spent materials are regulated as solid wastes
when reclaimed; used in a manner constituting
disposal; burned for energy recovery, used to
produce a fuel, or contained in fuels; or
accumulated speculatively.
Listed sludges are solid wastes when reclaimed;
used in a manner constituting disposal; burned
for energy recovery, used to produce a fuel, or
contained in fuels; or accumulated speculatively.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Characteristic sludges are not solid wastes when
reclaimed, unless they are used in a manner
constituting disposal; burned for energy
recovery, used to produce a fuel, or contained in
fuels; or accumulated speculatively.
Listed by-products are solid wastes when
reclaimed; used in a manner constituting
disposal; burned for energy recovery, used to
produce a fuel, or contained in fuels; or
accumulated speculatively.
Characteristic by-products are not solid wastes
when reclaimed, unless they are used in a
manner constituting disposal; burned for energy
recovery, used to produce a fuel, or contained in
fuels; or accumulated speculatively.
CCPs are not solid wastes when reclaimed,
unless they are used in a manner constituting
disposal; or burned for energy recovery, used to
produce a fuel, or contained in fuels.
Scrap metal is a solid waste when reclaimed;
used in a manner constituting disposal; burned
for energy recovery, used to produce a fuel, or
contained in fuels; or accumulated speculatively.
Regardless of the type of recycling that takes
place, it must be legitimate and not sham recycling.
Some kinds of materials are excluded from the
Subtitle C hazardous waste regulations. There are
five categories of exclusions:
Exclusions from the definition of solid waste
Exemptions from the definition of hazardous
waste
Exclusions for waste generated in raw material,
product storage, or manufacturing units
Exclusions for laboratory samples and waste
treatability studies
Exclusion for dredged material.
If the waste fits one of these categories, it is not
regulated as a RCRA hazardous waste, and the
hazardous waste requirements do not apply.
If the waste is a solid waste and is not excluded,
a facility must determine if it is a listed hazardous
waste. The F, K, P, and U lists provide narrative
descriptions of wastes from specific industrial
processes and sources. Wastes meeting any of these
descriptions are listed hazardous wastes. However,
through the delisting process, facilities can
demonstrate that their wastes does not pose
sufficient hazard to warrant Subtitle C regulation as
a listed hazardous waste.
Wastes may also be hazardous if they exhibit a
characteristic. Even if a facility's waste is listed, the
owner and operator must still determine if it exhibits
a characteristic. The four characteristics are:
Ignitability
Corrosivity
Reactivity
Toxicity.
There are special regulatory conventions or
provisions that apply to hazardous waste mixtures;
treatment, storage, and disposal residues; and
contaminated media and debris. These provisions
are known as the mixture rule, the derived-from rule,
and the contained-in policy.
RCRA and AEA jointly regulate mixed waste, or
waste that is radioactive, and listed or characteristic.
EPA provided a conditional exemption for low-level
mixed waste (LLMW) storage, treatment,
transportation, and disposal of mixed wastes.
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CHAPTER 2
HAZARDOUS WASTE RECYCLING
AND UNIVERSAL WASTES
In this chapter...
Overview 111-29
Hazardous Waste Recycling 111-29
- Full Regulation 111-30
- Exemptions 111-30
- Special Standards 111-31
Used Oil 111-31
- Used Oil Regulation III-32
- What is Used Oil? III-32
- Used Oil Handlers III-32
- Used Oil Management Standards III-33
Universal Waste III-35
- Universal Waste Handlers III-36
- Universal Waste Transporters III-36
- Universal Waste Destination Facilities III-36
Cathode Ray Tubes III-37
Summary III-37
OVERVIEW
RCRA hazardous wastes do not cease to be
dangerous simply because they are being reused,
recycled, or reclaimed. Many hazardous waste
recycling operations may pose serious health and
environmental hazards and should be subject to
Subtitle C regulation. Reuse, recycling, and
reclamation should be viewed instead as ways of
managing hazardous wastes which, if properly
conducted, can avoid environmental hazards, protect
scarce natural resources, and reduce the nation's
reliance on raw materials and energy. Promoting
reuse and recovery is certainly one of the goals of
RCRA; however, this goal does not take precedence
over assuring the proper management of hazardous
waste.
EPA has tried, to the extent possible, to develop
regulations for hazardous waste management that
foster environmentally sound recycling and
conservation of resources, but at the same time
provide adequate protection of human health and the
environment. This chapter outlines the regulations
governing recycling of hazardous wastes, and
describes special management standards for two
commonly recycled wastestreams: used oil and
universal wastes.
HAZARDOUS WASTE RECYCLING
The hazardous waste identification process (as
discussed in Section III, Chapter 1) describes how to
determine whether a material is a solid and
hazardous waste. How a material is regulated under
RCRA (i.e., whether or not it is a solid and
potentially a hazardous waste) when it is recycled
depends on what type of material it is, and what
type of recycling is occurring. If the recycled
THE RECYCLING GOAL OF RCRA
Reuse, recycling, and reclamation are ways of
managing hazardous wastes which, if properly
conducted, can avoid environmental hazards, protect
scarce natural resources, and reduce the nation's
reliance on raw materials and energy. While promoting
reuse and recovery is certainly one of the goals of
RCRA, this goal does not take precedence over
assuring the proper management of hazardous waste.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
material is not a solid waste, then it is not a
hazardous waste and is not subject to RCRA Subtitle
C requirements. However, if the material qualifies
as a solid and hazardous waste, it is subject to RCRA
Subtitle C jurisdiction.
Many hazardous wastes can be recycled safely
and effectively. To address the goal of encouraging
recycling while protecting human health and the
environment, EPA has tried to tailor the level of
regulation to reflect the actual hazard of the
recycling activity. In this approach to regulation,
recycling standards range from full regulation to
specialized standards to exemptions from regulation.
Handlers of hazardous waste slated for recycling
must determine what type of regulation they fall
under based on the recycling activity being
conducted and the type of material being managed.
Full Regulation
Most recycled hazardous wastes are subject to
full hazardous waste regulation. This means that
handlers of these recyclable materials (i.e., persons
who generate, transport, or store prior to recycling)
are subject to the same regulations as handlers who
are managing hazardous wastes prior to disposal.
While management of the hazardous wastes
prior to recycling is subject to regulation, the
recycling process itself is exempt from RCRA
(except for some air emissions standards as
discussed in Section III, Chapter 5). For example, if
a facility receives hazardous spent solvents from
another facility for redistillation (heating a mixture
to separate it into several pure components), the
recycling units themselves are not subject to RCRA
design and operating standards for hazardous waste
units. However, the owners and operators of the
recycling facility must follow all applicable Subtitle
C requirements (including the requirement to obtain
a permit) for container or tank storage areas used to
store such wastes prior to recycling.
Exemptions
Not all hazardous wastes pose the same degree
of hazard when recycled. EPA believes wastes that
may be recycled in a protective manner, or that are
addressed under other environmental regulations,
warrant exemptions from RCRA Subtitle C.
Consequently, handlers of these materials are not
subject to any hazardous waste regulations. These
exempt recyclable hazardous wastes are:
Industrial ethyl alcohol
Scrap metal
Waste-derived fuels from refining processes
Unrefined waste-derived fuels and oils from
petroleum refineries.
Industrial Ethyl Alcohol
Industrial ethyl alcohol that is reclaimed is
exempt from RCRA Subtitle C because the U.S.
Bureau of Alcohol, Tobacco and Firearms (BATF)
already regulates it from the point of generation to
redistillation.
Scrap Metal
Scrap metal that is disposed of or recycled is a
solid waste; however, it is exempt from Subtitle C
regulation when it is reclaimed (i.e., recycled to
recover metal content). This does not apply to
processed scrap metal which is excluded from
hazardous waste regulation entirely (as discussed in
Section III, Chapter 1).
Waste-Derived Fuels from Refining Processes
Fuels produced by refining oil-bearing
hazardous wastes with normal process streams at
petroleum refining facilities are exempt if such
wastes resulted from normal petroleum refining,
production, and transportation practices. For these
wastes to be considered refined, they must be
inserted into a part of the process designed to
remove contaminants. This would typically mean
insertion prior to distillation.
Unrefined Waste-Derived Fuels and Oils
Fuels produced at a petroleum refinery from oil-
bearing hazardous wastes that are introduced into the
refining process after the distillation step, or that are
reintroduced in a process that does not include
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Chapter 2: Hazardous Waste Recycling and Universal Wastes
distillation, are exempt if the resulting fuel meets the
specifications under the federal recycled used oil
standards in 40 CFR §279.11 (as discussed later in
this chapter). Oil that is recovered from hazardous
waste at a petroleum refinery and burned as a fuel is
also exempt provided it meets the used oil
specifications.
Special Standards
While RCRA specifically exempts some wastes
when recycled, some recycling processes may still
pose enough of a hazard to warrant some degree of
regulation. However, due to the nature of the
recycling process itself or the nature of the materials
being recycled, these processes may require a
specialized set of standards. These processes are:
Use constituting disposal
Precious metals reclamation
Spent lead-acid battery reclamation
Burning for energy recovery.
Use Constituting Disposal
Use constituting disposal refers to the practice of
recycling hazardous wastes by placing them on the
land or using them as ingredients in a product that
will be placed on the land. To be placed on the land,
waste-derived products must: (1) be made for the
general public's use; (2) have undergone a chemical
reaction so as to be inseparable by physical means;
and (3) meet applicable LDR treatment standards (as
discussed in Section III, Chapter 6). Once these
waste-derived products meet these standards, they
are no longer restricted from placement on the land.
Materials that do not meet these criteria remain
regulated. There are also special standards for
hazardous wastes used to make zinc micronutrient
fertilizers.
Precious Metals Reclamation
Precious metals reclamation is the recycling
and recovery of precious metals (i.e., gold, silver,
platinum, palladium, iridium, osmium, rhodium, and
ruthenium) from hazardous waste. Because EPA
found that these materials will be handled
protectively as valuable commodities with
significant economic value, generators, transporters,
and storers of such recyclable materials are subject
to reduced requirements.
Spent Lead-Acid Battery Reclamation
Persons who
generate, transport,
regenerate, collect, and
store spent lead-acid
batteries prior to
reclamation, but do not
perform the actual
reclamation, are not
subject to hazardous
waste regulation. EPA
established those provisions to encourage the
recycling of these batteries. However, owners and
operators of facilities that store spent batteries before
reclamation, other than spent batteries that are
regenerated (processed to remove contaminants and
restore the product to a useable condition), are
subject to regulation in a manner similar to
hazardous waste TSDFs. Handlers of lead-acid
batteries may also choose to manage them under the
universal waste provisions discussed later in this
chapter.
Burning For Energy Recovery
The process of recycling hazardous waste by
burning it for energy recovery may pose significant
air emission hazards. Therefore, EPA established
specific operating standards for units burning
hazardous wastes for energy recovery. These units
are known as boilers or industrial furnaces (BIFs) (as
discussed in Section III, Chapter 7).
USED OIL
In developing a hazardous waste regulatory
program to facilitate and encourage recycling,
Congress felt that certain commonly recycled
materials warranted a regulatory program of their
own. As a result, Congress and EPA created special
management standards for used oil. Under these
standards, recycled used oil is not subject to the
hazardous waste regulatory program applicable to
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Section III: Managing Hazardous Waste - RCRA Subtitle C
other recycled materials, but rather to its own
management provisions.
Used oil has certain unique properties that make
it distinct from most hazardous wastestreams. First
of all, used oil is generated by a wide range of
entities, including, but not limited to, large
manufacturing facilities, industrial operations,
service stations, quick-lube shops, and even
households. Every year privately owned automobile
and light trucks generate over 300 million gallons of
used crank case oil. Secondly, used oil is an easily
recyclable material. For example, just one gallon of
used oil provides the same 2.5 quarts of lubricating
oil as 42 gallons of crude oil. However, even used
oil that does not exhibit any characteristics of
hazardous waste can have harmful effects if spilled
or released into the environment.
Used Oil Regulation
In an effort to encourage the recycling of used
oil, and in recognition of the unique properties and
potential hazards posed by used oil, Congress passed
the Used Oil Recycling Act in 1980. This Act
amended RCRA by requiring EPA to study the
hazards posed by used oil and to develop used oil
management standards to protect human health and
the environment. As a result, EPA developed special
recycling regulations for used oil that are completely
separate from hazardous waste recycling standards.
First, in November 1985, EPA promulgated
restrictions on the burning of used oil for energy
recovery. Second, in September 1992, EPA
developed a more comprehensive used oil recycling
program, codified in 40 CFR Part 279, that
incorporated the existing burning restrictions, and
added used oil management standards for all
facilities that handle used oil.
Since EPA's used oil program is designed to
encourage used oil recycling, Part 279 includes a
recycling presumption. This is an assumption that
all used oil that is generated will be recycled. The
recycling presumption simplifies the used oil
management system by enabling handlers to only
comply with the used oil regulations, instead of the
hazardous waste regulations. Only when the used
oil is actually disposed of or sent for disposal must
handlers determine whether or not the used oil
exhibits a characteristic of hazardous waste and
manage it in accordance with hazardous waste
regulations.
Additional information about used oil
management can be found at: www.epa.gov/
epaoswer/hazwaste/usedoil/index.htm.
What is Used Oil?
Used oil is any oil that has been refined from
crude oil or any synthetic oil that has been used and,
as a result of such use, is contaminated by physical
or chemical impurities. In other words, used oil
must meet
each of the
following
three criteria:
origin, use,
and
contamination.
First, the used
oil must be
derived from
crude oil or
synthetic oil
(i.e., derived
from coal,
shale, or polymers). Second, the oil must have been
used as a lubricant, hydraulic fluid, heat transfer
fluid, or other similar uses. Unused oil such as
cleanout tank bottoms from virgin product fuel oil
storage is not used oil because it has not been used.
Finally, the used oil must be contaminated by
physical or chemical impurities as a result of such
use. Physical impurities could include
contamination by metal shavings, sawdust, or dirt.
Chemical impurities could include contamination by
water or benzene, or degradation of lubricating
additives.
Used Oil Handlers
Persons who handle used oil are subject to
specific management requirements depending on the
extent of their used oil recycling activities. The
following handlers are subject to used oil
management standards:
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Chapter 2: Hazardous Waste Recycling and Universal Wastes
Generators
Collection centers and aggregation points
Transporters
Transfer facilities
Processors and rerefiners
Marketers.
Generators
Used oil generators are persons whose act or
process produces used oil, or first causes used oil to
be subject to regulation. Examples of common
generators include car repair shops, service stations,
and metalworking industries. Individuals who
generate used oil through the maintenance of their
own personal vehicles and equipment, known as
used oil do-it-yourselfers, are not considered used
oil generators.
Collection Centers and Aggregation Points
Used oil collection centers and aggregation
points are facilities that accept small amounts (less
than 55 gallons) of used oil and store it until enough
is collected to ship it elsewhere for recycling. Used
oil collection centers typically accept used oil from
multiple sources that include both businesses and
private citizens. Used oil aggregation points collect
oil from places run by the same owner and operator
as the aggregation point, and also from private
citizens.
Transporters
Used oil transporters are persons who haul
used oil in quantities greater than 55 gallons and
deliver it to transfer facilities, rerefiners, processors,
or burners.
Transfer Facilities
Used oil transfer facilities are any structures or
areas (such as loading docks or parking areas) where
used oil is held for longer than 24 hours, but not
longer than 35 days, during the normal course of
transportation.
Processors and Rerefiners
Used oil processors and rerefiners are facilities
that process used oil so that it can be burned for
energy recovery or reused.
Burners
Used oil burners are handlers who burn used oil
for energy recovery in boilers, industrial furnaces, or
hazardous waste incinerators.
Marketers
Used oil marketers are handlers who either: (1)
direct shipments of used oil to be burned as fuel in
regulated devices (i.e., boilers, industrial furnaces,
and incinerators); or (2) claim that used oil to be
burned for energy recovery is on-specification. A
marketer must already be a used oil generator,
transporter, processor, rerefiner, or burner.
Used Oil Management Standards
The used oil management standards apply to a
wide variety of facilities with very different business
practices. These standards are designed to establish
minimum regulations for all facilities, addressing
such practices as proper storage, transportation,
recordkeeping, and burning. These standards vary
by facility type. The most stringent requirements
apply to facilities that process or rerefine used oil.
Used oil transporters, transfer facilities, and used oil
burners are subject to a reduced set of standards.
Generators have the fewest requirements.
Used Oil as a Hazardous Waste
Because used oil mixed with hazardous wastes
increases risks to human health and the environment,
all handlers are encouraged to keep used oil from
becoming contaminated with hazardous wastes. To
prevent intentional mixing, EPA subjects mixtures of
used oil and listed hazardous waste to all applicable
hazardous waste standards.
From an enforcement point of view, however,
the Agency cannot always determine if used oil has
been mixed with a listed hazardous waste. As a
result, EPA decided to use an objective test that
focused on the halogen level in used oil (listed spent
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Section III: Managing Hazardous Waste - RCRA Subtitle C
halogenated solvents were often found to be mixed
with used oil). This objective test is known as the
rebuttable presumption. According to this test,
used oil that contains more than 1,000 parts per
million (ppm) of total halogens is presumed to have
been mixed with a listed hazardous waste, and is
therefore subject to applicable hazardous waste
regulations. A person may rebut this presumption by
demonstrating, through analysis or other
documentation, that the used oil has not been mixed
with listed hazardous waste. Nevertheless, used oil
that is known to have been mixed with a listed
hazardous waste is considered a listed hazardous
waste, regardless of the halogen level.
The principle for mixtures of used oil and
characteristic hazardous waste is somewhat
different. First, if used oil is mixed with a waste that
only exhibits the characteristic of ignitability, or is
listed solely for ignitability, and the resultant mixture
is no longer ignitable, then the mixture can be
managed as used oil, despite the inherent
characteristics that the used oil may bring to the
mixture. EPA believes that materials that are
ignitable-only should not affect the chemical
constituent or other properties of used oil when
mixed, and therefore, should not add additional risks
to human health and the environment when burned.
However, used oil mixed with a waste that is
THE REBUTTABLE PRESUMPTION
EPA presumes that used oil which contains more than
1,000 ppm of total halogens has been mixed with a
listed hazardous waste, and is therefore subject to
applicable hazardous waste regulations, unless the
presumption can be successfully rebutted. A person
may rebut this presumption by demonstrating, through
analysis or other documentation, that the used oil has
not been mixed with listed hazardous waste. For
example, a generator has a drum of used oil
containing 2,000 ppm of halogens. Even though the
used oil was not mixed with a listed hazardous waste,
EPA will presume that is the case. The generator,
however, can rebut this presumption by demonstrating
that the high halogen level is due to mixing with
household hazardous wastes, which are not
considered hazardous under RCRA. As a result, the
drum of oil is regulated as used oil, and not as
hazardous waste.
hazardous because it exhibits one or more
characteristics of hazardous waste (other than just
ignitability), must no longer exhibit any
characteristics if it is going to be managed as used
oil.
Used Oil Contaminated with PCBs
The use and disposal of PCBs are regulated by
the Toxic Substances Control Act (TSCA). In
addition to the RCRA used oil management
standards, marketers and burners of used oil
contaminated with any quantifiable level of PCBs
are subject to the current TSCA requirements, which
provide comprehensive management standards for
such used oils.
Storage
Although different used oil handlers may have
specific management requirements for their oil, all
handlers must:
Store used oil in tanks and containers.
Storage of used oil in lagoons, pits, or surface
impoundments is prohibited, unless these units
are subject to hazardous waste TSDF standards
(as discussed in Section III, Chapter 5)
Clearly mark containers and tanks with the
words "Used Oil"
Keep containers and tanks in good condition and
free of leaks
Respond to releases of used oil from their
storage units.
Transfer facilities, processors and rerefiners, and
burners must also have secondary containment
systems to prevent oil from reaching the
environment in the event of a spill or leak.
Secondary containment consists of an oil-impervious
dike, berm, or retaining wall to contain releases, as
well as an oil-impervious floor to prevent migration.
Burning Restrictions
Levels of contamination in used oils may vary
widely, depending on different types of uses or
length of use. Recognizing this fact, EPA has
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Chapter 2: Hazardous Waste Recycling and Universal Wastes
established a set of criteria, called used oil
specifications, to evaluate the potential hazards
posed by used oil when burned for energy recovery.
Used oil that is tested and is not within these set
parameters is termed off-specification used oil.
Parameter
Arsenic
Cadmium
Chromium
Flash point
Lead
Total Halogens
Allowable Level
5 ppm maximum
2 ppm maximum
10 ppm maximum
100° F minimum
100 ppm maximum
4,000 ppm maximum
Off-specification used oil may be burned for
energy recovery, but it is strictly regulated. Such
used oil may only be burned in:
Boilers
Industrial furnaces
Hazardous waste incinerators
Generator space heaters that meet certain
operating conditions.
Conversely, used oil that meets all specification
levels, otherwise known as on-specification used
oil, is not subject to any restrictions when burned for
energy recovery. In fact, on-specification used oil is
comparable to product fuel in terms of regulation.
Once the specification determination is made, and
certain recordkeeping requirements are complied
with, the on-specification oil is no longer subject to
used oil management standards.
Recordkeeping and Reporting
Used oil transporters, transfer facilities,
processors and rerefiners, burners, and marketers are
required to obtain an EPA identification (EPA ID)
number. While generators, collection centers,
aggregation points, and those who transport their
own used oil in shipments of less than 55 gallons do
not need an EPA ID number, they may still need a
state or local permit.
Used oil transporters, processors, burners, and
marketers must also track each acceptance and
delivery of used oil shipments. Records can take the
form of a log, invoice, or other shipping document
and must be maintained for three years.
In addition, used oil processors and rerefiners
must:
File a biennial report of used oil activity
Prepare a contingency plan detailing how
releases will be addressed
Prepare an analysis plan describing testing
protocols at the facility
Maintain records of shipment and deliveries of
used oil
Maintain an operating record at the facility.
UNIVERSAL WASTE
The special management provisions for used oil
clearly eased the management burden and facilitated
the recycling of such material. EPA also discovered
that subjecting other commonly recycled materials to
hazardous waste regulation was burdensome on
many handlers of these wastes. This burden has the
potential of discouraging waste recycling by
facilities who are otherwise willing to engage in
such activity. In response to these concerns, EPA
promulgated the universal waste program, in May
1995. These requirements are codified in 40 CFR
Part 273.
The universal waste program promotes the
collection and recycling of certain widely generated
hazardous wastes, known as universal wastes.
Through this program, EPA intends to ease the
regulatory burden on the facilities that manage
universal wastes, particularly by allowing more time
for accumulation of these wastes in order to facilitate
appropriate recycling or disposal. Three types of
waste were originally covered under the universal
waste regulations: hazardous waste batteries,
hazardous waste pesticides that are either recalled or
collected in waste pesticide collection programs, and
hazardous waste thermostats. In July 1999, EPA
added hazardous waste lamps to the universal waste
regulations. In June 2002, EPA proposed to add
mercury-containing equipment. Other similar
wastes may be added to the universal waste
regulations in the future. The regulated community
may also petition the Agency to include additional
wastes in the universal waste program.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
There are four types of regulated participants in
the universal waste system: small quantity handlers
of universal waste (SQHUW), large quantity
handlers of universal waste (LQHUW), universal
waste transporters, and universal waste destination
facilities.
WHAT ARE UNIVERSAL WASTES?
Universal wastes are subject to special management
provisions intended to ease the management burden
and facilitate the recycling of such materials. Four
types of waste are currently covered under the
universal waste regulations: hazardous waste
batteries, hazardous waste pesticides that are either
recalled or collected in waste pesticide collection
programs, hazardous waste thermostats, and
hazardous waste lamps. More wastes may be added
to the universal waste regulations in the future, but
presently only these wastes are included.
A complete overview of the universal waste
regulations can be found at www.epa.gov/epaoswer/
hazwaste/id/univwast.htm.
Universal Waste Handlers
There are two types of handlers of universal
waste. The first type of handler is a person who
generates, or creates, universal waste. For example,
this may include a person who uses batteries,
pesticides, thermostats, or lamps and who
eventually decides that they are no longer usable.
The second type of handler is a person who receives
universal waste from other handlers, accumulates the
waste, and then sends it on to other handlers,
recyclers, or treatment or disposal facilities without
performing the actual treatment, recycling, or
disposal. This may include a person who collects
batteries, pesticides, or thermostats from small
businesses and sends the wastes to a recycling
facility. The universal waste handler requirements
depend on how much universal waste a handler
accumulates at any one time.
Small Quantity Handlers of Universal Waste
Small quantity handlers of universal waste
accumulate less than 5000 kilograms (kg)
(approximately 11,000 pounds (Ibs)) of all universal
waste categories combined at their location at any
time. Accumulation time for universal wastes at any
location is limited to one year. SQHUW are
required to manage universal waste in a way that
prevents releases to the environment. SQHUW must
also immediately respond to releases of universal
waste. SQHUW must distribute basic waste
handling and emergency information to their
employees to ensure that their staff are aware of
proper handling and emergency procedures.
Large Quantity Handlers of Universal Waste
Large quantity handlers of universal waste
accumulate a total of 5000 kg or more of universal
waste at any time. The designation as a LQHUW is
retained for the remainder of the calendar year in
which the 5000-kg threshold was exceeded, and may
be reevaluated in the following calendar year.
LQHUW must comply with the same requirements
as SQHUW, as well as a few additional ones.
LQHUW must also maintain basic records
documenting shipments received at the facility and
shipments sent from the facility, must obtain an EPA
ID number, and must comply with stricter employee
training requirements.
Universal Waste Transporters
Universal waste transporters are persons who
transport universal waste from handlers of universal
waste to other handlers, destination facilities, or
foreign destinations. These wastes do not need to be
accompanied by a RCRA hazardous waste manifest
during transport, but transporters must comply with
applicable DOT requirements.
Transporters may store universal waste for up to
10 days at a transfer facility during the course of
transportation. Transfer facilities are transportation
related facilities such as loading docks, parking
areas, and storage areas. If a transporter keeps
universal waste for more than 10 days at one
location, the transporter is subject to all applicable
SQHUW or LQHUW regulations.
Universal Waste Destination Facilities
Universal waste destination facilities are
facilities that treat, dispose of, or recycle a particular
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Chapter 2: Hazardous Waste Recycling and Universal Wastes
category of universal waste. These facilities are
subject to the same requirements as fully regulated
hazardous waste TSDFs. Full regulation includes
permit requirements, general facility standards, and
unit-specific standards (as discussed in Section III,
Chapter 5). The universal waste program includes
only two additional specific universal waste
requirements for destination facilities. These
requirements are procedures for rejecting shipments
of universal waste and the documentation of the
receipt of universal waste.
CATHODE RAY TUBES
Cathode ray tubes (CRTs) are vacuum tubes,
made primarily of glass, which constitute the video
display component of televisions and computer
monitors. Color CRTs are generally hazardous for
lead. Recent technological advances in information
management and communication have greatly
improved the quality of people's lives. However,
our growing use of electronic products in the home
and workplace has provided a new environmental
challenge of managing electronic waste, including
CRTs. EPA is taking steps towards meeting this new
environmental challenge by proposing an exclusion
from the definition of solid waste that would
streamline RCRA management requirements for
CRTs.
SUMMARY
EPA developed a regulatory approach to regulate
different hazardous waste recycling activities in
accordance with the degree of hazard they pose. The
three types of regulation are: full regulation,
exemptions, and special standards.
Persons who generate, transport, and store
hazardous wastes prior to recycling must manage
them in the same manner as persons who handle
hazardous wastes prior to disposal. The recycling
process itself is exempt from regulation.
Certain hazardous wastes, based on the manner
in which they are recycled, or based on regulation by
other environmental statutes, are exempt from
hazardous waste regulation. Those wastes are:
Industrial ethyl alcohol
Scrap metal
Waste-derived fuels from refining processes
Unrefined waste-derived fuels and oils from
petroleum refineries.
Some recycling processes are not fully exempt
from hazardous waste regulation, but are instead
subject to specialized standards. These processes
are:
Use constituting disposal
Precious metal reclamation
Lead-acid battery reclamation (regenerated
batteries are exempt from hazardous waste
regulation entirely)
Burning for energy recovery.
Certain commonly recycled materials are subject
to streamlined hazardous waste regulation. One type
of material, used oil, is regulated under its own
recycling program. Used oil is defined as any oil that
has been refined from crude oil or any synthetic oil
that has been used and as a result of such use is
contaminated by physical or chemical impurities.
The used oil recycling provisions include
management standards for used oil:
Generators
Collection centers and aggregation points
Transporters
Transfer facilities
Processors and rerefiners
Burners
Marketers.
Another type of material, universal waste, is also
subject to streamlined management provisions. The
universal waste program is designed to encourage
the recycling of certain widely generated hazardous
wastes by easing the regulatory burden on persons
who handle, transport, and collect them. Universal
wastes consist of:
Hazardous waste batteries
Hazardous waste pesticides that are either
recalled or collected in waste pesticide
collection programs
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Hazardous waste thermostats
Hazardous waste lamps.
The universal waste program includes regulatory
provisions for universal waste handlers, transporters,
and destination facilities.
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CHAPTER 3
REGULATIONS GOVERNING HAZARDOUS
WASTE GENERATORS
In this chapter...
Overview 111-39
Who Are The Regulated Generators? 111-40
- Large Quantity Generators 111-40
- Small Quantity Generators 111-40
- Conditionally Exempt Small Quantity
Generators 111-41
- Episodic Generation 111-41
- State Regulations 111-41
Large and Small Quantity Generator
Regulatory Requirements 111-41
- Waste Identification and Counting III-42
- EPA Identification Numbers III-42
- Accumulation of Waste III-42
- Preparation for Transport Regulations III-43
- The Manifest III-43
- Recordkeeping and Reporting III-44
Conditionally Exempt Small Quantity
Generators III-45
Quantity and Time Limits III-45
International Shipments III-45
- Hazardous Waste Imports III-45
- Hazardous Waste Exports III-45
- International Treaties III-46
Farmer Exclusion III-46
Summary III-46
Additional Resources III-47
OVERVIEW
Under RCRA, hazardous waste generators are
the first link in the cradle-to-grave hazardous waste
management system. All generators must determine
if their waste is hazardous and must oversee the
ultimate fate of the waste. RCRA Subtitle C
requires generators to ensure and fully document
that the
hazardous
waste they
produce is
properly
identified,
managed,
and treated
prior to
recycling or
disposal.
The
regulations
applicable to
generators of
hazardous waste are located in 40 CFR Part 261
and Part 262. (Generators may also be subject to
LDR requirements as discussed in Section III,
Chapter 6.) The degree of regulation to which each
generator is subject depends to a large extent on
how much waste each generator produces every
calendar month. This chapter summarizes who is
considered a generator, and which standards apply
based on waste generation rates.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
WHO ARE THE REGULATED
GENERATORS?
The Subtitle C regulations broadly define the
term generator to include any person, by site, who:
First creates or produces a hazardous waste (e.g.,
from an industrial process)
OR
First brings a hazardous waste into the RCRA
Subtitle C system (e.g., imports a hazardous
waste into the United States).
Because generators are the first step in the
RCRA Subtitle C system, it is important that they
properly classify and identify their waste to ensure
proper handling later in the hazardous waste
management process. As a result, generators of
waste must make the following determinations:
Is the waste a solid waste?
Is the waste excluded?
Is the waste a listed hazardous waste?
Is the waste a characteristic hazardous waste?
Hazardous waste generators may include various
types of facilities and businesses ranging from large
manufacturing operations, universities, and hospitals
to small businesses and laboratories. Because these
different types of facilities generate different
volumes of wastes resulting in varying degrees of
environmental risk, RCRA regulates generators
based on the amount of waste that they generate in a
calendar month. As a result, there are three
categories of hazardous waste generators:
Large quantity generators (LQGs)
Small quantity generators (SQGs)
Conditionally exempt small quantity generators
(CESQGs).
Large Quantity Generators
Early in the development of the RCRA program
in 1980, EPA recognized that a relatively small
number of large scale hazardous waste management
facilities generated the majority of the nation's
hazardous waste. In order to address the facilities
that posed the greatest threat to human health and
the environment, EPA focused on those generators
that produced the greatest volumes of hazardous
waste by establishing standards for large quantity
generators.
Large quantity generators are defined as those
facilities that generate:
Greater than 1,000 kg of hazardous waste per
calendar month (approximately 2,200 Ibs)
OR
Greater than 1 kg of acutely hazardous waste per
calendar month (approximately 2.2 Ibs).
In 1999, there were approximately 20,000
LQGs.
Small Quantity Generators
The LQG regulations focused on generators
whose volume of waste posed the greatest threat to
human health and the environment. All other
generators that produced less than 1,000 kg of
hazardous waste per month (or less than 1 kg of
acutely hazardous waste per month) were initially
exempted from the RCRA generator requirements.
Because of the concern that such exempt
hazardous waste could cause environmental harm,
Congress (through HSWA) required that EPA also
regulate those small quantity generators who
produced more than 100 kg of hazardous waste.
SQGs are defined as those facilities that:
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Chapter 3: Regulations Governing Hazardous Generators
Generate between 100 kg (approximately 220
Ibs) and 1,000 kg of hazardous waste per
calendar month
AND
Accumulate less than 6,000 kg (approximately
13,200 Ibs) of hazardous waste at any time.
In 1999, there were approximately 125,000
SQGs.
Conditionally Exempt Small Quantity
Generators
Until HSWA, facilities generating waste below
the 100-kg cut-off point were exempt from RCRA
regulatory requirements. HSWA resulted in a third
category of generators, CESQGs. These generators
are defined as those facilities that produce:
Less than 100 kg of hazardous waste per
calendar month
OR
Less than 1 kg of acutely hazardous waste per
calendar month.
The CESQG requirements additionally limit the
facility's waste accumulation quantities to less than
1,000 kg of hazardous waste, 1 kg of acute
hazardous waste, or 100 kg of any residue from the
cleanup of a spill of acute hazardous waste at any
time.
In 1997, there were between 400,000 and
700,000 CESQGs.
Episodic Generation
Because generator status is determined on a
monthly basis, it is possible that a generator's status
can change from one month to the next, depending
on the amount of waste generated in a particular
month. This is referred to as episodic generation.
If a generator's status does in fact change, the
generator is required to comply with the respective
regulatory requirements for that class of generators
for the waste generated in that particular month.
State Regulations
State classification of generator categories may
be different from those outlined above. Some states
regulate all generators of hazardous waste (i.e., there
is no exempt category), while other states classify
generators by waste type rather than by generated
volume. Therefore, it is imperative that generators
contact their respective state agency to determine if
state generator regulations differ from these federal
requirements.
LARGE AND SMALL QUANTITY
GENERATOR REGULATORY
REQUIREMENTS
LQGs and SQGs are subject to regulations
contained in 40 CFR Part 262 that require each
generator to:
Identify and count waste
Obtain an
EPA ID
number
Comply with
accumulation
and storage
requirements
(including
requirements
for training,
contingency
planning, and
emergency arrangements)
Prepare the waste for transportation
Track the shipment and receipt of such waste
Meet recordkeeping and reporting requirements.
Because SQGs produce a smaller portion of the
nation's hazardous waste, Congress was concerned
that full regulation might be economically
burdensome and inappropriate. Consequently,
Congress authorized EPA to reduce the regulatory
requirements applicable to SQGs provided that such
requirements were still protective of human health
and the environment. This chapter fully discusses
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Section III: Managing Hazardous Waste - RCRA Subtitle C
these regulatory requirements and notes the
differences between LQG and SQG regulatory
provisions.
Waste Identification and Counting
In order to determine which generator standards
a facility must comply with, generators are required
to identify each waste that they generate and
determine all applicable listings and characteristics.
After determining which wastes are hazardous, each
month, generators are responsible for totaling (or
counting) the weight of all hazardous wastes
generated in that month in order to determine if they
will be regulated as a LQG, SQG, or CESQG for
that particular month.
EPA Identification Numbers
One way that EPA monitors and tracks
generators is by assigning each LQG and SQG a
unique EPA ID number. If you generate, treat,
store, dispose of, transport, or offer for
transportation any hazardous waste, you must have
an ID number. Furthermore, the generator is
forbidden from offering hazardous waste to any
transporter or TSDF that does not also have an EPA
ID number. ID numbers are issued to each generator
for each individual site or facility property where
hazardous waste is generated. Generators may
request ID number application forms from their state
agency.
Additional information regarding EPA ID
numbers, including the forms and instructions can be
found at the following URL:
www.epa.gov/epaoswer/hazwaste/data/
form8700/forms.htm
Accumulation of Waste
LQGs and SQGs are also subject to facility
waste management standards. A LQG may
accumulate hazardous waste on site for 90 days or
less. Under temporary, unforeseen, and
uncontrollable circumstances, this 90-day period
may be extended for up to 30 days by the state or
EPA on a case-by-case basis. LQGs storing
wastewater treatment sludges from electroplating
operations (F006) may store that waste for 180 or
270 days if the waste is to be recycled.
LQGs must comply with the following
requirements:
Proper Management The waste is properly
accumulated in containers, tanks, drip pads, or
containment buildings. Hazardous waste
containers must be kept closed and marked with
the date on which accumulation began. Tanks
and containers are required to be marked with
the words "Hazardous Waste." The generator
must ensure and document that waste is shipped
off site within the allowable 90-day period.
Emergency Plan LQGs are required to have
formal written contingency plans and emergency
procedures in the event of a spill or release.
Personnel Training Facility personnel must
be trained in the proper handling of hazardous
waste through an established training program.
Considering the lesser risks posed by the
generation of lesser quantities of hazardous waste,
SQGs are subject to less extensive facility waste
management provisions. A SQG may accumulate
hazardous waste on site for 180 days or less. SQGs
transporting hazardous waste for off-site treatment,
storage, or disposal over distances greater than 200
miles may accumulate waste for up to 270 days.
SQGs must comply with the following requirements:
Proper Management The waste is properly
accumulated in either tanks or containers
marked with the words "Hazardous Waste."
Containers must also be marked with the date on
which accumulation began.
Emergency Plan The SQG requirements
include specified emergency responses;
however, SQGs are not required to have written
contingency plans. They are required to ensure
that an emergency coordinator is on the
premises, or on-call at all times, and have basic
facility safety information readily accessible.
Personnel Training SQGs are not required to
have an established training program, but must
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Chapter 3: Regulations Governing Hazardous Generators
ensure that employees handling hazardous waste
are familiar with proper handling and emergency
procedures.
Preparation for Transport
Regulations
Pre-transport regulations are designed to ensure
safe transportation of hazardous waste from the
point of origin to the ultimate disposal site. In
developing hazardous waste pre-transport
regulations, EPA adopted DOT's regulations for
packaging, labeling, marking, and placarding. These
DOT regulations can be found at 49 CFR Parts 172,
173, 178, and 179. DOT regulations require:
Proper packaging to prevent leakage of
hazardous waste during both normal transport
conditions and potentially dangerous situations
(e.g., if a drum falls off of a truck)
Labeling, marking, and placarding of the
packaged waste to identify the characteristics
and dangers associated with its transport.
These pre-transport regulations only apply to
generators shipping waste off site for treatment,
storage, or disposal. Transportation on site is not
subject to these pre-transport requirements.
The Manifest
As previously discussed, the Subtitle C program
is designed to manage hazardous waste from cradle
to grave. The Uniform Hazardous Waste Manifest
(Form 8700-22) plays a crucial part in this
management system. (A sample of the manifest can
be found in Appendix A.) The manifest allows all
parties involved in hazardous waste management
(e.g., generators, transporters, TSDFs, EPA, state
agencies) to track the movement of hazardous waste
from the point of generation to the point of ultimate
treatment, storage, or disposal. A RCRA manifest
contains the following federally required
information:
Name, address, and EPA ID number of the
hazardous waste generator, transporter(s), and
designated facility
DOT description of the waste's hazards
Quantities of the wastes transported and
container type.
Each manifest also contains a certification that
states:
The shipment has been accurately described and
is in proper condition for transport
The generator has a waste minimization program
in place at its facility to reduce the volume and
toxicity of hazardous waste to the degree
economically practicable, as determined by the
generator
The treatment, storage, or disposal method
chosen by the generator is the most practicable
method currently available that minimizes the
risk to human health and the environment.
Each time a waste is transferred (e.g., from a
transporter to the designated facility or from a
transporter to another transporter), the manifest must
be signed to acknowledge receipt of the waste. A
copy of the manifest is retained by each individual in
the transportation chain. Once the waste is delivered
to the designated facility, the owner and operator of
that facility must sign and return a copy of the
manifest to the generator. This system ensures that
the generator has documentation that the hazardous
waste has arrived at its ultimate destination. To
further ensure the safe transport of hazardous waste,
a generator may not offer waste for transport unless
that transporter has an EPA ID number.
In May 2001, EPA proposed revisions to the
manifest form and regulations. EPA expects to
standardize the content and appearance of the
current manifest form so that the same form could be
used by waste handlers nationwide. Other
anticipated changes include improved tracking
procedures for problem shipments and an option to
complete, send, and store the manifest information
electronically. If finalized, the regulations for
generators and transporters in Parts 262 and 263 will
be changed to include the new manifest form.
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Recordkeeping and Reporting
The recordkeeping and reporting requirements
for LQGs and SQGs provide EPA and the states with
a method to track the quantities of hazardous waste
generated and the movement of hazardous wastes.
The generator regulations in 40 CFR Part 262
contain three primary recordkeeping and reporting
requirements:
Biennial reporting
Exception reporting
Three-year record retention.
Biennial Reporting
The biennial reporting requirements are intended
to provide EPA with reliable national data on
hazardous waste management. In order to achieve
this, LQGs must submit a Biennial Report (EPA
Form 8700-13A and B) to the EPA Regional
Administrator or state by March 1 of each even-
numbered year. The report details the generator's
activities during the previous calendar year and
includes the:
EPA ID number, name, and address of the
generator
EPA ID number and name of each transporter
used throughout the year
EPA ID number, name, and address of each off-
site TSDF and recycler to which waste was sent
during the year
Descriptions and quantities of each hazardous
waste generated.
The federal RCRA regulations do not require
SQGs to file biennial reports.
The data from the 1999 Bienniel Report can be
found at the following URL:
www.epa.gov/epaoswer/hazwaste/data/brs99/
index.htm
Exception Reporting
The RCRA regulations ensure that the transport
of hazardous waste from its point of generation to its
point of treatment, storage, or disposal is
documented through a manifest system. This system
requires the designated facility to return a signed and
dated copy of the manifest to the generator in order
to acknowledge receipt of the waste. If the generator
does not receive this paperwork, additional steps
need to be taken in order to locate the waste. As a
result, LQGs who transport waste off site, but do not
receive a signed and dated copy of the manifest from
the designated facility within 45 days from the date
on which the initial transporter accepted the waste,
must submit an exception report to the EPA
Regional Administrator. The exception report must
describe efforts made to locate the waste and the
results of those efforts.
SQGs who do not receive a signed and dated
copy of the manifest from the designated facility
within 60 days must send a copy of the original
manifest to the EPA Regional Administrator with a
note indicating that they have not received a return
copy.
Record Retention
Generators must keep a copy of each biennial
report and any exception reports for at least three
years from the due date of the report. Generators are
also required to keep copies of all manifests for three
years, or until a signed and dated copy of the
manifest is received from the designated facility.
The manifest received from the designated facility
must be kept for at least three years from the date on
which the hazardous waste was accepted by the
initial transporter. Finally, records of waste analyses
and determinations performed by the generator must
be kept for at least three years from the date the
waste was last sent to an on-site or off-site TSDF.
These retention periods may be extended
automatically during the course of any unresolved
enforcement action regarding the regulated activity,
or as requested by the EPA Administrator.
CONDITIONALLY EXEMPT SMALL
QUANTITY GENERATORS
While CESQGs are not subject to the
requirement to obtain an EPA ID number, comply
with accumulation and storage requirements, follow
the manifest system, or meet recordkeeping and
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reporting requirements, they are subject to limited
generator waste management standards. CESQGs
may also be subject to DOT requirements. CESQGs
must identity their hazardous waste, comply with
storage limit requirements, and ensure waste
treatment or disposal in an on-site or off-site:
Permitted or interim status hazardous waste
TSDF
State hazardous waste facility
State permitted, licensed, or registered solid
waste disposal facility
State MSWLF
Recycling facility
Universal waste facility.
QUANTITY AND TIME
LIMITS
LQGs, SQGs, and CESQGs are
subject to specific quantity and time
limits that restrict the amount of waste
that may be stored on site at any one
time, and the length of such storage.
For example, SQGs may not store more
than 6,000 kg of hazardous waste on site at
any one time, and CESQGs may not store more
than 1,000 kg of hazardous waste on site at any one
time. LQGs must move all of the waste that they
generate off site within 90 days, while SQGs have
180 days to move all waste off site. If SQGs or
CESQGs exceed their respective storage quantity
limits, or if LQGs or SQGs exceed their respective
accumulation time limits, the facility becomes a
storage facility subject to all applicable requirements
for TSDFs (including permitting) unless they have
received an accumulation time limit extension from
EPA or their state.
Recently, EPA promulgated less stringent
regulations for generators of F006 waste in order to
promote legitimate recycling of metal-bearing
electroplating sludges. As a result, large quantity
generators are allowed to accumulate F006 sludges
up to 180 or 270 days without a permit provided
they meet certain conditions.
INTERNATIONAL SHIPMENTS
Not all hazardous wastes that are managed in the
United States originate in this country. Similarly,
not all wastes generated in the United States are
managed exclusively in this country. To ensure that
such international shipments are handled in a
manner that protects human health and the
environment, RCRA contains management
provisions for both hazardous waste imports and
exports. Because such shipments are also governed
by various international treaties and agreements, the
RCRA regulations include provisions which
implement these treaties and agreements.
Hazardous Waste Imports
Under RCRA, any person
importing a hazardous waste into
the United States from a foreign
country is subject to the hazardous
waste generator standards. As a
result, an importer is subject to all
generator requirements, including
the completion of a hazardous waste
manifest. Subpart F of Part 262
contains special instructions for importers
completing the manifest.
Hazardous Waste Exports
RCRA also contains specific requirements for
hazardous waste exports. For example, there are
specific notification requirements for exports of
hazardous wastes that prohibit the export of
hazardous waste unless the exporter obtains written
consent from the receiving country prior to
shipment. This written consent must be attached to
the manifest accompanying each waste shipment.
To export a hazardous waste, the exporter must
notify the EPA Administrator 60 days prior to when
the waste is scheduled to leave the United States.
This notification may cover export activities
extending over a 12-month period, unless
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Section III: Managing Hazardous Waste - RCRA Subtitle C
information in the notification changes. If the
importing country agrees to accept the hazardous
waste, EPA will send an Acknowledgment of
Consent to the exporter, who may then export the
waste to the accepting country.
International Treaties
Two international treaties may affect U.S.
hazardous waste import and export practices. They
are the Basel Convention and the Organization for
Economic Cooperation and Development (OECD)
Council Decision.
Basel Convention
The Basel Convention establishes standards for
the transboundary movement of hazardous waste,
solid waste, and municipal incinerator ash, including
notice to and written confirmation from the
receiving country prior to export. As of 2000,
approximately 155 countries were party to the
Convention. Although the United States is not
currently a party to the Basel Convention, the
Convention still affects U.S. importers and exporters
in the following manner. Parties to the Basel
Convention cannot trade Basel-covered wastes with
nonparties in the absence of a bilateral or
multilateral agreement (in this case, a separate
agreement between countries or groups of countries
to govern the transboundary movement of waste).
As a result, U.S. businesses, as a practical matter,
can only import waste from and export waste to
those Basel countries with which the U.S.
government has negotiated a separate waste trade
agreement. Those countries with which the United
States has entered into such bilateral agreements for
import and export include Canada and Mexico.
Those countries with which the United States has
entered into a bilateral agreement for import include
Malaysia, Costa Rica, and the Phillipines.
Organization for Economic Cooperation
and Development Council Decision
The OECD Council Decision is another
multilateral agreement that establishes procedural
and substantive controls for the import and export of
hazardous waste recyclables between OECD
member nations. The agreement is intended to ease
the trade of such recyclables and minimize the
possibility that such wastes will be abandoned or
handled illegally. As of 2000, there were 30 member
countries in the OECD. Since the United States is a
member of OECD and is a party to the Decision,
U.S. businesses can trade recyclables with other
member OECD nations (including those that are also
party to the Basel Convention). Please note,
however, that transboundary movement between the
United States and the countries of Canada, Mexico,
Costa-Rico, Malaysia, and the Philippines is still
governed by each individual bilateral agreement and
not by the OECD Decision.
FARMER EXCLUSION
Although a farmer may be a generator of
hazardous waste, waste pesticides disposed of on a
farmer's own property in compliance with specified
waste management requirements, including the
disposal instructions on the pesticide label, are not
subject to the generator requirements. This
exclusion is intended to prevent the double
regulation of farmers under both RCRA and the
Federal Insecticide, Fungicide, and Rodenticide Act
(FIFRA).
SUMMARY
Hazardous waste generators regulated under
RCRA fall into three categories, based on the
amount of hazardous waste generated per calendar
month:
LQGs
SQGs
CESQGs.
LQGs and SQGs must:
Identify and count waste
Obtain an EPA ID number
Comply with accumulation and storage
requirements (including requirements for
training, contingency planning, and emergency
arrangements)
Prepare the waste for transportation
Track the shipment and receipt of such waste
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Meet recordkeeping and reporting requirements.
LQGs and SQGs may also be subject to LDR
requirements.
CESQGs are not subject to most of the generator
requirements applicable to LQGs and SQGs, but
they must identify their hazardous waste, comply
with storage limit requirements, and ensure waste
treatment or disposal in an on-site or off-site:
Permitted or interim status hazardous waste
TSDF
State hazardous waste facility
State permitted, licensed, or registered solid
waste disposal facility
State MSWLF
Recycling facility
Universal waste facility.
Any person importing hazardous waste into the
United States from a foreign country is subject to
hazardous waste generator standards. RCRA also
contains specific requirements for hazardous waste
exports. Importers and exporters must also comply
with the provisions of international trade treaties,
such as the Basel Convention and the OECD
Council Decision.
Because farmers disposing of certain pesticide
wastes on their own land are subject to regulation
under both RCRA and FIFRA, RCRA specifically
excludes such farmers from the generator
requirements.
ADDITIONAL RESOURCES
Additional information about hazardous waste
generators can be found at www.epa.gov/epaoswer/
hazwaste/gener/index.htm.
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CHAPTER 4
REGULATIONS GOVERNING HAZARDOUS
WASTE TRANSPORTERS
In this chapter...
Overview 111-49
Who Are the Regulated Transporters? 111-49
Regulatory Requirements for Transporters 111-50
- EPA Identification Number 111-50
- The Manifest 111-50
- Handling Hazardous Waste Discharges 111-51
Transfer Facilities 111-51
Additional Regulatory Requirements 111-51
Summary 111-51
OVERVIEW
Hazardous waste transporters play an integral
role in the cradle-to-grave hazardous waste
management system by delivering hazardous waste
from its point of generation to its ultimate
destination. Since such transporters are moving
regulated wastes on public roads and highways,
rails, and waterways, they are regulated not only by
RCRA, but by DOT standards as well. To avoid
regulatory discrepancies and redundant regulations,
the hazardous waste transporter regulations were
developed jointly by EPA and DOT. Although the
regulations are integrated, they are not located in the
same part of the CFR. DOT's Hazardous Materials
Transportation Act regulations are found in 49 CFR
Parts 171-179, while the RCRA Subtitle C
transporter requirements are located in 40 CFR Part
263. This chapter summarizes only the RCRA
Subtitle C transporter regulations. Please consult the
DOT regulations for a complete understanding of
hazardous waste transporter requirements.
WHO ARE THE REGULATED
TRANSPORTERS?
A hazardous waste transporter under Subtitle
C is any person engaged in the off-site
transportation of hazardous waste within the United
States, if such transportation requires a manifest.
Off-site transportation of hazardous waste includes
shipments from a hazardous waste generator's
facility property to another facility for treatment,
storage, or disposal. Regulated off-site
transportation includes shipments of hazardous
waste by air, rail, highway, or water.
Transporter regulations only apply to the off-site
transport of hazardous waste. The transporter
regulations do not apply to the on-site transportation
of hazardous waste within a facility's property or
boundary. On site refers to geographically
contiguous properties, even if the properties are
separated by a public road. Consequently, a facility
may ship
wastes
between two
properties
without
becoming
subject to the
hazardous
waste
transporter
regulations,
provided that
the properties
are
contiguous.
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Transporter requirements do apply to shipments
between noncontiguous properties that require travel
on public roads. Examples of such on-site
transportation include generators and TSDFs
transporting waste within their facilities, or on their
own property.
REGULATORY REQUIREMENTS
FOR TRANSPORTERS
A transporter of hazardous waste is subject to
several regulations under RCRA and must:
Obtain an EPA ID number
Comply with the manifest system
Properly handle hazardous waste discharges.
EPA Identification Number
One way that EPA keeps track of hazardous
waste transporters is by requiring each transportation
company to obtain an EPA ID number. Without this
ID number, the transporter is forbidden from
transporting hazardous waste. Unlike generator EPA
ID numbers, which are site-specific, transporter
numbers are assigned to the transportation company
as a whole. This means that each individual truck
does not receive a unique number, but rather, uses
the number issued to the company's headquarters
location.
The Manifest
With the exception of water and rail shipments
and the transport of certain SQG recycling wastes, a
transporter may not accept hazardous waste from a
generator unless the waste is
accompanied by a properly
prepared manifest. Upon
receiving the waste, the transporter
must sign and date the manifest to
acknowledge receipt and return a
copy to the generator before
leaving the generator's property. A
copy of the manifest must
accompany the shipment of the
waste at all times. Once a transporter has accepted a
waste, the transporter is required to deliver the entire
quantity of waste to the next designated transporter
or to the designated facility. Upon turning the waste
over to another transporter or to the designated
facility, the transporter is required to have the
manifest signed and dated by the recipient. All
transporters are required to keep a signed copy of the
manifest for three years from the date the initial
transporter accepted the waste. If the waste cannot
be delivered as the manifest directs, the transporter
must contact the generator and receive further
instructions on whether to return the waste or take it
to another facility.
These manifest requirements are slightly
different for water and rail transporters. Water and
rail transporters must comply with the directions on
the manifest, obtain an EPA ID number, and must be
listed on the manifest, but the manifest is not
required to physically accompany the waste
shipment at all times. Instead, both water and rail
transporters can use another shipping document
instead of the manifest, provided that it contains the
same information as the manifest (excluding the EPA
ID number, generator certification, and signatures).
The initial water or rail transporter must sign and
date the manifest or shipping document and ensure
that it reaches the designated facility, and the final
water or rail transporter must ensure that the owner
and operator of the designated facility signs the
manifest or shipping paper. Intermediate water and
rail transporters are not required to sign the manifest
or shipping paper.
Because one of the primary goals of RCRA is to
foster resource recovery and recycling, the
transporter regulations contain a special exemption
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Chapter 4: Regulations Governing Hazardous Waste Transporters
from the manifest requirements for transporters who
handle certain recycled (or reclaimed) wastes
generated by SQGs. This exemption is intended to
facilitate the recycling of small quantities of
hazardous wastes that are transported in a protective
manner. To qualify for this exemption, the waste
must be reclaimed under a contractual agreement
between the SQG and a recycling facility. The
agreement must specify the type of waste reclaimed
and the frequency of shipments. In addition, the
vehicle used to transport the waste must be owned
and operated by the recycling facility. Both the
generator and transporter are responsible for keeping
a copy of the reclamation agreement on file for three
years after the agreement ends.
In May 2001, EPA proposed revisions to the
manifest form and regulations. EPA expects to
standardize the content and appearance of the
current manifest form, Forms 8700-22 and 22a, so
that the same form could be used by waste handlers
nationwide. Other anticipated changes include
improved tracking procedures for problem
shipments and an option to complete, send, and store
the manifest information electronically. If finalized,
the regulations for generators and transporters in
Parts 262 and 263 will be affected by this proposal.
Handling Hazardous Waste
Discharges
Even though the regulations are designed to
ensure that hazardous waste shipments are
conducted safely, the transportation of hazardous
waste can still be dangerous as there is always the
possibility that an accident may occur. To address
this possibility, the regulations require transporters
to take immediate action to protect human health
and the environment if a release occurs (e.g.,
notifying local authorities and diking the discharge
area). When a serious accident or spill occurs, the
transporter must notify the National Response
Center (NRC) by phone. The Centers for Disease
Control (CDC) must also be informed if the spill
involves disease-causing agents.
The regulations also authorize certain federal,
state, or local officials to handle transportation
accidents. Specifically, if immediate removal of
waste is necessary to protect human health or the
environment, one of these officials may authorize a
nonmanifested removal of the waste by a transporter
without an EPA ID number.
TRANSFER FACILITIES
Transporters accepting hazardous waste from a
generator or another transporter may need to hold
waste temporarily during the normal course of
transportation. A transfer facility is defined as any
transportation-related facility, such as loading docks,
parking areas, storage areas, and other similar areas
where shipments are held during the normal course
of transportation. A transporter may hold waste at a
transfer facility for up to 10 days.
ADDITIONAL REGULATORY
REQUIREMENTS
Even though transporters are regulated under
Part 263 of the RCRA regulations and DOT
provisions, there are certain situations when a
transporter may be subject to additional RCRA
regulatory requirements. For example, if a
transporter stores waste at a transfer facility for
more than 10 days, the transfer facility becomes a
storage facility subject to all applicable requirements
for TSDFs (including permitting).
In other situations, a transporter may be subject
to RCRA hazardous waste generator requirements.
For example, transporters may import hazardous
waste into the United States, thus causing the waste
to become subject to the RCRA regulations. Also,
transporters may mix separate hazardous wastes
with different DOT shipping descriptions into a
single container, thus physically producing a
hazardous waste. In these instances, transporters are
responsible for complying with the RCRA hazardous
waste generator provisions (as discussed in Section
III, Chapter 3).
SUMMARY
A regulated transporter is defined under Subtitle
C as any person engaged in the off-site
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Section III: Managing Hazardous Waste - RCRA Subtitle C
transportation of hazardous waste, if such
transportation requires a manifest. The transporter
regulations do not apply to the on-site transportation
of hazardous waste within a facility's property
boundary.
Transporters of hazardous waste must comply
with both EPA and DOT regulations. The RCRA
Subtitle C regulations require a transporter to:
Obtain an EPA ID number
Comply with the manifest system
Properly handle hazardous waste discharges.
During the normal course of transportation,
transporters may hold waste temporarily (for up to
10 days) at a transfer facility.
Transporters of hazardous waste may also be
subject to Subtitle C generator or storage facility
requirements (e.g., if the transporter stores waste at
a transfer facility for more than 10 days or imports
hazardous waste into the United States).
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CHAPTER 5
REGULATIONS GOVERNING TREATMENT,
STORAGE, AND DISPOSAL FACILITIES
In this chapter...
Overview
What is a TSDF?
- Permits and Interim Status
- Exemptions
General Facility Standards
- EPA Identification Numbers
- Waste Analysis
- Security
- Inspection Requirements
- Personnel Training
- Requirements for Ignitable, Reactive, or
Incompatible Waste
- Location Standards
Preparedness and Prevention
Contingency Plans and Emergency
Procedures
- Contingency Plan
- Emergency Coordinator
- Emergency Procedures
Manifest, Recordkeeping, and Reporting
- Manifest
- Operating Record
- Biennial Report
- Additional Reports
Standards for Hazardous Waste Treatment
Storage, and Disposal Units
- Containers
- Containment Buildings
- Drip Pads
- Land Treatment Units
- Landfills
- Surface Impoundments
- Tanks
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- Waste Piles
- Miscellaneous Units
Closure
- Closure Requirements
- Post-Closure Requirements
Financial Assurance
- Financial Assurance for Closure/
Post-Closure Care
- Accident Liability Requirements
- Financial Assurance Mechanisms
Ground Water Monitoring
- General Requirements
- Permitted Facilities
- Interim Status Facilities
Air Emission Standards
- Process Vents
- Equipment Leaks
- Containers, Surface Impoundments, and
Tanks
- Other Requirements
Summary
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OVERVIEW
Treatment, storage, and disposal facilities
(TSDF) are the last link in the cradle-to-grave
hazardous waste management system. The
requirements for TSDFs, located in 40 CFR Parts
264 and 265, are more extensive than the standards
for generators and transporters. They include
general facility operating standards, as well as
standards for the various types of units in which
hazardous waste is managed. General facility
standards address good management practices for
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Section III: Managing Hazardous Waste - RCRA Subtitle C
any facility engaged in hazardous waste
management. The technical standards go beyond
these requirements to ensure that all elements of the
TSDF are constructed and operated to prevent leaks
of hazardous waste into the environment. The
technical standards also address the diversity of
hazardous waste operations being conducted around
the country by guiding facilities in the proper design,
construction, operation, maintenance, and closure of
a variety of hazardous waste treatment, storage, and
disposal units. These unit standards include
requirements for a wide range of hazardous waste
management units, from containers (e.g., 55-gallon
drums) to landfills, in order to ensure that these units
handle waste safely and effectively.
WHAT IS A TSDF?
With some exceptions, a TSDF is a facility
engaged in one or more of the following activities:
Treatment - Any method, technique, or process
designed to physically, chemically, or
biologically change the nature of a hazardous
waste
Storage - Holding hazardous waste for a
temporary period, after which the hazardous
waste is treated, disposed of, or stored elsewhere
Disposal - The discharge, deposit, injection,
dumping, spilling, leaking, or placing of any
solid or hazardous waste on or in the land or
water. A disposal facility is any site where
hazardous waste is intentionally placed and
where the waste will remain after a TSDF stops
operation.
To help owners and operators of new and
existing TSDFs comply with new RCRA
regulations, RCRA divides them into two categories:
permitted (new) and interim status (existing).
Permits and Interim Status
When Congress enacted RCRA in 1976, it
directed EPA to develop standards for new TSDFs
(those built after the standards were established) and
for facilities that were already in operation.
Congress further required that the standards for both
new and existing facilities differ only where
absolutely necessary.
New TSDFs, those facilities constructed after
the regulations were promulgated, must be designed
and built to meet the standards EPA deemed
necessary to protect human health and the
environment. To handle hazardous waste, a new
facility must obtain a permit, in accordance with
provisions in 40 CFR Part 270, before it begins
operation. These facilities are called permitted
facilities. (Permitting is fully discussed in Section
III, Chapter 8.) The permit lays out the standards
and requirements applicable to the specific activities
conducted at that facility, including both the general
facility standards and the standards applicable to
each type of unit at the facility. The requirements
for these facilities are located in 40 CFR Part 264.
On the other hand, facilities already in existence
and operating may not immediately be able to meet
the design and operating standards for new facilities.
For example, when RCRA was enacted, existing
hazardous waste management facilities immediately
became subject to regulation, while other existing
facilities managing nonhazardous waste were
brought into RCRA by regulatory changes that made
these wastes hazardous. For both sets of TSDFs,
EPA created a special category of regulations to
allow these facilities to gradually come up to speed
with the standards for permitted facilities. These
facilities are called interim status facilities. While
in interim status, facilities must comply with these
separate standards, which are often less stringent
than the standards for permitted facilities and are not
tailored to individual sites, until they receive their
permit. The requirements for these facilities are
located in 40 CFR Part 265.
While the standards for permitted facilities are
often similar to those for interim status facilities,
there are circumstances where the standards for new
facilities would be impracticable for existing
facilities to implement immediately. This chapter
will focus primarily on the standards for permitted
facilities, contrasting them with the standards for
interim status facilities where appropriate.
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Exemptions
In order to promote certain beneficial activities
or to avoid overlapping with the requirements of
other parts of RCRA or other environmental laws,
RCRA exempts certain types of facilities or
operations from the standards for permitted and
interim status TSDFs.
Permits-by-Rule
Facilities that have permits for certain activities
under other environmental laws may qualify for a
special form of a RCRA permit, known as a permit-
by-rule. These activities include ocean disposal of
hazardous wastes regulated under the Marine
Protection, Research, and Sanctuaries Act
(MPRSA); underground injection of hazardous
wastes regulated under the Safe Drinking Water Act
(SDWA); and treatment of hazardous wastewaters in
a POTW regulated under CWA. Under this
exemption, the facility's non-RCRA permit serves in
place of a RCRA permit, provided the facility is in
compliance with that permit and other basic RCRA
administrative requirements. (Permits-by-rule are
fully discussed in Section III, Chapter 8.)
Conditionally Exempt Small Quantity Generator
Waste
Facilities that treat (including recycle), store, or
dispose of only hazardous waste generated by
CESQGs are excluded from the TSDF standards.
RCRA requires that such facilities be permitted,
licensed, or registered by the state to handle
nonhazardous industrial or municipal solid waste, or
qualify as a recycling facility. (CESQGs are fully
discussed in Section III, Chapter 3.)
Recyclable Materials
RCRA provides separate, reduced regulations
for TSDFs recycling certain materials. These
recycling facilities are generally exempt from the
TSDF standards, but may be required to comply
with streamlined hazardous waste management
requirements. These reduced provisions apply to
facilities recycling:
Precious metals
Lead-acid batteries
Used oil
Hazardous waste burned in boilers and industrial
furnaces.
For other recyclable materials, there are no
special requirements. For example, facilities
recycling the following materials are exempt from
all TSDF standards:
Industrial ethyl alcohol
Used batteries returned to the manufacturer for
regeneration
Scrap metal
Fuels produced from refining oil-bearing
hazardous wastes
Oil reclaimed from hazardous waste.
(Recyclable materials are fully discussed in
Section III, Chapter 2.)
Generators
Generators accumulating waste on site in
accordance with the generator regulations do not
need a permit and do not have to comply with the
permitted TSDF standards. They must comply with
only those interim status standards specified in the
generator regulations. On the other hand, if SQGs
or CESQGs exceed their respective storage limits, or
if LQGs or SQGs exceed their respective
accumulation time limits, the facility becomes a
storage facility subject to all applicable requirements
for TSDFs (including permitting). (Generators are
fully discussed in Section III, Chapter 3.)
Farmers
Farmers disposing of pesticide wastes on their
own property in compliance with the disposal
instructions on the pesticide label are also not
subject to the TSDF standards. Congress did not
want to regulate farmers under both RCRA and
FIFRA. Therefore, farmers meeting these
management conditions are exempt from the TSDF
standards.
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Totally Enclosed Treatment Units
Totally enclosed treatment units (TETUs) are
designed and constructed to eliminate the potential
for hazardous wastes to escape into the environment
during treatment. If directly connected to an
industrial production process, and treatment
prevents the release of hazardous constituents into
the environment, TETUs are exempt from the TSDF
standards.
Elementary Neutralization Units
Elementary neutralization units (ENUs) are
containers, tanks, tank systems, transportation
vehicles, or vessels that neutralize wastes that are
hazardous only for exhibiting the characteristic of
corrosivity (D003). Neutralization in such units is
exempt from the TSDF standards. However,
neutralization in other types of units is regulated.
Wastewater Treatment Units
Wastewater treatment units (WWTUs) are
tanks or tanks systems that treat hazardous
wastewaters and discharge them pursuant to CWA
(e.g., the discharge is sent to a POTW or to surface
water under a NPDES permit). Such units are
exempt from the TSDF regulations.
Emergency Response
Treatment, storage, and disposal activities that
are part of an emergency response action taken to
immediately contain or treat a spill of hazardous
waste are exempt from TSDF standards. On the
other hand, any treatment, storage, or disposal after
the emergency situation has passed is subject to full
regulation. Likewise, any hazardous waste
generated during an emergency action must be
managed in accordance with the generator standards.
Transfer Facilities
A transfer facility is a transportation-related
facility, including loading docks and parking and
storage areas, where shipments of hazardous waste
are temporarily held during the normal course of
transportation. A transfer facility temporarily
storing a manifested shipment of hazardous waste
for less than 10 days before transfer to the next
designated facility is not subject to the TSDF
standards. On the other hand, if transporter storage
at a transfer facility exceeds 10 days, the transfer
facility becomes a storage facility subject to all
applicable requirements for TSDFs (including
permitting). (Transfer facilities are fully discussed
in Section III, Chapter 4.)
Adding Absorbent
Because liquid hazardous wastes are not allowed
in a landfill, absorbents must be added to the
container to remove the visible liquids. Adding
absorbent to hazardous waste may be considered
hazardous waste treatment, thus triggering the TSDF
standards. However, to promote the reduction of the
amount of liquid hazardous waste sent to landfills,
the regulations for hazardous waste treatment do not
apply to a facility adding absorbent to waste when
the waste is first put into a container. Subsequent
addition of absorbent is not covered under this
exemption and may be considered treatment subject
to the TSDF standards.
Universal Waste Handlers
Handlers and transporters of recycled batteries,
pesticides, mercury thermostats, and lamps are
exempt from the TSDF standards. (Universal wastes
are fully discussed in Section III, Chapter 2.)
GENERAL FACILITY STANDARDS
If a TSDF is not exempt under any of these
provisions, then it must comply with the standards
for fully regulated TSDFs. These standards cover
good management practices, including keeping track
of the amount and type of wastes entering the
facility, training employees to safely manage
hazardous waste, and preparing to avoid hazardous
waste emergencies.
EPA Identification Numbers
As with generators and transporters of
hazardous waste, TSDF owners and operators are
required to notify EPA of the types of hazardous
waste they plan to treat, store, or dispose of by
applying for an EPA ID number.
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Waste Analysis
To keep track of the wastes being sent for
treatment, storage, or disposal, TSDF owners and
operators must analyze waste shipments. The
TSDF's permit will list the types of hazardous waste
that a facility is allowed to treat, store, or dispose.
Analyzing the waste received ensures that the
facility only handles wastes they are permitted to
handle, and ensures that the wastes are treated,
stored, or disposed properly. A waste analysis plan
outlines the procedures necessary to ensure proper
treatment, storage, or disposal. The plan must be
written, kept on site, and answer six basic questions:
How will the TSDF know if the waste received
is the same as that described on the manifest?
Which waste constituents should the TSDF
analyze?
How should the samples be taken?
What testing and analytical methods should the
facility use?
How often should the waste be retested?
What are the acceptance and rejection criteria
for each wastestream?
The waste analysis must be repeated
periodically to ensure that the information on a
given waste is accurate and current. At a minimum,
the waste analysis must be repeated when the TSDF
is notified or has reason to believe that the process
or operation generating the hazardous waste has
changed, and when inspection indicates that the
hazardous waste received does not match the
information on the accompanying manifest.
Security
Security provisions are intended to prevent
accidental or unauthorized entry into the active
portion of a facility (i.e., where hazardous waste is
treated, stored, or disposed). Unless the TSDF
owner and operator demonstrates to the
implementing agency that livestock or unauthorized
persons who enter the facility will not be harmed
and will not interfere with compliance with the
regulations, the facility must install the following
security measures:
A 24-hour surveillance system that continuously
monitors and controls entry onto the active
portion of the facility (e.g., television
monitoring, guards)
OR
An artificial or natural barrier (e.g., a fence) that
completely surrounds the active portion of the
facility and serves as a means to control entry to
the active portion of the facility at all times
through gates or entrances
A sign reading: "Danger Unauthorized
Personnel Keep Out" at each entrance to the
active portion of the facility. The sign must be
written in English and any other language that is
predominant in the area surrounding the facility.
Alternative language conveying the same
message may also be used.
Inspection Requirements
To make sure that the facility is operating
properly, the TSDF owner and operator must
visually inspect the facility for malfunction,
deterioration, operator errors, and leaks. The
inspections should follow a written inspection
schedule developed and followed by the owner and
operator. The schedule identifies the types of
problems to be checked and how often inspections
should be conducted. Areas where spills are more
likely to occur, such as loading and unloading areas,
must be inspected daily when in use. Unit-specific
inspections or requirements also must be included in
the schedule. The owner and operator must record
inspections in a log or summary and must remedy
any problems identified during inspections.
Personnel Training
To ensure that employees at the facility
understand the risks posed by management of
hazardous waste and are prepared to respond in case
of an emergency, TSDF owners and operators must
provide training. The training program must be
completed six months from the date the facility is
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subject to the TSDF standards, or six months after
the date a worker is newly employed. This training
program must be reviewed annually.
Requirements For Ignitable, Reactive,
or Incompatible Waste
To avoid dangerous accidents, fires, or
explosions, special care must be taken in handling
ignitable, reactive, or incompatible wastes. TSDF
owners and operators handling ignitable and reactive
wastes must be able to demonstrate that these wastes
are protected from ignition sources. Such protection
includes "No Smoking" signs placed where ignitable
and reactive wastes are stored, designation of
separate smoking areas, and additional handling
requirements. Similarly, owners and operators must
take precautions against the combined storage of
wastes that might react dangerously with one
another, or with the unit in which they are stored.
Such a reaction might be a fire or explosion, or the
release of toxic dusts, gases, or fumes. To determine
if particular wastes or storage units are compatible,
the RCRA regulations list some common potentially
incompatible wastes (40 CFR Part 264, Appendix
V). For compatibility of wastes not listed in the
regulations, the owner or operator may need to test
the waste and the unit for compatibility.
Location Standards
Certain types of terrain may increase the dangers
associated with managing hazardous waste. To
protect people and the environment around these
areas, RCRA imposes restrictions on where TSDFs
can be built. The location standards for building
new TSDFs include restrictions on siting TSDFs in
floodplains or earthquake-sensitive areas.
Additionally, TSDF owners and operators may not
place noncontainerized or bulk liquid hazardous
waste in a salt dome, salt bed formation, or
underground mine or cave. Congress has granted
one exception to this rule: DOE's Waste Isolation
Pilot Project (WIPP) in New Mexico.
PREPAREDNESS AND
PREVENTION
The preparedness and prevention standards are
intended to minimize and prevent emergency
situations at TSDFs, such as a fire, an explosion, or
any unplanned release of hazardous waste or
hazardous waste constituents to the air, soil, or
surface water. These regulations require
maintenance and routine testing of emergency
equipment, alarms, minimum aisle space (to
accommodate movement of personnel and
equipment during emergencies), and provisions for
contacting local authorities (police, fire department,
hospitals, and emergency response teams) involved
in emergency responses at the facility.
CONTINGENCY PLANS AND
EMERGENCY PROCEDURES
Because emergencies cannot always be avoided,
a TSDF must be prepared to respond. Contingency
plans and emergency procedures provide the owner
and operator with mechanisms to respond effectively
to emergencies. The goal of these requirements is to
minimize hazards resulting from fires, explosions, or
any unplanned release of hazardous waste or
constituents to air, soil, or surface water. To help
guide these activities, the owner and operator must
maintain a written contingency plan at the facility,
and must carry out that plan immediately in the
event of an emergency.
Contingency Plan
The contingency plan describes emergency
response arrangements with local authorities and
lists the names, addresses, and telephone numbers of
all facility personnel qualified to work with local
authorities as emergency coordinators. Where
applicable, the plan might also include a list of
emergency equipment and evacuation plans. If the
owner and operator has already prepared an
emergency or contingency plan in accordance with
other regulations (e.g., the Spill Prevention, Control,
and Countermeasures (SPCC) rules as discussed in
Section VI, Chapter 1), they can amend the existing
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plan to incorporate hazardous waste management
provisions.
The contingency plan must be reviewed and
amended when the applicable regulations or facility
permits are revised, if the plan fails in an
emergency, or when there are changes to the facility,
the list of emergency coordinators, or the list of
emergency equipment. A copy of the contingency
plan (and any revisions) must be maintained at the
facility and provided to all local authorities who
may have to respond to emergencies.
Emergency Coordinator
To guide emergency response activities, the
TSDF owner and operator must designate an
emergency coordinator. The emergency coordinator
is responsible for assessing emergency situations
and making decisions on how to respond. There
must be at least one employee either on the facility
premises or on call with the authority to commit the
resources needed to carry out the contingency plan.
Emergency Procedures
During an emergency, measures must be taken to
ensure that fires, explosions, and releases do not
occur, recur, or spread. In the event of an imminent
or actual emergency situation, the emergency
coordinator must immediately activate internal
facility alarms or communication systems and notify
appropriate state and local authorities. If the
coordinator determines that the emergency threatens
human health or the environment outside of the
facility and finds that evacuation of local areas may
be advisable, the coordinator must notify appropriate
authorities, and either the designated government
official for the area or the National Response Center.
MANIFEST, RECORDKEEPING,
AND REPORTING
To keep track of hazardous waste activities,
TSDF owners and operators must keep records and
make reports to EPA. The manifest system tracks
each off-site shipment of hazardous waste. The
operating record and biennial report detail facility
and waste management over time.
Manifest
When a waste shipment is received from off site,
the TSDF owner and operator must sign and date all
copies of the manifest to verify that the waste has
reached the appropriate designated facility. The
TSDF must keep a copy for its records and send a
copy to the generator within 30 days to verify that
the waste has been accepted. If the owner and
operator of a TSDF must send the waste to another
TSDF for further treatment or disposal, they must
initiate a new manifest.
Operating Record
To keep track of hazardous waste activity at the
facility, the owner and operator is required to keep,
until the facility closes, a written operating record
on site describing all waste received; methods and
dates of treatment, storage, and disposal; and the
wastes' location within the facility. All information
should be cross-referenced with the manifest
number. Other information that the TSDF must keep
in its operating record includes:
Waste analysis results
Details of emergencies requiring contingency
plan implementation
Inspection results (required to be kept for three
years).
While most records may be kept on computer or
microfiche, the TSDF owner and operator must keep
original, signed copies of all manifests for
inspection purposes. All records and plans must be
available for inspection.
Biennial Report
To track hazardous waste activity nationwide,
RCRA requires TSDFs to report to EPA the types
and amounts of hazardous wastes generated,
received, treated, stored, and disposed. TSDFs that
generate hazardous waste through the course of on-
site treatment, storage, or disposal must also
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describe waste minimization efforts taken to reduce
the volume and toxicity of wastes generated, as well
as describe the changes in volume or toxicity
actually achieved, compared with those achieved in
previous years. Reports are due to the EPA Regional
Administrator on March 1 of each even-numbered
year, and must detail the waste managed during the
previous (odd-numbered) year. For example, the
biennial report covering 2001 activities would be
due March 1, 2002. Additionally, some states may
require submission of such reports annually. Each
owner and operator should consult their state agency
for more specific biennial reporting information.
Additional Reports
Other reports that must be supplied to the
implementing agency include, but are not limited to,
reports of releases, fires and explosions, ground
water contamination and monitoring data, and
facility closure information. Spills may also trigger
reporting requirements under CERCLA, and the
Emergency Planning and Community Right-to-
Know Act (EPCRA). (CERCLA and EPCRA are
fully discussed in Section VI.)
STANDARDS FOR HAZARDOUS
WASTE TREATMENT, STORAGE,
AND DISPOSAL UNITS
Hazardous waste managed at TSDFs may be
treated, stored, or disposed of in several different
types of units. In order to ensure that hazardous
wastes are managed properly and in a safe manner,
RCRA imposes design, construction, operation,
maintenance, closure, and financial assurance
requirements on hazardous waste management units.
Some of these units treat, store, or dispose of
hazardous waste in or on the ground. Because these
land-based units (i.e., land treatment units, landfills,
surface impoundments, and waste piles) manage
waste directly on the land, they have the potential to
generate hazardous leachate that can pose a serious
threat to soil, surface water, ground water, and
human health and the environment.
To minimize the potential for leachate to
threaten human health and the environment, EPA
developed design and operating standards that use a
combination of different technologies and good
operating practices to detect, contain, and clean up
any leaks that might occur.
Waste management not only has the potential to
threaten ground water, surface water, and soil, but air
as well. In order to minimize the risks that
hazardous waste management poses to air, RCRA
includes standards to control air emissions from
certain hazardous waste management operations and
units.
Containers
Containers are one of the most commonly used
and diverse forms of hazardous waste storage. A
container is any portable device in which a material
is stored, transported, treated, or otherwise handled.
Examples of hazardous waste containers include, but
are not limited to: 55-gallon drums, large tanker
trucks, railroad cars, small buckets, and test tubes.
When EPA promulgated the unit-specific
requirements for hazardous waste containers, the
Agency emphasized that although mismanagement
of containers has caused severe contamination in the
past, relatively few regulations would be needed to
ensure proper management. As a result, the
container standards consist of very streamlined and
basic management requirements.
Design Standards
Containers must be in good condition.
Containers that are deteriorating (e.g., cracked,
rusted, or leaking) cannot be used. Waste stored in
defective containers must be transferred to
containers in good condition or managed in another
type of unit.
Operating Requirements
To prevent containers from spilling their
contents, containers holding hazardous waste must
be kept closed, except when adding or removing
waste. In addition, containers must not be handled,
opened, or stored in a way that might cause them to
leak.
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Inspections
In order to ensure that containers are being
managed in compliance with these regulations,
owners and operators must visually inspect
container storage areas at least weekly for leaking
and deteriorating containers.
Release Prevention and Response
To further prevent releases of hazardous waste
into the environment, containers holding liquid
hazardous wastes must have a secondary
containment system. Secondary containment is
emergency short-term storage designed to hold leaks
from hazardous waste management units. An
example of a secondary containment system is a
sloped concrete pad that drains leaked waste into a
tank. The secondary containment system must be
free of cracks, able to contain the spill, and emptied
quickly. Containers at interim status facilities do
not have secondary containment requirements.
Special Wastes
When handled improperly, some wastes can
ignite or explode. To protect communities near the
facility from these dangers, containers holding
ignitable or reactive wastes must be located at least
50 feet from the facility's property line.
Other Requirements
In addition to these requirements, containers
storing or treating certain hazardous wastes are
subject to RCRA air emission control requirements
(as discussed later in this chapter). LQGs and SQGs
accumulating waste in containers are subject to the
interim status TSDF standards for these units.
SQGs, however, are not subject to the air emission
control requirements. (Generator requirements are
fully discussed in Section III, Chapter 3.)
Containment Buildings
A containment building is a completely
enclosed self-supporting structure (i.e., with four
walls, a roof, and a floor) used to store or treat
noncontainerized waste. Containment buildings are
generally used for the management of hazardous
waste debris and other bulky and high volume
hazardous wastes, but may be employed for the
management of any nonliquid hazardous waste.
Design Standards
The design standards for containment buildings
stress structural soundness and hazardous waste leak
prevention. To ensure that a containment building
meets these standards, a professional engineer must
certify that the unit is designed and installed
according to the following specifications:
The containment building must be completely
enclosed with four walls, a floor, and a roof.
The floor, walls, and roof must be constructed of
man-made materials with enough strength to
withstand movement of wastes, personnel, and
heavy equipment within the building.
Dust control devices, such as air-lock doors or
negative air pressure systems (that pull air into
the containment building) must also be used as
necessary to prevent hazardous waste dust from
escaping through these building exits.
All surfaces in the containment building that
come into contact with wastes during treatment
or storage must be chemically compatible with
such wastes. Incompatible wastes that might
cause unit failure cannot be placed in
containment buildings.
If the containment building is used to manage
hazardous waste with visible liquids, or if waste
treatment being conducted in the building requires
the addition of liquids to the waste, the owner and
operator must equip the unit with the following:
A primary barrier constructed of materials to
prevent migration of the waste into the barrier
A liquid collection system to minimize standing
liquids in the containment building and to
facilitate liquid removal
A leak detection system located immediately
beneath the floor to indicate any weakness in the
floor and leaks of hazardous waste from the unit
A secondary barrier, such as a liner, constructed
around the unit to contain any leaks and to
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facilitate cleanup before they reach nearby soils,
surface water, or ground water. As with the unit
floor, the secondary barrier must be structurally
sound and chemically resistant to wastes and
liquids managed in the containment building.
Some containment buildings designate certain
areas (known as wet areas) for the management of
liquid-containing wastes. Such buildings only need
secondary containment for these wet areas, provided
that waste liquids cannot migrate to the dry areas of
the containment building.
Operating Requirements
Containment building operating requirements
focus primarily on maintenance and inspection of
the unit, recordkeeping requirements, and provisions
for response to releases of hazardous waste. Among
other requirements, owners and operators must:
Maintain the floor so that it is free of significant
cracks, corrosion, or deterioration
Repair or replace surface coatings or liners that
are subject to wear from movement of waste,
personnel, or equipment as often as needed
Limit the height of wastes piled within the unit
Maintain dust control devices at all openings to
prevent emissions from the unit
Provide a decontamination area within the
containment building (e.g., an area for washing
vehicles and equipment prior to leaving the
building) to prevent the tracking of waste out of
the unit.
Inspections
Containment buildings must be inspected at least
once every seven days, with all activities and results
recorded in the operating log. During inspection, the
owner and operator should evaluate the unit's
integrity and assess nearby soils and surface waters
to detect any signs of waste release. For purposes of
these inspections, the owner and operator should
also consider information from monitoring or leak
detection equipment.
Release Prevention and Response
If a release is discovered during an inspection or
at any time, the owner and operator must take the
leaking portion of the unit out of service and take all
appropriate steps to repair the leak and contain the
released waste. The owner and operator must also
notify the EPA Regional Administrator of the
release and of the proposed schedule for repair of
the unit. Upon completion of all necessary repairs
and cleanup, a qualified, registered, professional
engineer must verify, to the EPA Regional
Administrator, that the facility complied with the
plan.
Other Requirements
LQGs accumulating waste in containment
buildings are subject to the interim status TSDF
standards for these units. (Generator requirements
are fully discussed in Section III, Chapter 3.)
Drip Pads
Drip pads are engineering structures consisting
of a curbed, free-draining base, constructed of
nonearthen materials, and designed to convey wood
preservative chemical drippage from treated wood,
precipitation, and surface water run-on to an
associated collection system at wood preserving
plants. In the wood preserving process, preservative
solutions are commonly applied to wood products
using a pressure treating process. Once the
preservative solution has been applied to the wood,
it is removed from the process unit and excess
solution is allowed to drip from the wood onto drip
pads. The pads collect the drippage (along with
rainwater and surface water that has entered the pad)
and collects it in a tank, container, or other such unit
until the waste may be recycled, treated, or disposed
of (see Figure III-10).
Design Standards
The various elements of a drip pad must be
designed and constructed to handle the wastes
managed on the unit and prevent those wastes from
leaking into the environment.
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Pad
The owner and operator of the drip pad must
construct the pad of nonearthen materials (e.g.,
concrete, metal) and ensure that the pad is strong
enough to prevent collapse, cracking, or other
failure. The surface of the pad must have a raised
barrier (called a berm) around the perimeter to
prevent waste from running off the pad. It must be
sloped to help the drippage flow into the collection
unit, and must either be treated with impermeable
sealers, coatings, or covers to prevent liquid from
seeping into the base, or have a liner with a leak
detection and collection system.
Liquid Collection System
The liquid collection system must be designed to
prevent overflow, allow facility personnel to easily
remove waste from the unit, and comply with the
hazardous waste tank standards. Where applicable,
the liquid collection system must also be protected
from rain water running into and out of the unit.
Liner and Leak Detection System
The liners and leak detection system for drip
pads do not have specific technical design criteria,
but must be structurally sound and chemically
compatible with the preservative drippage, and must
be able to signal releases from the drip pad at the
earliest practicable time.
Operating Requirements
Generally, a drip pad must be free of cracks and
show no signs of corrosion or other types of
deterioration. Drip pads must be cleaned frequently
to allow for inspections of the entire drip pad surface
without interference from accumulated wastes and
residues. In addition to occasional cleaning,
drippage and precipitation from the liquid collection
system must be emptied as often as necessary to
prevent the waste from flowing over the curb around
the unit. All collection tanks must also be emptied
as soon as possible after storms to ensure that they
do not overflow back onto the pad. Lastly, owners
and operators must minimize the tracking of
hazardous waste by personnel and vehicles.
Inspections
Drip pads must be inspected weekly and after
storms to ensure that the pad and the liquid
collection systems are functioning properly and to
check for deterioration of or leaks from the units. If,
upon inspection, a drip pad shows any deterioration,
the owner and operator must take the affected
portion of the unit out of service for repairs before
returning it to service.
Other Requirements
LQGs accumulating waste on drip pads are
subject to the interim status TSDF standards for
these units. (Generator requirements are fully
discussed in Section III, Chapter 3).
Figure 111-10: Cross-Section of a Drip Pad
Drip Pad
Wood Products
Treated With
Preservative
Solution
Berm
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Land Treatment Units
Land treatment units, or land farms, are
seldom-used land disposal units. Land treatment
involves the application of waste on the soil surface,
or the incorporation of waste into the upper layers of
the soil in order to degrade, transform, or
immobilize hazardous constituents present in
hazardous waste. The waste is placed in the portion
of the surface soil above the water table (or the
highest point of the ground water flow) to let the soil
microbes and sunlight degrade the hazardous waste.
Because these units utilize biodegradation as a
method of hazardous waste treatment thus
necessitating certain operating and waste
management conditions, the design and operating
requirements for land treatment units are quite
different from other waste management units.
Design Standards
Land treatment units must be equipped with run-
on, run-off, and wind dispersion controls. Run-on
and run-off controls prevent rain water and other
liquids from running onto the unit (and creating
leachate) and stop this leachate from running off the
unit, thus carrying contaminants into surrounding
soils, surface waters, and ground water. Wind
dispersal controls prevent wind gusts from blowing
small particles of hazardous waste off a land
treatment unit into the air and surrounding soils and
surface water. To prevent wind dispersal, owners
and operators of land treatment units must apply a
wind dispersal control, such as a cover, to the unit.
Operating Requirements
The operating requirements for land treatment
units are intended to promote and maintain the
biodegradation of hazardous wastes placed in the
unit. Maintenance of proper soil pH, careful
management of waste application rate, and control
of surface water run-off are all key to the operation
of a land treatment unit. The operation requirements
include:
Controls on the rate and method of waste
application
Measures to control soil acidity
Measures to enhance microbial and chemical
reactions
Measures to control the moisture content of the
area where wastes are treated.
Treatment Program and Demonstration
In order to guarantee that these waste treatment
practices will be conducted to properly degrade the
waste, owners and operators of land treatment units
must design a treatment program that takes into
account the characteristics of the site and the wastes
to be handled. The owner and operator must then
demonstrate to EPA the effectiveness of this plan.
A treatment demonstration may involve field testing
on a sample soil plot or laboratory testing. Interim
status land treatment units are not required to
establish a treatment program, but owners and
operators can only place hazardous waste in the land
treatment unit if the waste will be rendered
nonhazardous or less hazardous.
Food Chain Crops
In some cases, an owner and operator may grow
food-chain crops (crops grown for human
consumption) in a land treatment unit. The Agency
believes that this can be done safely if the owner and
operator can demonstrate that hazardous constituents
are not present in the crop in abnormally high levels.
Additionally, if cadmium is present in the unit, the
owner and operator must comply with additional
management standards.
Inspections
The owner and operator must inspect the
treatment area weekly and after storms to ensure that
the unit is in compliance with the operating criteria.
In addition, the owner and operator must establish a
soil monitoring program. If there is significant
evidence that the wastes in the unit are not
responding to treatment and are sinking towards the
water table, the owner and operator must notify the
EPA Regional Administrator within seven days, and
modify the treatment program to ensure the
sufficient treatment of hazardous constituents within
the treatment zone.
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Special Wastes
Certain types of hazardous wastes pose such a
threat to human health and the environment that
their management requires additional regulatory
precautions. Considering the risks associated with
the treatment, storage, and disposal of certain
dioxin-containing hazardous wastes (F020, F021,
F022, F023, F026, and F027), the RCRA regulations
restrict the management of these wastes in land
treatment units. As a result, owners and operators
can only manage these wastes in a permitted land
treatment unit in accordance with a special
management plan approved by the EPA Regional
Administrator. These wastes may not be handled in
interim status land treatment units because these
units do not meet the strict construction standards,
and thus, may not be sufficiently protective.
Landfills
A landfill is a disposal unit where nonliquid
hazardous waste is placed in or on the land.
Landfills are the final disposal site, the ultimate
grave, for a significant portion of the hazardous
waste that is generated in the United States.
Design Standards
To minimize the potential for leachate to leak
from a landfill, EPA developed the following design
standards (see Figure III-l 1):
Double liner
Double leachate collection and removal system
Leak detection system
Run-on, run-off, and wind dispersal controls
Construction quality assurance.
Double Liner
The double liner system has two components: a
top liner and a composite bottom liner. The top
liner, usually a synthetic material, keeps the liquid
waste in the unit and prevents migration of
hazardous leachate and waste into the liner. The
composite bottom liner, consisting of a synthetic
liner (made of a special kind of plastic) on top of
three feet of compacted soil material, is designed to
prevent any liquids that have leaked through the top
liner from reaching underlying soils and ground
water.
Double Leachate Collection and Removal
System
Landfills must also be equipped with two
leachate collection and removal systems. The first
rests on the top liner, and the second between the top
liner and the bottom composite liner. The top
system collects any leachate that has filtered down
through the waste in the unit and pumps it out to a
collection tank, where it may be collected and
disposed. The bottom system collects any leachate
that has leaked through the top liner and similarly
Figure 111-11: Cross-Section of a Landfill
Ground Water
Monitoring Well
Double Liner
Double Leachate
Collection and
Removal System
Run-on/Run-off
Control
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pumps it out to a collection tank, where it may
similarly be collected and disposed.
Leak Detection System
While the lower leachate collection and removal
system will continually remove the small amounts
of liquid that might seep through the top liner, it
may not be capable of handling a larger leak. Larger
leaks can apply strong pressure on the bottom liner,
potentially causing it to fail. To avoid this problem,
RCRA requires that a leak detection system be
installed within the leachate collection and removal
system. This system must be able to detect when the
flow rate into the leachate collection and removal
system is above a normal operating range, and warn
the owner and operator that the top liner may be
leaking.
Run-On, Run-Off, and Wind Dispersal Controls
The run-on, run-off, and wind dispersal
requirements are identical to those for land
treatment units.
Construction Quality Assurance
None of these technologies are effective if the
landfill is installed improperly or constructed of
inferior materials. To ensure that a landfill meets all
the technological requirements, EPA requires a
construction quality assurance program. The
program mandates a construction quality assurance
plan that identifies how construction materials and
their installation will be monitored and tested and
how the results will be documented. The program
must be developed and implemented under the
direction of a registered professional engineer, who
must also certify that the construction quality
assurance plan has been successfully carried out and
that the unit meets all specifications before any
waste is placed into the unit.
Operating Requirements
In order to prevent the formation and migration
of leachate in landfills, owners and operators may
not place liquid hazardous wastes in a landfill,
unless the wastes are in:
Very small containers, such as ampules
Containers, such as batteries, that contain small
amounts of liquid for purposes other than
storage
Lab packs which consist of drums filled with
many small containers packed in
nonbiodegradable absorbent materials.
Owners and operators may add
nonbiodegradable absorbents to containers of liquid
hazardous waste to remove any visible liquids.
After all visible liquids have been removed, the
owner and operator may then place the waste in a
landfill.
Inspections
To ensure that the liners and leachate collection
and removal systems are working properly, landfill
owners and operators must:
Inspect liners for any problems after
construction or installation and continue
inspections weekly and after storms to monitor
for evidence of deterioration or damage
Monitor leachate collection and removal system
sumps at least weekly to measure the amount of
liquid in the sumps and determine whether the
upper liner might be leaking. This is designed
to verify both the integrity of the liner and the
efficiency of the leachate pump. If the level
indicates a substantial leak, the owner and
operator must notify EPA and respond in
accordance with the facility's response action
plan.
Release Prevention and Response
In order to prepare for a leak from a landfill,
RCRA requires that owners and operators of
hazardous waste landfills develop a response action
plan. The response action plan outlines the short-
and long-term actions to be taken in the event of a
leak. A short-term action might involve shutting off
the flow of hazardous waste into the landfill. A
long-term action might involve emptying the unit
and repairing or replacing the damaged liner or
leachate collection and removal systems. As part of
the plan, in the event of a leak, the owner and
operator must notify the EPA Regional
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Administrator, determine what short-term actions
must be taken, determine the location, size, and
cause of any leak, and report the findings to the EPA
Regional Office.
Special Wastes
Similar to land treatment units, permitted
landfills can only treat, store, or dispose of certain
dioxin-containing hazardous wastes (F020, F021,
F022, F023, F026, and F027) if the unit has a special
management plan approved by the EPA Regional
Administrator. These wastes cannot be managed in
interim status landfills.
Special Requirements for Certain Containers in
Landfills
Over time, the hazardous waste containers
placed in a landfill will decompose and collapse,
creating air pockets under the landfill cover. When
the wastes surrounding the container settle to fill the
void, the liner may also settle. Such settling may
cause the liner to stretch or tear. To prevent
significant voids that could cause collapse of final
covers and tearing of liners when containers erode
and to maintain and extend available capacity in
hazardous waste landfills, containers placed in a
landfill must either be:
At least 90 percent full
OR
Crushed, shredded, or in some other way
reduced in volume (unless they are very small
containers, such as ampules).
Surface Impoundments
A surface impoundment is a natural
topographic depression, man-made excavation, or
diked area formed primarily of earthen materials
(although it must be lined with man-made materials)
that is used to treat, store, or dispose of liquid
hazardous waste. Examples include holding ponds,
storage pits, and settling lagoons.
Design Standards
To minimize the potential for leachate to leak
from a surface impoundment, EPA developed the
following design standards (see Figure III-12):
Double liner
Leachate collection and removal system
Leak detection system
Dikes, berms, and freeboard
Construction quality assurance.
Double Liner
The double liner system requirements are
identical to those for hazardous waste landfills.
Ground Water
Monitoring Well
Figure 111-12: Cross-Section of a Surface Impoundment
Double Liner Leachate Collection Dike or Berm
and Removal System
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Leachate Collection and Removal System
The unit must be equipped with a leachate
collection and removal system between the top liner
and the bottom composite liner. The system collects
any leachate that has leaked through the top liner
and pumps it out to a collection tank. The system
features a pump system and drainage layers to slow
the flow of the leak. The system must be designed
with a minimum bottom slope to help drainage, be
made of materials that will not chemically react with
the wastes placed in the unit, and be able to remove
the liquids at a specified minimum rate.
Leak Detection System
The leak detection system requirements are
identical to those for hazardous waste landfills.
Dikes, Berms, and Freeboard
A surface impoundment must also be designed
to prevent the flow of liquids over the top of an
impoundment (overtopping). This is accomplished
by constructing and maintaining dikes or berms
(walls or man-made hills surrounding the unit) and
ensuring a minimum distance (called freeboard)
between the surface of the waste and the top of the
impoundment to prevent overflow during high
winds or rainstorms.
Construction Quality Assurance
The construction quality assurance program
requirements are identical to those for hazardous
waste landfills.
Inspections
To ensure that the liners and leachate collection
and removal system are working properly, owners
and operators of hazardous waste surface
impoundments must:
Inspect liners and dikes or berms for any
problems after construction or installation, and
continue inspections weekly and after storms to
monitor for evidence of deterioration, sudden
drops in the level of the impoundment contents,
and severe erosions of dikes and other
containment devices
Monitor leachate collection and removal system
sumps at least weekly to measure the amount of
liquid in the sump and determine whether the
upper liner might be leaking. This is designed
to verify both the integrity of the liner and the
efficiency of the leachate pump. If the level
indicates a substantial leak, the owner and
operator must notify EPA and respond in
accordance with the facility's response action
plan.
Release Prevention and Response
The release prevention and response
requirements are identical to those for hazardous
waste landfills.
Special Wastes
Similar to land treatment units and landfills,
permitted surface impoundments can only treat,
store, or dispose of certain dioxin-containing
hazardous wastes (F020, F021, F022, F023, F026,
and F027) if the unit has a special management plan
approved by the EPA Regional Administrator.
These wastes cannot be managed in interim status
surface impoundments.
Other Requirements
Other surface impoundment requirements
include retrofitting provisions and air emissions
requirements.
Surface Impoundment Retrofitting
Surface impoundments handling nonhazardous
wastes are not subject to these extensive hazardous
waste surface impoundment design and operating
requirements. However, such impoundments may
become subject to RCRA if the waste being handled
in the unit becomes a hazardous waste as a result of
a new hazardous waste listing or characteristic. In
these cases, the owner and operator of the
impoundment must retrofit the unit to meet the
standards described above, or cease receipt of the
hazardous waste and begin the closure process.
Owners and operators have four years from the day
that the listing or characteristic is finalized (in the
Federal Register) to retrofit or close. For example,
owners and operators of surface impoundments that
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became subject to RCRA as the result of the
promulgation of the toxicity characteristic waste
codes on March 29, 1990, were required to retrofit
those units to meet the design and operating
standards, or cease receipt of hazardous waste and
begin closure by March 29, 1994.
These retrofitting requirements may be waived
by the implementing agency under special
circumstances. The impoundment must be
designed, operated, and located in such a manner
that there will be no migration of hazardous
constituents into ground water or surface water at
any time. Furthermore, the impoundment may
contain only characteristic TC wastes. The
implementing agency will determine on a site-
specific basis whether a waiver from the retrofitting
requirement is protective of human health and the
environment.
Air Emissions
In addition to these requirements, surface
impoundments storing, treating, or disposing of
certain hazardous wastes are subject to RCRA air
emission control requirements (as discussed later in
this chapter).
Tanks
Tanks are stationary devices (as opposed to
portable containers) used to store or treat hazardous
waste. They are widely used for storage or
accumulation of hazardous waste because they can
accommodate huge volumes of material, sometimes
in the tens of thousands of gallons. Tanks are used
for the treatment of hazardous waste because of their
structural strength and versatility. In order to ensure
that a tank system can hold hazardous waste for its
intended lifetime, a TSDF owner and operator must
ensure that the tank is properly designed. RCRA
requires that the tank system or components be
designed with an adequate foundation, structural
support, and protection from corrosion to prevent it
from collapsing or leaking. In order to ensure that a
tank is properly designed, an independent, qualified,
registered, professional engineer must certify that
the unit meets these requirements.
Design Standards
Hazardous waste tanks must be installed
properly and designed to protect against corrosion.
Installation
Because even the most flawlessly designed tanks
can fail if installed improperly, new tank systems
must be inspected by an independent qualified
expert prior to use to ensure that the tank was not
damaged during installation. The owner and
operator must repair any damage before the
installation is complete or the system is in use. All
new tanks and ancillary equipment must be tested to
make sure that there are no leaks, and any leaks
discovered must be fixed before the tanks are
covered, enclosed, or placed in use.
Corrosion Protection
When metal tanks are in contact with soil or
water, they can corrode and leak. To prevent leaks
from corroded tanks, RCRA requires tanks made
wholly or partly of metal to be designed and
installed with adequate corrosion protection. To
ensure that a tank is properly protected, an owner
and operator must develop a written design plan.
The design should take into account information
specific to the site, such as soil moisture and acidity,
that can affect the corrosion rate of the tank. The
unit must have one or more of the following
corrosion protection methods:
Construction materials that are corrosion-
resistant (e.g., fiberglass)
Corrosion-resistant coating in combination with
cathodic protection (cathodic protection
prevents tanks from corroding by reversing the
naturally occurring electric current in the ground
that can degrade tank walls)
Electrical isolation devices.
Existing tanks do not have to meet these
requirements because of the high cost of installing
corrosion protection on tanks that are already in the
ground. On the other hand, owners and operators of
existing tanks must assess the structural integrity of
the units to ensure that they are designed and
maintained to contain the wastes stored or treated
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within them without failing, collapsing, or rupturing.
Such assessments must be certified by an
independent, qualified, registered, professional
engineer.
Operating Requirements
Hazardous waste tanks must be operated in a
manner that minimizes or eliminates releases.
Chemicals that may cause any part of the tank's
system to fail may not be placed in the unit.
Because the loading or filling of tanks brings the
potential for spills or releases of waste into the
environment, such spills or overflows from the tank
system must also be prevented by using, at a
minimum:
Spill prevention controls, such as valves
designed to prevent the backflow of waste
during fill-up of a tank
Overfill prevention controls, such as alarms that
sound when the waste level in the tank gets too
high, and valve systems that automatically close
when overfill is likely
Sufficient room within an uncovered tank
between the surface of the waste and the top of
the tank (minimum freeboard).
Inspections
To verify that hazardous waste tanks and
components are operated and maintained in
satisfactory condition, owners and operators must
inspect their tanks daily. To meet these objectives,
inspections must thoroughly identify leaks,
deterioration, corrosion, or structural fatigue in any
portion of the tank or system components. In
addition to visual inspections, owners and operators
must also take into account any data received from
leak detection monitors and other tests.
Release Prevention and Response
The release response requirements require leak
detection systems to detect leaks, and secondary
containment devices to contain any leaks that might
occur from the tank or ancillary equipment (see
Figure III-13). All new hazardous waste tank
systems must have leak detection and secondary
containment before being placed in service. Existing
systems must be equipped with secondary
containment by different deadlines, based on a
phased-in schedule determined by the age of the
tank.
Leak Detection
Hazardous waste tanks must be equipped with a
leak detection system. The leak detection system
must be able to detect failure in either the main tank
or secondary containment system generally within
24 hours. Thermal conductivity sensors, electrical
resistivity sensors, and vapor detectors are
commonly used leak detection devices. Daily visual
inspections may also be used where tanks and tank
components are physically accessible.
Secondary Containment
To make sure the tank system will perform
properly, secondary containment systems must be
designed, installed, and operated to ensure that:
No waste is released to the surrounding soil,
ground water, or surface water
Construction materials or liners are compatible
with the waste to be stored or treated in the tank
The tank is capable of containing accumulated
material until it is promptly removed (generally
within 24 hours)
The tank has sufficient structural strength to
prevent failure
The foundation can resist failure due to normal
movement of the surrounding soils (settlement,
compression, or uplift).
Owners and operators must meet these
requirements by using one of the following
secondary containment devices:
An external liner that completely surrounds the
unit with an impermeable material
A vault (the tank rests in an underground
chamber usually constructed with concrete
floors and walls and an impermeable cover)
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A double-walled tank (the tank is completely
enclosed inside another tank with a leak
detection monitoring system installed between
the two)
An EPA-approved alternative design.
Figure 111-13: Secondary Containment for Tanks
Hazardous
Waste Tank
Secondary
Containment
System
Ancillary
Equipment
In addition to the tank itself, all ancillary
equipment (e.g., pipes, valves, trenches connected to
the tank or tank system) must have full secondary
containment. Examples of secondary containment
for ancillary equipment include lined trenches, and
jacketed or double-walled piping. When inspected
daily, however, the following equipment is exempt
from this requirement:
Aboveground piping (not including flanges,
joints, valves, and connections)
Welded flanges, welded joints, and welded
connections
Seal-less or magnetic coupling pumps
Aboveground pressurized piping systems with
automatic shut-off devices.
Despite these precautions, occasionally a tank
system or secondary containment system will leak or
spill hazardous waste. When this happens, the
owner and operator must immediately take the tank
out of operation and determine the cause of the
release. To prevent the spill from moving further
away from the tank, the owner and operator must
also remove and properly dispose of any
contaminated soil, ground water, or surface water.
In addition, the owner and operator must notify the
EPA Regional Administrator or National Response
Center, and submit a follow-up written report to the
EPA Regional Administrator within 30 days. The
tank must then either be repaired or closed.
Other Requirements
In addition to these requirements, tanks storing
or treating certain hazardous wastes are also subject
to RCRA air emission control requirements (as
discussed later in this chapter). LQGs and SQGs
accumulating waste on site in tanks are subject to
the interim status TSDF standards for these units.
(Generator requirements are fully discussed in
Section III, Chapter 3.) SQGs, however, are not
subject to the air emission control requirements.
Waste Piles
A waste pile is an open pile used for treating or
storing nonliquid hazardous waste. The standards
for these units are very similar to those for landfills,
but the difference is that waste piles may be used for
temporary storage and treatment only, not disposal.
Design Standards
To minimize the potential for leachate to leak
from a waste pile, EPA developed the following
design standards (see Figure III-14):
Double liner
Double leachate collection and removal system
Leak detection system
Run-on, run-off, and wind dispersal controls
Construction quality assurance.
Double Liner
The double liner system requirements are
identical to those for hazardous waste landfills and
surface impoundments.
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Double Leachate Collection and Removal
System
The double leachate collection and removal
system requirements are identical to those for
hazardous waste landfills.
Leak Detection System
The leak detection system requirements are
identical to those for hazardous waste landfills and
surface impoundments.
Run-On, Run-Off, and Wind Dispersal Controls
The run-on, run-off, and wind dispersal control
requirements are identical to those for hazardous
waste landfills; however, interim status waste piles
are not subject to the storm water controls, but are
subject to wind dispersal controls.
Construction Quality Assurance
The construction quality assurance program
requirements are identical to those for hazardous
waste landfills and surface impoundments.
Operating Requirements
Under no circumstances can an owner and
operator place liquid hazardous waste in a waste
pile.
Inspections
The liner and leachate collection and removal
system inspection requirements are identical to those
for hazardous waste landfills.
Release Prevention and Response
The release prevention and response
requirements are identical to those for hazardous
waste landfills.
Special Wastes
Similar to land treatment units, landfills, and
surface impoundments, permitted waste piles can
only treat, store, or dispose of certain dioxin-
containing hazardous wastes (F020, F021, F022,
F023, F026, and F027) if the unit has a special
management plan approved by the EPA Regional
Administrator. These wastes cannot be managed in
interim status waste piles.
Other Requirements
Owners and operators of permitted waste piles
that are located indoors and meet special
requirements are subject to reduced regulation.
Specifically, the waste pile must:
Be located inside or under a structure
Not receive liquid wastes
Be protected from surface water run-on
Be designed and operated to control dispersal of
waste
Figure 111-14: Cross-Section of a Waste Pile
Double Liner
Double Leachate
Collection and
Removal System
Dike or Berm
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Be managed to prevent the generation of
leachate.
If these standards are met, the owner and
operator of the permitted waste pile is exempt from
ground water monitoring requirements as well as the
design and operation requirements for waste piles.
RCRA provides this exemption because when
properly designed and maintained, indoor waste
piles can prevent hazardous leachate from forming
or leaking into the environment.
Miscellaneous Units
When RCRA was enacted in 1976, there was a
diverse universe of hazardous waste management
units in existence. Some of these units did not fit
the definition of any of the typical hazardous waste
management practices described earlier in this
chapter. These include physical, chemical, and
biological treatment units; thermal treatment units;
and underground injection control (UIC) wells. As a
result, EPA established interim status standards for
these units. When EPA established final permitted
TSDF standards for all hazardous waste
management units, the Agency did not establish
final standards for physical, chemical, and biological
treatment units or thermal treatment units, but rather
grouped them together and permitted them as
miscellaneous units. EPA did not include UIC wells
in this miscellaneous unit category because such
wells were later addressed under SDWA.
At present, all new hazardous waste
management units that do not fit the definition of
one of the types of units discussed earlier in this
chapter or an incinerator or BIF (as discussed in
Section III, Chapter 7) are permitted as
miscellaneous units. This section of the chapter will
present the management standards for such units.
For historical purposes, this section of the chapter
will also present the interim status standards for
physical, chemical, and biological treatment units;
thermal treatment units; and UIC wells.
Because the standards for miscellaneous units
address treatment, storage, and disposal processes
that are not addressed by other unit-specific
standards, the following management standards
consist of general operating requirements that may
be modified and amended based on site-specific
considerations.
Permitted Miscellaneous Units
Since some TSDFs treat, store, or dispose of
waste in units that are different from the previously
described hazardous waste management units,
RCRA established broad and protective
management provisions for miscellaneous units to
allow for the use of new and innovative waste
management technologies. The RCRA standards are
designed to give the implementing agency the
flexibility to tailor permit standards, on a case-by-
case basis, to these unique waste management
practices.
Miscellaneous units are defined as treatment,
storage, or disposal units other than:
Containers, containment buildings, drip pads,
land treatment units, landfills, surface
impoundments, tanks, or waste piles (as
discussed in this chapter)
Incinerators or BIFs (as discussed in Section III,
Chapter 7)
Corrective action management units (CAMUs)
(as discussed in Section III, Chapter 9)
Units permitted for research, development, and
demonstration (RD&D) (as discussed in Section
III, Chapter 8)
UIC wells.
Based on this definition, miscellaneous units
may include, but are not limited to:
Geologic repositories (e.g., underground caves)
Deactivated missile silos
Thermal treatment units
Units for the open burning or detonation of
waste explosives
Chemical, physical, or biological treatment
units.
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Since miscellaneous units are subject to site-
specific design and operating requirements, RCRA
requires that owners and operators applying for a
permit provide the implementing agency with
detailed information on unit design and potential
environmental impacts. The owner and operator
must provide detailed plans and engineering reports
describing the unit location, design, construction,
operation, maintenance, monitoring plans, and
inspection plans.
Owners and operators must also provide detailed
information on the potential pathways of human or
environmental exposure to hazardous waste or
hazardous constituents. Under these provisions,
owners and operators must evaluate the potential
magnitude and nature of potential human and
environmental exposure to air, surface water
(including wetlands), ground water, and soil. Owner
and operators of miscellaneous units are required to
conduct monitoring, testing, data analysis,
inspections, and response actions (if necessary) in
order to ensure that the unit is in compliance with its
general performance standards, and that waste
management has not threatened any of these
environmental mediums.
Interim Status Chemical, Physical, and Biological
Treatment Units
When RCRA was first enacted in 1976, some of
the diverse hazardous waste management units in
existence were chemical, physical, and biological
treatment units. Such units employed unique
treatment processes, such as distillation,
centrifugation, reverse osmosis, ion exchange, and
filtration. The Agency established interim status
standards for such units to address the safe
containment of hazardous waste, hazardous waste
constituents, and treatment by-products.
The operating standards for these units require
that:
Waste is compatible with treatment equipment
Ignitable and reactive wastes are
decharacterized immediately before or after
placement in the treatment process or equipment
Waste analysis and trial treatment tests verify
that treatment will meet applicable requirements
Owners and operators inspect discharge control,
safety, and monitoring equipment daily; and
inspect construction materials of treatment
processes and confinement structures weekly.
Interim Status Thermal Treatment Units
After the enactment of RCRA, another set of
diverse hazardous waste management units in
existence were thermal treatment units. EPA
established interim status standards for these units to
allow for the development of alternative treatment
processes in units that did not meet the definition of
an incinerator or BIF (as discussed in Section III,
Chapter 7).
Thermal treatment is defined as the treatment
of hazardous waste in a device that uses elevated
temperatures as the primary means to change the
chemical, physical, or biological character or
composition of the hazardous waste. Thermal
treatment units include carbon regeneration units,
and other devices employing processes, such as
molten salt pyrolysis, calcination, wet-air oxidation,
and microwave destruction.
The operating standards for these units require:
The establishment of steady, normal conditions
of operation or readiness
Waste analysis to determine the heating value of
the waste, and concentrations of halogens,
sulfur, lead, and mercury
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Monitoring and inspections of temperature and
emission-control instruments, the stack plume,
and all process and ancillary equipment.
The implementing agency also has the flexibility
to develop standards for these units on a case-by-
case basis when considering the technology-specific
data submitted by the applicant. It is probable that
the regulations for specific thermal treatment units
will reference the incinerator, boiler, and industrial
furnace standards due to the similarities between the
units.
Interim Status Underground Injection Control
Wells
Underground injection control wells are units
into which hazardous waste is permanently disposed
of by injection 1/4 mile below an aquifer with an
underground source of drinking water (as defined
under SDWA). EPA originally intended to regulate
UIC wells disposing of hazardous waste under
SDWA. At the inception of the RCRA program,
however, many states did not yet have a SDWA-
approved UIC program. As a result, EPA imposed
RCRA requirements on such units until states gained
SDWA approval for their UIC programs. Because
UIC wells were not addressed by the unit-specific
hazardous waste management standards, RCRA
initially regulated such UIC wells as interim status
units. These standards required UIC wells to
comply with interim status general facility
standards, with the exception of closure and
financial assurance.
After states gained SDWA approval for their
UIC programs, such wells became regulated jointly
by SDWA and RCRA. SDWA regulates the design,
operating, and closure standards for the well itself,
while RCRA regulates any other hazardous waste-
related activities at that facility up until the point of
injection. While such wells are no longer subject to
RCRA interim status standards, they would need a
RCRA permit-by-rule, requiring compliance with
only certain RCRA administrative requirements.
As an alternative to receiving a SDWA UIC
well permit (accompanied by a RCRA permit-by-
rule), UIC well owners and operators could also
choose to apply for a full RCRA permit as a
miscellaneous unit.
CLOSURE
All hazardous waste TSDFs will eventually stop
receiving waste for treatment, storage, or disposal.
After these facilities are closed, the owner and
operator must either remove all waste that has
accumulated in units at the facility, or leave the
waste in place while maintaining the units in a way
that ensures they will not pose a future threat to
human health and the environment. RCRA Subtitle
C's closure and post-closure standards are designed
to achieve this goal.
The closure and post-closure regulations are
divided into two parts: the general standards
applicable to all TSDFs, and the technical standards
for specific types of hazardous waste management
units. These combined requirements ensure that a
specific unit or facility will not pose a future threat
to human health or the environment after a TSDF
closes. This discussion will focus on the general
closure standards applicable to all TSDFs.
Closure Requirements
Closure is the period directly after a TSDF stops
its normal operations. During this period, a TSDF
stops accepting hazardous waste; completes
treatment, storage, and disposal of any wastes left on
site; and disposes or decontaminates equipment,
structures, and soils. Some owners and operators
will completely remove all waste that was treated,
stored, or disposed in their unit. This operation is
known as clean closure. In order to demonstrate
clean closure, an owner and operator must show that
levels of hazardous contaminants at the facility do
not exceed EPA-recommended exposure levels.
Closure Plan
To ensure that a TSDF is closed properly, the
owner and operator must prepare a closure plan that
details exactly how and when facility closure will
take place, and must submit the plan to their
implementing agency for approval. Permitted
facilities are required to submit a closure plan to
their implementing agency at the time of permit
application. The approved closure plan then
becomes an enforceable component of their permit.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Interim status facilities must have a written closure
plan on the premises six months after they become
subject to RCRA. The closure plan must contain:
A description of how the owner and operator
will close each hazardous waste management
unit
A description of how and when the owner and
operator will achieve final closure of the whole
facility
An estimate of the maximum amount of
hazardous waste kept on site over the life of the
facility
A detailed description of closure methods,
including the actions necessary to remove and
manage waste and decontaminate the site
A description of any other steps necessary to
comply with the closure standards, such as
ground water monitoring or leachate collection
(depending on the type of unit).
When there is a change in the design or
operation of the facility, a change in the expected
closure date, or an unexpected event (e.g.,
discovering more contaminated soil than originally
anticipated), the owner and operator or the
implementing agency must amend the closure plan
to address the additional steps necessary to safely
close the facility. In such instances, permitted
facilities must submit an application to modify their
permit, while interim status facilities must submit
the proposed modification to the implementing
agency for approval.
Closure Timetable
To ensure that facility closure is begun and
completed in a timely manner, the closure
regulations establish specific timetables for the
initiation and completion of closure activities (see
Figure III-15). An owner and operator of a closing
TSDF must:
Notify the implementing agency that they expect
to begin closure activities (notification must
take place at least 60 days before for surface
impoundments, landfills, waste piles, and land
treatment units, and at least 45 days before for
all other units)
Begin closure activities within 30 days of
receiving the final shipment of hazardous waste
Remove all hazardous wastes from the TSDF or
dispose of the wastes on site within 90 days of
beginning closure
Complete all closure activities within 180 days
of beginning closure
Certify that closure has been completed in
accordance with the specifications in the
approved closure plan within 60 days of
completing closure. The certification must be
signed by the owner and operator and by an
independent, registered, professional engineer.
The implementing agency may grant extensions,
if required closure activities will take more time, or
if the facility or unit has the capacity to accept more
hazardous or nonhazardous waste.
Figure 111-15: Timetable of Closure Activities
60 days
_ 45 days _
^ 60 davs fc^
Notify for Closure
of a Land-Based
Unit
Notify for
Closure of
All Other Units
0
Final Receipt
of Hazardous
Waste
30
Begin
Closure
90
Remove
All Wastes
180
Complete
Closure
Certify
Closure
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During closure, all contaminated equipment,
structures, and soils must be properly disposed or
decontaminated. During this process, an owner and
operator may become a generator of hazardous
waste, and must therefore comply with the generator
requirements.
Delay of Closure
The closure timetable is designed to guarantee
that closure is completed as soon as practicable after
the final receipt of hazardous waste in order to
minimize risks posed to human health and the
environment. On the other hand, owners and
operators of landfills, surface impoundments, and
land treatment units may have room to accept
nonhazardous waste at the time of closure. To
enable these TSDFs to continue operation, RCRA
allows these facilities to delay closure of such units.
This delay is not available to any other units. Those
units for which owners and operators choose to
delay closure are still subject to all applicable
RCRA hazardous waste requirements, and must
meet special requirements designed to ensure that
the disposal of both the nonhazardous and hazardous
waste will in no way endanger human health and the
environment.
Survey Plat
After a TSDF ceases hazardous waste activity
and closes all units, it still may be important to
know exactly where hazardous wastes were handled
(especially for purposes of future sale of the
property). To preserve this information, the owner
and operator must submit to the implementing
agency or local zoning authority a survey plat
indicating the location and dimensions of the closed
hazardous waste units. The survey plat must be
submitted no later than the submission of
certification of closure for each hazardous waste
disposal unit.
Post-Closure Requirements
Some TSDFs are intended for the final disposal
of hazardous waste. Land treatment units, landfills,
and surface impoundments are the only units where
an owner and operator may permanently dispose of
hazardous waste. Because such permanent land
disposal brings the potential for releases from the
unit over a long-term period, these owners and
operators must conduct post-closure monitoring and
maintenance activities. Other TSDFs may not be
able to remove all hazardous wastes and
decontaminate all equipment. Since these owners
and operators cannot clean close, they must close
such units as landfills, and comply with the post-
closure requirements for landfills.
Post-closure is the period after closure during
which owners and operators conduct monitoring and
maintenance activities to preserve the integrity of
the disposal system and continue to prevent or
control releases from the disposal units. Post-
closure care consists of two primary responsibilities:
ground water monitoring and maintaining the waste
containment system (e.g., covers, caps, and liners).
Such activities include:
Maintaining the final cover, the leak detection
system, and the ground water monitoring
systems
Providing long-term protection from liquids
migrating into the closed unit, promoting
drainage of liquid, accommodating settling of
waste in the unit
Making sure that the final cover, liners, or other
containment or monitoring systems are not
disturbed
Monitoring ground water to detect any releases
of hazardous constituents.
The post-closure period normally lasts for 30
years after closure is completed, but may be either
extended or shortened by the EPA Regional
Administrator.
Post-Closure Plan
In order to ensure that the post-closure care of
the facility is properly carried out, the owner and
operator must design and implement a post-closure
plan. The owner and operator must submit the plan
with the post-closure permit application. The plan
must include:
A description of planned ground water
monitoring activities
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Section III: Managing Hazardous Waste - RCRA Subtitle C
A description of planned maintenance activities
The name, address, and telephone number of the
facility contact person or office.
Post-Closure Notices
As with the survey plat for closure, owners and
operators of TSDFs required to perform post-closure
activities must, within 60 days after the facility
originally certified closure, provide the local zoning
or land use authority and the EPA Regional
Administrator with a record of the type, location,
and quantity of hazardous wastes in each disposal
unit at the facility. Also, a notice must be placed in
the property deed and recorded. This notice must
state that the land was used for hazardous waste
management, that the use of the land is restricted,
and that the survey plat and record of closure were
submitted to the local zoning authority and the EPA
Regional Administrator.
Certification of Completion of Post-Closure Care
To ensure that post-closure care was performed
in accordance with the post-closure plan, no later
than 60 days after completion of the established
post-closure care period for each hazardous waste
disposal unit, the owner and operator must submit to
the EPA Regional Administrator a certification that
the post-closure care period was performed in
accordance with the specifications established in the
approved closure plan.
FINANCIAL ASSURANCE
The RCRA closure and post-closure
requirements are designed to protect human health
and the environment from the long-term threats
associated with hazardous waste management and
permanent disposal. Many of these detailed
requirements come at the end of a facility's waste
management operations and can be very expensive.
To prevent a facility from ceasing operations and
failing to provide for the potentially costly closure
and post-closure care requirements, EPA
promulgated regulations requiring TSDFs to
demonstrate that they have the financial resources to
properly conduct closure and post-closure in a
manner that protects human health and the
environment.
The TSDF general facility standards include
precautions to prepare a facility for accidents, spills,
and any resulting emergency responses. Such
unexpected events could damage third parties by
impacting human health or property outside the
facility. In order to compensate third parties for
injury or damage that might result from such events
(known as liabilities), the RCRA regulations require
TSDF owners and operators to demonstrate that they
have the financial resources to pay for bodily injury
or property damage that might result from waste
management. The closure, post-closure, and liability
financial resource requirements are called financial
assurance.
In addition to requiring facilities to set aside
funds for closure, post-closure, and liabilities, the
RCRA regulations specify the financial mechanisms
that TSDF owners and operators must use to ensure
that the financial resources are available in the event
that they are needed.
Financial Assurance for Closure/
Post-Closure Care
After a TSDF owner and operator prepares the
required written closure and post-closure plans for
their facility, they must prepare a cost estimate that
reflects how much it would cost to hire a third-party
contractor to close the facility. These estimates
provide the base figure for the amount of financial
assurance a facility must provide.
Cost Estimates
Cost estimates must reflect the cost of hiring a
third party to conduct all activities outlined in the
closure and post-closure plans. Closure cost
estimates are based on the point in the facility's
operating life when closure would be the most
expensive. Post-closure cost estimates are based on
projected costs for an entire post-closure period of
30 years, unless reduced or extended by the
implementing agency.
Cost Adjustments
Closure and post-closure cost estimates must be
adjusted annually for inflation until closure is
completed. Owners and operators must also adjust
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cost estimates following any changes to their closure
or post-closure plans that would raise the costs
involved. For example, the addition of treatment
units would mean that they will require
decontamination at closure. The closure and post-
closure estimates must be recalculated to reflect the
additional expenses.
Period of Coverage
TSDF owners and operators must maintain
financial assurance until closure and post-closure are
complete. Within 60 days after receiving a TSDF's
certification of final closure, the implementing
agency must notify the owner and operator that
financial assurance for final closure is no longer
required. Similarly, within 60 days after receiving a
TSDF's certification of completion of post-closure
care, the implementing agency must notify the
owner and operator that financial assurance for post-
closure is no longer required.
Accident Liability Requirements
TSDF owners and operators must also be able to
compensate third parties for bodily injury or
property damage that might result from hazardous
waste management at a facility. This coverage
ensures that, in the event of an accidental release of
hazardous constituents, money will be available to
compensate affected third parties suffering bodily
injury or property damage. All TSDFs must
demonstrate liability coverage for sudden accidents.
In addition, TSDFs with land-based units (e.g.,
landfills) must also demonstrate liability coverage
for nonsudden accidents.
Sudden Accidental Occurrences
The inherent risks posed by hazardous waste
management at all TSDFs brings the possibility of
sudden accidents. These sudden accidental
occurrences are defined as events that are not
continuous or repeated. Examples of sudden
accidental occurrences are fires and explosions. The
minimum financial requirements include at least $1
million per occurrence, and an annual total (known
as annual aggregate) of at least $2 million.
Nonsudden Accidental Occurrences
Because land-based units are located directly on
the land, they bring an increased risk of slow, long-
term nonsudden leaks to soil and ground water, and
exposure to human health and the environment.
These nonsudden accidental occurrences are
defined as events that take place over time and
involve continuous or repeated exposure to
hazardous waste. An example of a nonsudden
accidental occurrence is a leaking surface
impoundment that contaminates a drinking water
source over time. The minimum financial
requirements include at least $3 million per
occurrence, and an annual aggregate of at least $6
million.
These liability financial assurance coverage
amounts apply on an owner and operator basis, not
on a per facility basis. Consequently, owners and
operators must provide $1 million per occurrence
and $2 million annual aggregate for sudden
accidental occurrences, and $3 million per
occurrence and $6 million annual aggregate for
nonsudden accidental occurrences (if applicable),
regardless of the number of facilities owned and
operated.
Period of Coverage
TSDF owners and operators must maintain
financial liability coverage until closure is complete.
Within 60 days after receiving a TSDF's certification
of final closure, the implementing agency must
notify the owner and operator that liability financial
assurance is no longer required. Liability coverage
is not required during the post-closure period. The
implementing agency may, however, require liability
coverage if closure was not completed in accordance
with the facility's closure plan.
Financial Assurance Mechanisms
Financial assurance mechanisms are the
different ways an owner and operator can show that
funds are available to pay for closure, post-closure,
and liability requirements. An owner and operator
may demonstrate financial assurance through one or
more of the following financial assurance
mechanisms:
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Trust fund
Surety bond (two types)
Payment bond
Performance bond
Letter of credit
Insurance
Financial test
Corporate guarantee.
Trust Fund
A trust fund allows a facility to set aside
money in increments, according to a phased-in
schedule (known as a pay-in period). At the end of
this pay-in period, the facility will have enough
money set aside to cover its financial assurance
costs, and will have funds specifically earmarked for
closure, post-closure, and liability requirements.
Under some of the other mechanisms (surety
bonds, letters of credit, and corporate guarantees),
owners and operators must establish a standby trust
fund into which any payments made by the
mechanism will be deposited. EPA will then use
this trust fund to cover the respective costs.
Surety Bonds
A surety bond is a guarantee by a surety
company that specifies that closure, post-closure,
and liability obligations will be fulfilled. If the
owner and operator fails to pay the costs specified in
a bond, the surety company is liable for the costs.
There are two types of surety bonds:
Payment bond A payment bond will, in the
event an owner and operator fails to fulfill their
closure, post-closure, or liability obligations,
fund a standby trust fund in the amount equal to
the value of the bond.
Performance bond A performance bond
guarantees that the owner and operator will
comply with their closure, post-closure, and
liability requirements. Performance bonds can
also be paid into a standby trust fund. Interim
status facilities may not use performance bonds.
Letter of Credit
A letter of credit is a credit document issued to
a TSDF by a financial institution, covering the cost
of closure, post-closure, or liability activities.
Insurance
The owner or operator of a TSDF may take out
an insurance policy to cover the cost of closure,
post-closure, and liability requirements in the event
that the owner and operator is unable to satisfy these
obligations.
Financial Test
Some companies are of such size and financial
strength that they have the assets to absorb the costs
of closure, post-closure, and liability obligations.
As a result, owners and operators can demonstrate
and document their financial strength by using the
financial test to satisfy the TSDF financial
assurance requirements.
Corporate Guarantee
While not all companies will be able to meet the
financial test requirements, they may be owned by a
company (or have a sibling company) that has the
financial standing and ability to meet the financial
test requirements. In these cases, a TSDF owner and
operator may arrange a corporate guarantee by
demonstrating and documenting that its corporate
parent, corporate grandparent, sibling corporation,
or a firm with a substantial business relationship
with the owner or operator, meets the financial test
requirements on its behalf.
GROUND WATER MONITORING
The treatment, storage, or disposal of hazardous
waste directly on the land creates the potential to
generate hazardous waste leachate that can carry
hazardous contaminants into the environment. Such
contaminants can pose a serious threat to ground
water resources.
Ground water is water found below the land
surface in the part of the earth's crust in which all
voids are filled with water. This water accumulates
in an aquifer, an underground rock formation, that
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provides a significant amount of ground water to
drinking wells and springs.
Ground water serves as a very important
resource by providing drinking water and municipal
water supplies for approximately 50 percent of all
Americans. In some areas, ground water supplies
100 percent of the water supply for all uses. Ground
water is also a very critical resource in agriculture.
Farmers rely on this resource to irrigate the crops
that are later sold at markets across the country.
The importance of ground water is highlighted
by that fact that it is very difficult and expensive to
clean once contaminated. Cleanup can take decades,
and in certain cases cannot restore ground water to
useable conditions.
General Requirements
In order to protect this valuable resource and
avoid costly cleanups, RCRA requires TSDF owners
and operators of land-based treatment, storage, or
disposal units (i.e., land treatment units, landfills,
surface impoundments, and waste piles) to monitor
the ground water passing under their facilities to
ensure that their hazardous waste management
activities are not contaminating the ground water.
Waivers and Exemptions
Some land-based units are designed or managed
in a way that does not bring the potential for ground
water contamination. Such waivers or exemptions
from the ground water monitoring requirements
apply to:
Man-made structures that do not receive liquid
wastes, have inner and outer containment layers
and a leak detection system between the
containment layers, and are designed to prevent
the entry of rain water
Land treatment units that do not release
hazardous constituents into the environment
during the post-closure period
Indoor waste piles
Units that do not have the potential to leak
hazardous waste into the environment
Units that have been clean closed.
Ground Water Monitoring Provisions
The purpose of the ground water monitoring
requirements is to require owners and operators of
land-based units to monitor the ground water that
passes beneath their TSDF in order to detect leaks of
hazardous waste, and facilitate cleanup as soon as
possible. As a result, owners and operators must
install monitoring wells to detect contamination in
the aquifer nearest the ground surface. In order to
ensure that the information received from the
monitoring wells is accurate, TSDF owners and
operators must have:
Enough wells installed in the right places to
accurately represent the ground water activity
under the facility
Properly installed wells (poorly installed wells
may give false results)
Lined or cased wells to prevent the collapse of
monitoring well bore holes
Consistent sampling and analysis procedures
Statistical methods to avoid false evidence of a
release
Accurate records containing any information
collected.
The ground water monitoring requirements vary
for permitted and interim status TSDFs. The interim
status ground water monitoring requirements are
designed to generate information about ground
water quality for use in developing the facility's
permit, as well as detect and clean up releases.
Permitted Facilities
Facilities with permitted land treatment units,
landfills, surface impoundments, or waste piles must
develop a ground water monitoring program. This
ground water monitoring program consists of three
phases:
Detection monitoring, to detect if a leak has
occurred
Compliance monitoring, to determine if an
established ground water protection standard has
been exceeded once a leak has occurred
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Corrective action, to clean up contamination
caused by the leak.
Because different TSDFs handle different types
of wastes and will have units of different age and
design, each TSDF's program is unique and site-
specific.
Detection Monitoring Program
Detection monitoring is the first step of ground
water monitoring. The goal is to detect and
characterize any leaks of hazardous waste from the
unit. In detection monitoring, the owner and
operator monitors for indications of a leak from the
unit, looking for potential changes in the ground
water quality from normal (background) levels. A
change from background levels might indicate a leak
from the unit. The results from the sampling wells
are compared to the background ground water
quality levels to determine if there is any evidence
of an increase (see Figure III-16). If the evidence
indicates that the unit is leaking, the owner and
operator must:
Notify the EPA Regional Administrator within
seven days
Immediately sample all wells for hazardous
constituents
Determine which hazardous constituents are
present and at what levels
Submit an application to modify the facility's
permit to move into the second phase of the
ground water monitoring program (compliance
monitoring)
Submit a cleanup feasibility plan.
If the owner and operator can prove that the
contamination did not result from their facility, they
can continue detection monitoring.
Compliance Monitoring Program
Once the owner and operator has established that
a release has occurred, they must develop and
implement a compliance monitoring program (see
Figure III-17). The goal of compliance monitoring
is to ensure that the amount of hazardous waste that
has leaked into the uppermost aquifer does not
exceed acceptable levels. In order to determine
what these acceptable levels are, RCRA requires the
owner and operator to establish a ground water
protection standard (GWPS). The GWPS has four
parts: identification of hazardous constituents;
identification of concentration levels for each
constituent; establishment of a compliance point;
and determination of a compliance period during
which the GWPS applies.
Hazardous Constituents
For purposes of compliance monitoring,
hazardous constituents are those constituents that
have been detected in the uppermost aquifer and are
reasonably expected to be in or derived from the
waste contained in the unit.
Concentration Limits
Concentration limits are the maximum levels
of hazardous waste or hazardous constituents
allowed to be present in the ground water. The
concentration levels can be:
Background levels
Maximum contaminant levels (MCLs)
borrowed from SDWA
Alternative concentration limits (ACLs)
established by the EPA Regional Administrator.
Point of Compliance
The point of compliance is the vertical point
where the owner and operator must monitor the
uppermost aquifer to determine if the leak exceeds
the GWPS.
Compliance Period
The compliance period is the length of time
during which an owner and operator must conduct
compliance monitoring or perform cleanup.
Generally, this period will cover the rest of the
TSDF's operating life and may extend into the post-
closure period.
The owner and operator must monitor at least
semiannually to determine if the GWPS has been
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Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
Figure 111-16: Detection Monitoring
Adjusted Water
Table After
Installation of Wells
Ground Water
Bedrock Monitoring
Wells
In detection monitoring, owners and operators compare the sample results from the ground water monitoring wells to the
background water quality levels. A change from background levels might indicate a leak from the unit.
Figure 111-17: Compliance Monitoring
Limit of the Waste
Management Area
Regulated Unit
Uppermost
Aquifer
Direction of Ground
Water Flow
Two-Dimensional
Point of Compliance
During the compliance monitoring program, an owner and operator must ensure that the amount of hazardous waste that
has leaked into the uppermost aquifer does not exceed acceptable levels. To achieve this, an owner and operator must
establish a ground water protection standard, which includes identification of hazardous constituents, identification of
concentration levels for each constituent, establishment of a point of compliance, and determination of a compliance period.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
exceeded. The specifics of the GWPS will be listed
in the TSDF's permit.
During the compliance period, the owner and
operator must determine whether there is any
evidence of increased contamination for any of the
hazardous constituents specified in the GWPS. This
is accomplished by comparing information collected
at the point of compliance to the concentration limits
set in the GWPS. The owner and operator must also
analyze the samples from compliance wells for all
RCRA hazardous constituents at least annually to
determine if any additional constituents are present
that are not specified in the GWPS. If additional
constituents are found, they must be added to the list
of constituents in the GWPS.
If the GWPS is exceeded, the owner and
operator must:
Notify the EPA Regional Administrator in
writing within seven days
Submit an application to modify the facility's
permit to move into the third phase of the
ground water monitoring program (corrective
action)
Continue to monitor in accordance with the
compliance monitoring program.
If the owner and operator can prove that the
increased contamination resulted from a source
other than their facility, or that the increase was due
to an error in analyzing the sample or natural
variations in ground water, they must notify the EPA
Regional Administrator in writing within seven
days. On the other hand, if the contamination is
found to have resulted from a unit at the TSDF, the
owner and operator must initiate cleanup.
Corrective Action Program
The goal of ground water corrective action
(cleanup) is to clean the ground water to meet the
GWPS. To clean up the contamination, the owner
and operator must either remove the hazardous
constituents from the ground water or treat them in
place. The specific measures undertaken to clean
the ground water will vary with each facility (see
Figure III-18).
Effectiveness
To make sure the owner's and operator's
corrective action program is working properly, they
must monitor the ground water under the TSDF, and
then report semi-annually on the effectiveness of the
corrective action program.
Time Period
Once the ground water has been treated to meet
the GWPS, the owner and operator may stop
corrective action and return to compliance
monitoring. During the compliance period, facilities
may move between compliance monitoring and
corrective action as necessary to respond to new
releases from the unit.
If the compliance period ends and corrective
action is still being conducted, corrective action
must continue as long as necessary to achieve the
GWPS. Only after the owner and operator has met
the GWPS for three consecutive years may they stop
corrective action. If the unit is still in the post-
closure period, the owner and operator may then
reinstate a detection monitoring program. If the
post-closure period has elapsed, the TSDF has
completed its requirements under RCRA ground
water monitoring.
Interim Status Facilities
The requirements for interim status facilities
were designed to supply background data on these
facilities before permitting, and to act as a warning
system to detect any releases to ground water prior
to issuing a permit to the facility. The interim status
program is similar to the permitted ground water
monitoring program, but does not include cleanup
provisions. If cleanup is required at an interim
status facility, it will be addressed under RCRA
§3008(h) or §7003 corrective action authorities (as
discussed in Section III, Chapter 9), or in the facility
permit when issued. The interim status ground
water monitoring program is comprised of two
phases: an indicator evaluation and a ground water
quality assessment.
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Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
Figure 111-18: Ground Water Corrective Action
Re-Injection of
Injection of Water Clean Water Treatment System
and Solvents into '
Ground Water |
An example c
contaminatioi
solvents into
of the contarr
surface and t
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] i ^^fc^BM^^v\
VVVVVVV y y y y y y \ ReCOVBry '
vvvvvvv vvv y y y Leaking ,
y y y y y y y vvv vvv Disposal *
vvvvvvv * v v vvv Slte
"^^^iv^x^MMBM|jJ| ~~~"~l'
Aquifer Contaminant Plume ^ TJ
^
Bedrock
^
Ground Water Flow
rf ground water corrective action is a ground water pump and treat system. In order to remediate
i that has leaked from a disposal site into the uppermost aquifer, the owner and operator injects water and
the ground. The groundwater flow carries the water and solvents to the contaminant plume, flushes the plume
ination, and carries the contaminants to a recovery well where the contaminated water is pumped to the
reated. Clean water is then re-injected into the ground water for reuse in the pump and treat process.
Indicator Evaluation
To determine if the units at a TSDF are leaking,
the owner and operator must monitor the ground
water under the facility. The information collected
from the monitoring wells is compared to data on
background water quality to determine if any
contamination of the uppermost aquifer has
occurred. If the information indicates that there may
be a release from the facility, the owner and operator
must then begin the second phase, the ground water
quality assessment. If an owner and operator
assumes or already knows that contamination of the
uppermost aquifer has occurred, they may initiate
the ground water quality assessment instead of an
indicator evaluation program.
Ground Water Quality Assessment Program
Once the owner and operator has determined
that there may have been a release from the unit, the
ground water quality assessment helps to determine
the extent of the release. If an owner and operator
must perform a ground water quality assessment,
they must notify the EPA Regional Administrator
within seven days, and prepare and submit a plan on
how to conduct a ground water quality assessment to
the EPA Regional Administrator within 15 days. In
the ground water quality assessment, the owner and
operator must establish how fast the unit is leaking,
how far the leak has spread, and the concentrations
of constituents in the contamination. The owner and
operator must repeat this assessment at least
quarterly until final closure of the facility, and must
keep records of all required analyses and evaluations
on site. They must also submit an annual report to
the EPA Regional Administrator detailing the status
of the ground water quality assessment program.
AIR EMISSION STANDARDS
While many hazardous waste TSDF standards
are designed to protect ground water, potential
contamination of air resources also represents a
threat to human health and the environment. During
the process of hazardous waste treatment, storage, or
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Section III: Managing Hazardous Waste - RCRA Subtitle C
disposal, hazardous constituents can escape into the
air.
One particular class of these constituents,
volatile organics, evaporate easily and have been
linked to several adverse health effects. In order to
control the release of these emissions from
hazardous waste management processes, RCRA
imposes air emission control requirements on units
that commonly manage hazardous waste with
organics.
Process Vents
Certain types of hazardous waste units are
commonly used to manage wastes with high levels
of volatile organics. As a result, the first set of air
emission requirements addresses process vents
associated with the distillation, fractionation, thin-
film evaporation, solvent extraction, and air and
steam stripping of hazardous waste with an annual
average total organic concentration of 10 parts per
million by weight (ppmw). Owners and operators of
TSDFs with these treatment processes must reduce
organic emissions at their entire facility. To meet
this standard, the owner and operator may either
modify the treatment process or install a device to
control organic emissions.
Equipment Leaks
Volatile organics can also escape into the air
through gaps between connections of hazardous
waste management equipment, or other leaks from
such equipment. As a result, the second set of air
emission regulations establishes specific leak
detection and repair programs for equipment (e.g.,
valves, pumps, and compressors) that contains or
contacts hazardous waste with at least 10 percent by
weight organics. These programs require leak
detection monitoring and inspection. In addition,
once a leak has been detected, the equipment must
be repaired.
Containers, Surface Impoundments,
and Tanks
In order to further protect human health and the
environment from the risks posed by volatile
organics, the final set of RCRA air emission
standards require TSDF owners and operators to
control organic air emissions from hazardous waste
containers, surface impoundments, and tanks.
RCRA requires these controls if the units manage
waste with an average volatile organic concentration
above 500 ppmw. These air emission controls
prevent the release of organic constituents through
installation of a control device (e.g., a flare), or
prevention of emissions.
Containers
TSDF owners and operators are subject to one
of three different sets of requirements for containers
depending on the size of the container, the organic
content of hazardous waste placed in the container,
and whether or not waste stabilization (as discussed
in Section III, Chapter 6) occurs in the container.
Small containers (between 26 and 119 gallons) and
large containers (greater than 119 gallons) storing
waste with a low vapor pressure (known as Level 1
containers) must either comply with DOT
requirements, be equipped with a closed cover, or be
fitted with a vapor suppressing barrier. Large
containers storing waste with a high vapor pressure
(known as Level 2 containers) may either meet DOT
specifications, operate with no detectable emissions,
or be vapor tight (i.e., no vapors can escape the
unit). The last category of containers (Level 3
containers) are those units conducting waste
stabilization. These containers must be vented
through a closed-vent system to a control device.
Surface Impoundments
TSDF surface impoundment owners and
operators must either install a cover (e.g., an air-
supported structure or a rigid cover) over the
impoundment, which must be vented through a
closed-vent system to a control device, or equip the
surface impoundment with a floating membrane
cover.
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Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
Tanks
TSDF tank owners and operators are subject to
one of two different sets of requirements depending
on the vapor pressure of the waste being managed in
the unit. Tanks which store hazardous waste below
certain vapor pressures (known as Level 1 tanks),
must be equipped with, at a minimum, a fixed roof.
Those tanks that store waste with higher vapor
pressures (known as Level 2 tanks), have five
compliance options that range from putting the tank
in an enclosure vented to a control device to using a
closed-vent system that vents emissions from the
unit to a control device.
Other Requirements
The air emission standards require owners and
operators to keep certain records demonstrating
compliance with these standards in the facility's
operating log.
LQGs are subject to the interim status air
emission control requirements for process vents,
equipment leaks, containers, and tanks. SQGs,
however, are not subject to these air emission
control requirements.
SUMMARY
The RCRA Subtitle C TSDF standards impose
requirements on units that treat, store, or dispose
hazardous waste. These standards include full
operation and management requirements for
permitted facilities (those built after the standards
were established) and less stringent provisions for
interim status facilities (those that were already in
operation).
The TSDF standards require facilities to comply
with:
General facility standards
Preparedness and prevention requirements
Contingency plans and emergency procedure
provisions
Manifest, recordkeeping, and reporting
requirements.
TSDF owners and operators can treat, store, or
dispose of waste in a variety of units. Each unit has
its own specific standards governing unit design,
construction, operation, and maintenance. Owners
and operators can manage their waste in any of the
following units:
Containers
Containment buildings
Drip pads
Land treatment units
Landfills
Surface impoundments
Tanks
Waste piles
Miscellaneous units.
LQGs accumulating waste in containers,
containment buildings, drips pads, and tanks are
subject to the interim status TSDF standards for
these units. SQGs accumulating waste in containers
and tanks are subject to the interim status standards
for these units.
The TSDF standards also establish requirements
to ensure that hazardous waste management units are
closed in a manner that protects human health and
the environment. The closure provisions require the
facility to stop accepting waste; remove all waste
from management units; and decontaminate all soils,
structures, and equipment. Some units (i.e., land
treatment units, landfills, and surface
impoundments) serve as places for the final disposal
of hazardous waste. These land disposal units must
comply with additional post-closure requirements to
ensure proper long-term unit maintenance.
Because closure and post-closure activities can
be very expensive, the TSDF standards require
owners and operators to demonstrate financial
assurance. These provisions also require all TSDFs
to set aside funds in order to compensate third
parties for bodily injury and property damage that
might result from hazardous waste management
operations.
RCRA's TSDF standards also include provisions
to protect ground water and air resources from
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Section III: Managing Hazardous Waste - RCRA Subtitle C
hazardous waste contamination. RCRA requires
owners and operators of land-based units (i.e., land
treatment units, landfills, surface impoundments, and
waste piles) to monitor the ground water below their
TSDF for possible contamination, and clean up any
discovered contamination.
In order to protect air resources, TSDFs are
required to install unit controls to prevent organic
emissions from escaping into the air. The air
emissions controls apply to process vents,
equipment leaks, containers, surface impoundments,
and tanks.
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CHAPTER 6
LAND DISPOSAL RESTRICTIONS
In this chapter...
Overview 111-89
Applicability 111-90
LDR Prohibitions 111-91
- Disposal Prohibition 111-91
- Dilution Prohibition III-96
- Storage Prohibition III-96
History of LDR III-96
Summary III-98
Additional Resources III-98
OVERVIEW
A common hazardous waste management
practice is to place hazardous waste in land-based
units (i.e., land treatment units, landfills, surface
impoundments, or waste piles). In 1999,
approximately 69 percent of hazardous
nonwastewaters generated under RCRA were
permanently disposed on the land. The permanent
disposal of hazardous waste in land-based units has
the potential to threaten human health and the
environment through ground water contamination.
As a result, the RCRA program contains extensive
technical requirements to ensure that land-based
units prevent hazardous leachate from escaping into
the environment. To complement the unit-specific
standards, which alone do not fully protect human
health and the environment from the potential risks
of land-based hazardous waste management, RCRA
includes the LDR program.
The LDR program approaches ground water
protection differently from unit-specific technical
standards. This program does not mandate physical
barriers to protect ground water, but instead requires
that hazardous wastes undergo fundamental
physical or chemical changes so that they pose less
of a threat to ground water, surface water, and air
when disposed. The obvious advantage of such
hazardous waste treatment is that it provides a
longer lasting form of protection than does simple
hazardous waste containment. While synthetic
barriers designed to prevent the migration of
leachate can break down and fail over time,
physical and chemical changes to the waste itself
provide a more permanent type of protection.
When directing EPA to establish the LDR
program, Congress called for regulations that
specified concentrations of hazardous constituents
or methods of treatment that would substantially
decrease the toxicity of hazardous waste or decrease
the likelihood that contaminants in such wastes
would leach. EPA responded to these requirements
by establishing waste-specific treatment standards
that dictate to what extent waste must be treated.
All hazardous wastes, except under certain
circumstances, must meet a specific treatment
standard before they can be disposed.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
APPLICABILITY
Wastes must be a RCRA hazardous waste in
order to be subject to the LDR program. In other
words, unless a waste meets the definition of a solid
and hazardous waste, its disposal is not regulated
under the LDR program. Once a generator identifies
its waste as hazardous (either listed, characteristic,
or both), the waste is assigned a waste code. When
EPA establishes a treatment standard for the waste
code, the waste will then become restricted (i.e.,
subject to the LDR requirements). RCRA requires
that EPA establish treatment standards for hazardous
wastes within six months of promulgating a new
listing or characteristic. Until EPA establishes a
treatment standard for a waste, this newly identified
or newly listed waste (i.e., waste for which EPA has
yet to establish a treatment standard) can continue to
be land disposed without treatment. When EPA
promulgates a final treatment standard for a waste,
handlers of the waste must manage it in accordance
with all the LDR requirements and cannot dispose of
it on the land until it meets all applicable treatment
standards (see Figure III-19).
While the LDR program generally applies to all
persons who generate, transport, treat, store, or
dispose of restricted hazardous wastes, there are
exclusions from the LDR requirements. The
following wastes are not subject to the LDR
program:
Waste generated by CESQGs
Waste pesticides and container residues
disposed of by farmers on their own land
Newly identified or newly listed hazardous
wastes for which EPA has yet to promulgate
treatment standards
Certain waste releases that are mixed with a
facility's wastewater and discharged pursuant to
CWA.
Figure 111-19: Land Disposal Restrictions Applicability
i material a solid waste?l
Yes
| Is waste a listed or characteristic hazardous waste? |
V Yes
No
Is waste:
1) Generated by a CESQG; or
2) A pesticide/container residue disposed by a farmer on his own land; or
3) A low-volume release mixed with facility wastewater and discharged
under CWA?
Yes
WASTE IS NOT SUBJECT
TO LDR
No
Does waste have a treatment standard?!
Yes
WASTE IS SUBJECT TO LDR
No
1
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Chapter 6: Land Disposal Restrictions
Wastes meeting any of these descriptions may
continue to be land disposed without being subject to
the LDR program.
The LDR requirements attach to a hazardous
waste at its point of generation. In other words,
once a waste has been generated, identified, and
assigned a waste code, it must be treated in
accordance with LDR requirements before being
disposed. As a general principle, a hazardous waste
must meet all applicable treatment standards to be
eligible for land disposal. For purposes of the LDR
program, a generator of a listed hazardous waste
must determine if the waste also exhibits any
hazardous waste characteristics. If it does, then the
treatment standard for all waste codes must be met
before land disposal.
LDR PROHIBITIONS
The LDR program consists of three main
components: the disposal prohibition, the dilution
prohibition, and the storage prohibition. This series
of prohibitions restricts how wastes subject to LDR
requirements are handled. The most visible aspect
of the LDR program is the disposal prohibition,
which includes treatment standards, variances,
alternative treatment standards, and notification
requirements. Land disposal means placement in
or on the land, except in a corrective action unit, and
includes, but is not limited to, placement in a
landfill, surface impoundment, waste pile, injection
well, land treatment facility, salt dome formation,
salt bed formation, underground mine or cave, or
placement in a concrete vault, or bunker intended for
disposal purposes. The other two components work
in tandem with the disposal prohibition to guide the
regulated community in proper hazardous waste
management. The dilution prohibition ensures that
wastes are properly treated, and the storage
prohibition ensures that waste will not be stored
indefinitely to avoid treatment.
Disposal Prohibition
The first component of the LDR program, the
disposal prohibition, prohibits the land disposal of
hazardous waste that has not been adequately treated
to reduce the threat posed by such waste. The
DISPOSAL PROHIBITION
criteria that hazardous
wastes must meet
before being disposed The disposal prohibition
of are known as prohibits the land disposal
treatment standards. of hazardous waste that
_, A has not been adequately
These treatment tregted fo reduce ^ thregt
standards can be either posed by such waste.
concentration levels
for hazardous
constituents that the waste must meet or treatment
technologies that must be performed on the waste
before it can be disposed.
EPA bases the LDR treatment standards on the
performance of available technologies. EPA
conducts extensive research into available treatment
technologies to determine which proven, available
technology is the best at treating the waste in
question. The technology that best minimizes the
mobility or toxicity (or both) of the hazardous
constituents is designated as the Best Demonstrated
Available Technology (BDAT) for that waste. The
treatment standards are based on the performance of
this BDAT.
When treatment standards are set as
concentration levels, the regulated community may
use any method or technology (except dilution, as
discussed later in this chapter) to meet that
concentration level. The concentration level is
based on the performance of the BDAT, but the
regulated community does not need to use this
technology to meet the treatment standard. EPA
prefers to use concentration-based standards because
they stimulate innovation and the development of
alternative treatment technologies. However, when
EPA feels that the waste will only be effectively
treated by the BDAT or when there is no way to
measure hazardous constituent levels, the Agency
will designate the BDAT as the treatment standard.
This means that the regulated community must treat
the waste with that specific technology in order to
meet the treatment standard.
The treatment standards are found in the
regulations in a table arranged by hazardous waste
code (40 CFR §268.40). Concentration-based
treatment standards appear in the table as numeric
values. The few treatment standards that require the
use of a specific technology are expressed as a five-
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Section III: Managing Hazardous Waste - RCRA Subtitle C
letter code representing the technology (see Figure
111-20). There are 30 such codes representing
specific technology-based standards. Descriptions
of these codes and the technologies that they require
are found in the regulations in a separate table in 40
CFR §268.42 (see Figure 111-21).
Characteristic Hazardous Wastes
Both listed and characteristic hazardous wastes
must meet the LDR treatment standards before they
are eligible for land disposal. There are, however,
some unique situations that arise when dealing with
characteristic wastes under the LDR program.
The treatment standards for most characteristic
hazardous wastes entail rendering the waste
nonhazardous (i.e., decharacterizing the waste or
removing the characteristic). However, some
characteristic waste treatment standards have
additional requirements. The regulated community
must examine these wastes for underlying
hazardous constituents. These constituents are not
what causes the waste to exhibit a characteristic, but
they can pose hazards nonetheless. The underlying
hazardous constituents must be treated in order to
meet contaminant-specific levels. These levels are
referred to as the universal treatment standards
(UTS), and are listed in a table in the RCRA
regulations (40 CFR §268.48). This is why some
characteristic wastes that no longer exhibit a
characteristic must still be treated to meet additional
LDR requirements. Once such characteristic
hazardous wastes have been decharacterized and
treated for underlying constituents, they can be
disposed of in a nonhazardous waste landfill.
Variances, Extensions, and Exemptions
If a restricted waste does not meet its applicable
treatment standard, it is prohibited from land
disposal. Although most wastes become eligible for
disposal by meeting the treatment standards, in some
instances this may not be possible. For example,
there may not be enough treatment capacity to treat
a waste, or the concentration level may not be
achievable. To address these situations, EPA
established procedures that allow wastes to be
Figure 111-20: Excerpts from the 40 CFR §268.40 Treatment Standards Table
Concentration-Based
Standard
/
TREATMENT STANDARDS FOR HAZARDOUS WASTES /
WASTE
CODE
K009
K026
WASTE DESCRIPTION
AND
TREATMENT/
REGULATORY
SUBCATEGORY
Distillation bottoms from
the production of
acetaldehyde from
ethylene
Stripping still tails from
the production
of methyl ethyl pyridines
REGULATED HAZARDOUS
CONSTITUENT
Common
Name
Chloroform
NA
CAS
Number
67-66-3
NA
WASTEWATERS
Concentration in
mg/l; or
Technology Code
0.046
CMBST
NONWASTEWATEWB
Concentration in ma/kg
unless notes as "mg/l/TCLP";
or Technology Code
I
f
6.0
CMBST
A
r
Technology-Based
Standard
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Chapter 6: Land Disposal Restrictions
Figure 111-21: Excerpts from the 40 CFR §268.42 Technology-Based Standards Table
Code
BIODG
CHRED
CMBST
DEACT
MACRO
NEUTR
PRECP
REMTL
RORGS
STABL
Technology
Biodegradation
Chemical reduction
Combustion
Deactivation
Macroencapsulation
Neutralization
Precipitation
Recovery of Metals
Recovery of Organics
Stabilization
Description
Biodegradation uses microorganisms to break down organic compounds
to make a waste less toxic.
Chemical reduction converts metal and inorganic constituents in
wastewater into insoluble precipitates that are later settled out of the
wastewater, leaving a lower concentration of metals and inorganics in the
wastewater.
Combustion destroys organic wastes or makes them less hazardous
through burning in boilers, industrial furnaces, or incinerators.
Deactivation is treatment of a waste to remove the characteristic of
ignitability, corrosivity, or reactivity. Deactivation can be achieved using
many of the treatment technologies in 40 CFR §268.42, Table 1 . Part 268,
Appendix VI recommends technologies that can be used to deactivate
specific wastestreams.
Macroencapsulation is the application of a surface coating material to
seal hazardous constituents in place and prevent them from leaching or
escaping.
Neutralization makes certain wastes less acidic or certain substances
less alkaline.
Precipitation removes metal and inorganic solids from liquid wastes to
allow the safe disposal of the hazardous solid portion.
Recovery of organics uses direct physical removal methods to extract
metal or inorganic constituents from a waste.
Recovery of organics uses direct physical removal methods (e.g.,
distillation, steam stripping) to extract organic constituents from a waste.
Stabilization (also referred to as solidification) involves the addition of
stabilizing agents (e.g., Portland cement) to a waste to reduce the
leachability of metal constituents.
disposed of under special circumstances. The
following exemptions, variances, and extensions
allow wastes to be disposed of without meeting their
respective treatment standards, or to be treated to a
different standard:
National capacity variances
Case-by-case extensions
No-migration variances
Variances from a treatment standard
Equivalent treatment method variances
Surface impoundment treatment exemptions.
While national capacity variances, when needed,
are automatically granted to all affected hazardous
waste management facilities, the other five
exemptions, variances, and extensions require a
facility to specifically petition the Agency.
National Capacity Variances
When developing a treatment standard, EPA
examines the available treatment capacity to
determine whether it is sufficient to handle current
and future waste management needs. If the Agency
determines that nationally there is not enough
capacity to treat a waste, EPA can automatically
extend the effective date of the waste's treatment
standard. Such an extension to the effective date is
intended to give the waste treatment industry more
time to develop the capacity to handle the waste.
Wastes under a national capacity variance can be
disposed of, without meeting the treatment
standards, in landfills and surface impoundments
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Section III: Managing Hazardous Waste - RCRA Subtitle C
CASE STUDY: DECHARACTERIZED WASTES AND THE REQUIREMENT TO TREAT
FOR UNDERLYING HAZARDOUS CONSTITUENTS
A facility generates an industrial nonwastewater that contains benzene, acetone, and methanol. The generator
determines that their waste is not listed based on its origin, but upon testing the waste, determines that it fails the
TCLP for benzene. As a result, the waste is identified as D018. According to the LDR treatment standard for D018,
the benzene in the waste must be treated to a standard of 10 mg/kg, and the waste must also be treated for acetone
and methanol underlying hazardous constituents. The generator decides to treat the waste in containers at the
facility. After treatment, the benzene meets the 10 mg/kg standard and no longer exhibits a characteristic. Although
the waste is technically no longer a hazardous waste, it must be treated for the acetone and methanol underlying
hazardous constituents before it can be land disposed.
that meet minimum technical requirements (e.g.,
liners, leachate collection and removal systems, and
leak detection systems). (These technical
requirements are fully discussed in Section III,
Chapter 5.)
Case-foy-Case Extensions
A facility may petition EPA for a case-by-case
extension to delay the effective date of a waste's
treatment standard, upon showing that capacity does
not exist for that particular waste. Similar to
national capacity variances, wastes granted case-by-
case extensions can be disposed of without meeting
the treatment standards in landfills and surface
impoundments that meet minimum technical
requirements.
No-Migration Variances
No-migration variances differ from capacity
variances in that they apply to the disposal unit
instead of to the waste, and allow wastes to be
disposed of in the unit without meeting the treatment
standards. To obtain a no-migration variance for a
disposal unit, a facility must petition EPA and
demonstrate that there will be no migration of
hazardous constituents from the unit (i.e., the waste
will not leak or escape from the unit) for as long as
the wastes remain hazardous.
Variances from a Treatment Standard
Variances from a treatment standard allow the
regulated community to petition EPA and show that
the required LDR treatment standard is not
appropriate for their waste, or that the treatment
standard is not achievable. If a variance is granted,
EPA will specify an alternative standard to meet.
Equivalent Treatment Method Variances
Equivalent treatment method variances allow the
regulated community to petition EPA and
demonstrate that a technology different from the
required LDR treatment technology can achieve the
same results. If approved, the applicant can use the
alternative technology in place of the required
technology.
Surface Impoundment Treatment Exemptions
Surface impoundment treatment exemptions
allow the regulated community to petition EPA for
permission to treat hazardous waste in surface
impoundments (surface impoundments are fully
discussed in Section III, Chapter 5). Under normal
circumstances, owners and operators cannot place
untreated hazardous waste on the land, even if it is
in a land-based unit for treatment. Since many
facilities use surface impoundments as a means of
treating waste, the surface impoundment treatment
exemption allows owners and operators to conduct
such treatment under certain conditions. Surface
impoundments treating waste under this exemption
must comply with double liner and minimum
technical requirements, and provisions for the
removal of sludges and treatment residues.
Alternative Treatment Standards
In establishing treatment standards, the Agency
applied the BOAT methodology to the typical forms
of waste generated by industry. Some forms of
hazardous waste are unique and were not taken into
account by the BDAT process when treatment
standards were established. As a result, EPA created
a number of broad, alternative treatment standards
for special types of waste.
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Chapter 6: Land Disposal Restrictions
Lab Packs
Laboratories commonly generate small volumes
of many different listed hazardous wastes. Rather
than manage all these wastes separately, labs often
consolidate these small containers into lab packs.
Trying to meet the individual treatment standards for
every waste contained in a lab pack would be
impractical. To ease the compliance burden, EPA
established an alternative treatment standard for lab
packs that allows the whole lab pack to be
incinerated, followed by treatment for any metal in
the residues. Treatment using this alternative
standard satisfies the LDR requirements for all
individual wastes in the lab pack.
Debris
Debris can become contaminated with hazardous
waste accidental releases or spills. While such
contaminated debris is typically regulated under the
contained-in policy (as discussed in Section III,
Chapter 1), it may also be subject to LDR treatment
standards. The physical characteristics of such
debris may make it difficult to meet the LDR
treatment standard for the waste that is
contaminating it. For example, incinerating a
solvent-saturated brick wall is not necessarily going
to destroy the solvent constituents that are safely
nestled in between the pieces of brick. Instead of
requiring debris to meet these sometimes
inappropriate and difficult standards, EPA
established a set of alternative standards that can be
used to treat hazardous debris (40 CFR §268.45,
Table 1). The alternative standards range from
removing all contaminants with high pressure
washing, to encapsulating the debris in order to
prevent hazardous constituents from leaching.
Debris treated with these alternative treatment
standards meets the LDR requirements, and in many
cases, can be disposed of as nonhazardous waste.
Soil
Cleanup, or remediation, of hazardous waste
sites will often produce contaminated soil.
Contaminated soil must be handled as hazardous
waste if it contains a listed hazardous waste or if it
exhibits a characteristic of hazardous waste (see
discussion of the contained-in policy in Section III,
Chapter 1). As with hazardous waste, land disposal
of hazardous soil is prohibited until the soil has been
treated to meet LDR standards. These contaminated
soils, due to either their large volume or unique
properties, are not always amenable to the waste
code-specific treatment standards found in §268.40.
Because of this, EPA promulgated alternative soil
treatment standards in §268.49 in May 1998.
The alternative soil treatment standards mandate
reduction of hazardous constituents in the soil by
90% or ten times UTS, whichever is higher.
Removal of the characteristic is also required if the
soil is ignitable, corrosive, or reactive.
Notification, Certification, and Recordkeeping
In order to properly track the hazardous waste
that is generated, transported, treated, stored, and
disposed of, EPA imposes certain LDR notification,
certification, and recordkeeping requirements on
generators and TSDFs. LDR notifications inform
the next waste handler how the waste must be
treated to meet the treatment standard or if it can be
disposed of without treatment. When wastes do not
need to meet a treatment standard, or already meet
the standard, EPA requires the handler to sign a
statement certifying such a claim.
Generators must send a notification with the
initial shipment of every waste. If the waste,
process, or receiving facility changes, another
notification is required. The information that the
notification must include varies according to the
status of the waste. For example, the notification
requirements will differ slightly if the waste meets
its treatment standard or is subject to a national
capacity variance.
Treatment facilities have to send similar
notifications along with the shipment of treated
wastes to disposal facilities. A certification
normally accompanies this notification stating that
the waste meets its treatment standards and may be
land disposed. Disposal facilities are the final link
in the waste management chain. As a result, they
have to test the waste residue that they receive to
ensure that it meets the treatment standards.
Each hazardous waste handler must comply with
certain recordkeeping requirements for LDR
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Section III: Managing Hazardous Waste - RCRA Subtitle C
notifications and paperwork. Generators, treatment
facilities, and disposal facilities must keep copies of
all LDR paperwork associated with the waste they
ship or receive in their facility files for three years.
Characteristic wastes that are decharacterized
subsequent to the point of generation (i.e., they
become nonhazardous) are handled differently.
Once a waste is decharacterized and has met its full
LDR treatment standards, it can go to a RCRA
Subtitle D nonhazardous waste facility. These LDR
notifications and certifications are sent to the EPA
Region or authorized state rather than to the
receiving Subtitle D facility. This is intended to
protect Subtitle D facilities from the burden of
hazardous waste paperwork.
Dilution Prohibition
The second component of the LDR program is
the dilution prohibition. When a waste's treatment
standard is expressed as a numeric concentration
level, it is often easier and less expensive to dilute
the waste in water or soil in order to reduce the
concentration of the hazardous constituents. This
type of activity does not reduce the overall or mass
load of toxic chemicals that could be released to the
environment, and is inconsistent with the goals of
the LDR program. To prevent this activity from
being practiced, EPA established the dilution
prohibition. The dilution prohibition states that it is
impermissible to dilute hazardous waste to
circumvent proper treatment. Adding water or soil
to a waste to dilute it, combining wastes not
amenable to the same type of treatment, and
incinerating metal wastes are all examples of
impermissible dilution.
Storage Prohibition
STORAGE PROHIBITION
The storage prohibition
prevents the indefinite
storage of untreated
hazardous waste for
reasons other than the
accumulation of
quantities necessary for
effective treatment or
disposal.
The final
component of the LDR
program is the storage
prohibition. Before a
waste can be treated, it
is usually stored in
units, such as
containers and tanks.
These storage units are
not intended for the
long-term management
of waste, and therefore, are not required to provide
the same level of protective measures as disposal
units. To prevent indefinite storage, EPA regulations
state that if waste storage exceeds one year, the
facility has the burden of proving that such storage is
being maintained in order to accumulate quantities
necessary for effective treatment or disposal. For
storage less than one year, EPA has the burden of
proving that such storage is not for the purpose of
accumulating quantities necessary for effective
treatment or disposal. Generators accumulating
waste on site within their respective accumulation
time limits (as discussed in Section III, Chapter 3),
and transfer facilities temporarily storing manifested
shipments of hazardous waste for less than 10 days
(as discussed in Section III, Chapter 4), are not
subject to this burden of proof requirement.
DILUTION PROHIBITION
The dilution prohibition forbids dilution, such as the
addition of soil or water to waste, in order to reduce
the concentrations of hazardous constituents, and can
prohibit treatment of a waste by ineffective or
inappropriate treatment methods. Examples of
ineffective or inappropriate treatment include
biodegradation, combustion, or incineration of metals,
and stabilization of organics. The clearest objective
indication that proper treatment is being conducted is
if the treatment is the same type as that on which the
treatment standard is based (i.e., if the treatment
method is the same as the BOAT that established the
waste's treatment standard) or if the treatment process
actually destroys or removes hazardous constituents.
HISTORY OF LDR
The LDR program has a complicated history.
The progression of the LDR program is important in
understanding how and why the LDR program
operates the way it does today (see Figure 111-22).
HSWA established the authority for the LDR
program. When HSWA was enacted, EPA had
already listed and identified a large number of
hazardous wastes. As a result, the Agency had to
gradually address these wastes by establishing LDR
treatment standards in stages. Congress directed
1-96
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Chapter 6: Land Disposal Restrictions
Figure 111-22: Significant Land Disposal Restrictions Rulemakings
November 7,
1986
JulyS,
1987
August 17,
1988
June 23,
1989
June 1,
1990
August 18, September 19,
1992 1994
April 8,
1996
May 12,
1997
I I I I
t
t
t
t
t
Solvent and Dioxin Rule
(51 FR 40572)
First Third Rule
(53 FR 31138)
Third Third Rule
(55 FR 22520)
Phase II Rule
(59 FR 47980)
Phase IV Rule
(62 FR 25998)
California List Rule
(52 FR 25760)
Second Third Rule
(54 FR 26594)
Phase I Rule
(57 FR 37194)
Phase III Rule
(61 FR 15565)
EPA to address certain high-risk and high-volume
wastes first, and established a three-part schedule for
EPA to follow in addressing the remaining wastes.
The three parts of this schedule are known as the
Thirds.
Before EPA could address the wastes in the
Thirds, the Agency was required to address those
wastes that were high-risk (dioxins) and those
wastes that were generated in large amounts
(solvents). The treatment standards for these wastes
were promulgated on November 7, 1986. This
rulemaking also established the basic framework for
the LDR program.
Because EPA's promulgation of LDR treatment
standards for the large number of wastes in the
Thirds would take considerable time, the Agency
established interim treatment standards to ensure
adequate protection of human health and the
environment. These interim standards are known as
the California list. The list, based on a program
established by California's Department of Health
Services, became effective on July 8, 1987. These
standards did not target specific waste codes, but
rather wastes containing certain toxic constituents or
exhibiting certain properties. As EPA established
waste-specific treatment standards in the Thirds, the
California list provisions were superseded. All of
the provisions on the list have now been superseded.
To address the wastes that were to be covered
under the Thirds, EPA ranked the wastes according
to hazard and volume generated. Those wastes that
posed the greatest potential threat were addressed
first through a rulemaking on August 17, 1988.
These wastes are known as the First Third wastes.
The treatment standards for the Second Third wastes
were promulgated on June 23, 1989, and the
treatment standards for the Third Third wastes were
promulgated on June 1, 1990.
While EPA was addressing the solvents, dioxins,
and the Thirds, other hazardous wastes were being
listed and identified as part of the Agency's
continuing process of hazardous waste
identification. These newly listed and identified
wastes, which became subject to RCRA after
HSWA, were grouped in their own respective
schedules. These schedules are known as the
Phases. These schedules not only promulgated
treatment standards for newly listed and identified
wastes, but also made minor modifications and
improvements to the LDR regulatory program.
On August 18, 1992, EPA promulgated Phase I,
which finalized treatment standards for the first set
of newly listed wastes and established alternative
treatment standards for hazardous debris. On
September 19, 1994, EPA promulgated Phase II,
which also finalized treatment standards for
additional newly listed wastes and added the UTS
table (40 CFR §268.48). On April 8, 1996, EPA
promulgated Phase III, which not only finalized
treatment standards for a third set of newly listed
wastes, but also prohibited the combustion of metals
(such treatment is ineffective and thus constitutes
1-97
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Section III: Managing Hazardous Waste - RCRA Subtitle C
impermissible dilution). On May 12, 1997, EPA
promulgated the first half of Phase IV, which
finalized the last set of treatment standards for newly
listed wastes and modified the LDR notification
requirements. The second half of Phase IV,
published on May 26, 1998, completed the schedule
established by the Phases by finalizing treatment
stndards for newly identified toxicity characteristic
metal wastes and formerly exempt mineral
processing wastes, and established alternative
treatment standards for soil contaminated with
hazardous waste.
With the completion of the four Phases, EPA has
promulgated standards for all currently identified
and listed hazardous wastes. EPA now promulgates
the LDR treatment standards for a waste when the
waste is initially identified or listed.
SUMMARY
The LDR program is designed to protect ground
water from contamination by requiring hazardous
wastes to be physically or chemically altered to
reduce the toxicity or mobility of hazardous
constituents prior to disposal. The LDR
requirements apply to all hazardous wastes (with a
few exceptions) once a treatment standard has been
established for the waste. These requirements attach
at the point of generation, at which time generators
must determine both hazardous waste listings and
characteristics. Based on this determination, the
waste must meet all applicable treatment standards
before disposal. The LDR program consists of
prohibitions on:
Disposal
Dilution
Storage.
The disposal prohibition requires that hazardous
wastes be treated to meet waste specific treatment
standards before disposal. These standards are
based on the BOAT process and requires treatment
to a specific concentration level or treatment by a
specific technology. EPA established a series of
variances, exemptions, and extensions to address
those situations where the required treatment
standard cannot be achieved. The LDR program
also includes alternative treatment standards for
unique wastestreams, such as lab packs, debris, and
soil. To ensure that wastes receive proper treatment
and are managed appropriately, EPA also
established notification and recordkeeping
requirements.
The dilution prohibition prevents treatment by
ineffective or inappropriate methods. The storage
prohibition is intended to require expeditious
treatment.
Since 1986, when the first treatment standards
were promulgated, the LDR program has continually
evolved. EPA has finished establishing treatment
standards for all existing, newly identified, and
newly listed wastes based on two rulemaking
schedules (the Thirds and Phases), and the Agency
now establishes treatment standards for hazardous
wastes when they are either listed or identified.
ADDITIONAL RESOURCES
Additional information about the topics covered
in this chapter can be found at www.epa.gov/
epaoswer/hazwaste/ldr/index.htm.
11-98
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CHAPTER 7
HAZARDOUS WASTE COMBUSTION
In this chapter...
Overview 111-99
What are the Regulated Units? 111-101
- Incinerators 111-101
- Boilers and Industrial Furnaces 111-101
Regulatory Requirements 111-103
- Combustion Standards under RCRA 111-103
- MACT Standards under the CAA 111-105
Additional Requirements 111-107
Summary 111-107
Additional Resources 111-108
OVERVIEW
A large number of TSDFs use combustion, the
controlled burning of substances in an enclosed area,
as a means of treating and disposing of hazardous
waste. Approximately 11 percent of the hazardous
nonwastewater generated in the United States in
1999 was treated using combustion. As a hazardous
waste management practice, combustion has several
unique attributes. First, if properly conducted, it
permanently destroys toxic organic compounds
contained in hazardous waste by breaking their
chemical bonds and reverting them to their
constituent elements, thereby reducing or removing
their toxicity. Second, combustion reduces the
volume of hazardous waste to be disposed of on land
by converting solids and liquids to ash. Land
disposal of ash, as opposed to disposal of untreated
hazardous waste, is in many instances both safer and
more efficient.
Combustion is an intricate treatment process.
During burning, organic wastes are converted from
solids and liquids into gases. These gases pass
through the flame, are heated further, and eventually
become so hot that their organic compounds break
down into the constituent atoms. These atoms
combine with oxygen and form stable gases that are
released to the atmosphere after passing through air
pollution control devices.
The stable gases produced by combustion of
organics are primarily carbon dioxide and water
vapor. Depending on waste composition, however,
small quantities of carbon monoxide, nitrogen
oxides, hydrogen chloride, and other gases may
form. These gases have the potential to cause harm
to human health and the environment. The
regulation of these emissions is the primary focus of
the RCRA combustion unit standards.
The management or disposal of metals and ash,
other by-products of the combustion process, also
causes concern. Ash is an inert solid material
composed primarily of carbon, salts, and metals.
During combustion, most ash collects at the bottom
of the combustion chamber (bottom ash). When
this ash is removed from the combustion chamber, it
may be considered hazardous waste via the derived-
from rule or because it exhibits a characteristic.
Small particles of ash (particulate matter that may
also have metals attached), however, may be carried
up the stack with the gases (fly ash). These
particles and associated metals are also regulated by
the combustion regulations, as they may carry
hazardous constituents out of the unit and into the
atmosphere. Since combustion will not destroy
1-99
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Section III: Managing Hazardous Waste - RCRA Subtitle C
inorganic compounds present in hazardous waste,
such as metals, it is possible that such compounds
may also end up in bottom ash and fly ash at harmful
concentrations. Ash residue is subject to applicable
RCRA standards and may need to be treated for
metals or other inorganic constituents prior to land
disposal (see Figure 111-23).
In the early years of RCRA, EPA's idea was to
combust as much hazardous waste as possible and
landfill the resultant ash. This process destroyed the
majority of the waste, thus reducing the volume
requiring disposal. However, it was determined that
incomplete or improperly conducted combustion had
the potential to present a major public health risk,
and therefore, became the topic of much public
outcry. This public concern, coupled with EPA's
advancements in assessing potential risks arising
from combustion, caused a shift in EPA's strategy on
combustion. This shift in thinking resulted in the
increasing stringency of combustion requirements
over time.
In September 1999, EPA issued a joint Clean Air
Act (CAA)/RCRA rule that upgraded the emission
standards for hazardous waste combustors, based on
the maximum achievable control technology
(MACT) approach commonly employed under the
CAA. This process develops technology-based,
emission limits for individual hazardous air
pollutants. Much like the BDAT concept for LDR
(as discussed in Section III, Chapter 6), the MACT
emission standards are based on the performance of
a technology. EPA researches available pollution
control technologies to determine which available
technology is the best at controlling each pollutant to
determine allowable emission limits. The regulated
community may then use any technology to meet the
numeric emission standards set by EPA.
Consistent with EPA's trend of gradually
increasing the stringency of standards over time, this
joint rule promulgated more stringent emissions
standards for dioxins, furans, mercury, cadmium,
lead, particulate matter, hydrogen chloride, chlorine
gas, hydrocarbons, carbon monoxide, and several
low-volatile metals. After the promulgation of this
rule, a number of parties representing the interests of
both industrial sources and the environmental
community, requested judicial review of this rule.
Figure 111-23: The Combustion Process
AIR POLLUTION
CONTROL DEVICE
COMBUSTION CHAMBER
STABLE GASES
(Carbon Dioxide, Water
Vapor, Carbon Monoxide,
Nitrogen Oxide, Hydrogen
Chloride, and Chlorine)
FLY ASH
(Particulate Matter,
Carbon, Salts, and
Metals)
Atoms combine with
oxygen to form
stable gases
1
Gases pass through flame
and break down into atoms
Waste is converted
to gases
]
BOTTOM ASH
(Carbon, Salts, and Metals)
11-100
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Chapter 7: Hazardous Waste Combustion
In July 2001, the United States Court of Appeals
for the District of Columbia Circuit vacated the
challenged portions of the rule. When it made its
decision, the Court invited any of the parties to
request, either that the current standards remain
intact, or that EPA be allowed time to publish
interim standards. Acting on this initiative, EPA and
the other parties jointly asked the Court for
additional time to develop interim standards, and the
Court granted this request. On February 13, 2002,
EPA published these interim standards which
temporarily replace the vacated standards. The
interim standards will remain in place until EPA
issues final "replacement" standards that comply
with the Court's opinion. EPA has also completed
other actions agreed to in the joint motion, such as
extending the compliance date by one year to
September 30, 2003, and finalizing several
amendments to the complaince and implementation
provisions by February 14, 2002. The MACT
standards are discussed later in this chapter.
WHAT ARE THE REGULATED
UNITS?
Hazardous wastes are combusted for various
purposes. The purpose of combustion is directly
related to the type of unit used. There are two
classes of combustion units, those that burn waste
for energy recovery and those that burn waste for
destruction.
Incinerators
The first class of combustion units are hazardous
waste incinerators. Incineration is the combustion of
hazardous waste primarily for destruction (i.e.,
disposal). Incineration is a method of thermal
destruction of primarily organic hazardous waste
using controlled flame combustion (see Figure III-
24). This process can reduce large volumes of waste
materials to ash and lessen toxic gaseous emissions.
An incinerator is an enclosed device that uses
controlled flame combustion and does not meet the
more specific criteria for classification as a boiler,
industrial furnace, sludge dryer (a unit that
dehydrates hazardous sludge), or carbon
regeneration unit (a unit that regenerates spent
activated carbon). Incinerators also include infrared
incinerators (a unit that uses electric heat followed
by a controlled flame afterburner) and plasma arc
incinerators (a unit that uses electrical discharge
followed by a controlled flame afterburner).
Figure 111-24: Cross-Section of an Incinerator
Auxiliary Fuel
and/or
Liquid Waste
^^^^
Auxiliary Fuel
and/or
Liquid Waste
Air
Feed Ram
Ash Discharge
Boilers and Industrial Furnaces
The second class of combustion units are BIFs.
Boilers are used to recover energy from hazardous
waste, while industrial furnaces are used primarily to
recover material values.
EPA defines boilers as enclosed devices that use
controlled flame combustion to recover and export
energy in the form of steam, heated fluid, or heated
gases. A boiler is comprised of two main parts, the
combustion chamber used to heat the hazardous
waste and the tubes or pipes that hold the fluid used
to produce energy (see Figure 111-25). The
regulatory definition of boiler requires that these two
parts be in close proximity to one another to ensure
the effectiveness of the unit's energy recovery
system and to maintain a high thermal energy
recovery efficiency. In addition, the unit must
export or use the majority of the recovered energy
for a beneficial purpose.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Figure 111-25: Cross-Section of a Boiler
Water To Be
Heated X
Combustion device used in the recovery of
sulfur values from spent sulfuric acid.
Industrial furnaces are enclosed units that are
integral parts of a manufacturing process and use
thermal treatment to recover materials or energy
from hazardous waste (see Figure 111-26). These
units may use hazardous waste as a fuel to heat raw
materials to make a commodity (e.g., a cement kiln
making cement) or the unit may recover materials
from the actual hazardous waste (e.g., a lead smelter
recovering lead values). The following 12 devices
meet the definition of an industrial furnace:
Cement kiln
Aggregate kiln
Coke oven
Smelting, melting, and refining furnace
Methane reforming furnace
Pulping liquor recovery furnace
Lime kiln
Phosphate kiln
Blast furnace
Titanium dioxide chloride process oxidation
reactor
Halogen acid furnace
Figure 111-26: Cross-Section of
an Industrial Furnace
Preheater.
Kiln
Clinker
Cooler
Stack-
Dust
Collector
tjl
After notice and comment, EPA may add other
devices to this list of industrial furnaces upon
consideration of factors related to the design and use
of the unit.
Not all units that meet the definition of boiler or
industrial furnace are subject to the 40 CFR Part
266, Subpart H, Boiler and Industrial Furnace (BIF)
standards. Each individual unit must first be
evaluated against a number of exemptions from the
BIF requirements. For a variety of reasons (e.g., to
avoid duplicative regulation), EPA exempted the
following units from the BIF regulations:
Units burning used oil for energy recovery
Units burning gas recovered from hazardous or
solid waste landfills for energy recovery
Units burning hazardous wastes that are exempt
from RCRA regulation, such as household
hazardous wastes
Units burning hazardous waste produced by
CESQGs
Coke ovens burning only K087 decanter tank tar
sludge from coking operations
Certain units engaged in precious metals
recovery
Certain smelting, melting, and refining furnaces
processing hazardous waste solely for metals
recovery
Certain other industrial metal recovery furnaces.
11-102
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Chapter 7: Hazardous Waste Combustion
REGULATORY REQUIREMENTS
Emissions from hazardous waste combustors are
regulated under two statutory authoritiesRCRA
and the Clean Air Act (CAA). Applicable RCRA
regulations include 40 CFR Part 264, Subpart O, and
Part 265, Subpart O, for incinerators and 40 CFR
Part 266, Subpart H, for BIFs. RCRA permitting
requirements for these units are provided in 40 CFR
Part 270. These units are also subject to the general
TSDF facility standards under RCRA. Hazardous
waste incinerators and hazardous waste burning
cement kilns and lightweight aggregrate kilns
(LWAKs) are also subject to the CAA MACT
emission standards. The MACT standards set
emission limitations for dioxins, furans, metals,
particulate matter, total chlorine, hydrocarbons/
carbon monoxide, and destruction and removal
efficiency (DRE) for organics. Once a facility has
demonstrated complance with the MACT standards
by conducting its comprehensive performance test
and submitting its Notification of Compliance
(NOC), it is no longer subject to the RCRA emission
requirements with few exceptions. RCRA permitted
facilities, however, must continue to comply with
their permitted emissions requirements until they
obtain modifications to remove any duplicative
emissions conditions from their RCRA permits. The
combustion standards under RCRA, as well as the
MACT standards under the CAA, are discussed
below.
Combustion Standards under RCRA
Emissions from combustion units may be
comprised of a variety of hazardous pollutants. To
minimize potential harmful effects of these
pollutants, EPA developed performance standards to
regulate four pollutant categories: organics,
hydrogen chloride and chlorine gas, particulate
matter, and metals. Boilers and most industrial
furnaces have performance standards that they must
meet. For each category or type of emission, the
regulations establish compliance methods and
alternatives.
Organics
Because the primary purpose of a combustion
unit is to destroy the organic components found in
hazardous waste, it is essential to verify that the unit
is efficiently destroying organics in the waste. This
is determined based on the unit's organic
destruction and removal efficiency (DRE) as
demonstrated in a trial burn. Since it would be
nearly impossible to determine the DRE results for
every organic constituent in the waste, certain
principal organic hazardous constituents
(POHCs) are selected for this demonstration. These
POHCs are selected for each facility based on their
high concentration in the wastestream and their
greater difficulty to burn. If the unit achieves the
required DRE for the POHCs, then it is presumed
that it will achieve the same (or better) DRE for all
other easier-to-burn organics in the wastestream. At
least one POHC will be selected from each
wastestream that the facility manages. The facility
designates the selected POHCs in their permit
application (the permitting process for combustion
units is fully discussed in Section III, Chapter 8).
The combustion unit must demonstrate a DRE of
99.99 percent for each POHC in the hazardous
wastestream. This means that for every 10,000
molecules of the POHC entering the unit, only one
molecule can be released to the atmosphere. In
addition, due to an increased threat to human health
and the environment posed by certain dioxin-
containing wastes (F020, F021, F022, F023, F026,
and F027), the required DRE for POHCs in these
units has been established at 99.9999 percent, or one
released molecule for every one million burned (see
Figure 111-27). These DRE standards must be met
by both incinerators and BIFs.
Hydrogen Chloride and Chlorine Gas
Hydrogen chloride and chlorine gases form
when chlorinated organic compounds in hazardous
wastes are burned. If uncontrolled, this chlorine can
become a human health risk and is a large
component in the formation of acid rain. EPA has
developed different requirements to control the
emissions of chlorine from the different classes of
combustion units.
11-103
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Figure 111-27: Performance Standards for Organics
POHCs are chosen based on their high concentration in the
wastestream and their greater difficulty to burn. If the unit
demonstrates the required ORE for the POHCs, then it is
presumed that it will be able to achieve the same (or better)
ORE for all other easier-to-burn organics in the wastestream.
For every 10,000 molecules of POHCs that enter a combustion
process, the unit must destroy 9,999 of them.
called tiers. Each tier differs in the amount of
monitoring, and in some cases, air dispersion
modeling (i.e., modeling the air pathways through
which pollutants may travel), that the owner and
operator is required to conduct (see Figure 111-28).
Each facility can select any of the three tiers.
Factors that a facility may consider in selecting a tier
include the physical characteristics of the facility
and surrounding terrain, the anticipated waste
compositions and feed rates, and the level of
resources available for conducting the analysis. The
main distinction between the tiers is the point of
compliance. This is the point at which the owner
and operator must ensure that chlorine
concentrations will be below EPA's acceptable
exposure levels. The owner and operator must
determine if the cost of conducting monitoring and
modeling is worth the benefit of possibly
combusting waste with a higher concentration of
chlorine (see Figure 111-29).
Boilers and most industrial furnaces must follow
a tiered system for the regulation of both hydrogen
chloride and chlorine gas. The owner and operator
determines the allowable feed or emission rate of
total chlorine by selecting one of three approaches,
Figure 111-28: Performance Standards for
Hydrogen Chloride, Chlorine Gas, and Metals
Tier II monitoring involves
limiting stack emissions of
hydrogen chloride,
chlorine gas, and metals.
Tier I monitoring
involves limiting
the hourly waste
feed rate of
hydrogen chloride,
chlorine gas, and
metals.
\W
WASTE FEED
Tier III monitoring
involves limiting the
risks that hydrogen
chloride, chlorine gas,
and metals will pose to
the surrounding
environment.
Figure 111-29: The Tiered System
of Modeling and Monitoring
Tier II requires increased
monitoring to ensure that
pollutants have been
eliminated through either
partitioning to bottom ash or
products, or collected by the
air pollution control device.
Tier III requires the most
monitoring by using air
dispersion modeling to ensure
that pollutant exposure does
not pose a threat to human
health and the environment.
I High
a:
LU
a:
a
a)
a)
Low
^k
High
Level of Monitoring and Modeling
Tier I, which requires the lowest level of monitoring
through adjusting waste feed rates, assumes that 100
percent of the pollutants will escape into the environment.
Owners and operators can choose any Tier for their hydrogen
chloride, chlorine gas, and metals monitoring; however, the
level of monitoring and modeling increase with each tier.
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Chapter 7: Hazardous Waste Combustion
Particulate Matter
The third combustion unit performance standard
is for participate matter. Particulate matter
consists of small dust-like particles emitted from
combustion units. The particles themselves are not
normally toxic, but may become caught in the lungs
(causing respiratory damage) if inhaled, or may enter
into the environment where they can cause either
ecological damage or, via food chain intake, can
reenter the human health exposure pathway. In
addition, particulate matter may provide a point of
attachment for toxic metals and organic compounds.
To minimize these adverse conditions, RCRA
combustion units may not emit more than 180
milligrams per dry standard cubic meter (dscm) of
particulate matter.
Metals
The final performance standard is for toxic
metals. For RCRA combustion units, both
carcinogenic and noncarcinogenic metals are
regulated under the same type of tiered system as
chlorine. The facility determines an appropriate tier
for each regulated metal and assures that the facility
meets these feed rate and emission standards. A
different tier may be selected for each metal
pollutant (see Figure 111-28).
Additional Performance Standards
EPA may require owners and operators of
hazardous waste combustion units to comply with
additional performance standards by virtue of the
omnibus authority. This authority allows EPA to
incorporate additional terms and conditions into a
facility's permit as necessary to protect human
health and the environment. (The omnibus authority
is fully discussed in Section III, Chapter 8.)
EPA recommends that site-specific risk
assessments, incorporating direct and indirect
exposures, be considered during the combustion
unit's permitting process. These risk assessments
may be used to evaluate the unit's impact on the
surrounding environment. If a site-specific risk
assessment shows that additional protection should
be afforded to the surrounding environment, EPA
typically will use the omnibus authority to impose
the necessary permit conditions (Omnibus
permitting authority is fully discussed in Section III,
Chapter 8).
Operating Requirements
The goal of setting operating requirements for
hazardous waste combustion units is to ensure that
the unit will operate in a way that meets the
performance standards for organics, chlorine,
particulate matter, and metal pollutants. The unit's
permit will specify the operating conditions that
have been shown to meet the performance standards
for organics, chlorine gas, particulate matter, and
metals (permit requirements for combustion units are
fully discussed in Section III, Chapter 8).
A RCRA permit for a hazardous waste
combustion unit sets operating requirements that
specify allowable ranges for, and requires
continuous monitoring of, certain critical parameters
that will ensure compliance with the performance
standards. Operation within these parameters
ensures that combustion is performed in the most
protective manner and the performance standards are
achieved (see Figure 111-30). These parameters, or
operating requirements, may include:
Maximum waste feed rates
Control of the firing system
Allowable ranges for temperature
Limits on variations of system design and
operating procedures
Gas flow rate.
MACT Standards under the CAA
Hazardous waste burning incinerators, cement
kilns, and LWAKS, hereafter referred to as MACT
combustion units, must also comply with emission
limitations. The MACT emission standards are
found under the CAA regulations, rather than the
Subtitle C requirements. Instead of using operating
requirements as a way of ensuring that the unit
meets the performance standards, owners or
operators of combustion units subject to MACT
standards may use a pollution control technology to
achieve the stringent numerical emission limits.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Figure 111-30: Operating Requirements
TEMPERATURE
CARBON
MONOXIDE
EMISSIONS
GAS
VELOCITY
WASTE FEED RATE
Combustion facilities must operate in accordance with certain conditions that specify allowable
ranges and limits for waste feed rates, temperature, gas velocity, and carbon monoxide emissions.
Organics
To control the emission of organics, these units
must comply with similar DRE requirements to the
other hazardous waste combustion units. Owners or
operators of MACT combustion units must select
POHCs and demonstrate a DRE of 99.99 percent for
each POHC in the hazardous wastestream. Sources
that burn hazardous waste F020-F023 or F026-F027
have a required DRE of 99.9999 percent for each
POHC designated. Additionally, for dioxins and
furans, EPA promulgated more stringent standards
under MACT. For example, MACT incinerators and
cement kilns that burn waste with dioxins and
furans, must not exceed an emission limitation of
either 0.2 nanograms of toxicity equivalence per dry
standard cubic meter (TEQ/dscm) or 0.4 nanograms
TEQ/dscm at the inlet to the dry particulate matter
control device. This unit of measure is based on a
method for assessing risks associated with exposures
to dioxins and furans.
Hydrogen Chloride and Chlorine Gas
Rather than a tiered system to control hydrogen
chloride and chlorine gas emissions, MACT
combustion units must meet numerical emission
limits for total chlorine. Owners and operators of
these units must ensure that the total chlorine
emission does not exceed specific limits, expressed
in ppmv (parts per million by volume). For
example, the allowable limit of total chlorine for a
new incinerator is 21 ppmv. The owner or operator
may choose to achieve this level by controlling the
amount of chlorine entering the incinerator. By
achieving the regulatory emission limit of chlorine,
both hydrogen chloride and chlorine gas emissions
will be reduced.
Particulate Matter
EPA developed more stringent standards for
particulate matter in order to control certain metals.
This surrogate is used because particulate matter
may provide a point of attachment for toxic metals
that can escape into the atmosphere from a
combustion unit. For instance, a new LWAK cannot
exceed an emission limit of 57 mg/dscm of
particulate matter.
Metals
Hazardous waste burning incinerators, cement
kilns, and LWAKs do not follow a tiered approach to
regulate the release of toxic metals into the
atmosphere. The MACT rule finalized numerical
emission standards for three categories of metals:
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Chapter 7: Hazardous Waste Combustion
mercury, low-volatile metals (arsenic, beryllium, and
chromium), and semi-volatile metals (lead and
cadmium). Units must meet emission standards for
the amount of metals emitted. For example, a new
cement kiln must meet an emission limit of 120 |lg/
dscm for mercury, 54 |ig/dscm for the low-volatile
metals, and 180 |lg/dscm for the semi-volatile
metals.
Operating Requirements
Owners or operators of MACT units must ensure
that the MACT emission standards are not exceeded.
To do this, the unit must operate under parameters
that are demonstrated in a comprehensive
performance test (CPT). The unit's operating
parameters, such as temperature, pressure, and waste
feed are then set based on the result of the
comprehensive performance test and documented in
a notification of compliance. Continuous
monitoring systems are used to monitor the
operating parameters.
The facility may also choose to use an advanced
type of monitoring known as continuous emissions
monitoring systems (CEMS). CEMS directly
measure the pollutants that are exiting the
combustion unit stack at all times. If a facility
chooses to use a CEMS, they do not need to comply
with the operating parameter that would otherwise
apply.
ADDITIONAL REQUIREMENTS
Because hazardous waste combustion units are a
type of TSDF, they are subject to the general TSDF
standards (as discussed in Section III, Chapter 5) in
addition to combustion unit performance standards
and operating requirements. Combustion units are
also subject to specific waste analysis, inspection
and monitoring, and residue management
requirements.
While combusting hazardous waste, the
combustion process and equipment must be
monitored and inspected to avoid potential accidents
or incomplete combustion. The monitoring and
inspection requirements for incinerators are detailed
in the regulations, while the requirements for BIFs
are determined on a site-specific basis. Possible
inspection and monitoring requirements include:
Monitoring the combustion temperature, and
hazardous waste feed rate
Sampling and analyzing the waste and exhaust
emissions to verify that the operating
requirements established in the permit achieve
the performance standards
Conducting visual inspections of the combustion
unit and its associated equipment
Testing the emergency waste feed cut-off system
and associated alarms
Placing monitoring and inspection data in the
operating log.
Residues from the combustion of hazardous
waste are also potentially subject to RCRA
regulation. If a combustion unit burns a listed
hazardous waste, the ash could also be considered a
listed waste via the derived-from rule. The owner
and operator must also determine whether this ash
exhibits any hazardous waste characteristics. The
same is true if a unit burns waste that only exhibits a
characteristic. Ash that exhibits a characteristic must
be managed as a hazardous waste.
SUMMARY
Combustion, the controlled burning of
hazardous substances in an enclosed area, has the
potential to adversely affect human health and the
environment, and it is therefore subject to strict
regulation. As a result, the burning of hazardous
waste in incinerators and BIFs is regulated through
stack emission limitations and unit operating
requirements.
Combustion standards are comprised of two
types of regulations: (1) standards under RCRA; and
(2) MACT standards under the CAA.
RCRA combustion units must meet performance
standards, including a demonstration of the unit's
DRE for certain POHCs, and meet emission
standards for hydrogen chloride, chlorine gas,
metals, and particulate matter. Operating
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Section III: Managing Hazardous Waste - RCRA Subtitle C
requirements are intended to ensure that the
combustion unit will operate in a way that meets the
performance standards for these pollutants.
Operating conditions may include:
Maximum waste feed rate
Control of the firing system
Allowable ranges for temperature
Limits on variations of system design and
operating procedures
Gas flow rate.
The MACT standards under the CAA regulate
incinerators and two types of industrial furnaces that
burn hazardous waste: cement kilns and LWAKS.
MACT combustion units must comply with strict
emission limitations for dioxins, furans, metals,
particulate matter, DRE, and total chlorine. To
achieve the limits, the facility owner or operator may
use a single or multiple pollution control
technologies for the combustion unit. The facility
also uses a CMS to monitor operating parameters
such as temperature, pressure, waste feed, or CEMS
to monitor the pollutants exiting the unit.
In addition to operating and performance
requirements, all combustion units are subject to
specific waste analysis, inspection and monitoring,
and residue management requirements.
ADDITIONAL RESOURCES
A complete overview of the MACT standards
and additional information about hazardous waste
combustion can be found at www.epa.gov/epaoswer/
hazwaste/combust.htm.
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CHAPTER 8
PERMITTING OF TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
OVERVIEW
In this chapter...
When RCRA was enacted, Congress recognized
Overview 111-109 the risks posed by the treatment, storage, and
Applicability 111-110 disposal of large volumes of hazardous waste at
Permitting Process 111-111 TSDFs. Considering these risks, Congress felt that
- Informal Meeting Prior to Application 111-111 TSDF management activities needed to be closely
- Permit Submission 111-112 regulated to prevent spills, accidents, and
- Permit Review 111-112 mechanical failures. In addition, because these
- Preparation of the Draft Permit 111-112 activities invoive different units and different waste
- Taking Public Comment 111-113 management methods, they require tailored
- Finalizing the Permit 111-113 standards. For example, land disposal units need
- Duration of the Permit 111-113 ,. , r , , ,
precautions, such as liners and ground water
- Permit Modifications 111-113 r . . ' ^ . ,, ,
momtonng, to ensure protection or ground water
- Omnibus Provision 111-114 te'. .. . . . te, ..
resources. Similarly, incinerators need special
- Permit-as-a-Shield 111-115 .. . . . . .
,,.,, .......,- provisions, such as emission control requirements,
Interim Status 111-115 r n
,.,.,.,,.... ,,,,- to ensure protection of air resources. In response to
- Qualifying for Interim Status 111-115 r r
- Changes During Interim Status 111-116 these concems' EPA promulgated extensive
- Termination of Interim Status 111-116 technical standards for the design and safe operation
Special Forms of Hazardous Waste Permits.... 111-116 of hazardous waste TSDFs (these regulations are
Permits-by-Rule 111-117 fully discussed in Section III, Chapter 5). However,
Emergency Permits 111-117 these design and operating standards were not
- Research, Development, and Demonstration enough. Congress wanted a more tangible
Permits 111-117 guarantee that TSDFs would comply with their
- Land Treatment Demonstration Permits 111-117 extensive management standards in a way that
- Combustion Permits 111-117 would adequately protect human health and the
- Post-Closure Permits 111-118 environment.
- Remedial Action Plans 111-119 . . , , .
_. , ,. , , ** TSDFs are unique in that their owners and
- Standardized Permits 111-119 ^
MM IP operators choose to enter the hazardous waste
Additional ReMu^'s^"!^^^^^^^^^^^^.".'.".".' MM20 industry. Unlike generators who produce hazardous
11-109
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Section III: Managing Hazardous Waste - RCRA Subtitle C
WHAT ARE PERMITS?
Permits provide TSDF owners and operators with the
legal authority to treat, store, or dispose of hazardous
waste and detail how the facility must comply with the
regulations. Compliance with this permit ensures that
hazardous waste is handled in a controlled manner
that is protective of human health and the
environment. Permits also serve as an implementation
mechanism, and as a means by which EPA can track
waste management at facilities that choose to handle
hazardous waste.
waste incidental to their normal business operations,
TSDF owners and operators make it their business to
manage hazardous waste. Because these facilities
choose to enter the hazardous waste industry, and
engage in waste management processes that pose
varied and extensive risks to human health and the
environment, Congress wanted to ensure that these
facilities would comply with the TSDF standards.
As a result, TSDFs are required to obtain
permission, in the form of an operating permit,
which establishes the administrative and technical
conditions under which waste at the facility must be
managed. Specifically, permits provide TSDF
owners and operators with the legal authority to
treat, store, or dispose of hazardous waste and detail
how the facility must comply with the regulations.
Compliance with this permit ensures that hazardous
waste is handled in a controlled manner that is
protective of human health and the environment.
Permits also serve as an implementation mechanism,
and as a means by which EPA can track waste
management at facilities that choose to handle
hazardous waste.
Permits can be issued by EPA, authorized states,
or both. The permitting agency has the authority to
issue or deny permits and is responsible for verifying
that facilities are operating in compliance with the
conditions set forth in that permit. Owners and
operators of facilities that do not comply with permit
provisions are subject to possible RCRA
enforcement actions, including financial penalties.
APPLICABILITY
All TSDF owners and operators must submit a
comprehensive permit application that covers the
full range of TSDF standards, including general
facility provisions, unit-specific requirements,
closure and financial assurance standards, and any
applicable ground water monitoring and air
emissions provisions. The permit application must
demonstrate that the permittee's methods of handling
the waste are consistent with the level of protection
of human health and the environment required by
RCRA.
Some facilities are not required to obtain a
RCRA permit when handling hazardous waste
provided that they meet certain conditions specified
in the regulations. EPA has determined that the
requirements of the permit process would place an
unnecessary regulatory burden on these facilities
because the manner in which they manage the waste
does not pose a significant threat to human health
and the environment. These exceptions include:
LQGs accumulating waste on site for less than
90 days (as discussed in Section III, Chapter 3)
SQGs accumulating waste on site for less than
180 days (as discussed in Section III, Chapter 3)
Farmers disposing of waste pesticides and
container residues on their own land
Owners and operators of ENUs, TETUs, and
WWTUs (as discussed in Section III, Chapter 5)
Transporters storing manifested wastes at
transfer facilities for a period of 10 days or less
(as discussed in Section III, Chapter 4)
Owners and operators performing containment
activities during an immediate response to an
emergency
Universal waste handlers and transporters (as
discussed in Section III, Chapter 2)
Persons adding absorbent material to hazardous
waste in a container and persons adding waste to
absorbent material in a container.
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Chapter 8: Permitting of Treatment, Storage, and Disposal Facilities
If any of these facilities treat, store, or dispose of
hazardous waste in a manner not covered by one of
these exclusions, they are subject to the RCRA
permit requirements for that activity. For example,
if a LQG exceeds the 90-day accumulation time
limit, the facility becomes a storage facility and the
owner and operator must obtain RCRA operating
permit.
Recycling units are also exempt from permitting
requirements because the recycling process itself is
exempt from RCRA (except for some air emission
standards). However, recycling facility owners and
operators must follow all applicable Subtitle C
requirements (including the requirement to obtain a
permit) for any waste management prior to
recycling.
PERMITTING PROCESS
Owners and operators who are subject to the
permitting requirements must submit a permit
application in accordance with specific permit
application procedures (see Figure 111-31). While
the operator has the duty to obtain the permit, both
the owner and operator must sign it. Once a permit
has been approved for a specified duration, changes
may be necessary and permit modification
procedures, which are analogous to the initial permit
application, must be followed. The procedures have
been established to account for facility-specific
conditions by providing flexibility and ample
opportunity for public involvement.
Informal Meeting Prior to Application
Prior to submitting a permit application, an
applicant must announce and hold an informal
meeting with the public. The purpose of this
meeting is for the applicant to explain the operating
plans for the facility to the public, including the
waste the facility will handle and associated waste
management processes, and for the public to pose
questions and make suggestions. This informal
public meeting is also intended to provide the owner
and operator with issues and concerns to consider
when drafting the permit. The permitting agency
also uses this meeting to compile a mailing list for
future public outreach.
Figure 111-31: The Permitting Process
Applicant holds informal
meeting with the public
prior to permit application
Applicant submits
Part A and Part B
permit applications
Permitting agency announces receipt of permit
application, makes application available for public
review and comment, and reviews application to
verify completeness
If application is incomplete,
permitting agency issues as
many notices of deficiency as
necessary until application is
complete
If application is complete,
permitting agency notifies
permittee of application's
completeness
Permitting agency evaluates
whether permit satisfies technical
requirements and makes
preliminary decision to issue or
deny the permit
Permitting agency announces
decision and issues fact sheet
explaining decision
Public has 45 days to
comment on the decision
11-111
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Permit Submission
After the public meeting, the applicant can
submit the permit application to the permitting
agency. The permit application is divided into two
parts, Part A and Part B. The Part A application is
submitted on a designated form, EPA Form 8700-23,
and requires basic information about the facility,
such as the name of the facility owner and operator,
the facility location, the hazardous waste
management processes, the design capacity of these
processes, and the hazardous waste that will actually
be handled at the facility. This form can be
downloaded from the Internet at www.epa./
epaoswer/hazwaste/data/form8700/forms.htm.
The Part B application is submitted in narrative
form and provides site-specific information
associated with the waste management activities that
will be conducted at the facility, and includes
geologic, hydrologic, and engineering data (see
Figure 111-32). The Part B application covers the
details associated with the waste management
activities that will occur at the facility, and therefore
often consists of volumes of documents.
Owners and operators of new facilities must
submit Parts A and B simultaneously. This
Figure 111-32: Examples of Part A and Part B
Information Requirements
PART A
Activities conducted that require a permit
Facility Name, mailing address, and location
Facility standard industrial classification (SIC) codes
Treatment, storage, and disposal processes
Design capacity of waste management units
Lists of wastes to be managed at facility
Permits received or applied for under other regulatory
programs
Topographic map.
PARTB
General facility description
Analyses of wastes to be managed
Facility security procedures
Inspection schedule
Contingency plan
Procedures and precautions to prevent release of waste
into environment
Procedures and precautions to prevent accidental ignition
or reaction of waste
Facility location information.
submission must occur at least 180 days prior to the
date on which physical construction is expected to
begin. An owner and operator cannot begin
construction of the facility until the application is
reviewed and a final permit is issued.
Permit Review
The permitting agency announces its receipt of
the permit application and makes the application
available for public review and comment.
Simultaneously, the agency reviews the application
to verify its completeness. If the permitting agency
determines that the application is incomplete, it
issues a notice of deficiency to the permittee
describing the additional information that is
necessary for a complete application. Such notices
can be issued numerous times during the permit
review and revision process. Each time the agency
receives information, it reviews the content, and if
necessary, issues another notice until the application
is complete.
When the application contains all of the
necessary information, the permitting agency
notifies the permittee of the application's
completeness and will begin an evaluation to
determine whether it satisfies the appropriate
technical requirements. After the evaluation, the
permitting agency makes a preliminary decision on
whether to issue or deny the permit. If the
permitting agency determines that the application is
complete and satisfies all applicable requirements,
the agency prepares a draft permit. If the permitting
agency determines that the application does not
demonstrate compliance with the RCRA standards, it
will tentatively deny the permit and issue a notice of
intent to deny.
Preparation of the Draft Permit
In preparing the draft permit, the implementing
agency incorporates all applicable technical
requirements and all other conditions associated with
the operations to be conducted at the facility into the
permit. In addition, general and administrative
conditions are placed in all draft permits and require
the permittee, among other things, to:
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Chapter 8: Permitting of Treatment, Storage, and Disposal Facilities
Comply with all provisions of the permit
Provide any relevant information that is
requested by the permitting agency
Comply with all reporting requirements
Allow the facility to be inspected
Take all reasonable steps to protect human
health and the environment.
In addition, the draft permit includes a statement
of the permitting agency's right to modify, revoke
and reissue, or terminate the permit as necessary.
The draft permit also includes the term of the permit.
If a facility needs to conduct corrective action,
but cannot complete the cleanup before the permit is
issued, the permitting agency may include a
schedule of compliance in the permit. This schedule
establishes interim and final dates for the completion
of specific cleanup goals, as well as reporting
requirements.
Taking Public Comment
Once the draft permit is complete, or the notice
of intent to deny has been issued, the permitting
agency announces its decision by sending a letter to
everyone on the facility mailing list, placing a notice
in a local paper, and broadcasting the decision over
the radio. The permitting agency also issues a fact
sheet to explain the decision. After the
announcement, the public has 45 days or more to
comment on the decision. Citizens may request a
public hearing to address concerns by contacting the
permitting agency. The permitting agency may also
hold a hearing at its own discretion, if deemed
necessary. There is at least a 30-day public notice
period before the hearing is convened.
If information submitted during the initial
comment period appears to raise substantial new
questions concerning the permit, the permitting
agency may reopen or extend the comment period.
In this situation, the permitting agency may also
decide to revise the draft permit or issue a notice of
intent to deny.
Finalizing the Permit
After the comment period closes, the
implementing agency prepares a response to all
significant public comments and makes the final
permit decision by either issuing or denying the
permit. The owner and operator may appeal the
decision to EPA's Environmental Appeals Board.
When this administrative appeal is exhausted, the
petitioner may seek judicial review of the final
permit decision.
Duration of the Permit
RCRA permits are effective for a fixed term of a
maximum of 10 years. However, EPA can issue a
permit for less than the allowable term. Limiting
permit duration assures that facilities are periodically
reviewed and that their requirements are updated to
reflect the current state-of-the-art hazardous waste
management practices. Considering the increased
risks posed by the management of hazardous waste
on the land, land disposal unit permits are to be
reviewed five years after the date of issuance or
reissuance and modified as necessary. An expiring
permit can be continued when the permittee has
submitted a timely application for a new permit by
the expiration date of the existing permit. Permits
that continue remain fully effective and enforceable.
Permit Modifications
EPA views permits as living documents that can
be modified to allow facilities to implement
technological improvements, comply with new
environmental standards, respond to changing waste
streams, and generally improve waste management
practices. The permitting agency cannot anticipate
all of the administrative, technical, or operational
changes required over the permit term for the facility
to maintain a state-of-the-art operation, and
therefore, permit modifications are inevitable. The
regulations governing permit modifications were
developed to provide owners and operators and EPA
with flexibility to change permit conditions, expand
public notification and participation opportunities,
and allow for expedited approval if no public
concerns exist regarding a proposed change. Permit
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Figure 111-33: Examples of Permit Modification Classifications
Class 1
Adminstrative and informational
changes
Correction of typographical
errors
Changes in names, addresses,
and phone numbers of
emergency coordinators
Changes to waste sampling
and analysis methods to
comply with new regulations
Changes to analytical
quality assurance and quality
control plan to comply with new
regulations
Class 2
Changes in frequency
or content of inspection
schedules
Changes to corrective action
program
Extensions of post-closure
care period
Changes to facility training plan
that affect the type or amount
of employee training
Changes in number, location,
depth, or design of groundwater
monitoring wells
Class 3
Addition of corrective action
program
Creation of a new landfill as
part of closure
Addition of compliance
monitoring to ground water
monitoring program
Reduction in post-closure
care period
Addition of temporary
incinerator
for closure activities
Note: Permit modifications are classified in more detail in 40 CFR §270.42, Appendix 1
modifications can be requested by either the
permittee or the permitting agency.
The regulations for permittee-requested
modifications establish three classes of
modifications. Class 1 modifications cover routine
changes, such as correcting typographical errors or
replacing equipment with functionally equivalent
equipment. Class 2 modifications address common
or frequently occurring changes needed to maintain
a facility's level of safety or a facility's requirement
to conform to new regulations. Class 3
modifications cover major changes that substantially
alter the facility or its operations (see Figure 111-33).
Procedures differ among the three classes of
permittee-requested modifications based on the
degree of change. Class 1 modifications have minor
administrative requirements and may or may not
need prior Agency approval. Class 2 and 3
modifications have more substantial administrative
requirements and require prior Agency approval
followed by a process similar to the permitting
process.
The permitting agency may request a permit
modification if there are substantial alterations or
additions to the facility, if new information is
received by the permitting agency that was not
available at the time of permit issuance, or if new
regulations or judicial decisions affect the conditions
of the permit. The permitting agency will request
that the facility initiate the modification procedures
for the type of change being requested. The
permitting agency may terminate a permit if the
facility fails to comply with any condition of the
permit or does not disclose or misrepresents any
relevant facts, or if the permitted activity endangers
human health and the environment.
Omnibus Provision
Some hazardous waste management practices
may pose threats to human health and the
environment that are not specifically addressed by
the RCRA regulations. To address such instances,
HSWA increased the authority of EPA when writing
permits by creating the omnibus provision. This
authority allows EPA to add conditions that are not
specifically described in Part 264 to an operating
permit, where the permit writer demonstrates that the
additional standards are necessary to protect human
health and the environment. For example, EPA
could invoke the omnibus authority to require a
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Chapter 8: Permitting of Treatment, Storage, and Disposal Facilities
TSDF owner and operator to conduct a site-specific
risk assessment of the impact on endangered species
before issuing an operating permit to the facility,
even though such risk assessments are not
specifically mandated by the RCRA regulations.
Permit-as-a-Shield
In general, compliance with a RCRA permit is
considered compliance with the RCRA regulations
for enforcement purposes. This gives permittees the
security of knowing that if they comply with their
permits, they will not be enforced against for
violating new requirements that were not established
in the original permit. This is referred to as the
permit-as-a-shield provision. EPA believes that the
most useful purpose of a permit is to specifically
prescribe the requirements that a facility has to meet
to allow that facility to plan and operate with
knowledge of what rules apply.
While permit-as-a-shield protects a facility from
having to comply with new regulatory requirements
that were not included in the original operating
permit, some regulatory requirements are of such
importance to the protection of human health and the
environment that EPA feels that TSDFs should have
to comply with them immediately. As a result, the
permit-as-a-shield provision does not apply to some
types of new regulatory provisions. Examples are
the LDR standards, the liner and leak detection
requirements for certain land disposal units, and the
organic air emissions provisions.
INTERIM STATUS
Many TSDFs were already existing and
operating when they became subject to RCRA
regulatory requirements as a result of a statutory or
regulatory change. These owners and operators
were immediately subject to the RCRA
requirements, including the requirement to obtain an
operating permit. Many of these facilities were not
able to immediately meet the required TSDF design
and operating standards in order to obtain an
operating permit. Congress recognized that it would
be virtually impossible for the Agency and
authorized states to issue permits to all existing
TSDFs before the RCRA Subtitle C program became
effective in November 1980. As a result, Congress
established provisions to give these facilities
"interim status." Interim status allows a facility to
operate without a permit as long as it complies with
certain general facility and unit-specific TSDF
standards until the implementing agency can make a
final permit determination (interim status TSDF
standards are fully discussed in Section III, Chapter
5). These interim status requirements are self-
implementing until the facility submits its Part B
permit application and receives its final permit.
Qualifying for Interim Status
In order to qualify for interim status, the facility
must have:
Existed (operating or in construction) on the
effective date of the rule that brought the facility
into the RCRA program
Submitted a Part A permit application
Notified EPA of hazardous waste activity.
HOW DOES INTERIM STATUS OPERATE?
Beginning in 1980, XYZ Corporation began treating
and storing nonhazardous petroleum refinery sludges
at one of its facilities. On November 2, 1990, EPA
promulgated F037 and F038 hazardous waste listings
for such sludges. As a result, the sludges became
subject to the hazardous waste regulations and XYZ's
facility became subject to the RCRA TSDF standards.
However, rather than ceasing operations, the facility
was allowed to operate under the interim status
provisions until it received an operating permit. Under
these provisions, XYZ was required to submit a Part A
permit application six months after the date of
publication of the regulatory change that subjected it to
the RCRA standards (i.e., by May 2, 1991).
XYZ's Part B permit application must be submitted
when requested by the permitting agency. The
permitting agency will give the facility at least six
months from the date of request to submit the Part B.
If XYZ is managing these sludges in land disposal
units, the owner and operator must submit their Part B
within 12 months of becoming subject to the
regulations (i.e., by May 2, 1992) or they will lose
interim status.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Changes During Interim Status
Changes can be made to a facility operating
under interim status provided that the owner and
operator submits a revised Part A permit application
that includes justification for the proposed change
before any changes are made. The following
changes are permissible:
Management of hazardous wastes not previously
identified in Part A of the permit application
Increases in the design capacity of processes
used at the facility
Changes to, or additions of, hazardous waste
processes
Changes in the ownership or operational control
of the facility
Changes made in accordance with an interim
status corrective action order under §3008(h)
(corrective action is fully discussed in Section
III, Chapter 9)
Addition of newly regulated hazardous waste
units.
Changes to an interim status facility may not be
made if they amount to "reconstruction" of the
facility. Any change that requires a capital
expenditure exceeding 50 percent of the cost of
construction of a comparable new facility is
considered reconstruction. This reconstruction
prohibition prevents interim status facilities from
constructing entirely new facilities while operating
under self-implementing standards, in order to avoid
the scrutiny of the permitting process that would
otherwise apply to new facilities. The reconstruction
prohibition does not apply if the changes are
necessary to comply with the LDR regulations, the
hazardous waste tank regulations or a corrective
action order, among other things.
Termination of Interim Status
Interim status is terminated either when the
permitting agency makes a final determination on
the Part B permit application (to either issue or deny
a permit), or when the facility fails to furnish a Part
B application on time.
An owner and operator of an interim status
facility may submit the Part B voluntarily or in
response to a request from the state or EPA.
However, an owner and operator of a facility already
in existence must submit the Part B in accordance
with HSWA-mandated deadlines for specific types
of units. If a permittee fails to submit the Part B
before the expiration of the specified statutory time
period, the facility loses interim status immediately.
These deadlines were imposed because Congress
wanted to ensure that hazardous waste management
units that posed increased threats to human health
and the environment would not operate in interim
status indefinitely.
SPECIAL FORMS OF HAZARDOUS
WASTE PERMITS
Some hazardous waste management operations
and practices require special permit provisions.
These provisions provide the permitting agency
flexibility in developing permit conditions and
procedures for permit administration. These special
forms of permits include:
Permits-by-rule
Emergency permits
RD&D permits
Land treatment demonstration permits
Combustion permits
Post-closure permits
Remedial Action Plans.
Additionally, EPA proposed another special type
of permit called a "standardized permit." If
finalized, the "standardized permit" would
streamline the permitting process for hazardous
waste generators who subsequently store or non-
thermally treat hazardous waste in tanks, containers,
or containment buildings.
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Chapter 8: Permitting of Treatment, Storage, and Disposal Facilities
Permits-by-Rule
EPA issues permits under different
environmental statutes. In some instances, the
RCRA regulations may overlap with the
requirements of
another statute.
In order to avoid
unnecessary
duplicative
regulation,
RCRA allows
these facilities'
non-RCRA
permit to serve in place of a RCRA permit, provided
that such facilities are in compliance with that permit
and other basic RCRA administrative requirements.
Permits-by-rule are available for:
Ocean disposal vessels and barges regulated
under MPRSA
UIC wells regulated under SDWA
POTWs regulated under CWA.
Emergency Permits
In emergency situations, EPA can forego the
normal permitting process for hazardous waste
management activities. Specifically, when EPA or
an authorized state finds there is an imminent and
substantial endangerment to human health and the
environment, it can issue a temporary emergency
permit to allow treatment, storage, or disposal of
hazardous waste by a nonpermitted facility or by a
permitted facility that has not been permitted to
engage in such activity. The duration of an
emergency permit cannot exceed 90 days.
Research, Development, and
Demonstration Permits
Owners and operators who propose to use
innovative hazardous waste treatment technologies
can receive a RD&D permit, provided that permit
standards for such an activity have not already been
established by EPA. The RD&D permit
requirements specify that a facility can only receive
those wastes necessary to determine the efficiency of
the treatment technology. RD&D permits provide
for the construction and operation of the facility for
up to one year, but may be renewed up to three times
with each renewal not exceeding one year. In order
to expedite the issuance of RD&D permits, EPA may
modify or waive the usual permit application and
issuance requirements, with the exception of
financial responsibility and public participation.
When issuing RD&D permits, EPA must maintain
consistency with its mandate to protect human health
and the environment.
Land Treatment Demonstration
Permits
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. Land treatment
demonstration permits allow an owner and operator
to perform these required treatment demonstrations
in order to obtain a final TSDF operating permit.
Such demonstration permits are issued for treatment
or disposal, and may include field tests or laboratory
analysis conditions, unit design criteria, construction
standards, operation provisions, and maintenance
requirements (land treatment unit standards are fully
discussed in Section III, Chapter 5).
Combustion Permits
Combustion permits specify the conditions
under which a combustion facility must operate. A
facility's permit specifies the operating conditions,
such as waste feed rate, unit temperature, gas
velocity, and carbon monoxide emissions, which
guarantee that a combustion unit will meet its
respective performance standards (i.e., pollutant-
specific air emissions limitations). The permit also
specifies combustion unit waste analysis, inspection
and monitoring, and residue management
requirements. (Standards for combustion units are
fully discussed in Section III, Chapter 7.)
Additionally, the permit sets conditions for all other
hazardous waste storage, treatment, and disposal
units at the facility.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Figure 111-34:
Combustion Unit
Permitting
Final Permit
Decision
Hiiiiiiiiiiiii
Construction of I
Combustion Unit!
Shake-Down |
Period
Owners and operators must obtain a RCRA
operating permit before beginning construction of a
combustion unit. However, it is impossible to
prescribe which specific operating conditions will
limit air emissions without a constructed unit that the
owner and operator can
actually test to determine if
adequate protection of
human health and the
environment is being
achieved. As a result, the
permit process for
combustion units is
comprised of four phases
intended to test the unit's
operation prior to the
issuance of the final permit
to ensure that the unit can
operate in accordance with
its operating conditions (see
Figure 111-34). These
phases include:
Shake-down period,
during which the
combustion unit is
brought to the level of
normal operating
conditions in
preparation for the trial
burn
Trial burn, during which burns are conducted
so that performance can be tested over a range of
conditions
Post-trial burn, during which the data from the
trial burn is evaluated and the facility may
operate under conditions specified by the
permitting agency
Final operating period, which continues
throughout the life of the permit.
The permitting agency specifies operating
conditions for all phases based on a technical
evaluation of the combustion unit's design, the
information contained in the permit application and
trial burn plan, and results of burns from other
combustion units. The operating conditions are
Final Operating
Period
established such that the combustion unit will
theoretically meet performance standards at all
times. The results from the trial burn are used to
verify the adequacy of the proposed operating
conditions.
Interim Status Combustion Units
Owners and operators of interim status
combustion units must demonstrate that their units
meet all applicable performance standards by
submitting performance data developed during
actual burns. Performance data is used by the
permitting agency to determine whether the
combustion unit meets RCRA performance
standards when burning a particular waste under a
specific set of operating conditions.
While many hazardous waste combustion units
are subject to RCRA permitting, units subject to
MACT standards (cement kilns, lightweight
aggregate kilns, and incinerators) must also obtain a
CAA Title V permit. The CAA permitting process is
different than the RCRA process because CAA
permits are completed after a facility has
demonstrated compliance with the emission
standards, while a RCRA permit is issued prior to
compliance testing.
Prior to the compliance date, hazardous waste
combustion facilities that are subject to the MACT
standards must comply with the Title V permit
application requirements. Facilities that are
currently permitted under RCRA may need to
modify their RCRA permit in order to make design
and operational changes to come into compliance
with the MACT standards. These facilities must
continue to comply with the RCRA permit
conditions until these conditions either expire or are
removed; they are not automatically removed upon
promulgation of the MACT standards.
Post-Closure Permits
Owners and operators of hazardous waste
disposal units, and owners and operators of
hazardous waste management units that cannot clean
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Chapter 8: Permitting of Treatment, Storage, and Disposal Facilities
close and must close as landfills, must conduct post-
closure care, including ground water monitoring and
maintenance of an impermeable cap (post-closure is
fully discussed in Section III, Chapter 5). The
standards for permitted facilities incorporate post-
closure care requirements into the facility's
operating permit to ensure that post-closure care is
performed in a protective manner. However,
because interim status facilities do not yet have
operating permit, the RCRA regulations require that
interim status facilities needing post-closure care
obtain a post-closure permit or an enforceable
document containing the same regulatory
requirements as a permit. This will ensure that
interim status facilities meet all applicable
requirements for permitted facilities, including the
ground water monitoring standards.
Remedial Action Plans
Remedial action plans (RAPs) are a special form
of RCRA permit that a facility may obtain to treat,
store, or dispose of hazardous remediation waste at a
remediation waste management site. Often,
remedies selected for cleanup sites involve treating,
storing or re-disposing of hazardous remediation
waste. Before the existence of RAPs, these activities
required the same type of permit as that for as-
generated process waste management. Traditional
RCRA permits, however, are not always well suited
to cleanup activities. RAPs allow additional
flexibility in public participation, provide for
streamlined information requirements during permit
application, and eliminate the requirement to
perform facility-wide corrective action.
Additional information on RAPs is found at
www.epa.gov/epaoswer/hazwaste/id/hwirmdia.htm
Standarized Permits
In October 2001, in order to increase the
efficiency and effectiveness of the permitting
process, EPA proposed the implementation of a
standardized permit for facilities that generate
hazardous waste and store or non-thermally treat the
waste in tanks, containers, and containment
buildings on site. If finalized, the standardized
permit should 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. For example, public participation would
still be required during the permitting process, but
unlike the existing individual permit, public notice
would not be required at the application submittal,
though an informal meeting prior to the application
would still be necessary. In addition, when seeking
a standardized permit, the permitting agency would
not need to verify completeness of the application.
Also, the permit modification procedures would be
less cumbersome for a standardized permit.
SUMMARY
The RCRA regulations require hazardous waste
TSDFs to obtain an operating permit that establishes
the administrative and technical conditions under
which hazardous waste at the facility must be
managed. Such permits cover the full range of
TSDF standards, including general facility
provisions, unit-specific requirements, closure and
financial assurance standards, and any applicable
ground water monitoring and air emissions
provisions.
In order to obtain a permit, a TSDF owner and
operator must comply with specific application
procedures. The permitting process consists of the
following stages:
Informal meeting prior to application
Permit submission
Permit review
Preparation of the draft permit
Taking public comment
Finalizing the permit.
After issuance, permits may need to be modified
to allow facilities to implement technological
improvements, comply with new environmental
standards, respond to changing waste streams, and
generally improve waste management practices.
These modifications can be initiated by either the
facility or the permitting agency.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Facilities that were existing and operating on the
effective date of a regulation that required them to
obtain an operating permit are considered interim
status facilities. They are allowed to continue
operating as long as they comply with certain
general facility and unit-specific TSDF standards
until the implementing agency makes a final permit
determination.
Some waste management operations and
practices require special permit provisions. These
special forms of permits include:
Permits-by-rule
Emergency permits
RD&D permits
Land treatment demonstration permits
Combustion permits
Post-closure permits
Remedial Action Plans.
Additionally, EPA proposed another special type
of permit called a "standarized permit."
ADDITIONAL RESOURCES
Additional information about RCRA permitting
can be found at www.epa.gov/epaoswer/hazwaste/
permit/index.htm.
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CHAPTER 9
CORRECTIVE ACTION TO CLEAN UP
HAZARDOUS WASTE CONTAMINATION
In this chapter...
Overview 111-121
Corrective Action Implementation 111-122
- Permitted Corrective Action 111-122
- Corrective Action Orders 111-122
- Voluntary Corrective Action 111-123
Improving Corrective Action 111-123
- Special Provisions for Cleanup 111-123
- Environmental Indicators 111-124
- RCRA Cleanup Reforms 111-125
- RCRA Brownfields Prevention Initiative 111-125
Traditional Corrective Action Components 111-125
- Initial Site Assessment 111-125
- Site Characterization 111-125
- Interim Actions 111-125
- Evaluation of Remedial Alternatives 111-126
- Remedy Implementation 111-126
Summary 111-126
Additional Resources ...,,,,.,,,,.,,,,.,,,,....,.,,.,,...,,. 111-126
OVERVIEW
Past and present activities at RCRA facilities
have sometimes resulted in releases of hazardous
waste and hazardous constituents into soil, ground
water, surface water, sediments, and air. The Statute
generally mandates that EPA requires the
investigation and cleanup, or remediation, of these
hazardous releases at RCRA facilities. This program
is known as corrective action. Approximately
3,700 sites are undergoing corrective action, almost
three times the number of sites found on the
Superfund National Priorities List (NPL) (as
discussed in Section VI, Chapter 2). The degree of
investigation and subsequent corrective action
necessary to protect human health and the
environment varies significantly among these
facilities.
The corrective action program is a unique part of
RCRA because
there are no
comprehensive
cleanup
regulations.
Instead, EPA
implements
corrective action
primarily through
guidance, and
enforces it largely
through statutory
authorities
established by
HSWA. Prior to
HSWA, EPA's
statutory authority
to require cleanup
of hazardous
releases was limited to situations where the
contamination presented an "imminent and
substantial endangerment to health or the
environment." Regulatory authority was limited to
releases identified during ground water monitoring
at RCRA-regulated land-based hazardous waste
units, such as landfills or surface impoundments.
Through HSWA, Congress substantially expanded
EPA's corrective action authority, allowing the
Agency to address any releases of hazardous waste
or hazardous constituents to all environmental media
at both RCRA permitted and nonpermitted facilities.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Rather than implementing a rigid regulatory
framework for corrective action, the Agency has
developed guidance and policy documents to assist
facilities conducting cleanups. EPA recently
developed a set of targeted administrative reforms,
known as the RCRA Cleanup Reforms, to achieve
faster, more efficient cleanups. The RCRA Cleanup
Reforms represent a comprehensive effort to address
key impediments to cleanups, maximize program
flexibility, and spur progress toward a set of national
cleanup goals.
CORRECTIVE ACTION
IMPLEMENTATION
One of the keys to understanding the RCRA
corrective action program is knowing how a facility
becomes subject to corrective action. Facilities
generally are brought into the RCRA corrective
action process when there is an identified release of
hazardous waste or hazardous constituents, or when
EPA is considering a facility's RCRA permit
application. Additionally, a facility owner or
operator may volunteer to perform corrective action
by entering an agreement with EPA in order to
expedite the process.
Permitted Corrective Action
When a facility is seeking a permit, or when a
permit is already in place, EPA can incorporate
corrective action into the permit requirements.
Permitted facilities are required under 40 CFR Part
264, Subpart F, to monitor ground water to detect
and correct any releases from regulated land-based
hazardous waste land disposal units (as discussed in
Section III, Chapter 5). HSWA further expanded
EPA's permit authority for corrective action to
address all environmental media, as well as releases
from areas other than regulated land disposal units,
such as tanks or containers. Permits issued to RCRA
facilities must, at a minimum, contain schedules of
compliance to address these releases and include
provisions for financial assurance to cover the cost
of implementing those cleanup measures. The
HSWA statutory provisions for addressing corrective
action in permits are as follows:
Releases from solid waste management units
(SWMUs) - Under the authority of §3004(u) of
the Act, EPA requires corrective action for
releases of hazardous waste or hazardous
constituents from SWMUs in a facility's permit.
A SWMU is any discernible unit where solid or
hazardous wastes have been placed at any time,
or any area where solid wastes have been
routinely and systematically released.
Releases beyond the facility boundary -
§3004(v) of the Act authorizes EPA to impose
corrective action requirements for releases that
have migrated beyond the facility boundary.
This corrective action provision can be
complementary to §3004(u), but it is not
expressly limited to releases from SWMUs.
Omnibus permitting authority - This provision,
found in §3005(c)(3) of the Act, allows EPA or
an authorized state to include any requirements
deemed necessary in a permit, including the
requirement to perform corrective action. This
authority is particularly useful at permitted
facilities when there is a release not associated
with any particular SWMU. (Omnibus
permitting authority is fully discussed in Section
III, Chapter 5.)
Corrective Action Orders
EPA also possesses additional authorities to
order corrective action that are not contingent upon a
facility's permit. The statutory provisions to issue
corrective action orders are:
Releases at interim status facilities - §3008(h) of
the Act authorizes EPA to require corrective
action or other necessary measures through an
administrative enforcement order or lawsuit,
whenever there is or has been a release of
hazardous waste or constituents from an interim
status RCRA facility (i.e., a facility that has not
yet received a RCRA permit).
Imminent and substantial endangerment - This
authority, found in §7003 of the Act, allows
EPA, upon evidence of past or present handling
of solid or hazardous waste, to require any
action necessary when a situation may present
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Chapter 9: Corrective Action to Clean Up Hazardous Waste Contamination
an imminent and substantial endangerment to
health or the environment (i.e., poses significant
threat or harm). This authority applies to all
facilities subject to RCRA, whether or not they
have a RCRA permit. EPA can waive other
RCRA requirements (e.g., a permit) to expedite
the cleanup process under this provision.
Voluntary Corrective Action
Corrective action need not always be initiated
subject to permit requirements or an enforcement
order. Owners and operators of RCRA-regulated
facilities may also volunteer to perform corrective
action. Some activities which may be necessary to
achieve corrective action goals at a facility, however,
may require formal approval by EPA or the state.
EPA, therefore, encourages owners and operators to
work closely with EPA and state agencies to obtain
sufficient oversight during voluntary cleanup
activities.
IMPROVING CORRECTIVE ACTION
EPA has identified several factors that inhibit the
efficiency and timeliness of the cleanup program. In
some instances, cleanups have suffered from an
emphasis on process steps, instead of process goals.
Thus, EPA seeks to reduce these hindrances by
allowing more flexibility during the cleanup process.
EPA has reformed the corrective action program by:
addressing specific disincentives through regulatory
changes; focusing on near-term goals; and stressing
results-based approaches, instead of a process-based
scheme.
The Agency has finalized provisions to facilitate
faster, more efficient cleanups. For example, EPA
has established alternative soil standards for
cleanups (as discussed in Section III, Chapter 6);
harmonized the sometimes duplicative closure and
correction action requirements; and increased
flexibility for "cleanup only" facilities by developing
streamlined RCRA cleanup permits, removing the
obligation for facility-wide corrective action, and
introducing new units for managing cleanup wastes.
Special Provisions for Cleanup
Cleaning up RCRA facilities under the
corrective action program may involve the
management of large amounts of waste such as
Figure 111-35
Potential Disincentives
Obtaining a traditional RCRA permit for
treatment, storage or disposal
LDU minimum technical requirements
LDR treatment standards
Special Provisions for Cleanup
Remedial Action Plan (RAP)
Remediation waste management
units (i.e., CAMUs, TUs, and
staging piles)
Alternative LDR soil treatment
standards
contaminated soils, water, debris, and sludges which
contain a listed waste or exhibit a characteristic of
hazardous waste. Such cleanup wastes are referred
to as remediation wastes. Remediation wastes are
generally subject to the same management standards
as newly generated RCRA hazardous waste,
including TSDF standards, permits, and land
disposal restrictions (LDR). These management
standards are sometimes counterproductive when
applied to cleanups because they may unnecessarily
slow the corrective action process and increase the
cost of corrective action without providing a
concomitant level of protection of human health and
the environment. Figure III-3 5 illustrates potential
disincentives to the cleanup program and EPA's
remedies.
In order to mitigate the impact of these
management standards on the corrective action
program, EPA promulgated streamlined regulations
that allow the use of alternative remediation waste
permit and unit standards. These alternative
standards ensure cleanups are fully protective while
eliminating some of the regulatory hurdles
associated with waste management. For example,
the Agency promulgated a modified version of a
permit, the Remedial Action Plan (RAP). Unlike the
traditional RCRA permit, the RAP is tailored to the
needs of a facility that manages remediation waste.
EPA also provided options for increased cleanup
flexibility by establishing three types of remediation
waste management units: temporary units (TUs),
corrective action management units (CAMUs),
and staging piles.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
TUs are tanks or container storage areas that
EPA designated to be used solely for the treatment or
storage of remediation wastes during cleanups. EPA
or authorized states can modify the design,
operating, and closure standards that normally apply
to these units in order to facilitate prompt cleanup of
contaminated waste sites.
A CAMU is an area within a facility that is used
only for managing CAMU-eligible wastes for
implementing corrective action or cleanup at the
facility. A CAMU must be located within the
contiguous property under the control of the owner
or operator where wastes to be managed in the
CAMU originated. By designating an area as a
CAMU, EPA exempts that area from LDR and the
land disposal unit (LDU) minimum technological
requirements (MTR). However, waste must meet
minimum treatment standards for its principal
hazardous constituents (PHCs), and CAMUs must
meet minimum liner and cap standards similar to the
criteria for municipal solid waste landfills
(MSWLFs) in Part 258 (See Section II).
A staging pile is a unit designated by EPA for
the temporary accumulation of solid, non-flowing
remediation waste during cleanups. Staging piles do
not have to meet MTR, and LDR treatment standards
do not apply to the remediation waste managed
within these units. Owners and operators may not
place any liquids in staging piles and cannot conduct
any significant treatment within these units.
Environmental Indicators
Although the ultimate goal of the corrective
action program is completing final site cleanup, EPA
assesses the program using environmental indicators.
EPA developed two environmental indicators to
focus efforts on early risk reduction, risk
communication, and resource protection. EPA uses
the environmental indicators to measure progress
toward meeting the national cleanup goals
established by the Government Performance Results
Act of 1993 (GPRA). To meet the GPRA objectives,
EPA designated 1,714 RCRA facilities as the cleanup
baseline because of the potential for unacceptable
exposure to pollutants and/or for ground water
contamination. EPA identified many of these
facilities using the National Corrective Action
Prioritization System (NCAPS), a computer-based
ranking system that prioritizes the cleanup of the site
relative to other sites. The relative ranking (i.e.,
high, medium, or low) assigned to each site is based
on an evaluation of four pathways of actual or
potential contamination (i.e., ground water, surface
water, air, and soil).
The environmental indicators used are Current
Human Exposures Under Control and Migration of
Contaminated Groundwater Under Control. The
Agency and authorized States will verify and
document that by the year 2005, 95 percent of the
baseline facilities have current human exposures
under control and 70 percent have migration of
contaminated groundwater under control. These
environmental indicators will also aid site decision
makers by clearly showing where risk reduction is
necessary, thereby helping regulators and facility
owner and operators reach agreements earlier on
which stabilization measures or cleanup remedies
must be implemented.
Figure 111-36 illustrates the progress EPA has
made thus far in meeting its 2005 goals.
Figure 111-36
Environmental Indicator Progress
Meeting Our 2005 Goals
100
40
20
Human
Exposures El
Groundwater El
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Chapter 9: Corrective Action to Clean Up Hazardous Waste Contamination
RCRA Cleanup Reforms
The goals for the RCRA Corrective Action
program remain challenging. To more effectively
meet these goals and speed up the pace of cleanups,
EPA introduced RCRA Cleanup Reforms in 1999
and additional Reforms in 2001. The 1999 and 2001
Reforms build upon actions taken by EPA and states
in recent years to accelerate cleanups. The 1999
Reforms outline policies to remove obstacles to
efficient cleanups, maximize program flexibility, and
initiate progress toward the GPRA cleanup goals.
The RCRA Cleanup Reforms of 2001 highlight
those activities that EPA believes would best
accelerate program progress and foster creative
solutions.
RCRA Brownfields Prevention
Initiative
A potential RCRA Brownfield is a RCRA
facility that is not in full use, where there is
redevelopment potential, and where reuse or
redevelopment of that site is slowed due to real or
perceived concerns about actual or potential
contamination, liability, and RCRA requirements.
EPA launched the RCRA Brownfields Prevention
Initiative on June 11, 1998, with the goal of
encouraging the reuse of potential RCRA
Brownfields so that the land better serves the needs
of the community either through more productive
commercial or residential development or as
greenspace.
TRADITIONAL CORRECTIVE
ACTION COMPONENTS
Corrective action typically includes five
elements common to most, though not all, cleanup
activities: initial site assessment, site
characterization, interim actions, evaluation of
remedial alternatives, and implementation of the
selected remedy. However, no one approach is
likely to be appropriate for all corrective action
facilities; therefore, a successful corrective action
program must be procedurally flexible. These five
elements should be viewed as evaluations necessary
to make good cleanup decisions, not prescribed steps
along a path. EPA emphasizes that it does not want
studies to be undertaken simply for the purpose of
completing a perceived step in a perceived process.
Initial Site Assessment
The first element in most cleanup programs is an
initial site assessment. During the initial site
assessment information is gathered on site
conditions, releases, potential releases, and exposure
pathways to determine whether a cleanup may be
needed and to identify areas of potential concern. In
the corrective action program, this step is commonly
referred to as RCRA Facility Assessment, or RFA.
Overseeing agencies may also use initial site
assessments to set relative priorities between sites
and allocate resources.
Site Characterization
Before cleanup decisions can be made, some
level of characterization is necessary to ascertain the
nature and extent of contamination of a site and to
gather information necessary to support selection
and implementation of appropriate remedies. This
step is often referred to as the RCRA Facility
Investigation, or RFI. A successful RFI will identify
the presence, movement, fate, and risks associated
with environmental contamination at a site and will
elucidate the chemical and physical properties of the
site likely to influence contamination migration and
cleanup.
Interim Actions
While site characterization is underway or
before a final remedy is selected, there is often need
for interim actions at a corrective action site.
Interim actions are used to control or abate ongoing
risks to human health and the environment in
advance of the final remedy selection. For example,
actual or potential contamination of drinking water
supplies may necessitate an interim action to provide
alternative drinking water sources.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Evaluation of Remedial Alternatives
Before choosing a cleanup approach, program
implementors and facility owners and operators will
typically analyze a range of alternatives and evaluate
their advantages and disadvantages relative to site-
specific conditions. Such a study is typically called
the Corrective Action Measures Study, or CMS.
Remedy Implementation
Remedy implementation typically involves
detailed remedy design, remedy construction,
remedy operation and maintenance, and remedy
completion. In the corrective action program, this
step is often referred to as Corrective Measures
Implementation, or CMI.
SUMMARY
Through a process called corrective action, EPA
requires RCRA-regulated facilities to investigate and
clean up releases of hazardous waste or constituents
to the environment.
Corrective action is included as a requirement in
a facility's permit through §3004(u), §3004(v), or
§3005(c)(3) statutory authorities. Corrective action
can also be made through an enforcement order
through §3008(h) or §7003 statutory authorities.
Facilities may also voluntarily choose to clean up
their contamination.
EPA implements the corrective action program
primarily through guidance, and has not
promulgated comprehensive cleanup regulations.
Remediation wastes are those managed for the
purpose of implementing corrective action, and may
include contaminated soils, water, debris and sludges
that contain a listed waste or exhibit a characteristic
of hazardous waste.
EPA has promulgated provisions more
appropriate for managing remediation waste,
including the streamlined permit, or RAP, and
remediation waste management units, including the
TU, CAMU, and staging pile.
EPA recently developed a set of targeted
administrative reforms, known as the RCRA
Cleanup Reforms, to achieve faster, more efficient
cleanups. The RCRA Reforms represent a
comprehensive effort to address key impediments to
cleanups, maximize program flexibility, and spur
progress toward a set of ambitious national cleanup
goals.
ADDITIONAL RESOURCES
Additional information about corrective action
can be found at www.epa.gov/correctiveaction.
Further information about EPA cleanup programs
can be found at www.epa.gov/epaoswer/osw/
cleanup.htm.
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CHAPTER 10
ENFORCEMENT OF HAZARDOUS
WASTE REGULATIONS
In this chapter...
generator, transporter, and TSDF) activities, taking
expeditious legal action when noncompliance is
detected, and providing compliance incentives and
Overview 111-127 assistance. Facility inspections by federal and state
Compliance Monitoring 111-128 officials are the primary tool for monitoring
- Inspections and Information Gathering 111-128 compliance. When noncompliance is detected, legal
- Conducting the Inspection 111-129 action, in the form of an administrative order, a civil
Enforcement Actions 111-129 lawsuit, or a criminal lawsuit, may follow,
- Administrative Actions 111-129 depending on the nature and severity of the
Civil Actions 111-131 problem. EPA has also issued several policies to
_.... .....- provide incentives for businesses to voluntarily
- Criminal Actions 111-132 , , . ,. , ,. , J
evaluate their own compliance and disclose
Civil Penalty Policy 111-133 . , ,. ,. . , , .
violations, and to assist small businesses in
Enforcement at Federal Facilities 111-133 compiying with the regulations. The combination
Compliance Assistance and Incentives 111-134 Of effective monitoring, expeditious legal action,
- Small Business Compliance Incentives and an(j compliance incentives and assistance is
Assistance 111-134 intended to reduce the number of handlers operating
- Self-Audit Policy 111-134 in violation of RCRA requirements and to deter
- Audit Protocols 111-135 potential violations.
- Sector Notebooks 111-135
Agency Functions 111-135 This chapter describes the three essential
... .~,, aspects of the enforcement program: compliance
Summary 111-136 . . ,, . & , ,.
monitoring, enforcement actions, and compliance
Additional Resources 111-136 incentives and assistance. Almost all of the
enforcement provisions detailed in this chapter are
OVE RVIE W based on the Act, federal EPA policy, and Agency
regulations. It is important to note that state
The effective implementation of the RCRA requirements may be more stringent than those
program depends on whether the people and mandated by the federal government, and state
companies regulated under RCRA comply with its enforcement authorities and procedures may differ
various requirements. The goals of the RCRA from those of EPA.
enforcement program are to ensure that the
regulatory and statutory provisions of RCRA are
met, and to compel necessary action to correct
violations. EPA and the states achieve these goals
by closely monitoring hazardous waste handler (e.g.,
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Section III: Managing Hazardous Waste - RCRA Subtitle C
COMPLIANCE MONITORING
One aspect of the enforcement program is
monitoring facilities to verify that they comply with
RCRA regulatory requirements. Monitoring serves
several purposes, such as allowing EPA and the
states to assess the effectiveness of specific legal
actions that may have been taken already against a
handler, and enabling EPA to gather data in support
of a future rulemaking. In addition, the overall
compliance monitoring program allows EPA to
evaluate the effectiveness of state programs and to
monitor nationwide compliance with RCRA.
Finally, monitoring acts as a deterrent, encouraging
compliance with the regulations by making acts of
noncompliance susceptible to enforcement actions.
Inspections and Information
Gathering
The primary method of collecting compliance
monitoring data is through an inspection. Section
3007 of the Act provides the authority for
conducting inspections. This section allows a
representative of EPA or an authorized state to enter
any premises where hazardous waste is handled to
examine records and take samples of the wastes. In
instances when criminal activity is suspected, EPA's
National Enforcement Investigations Center may
become involved. Similarly, DOT may participate
where waste transporters are involved. While all
TSDFs must be inspected at least once every two
years, HSWA requires that all federal- and state-
operated facilities be inspected annually. Facilities
may also be inspected at any time if EPA or the state
has reason to suspect that a violation has occurred.
Finally, facilities are chosen for an inspection when
specific information is needed to support the
development of RCRA regulations and to track
program progress and accomplishments.
Inspections may be conducted by EPA, an
authorized state, or both. Typically, either the state
or EPA has overall responsibility, or the lead, for
conducting the inspection. The inspection may
include a formal visit to the handler, a review of
records, taking of samples, and observation of
operations.
There are many types of inspections. However,
the compliance evaluation inspection (CEI) is the
primary mechanism for detecting and verifying
RCRA violations by hazardous waste generators,
transporters, and TSDFs. Types of inspections differ
based upon the purpose, facility status, and the
TYPES OF ENFORCEMENT INSPECTIONS
Compliance Evaluation Inspection Routine
inspections to evaluate compliance with RCRA.
These inspections usually encompass a file review
prior to the site visit; an on-site examination of
generation, treatment, storage or disposal areas; a
review of records; and an evaluation of the facility's
compliance with RCRA.
Case Development InspectionAn inspection
when significant RCRA violations are known,
suspected, or revealed. These inspections are
usually intended to gather data in support of a
specific enforcement action.
Comprehensive Ground Water Monitoring
EvaluationAn inspection to ensure that ground
water monitoring systems are designed and
functioning properly at RCRA land disposal facilities.
Compliance Sampling Inspection Inspections to
collect samples for laboratory analysis. This
sampling inspection may be conducted in
conjunction with any other inspection.
Operations and Maintenance Inspection
Inspections to ensure that ground water monitoring
and other systems at closed land disposal facilities
continue to function properly. These inspections are
usually conducted at facilities that have already
received a thorough evaluation of the ground water
monitoring system through a comprehensive ground
water monitoring inspection.
Laboratory Audit Inspections of laboratories
performing ground water monitoring analysis to
ensure that these laboratories are using proper
sample handling and analysis protocols.
probable use of inspection results. The Office of
Waste Programs Enforcement has developed, and is
continuing to develop, specific guidance on
performing the different types of inspections.
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Conducting the Inspection
Several steps are generally followed in RCRA
inspections to ensure consistency and thoroughness;
these steps are summarized below. The inspector
prepares for the inspection by:
Coordinating inspection activities with other
regulatory or enforcement personnel as
necessary
Reviewing facility files
Preparing an inspection plan
Developing a checklist
Packing appropriate safety equipment.
The first stage of the actual inspection is the
facility entry. Upon entry, the inspector generally
holds an opening conference with the owner and
operator to discuss the nature of the inspection and
to describe the information and samples to be
gathered. Following the opening conference, the
actual inspection takes place, which may involve:
Reviewing facility operations and waste
management practices
Reviewing records
Conducting a visual inspection
Identifying sampling requirements.
Finally, the inspector holds a closing conference
with the owner and operator to allow him or her to
respond to questions about the inspection and to
provide additional information. The inspector
usually summarizes the findings.
After the visit is completed, the inspector
prepares a comprehensive report that summarizes the
records reviewed, any sampling results, and the
handler's compliance status with respect to RCRA.
The most important result of any inspection is
the determination of whether the handler is in
compliance with the regulations. The inspector may
also determine compliance through examination of
the reports that handlers are required to submit, or
are part of normal waste handler operations. Reports
may contain information about the wastes being
handled, the method of handling, and the ultimate
disposal of wastes. Reports are submitted as
required in a permit or enforcement order (e.g.,
corrective action schedules of compliance) and by
regulation (e.g., biennial report). If the handler is
not complying with all of the appropriate state or
federal requirements, enforcement action may be
taken.
ENFORCEMENT ACTIONS
When compliance monitoring detects a
violation, enforcement actions bring handlers into
compliance with applicable Subtitle C regulations.
The goal of enforcement actions is to compel:
Compliance with RCRA's waste handling
standards
Compliance with RCRA's recordkeeping and
reporting requirements
Monitoring and corrective action in response to
releases of hazardous waste, and hazardous
constituents.
EPA (or an authorized state) has a broad range of
enforcement options including:
Administrative actions
Civil actions
Criminal actions.
A decision to pursue one of these options is
based on the nature and severity of the problem.
Administrative Actions
An administrative action is an enforcement
action taken by EPA or a state under its own
authority, without involving a court process.
Administrative enforcement actions can take several
forms, ranging from EPA or the state authority
issuing informal notices of noncompliance, to orders
that force facilities to take a certain action.
Administrative actions tend to be resolved quickly
and can often be quite effective in forcing a handler
to comply with regulations or to remedy a potential
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ADMINISTRATIVE ENFORCEMENT ACTIONS:
A CASE STUDY
Following a routine inspection at a university, four
facilities within the campus were found to be in
violation of various RCRA requirements involving the
management of hazardous wastes and the preparation
of emergency procedures. EPA initiated an
administrative action against the university to assess
appropriate civil penalties. After negotiations with the
university, EPA agreed to sign a consent order to set
the cash penalty at $69,570 and allow the university to
perform three supplemental environmental projects
worth $279,205. One project was to promote pollution
prevention in the school's laboratories; the second was
a hazardous chemical waste management training
program to promote environmental compliance; and
the third was the renovation of a building for use as a
lead poison resource center to promote public health
within a disadvantaged community.
threat to human health or the environment. Two
types of administrative actions, informal actions and
formal actions, provide for enforcement response
outside the court system.
Informal Actions
An informal administrative action is any
communication from EPA or a state agency that
notifies the handler of a problem. It can take many
forms, such as a letter or a phone call. An informal
letter to the handler may be called a notice of
violation or a notice of noncompliance. For this
type of action, EPA or the state notifies a handler
that they are not in compliance with some provision
of the regulations. This type of action is particularly
appropriate when the violation is minor, such as a
record maintenance requirement. If the owner and
operator does not take steps to comply within a
certain time period, a warning letter will be sent,
setting out specific actions to be taken to move the
handler into compliance. The warning letter also
sets out the enforcement actions that will follow if
the handler fails to remedy the violation.
Formal Actions
Alternatively, EPA or the state can take formal
action when a more severe violation is detected, or
the owner and operator does not respond to an
informal action. Formal actions often take the form
of an administrative order, which is issued directly
under the authority of RCRA and imposes
enforceable legal duties. Orders can be used to force
a facility to comply with specific regulations; to take
corrective action; to perform monitoring, testing, and
analysis; or to address a threat to human health and
the environment. An administrative order can be
issued as a consent order, which documents an
agreement between the Agency and the violator.
EPA can issue four types of administrative orders
under RCRA:
Compliance orders §3008(a) of RCRA allows
EPA to issue an order requiring any person who
is not complying with a requirement of RCRA to
take steps to come into compliance. A
compliance order may require immediate
compliance or may set out a schedule for
compliance. The order can contain a penalty of
up to $27,500 per day for each day of
noncompliance and can suspend or revoke the
facility's permit or interim status. When EPA
issues a compliance order, the person to whom
the order is issued can request a hearing on any
factual provisions of the order. If no hearing is
requested, the order will become final 30 days
after it is issued.
Corrective action orders §3008(h) allows
EPA to issue an order requiring corrective action
at an interim status facility when there is
evidence of a release of a hazardous waste or a
hazardous constituent into the environment.
EPA can issue a §3008(h) order to require
corrective action activities including
investigations, repairing liners, or pumping to
treat ground water contamination. In addition to
requiring corrective action, these orders can
suspend interim status and impose penalties of
up to $27,500 for each day of noncompliance
with the order (as discussed in Section III,
Chapter 9).
§3013 orders If EPA finds that a substantial
hazard to human health and the environment
exists, the Agency can issue an administrative
order under §3013. A §3013 order is used to
evaluate the nature and extent of the problem
through monitoring, analysis, and testing. These
orders can be issued either to the current owner
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and operator of the facility or to a past owner
and operator (if the facility is not currently in
operation or if the present owner and operator
can not be expected to have actual knowledge of
the potential release). Violation of §3013 orders
can result in penalties of up to $5,500 per day.
§7003 orders In any situation where an
imminent and substantial endangerment to
health or the environment is caused by the
handling of solid or hazardous wastes, EPA can
order any person contributing to the problem to
take steps to clean it up. This order can be used
against any contributing party, including past or
present generators, transporters, or owners or
operators of the site. Violation of §7003 orders
can result in penalties of up to $5,500 per day
(as discussed in Section III, Chapter 9).
In Fiscal Year (FY) 2001, EPA issued 3,228
administrative orders and field citations.
Civil Actions
In addition to formal and informal
administrative actions, some statutory authorities
allow EPA to initiate civil actions, also known as
judicial actions. A civil action is a formal lawsuit,
filed in court, against a person who has either failed
to comply with a statutory or regulatory requirement
or administrative order, or against a person who has
contributed to a release of hazardous waste or
hazardous
constituents.
Civil
actions are
often
employed
in
situations
that present
repeated or
significant
violations or where there are serious environmental
concerns. Attorneys from the U.S. Department of
Justice (DOJ) prosecute RCRA civil cases for EPA,
while the state attorneys general assume this role for
the states. In FY 2001, EPA submitted 327 civil case
CIVIL ENFORCEMENT ACTIONS: A CASE STUDY
EPA filed a complaint with a U.S. District Court against
a repeat violator, alleging noncompliance with RCRA
hazardous waste storage standards. The violator,
subject to a prior enforcement action, had ignored a
final administrative order issued by EPA. That order
required immediate compliance with RCRA regulatory
obligations and the payment of $74,105 in civil
penalties. Since the issuance of the final order, the
violator not only failed to pay any of the assessed civil
penalty, but continued to violate the RCRA regulations.
EPA sued the violator for collection of the past due
amount under the administrative order, plus interest
and costs, and a further civil penalty for continuing and
additional violations. The federal judge in the case
ordered the violator to pay past administrative
penalties, and to pay an additional fine for violating the
past order.
referrals to DOJ; $101.6 million in civil penalities
were assessed.
Civil actions are useful in several situations.
When the person being sued has not complied with a
previously issued administrative order, the courts
may impose penalties to force the handler to comply.
When a long-term solution to a problem is desired, a
civil action may be helpful to ensure proper
supervision of the handler's actions. Civil actions
may be used when noncompliance with an
administrative order presents a danger to public
health or the environment. They also may provide
stronger deterrence to noncompliance than an
administrative order, because civil judicial cases can
be costly and lengthy.
RCRA provides EPA the authority for filing four
different types of civil actions:
Compliance action Under §3008(a), the
federal government can file suit to force a
person to comply with any applicable RCRA
regulations. In federal actions, the court can
impose a penalty of up to $27,500 per day per
violation for noncompliance.
Corrective action In a situation where there
has been a release of hazardous waste or
hazardous constituents from a facility, the
federal government can sue to require the
facility to correct the problem and take any
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Section III: Managing Hazardous Waste - RCRA Subtitle C
necessary response measures under §3008(h).
The court can also suspend or revoke a facility's
interim status as a part of its order (as discussed
in Section III, Chapter 9).
Monitoring and analysis If EPA has issued a
monitoring and analysis order under §3013 of
RCRA and the person to whom the order was
issued fails to comply, the federal government
can sue to require compliance with the order. In
this type of case, the court can assess a penalty
of up to $5,500 per day of noncompliance with
these orders.
Imminent and substantial endangerment As
with a §7003 administrative order, when any
person has contributed or is contributing to an
imminent and substantial endangerment to
human health and the environment, the federal
government can sue the person to require action
to remove the hazard or remedy any problem. If
the Agency first issued an administrative order,
the court can also impose a penalty of up to
$5,500 for each day of noncompliance with
those orders (as discussed in Section III,
Chapter 9).
In a major multi-statute enforcement case, an
international business agreed to resolve charges that it
violated clean air, clean water and hazardous waste
laws at its Mississippi facility under a civil settlement
and criminal plea agreement with EPA. This company
paid a $20 million penalty and will spend up to $16
million on projects to enhance the environment.
Frequently, several of the civil action authorities
will be used together in the same lawsuit. This is
particularly likely to happen where a handler has
been issued an administrative order for violating a
regulatory requirement, has ignored that order, and is
in continued noncompliance. In this circumstance, a
lawsuit can be filed that seeks penalties for violating
the regulations, penalties for violating the order, and
a judge's order requiring future compliance with the
regulations and the administrative order.
CRIMINAL ENFORCEMENT ACTIONS:
A CASE STUDY
A warehouse worker employed by a chemical
manufacturer was instructed by the president of the
company to dispose of unwanted hazardous
chemicals. The worker loaded the hazardous waste in
his pickup truck and dumped it in a dumpster located in
a low-income community. The president of the
chemical company later paid the worker $400 for
disposing of the chemicals. Upon discovery of the
hazardous waste, the residents of three nearby
apartment buildings had to be evacuated. The
company president was sentenced by a U.S. District
Court to five years probation, 200 hours of community
service, and more than $5,000 restitution for the
unlawful disposal of hazardous waste. The warehouse
worker was sentenced to five years probation, six
months of home detention, and more than $5,000 in
restitution. As part of the plea agreement, the
company was forced to pay $43,984 in restitution.than
$5,000 in restitution. As part of the plea agreement,
the company was forced to pay $43,984 in restitution.
Criminal Actions
In addition to administrative or civil actions,
EPA may also enforce against a facility through a
criminal action, depending on the nature and
severity of the violation. Criminal actions are
usually reserved for only the most serious violations.
A criminal action initiated by the federal government
or a state can result in the imposition of fines or
imprisonment. In FY2001, EPA initiated 482 cases
and 372 defendants were charged. The guilty paid
nearly $95 million in fines and restitution, and were
sentenced to 256 in prison-an increase of more than
100 years from 2000. Seven acts identified in §3008
of RCRA are subject to criminal action and carry
criminal penalties. The penalties range from a fine
of up to $50,000 per day or a prison sentence of up
to five years, to a total fine up to $1 million and up
to 15 years in prison.
Six of the seven criminal acts carry a penalty of
up to $50,000 per day and up to five years in jail.
Stated briefly, these acts are knowingly:
Transporting waste to a nonpermitted facility
Treating, storing, or disposing of waste without
a permit or in violation of a material condition of
a permit or interim status standard
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Omitting important information from, or making
a false statement in a label, manifest, report,
permit, or interim status standard
Generating, storing, treating, or disposing of
waste without complying with RCRA's
recordkeeping and reporting requirements
Transporting waste without a manifest
Exporting a waste without the consent of the
receiving country.
The seventh criminal act is the knowing
transportation, treatment, storage, disposal, or export
of any hazardous waste in such a way that another
person is placed in imminent danger of death or
serious bodily injury. This act carries a possible
penalty of up to $250,000 or 15 years in prison for
an individual, or a $1 million fine for a corporation.
CIVIL PENALTY POLICY
EPA's Civil Penalty Policy is designed to
provide guidance and consistency in assessing
noncriminal penalty amounts for both administrative
actions and in settlements of civil judicial
enforcement actions. The policy serves many
purposes, including ensuring that:
Penalties are assessed in a fair and consistent
manner
Penalties are appropriate for the seriousness of
the violation
Figure 111-36: Civil Penalty Calculation
+ / - Adjustments = Penalty
Economic incentives for noncompliance are
eliminated
Penalties are sufficient to deter persons from
committing RCRA violations
Compliance is expeditiously achieved and
maintained.
EPA's penalty policy utilizes a calculation
system to determine the amount of a penalty, based
on four components. These components include:
1) the gravity (i.e., severity) of the particular
violation; 2) the duration of the violation; 3) the
economic benefit
gained through
noncompliance; and 4)
any site-specific
adjustments (see
Figure 111-36).
One type of site-
specific adjustment
that provides EPA with flexibility in assessing
penalties is called a supplemental environmental
project (SEP). OECA issued its Final EPA
Supplemental Environmental Projects Policy in
1998. These are environmentally beneficial projects
which a defendant or respondent agrees to undertake
in the settlement of a civil or administrative
enforcement action, but which the defendant is not
otherwise legally required to perform. For example,
a violator may agree to restore and protect a wetland
or an endangered species habitat. In appropriate
circumstances, EPA may adjust the final settlement
penalty for a violator who agrees to perform a
project so that it is lower compared to that of a
violator who does not agree to perform such a
project.
ENFORCEMENT AT FEDERAL
FACILITIES
In the past, federal facilities have been subject to
the RCRA regulations, but not to civil fines or
penalties. This limited waiver of sovereign
immunity made enforcement at federal facilities less
effective. In 1992, however, Congress passed the
Federal Facilities Compliance Act, which expressly
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Section III: Managing Hazardous Waste - RCRA Subtitle C
waived sovereign immunity against civil fines and
penalties and clarified that EPA has the authority to
issue administrative enforcement orders against a
federal department or agency in the same manner
and under the same circumstances as an action taken
against another person. No EPA issued
administrative order becomes final until the federal
department or agency has had the opportunity to
confer with the EPA Administrator.
During FY2001, EPA took 51 enforcement actions
against federal facilities, an increase of five from
FY2000, for violations of numerous federal
environmental statutes.
Additional information about enforcement at
federal facilities can be found at www.epa.gov/
compliance/about/offices/ffeo.html.
COMPLIANCE ASSISTANCE AND
INCENTIVES
Over the past few years, EPA has issued
numerous policies to provide compliance assistance
and incentives to the regulated community. By
helping businesses understand the regulations, and
by providing certain incentives for compliance, EPA
hopes to move closer to its goal of ensuring
compliance with all RCRA requirements. Two
policies in achieving this goal are the Final Policy
on Compliance Incentives for Small Businesses and
Incentives for Self-Policing: Discovery, Disclosure,
Correction and Prevention of Violations (also known
as the EPA Audit Policy). Additionally, the Agency
has developed audit protocols and sector notebooks
to assist businesses.
Small Business Compliance
Incentives and Assistance
The Final Policy on Compliance Incentives for
Small Businesses is intended to promote
environmental compliance among small businesses
by providing incentives to participate in compliance
assistance programs, conduct audits, and promptly
correct violations. A small business is defined as a
person, corporation, partnership, or other entity who
employs 100 or fewer individuals, across all
facilities and operations owned by the entity. The
policy sets guidelines for EPA and the states on
reducing or waiving penalties for small businesses
that make good faith efforts to correct violations.
Under this policy, EPA may eliminate or
mitigate its settlement penalties based on certain
criteria. The small business needs to make a good
faith effort to comply with applicable environmental
requirements by either detecting a violation during
on-site compliance assistance from a government or
government-supported program, or by conducting an
internal audit and promptly disclosing in writing all
violations discovered as part of the audit. The
violation should also be the first for the small
business; this policy does not apply to businesses
that have been subject to warning letters or any other
type of enforcement action. The small business
needs to also correct the violation within the time
period allowed, which in most cases is 180 days.
For the policy to apply, the violation also can neither
be one that has caused actual serious harm to human
health or the environment, nor one that involves
criminal conduct.
To assist businesses in complying with the
regulations, OECA, in conjunction with industry,
academic institutions, environmental groups, and
other agencies, has opened compliance assistance
centers. These centers provide assistance to small
businesses, in addition to providing industry-specific
information to state and local government officials.
The compliance centers serve members of industries
such as printing, metal finishing, automotive
services and repair, and agriculture.
Self-Audit Policy
EPA's policy regarding Incentives for Self-
Policing: Discovery, Disclosure, Correction and
Prevention of Violations encourages regulated
entities to voluntarily discover, disclose, and correct
violations of environmental requirements. This
policy is designed not only to encourage greater
compliance with the laws, but also to achieve
maximum compliance through active efforts by the
regulated community.
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The Agency provides incentives, such as
eliminating or reducing the gravity component of
civil penalties by 75 percent, for companies that
conduct voluntary audits. EPA also may choose not
to recommend criminal prosecution of a regulated
entity based on voluntary disclosure of violations
that are discovered through audits and disclosed to
the government before an investigation occurs.
The policy has certain limitations. As with the
small business policy, companies may not be able to
gain relief under this policy for repeated violations,
violations that present a serious or imminent harm to
human health or the environment, or violations that
involve criminal activity. Also, the violation should
be discovered through an environmental audit or
through a documented, systematic procedure which
reflects the company's due diligence in preventing,
detecting, and correcting violations. To receive the
penalty mitigation, the regulated entity should
correct the violation within 60 days, unless written
notice is provided indicating a longer time frame,
and needs to certify in writing that the violations
have been corrected. Finally, the regulated entity
needs to take steps to prevent a recurrence of the
violation. Thus far, over 318 companies have
disclosed and corrected violations under the audit
policy at more than 1,668 facilities. The rates of
disclosing companies and corrected violations under
the policy have increased every year since its
effective date.
Additional information about the audit policy
can be found at www.epa.gov/compliance/
incentives/auditing/index.html.
Audit Protocols
EPA has developed audit protocols to assist and
encourage businesses and organizations to perform
environmental audits and disclose violations in
accordance with EPA's audit policy. The audit
protocols are intended to promote consistency
among regulated entities when conducting
environmental audits and to ensure that audits are
conducted in a thorough and comprehensive manner.
EPA has developed audit protocols for the following
RCRA facilities:
Hazardous waste generators
Hazardous waste TSDFs
Used oil and universal waste generators
Hazardous waste storage tanks
Federal facilities
Subtitle D facilities.
Sector Notebooks
EPA has developed tools to enhance compliance
with environmental laws on an industry by industry
basis. Sector Notebooks are industry sector profiles,
which help owners and operators of regulated
industries understand their regulatory obligations
through comprehensive plain-English guides. These
Notebooks are available on the Internet at
www.epa.gov/compliance/resources/publications/
assistance/sectors/notebooks/index.html.
AGENCY FUNCTIONS
Responsibility for the various components that
make up the RCRA enforcement program is divided
among different EPA Headquarters offices, the EPA
Regions, and state agencies. EPA Headquarters is
responsible for setting nationwide policy, monitoring
regional and state activities, and providing technical
support. The EPA Regions take primary federal
responsibility for performing inspections, issuing
administrative orders, preparing civil actions,
monitoring compliance with administrative and
judicial orders, and providing support to DOJ for
ongoing lawsuits. As with many other aspects of the
RCRA program, responsibility for enforcement is
largely decentralized. Authorized states take
primary responsibility for enforcement in close
cooperation with their respective EPA Region. EPA,
however, retains its authority to take enforcement
actions in authorized states if the state fails to do so,
does not obtain acceptable results, or requests EPA
assistance.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
SUMMARY
There are three essential elements to RCRA's
enforcement program: compliance monitoring,
enforcement actions, and compliance assistance and
incentives.
Compliance monitoring is used to determine a
handler's level of compliance with RCRA's
regulatory requirements. The primary method of
collecting compliance monitoring data is through an
inspection.
Either EPA or an authorized state may lead
inspections. Inspections must be conducted annually
at all federal- or state-operated facilities and at least
once every two years at each TSDF. The six types of
inspections conducted under the RCRA program are:
Compliance evaluation inspection
Case development inspection
Comprehensive ground water monitoring
evaluation
Compliance sampling inspection
Operations and maintenance inspection
Laboratory audit.
The primary goal of enforcement actions is to
bring facilities into compliance and ensure future
compliance. The enforcement options available
under RCRA are:
Administrative actions, including informal and
formal actions
Civil actions
Criminal actions.
EPA uses the guidelines in the Civil Penalty
Policy for assessing penalty amounts and uses the
Final EPA Supplemental Environmental Projects
Policy to allow for flexibility in assessing penalties.
Enforcement of RCRA at federal facilities is
now similar to enforcement at TSDFs, as a result of
the Federal Facility Compliance Act of 1992.
To achieve greater compliance, EPA also offers
compliance assistance through numerous policies,
including Final Policy on Compliance Incentives for
Small Businesses and Incentives for Self-Policing:
Discovery, Disclosure, Correction and Prevention of
Violations.
The responsibility for the various enforcement
actions is divided among different EPA Headquarters
offices, EPA Regions, and authorized state agencies.
ADDITIONAL RESOURCES
Additional information about RCRA
enforcement can be found at www.epa.gov/
compliance.
More information about SEPs is available at
www.epa.gov/compliance/planning/data/multimedia/
seps/sep.html.
11-136
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CHAPTER 11
AUTHORIZING STATES TO IMPLEMENT RCRA
In this chapter...
In order for a state to assume the regulatory lead
as the implementing agency, it must be authorized
by EPA to do so. RCRA requires authorization to
Overview 111-137 ensure state programs are at least equivalent to and
Developing a State Hazardous Waste consistent with the federal rules. Through state
Program 111-137 authorization, EPA establishes minimum federal
- Final Authorization 111-138 standards to prevent overlapping or duplicative state
- Interim Authorization 111-140 regulatory programs. A state that has received final
Review of the Proposed State Program 111-140 authorization, known as an authorized state,
Revising Authorized State Programs 111-141 implements and enforces its hazardous waste
- Withdrawing State Program Authorization .... 111-141 regulations. Authorized state regulations act "in lieu
- Transferring Program Responsibility Back to Of' federal regulations
EPA 111-142
Grants and Oversight 111-142
- State Grants 111-142 DEVELOPING A STATE
Priority Setting III 142 HAZARDOUS WASTE PROGRAM
- State Oversight 111-142
Information Management 111-142 Under RCRA, as enacted in 1976, states had
- RCRAInfo 111-143 two options for assuming the responsibility to
- State Authorization Tracking System 111-143 administer the RCRA Subtitle C program: final or
Summary 111-143 interim authorization.
OVERVIEW
When RCRA was written, it was Congress'
intent for the states to assume primary responsibility
for implementing the hazardous waste regulations,
with oversight from the federal government.
Congress felt the states' familiarity with the
regulated community, and state and local needs
would allow them to administer the hazardous waste
program in the most effective manner.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Final Authorization
For a state to receive final authorization, it
must be fully equivalent to, no less stringent than,
and consistent with the federal program. However,
states may impose requirements that are more
stringent or broader in scope than the federal
requirements. Some examples of rules that are more
stringent are the decision by some states to not
recognize the CESQG exemption, or to require
annual (rather than biennial) reports. An example of
a rule that is broader in scope is the regulation of
antifreeze as a listed waste in some states. In
addition, the state's program must provide adequate
enforcement authority to carry out its provisions,
provide for public notice and hearing in the
permitting process, and provide for public
availability of information in "substantially the same
manner and to the same degree" as the federal
program.
As an initial step toward obtaining final
authorization, a state typically adopts the federal
rules in some manner. Adopting the federal
program means either incorporating federal rules
into the state's rules, or creating state rules that are
equivalent to federal rules. Many states simply
incorporate the federal rules by reference (this is
known as incorporation by reference). This is
when the regulatory language in a state's regulations
actually cites, or refers to, the federal regulations. A
state may also choose to create an analogous set of
state regulations through the state legislative
process. Even though a state may have adopted the
federal program and its hazardous waste program is
similar or identical to the federal program, it still
does not have primacy for implementing and
enforcing the hazardous waste regulations. To
assume this role, the state must first be granted final
authorization. As of June 2002, all states, with the
ADOPTING FEDERAL REGULATIONS
As an initial step toward obtaining final authorization, a
state typically adopts the federal rules in some
manner. Adopting the federal program means either
incorporating federal rules into the state's rules, or
creating state rules that are equivalent to federal rules.
exception of Alaska and Iowa, are authorized to
implement the RCRA hazardous waste program.
Any state that seeks final authorization for its
hazardous waste program must submit an
application to the EPA Administrator containing the
following elements:
A letter from the governor requesting program
authorization
A complete description of the state hazardous
waste program
An attorney general's statement
A memorandum of agreement (MOA)
Copies of all applicable state statutes and
regulations, including those governing state
administrative procedures
Documentation of public participation activities.
Governor's Letter
This is simply a letter, signed by the governor,
formally requesting the EPA Administrator to
authorize the state's hazardous waste program which
will be implemented in lieu of the federal program.
Program Description
The program description describes how the state
intends to administer the hazardous waste program
in place of the federal program. It includes the
following:
A narrative description of the scope, structure,
coverage, and processes of the state program
A description of the state agency or agencies
responsible for running the program, including a
description of state-level staff who will carry out
the program
A description of applicable state procedures,
including permitting procedures and any state
administrative or judicial review procedures
A description of the state's manifest tracking
system
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Chapter 11: Authorizing States to Implement RCRA
Copies of any forms used to administer the
program under state law
A complete description of the state's compliance
tracking and enforcement program.
In addition, the program description must
include estimates of:
Costs involved in running the program and an
itemization of the sources and amounts of
funding available to support the program's
operation
The number of generators, transporters, and on-
site and off-site disposal facilities (along with a
brief description of the types of facilities and an
indication of the permit status of these facilities)
The annual quantities of hazardous waste
generated within the state, transported into and
out of the state, and stored, treated, or disposed
of within the state (if available).
If the state chooses to develop a program that is
more stringent or broader in scope (or both) than the
one required by federal law, the program description
should address those parts of the program that go
above and beyond what is required under RCRA
Subtitle C.
Attorney General's Statement
The attorney general's statement identifies the
legal authorities statutes, regulations, and where
appropriate, case law upon which the state is
relying to demonstrate equivalence with the federal
program. The statement must include citations to
specific statutes, administrative regulations, and
judicial decisions which demonstrate adequate
authority. When differences from federal authorities
exist in the state's program, the statement provides
an explanation. The statement must be signed by
the attorney general or an independent legal counsel
authorized to represent the state agency in court.
State statutes and regulations cited in the attorney
general's statement must be lawfully adopted and
fully effective at the time the program is authorized.
Memorandum of Agreement
Although a state with an authorized program
assumes primary responsibility for administering
Subtitle C hazardous waste regulations, EPA still
retains enforcement authority and oversight
responsibilities. In these instances, since the
authorized state and EPA both possess regulatory
authority to administer the regulations, there is a
potential for problems or conflicts, such as dual
permitting or dual enforcement of the regulations.
The memorandum of agreement between the state
Director and the EPA Regional Administrator
outlines the nature of these responsibilities and
oversight powers, and defines the level of
coordination between the state and the EPA in
implementing the program. While each MOA will
contain provisions unique to each individual state's
program, several provisions are common to all
MOAs. These include provisions for:
Establishing state procedures for assigning EPA
identification numbers
Specifying the frequency and content of reports
that the state must submit to EPA
Coordinating compliance monitoring and
enforcement activities between the state and
EPA
SAMPLE MEMORANDUM OF AGREEMENT
This memorandum of agreement (hereinafter
"Agreement") establishes policies, responsibilities, and
procedures pursuant to 40 CFR §271.8 for the State of
Hazardous Waste Program (hereinafter
"State Program") authorized under Section 3006 of the
Resource Conservation and Recovery Act (hereinafter
"RCRA" or "the Act") of 1976 (Public Law 94-580, 42
USC §6901 et sea.) and the United States
Environmental Protection Agency (hereinafter EPA)
Regional Office for Region . This Agreement
further sets forth the manner in which the State and
EPA will coordinate in the State's administration of the
State program.
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Section III: Managing Hazardous Waste - RCRA Subtitle C
Allowing EPA to conduct compliance
inspections of the regulated community in the
authorized state
Joint processing of permits for those facilities
that require a permit from both the state and
EPA
Specifying the types of permit applications that
will be sent to the EPA Regional Administrator
for review and comment
Transferring permitting responsibilities upon
authorization.
State Statutes and Regulations
The state must submit copies of its statutes and
regulations that are expected to act in lieu of the
federal RCRA regulations. Where states adopt the
federal regulations by reference, a document may be
included outlining where in the state rules the
federal rules are incorporated.
Documentation of Public Participation
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 the Administrator, a state must have
given public notice of its intent to apply for
authorization. Public notice must take the form of
publishing the announcement in major newspapers,
sending information to individuals on the state
agency mailing list, and allowing for a 30-day
comment period. Proof of public participation may
include copies of comments submitted by the public
during the comment period, and transcripts,
recordings, or summaries of any public hearings
concerning state authorization.
Interim Authorization
Some states are not able to receive final
authorization immediately because their programs
do not meet the minimum federal requirements. As
a result, these states can obtain interim
authorization. Interim authorization is a temporary
mechanism that is intended to promote continued
state participation in hazardous waste management
while encouraging states to develop programs that
INTERIM AUTHORIZATION
Interim authorization is a temporary mechanism that is
intended to promote continued state participation in
hazardous waste management while encouraging
states to develop programs that are fully equivalent to
the federal program and that will qualify for final
authorization. A state may receive interim
authorization if its hazardous waste program is
substantially equivalent to the federal program.
are fully equivalent to the federal program and that
will qualify for final authorization. A state may
receive interim authorization if its hazardous waste
program is substantially equivalent to the federal
program. Interim authorization is intended to allow
a state with its own hazardous waste program in
place to continue implementing its current program
until final authorization can be achieved. Under
RCRA, interim authorization expired on January 31,
1986. HSWA introduced a new interim
authorization period for any requirement
promulgated pursuant to HSWA authority. HSWA
interim authorization expires January 1, 2003, except
for the January 22, 2002, CAMU amendments rule.
REVIEW OF THE PROPOSED
STATE PROGRAM
Once the state has submitted a complete
application for final authorization to EPA, the EPA
Regional Administrator determines whether or not
the state's program should be authorized.
The EPA Regional Administrator makes this
determination according to the following steps:
Tentative determination The EPA Regional
Administrator must tentatively approve or
disapprove the state's application. The tentative
determination is published in the Federal
Register.
Public comment The public is given an
opportunity to comment on the state's
application and the EPA Regional
Administrator's tentative determination. The
Agency places a newspaper notice to inform the
public of this opportunity, and a public hearing
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Chapter 11: Authorizing States to Implement RCRA
will be held after the notice of the tentative
determination is published in the Federal
Register.
Final determination After the notice of the
tentative determination is published in the
Federal Register, the EPA Regional
Administrator must decide whether or not to
authorize the state's program, taking into
account all comments submitted. This final
determination is then published in the Federal
Register.
REVISING AUTHORIZED STATE
PROGRAMS
Once a state has gained final authorization, it
must continually amend and revise its program to
maintain its authorized status. As RCRA continues
to evolve through new federal rulemakings, an
authorized state is required to revise its program to
reflect the changes in the federal program. An
authorized state may also have to revise its program
in order to incorporate any state statutory or
regulatory changes that affect the state's hazardous
waste program. Most of the authorization activity
now involves revisions to authorized state programs
rather than the authorization of new states.
All program revisions may be initiated by either
EPA or the authorized state. To revise its authorized
program, a state must submit copies of its
regulations and may submit a modified program
description, attorney general's statement, MOA, or
other documents deemed necessary by EPA. The
EPA Administrator reviews the state's proposed
modifications applying the same standards used to
review the state's initial program application. The
state's program revisions are effective once
approved by EPA. Notice of all state program
revisions are then published in the Federal Register.
A state with final authorization must modify its
program on a yearly basis to reflect changes to the
federal program resulting from the promulgation of
new rules. New federal rules are grouped into
annual clusters, and a state revises its program by
adopting and becoming authorized for the entire
cluster. A cluster begins on July 1 of each year and
ends on June 30 of the following year. By July 1 of
each year, an authorized state must adopt the cluster,
which includes all changes to the federal program,
that occurred during the 12 months preceding the
previous July 1 (e.g., states must modify their
programs by July 1, 2003, to reflect all changes
made between July 1, 2001 and June 30, 2002). The
deadlines for program modifications may also be
extended for one year if state statutory amendments
are necessary.
Withdrawing State Program
Authorization
Authorized state programs are continually
subject to review. If the EPA Administrator
determines that a state's authorized program no
longer complies with the appropriate regulatory
requirements and the state fails to amend its
program accordingly, authorization may be
withdrawn. An authorized state's program may be
considered out of compliance for many reasons.
One reason could be failure to promulgate or enact
required regulations, leaving the state without the
legal authority to implement or enforce its program.
Also, the state legislature could limit or strike down
the state's authority to enforce its program. A state
could also be out of compliance by failing to issue
required permits, or by continually issuing bad
permits. If an authorized state fails to enforce its
authorized program properly, does not act on
violations, fails to assess proper penalties or fines, or
fails to inspect and monitor properly, it may also be
considered out of compliance. Finally, if the state
fails to comply with the requirements of the MOA,
the EPA Administrator may determine the state is
out of compliance and may begin program
withdrawal procedures. If program authorization is
withdrawn, responsibility for administering and
enforcing RCRA Subtitle C reverts back to EPA.
Although EPA can withdraw hazardous waste
program authorization for a state that fails to enforce
its authorized program properly or take timely and
appropriate action, the Agency can take other action
without officially withdrawing authorization. In
such instances, EPA may take independent
enforcement action by overfiling, or enforcing a
provision for which a particular state has
11-141
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Section III: Managing Hazardous Waste - RCRA Subtitle C
authorization. EPA may also overfile if the state
requests EPA to do so and provides justification
based on unique, case-specific circumstances, or if a
case could establish a legal precedent. In order to
overfile, EPA must notify the state 30 days prior to
issuing a compliance order or starting a civil action
within that state.
Transferring Program Responsibility
Back to EPA
A state with an authorized program may
voluntarily transfer the program back to EPA. To
do this, the state must give the EPA Administrator
180 days notice and submit a plan for the orderly
transfer to EPA of all relevant program information
necessary for administering the program (e.g.,
permits and permit files, compliance records, permit
applications, reports).
GRANTS AND OVERSIGHT
While authorized states bear the primary
responsibility for implementing the RCRA Subtitle
C program, federal EPA still plays a role by offering
financial assistance to states to help them develop
and implement their hazardous waste programs,
establishing broad national priorities, and ensuring
that states properly carry out the RCRA program.
State Grants
EPA offers grants to states to assist them in
developing or implementing authorized hazardous
waste management programs. Each EPA Regional
Office receives an allotment based upon multiple
factors, such as population and the amounts and
types of hazardous waste generated in the EPA
Region. States then submit proposed work plans
that outline planned activities in the upcoming year,
including permitting, enforcement, and program
management. EPA Regions then negotiate with
each state over the specific work to be accomplished
with these grant funds.
Priority Setting
EPA also sets RCRA national goals and priority
program activities on an annual basis. Each year,
EPA identifies the national priorities for
implementing all of its programs, including the
RCRA Subtitle C and D programs. These priorities
form the basis for EPA Regional and state workload
negotiations for the upcoming year.
State Oversight
Ensuring that states properly implement their
hazardous waste management programs is also an
important EPA responsibility. As a result, EPA
Regional staff have oversight responsibilities to:
Promote national consistency in RCRA
implementation
Encourage coordination and agreement between
EPA and states on technical and management
issues
Ensure proper enforcement by the state
Ensure appropriate expenditure of federal grant
funds.
INFORMATION MANAGEMENT
Several RCRA provisions require the regulated
community to report hazardous waste management
information to EPA and states. For example,
biennial reporting provisions require large quantity
generators and TSDFs to submit waste management
information to EPA by March 1 of every even-
numbered year. EPA and states, in turn, collect and
track such information to ensure that the hazardous
waste program is adequately managed at the EPA
Headquarters, EPA Regional, and state levels, and to
provide accurate and up-to-date information to both
Congress and the general public. In order to achieve
this goal, EPA compiles such data in the RCRAInfo
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Chapter 11: Authorizing States to Implement RCRA
database. EPA also maintains the State
Authorization Tracking System (StATS), which it
uses to track whether states have been authorized to
implement or have adopted federal hazardous waste
rulemakings.
RCRAInfo
In September
2000, EPA began
managing data
supporting the Subtitle C program in its information
system known as RCRAInfo. RCRAInfo
consolidated EPA's former information systems,
RCRIS and BRS, into one national system.
RCRAInfo is a national program management and
inventory system of RCRA hazardous waste
handlers, including generators, transporters, and
TSDFs. The information system captures
^identification, regulatory compliance status and
cleanup activity data for all handlers, and tracks the
permit and closure status of TSDFs. Additionally,
RCRAInfo tracks state-collected data on the
generation and management of RCRA hazardous
waste from LQGs and TSDFs.
State Authorization Tracking System
The State Authorization Tracking System
(StATS) is a tool used by EPA to chart the states that
have been authorized to implement the RCRA
hazardous waste program. By looking at StATS
reports, an individual can determine if a particular
state has been authorized to implement a specific
rule. The reports also list the Federal Register
citations for final authorization decisions for each
state and rule.
SUMMARY
Congress intended states to assume
responsibility for implementing RCRA, with
oversight from the federal government. In order for
a state to receive authorization to implement and
enforce the hazardous waste regulations in lieu of
federal EPA, the state must demonstrate that its
program:
Is equivalent to, no less stringent than, and
consistent with the federal program (state
requirements may be more stringent or broader
in scope)
Provides adequate enforcement authority
Provides for public availability of information in
substantially the same manner and to the same
degree as the federal program.
Any state that seeks final authorization for its
hazardous waste program must submit an application
to the EPA Administrator containing the following
elements:
A letter from the governor requesting program
authorization
A complete program description
An attorney general's statement
An MOA
Copies of all applicable state statutes and
regulations
Documentation of public participation activities.
Once a state's program has been authorized, it
must revise its program, on an annual basis, to
reflect both changes in the federal program, and
state statutory or regulatory changes. State
programs are also subject to review by EPA, and a
state's authorized status can be withdrawn if the
program does not comply with appropriate
regulatory requirements. Without officially
withdrawing authorization, EPA may take
independent enforcement action by overfiling, or
enforcing a provision for which a particular state has
authorization. States may also choose to transfer
program responsibility back to EPA.
EPA works closely with states in implementing
the hazardous waste management program by
offering grants to states, setting national goals and
priorities, and providing program oversight.
EPA Headquarters, EPA Regions, and states
collect, compile, and track information on the
RCRA hazardous waste program through
RCRAInfo.
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SECTION IV
MANAGING UNDERGROUND STORAGE TANKS
RCRA SUBTITLE I
In this section...
A regulated substance is any hazardous
substance, defined under CERCLA §101(14), and
Overv'e IV1 petroleum. In other words, the federal UST
Scope of the Underground Storage Tank regulations apply only to USTs storing either
Problem IV-2 petroleum or hazardous substances. Underground
The Underground Storage Tank Regulatory tanks holding nonhazardous substances, such as
Proqram IV-3 water, are not covered by these regulations.
- Program Scope IV-3 The yagt majority Of USTs store petroleum
Notification IV-4 products at retail establishments, such as gas
- Technical Requirements IV-4 ... , , , , c f ,. T
stations, and at petroleum refining facilities. Less
Lender Liability IV-13 ,, ,, , ^TTC^ ^ i j
than three percent or USTs store hazardous
State Underground Storage Tank Programs .... IV-14 , , _, . , , , , . . .
substances. Placing tanks underground minimizes
Inspections and Enforcement IV-14 , , , ., . , ,
hazards and provides a convenient place to store
Leaking Underground Storage Tank Trust ,. ., A . , ,.,,.... . . ^
liquid materials while hiding unsightly equipment.
Fund IV-15 ^ , T ,, , , . , ,,TJ ^ ^
These tanks are round at a variety or locations,
USTfields for Abandoned Tanks IV-16 . . ,. . .
.,, .^ including convenience stores, airports, service
Summary IV-16 . & t1 ' F .'....
.,,, stations, small and large manuractunng racilities,
Additional Resources IV-17 , ' ,, .,.. , , . '
and government racilities. USTs at these sites are
used primarily to store gasoline, diesel fuel, crude
oil, hazardous chemicals, and heating oil. Before the
^ regulations, many of these tanks were made of bare,
Across the United States, there are
approximately 700,000 federally regulated
underground storage tanks in use that store
petroleum or hazardous substances. An UST system
is defined as a tank and any underground piping
connected to the tank that has at least 10 percent of
its combined volume underground. This definition
includes the tank, connected underground piping,
any underground ancillary equipment, such as valves
and pumps, and containment systems. Therefore,
aboveground tanks with extensive underground
piping may meet the definition of an UST. In order
for a tank to meet the definition of an UST it must
also contain a regulated substance.
WHAT IS AN UST SYSTEM?
An UST System is defined as a tank and any
underground piping connected to the tank that has at
least 10 percent of its combined volume underground.
This definition includes the tank, connected
underground piping, any underground ancillary
equipment, such as valves and pumps, and
containment systems.
WHAT IS A REGULATED SUBSTANCE?
A regulated substance is defined as any hazardous
substance, defined under CERCLA §101 (14), and
petroleum.
IV-1
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Section IV: Managing Underground Storage Tanks - RCRA Subtitle I
unprotected steel, causing them to pose a substantial
threat to human health and the environment from
leaking due to faulty installation, corrosion, tank or
pipe rupture, or spills.
With over 50 percent of the U.S. population
relying on ground water as their primary source of
drinking water, Congress acted to protect this
resource in 1984 by adding Subtitle I to RCRA in
1984. Under this Congressional mandate, EPA was
required to develop a comprehensive regulatory
program for USTs storing petroleum or regulated
hazardous substances. In 1988, EPA published
regulations that require owners and operators of new
tanks and tanks already in the ground to prevent,
detect, and clean up releases. In 1986, Congress
amended Subtitle I with the passage of the
Superfund Amendments Reauthorization Act
(SARA) by creating a fund for corrective action for
petroleum releases from USTs; this fund is referred
to as the Leaking Underground Storage Tank
(LUST) Trust Fund.
This section describes the UST program
regulatory requirements, the role of the states in
implementing the program, and the LUST Trust
Fund.
SCOPE OF THE UNDERGROUND
STORAGE TANK PROBLEM
Of the approximately 700,000 tanks currently in
use and subject to the federal regulations, an
estimated 38 percent are constructed of fiberglass,
32 percent are constructed of new steel, and 30
percent have been upgraded with cathodic protection
and/or lining. Nevertheless, approximately 6,500
releases were reported between September 2000 and
September 2001, allowing contaminants such as
benzene and methyl tertiary-butyl ether (MTBE), to
seep into the ground and cause potential harm to the
environment. As of September 2001, since the
beginning of the UST program, over 418,000 UST
releases have been confirmed. EPA estimates that
approximately 60 percent or more of these releases
have affected groundwater. Consquently, leaking
USTs pose a potentially widespread threat to our
nation's groundwater.
Releases of regulated substances into the
environment are generally attributed to corrosion,
faulty installation, and spills and overfills.
Corrosion occurs when bare metal, soil, and moist
conditions combine to produce an underground
electric current that destroys hard metal. Over time,
corrosion can create holes in the body of the tank
and piping, increasing the likelihood of leaks into
the soil. The speed and severity of corrosion varies
depending on site-specific factors.
Improper installation is also a typical cause of
UST failure. Proper installation is crucial to ensure
the structural integrity of both the tank and its
piping. Proper installation procedures include
excavating the soil, siting where the tank system
should be located, determining burial depth,
assembling the tank system, backfilling around the
tank system, and grading the surface soil (i.e.,
evening out surface where the soil was replaced).
Installation problems generally result from careless
RELEASES FROM USTS
6,500 new releases were reported between September
2000 and September 2001. Between the beginning of
the UST program and September 2001, over 418,000
UST releases have been confirmed. EPA estimates
that approximately 60 percent or more of these
releases have affected groundwater.
installation practices that do not follow standard
industry codes and procedures. For example,
mishandling of the tank during installation can cause
cracks in fiberglass-reinforced plastic tanks or
damage the protective coating on steel tanks, leading
to corrosion.
Finally, spills and overfills, usually caused by
human error during product transfers, contribute to
tank leakage. Spills often occur when the tanks are
filled during routine product deliveries. Although
these spills are small, repeated releases of any size
can have substantial environmental impacts.
Overfills normally release much larger volumes than
spills. Overfills occur when tanks are filled beyond
their capacity and excess product is released.
IV-2
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Section IV: Managing Underground Storage Tanks - RCRA Subtitle I
Installation of spill and overfill protection, in
addition to following industry standards for correct
filling practices, help to prevent such releases from
occurring.
THE UNDERGROUND STORAGE
TANK REGULATORY PROGRAM
Congress, when developing RCRA Subtitle I,
chose to subject only about one-third of the total
number of UST systems that were in use when the
law was enacted to the UST program. The tanks that
were specifically exempted from the scope of the
regulations were selected by Congress because these
particular types of USTs were regulated under
federal, state, or local laws.
Program Scope
While tanks that have at least 10 percent of their
combined volume underground and are used to store
petroleum and hazardous substances are subject to
the RCRA Subtitle I program, not all tanks meeting
this definition of an UST are required to comply
with the requirements. Congress specifically
excluded certain tanks from the definition,
including:
Farm and residential tanks of 1,100 gallons or
less capacity holding motor fuel used for
noncommercial purposes
Tanks storing heating oil used on the premises
where it is stored
Tanks on or above the floor of underground
areas, such as basements or tunnels
Septic tanks and systems for collecting
wastewater and storm water
Flow-through process tanks (i.e., tanks that are
part of production processes and have a steady
flow of materials through the tank during
operation)
Pipeline facilities
Surface impoundments, pits, ponds, or lagoons
Storm water or wastewater collection systems
Liquid traps or associated gathering lines
directly related to oil or gas production and
gathering operations.
Upon examination of the UST universe, EPA
determined that there were additional tanks that
should not be subject to the federal regulatory
program due to their size, content, location, or
regulation under other programs. As a result, EPA
excluded the following tanks:
UST systems holding hazardous wastes listed or
identified under RCRA Subtitle C, or a mixture
of such wastes and regulated substances
Wastewater treatment tank systems that are part
of a wastewater treatment facility regulated
under CWA
Equipment or machinery that contains regulated
substances for operational purposes, such as
hydraulic lift tanks and electrical equipment
tanks
UST systems with a capacity of 110 gallons or
less
UST systems that contain de minimis
concentrations of regulated substances
Emergency spill or overflow containment UST
systems that are expeditiously emptied after use.
EPA also identified tanks that did not warrant
exclusion, but should not be subject to full
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Section IV: Managing Underground Storage Tanks - RCRA Subtitle I
regulation. As a result, EPA deferred certain tanks
from the requirements for design and installation,
operation, release detection, release reporting and
investigation, closure, and financial responsibility.
These deferred tanks include:
Wastewater treatment tank systems
UST systems containing radioactive material
regulated under AEA
UST systems that are part of emergency
generator systems at nuclear power generation
facilities
Airport hydrant fuel distribution systems
UST systems with field-constructed tanks.
UST systems that store fuel solely for use by
emergency power generators are deferred from the
release detection requirements only.
In order to fully protect human health and the
environment, these deferred tanks are still subject to
release response and corrective action regulations to
ensure that any leaks from a deferred UST system
will be addressed and cleaned up. Additionally, all
deferred tanks are subject to an interim prohibition
which generally requires that such tanks installed
after May 8, 1985, comply with certain technical
requirements that provide basic protection of human
health and the environment.
Notification
Because of the vast number of USTs already in
existence when Congress enacted RCRA Subtitle I,
EPA found that developing UST regulations and
classifying the number of USTs in the United States
was an intensive task. EPA's first action in
responding to this mandate was to establish a
notification system allowing tracking of existing
USTs, as well as providing a mechanism to identify
when a new UST was brought into operation. As a
result, owners and operators of UST systems that
were in the ground on or after May 8, 1986, were
required to notify the state or local agency of the
tank's existence, unless the tank was taken out of
operation on or before January 1, 1974. Any owner
and operator who brings an UST into use after May
8, 1986, must notify the designated state or local
agency of the existence of the tank system within 30
days of bringing the tank into use. In addition, any
person who sells a tank intended to be used as an
UST must inform the purchaser of the notification
requirement.
Technical Requirements
In response to the scope of the UST problem and
Congress' mandate, EPA issued technical
performance standards for all USTs and regulations
to require petroleum UST owners and operators to
have the financial means to pay for cleanups and to
compensate third parties. These standards, codified
in 40 CFR Part 280, encompass provisions for UST:
Design, construction, and installation
Operation
Release detection
Release reporting, investigation, and
confirmation
Corrective action
Closure
Financial responsibility.
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Section IV: Managing Underground Storage Tanks - RCRA Subtitle I
New vs. Existing Underground Storage Tank
Systems
At the time EPA's technical regulations for USTs
came into effect, many tanks were already being
used to store regulated substances. To accommodate
the thousands of USTs in existence at the time the
federal regulations were established, EPA built a
certain amount of flexibility into the UST program
to ensure that tanks already in use were covered by
the new program, yet not immediately subjected to
the new, potentially costly, design standards. To
address this issue, EPA made a distinction in the
UST regulations between new tanks and existing
tanks. New USTs are those that were installed or
that had commenced installation after December 22,
1988. These tanks are expected to be in compliance
with all of the technical standards upon installation.
Existing USTs are those that were in service or
for which installation had commenced, on or before
December 22, 1988. At the time the regulations
went into effect, approximately two million tanks
were considered existing. While EPA felt that these
tanks could pose the same threat as new tanks, and
thus should be subject to the same standards as new
tanks, the Agency granted a period during which the
existing tanks could come into compliance with the
regulations. This phase-in or upgrading period
expired December 22, 1998. At that time, existing
tanks must have met the performance standards for
new tanks, must have met the upgrading
requirements for existing tanks, or have been
properly closed.
While the standards for existing USTs are often
identical to those for new USTs, there are limited
circumstances where the standards for new USTs
NEW VS. EXISTING TANKS
New tanks are those that are installed, or that have
commenced installation, after December 22, 1988.
These tanks are expected to be in compliance with all
of the technical standards upon installation. Existing
tanks are those that were in service, or for which had
commenced, on or before December 22, 1988.
Existing tanks had until December 22, 1998 to have
met the performance standards for new tanks, have
met the upgrading requirements for existing tanks, or
be taken out of service.
would be impracticable for existing USTs to
implement immediately. This chapter will focus
primarily on the standards for new USTs, contrasting
them with the standards for existing USTs where
appropriate.
Design, Construction, and Installation
Proper installation is crucial to ensuring the
structural integrity of both the tank and its piping.
Therefore, owners and operators of tank systems
must certify on their UST notification form that the
tank system was installed in accordance with the
manufacturer's instructions and in accordance with
practices developed by nationally recognized
associations, such as the Petroleum Equipment
Institute (PEI).
Tanks are also required to be designed and
constructed in such a way as to protect them from
corrosion. This can be accomplished by
constructing the tank of materials that do not
corrode, such as fiberglass-reinforced plastic, or
outfitting a steel tank with a thick layer of
noncorrodible material. A third option, known as
cathodic protection, uses sacrificial anodes or a
direct current source to protect steel by halting the
naturally occurring electrochemical process that
causes corrosion (see Figure IV-1). Piping that
routinely contains product, and that is in contact
with soils, must meet similar corrosion protection
standards.
Owners and operators of USTs must also ensure
that any substance stored in the UST does not react
in such a way that it threatens the integrity of the
tank. For this reason, the tank and piping must be
made of, or lined with, a material that is compatible
with the substance stored in the tank.
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Section IV: Managing Underground Storage Tanks - RCRA Subtitle I
Figure IV-1: Cathodic Protection
Grade
sed
Current Path
UST corrosion is caused by an electric current that is created
when bare metal is placed in soil. Cathodic protection
prevents such corrosion. The above impressed current
system sends electric current from anodes, through the soil
to the UST system to protect the tank by overcoming the
corrosion-causing current normally flowing from the tank.
In order to remain in service after December 22,
1998, existing tanks that are not constructed with
noncorrodible materials were required to install
corrosion protection as part of the upgrading
requirements. This could have been in the form of
cathodic protection, an interior lining of
noncorrodible material, or a combination of the two.
Corrosion protection in the form of cathodic
protection was also required for metal piping.
In addition to these design standards, tank
systems are subject to general requirements to
ensure proper operation and maintenance.
Operation
The general operating requirements provide
owners and operators with a set of standards to
ensure that routine daily operations are conducted
safely. Theses requirements are geared primarily
toward the prevention of spills, overfills, and
corrosion.
Spill and Overfill Protection
Spill and overfill protection requirements
include common-sense procedures, such as ensuring
that there is enough room in the tank to receive a
delivery of gasoline before the delivery is made, and
watching the entire delivery to prevent spilling or
overfilling. In addition, spills and overfills must be
eliminated or minimized by installing certain
equipment. For example, catchment basins can
contain small amounts of product that are spilled
when the delivery hose is disconnected from the fill
pipe. Overfill protection devices either shut off
delivery once the product has reached a certain level
in the tank, or sound an alarm that notifies the
delivery driver that the tank is almost full (see
Figure IV-2). As with design and installation
requirements, standards for product transfer are
based on standards developed by nationally
recognized associations.
All tank systems, both new and existing, are
subject to the general operating standards for spill
and overfill control. The only exception to these
Figure IV-2: Overfill Protection
Fill Pipe
Shutoff Valve
Float
An UST owner and operator can meet overfill protection
requirements by using an overfill protection device. Such
devices either shut off delivery once the product has reached
a certain level in the tank, or sound an alarm that notifies the
delivery driver that the tank is almost full. For example, an
automatic shut off device (or fill pipe device) has one or two
valves that are operated by a float mechanism. When the
product reaches a certain level in the tank (i.e., when the
float mechanism reaches a certain level), the device will shut
off the flow of product into the tank.
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Section IV: Managing Underground Storage Tanks - RCRA Subtitle I
requirements is that USTs which never receive
product transfers of more than 25 gallons at a time,
do not have to meet the spill and overfill design
standards.
Corrosion Protection
Both new UST systems and existing UST
systems that have been upgraded with corrosion
protection must follow guidelines for the operation
and maintenance of the corrosion protection
equipment. The regulations require that corrosion
protection systems be properly operated and
maintained to ensure that no releases occur. In
addition, UST systems with cathodic protection must
be periodically inspected and tested to ensure that
the equipment is operating properly. Finally, the
owner and operator must keep records documenting
compliance with these operation, maintenance, and
inspection requirements.
Release Detection
EPA included release detection requirements in
the UST regulations to detect releases from leaking
tanks before they pose threats to or damage human
health and the environment. All new USTs are
required to have release detection (also referred to as
leak detection) for tanks and piping when they are
installed. Existing USTs were required to meet
release detection requirements for tanks and piping
no later than December 1993.
There is no single release detection system that
is best for all sites, nor is there a particular type of
release detection that is consistently the least
expensive. Identifying the best leak detection choice
for an UST depends on a number of factors,
including cost (both initial installation cost and long-
term operation and maintenance cost), facility
configuration (such as the complexity of piping runs
and tank systems), ground water depth, soil type,
seasonal rainfall and temperature ranges, availability
of experienced installers, and other variables best
evaluated by professionals.
Based on these and other factors, petroleum
UST owners and operators can choose any of these
seven release detection methods (see Figure IV-3):
Interstitial monitoring
Automatic tank gauging systems
Vapor monitoring
Ground water monitoring
Figure IV-3: Release Detection Methods
Inventory Control or
Manual Tank Gauging
Vapor
Monitoring
Well
Tank Tightness Testing
Line Leak Detector
Ground Water
Monitoring Well
Secondary
Containment
with
Interstitial
Monitoring
UST owners and operators can provide release detection for their tanks using several different methods. These include secondary
containment with interstitial monitoring, automatic tank gauging, vapor monitoring, ground water monitoring, and SIR (not pictured).
In some cases, owners and operators can combine either inventory control or manual tank gauging with tank tightness testing.
Owners and operators must also provide release detection for piping, including automatic line leak detectors for pressurized piping.
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Section IV: Managing Underground Storage Tanks - RCRA Subtitle I
Statistical inventory reconciliation (SIR)
Manual tank gauging for small USTs
Other methods meeting performance standards.
The federal UST program also includes different
release detection requirements for hazardous
substance tanks as well as for underground piping
for all USTs. Lastly, the federal regulations contain
recordkeeping provisions requiring owners and
operators to document compliance with the release
detection standards.
Interstitial monitoring involves the use of
secondary containment, such as a barrier, outer wall,
or liner around the UST or piping to prevent leaking
product from escaping into the environment.
Alternatively, tanks can be equipped with inner
bladders to provide secondary containment. If
product escapes from the inner tank or piping, it will
then be directed towards an interstitial monitor
located between the walls.
Automatic tank gauging systems use a probe in
the tank that 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.
Vapor monitoring measures product fumes in
the soil around the UST to check for leaks. This
method requires installation of carefully placed
monitoring wells. Owners and operators can
perform vapor monitoring on a periodic basis, or
continuously, using permanently installed
equipment.
Ground water monitoring senses the presence
of liquid product floating in ground water. 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 ground water, owners and operators can
periodically check these wells by hand, or monitor
them continuously with permanently installed
equipment. This method cannot be used at sites
where ground water is more than 20 feet below the
surface, and may not be appropriate for soluble
materials, such as MTBE.
With statistical inventory reconciliation,
owners and operators use sophisticated computer
software to conduct a statistical analysis of
inventory, delivery, and dispensing data. These data
are then analyzed to determine if any product has
been released.
Owners and operators of USTs with a capacity
of 1,000 gallons or less can use manual tank
gauging as the sole method of release detection for
the life of the tank. Manual tank gauging requires
owners and operators to keep the tank undisturbed
for at least 36 hours each week, during which time
the contents of the tank are measured. At the end of
each week, owners and operators analyze the test
results to determine if the tank is leaking.
Any other release detection technology can be
used if it either (1) 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 five
percent, or (2) is approved by the implementing
agency after demonstrating it is capable of detecting
a release as effectively as one of the six stated
methods.
These release detection methods are monthly
monitoring methods, and eventually, all UST owners
and operators will have to use at least one of them.
It may, in some cases, require a significant
investment of time and resources for owners and
operators to get these release detection methods in
place. In the interim, UST owners and operators can
combine either inventory control or manual tank
gauging with tank tightness testing. The length of
time that owners and operators can use these
temporary methods depends on whether their UST
meets the standards for new or upgraded tanks, when
the UST was upgraded to meet corrosion protection
requirements and, in some cases, the size of the
tanks.
Inventory control with tank tightness testing
This method combines monthly inventory
control with periodic tank tightness testing.
Inventory control involves taking
measurements of tank contents, recording the
amount of product pumped each operating day
and reconciling these data at least once a month.
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Section IV: Managing Underground Storage Tanks - RCRA Subtitle I
Tank tightness testing describes a variety of
methods used to determine if a tank is leaking;
most of these methods involve monitoring
changes in product level or volume in a tank
over a period of several hours.
Manual tank gauging with tank tightness testing
Owners and operators of tanks with a
capacity of 2,000 gallons or less can temporarily
use monthly manual tank gauging with periodic
tank tightness testing.
Hazardous Substance USTs
All hazardous substance USTs, both new and
existing, must meet different release detection
requirements. Hazardous substance USTs must
employ secondary containment with interstitial
monitoring. By enclosing such tanks with a second
wall, leaks can be detected quickly and contained
before harming the environment.
Piping
Underground piping for all USTs (both new and
existing petroleum and hazardous substance tanks)
that routinely contains a regulated substance is also
subject to release detection standards. Pressurized
piping requires automatic line leak detectors and an
additional monitoring method, such as an annual line
tightness test or certain previously mentioned
monthly monitoring methods for tanks. Suction
piping may or may not require release detection,
depending on how such piping is designed. For
example, suction piping that has enough slope to
allow product to drain back into the tank does not
require release detection. However, suction piping
that is subject to release detection requirements must
use a periodic line tightness test or certain monthly
monitoring methods for tanks.
Recordkeeping
The release detection recordkeeping
requirements include maintaining results of any
sampling, testing, or monitoring, as well as
maintaining documentation of all calibration,
maintenance, and repair of release detection
equipment. These record retention provisions are
applicable to new and existing petroleum and
hazardous substance tanks and piping.
Release Reporting, Investigation, and
Confirmation
UST release detection requirements are intended
to prevent petroleum and hazardous substances from
leaking into the environment. Unfortunately, many
releases have already occurred and may occur in the
future. As a result, the UST regulations stipulate
procedures for investigating and confirming
suspected releases from petroleum and hazardous
substance USTs, and reporting such releases to the
implementing agency. All UST owners and
operators must be attentive to a variety of warning
signals that indicate an UST may be leaking. These
include evaluation of results of release detection
monitoring and testing, observation of any unusual
operating conditions at the pump (such as erratic or
overly slow product flow), and evidence of product
leakage into the environment (e.g., the presence of
petroleum in nearby surface water or wells). Upon
observing such warning signals, the owner and
operator must immediately report the suspected
release to the implementing agency. The owner and
operator must then determine if the suspected release
is an actual release by conducting tightness testing of
the entire UST system to determine a possible
source. The owner and operator must also measure
for the presence of contaminants in soil or ground
water, and determine the source of the release if such
contamination has been discovered.
If the results of tank tightness testing or the site
inspection (or both) indicate that no release has
occurred, then no further investigation is required.
If, however, the results of these investigations
indicate that a release has occurred, the owner and
operator must respond by immediately stopping the
release and repairing or replacing any damaged
equipment. If an owner and operator chooses to
repair rather than replace a damaged pipe or tank,
EPA requires the repair person to follow standard
industry codes, such as codes established by the
American Petroleum Institute (API), for correct
repair practices. In addition, the owner and operator
must take steps to clean up the release through the
UST corrective action program.
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Section IV: Managing Underground Storage Tanks - RCRA Subtitle I
Corrective Action
Corrective action for UST systems is designed
to ensure that releases of regulated substances do not
threaten human health and the environment. While
corrective action procedures are comprised of a
series of steps, the exact action to be taken and the
level of response required vary depending on the
severity of the release and the nature of the
containment.
Response to confirmed releases consists of
short-term and long-
term stages. The initial
stage of the response
consists of short-term
actions to stop and
contain the leak or spill
and steps to ensure that
the leak or spill poses no
immediate hazard to
human health and safety,
such as removing
explosive vapors and
other fire hazards. The
owner and operator
must also remove as
much product from the
UST system as
necessary to prevent any
further release; begin to
recover any free
(released) product; and
provide a report to the
implementing agency
that includes a
description of the initial actions taken, an assessment
of the extent of contamination, and a plan on how
they will clean up the release.
Based on data collected during the initial site
characterization, the implementing agency will
decide whether further action is warranted. Some
leaks and spills will require additional long-term
attention to correct the problem. In these cases, the
implementing agency will request a corrective action
plan from the owner and operator that describes how
they will clean up contaminated soil and ground
water. The implementing agency will then evaluate
the plan to determine if it will adequately protect
human health and the environment, taking into
account such factors as the type of substance
released, potential impacts on drinking water, and
other site-specific concerns. Once the corrective
action plan is approved, the owner and operator must
implement the plan and report the results of the
cleanup to the implementing agency.
One methodology that helps implementing
agencies address UST sites requiring corrective
action is risk-based decision-making (RBDM).
EPA encourages states to
incorporate RBDM into
the implementation of
their corrective action
programs. RBDM is a
process that uses risk and
exposure assessment
concepts to help UST
implementing agencies
establish enforcement
priorities. Because of the
vast number of leaking
USTs and the limited
financial and human
resources available to
implement corrective
action at these sites,
RBDM is an important
tool in expediting
assessments and cleanups
at contaminated sites. It is
also used to tailor the
cleanup response to the
level of risk posed by a
particular site. For
example, implementing agencies may use RBDM to
categorize or classify sites, to aid in establishing
cleanup goals, and to decide on the necessary level
of oversight.
Closure
If an UST is taken out of service for any period
of time, the owner and operator must close the UST
system according to certain procedures in order to
ensure adequate protection of human health and the
environment. Closure can be done on either a
temporary or permanent basis.
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Section IV: Managing Underground Storage Tanks - RCRA Subtitle I
Temporary Closure
If the owner and operator plan to bring the tank
system back into service at a later date (within a year
or other time period approved by the implementing
agency), they may close the tank temporarily.
Temporary closure requires the owner and operator
to continue to operate and maintain the corrosion
protection system and, if any product remains in the
tank, to maintain the leak detection system. During
temporary closure, the tank remains subject to
release response and corrective action requirements.
If the owner and operator take the UST out of
service for longer than three months, they must leave
the vent lines open and functioning, and cap and
secure all other lines attached to the tank. Provided
no extension has been granted by the implementing
agency, after 12 months in temporary closure, an
UST system must be permanently closed in
accordance with §§280.71 through 280.74.
Permanent Closure
If the owner and operator decide to permanently
discontinue using the tank altogether, they must
permanently close the UST system. Permanent
closure involves a number of steps designed to
ensure that the tank will pose no threats to human
health or the environment after it is closed. These
steps include notifying the implementing agency of
the intent to close the tank, assessing the tank and
surrounding area to determine if any releases have
occurred, initiating corrective action to clean up any
such releases, removing all liquids and accumulated
sludges from the tank, and either removing the tank
from the ground or filling it with an inert solid
material, such as concrete or sand (if state and local
regulations allow it).
Changes In Service
In some cases, an owner and operator may
decide to use a formerly regulated UST system to
store a nonregulated substance. This is considered a
change in service. Before making this change, the
owner and operator must notify the implementing
agency, empty and clean the tank, conduct a site
assessment to determine if a release has occurred,
and initiate corrective action if appropriate.
For both tank closures and changes in service,
the owner and operator must maintain results of the
site assessment for at least three years, or mail the
results to the implementing agency.
Financial Responsibility
When Congress amended RCRA Subtitle I in
1986, it recognized that UST corrective action could
be very expensive, and as a result, some UST
owners and operators might not be able to pay for
such cleanups. Similarly, Congress discovered that
releases from USTs had the potential both to inflict
severe damage on neighboring property and threaten
human health. In response to these concerns,
Congress directed EPA to establish UST financial
responsibility requirements to ensure that owners
and operators would have the financial resources to
pay for any necessary corrective action, as well as
compensate third parties for bodily injury and
property damage (known as third-party damages)
resulting from leaking USTs.
The UST financial responsibility regulations
apply only to petroleum UST owners and operators.
State and federally owned and operated USTs are
exempt from these requirements because it is
assumed that such entities already have the financial
resources to pay for corrective action and liability
expenses.
The UST financial responsibility requirements
require coverage in both per occurrence and annual
aggregate amounts.
Per Occurrence Coverage
Per occurrence means the amount of money
that must be available to pay for the costs from one
leak. These requirements are based on whether a
facility markets (i.e., sells) petroleum to the public
and the volume of petroleum handled at a facility.
All petroleum marketers, and facilities that handle an
average of 10,000 gallons of petroleum per month,
are required to demonstrate at least $1 million in per
occurrence coverage. Petroleum nonmarketers are
required to demonstrate at least $500,000 in per
occurrence coverage (see Figure IV-4). For
example, owners and operators of gas stations,
which are considered marketers because they sell
petroleum to the public, would need to demonstrate
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Section IV: Managing Underground Storage Tanks - RCRA Subtitle I
$1 million in per occurrence coverage for their
USTs. On the other hand, owners and operators of
USTs used to fuel vehicles that are rented to the
public, which are considered nonmarketers, would
need to demonstrate $500,000 in per occurrence
coverage if their average monthly throughput was
less than 10,000 gallons.
Figure IV-4: Per Occurrence Coverage
Monthly average
throughput of 10,000
gallons or less
Monthly average
throughput of over
10,000 gallons
Annual Aggregate Coverage
Annual aggregate is the total amount of
financial responsibility coverage required to pay for
the costs of all leaks that might occur in one year.
These requirements are based on the number of
Figure IV-5: Annual Aggregate Coverage
$1 million
annual aggregate
$2 million
annual aggregate
USTs owned and operated at all locations. Owners
and operators of over 100 USTs are required to
demonstrate at least $2 million in annual aggregate
coverage. Owners and operators of 100 or less tanks
are required to demonstrate at least $1 million in
annual aggregate coverage (see Figure IV-5).
Mechanisms
Financial responsibility mechanisms are the
different ways an UST owner and operator can show
that funds are available to pay for corrective action
and liability requirements. An owner and operator
must demonstrate financial responsibility through
one or more of the following mechanisms:
State assurance funds Most states have
established programs that can help pay for
cleanup and third-party liability costs resulting
from leaking USTs. Generally, the state
assurance funds are funded by gasoline taxes,
tank fees, or a combination of both. The terms
and conditions of the state assurance funds vary
greatly, and participation can either be
mandatory or voluntary. Participating UST
owners and operators, in good standing with
their state assurance fund, can use that fund to
demonstrate financial responsibility.
Financial test of self-insurance Some
companies are of such size and financial strength
that they have the assets to absorb the costs
incurred by UST corrective action and liability.
As a result, such owners and operators can
demonstrate their financial strength by using the
financial test of self-insurance to satisfy the
UST financial responsibility requirements.
Corporate guarantee While not all companies
will be able to meet the financial test
requirements, they may be owned by a company
(either corporate parent or grandparent), may
have a sibling company, or may have a
"substantial business relationship" with another
company that has the financial standing and
ability to meet the financial test requirements.
In these cases, an UST owner and operator may
arrange to have their corporate parent, corporate
grandparent, sibling corporation, or firm with a
substantial business relationship meet the UST
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Section IV: Managing Underground Storage Tanks - RCRA Subtitle I
financial responsibility requirements on their
behalf and provide them with a corporate
guarantee.
Insurance or risk retention group coverage An
UST owner and operator can take out an
insurance policy to cover the corrective action
and liability coverage requirements. Owner and
operators can also use risk retention groups,
which are entities formed by businesses or
individuals with similar risks to provide
insurance coverage for those risks.
Surety bond A surety bond is a guarantee by
a surety company that it will meet the
obligations of the UST owner and operator in
the event of a failure to satisfy corrective action
or liability requirements. If the owner and
operator fails to pay the costs specified in a
bond, the surety company is liable for the costs,
but the owner and operator must then repay the
surety company. The owner and operator must
also establish a standby trust fund into which
any payments made by the surety company will
be deposited. EPA or the states then use this
trust fund to cover the respective costs.
Letter of credit A letter of credit, issued by a
financial institution (such as a bank), is a
contract between the UST owner and operator,
the issuer, and the implementing agency. Under
the terms of this agreement, if the UST owner
and operator fails to pay for corrective action or
liability, the implementing agency will direct the
issuer to deposit such payments into a standby
trust fund.
Trust fund Under a trust fund, aggregate
funds for UST corrective action and liability are
held and administered by an impartial third party
(usually a bank). By placing such money in an
independent fund, the funds will not be
commingled with the owner's and operator's
other assets, and will always be available on the
event that a release occurs, or a claim is made.
These financial responsibility mechanisms were
developed to meet the needs of the private sector.
Many local government UST owners and operators
had difficulty demonstrating compliance with these
mechanisms because of slight differences in their
financial management and accounting practices. As
a result, EPA promulgated four additional options
that local governments could choose to demonstrate
UST financial responsibility. These mechanisms
are:
Bond rating test
Financial test
Guarantee
Dedicated fund.
While the bond rating and financial tests are
modeled after the UST financial test of self-
insurance, the guarantee is similar to the corporate
guarantee, and the dedicated fund is similar to the
trust fund, these mechanisms were all tailored to
meet the special needs of local governments.
LENDER LIABILITY
Many UST owners and operators must secure
loans from financial and other institutions to comply
with environmental regulations, such as UST
upgrading and maintenance requirements. These
owners and operators often use the property on
which the UST is located as collateral in order to
secure the loan. Financial institutions have
historically been reluctant to extend loans to UST
owners and operators for fear of later incurring UST
cleanup liability. For example, if a bank held
property as collateral for a service station that later
became bankrupt, the lender would take possession
of the property, becoming the owner of the property
and the tanks on it. Financial institutions feared that
they would then be subject to the UST regulations,
including financial responsibility for corrective
action and third-party liability. Until recently, this
potential for lending institutions to be held liable for
releases from USTs, known as lender liability,
greatly hampered the ability of UST owners and
operators to secure the capital necessary to make
tank improvements, upgrade the UST, or comply
with other requirements.
EPA published the lender liability regulations in
1995. The rule provides lenders with an exemption
from all federal UST regulatory requirements
provided that the lender, or secured creditor, does
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Section IV: Managing Underground Storage Tanks - RCRA Subtitle I
not participate in the management or operation of the
UST system. This means that the lender is exempt
from corrective action requirements and liability for
cleanup costs of contaminated property, both prior to
and after foreclosure, as long as the lender does not
engage in petroleum production, refining, or
marketing, does not manage or operate the UST, and
does not store petroleum in the UST after
foreclosure.
HOW DO STATE UST PROGRAMS OPERATE?
Because state programs operate in lieu of the federal
program, owners and operators in states that have an
approved UST program do not have to comply with two
sets of statutes and regulations. Once their programs
are approved, states have the lead role in UST
program enforcement; therefore, owners and operators
need only comply with their state regulations to be in
full compliance with all requirements.
STATE UNDERGROUND STORAGE
TANK PROGRAMS
States play a central role in the administration of
the UST program. Because of the size and diversity
of the UST regulated community, states and local
governments are in the best position to oversee the
regulation of USTs. Congress intended for states to
take over the day-to-day administration of the UST
program from the federal government; therefore,
RCRA Subtitle I allows EPA to approve state UST
programs to operate in lieu of the federal UST
program provided they are at least as stringent as the
federal program and ensure adequate enforcement.
In order to be approved, a state program must
meet three requirements. First, the state program
must set standards for eight performance criteria that
are no less stringent than federal standards. These
include the standards for:
New UST system design
General operating requirements
Release detection
Upgrading
Release reporting
Corrective action
Financial responsibility
Closure.
Second, the program must contain provisions
that ensure adequate enforcement of the UST
regulations. This means that the state must have
adequate legal authority to implement and enforce
the regulations, including the authority to inspect
records and sites, require monitoring and testing, and
assess penalties. In some cases, states will have to
enact additional laws in order to have adequate
authority. The state program must also include
opportunities for public participation in the state
enforcement process.
Finally, the state program must regulate at least
the same universe of USTs covered by the federal
program, although many states may choose to
implement programs that are broader in scope than
the federal program. For example, a state may
regulate all heating oil tanks, even though the federal
UST program excludes tanks used for storing
heating oil for consumptive use on the premises
where stored. In such cases, EPA does not review or
approve the portion of the program that is broader in
scope than the federal program. EPA can, however,
approve requirements that are more stringent than
the federal program. For example, a state may
receive approval from EPA to implement release
detection requirements that are more stringent than
those contained in the federal regulations.
Because state programs operate in lieu of the
federal program, owners and operators in states that
have an approved UST program do not have to
comply with two sets of statutes and regulations.
Once their programs are approved, states have the
lead role in UST program enforcement; therefore,
owners and operators need only comply with their
state regulations to be in full compliance with all
requirements.
INSPECTIONS AND
ENFORCEMENT
RCRA Subtitle I provides authority for federal
and state personnel to request pertinent information
from tank owners and operators; inspect and sample
tanks; monitor and test tanks and surrounding soils,
air, surface water, and ground water; respond to
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Section IV: Managing Underground Storage Tanks - RCRA Subtitle I
violations of tank standards through civil or
administrative actions; and seek injunctive relief
when human health or the environment are
endangered.
EPA may issue compliance orders for any
violation of the Statute or regulations. A violator
who fails to comply with the order may be subject to
a civil penalty of up to $27,500 per tank per day of
noncompliance. In addition, any owner and operator
who knowingly fails to notify or submits false
information may be subject to civil penalties of up to
$11,000 for each tank for which notification is not
given or false information is submitted.
Furthermore, any owner and operator who fails to
comply with any regulatory requirement under
Subtitle I, may be subject to civil penalties of up to
$11,000 per tank, for each day of violation.
Criminal penalties are not authorized under Subtitle
I.
At all levels of government, regulatory agencies
are granted some discretion in determining when to
impose penalties. In the UST program, inspectors
often issue a notice of violation or a warning letter to
first-time violators when a facility is inspected,
provided that the violations are not egregious. These
informal enforcement actions are less resource-
intensive for the states and are usually effective in
promoting compliance. States and EPA generally
reserve their strongest enforcement tools for use on
facilities whose owners and operators have not been
responsive to informal enforcement actions, facilities
whose violations pose significant threats to human
health and the environment, or facilities who have a
history of noncompliance. Federal enforcement
authorities include the use of field citations and
administrative or judicial (or both) enforcement
actions.
LEAKING UNDERGROUND STORAGE TANK
TRUST FUND
The LUST Trust Fund provides money to states to
oversee corrective action by a responsible party and to
clean up sites where the owner and operator is
unknown, unwilling, or unable to respond, or which
require emergency action.
UST inspectors issue field citations at the time
they identify violations. Field citations are not
issued for serious violations. They are issued in
cases where the violation is a first-time violation and
is clear-cut, easily verifiable, and easily correctable.
A field citation couples a fine with a requirement to
correct the violation within 30 days. If a facility
does not address the violation within 30 days,
however, follow-up enforcement actions can assess
additional penalties.
Apart from inspections, outreach and education
are among of the most commonly used ways to
familiarize UST owners and operators with the UST
regulations and promote compliance. EPA and states
produce and distribute a wide variety of
informational materials, including booklets, leaflets,
videos, and slide shows, designed to assist owners
and operators in complying with the UST
requirements. EPA and states also conduct seminars
and workshops and use inspections as opportunities
to explain the requirements and offer assistance. In
addition, EPA works closely with trade associations
representing tank owners and operators to provide
compliance assistance information to their members.
LEAKING UNDERGROUND
STORAGE TANK TRUST FUND
As part of SARA, Congress also created the
Leaking Underground Storage Tank Trust Fund.
The LUST Trust Fund has two purposes. First, it
provides money for overseeing corrective action
taken by a responsible party, usually a contractor
hired by an owner and operator of the leaking UST.
Second, the LUST Trust Fund provides money for
cleanups at UST sites where the owner and operator
is unknown, unwilling or unable to respond, or
which require emergency action.
The LUST Trust Fund is financed through a user
tax on motor fuel sold in the United States. The
taxing authority ends March 31, 2005 (see Tax
Payer's Relief Act of 1997, and Section 1033 of
H.R. 20410). As of September 2001, about $2.6
billion had been collected, $945 million of which
has been given to EPA. About $794 million has
been dispersed to state programs for state officials to
use for administration, oversight, and cleanup work.
IV-15
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Section IV: Managing Underground Storage Tanks - RCRA Subtitle I
The remaining LUST Trust Fund money has been
used by EPA for negotiating and overseeing
cooperative agreements, implementing programs on
Native American lands, and technical assistance and
training for EPA Regional and state offices.
To receive money from the LUST Trust Fund,
states enter into a cooperative agreement with the
federal government to spend the money for its
intended purpose. Every state has a cooperative
agreement with EPA. LUST Trust Fund money is
divided among EPA Regional Offices based on a
formula that uses state data. In fiscal year 2002,
each state received a base allocation with additional
funds for states and territories with approved state
programs, plus additional money depending on the
following: the number of confirmed releases in the
state; the number of notified petroleum tanks; the
number of residents relying on ground water for
drinking water; and the number of cleanups initiated
and completed as a percentage of total confirmed
releases.
The LUST Trust Fund provides money to states
to oversee corrective action by a responsible party
and to clean up sites where the owner and operator is
unknown, unwilling, or unable to respond, or which
require emergency action.
USTFIELDS FOR ABANDONED
TANKS
USTfields are abandoned or underutilized
industrial and commercial properties where
redevelopment is complicated by real or perceived
environmental petroleum contamination from
federally-regulated USTs. Sites contaminated by a
substance other than petroleum, and sites
contaminated by petroleum as a result of releases
from non-federally registered USTs, are not covered
under the federal program, and are not considered
USTfields.
Under the USTfields Initiative, EPA developed
an USTfield Pilot program, in part to address high
priority petroleum releases from federally-regulated
underground storage tanks. Selected USTfields
pilots are large areas identified by state/local or EPA/
tribal partnerships containing two or more USTfields
properties in need of an assessment or cleanup
support. Each pilot is awarded up to $100,000 from
the LUST Trust Fund. Site managers can use the
funding for the following activities: to assess the site
for the existence of chemicals of concern (e.g.,
MTBE), clean up petroleum contamination, monitor
soil and groundwater to evaluate whether chemicals
of concern have been removed, and maintain public/
community participation during the assessment and/
or cleanup activities of community sites. Award
money cannot be used for redevelopment activities,
general education or job training activities, lobbying
efforts, matching any other federal funds without
specific statutory authority, or paying any
outstanding fines or penalties. The new Brownfields
legislation, Small Busniess Liability Relief and
Brownfields Revitalization Act, PL 107-118, will
give communities across the country the tools they
need to reclaim and restore thousands of petroleum-
contaminated Brownfields sites.
SUMMARY
Across the United States, a wide range of
persons, from large and small businesses to private
entities, store regulated substances (petroleum and
CERCLA hazardous substances) in USTs. An UST
is defined as a tank and any underground piping
connected to that tank that has at least 10 percent of
its combined volume underground.
Not all tanks storing regulated substances are
subject to the UST regulations, as some tanks are
specifically exempted from the regulations due to
their regulation under other laws.
In an effort to protect human health and the
environment from releases from regulated USTs,
EPA promulgated technical performance standards
designed to ensure safe design, operation,
maintenance, and closure. These standards, codified
in 40 CFR Part 280, encompass provisions for UST:
Design, construction, and installation
Operation
Release detection
Release reporting, investigation, and
confirmation
Corrective action
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Section IV: Managing Underground Storage Tanks - RCRA Subtitle I
Closure
Financial responsibility.
When the UST regulatory program came into
existence, there were over two million tanks already
in the ground. To accommodate these USTs, EPA
built flexibility into the regulatory program to allow
such tanks to upgrade during a phase-in period. As
of December 22, 1998, such existing tanks must
either meet the performance standards for new tanks,
meet the upgrading requirements for existing tanks,
or be taken out of service.
The UST technical requirements may be
expensive to comply with. As a result, many owners
and operators secure loans from private lending
institutions. However, if owners and operators
default on such loans, banks may foreclose on
property containing such USTs. By default, the bank
may become responsible and liable for compliance
with the federal UST requirements, including the
cleanup of all releases. In order to shield lending
institutions from such requirements, and remove the
disincentive for issuing such loans in the first place,
EPA promulgated a lender liability provision to
exempt lending institutions from the UST
requirements provided they do not manage or
operate the UST.
The UST program also includes state program
approval provisions that are designed to help
facilitate the delegation of UST program
implementation to the states. This provides states
the authority to ensure proper compliance with the
federal standards, and allows states with approved
programs to have primary enforcement
responsibility. In order for a state to receive
approval, its program must be no less stringent than
the federal program, cover the same universe of
tanks covered by the federal program, and provide
for adequate enforcement of the state UST program.
The UST program also includes provisions regarding
inspections and enforcement.
Finally, the UST program includes a LUST
Trust Fund. Under the LUST Trust Fund, EPA
disperses money to states that have cooperative
agreements with the Agency to provide money for
overseeing corrective action taken by a responsible
party and to provide money for cleanups at UST
sites where the owner and operator is unknown,
unwilling or unable to respond, or which require
emergency action.
ADDITIONAL RESOURCES
Additional information about the topics covered in
this chapter can be found at www.epa.gov/oust.
IV-17
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SECTION V
MISCELLANEOUS STATUTORY REQUIREMENTS
In this section...
Overview V-1
Chapter 1: Federal Procurement
Requirements V-3
Chapter 2: Medical Waste Regulations V-9
OVERVIEW
All RCRA provisions do not fit neatly into the
solid waste, hazardous waste, and UST regulatory
frameworks. The Statute established additional
miscellaneous provisions to further the goals of the
waste management program, and to address
materials that were not covered by Subtitles C, D,
or I.
The first set of these miscellaneous statutory
provisions focuses on promoting recycling and
developing a market for products with recycled
content: the federal procurement requirements.
The second set of miscellaneous statutory
provisions focuses on certain materials that were not
covered by Subtitles C, D, or I: namely, medical
wastes. These requirements imposed a tracking
system to ensure the safe and protective
management of potentially harmful wastes.
This section consists of two chapters:
Federal Procurement Requirements To
promote recycling, encourage the development
of recycling technologies, and develop the
market for products with recycled content,
RCRA contains specific federal procurement
requirements.
Medical Waste Regulations To ensure the
tracking and safe management of medical waste,
RCRA established a medical waste
demonstration program.
Both of these aspects of the RCRA program are
carefully detailed in separate chapters in this section.
V-1
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CHAPTER 1
FEDERAL PROCUREMENT REQUIREMENTS
In this chapter...
Overview V-3
Promotion of Recycling V-3
Federal Procurement Requirements V-4
- Comprehensive Procurement Guidelines V-4
- Recovered Materials Advisory Notice V-5
- Procurement Program V-5
- Compliance V-7
Summary V-7
Additional Resources V-8
OVERVIEW
The purpose of RCRA is not merely to control
waste generation, waste management, or waste
disposal. The title of the Act itself clearly reveals a
major focus and intent of the regulatory program -
resource conservation and recovery. As discussed in
Section I, a major goal of RCRA is energy and
natural resource conservation through reducing the
depletion of our natural resources and to protect
those resources from hazardous constituents.
Another major goal of RCRA is resource recovery
through extracting usable resources from materials
that are unintentionally created (i.e., wastes).
Resource recovery or recycling requires
separating and correcting wastes for their subsequent
transformation or remanufacture into usable
products and materials. Resource recovery is a
major component of the RCRA program because it
diverts large amounts of solid waste from landfills
and incinerators, conserves space in landfills,
recovers the precious raw materials that are often
found in solid waste, and preserves natural resources
that would otherwise be used to produce virgin
products and materials.
To further this waste management approach,
RCRA established specific provisions to promote
the development of recycling capabilities and
technologies, and develop a market for recyclable
materials. As a result, the Statute contains
provisions for technology and market development
activities, as well as federal procurement
requirements intended to bolster the demand for
products containing recycled materials.
PROMOTION OF RECYCLING
When the Statute was enacted, the waste
management and recycling industries were unable to
maintain and promote substantial resource
conservation and recovery of a wide range of
materials. While specific industries, such as metals
and glass recycling, were mature and developed,
recycling of other commodities, such as old
newspapers was not as advanced. While recycling
was a major component of the regulatory program,
there was neither the technology to recycle nor a
market in which to sell and purchase such
commodities. Without a market to sell or a demand
to purchase recycled products, there was no
incentive to perform recycling activities in the first
place.
V-3
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Section V: Miscellaneous Statutory Requirements
Congress recognized this opportunity within the
recycling industry and sought ways to promote both
recycling activities and market development. As a
result, RCRA includes provisions requiring EPA to
take steps to identity markets for recovered
materials, identify economic and technical barriers
to the use of recovered materials, encourage the
development of new uses for recovered materials,
and promote recycling technologies. In addition,
RCRA requires the National Institutes of Standards
and Technology to develop specifications for
recycled materials to facilitate their reuse in
replacing virgin materials in various industrial and
commercial products.
FEDERAL PROCUREMENT
REQUIREMENTS
Realizing that recycling is not only the
collection of materials for remanufacture, but also
the purchase of products with recovered content by
consumers, Congress sought ways to stimulate
market demand for recycled materials. Congress
realized that the purchasing power of the federal
government, if focused on procuring materials with
recovered content, could create a significant demand
for recycled materials thus stimulating the market.
Increased demand by the federal government for
products with recovered content would boost
manufacturing of such items and encourage the
private sector to purchase such goods as well. As a
result, RCRA §6002 established the federal
government's buy-recycled program, formally
referred to as the federal procurement program.
The federal procurement program sets
minimum recovered materials content standards
for certain designated items and requires procuring
agencies to purchase those items composed of the
highest percentage of recovered materials
practicable. Minimum content standards specify the
minimum amount of recovered materials that
designated items should contain.
Procuring agencies are defined as:
Federal government departments or agencies
State government agencies that use appropriated
federal funds for procurement of a designated
item
Local government agencies that use appropriated
federal funds for procurement of a designated
item
Government contractors that work on a project
funded by appropriated federal funds, with
respect to work performed under the contract.
Only procuring agencies that purchase $10,000
or more worth of a designated item during the
course of their fiscal year, or that purchased at least
$10,000 worth of a procurement item during the
preceding fiscal year, are subject to these
procurement requirements.
The Statute requires EPA to identify products
that are or can be made from recovered materials,
and to make recommendations concerning the
procurement of items containing recovered
materials. Procuring agencies can use these
guidelines to meet these statutory requirements.
Comprehensive Procurement
Guidelines
EPA designates items in a Comprehensive
Procurement Guideline (CPG), which is updated
annually. Currently, there are 54 items designated
within 8 product categories (see Figure V-l). These
product categories are:
Paper and Paper
Products
Vehicular Products
Construction
Products
Transportation
Products
Park and Recreation Products
Landscaping Products
V-4
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Chapter 1: Federal Procurement Requirements
Nonpaper Office Products
Miscellaneous Products.
Figure V-1: Designated Procurement Items
Paper and Paper Products
- Printing and Writing Papers
- Bristols
- Newsprint
- Commercial/Industrial Sanitary Tissue Products
- Miscellaneous Paper Products
Vehicular Products
- Engine Coolants
- Rerefined Lubricating Oils
- Retread Tires
- Rebuilt vehicular parts*
- Tires*
Construction Products
- Building Insulation Products
- Polyester Carpet
- Carpet Cushion
- Cement and Concrete Containing Coal Fly Ash and Ground Granulated Blast
Furnace Slag
- Consolidated and Reprocessed Latex Paint
- Flowable Fill
- Floor Tiles and Patio Blocks
- Railroad Grade Crossing Surfaces
-Shower and Restroom Dividers and Partitions
-Structural Fiberboard and Laminated Paperboard
- Cement and Concrete Containing Cenospheres*
- Cement and Concrete Containing Silica Fume*
- Nylon Carpet and Nylon Carpet Backing*
- Modular Threshold Ramps*
- Non-pressure Pipe*
- Roofing Materials*
Transportation Products
- Channelizers
- Delineators
- Flexible Delineators
- Parking Stops
- Temporary Traffic Control Devices
Parks and Recreation Products
- Park Benches and Picnic Tables
- Plastic Fencing
- Playground Equipment
- Playground Surfaces
- Running Tracks
Landscaping Products
- Food Waste Compost
- Garden and Soaker Hoses
- Hydraulic Mulch
- Lawn and Garden Edging
- Plastic Lumber Landscaping Timbers and Pots
- Yard Trimmings Compost
Non-paper Office Products
- Binders
- Office Recycling Containers
- Office Waste Receptacles
- Plastic Clipboards
- Plastic Clip Portfolios
- Plastic Desktop Accessories
- Plastic Envelopes
- Plastic File Folders
- Plastic Presentation Folders
- Plastic Trash Bags
- Printer Ribbons
-Solid Plastic Binders
- Toner Cartridges
- Office furniture*
Miscellaneous Products
-Awards and Plaques
- Industrial Drums
- Manual-grade Strapping
-Mats
- Pallets
- Signage, including Sign Supports and Posts
- Sorbents
- Bike racks*
- Blasting grit*
* On August 28, 2001, EPA published a proposed update to the CPG. The 11
proposed items, which were not finalized at the time of publication, are
designated with an asterisk.
Recovered Materials Advisory Notice
For each item designated in the CPG, EPA also
publishes a corresponding recovered content level
(see Figure V-2). These recovered material levels
are published in a Recovered Materials Advisory
Notice (RMAN). Procuring agencies can use these
levels as guidelines, but are encouraged to exceed
EPA's recommendations. EPA also provides
information on specifications for purchasing a
particular item and other pertinent purchasing
information.
Procurement Program
If an agency meets the definition of a procuring
agency and is purchasing a certain dollar amount of
a designated item, that agency is required to
purchase items with recovered content to the
maximum extent possible. Within one year after
EPA designates an item, procuring agencies must
revise their product specifications to require the use
of recovered materials and to eliminate
administrative barriers to the use of materials with
recovered content, such as removing purchasing
provisions that prohibit the use of recovered
materials or require the exclusive use of virgin
materials.
Executive Orders and
the Federal Procurement Program
When RCRA established the federal procurement
program, EPA was required to follow the formal
rulemaking process in order to designate an item and
establish minimum content levels. Because of the
length of this rulemaking process, from 1980 to 1993,
EPA had only designated five items. Executive Order
12873, signed in 1993, requires EPA to change the
process to allow more items to be designated faster.
This change lead to the CPG and RMAN.
Executive Order 13101, signed in 1998, supersedes
Executive Order 12873. This Order retains the
provisions of Executive Order 12873 and more clearly
defined the roles of the oversight agency, namely the
Office of the Federal Environmental Executive.
V-5
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Section V: Miscellaneous Statutory Requirements
Figure V-2: Sample Recovered Materials Advisory Notice Content Level Specification
Postconsumer materials are materials
or finished products that have served
their intended uses and have been
discarded for disposal or recovery,
having completed their lives as
consumer items. For example, EPA
recommends that 60-100%, of the 90-
100% recovered plastic that EPA
recommends for plastic fencing, should
originate from the recycling of
postconsumer plastic.
Total recovered materials content
refers to the total percentage of
recovered materials that EPA
recommends fora designated item.
For example, EPA recommends that
procuring agencies purchase plastic
fencing that contains 90-100%
recovered plastic.
Recommended Recovered Materials Content Levels
for Fencing Containing Recovered Plastic
Material
Postconsumer
content (%)
Total
recovered
materials
content (%)
Plastic 60-100
90-100
EPA's recommendation does not preclude a procuring agency from purchasing fencing that is manufactured
from another material, such as wood. The procurement guidelines simply require that a procuring agency,
when purchasing plastic fencing, purchase this item made with recovered materials to the extent possible.
Not all procuring agencies will be able to
purchase the designated items with recovered
content. In some instances, such agencies will need
to purchase items that do not contain the minimum
recovered content. The Statute provides, however,
that procuring agencies need not purchase
designated items if the designated items will not be
available within a reasonable period of time, will not
meet the agency's reasonable performance
standards, or will not be available at a reasonable
price. EPA, however, encourages such agencies to
purchase designated items with recovered content to
the extent practicable.
Each procuring agency must develop an
affirmative procurement program for each
designated item, setting forth the agency's policies
and procedures for implementing the requirements.
The affirmative procurement program consists
of four parts:
Preference program
Promotion program
Estimation, certification, and verification
program
Monitoring and review program.
Preference Program
The preference program is a means by which an
agency can show its preference for products made
with recovered materials. It may consist of
established minimum content standards, a case-by-
case approach when the minimum content standard
is inappropriate, or an equivalent alternative.
Minimum content standards specify the minimum
amount of recovered materials that designated items
should contain. Agencies can adopt these standards
on an agency-wide basis for all procurement actions.
Case-by-case policy development allows the
V-6
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Chapter 1: Federal Procurement Requirements
procuring agency to establish a separate recovered
materials content requirement for a specific
procurement action, while still enabling the agency
to procure other designated products with the highest
amount of recovered materials practicable. The
procuring agency can also choose an alternative that
is equivalent to either of these options, such as
contracting for recycling of spent engine coolant.
Promotion Program
Through the promotion program, the agency
must actively promote its desire to buy recycled
products, both internally within the agency and
externally to product vendors. Internal promotion
usually is a broad-based employee education
program that affirms an agency's procurement
policy through advertising, workshops, agency
newsletters, and technical and staff manuals.
Examples of external promotion include publishing
articles in trade journals, participating in vendor
shows or trade fairs, placing statements in bid
solicitations, and discussing an agency's
procurement policy at bidders' conferences.
Estimation, Certification, and Verification
Program
The estimation, certification, and verification
program establishes procedures for obtaining
estimates and certifications, and where appropriate,
reasonably verifying the amount of recovered
materials content utilized in the performance of a
contract.
Monitoring and Review Program
The monitoring and review program requires
agencies to monitor affirmative procurement
programs to ensure that they are fulfilling their
requirements to purchase items composed of
recovered materials.
Compliance
Once EPA designates an item in the CPG, the
responsibility for complying with the procurement
program rests with the procuring agency. There are
no provisions in the Statute for federal enforcement
of the guidelines. On the other hand, RCRA §7002
citizen suit provisions allow citizens to sue in U.S.
District Court to seek relief against any person
alleged to be in violation of the requirements of the
Act, including the procurement requirements.
(Citizen suit provisions are fully discussed in
Section III, Chapter 10.)
SUMMARY
In order to further RCRA's resource,
conservation, and recovery goals, EPA established
provisions to promote recycling and market
development. RCRA created federal procurement
requirements to create a significant demand for
products with recovered content, boost
manufacturing of such products, and encourage the
private sector to purchase such goods as well.
The procurement requirements apply to
procuring agencies that purchase $10,000 or more
worth of a designated item during the course of their
fiscal year, or that purchased at least $10,000 worth
of a procurement item during the preceding fiscal
year.
Procuring agencies are defined as:
Federal government departments or agencies
State government agencies that use appropriated
federal funds for procurement of a designated
item
Local government agencies that use
appropriated federal funds for procurement of a
designated item
Government contractors that work on a project
funded by appropriated federal funds, with
respect to work performed under the contract.
The federal procurement program sets minimum
recovered materials content standards for certain
designated items and requires procuring agencies to
purchase those items composed of the highest
percentage of recovered materials practicable. EPA
designates these items in the CPG and specifies
minimum recovered content levels in an RMAN.
V-7
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Section V: Miscellaneous Statutory Requirements
Each procuring agency must develop an ADDITIONAL RESOURCES
affirmative procurement program for each
designated item, setting forth the agency's policies Additional information about the topics covered
and procedures for implementing the requirements. in this chapter can be found at www.epa.gov/cpg.
This program consists of four parts: Further information about the Office of the
Environmental Executive can be found at
Preference program www.ofee.gov.
Promotion program
Estimation, certification, and verification
program
Monitoring and review program.
V-8
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CHAPTER 2
MEDICAL WASTE REGULATIONS
In this chapter...
Overview V-9
What is Medical Waste? V-9
Medical Waste vs. Hazardous Waste V-10
The Demonstration Program V-10
- Generators V-10
- Transporters V-11
- Treatment, Destruction, and Disposal
Facilities V-11
Interstate Shipments V-11
Reports to Congress V-12
Current Requirements V-12
Summary V-12
Additional Resources V-13
OVERVIEW
During the summer of 1988, syringes and other
used medical materials washed up on beaches along
the Atlantic seaboard. In response to public concern
about this problem, Congress enacted the Medical
Waste Tracking Act in November 1988, which
added medical waste tracking provisions in RCRA
Subtitle J. The Medical Waste Tracking Act
directed EPA to establish a two-year demonstration
program for the tracking and management of
medical waste. Under this statutory authority, EPA
codified regulations in 40 CFR Part 259 identifying
the medical wastes to be tracked and creating
management standards for handlers of medical
waste. The States of Connecticut, New Jersey, New
York, Rhode Island, and the Commonwealth of
Puerto Rico all participated in the two-year tracking
program. For purposes of this program, they were
known as covered states. This demonstration
program began June 22, 1989, and ended June 22,
1991. Currently, the program is expired and no
federal medical waste tracking and management
regulations are in effect. As a result, the provisions
in Part 259 have been removed from the CFR.
States, however, have become active in managing
medical waste and a majority have developed
programs similar to the federal model. This chapter
will discuss what was considered medical waste
under the two-year demonstration program.
WHAT WAS MEDICAL WASTE?
Medical waste included:
Cultures and stocks of infectious agents
Human pathological wastes (e.g., tissues, body
parts)
Human blood and blood products
Used sharps (e.g., hypodermic needles and
syringes used in animal or human patient care)
Certain animal wastes
Certain isolation wastes (e.g., wastes from
patients with highly communicable diseases)
Unused sharps (e.g., suture needles, scalpel
blades, hypodermic needles).
V-9
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Section V: Miscellaneous Statutory Requirements
For purposes of the demonstration program, the
definition of medical waste excluded household
waste. In addition, residues from treatment and
destruction processes, or from the incineration of
regulated medical wastes, were not considered
medical waste, nor were human remains intended to
be buried or cremated. Etiologic agents (i.e.,
infectious substances) being shipped pursuant to
other federal regulations, and samples of medical
waste that were shipped for enforcement purposes
were exempt from the 40 CFR Part 259
requirements.
MEDICAL WASTE VS.
HAZARDOUS WASTE
Because medical wastes met the RCRA
regulatory definition of solid waste, these wastes
were also subject to the Subtitle C hazardous waste
characterization. In other words, once a facility
identified a waste as a medical waste, it then had to
determine if this waste was also listed or
characteristic. (The hazardous waste identification
process is fully discussed in Section III, Chapter 1.)
If medical waste was a hazardous waste, it was
subject to the Subtitle C hazardous waste
requirements. When the Subtitle J medical waste
tracking standards were in place, such hazardous
medical wastes were excluded from the tracking
requirements and were subject to those requirements
in RCRA Subtitle C (see Figure V-3).
THE DEMONSTRATION PROGRAM
The medical waste tracking demonstration
program set up provisions for tracking medical
waste from the generator to the disposal site, similar
to Subtitle C's hazardous waste manifest system.
The program was designed to ensure proper
handling, tracking, and disposal of medical waste.
The system required that a tracking form accompany
the waste and a signed copy be retained by the
generator, each transporter, transfer station, and the
treatment, destruction, and disposal facility that
handled the waste. When the final disposal facility
accepted the waste, a copy of the signed tracking
form was returned to the generator. Through this
process, the generator was assured that the waste
Figure V-3: Medical Waste vs. Hazardous Waste
Hazardous
waste that
was listed
but not a
medical
waste
Medical
waste that
was neither
listed nor
characteristic
Medical
waste which was
also listed or
characteristic
RCRA
RCRA x Subtitle C
Subtitle J
RCRA
Subtitle C
If medical waste was neither listed nor characteristic, it
was subject to regulation as medical waste under RCRA
Subtitle J. If medical waste was also listed or characteristic,
it was subject to regulation as hazardous waste under
RCRA Subtitle C.
was actually received for disposal. The tracking
program also included exception and discrepancy
reporting to alert EPA and the states if wastes were
not being handled properly.
To minimize contact with medical wastes by
workers, handlers, and the public, the program also
included specific requirements for segregation,
packaging, labeling, marking, and storing of medical
wastes before they were shipped to another site for
treatment, destruction, or disposal.
The demonstration program focused on three
groups of medical waste handlers:
Generators
Transporters
Treatment, destruction, and disposal facilities.
Generators
A medical waste generator was any person
whose act or processes produced medical waste or
caused medical waste to become subject to
regulation. These tracking provisions applied to
persons or facilities that generated 50 pounds or
more of medical waste in a month and shipped such
waste off site. These generators were required to
separate, package, label, mark, and track medical
wastes according to the regulations. Generators
V-10
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Chapter 2: Medical Waste Regulations
producing and shipping less than 50 pounds a month
were required to prepare their wastes properly for
shipment, but could use a log to account for wastes
instead of a tracking form.
With the exception of medical waste burned in
on-site incinerators, generators who disposed of
medical wastes on site or in a sewer system were not
covered by the requirements of this program.
Similarly, wastes that were treated and destroyed or
disposed of on site or in sewers were not counted as
part of the 50-pound monthly total. Generators
burning waste in on-site incinerators were required
to report the volume of waste burned. All medical
wastes, even those that were to be treated, destroyed,
and disposed of on site, were required to be stored
properly.
These provisions applied to medical wastes
generated by federal facilities in covered states.
These provisions also applied to ships and ocean
vessels that brought medical wastes to shore by
docking in a covered state.
Transporters
A medical waste transporter was any person
engaged in the off-site transportation of medical
waste by air, rail, highway, or water. Transporters
were required to notify EPA of their intent to
comply with the tracking program before they could
accept medical waste for transport. Transporters
were required to follow rules governing the
transport, tracking, recordkeeping, and reporting of
waste shipments. They were also required to make
sure that the wastes they accepted for transport had
been properly prepared for shipping and that the
tracking form was accurate.
Treatment, Destruction, and Disposal
Facilities
Treatment facilities were facilities that changed
the biological character or composition of medical
waste to substantially reduce or eliminate its
potential for causing disease. Destruction facilities
were facilities that destroyed medical waste by
mutilating it, or tearing it apart to render it less
infectious and unrecognizable as medical waste.
Once medical waste was properly treated and
destroyed, it no longer needed to be tracked. These
treatment and destruction facilities included
incinerators and treatment operations that ground,
steam-sterilized, or treated the waste with
disinfectants, heat, or radiation. Disposal facilities
were facilities where medical waste was placed in or
on the land (e.g., landfills).
The demonstration program did not regulate the
operation of these treatment, destruction, and
disposal processes, but rather required tracking from
generation to disposal and recordkeeping. When the
wastes were accepted for disposal, these facilities
had to send a signed copy of the tracking form back
to the generator or initiator of the tracking form.
The facility owners and operators were required to
investigate any discrepancies between the
accompanying papers and the shipments they
received. If after investigation there was still a
discrepancy, they were required to report to EPA
and the generator's state agency. Once treated and
destroyed, however, such wastes were no longer
subject to the tracking requirements.
INTERSTATE SHIPMENTS
While only the States of Connecticut, New
Jersey, New York, Rhode Island, and the
Commonwealth of Puerto Rico participated in the
tracking program, the medical waste tracking
provisions also applied when shipments originating
in these covered states were transported to states that
did not participate in the program.
According to the provisions of the tracking
program, if medical waste was generated in a
covered state, any subsequent handling by a
transporter or treatment, destruction, and disposal
SHIPMENTS TO STATES NOT PARTICIPATING
IN THE DEMONSTRATION PROGRAM
While only the Commonwealth of Puerto Rico and the
States of Connecticut, New Jersey, New York, and
Rhode Island participated in the tracking program, the
medical waste tracking provisions also applied when
shipments originating in these covered states were
transported to states that did not participate in the
program.
V-11
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Section V: Miscellaneous Statutory Requirements
facility in that state, another covered state, or a
noncovered state was subject to the tracking
provisions. For example, if a medical waste was
generated in New Jersey (a covered state) and
transported by truck to Pennsylvania (a noncovered
state) for treatment and disposal, the waste would
still be subject to the medical waste tracking
provisions since the waste was originally generated
in a covered state.
REPORTS TO CONGRESS
The Medical Waste Tracking Act also required
EPA to submit two interim reports and a final report
on medical waste management and the
demonstration program to Congress. The
information gathered during the demonstration
program was used to determine whether such a
program should be extended nationwide and what
other options are available for medical waste
management.
The first and
second interim
reports were
released in
1990; the final
report is still
under
development.
CURRENT REQUIREMENTS
While medical waste is not regulated under the
current federal RCRA regulations, there are federal
requirements for medical waste under CAA and
FIFRA.
In 1997, under CAA, EPA established new
source performance standards (NSPS) and emissions
guidelines to reduce air emissions from new and
existing hospital, infectious, and medical waste
incinerators. These guidelines also established
standards for incinerator operator training and
qualification, equipment inspections, and siting.
EPA estimates that there are approximately 2,400
such incinerators in operation in the United States
that combust medical and infectious waste annually.
Under FIFRA, antimicrobial pesticides and
disinfectants used in medical waste treatment
technologies must be registered with EPA.
SUMMARY
Congress enacted the Medical Waste Tracking
Act in November 1988, which added medical waste
tracking provisions to RCRA Subtitle J. The Act
directed EPA to establish a two-year demonstration
program for the tracking of medical waste. The
States of Connecticut, New Jersey, New York,
Rhode Island, and the Commonwealth of Puerto
Rico all participated in the tracking program. This
demonstration program began June 22, 1989, and
ended June 22, 1991. Currently, the program is
expired and no federal tracking regulations are in
effect. States, however, have become active in
managing medical waste and many have developed
programs similar to the federal model.
Medical wastes included:
Cultures and stocks of infectious agents
Human pathological wastes (e.g., tissues, body
parts)
Human blood and blood products
Used sharps (e.g., hypodermic needles and
syringes used in animal or human patient care)
Certain animal wastes
Certain isolation wastes (e.g., wastes from
patients with highly communicable diseases)
Unused sharps (e.g., suture needles, scalpel
blades, hypodermic needles).
The medical waste demonstration program set
up provisions for tracking the waste from the
generator to the disposal site, similar to Subtitle C's
hazardous waste manifest system.
The demonstration program focused on three
groups of medical waste handlers:
Generators
Transporters
Treatment, destruction, and disposal facilities.
V-12
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Chapter 2: Medical Waste Regulations
The medical waste tracking provisions also pesticides and disinfectants used in medical waste
applied when shipments originating in states covered treatment technologies.
by the program were transported to states that did
not participate in the program. ADDITIONAL RESOURCES
The Medical Waste Tracking Act also required
EPA to submit two interim reports and a final report Additional information about medial waste
on medical waste management and the regulations can be found at www.epa.gov/epaoswer/
demonstration program to Congress. The first and other/medical/index.htm.
second interim reports were released in 1990, the
final report is still under development.
While medical waste is not regulated under the
current federal RCRA regulations, there are federal
requirements for medical waste under CAA for
medical waste incinerators and under FIFRA for
V-13
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SECTION VI
RCRA AND ITS RELATIONSHIP TO OTHER
ENVIRONMENTAL STATUTES
In this section...
Overview VI-1
Chapter 1: Legislative Framework for
Addressing Hazardous Waste
Problems VI-3
Chapter 2: Superfund: The Hazardous
Waste Cleanup Program VI-9
OVERVIEW
EPA's mission is to protect human health and
the environment. In order to further this mission,
Congress has enacted many environmental laws to
address releases, or threats of releases, of hazardous
constituents. An understanding of these laws is
necessary to determine where RCRA fits into the
national environmental protection program
established by Congress and implemented by EPA.
Each environmental statute has its own particular
focus, whether it is controlling the levels of
pollutants introduced into a single environmental
medium (i.e., air, soil, or water) or addressing a
specific area of concern, such as pesticides or waste
cleanup.
While the segmentation of environmental issues
simplifies the drafting of legislation, it complicates
the implementation of environmental protection
regulations. The media-, practice-, and chemical-
specific boundaries established in the nation's
environmental statutes are often artificial. Many
different types of practices may be responsible for
the release into the environment of the same
contaminant. Moreover, individual contaminants
are not confined to specific media (see Figure VI-1).
Volatile organic compounds, such as benzene or
toluene can be released into and contaminate the air,
soil, and water. Additionally, uncontrolled
pollutants may travel long distances by natural
means and change physically, affecting multiple
media. Therefore, a media- or contaminant-specific
approach cannot fully address the magnitude and
complexities of the waste management problem.
This section introduces each of these environmental
protection statutes and highlights their differences
from RCRA.
Many of these statutes interact closely and even
overlap with RCRA. In order to avoid
overregulation of industry and coordinate
environmental protection laws, Congress required
that EPA, when promulgating RCRA regulations,
ensure consistency with and avoid duplication of
regulatory provisions promulgated under other
environmental statutes.
One statute in particular, CERCLA or
Superfund, has a close-fitting relationship with
RCRA. Both programs are similar in that their
primary purpose is to protect human health and the
environment from the dangers of hazardous waste.
However, these statutes address the hazardous waste
problem from two fundamentally different
approaches:
VI-1
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Section VI: RCRA and Its Relationship to Other Environmental Statutes
Figure VI-1: Multi-Exposure Pathways
RCRA has a regulatory focus and authorizes
control over the management of wastes from the
moment of generation until final disposal.
CERCLA has a response focus. Whenever there
has been a breakdown in the waste management
system (e.g., a release or a potential threat of a
release of a hazardous substance, pollutant, or
contaminant), CERCLA authorizes cleanup
actions.
Considering the close relationship and
similarities between RCRA and CERCLA, this
section will closely examine the CERCLA
regulatory program and its interaction with RCRA.
This section consists of two chapters:
Legislative Framework for Addressing
Hazardous Waste Problems Outlines the
environmental statutes designed to protect
human health and the environment from
exposure to hazardous waste and contaminants
and highlights their major interactions with
RCRA
Superfund: The Hazardous Waste Cleanup
Program Focuses on one crucial aspect of
this legislative framework, the CERCLA
hazardous waste cleanup program and its
interactions with RCRA.
VI-2
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CHAPTER 1
LEGISLATIVE FRAMEWORK FOR ADDRESSING
HAZARDOUS WASTE PROBLEMS
In this chapter...
Overview VI-3
Environmental Statutes VI-3
- Clean Air Act VI-3
- Clean Water Act VI-4
- Emergency Planning and Community
Right-to-Know Act VI-5
- Federal Insecticide, Fungicide, and
Rodenticide Act VI-6
- Marine Protection, Research, and
Sanctuaries Act VI-6
- Occupational Safety and Health Act VI-6
- Safe Drinking Water Act VI-7
- Toxic Substances Control Act VI-7
Summary VI-8
Additional Resources VI-8
OVERVIEW
The legislation that serves as the basis for
managing hazardous wastes can be divided into two
categories:
Media-specific statutes that limit and monitor
the amount of wastes introduced into the air,
waterways, oceans, and drinking water
Other statutes that directly limit the production,
rather than the release, of chemical substances
and products that may contribute to the nation's
wastes.
This chapter summarizes each statute and
highlights its interaction with RCRA (see Figure
VI-2).
ENVIRONMENTAL STATUTES
In order to adequately protect human health and
the environment from exposure to hazardous waste
and contaminants, Congress enacted several
regulatory programs to protect the nation's air and
water resources, as well as ensure the safety of
public health.
Clean Air Act
The Clean Air Act limits the emission of
pollutants into the atmosphere in order to protect
human health and the environment from the effects
of airborne pollution. For six criteria pollutants
(sulfur dioxide, particulate matter, nitrogen dioxide,
carbon monoxide, ozone, and lead), EPA established
National Ambient Air Quality Standards
(NAAQS). Regulation of these criteria pollutants
affords the public some protection from toxic air
pollutants. Congress also mandated that CAA
control emissions from specific industrial sources.
Using this statutory authority, EPA designated
hazardous air pollutants and set National Emission
Standards for Hazardous Air Pollutants
(NESHAPs). Primary responsibility for
implementing both the NAAQS and NESHAP
requirements rests with states.
VI-3
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Section VI: RCRA and Its Relationship to Other Environmental Statutes
Figure VI-2: Major RCRA Interactions with Other Environmental Laws
CAA RCRA hazardous waste combustion facilities are subject to CAA permit requirements
Air emissions from RCRA incinerators and other TSDFs must comply with applicable CAA NAAQS and emission
limitations
Pollutants and sludges extracted from CAA air emissions control devices are subject to RCRA hazardous waste
regulations if hazardous
Hospital, infectious, and medical waste incinerators are subject to NSPS and emissions guidelines under CAA
CWA Sludges resulting from CWA wastewater treatment and pretreatment are subject to RCRA hazardous waste
regulations if hazardous
Discharges from RCRA-permitted facilities must comply with the limitations set forth in NPDES permits
RCRA-regulated USTs may also be subject to CWA SPCC requirements
EPCRA Some RCRA TSDFs must submit annual reports to EPA detailing releases of chemicals to air, land, and water
FIFRA FIFRA controls limit the level of toxic pesticides that are produced, and thereby reduce the amount of waste that
needs to be managed as hazardous under RCRA
FIFRA requires the registration of pesticides and disinfectants used in medical waste treatment technologies
MPRSA MPRSA prevents waste from a RCRA generator or TSDF from being deposited into the ocean, except in
accordance with a separate MPRSA permit
OSHA RCRA hazardous waste generators and TSDFs may need to comply with OSHA training and planning standards
RCRA cleanup activities and hazardous waste operations at generator facilities and TSDFs may need to comply
with HAZWOPER regulations
SDWA MCLs may be adopted by the RCRA program as cleanup standards for corrective action
RCRA contains provisions parallel to SDWA that prohibit the underground injection of hazardous wastes, unless
such wastes have been treated to meet their respective LDR treatment standards
TSCA TSCA controls on the disposal methods of certain chemicals, such as PCBs, reduce the amount of waste that
needs to be managed as hazardous under RCRA
TSCA controls on the manufacture and use of certain chemical substances also reduce the amount of waste that
needs to be managed as hazardous under RCRA
The major interactions between RCRA and
CAA include the following:
On September 1999, EPA finalized a rule that
establish coordinated CAA and RCRA
requirements for incinerators, cement kilns, and
LWAKs, commonly known as the MACT rule.
This rule ensures that these facilities will avoid
potentially will avoid two potentially different
regulatory compliance schemes by integrating
the monitoring, compliance testing,
recordkeeping, and permitting requirements of
CAA and RCRA (see Section III, Chapter 7 for
more information, including regulatory
developments).
EPA has also developed organic air emission
regulations for TSDFs and LQGs under RCRA
(40 CFR Parts 264/265, Subparts AA, BB, and
CC) (as discussed in Section III, Chapter 5).
However, these RCRA regulations have been
designed to minimize, to the extent possible, any
overlap with CAA regulations.
While medical waste is not subject to federal
RCRA regulation (as discussed in Section V,
Chapter 2), air emissions from new and existing
hospital, infectious, and medical waste
incinerators are subject to NSPS and emissions
guidelines under CAA.
Extraction of pollutants from air emissions
using CAA controls (e.g., scrubbers) can create
hazardous wastes or sludges containing such
wastes. Disposal of these materials must
comply with RCRA.
Clean Water Act
The Clean Water Act imposes pollutant
limitations for all discharges of wastewater from
identifiable ("point") sources into the nation's
VI-4
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Chapter 1: Legislative Framework for Addressing Hazardous Waste Problems
waterways. These discharges are defined as either
direct discharges, indirect discharges, or zero
discharges.
Direct discharges are discharges from "point
sources" into surface water pursuant to a NPDES
permit. NPDES permits are granted on a case-by-
case basis and limit the permissible concentration of
toxic constituents or conventional pollutants in
effluents discharged to a waterway. These limits are
generally established on the basis of the best
available treatment technology and, where
necessary, to protect surface water quality standards.
Under indirect discharges, the wastewater is
first sent to a POTW, and then after treatment by the
POTW, discharged pursuant to an NPDES permit.
Under these requirements, the generator of the
wastes cannot simply transfer the waste materials to
a POTW. Rather, the wastes must satisfy applicable
treatment and toxic control requirements known as
pretreatment standards, where they exist. POTWs
that receive hazardous wastes for treatment are also
subject to certain RCRA permit-by-rule
requirements (as discussed in Section III, Chapter
8), and remain subject to RCRA corrective action.
Zero discharges mean that the wastewater is
not being discharged to a navigable water, but rather
is being land disposed (e.g., through spray
irrigation) or are disposed by underground injection.
Zero discharge facilities are subject to federal or
state regulatory limitations that are as strict as those
that apply to direct and indirect dischargers.
CWA also includes provisions intended to
prevent oil spills into the navigable waters of the
United States. These Spill Prevention, Control,
and Countermeasures (SPCC) regulations establish
spill prevention procedures and equipment
requirements for nontransportation-related facilities
with certain aboveground or underground oil storage
capacities that could reasonably be expected to
discharge oil into or upon the navigable waters of
the United States or adjoining shorelines. The
SPCC regulations provide a basic framework for
operational procedures, containment requirements,
and spill response procedures.
The major interactions between RCRA and
CWA include the following:
Sludge resulting from wastewater treatment and
pretreatment under CWA must be handled as a
RCRA waste under Subtitle C, if hazardous.
Discharges to surface waters from a RCRA-
permitted facility must comply with the
limitations set forth in a NPDES permit. This
means that either the facility itself has obtained
an NPDES permit, or the wastes meet CWA
pretreatment standards and have been
transported to a POTW.
Dredged materials subject to the requirement of
a CWA §404 permit are not considered
hazardous wastes under RCRA.
USTs that are subject to the technical
requirements of RCRA's UST program may
also be subject to CWA SPCC requirements.
Emergency Planning and Community
Right-to-Know Act
Congress amended CERCLA in 1986 with the
enactment of the Superfund Amendments and
Reauthorization Act. These amendments
improved the Superfund program and added an
important section that focused on strengthening the
rights of citizens and communities in the face of
potential hazardous substance emergencies. This
section, SARA Title III, or the Emergency
Planning and Community Right-to-Know Act
(EPCRA), was enacted in response to the more than
2,000 deaths caused by the release of a toxic
chemical in Bhopal, India.
EPCRA is intended to help communities prepare
to respond in the event of a chemical emergency,
and to increase the public's knowledge of the
presence and threat of hazardous chemicals. To this
end, EPCRA requires the establishment of state and
local committees to prepare communities for
potential chemical emergencies. The focus of the
preparation is a community emergency response
plan that must: 1) identify the sources of potential
emergencies; 2) develop procedures for responding
VI-5
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Section VI: RCRA and Its Relationship to Other Environmental Statutes
to emergencies; and 3) designate who will
coordinate the emergency response.
EPCRA also requires facilities to notify the
appropriate state and local authorities if releases of
certain chemicals occur. Facilities must also
compile specific information about hazardous
chemicals they have on site and the threats posed by
those substances. Some of this information must be
provided to state and local authorities. More
specific data must be made available upon request
from those authorities or from the general public.
The primary interaction between RCRA and
EPCRA is that some RCRA TSDFs treating
hazardous waste are required to submit annual
reports to EPA of their releases of chemicals to air,
land, and water.
Federal Insecticide, Fungicide, and
Rodenticide Act
The Federal Insecticide, Fungicide, and
Rodenticide Act (FIFRA) provides procedures for
the registration of pesticide products to control their
introduction into
the marketplace.
As such, its
regulatory focus
is different from
most of the
statutes discussed
in this chapter.
While the other
statutes attempt to minimize and manage waste by-
products at the end of the industrial process, FIFRA
controls whether (and how) certain products are
manufactured or sold in the first place.
FIFRA imposes a system of pesticide product
registrations. Such requirements include pre-market
review of potential health and environmental effects
before a pesticide can be introduced in the United
States, reregistration of products introduced prior to
the enactment of FIFRA to assess their safety in light
of current standards, and classification of pesticides
for restricted or general use. Restricted products can
be used only by those whose competence has been
certified by a state program.
The major interactions between RCRA and
FIFRA include the following:
FIFRA controls limit the level of toxic pesticides
that are produced, and thereby reduce the
amount of waste that needs to be managed under
RCRA.
FIFRA requires the registration of pesticides and
disinfectants used in medical waste treatment
technologies (as discussed in Section V,
Chapter 2).
Marine Protection, Research, and
Sanctuaries Act
The Marine Protection, Research, and
Sanctuaries Act (MPRSA) requires a permit for any
material that is transported from a U.S. port or by a
U.S. vessel for deposition at sea.
There are two major areas of overlap between
MPRSA and RCRA. MPRSA prevents waste from a
RCRA generator or TSDF from being deposited into
the ocean, except in accordance with a separate
MPRSA permit. In addition, dredged materials
subject to the requirement of a MPRSA §103 permit
are not considered hazardous wastes under RCRA.
Occupational Safety and Health Act
The mission of the Occupational Safety and
Health Act (OSHA) is to save lives, prevent
injuries, and protect the health of employees in the
workplace. OSHA accomplishes these goals
through several regulatory requirements including
the Hazard Communication Standard (HCS), and
the Hazardous Waste Operations and Emergency
Response Worker Protection Standard
(HAZWOPER).
The HCS was promulgated to provide workers
with access to information about the hazards and
identities of the chemicals they are exposed to while
working, as well as the measures they can take to
protect themselves. OSHA's Hazard
Communication Standard requires employers to
establish hazard communication programs to
VI-6
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Chapter 1: Legislative Framework for Addressing Hazardous Waste Problems
transmit information on the hazards of chemicals to
their employees by means of labels on containers,
material safety data sheets, and training programs.
The HAZWOPER was developed to protect the
health and safety of workers engaged in operations
at hazardous
waste sites,
hazardous waste
treatment
facilities, and
emergency
response
locations.
HAZWOPER
covers issues such as training, medical surveillance,
and maximum exposure limits.
The major interactions between RCRA and
OSHA include the following:
Hazardous waste generators and TSDFs may
need to comply with OSHA training and
planning standards, in addition to RCRA
requirements.
HAZWOPER regulations may be applicable to
RCRA corrective action cleanup activities, and
to hazardous waste operations at generator
facilities and TSDFs.
Safe Drinking Water Act
The Safe Drinking Water Act (SDWA) protects
the nation's drinking water supply by establishing
national drinking water standards (MCLs or specific
treatment techniques), and by regulating UIC wells.
The UIC program bans some types of underground
disposal of RCRA hazardous wastes. With some
exceptions, other materials cannot be injected
underground without a UIC permit.
The major interactions between RCRA and
SDWA include the following:
MCLs may be adopted by the RCRA program as
cleanup standards for corrective action. Selected
MCLs are also used under the RCRA ground
water monitoring program for land disposal
units.
RCRA also contains provisions parallel to
SDWA that prohibit the underground injection of
hazardous wastes, unless such wastes have been
treated to meet their respective LDR treatment
standards (as discussed in Section III, Chapter
6). RCRA also contains a ban on any injection
of hazardous waste into "shallow" wells.
Toxic Substances Control Act
The primary focus of the Toxic Substances
Control Act (TSCA) is similar to that of FIFRA in
that the statute provides authorities to control the
manufacture and sale of certain chemical substances.
These requirements include testing of chemicals that
are currently in commercial production or use, pre-
market screening and regulatory tracking of new
chemical products, and controlling unreasonable
risks once a chemical substance is determined to
have an adverse effect on health or the environment.
TSCA controls on such unreasonable risks includes
prohibiting the manufacture or certain uses of the
chemical, requiring labeling, limiting volume of
production or concentration, requiring replacement
or repurchase of products, and controlling disposal
methods.
The major interactions between RCRA and
TSCA include the following:
TSCA has a direct effect on RCRA through
controls on the disposal methods of certain
chemicals, such as PCBs. For example, while
TSCA regulates PCB disposal, RCRA also
regulates PCB disposal when the PCBs are
mixed with hazardous waste.
TSCA also regulates used oil that contains
quantifiable levels of PCBs.
TSCA's indirect effect on RCRA is the same as
FIFRA's. TSCA controls the manufacture and
use of certain chemical substances, which limits
the amount of waste that needs to be managed
under RCRA.
EPA has proposed TSCA standards for the
disposal of lead-based paint (LBP) debris to
replace RCRA regulations. The new standards
would establish disposal standards for LBP
VI-7
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Section VI: RCRA and Its Relationship to Other Environmental Statutes
debris and identify recycling and incineration ADDITIONAL RESOU RCES
activities that would be controlled or prohibited.
To avoid duplicative regulation, the waste that is Full-text versions of the major environmental
subject to these new standards would not be laws administered by EPA can be found at
subject to RCRA hazardous waste www.epa.gov/epahome/laws.htm.
determination.
SUMMARY
Several major environmental statutes work
together to address hazardous waste problems.
These include media-specific statutes that limit the
amount of waste released into a particular
environmental medium, and other statutes that
directly control the production of certain products,
and protect workers managing hazardous wastes.
These statutes are:
Clean Air Act
Clean Water Act
Emergency Planning and Community Right-to-
Know Act
Federal Insecticide, Fungicide, and Rodenticide
Act
Marine Protection, Research, and Sanctuaries
Act
Occupational Safety and Health Act
Safe Drinking Water Act
Toxic Substances Control Act.
VI-8
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CHAPTER 2
SUPERFUND: THE HAZARDOUS WASTE
CLEANUP PROGRAM
In this chapter...
Overview VI-9
Definitions VI-10
History and Purpose of CERCLA VI-10
Trigger for Statutory Response VI-11
Types of Response Actions VI-11
RCRA and Remedy Selection Under
CERCLA VI-12
RCRA Corrective Action vs. CERCLA
Response VI-13
Imminent Hazards Under RCRA and
CERCLA VI-13
Summary VI-14
Additional Resources VI-14
OVERVIEW
This chapter focuses on the Comprehensive
Environmental Response, Compensation, and
Liability Act, which is a central part of the
legislative framework for environmental protection.
CERCLA is also known as Superfund.
CERCLA is designed to remedy the mistakes in
hazardous waste management made in the past,
while the RCRA waste management standards are
concerned with avoiding such mistakes through
proper management in the present and future.
RCRA mainly regulates how wastes should be
managed to avoid potential threats to human health
and the environment. CERCLA, on the other hand,
is relevant primarily when mismanagement occurs
or has occurred (i.e., when there has been a release
or a substantial threat of a release in the
environment of a hazardous substance, or of a
pollutant or contaminant, that presents an imminent
and substantial threat to human health). More
specifically, RCRA authorizes a general regulatory
program to manage all hazardous wastes from cradle
to grave (i.e., from generation to ultimate disposal),
while CERCLA authorizes a number of government
actions to remedy the conditions that could result in
a release or the effects of a release itself. While the
two programs use parallel, but not identical,
procedures, both RCRA and CERCLA authorize
EPA to act in the event of an imminent hazard.
This chapter discusses why CERCLA was
enacted, summarizes some of the Statute's
authorities, and examines the major areas where the
CERCLA and RCRA programs interact.
RCRA VS. CERCLA
RCRA mainly regulates how wastes should be managed
to avoid potential threats to human health and the
environment. CERCLA, on the other hand, comes into
play primarily when mismanagement occurs or has
occurred (i.e., when there has been a release or a
substantial threat of a release in the environment of a
hazardous substance or of a pollutant or contaminant
that presents an imminent and substantial threat to
human health).
VI-9
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Section VI: RCRA and Its Relationship to Other Environmental Statutes
DEFINITIONS
RCRA and CERCLA both address hazards to the
environment. However, CERCLA is the more
comprehensive statute. CERCLA hazardous
substances encompass RCRA hazardous wastes, as
well as other toxic pollutants regulated by CAA,
CWA, and TSCA. Thus, all RCRA hazardous
wastes may trigger CERCLA response actions when
released into the environment. RCRA nonhazardous
solid wastes, on the other hand, do not trigger
CERCLA response actions unless they present an
imminent and substantial danger as pollutants or
contaminants (see Figure VI-3).
Figure VI-3: Relationship Between
CERCLA Hazardous Substances
and RCRA Hazardous Wastes
CERCLA hazardous substances encompass RCRA
hazardous wastes as well as other toxic pollutants regulated
by CAA, CWA, and TSCA. RCRA nonhazardous solid
wastes do not trigger CERCLA response actions unless
they present an imminent and substantial danger to human
health and the environment as pollutants or contaminants.
In addition to hazardous substances, CERCLA
addresses pollutants and contaminants, which are
broadly defined to include any substance that is
reasonably anticipated to cause illness or
deformation in any organism. All three definitions
specifically exclude petroleum and natural gas.
HISTORY AND PURPOSE OF
CERCLA
CERCLA was established in response to the
discovery, in the late 1970s, of a large number of
abandoned, leaking, hazardous waste dumps that
were threatening human health and contaminating
the environment. One of the best known dumps was
Love Canal in Niagara Falls, New York, where a
chemical company had buried large amounts of
hazardous waste in a canal originally designed to
transport water. After the canal was capped with
clay and soil, an elementary school was built over
the site, and the city of Niagara Falls grew rapidly
around it.
In the 1970s, an unusual number of community
residents (especially those who attended the
elementary school) developed serious health
problems. Moreover, the residents complained of
noxious fumes and of chemicals oozing out of the
ground. Subsequent government investigations
found extensive contamination of the area, including
ground water supplies. In 1978, President Carter
declared Love Canal a federal disaster area, and
most of the residents in the area around the site were
relocated.
At the time, declaring the site a federal disaster
area was the only viable option available to the
federal government. RCRA did not provide relief
because the problem did not involve the current or
future management of wastes. Legal actions against
the responsible parties did not offer a solution
because such action was too time consuming and
costly. Unfortunately, subsequent investigations
indicated that the scope of the waste dump problem
went far beyond Love Canal, making the federal
disaster relief option impractical. In late 1980,
Congress passed CERCLA to address other
uncontrollable hazardous waste sites similar to Love
Canal throughout the country.
CERCLA, as originally enacted in 1980,
authorized a five-year program by the federal
government to perform the following primary tasks:
Identify those sites where releases of hazardous
substances had already occurred or might occur
and posed a serious threat to human health,
welfare, or the environment
Take appropriate action to remedy those releases
Force those parties responsible for the release to
pay for the cleanup actions.
VI-10
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Chapter 2: Superfund: The Hazardous Waste Cleanup Program
SUPERFUND REAUTHORIZATION
AND TAXING AUTHORITY
SARA not only extended CERCLA for another five
years, but increased the Fund from $1.6 billion to $8.5
billion. The taxing authority of SARA was to expire on
December 31, 1991; however, the Omnibus
Reconciliation Act of 1990 extended the taxes without
modification for four years, through December 31,
1995. Separately, the Superfund program was
reauthorized, without changes to the text of the
Statute, until September 30, 1994, a three-year
extension from the expiration date of the SARA
authorization in 1991. Congress failed to reauthorize
the Superfund program before September 30, 1994
(the end of the fiscal year), however, the program is
still operating because funding continues to be
appropriated to the Superfund program. In the future,
the Superfund program may be reauthorized and the
taxing authority may be extended.
To accomplish these tasks, CERCLA gave new
cleanup authority to the federal government, created
a $1.6 billion trust fund to pay for government
cleanup, and imposed cleanup liability on those
responsible. This "Super Fund" consisted primarily
of tax assessments on oil and designated chemicals.
During the five-year period of the original
CERCLA program, two facts became increasingly
clear: the problem of abandoned hazardous waste
sites was more extensive than originally thought,
and its solution would be more complex and time
consuming. Unlike RCRA response actions where
the owner and operator of a site are known,
CERCLA may deal with environmental threats due
to activities conducted long ago, thus the responsible
party may be unknown, no longer in existence (e.g.,
a defunct company), or unable to pay. To address
these additional concerns, SARA not only extended
CERCLA for another five years, but increased the
fund from a total of $1.6 billion to $8.5 billion.
SARA also established new standards and schedules
for site cleanup and also created new programs for
informing the public of risks from hazardous
substances in their community and preparing
communities for hazardous substance emergencies.
TRIGGER FOR STATUTORY
RESPONSE
CERCLA response authorities are triggered by a
release or a substantial threat of release of dangerous
substances into the environment (e.g., a chemical
spill from a tank truck accident or a leak from a
damaged drum). The release must involve either:
A hazardous substance, as defined in the Statute
OR
A pollutant or contaminant that may present an
imminent or substantial danger to public health
or welfare.
TYPES OF RESPONSE ACTIONS
Once a potential release has been discovered,
the information is entered into the Comprehensive
Environmental Response, Compensation, and
Liability Information System (CERCLIS), a
computerized database used to track hazardous
substance sites. After being entered into CERCLIS,
each site undergoes a preliminary assessment (PA)
to determine if the site poses a potential hazard and
whether further action is necessary. If the threat is
immediate, a removal action may be conducted.
Removal actions are short-term cleanup actions
that usually address problems only at the surface of
a site. They are conducted in response to an
emergency situation (e.g., to avert an explosion, to
cleanup a hazardous waste spill, or to stabilize a site
until a permanent remedy can be found). Removal
actions are limited to 12 months duration or $2
million in expenditures, although in certain cases
these limits may be extended. Removals may occur
at any point in time after the PA has been conducted.
Remedial actions are longer-term response
actions that ultimately represent the final remedy for
a site and generally are more expensive and of a
longer duration than removals. This is because the
remedial actions are intended to provide permanent
VI-11
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Section VI: RCRA and Its Relationship to Other Environmental Statutes
solutions to hazardous substance threats. It is
possible that both removal and remedial actions may
be taken at the same site. In the event that longer-
term cleanup is necessary, the site is referred to the
remedial program for further investigation and
assessment.
If the PA reveals a contamination problem exists,
but does not pose an immediate threat that warrants
a removal, EPA will continue to study the site during
a site inspection (SI). Based on data collected
during the PA and the SI, EPA will evaluate the site
using the Hazard Ranking System (HRS), a model
and scoring system that determines the relative risk
to public health and the environment posed by
hazardous substances in ground water, surface water,
air, and soil. Only those sites with a score of 28.5
(on a scale from 0 to 100) are eligible for placement
on the National Priorities List, EPA's priority
hazardous substance sites for cleanup. EPA only
funds remedial actions at hazardous waste sites on
the NPL. As of May 2002, there are over 1,200 sites
either on the NPL or proposed for inclusion. The
majority of sites are placed on the NPL based on
their HRS score. Under some circumstances, sites
may also be placed on the NPL by the state in which
the site is located or by the Agency for Toxic
Substances and Disease Registry (ATSDR).
Once a site is placed on the NPL, the remedial
process begins. The remedial process requires EPA
to design a community involvement plan that will
inform citizens of all remedial activities and provide
opportunities for public comment. A remedial
response has two main phases. The first phase, the
remedial investigation/feasibility study (RI/FS),
involves evaluating site conditions at the site,
defining any problems, and comparing alternative
site cleanup methods. After the remedy has been
selected, the decision is documented in the record
of decision (ROD). The second phase, the remedial
design/remedial action (RD/RA), involves
designing the chosen cleanup and beginning
construction.
Following the implementation of the remedy,
the state or the potentially responsible party (PRP)
assumes responsibility for the operation and
maintenance (O&M) of the site, which may include
such activities as ground water pump and treat, and
cap maintenance. Once EPA has determined that all
appropriate response actions have been taken and
cleanup goals have been achieved, the site is deleted
from the NPL through a formal rulemaking process.
RCRA AND REMEDY SELECTION
UNDER CERCLA
CERCLA assures that remedies are based on the
cleanup standards and criteria that have been
established by other laws, such as CAA, CWA, and
RCRA. CERCLA specifically requires that on-site
remedies attain any legally applicable or relevant
and appropriate requirements (ARARs),
standards, criteria, or limitations under federal or
more stringent state environmental laws, including
RCRA, unless site-specific waivers are obtained.
This means, for example, that whenever a remedial
action involves on-site treatment, storage, or
disposal of hazardous waste, the action must meet
RCRA's technical standards for such treatment,
storage, or disposal (as discussed in Section III,
Chapter 5). The National Oil and Hazardous
Substances Pollution Contingency Plan (NCP),
which is the regulatory blueprint for the CERCLA
program, addresses the application of ARARs to
CERCLA remedial actions (40 CFR Part 300).
Once hazardous wastes are transported from a
CERCLA site, they are subject to full RCRA
regulation. Therefore, all transportation and TSD
requirements under RCRA must be followed. This
means that off-site shipments must be accompanied
by a manifest. In particular, the off-site disposal of
hazardous wastes can occur only at a RCRA facility
in a unit in full compliance with the Subtitle C
requirements. Agency policy requires that the
WHAT ARE ARARS?
CERCLA on-site remedies must attain any ARARs
standards, criteria, or limitations under federal or more
stringent state environmental laws, including RCRA,
unless site-specific waivers are obtained. This means,
for example, that whenever a remedial action involves
on-site treatment, storage, or disposal of hazardous
waste, the action must meet RCRA's technical
standards for such treatment, storage, or disposal.
The NCP details the application of ARARs to
Superfund remedial actions.
VI-12
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Chapter 2: Superfund: The Hazardous Waste Cleanup Program
disposal facility be inspected by EPA six months
prior to receiving the waste.
For off-site land disposal of wastes resulting
from a CERCLA activity, the program contains two
additional requirements. First, the unit in which the
wastes are to be disposed must not be releasing
hazardous wastes or constituents into ground water,
surface water, or soil. Second, any releases from
other units of the facility must be under an approved
RCRA corrective action program. This policy
assures that wastes shipped off site from CERCLA
sites are sent to environmentally sound waste
management facilities.
Finally, EPA may not take or fund remedial
actions in a state unless the state ensures the
availability of hazardous waste treatment and
disposal capacity by submitting a capacity
assurance plan (CAP) to EPA. This capacity must
be for facilities that are in compliance with RCRA
Subtitle C requirements, and must be adequate to
manage hazardous wastes projected to be generated
within the state over 20 years. This requirement
limits and manages the amount of hazardous waste
generated in the United States by encouraging waste
minimization and recycling, interstate agreements,
and efficient and realistic hazardous waste
management systems. Currently, every state in the
nation had submitted a CAP to EPA.
RCRA CORRECTIVE ACTION VS.
CERCLA RESPONSE
The cleanup of a site with hazardous waste
contamination may be handled under either
CERCLA, as described above, or RCRA. RCRA
authorizes EPA to require corrective action (under
an enforcement order or as part of a permit)
whenever there is, or has been, a release of
hazardous waste or constituents at TSDFs. The
RCRA statute also provides similar corrective action
authority in response to releases at interim status
facilities. Further, RCRA allows EPA to require
corrective action beyond the facility boundary. EPA
interprets the term corrective action (as discussed in
Section III, Chapter 9) to cover the full range of
possible actions, from studies and interim measures
to full cleanups. Anyone who violates a corrective
action order can be fined up to $27,500 per day of
noncompliance and runs the risk of having their
permit or interim status suspended or revoked.
RCRA and CERCLA cleanup programs follow
roughly the same approach to cleanups. In both,
examinations of available data are made after
discovery of a release to determine if an emergency
action is warranted. Both programs authorize short-
term measures to abate immediate adverse effects of
a release. Once an emergency has been addressed,
both programs provide for appropriate investigation
and more investigation as needed to establish long-
term cleanup options. One major difference
between the two programs involves funding.
CERCLA requires that site conditions be analyzed
according to HRS and that only NPL sites receive
any remedial action funding. There is no
comparable requirement under the RCRA corrective
action program because the owner or operator of the
site is responsible for the cost of the cleanup.
The facility owner or operator implements
RCRA corrective action. On the other hand, a
number of different parties can implement a
CERCLA remedial action in a number of different
ways. For example, agreements may be reached that
allow PRPs, the State, or the Federal government, to
assume that the lead for certain portions of a
response action.
Generally, cleanups under RCRA corrective
action or CERCLA will substantively satisfy the
requirements of both programs. It is EPA's general
policy for facilities subject to both CERCLA and
RCRA to be deferred to RCRA authority. In some
cases, however, it may be more appropriate to use
both RCRA and CERCLA authorities. EPA has
many procedures in place to facilitate coordination
between RCRA and CERCLA programs.
IMMINENT HAZARDS UNDER
RCRA AND CERCLA
Both RCRA and CERCLA contain provisions
that allow EPA to require persons contributing to an
imminent hazard to take the necessary actions to
cleanup releases. RCRA's §7003 imminent and
substantial endangerment provision addresses
VI-13
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Section VI: RCRA and Its Relationship to Other Environmental Statutes
nonhazardous as well as hazardous solid waste
releases. The authority under CERCLA §106 is
essentially the same, except that CERCLA's
authority to abate an imminent or substantial danger
to public health or the environment is limited to
hazardous substance releases. In an enforcement
action, the RCRA and CERCLA imminent hazard
provisions may be used in tandem to ensure
adequate protection of human health and the
environment.
SUMMARY
CERCLA authorizes cleanup responses
whenever there is a release, or a substantial threat of
a release, of a hazardous substance, a pollutant, or a
contaminant, that presents an imminent and
substantial danger to public health. After a potential
release has been discovered, the site is entered into
CERCLIS, and undergoes a PA. If the hazard is
immediate, EPA may require a removal action. If a
contamination problem still exists, but is not an
immediate threat, EPA will conduct an SI, evaluate
the site using the HRS, and possibly place the site on
the NPL for remedial action. Such longer-term
remedial actions involve additional remediation
steps and larger expenditure of time and resources
because they provide permanent solutions to
hazardous substance problems. These additional
steps include an RI/FS. After a remedy has been
selected, the decision is documented in the ROD, the
RD/RA is implemented, and the state or PRP is
responsible for O & M of the site. When all
appropriate remedial actions have been taken and
the cleanup goals have been achieved, the site is
deleted from the NPL.
The RCRA program differs from the CERCLA
waste management approach. The general
distinction between the two programs is that RCRA
authorizes the safe and protective management of
wastes, while CERCLA authorizes cleanup
responses whenever there is a release of wastes.
However, the two programs do overlap. For
example, RCRA standards may be considered
ARARs and can be important in selecting remedies
under CERCLA. Moreover, RCRA's corrective
action and CERCLA's remedial action use parallel,
but not identical, procedures. Finally, both Statutes
authorize EPA to act in the event of an imminent
hazard.
ADDITIONAL RESOURCES
Additional information about the topics covered
in this chapter can be found at www.epa.gov/
superfund. Further information about EPA cleanup
programs can be found at www.epa.gov/epaoswer/
osw/cleanup.htm.
VI-14
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SECTION VII
PUBLIC PARTICIPATION
In this section...
OVERVIEW
EPA is committed to involving the public in the
Overview VII-1 development and implementation of the solid waste,
Permitting VII-2 hazardous waste, andUST environmental decision-
- Pre-Application Meeting VII-3 making. One of the Agency's central goals is to
- The Draft Permit, Public Comment Period, provide equal access to information and an equal
and Public Hearing VII-3 opportunity to participate. EPA regards public
- Permit Modifications VII-4 participation as an important activity that empowers
- Permit Renewals VII-5 communities to become involved in local RCRA-
- Trial Burn Notices VII-5 related activities.
- Interim Status Facilities VII-5
- Post-Closure Permits VII-5 Through RCRA, Congress gave EPA broad
- Post-Closure Alternatives to Permits VII-5 authority to provide for public participation in the
- Information Repositories VII-5 regulatory program. RCRA §7004(b) directs EPA to
Corrective Action VII-5 provide for, encourage, and assist public
- Corrective Action Permits VII-6 participation in the development, revision,
- Corrective Action Orders VII-6 implementation, and enforcement of any regulation,
- Remedial Action Plans VII-7 guideline, information, or program under the Act.
- Voluntary Corrective Action VII-7
State Authorization VII-7 The RCRA Public participation requirements
The Rulemaking Process VII-7 brin§ government, private industry, public interest
- Proposed Rulemakings VII-7 groups, and citizens together to make important
Public Comment VII-7 decisions about hazardous waste, solid waste, and
- Final Rulemakings VII-7 UST facilities. Specifically, these groups and
- Rulemaking Information VII-8 individuals have a stake in RCRA's hazardous waste
Environmental Justice VII-8 management program, such as TSDF permitting,
Outreach and Public Assistance VII-8 corrective action, and state authorization. On a
- Grants VII-9 broader level, the public also has tremendous
- Freedom of Information Act VII-9 interest in EPA's rulemaking process and
- EPA's Office of Ombudsman VII-9 environmental justice.
- EPA Docket Center VII-9 , ,. . . , ^ A
r^r,. ^ j- , o ,-r^r,. ~ ,,~ , ,,,, Public involvement in the RCRA program
- RCRA, Superfund & EPCRA Call Center VII-10 . , , . . ° , ., ,
,,,, presents unique needs and opportunities. While the
Summary VII-10 r T rr
...... . ~ .. _ Agency is firmly committed to promoting broad and
Additional Resources VII-10 te J J f t>
equitable public participation, EPA also seeks to
VII-1
-------
Section VII: Public Participation
ensure the flexibility for individual permit writers,
facilities, and communities to adopt the most
appropriate, site-specific approach consistent with
the principles of fairness and openness. As a result,
in many instances, EPA references guidance, instead
of codified regulatory language, to encourage all
stakeholders, such as facilities, permitting agencies,
and the public, to strive toward public involvement
goals, while at the same time maintaining the
flexibility consistent with a national regulatory
approach.
EPA views public outreach as an essential
element of public participation. Public outreach
educates people about hazardous waste issues and
the RCRA decision-making process. Public
outreach also creates informal opportunities for
public input and dialogue. To expand public
participation, the Agency actively engages in
extensive public outreach activities.
PERMITTING
A focus of RCRA public participation is the
involvement of the public in the hazardous waste
TSDF permitting process. (Permitting is fully
discussed in Section III, Chapter 8.) TSDF owners
and operators handle large quantities of waste that
present potential risk to human health and the
environment. Public participation informs the
public of the types of wastes and management
methods that the TSDF owner and operator intends
to employ and allows the public an opportunity to
discuss the facility's anticipated waste management
activities with the owner and operator.
Communities may provide information that facility
owners and operators may not otherwise have access
to, and which may impact some of the facility plans
(e.g., information on day care locations that might
impact transportation routes to and from the
facility). Public participation also benefits the
TSDF owner and operator because it fosters
community relations and can help to avoid delays
and future litigation by addressing public concerns
up front.
From the permitting agency's point of view, the
public can contribute valuable information and ideas
that can improve the quality of agency decisions and
THE IMPORTANCE OF PUBLIC PARTICIPATION
Public participation informs the public of the types of
wastes and management methods that a TSDF owner
and operator intends to employ and allows the public
an opportunity to voice its concerns about these risks.
Public participation also benefits the TSDF owner and
operator because it fosters community relations and
can help to avoid delays and future litigation by
addressing public concerns up front.
permit applications. With public input, permitting
decisions are influenced by local circumstances that
technical staff alone cannot provide.
The permitting process serves as an appropriate
mechanism for public participation requirements
because the permit serves as the set of requirements
against which compliance will be measured. Public
interaction in the process serves both to educate the
public and to allow the public to express concerns to
the facility and the permitting agency. Each step in
the RCRA permit decision process is accompanied
by public participation requirements (see Figure
VII-1). EPA promulgated regulations in 40 CFR
Parts 25, 124, and 270 to create opportunities for the
public to learn about RCRA activities and provide
input during the permitting process. These
requirements may not be sufficient in all cases.
Permitting agencies and facilities should consider
going beyond the regulatory requirements, as
necessary, to provide for meaningful and equitable
public participation.
Public interaction occurs during pre-application
meetings, 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. This dialogue is crucial
because a successful public participation program
requires the flow of information among all
stakeholders.
EPA encourages public participation activities
that occur outside the formal permitting process.
Citizens can contact environmental, public interest,
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.
VII-2
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Section VII: Public Participation
Figure VII-7: Public Involvement
in the RCRA Permitting Process
Facility notifies public of
informal meeting at least 30
days prior to meeting
Informal public meeting
Permit applicant submits
permit application, including
a summary of the public
meeting that includes
details of the meeting and
list of attendees
Upon receipt of
application, permitting
agency sends notice to
everyone on facility
mailing list indicating
where public can view
application
Permitting agency
notifies public of
decision to issue a draft
permit or a notice of
intent to deny, and
opens minimum 45-day
comment period
During comment period,
public or permitting
agency may request a
hearing; Permitting
agency must notify
public at least 30 days
prior to such a hearing
After comment period
closes, permitting agency I
reviews and evaluates all '
comments, and issues a
final permit decision
Permitting agency
notifies the facility owner
and operator, public
commenters, and all
other persons who
requested notice on the
final permit decision
Pre-Application Meeting
The public participation provisions require
prospective applicants to hold an informal public
meeting before submitting an application for a
RCRA permit. The permit applicant should select a
meeting time, date, and place 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. The meeting will
provide a chance for the community to interact with
and provide input to an owner and operator before
the submission of the permit application. At the
meeting, the owner and operator should describe the
facility in the 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 a summary of the
meeting and a list of all attendees. Upon receipt of
the permit application, the permitting agency must
send a notice to everyone on the facility mailing list
specifying where the public can examine the
application. Thus, the public may begin reviewing
the application at the same time as the permitting
agency.
The Draft Permit, Public Comment
Period, and Public Hearing
Once the permit application is complete, the
permitting agency will decide whether to issue a
draft permit or a notice of intent to deny. In either
case, the permitting agency notifies the public of its
decision and announces the opening of a minimum
45-day public comment period. The permitting
agency prints the notice in a local paper, broadcasts
the notice over a local radio station, and sends a
copy to the mailing list recipients and relevant
agencies. The permitting agency also prepares a fact
sheet or statement of basis regarding its decision.
The fact sheet (or statement of basis) explains the
factual, legal, methodological, and policy questions
considered in making the decision to issue or deny
the permit.
VI1-3
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Section VII: Public Participation
Any person may request a public hearing during
the comment period. The permitting agency holds a
hearing if someone submits a written notice of
opposition to the draft permit and a request for a
hearing, or if the permitting agency finds a
significant degree of interest in the draft permit.
The permitting agency may also hold a public
hearing at its own discretion. The permitting 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 the permitting agency in writing. The
permitting agency describes and responds to all
significant comments raised during the comment
period.
After the public comment period closes, the
permitting agency will review and evaluate all
comments and issue a final permit decision. The
agency sends a notice of decision to the facility and
any person who submitted comments or requested
notice on the final permit decision.
Permit Modifications
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.
Permitting agencies may initiate a permit
modification if there are substantial alterations or
additions to the facility, if new information is
received by the permitting agency that was not
available at the time of permit issuance, or if new
regulations or judicial decisions affect the conditions
of the permit. Agency-requested permit
modifications are subject to the same public
participation requirements that are required during
the permitting process.
Permit modifications initiated by the facility
owner and operator are categorized as Class 1, 2, or
PUBLIC PARTICIPATION DURING
PERMIT MODIFICATIONS
Public participation requirements during permit
modifications vary depending on the extent of the
modification. Class 1 permit modifications require that
within 90 days of implementing a change, the facility
must send a notice to all parties on the mailing list
compiled by the permitting agency. Class 2 permit
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. While
Class 3 modifications are subject to the same
requirements as Class 2 modifcations, such
modifications require the permitting agency to provide
the public with additional opportunities to participate in
the process.
3 according to how substantively they change the
original permit. 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 mailing list
compiled by the permitting agency.
The Class 2 modifications are more stringent
than Class 1 modifications, and 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, the permitting agency may reclassify the
request as a Class 3 modification if there is
significant public concern or if the agency
determines the modification is too complex for the
Class 2 procedures.
Class 3 modifications address changes that
substantially alter a facility or its operations, and
often raise significant public concern. While these
modifications are subject to the same public
participation provisions as Class 2 modifications,
Class 3 modifications require the permitting agency
to provide the public with additional opportunities to
participate in the process. For example, the
permitting agency must issue a public notice of the
agency's draft permit decision, allow for a 45-day
public comment period on the decision, develop a
fact sheet or statement of basis, and hold a public
meeting (if requested) with 30-day advance notice.
VII-4
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Section VII: Public Participation
Permit Renewals
A facility owner and operator who makes a
significant change during the renewal of their permit
is also subject to the pre-application meeting and
notice requirements. A significant change in facility
operations is a change that is equivalent to a Class 3
modification. This requirement ensures that if
during permit renewal a facility makes significant
changes to an already publicly reviewed and
approved permit, the public will have an opportunity
to participate in the permit review and approval
process.
Trial Burn Notices
Owners and operators of new hazardous waste
combustion facilities may not commence a trial burn
until after the permitting agency has issued the
required notice. EPA anticipates that permitting
agencies will typically notify the public at least 30
days prior to the trial burn. The notice requirement
applies only to the initial trial burn, and not to
subsequent burns that may be conducted as part of a
permit modification. For interim status combustion
units, the permitting agency must also provide
public notice of the intent to approve a trial burn
plan.
Interim Status Facilities
In general, interim status facilities are not
required to follow any standardized public
participation procedures until the facility owner and
operator applies for a permit. Implementing
agencies may need to use innovative techniques to
communicate with the public about interim status
facilities. EPA acknowledges that each situation will
require a different type and level of community
involvement in order to address public concerns.
Post-Closure Permits
Owners and operators who submit a permit
application for the purpose of conducting post-
closure activities are not subject to the
pre-application meeting and notice requirements.
EPA's experience is that the public has usually been
concerned with permit decisions related to active
hazardous waste management operations rather than
closed facilities. Post-closure activities are subject
to the public notice and comment period at the draft
permit stage.
Post-Closure Alternatives to Permits
Owners and operators who are conducting post-
closure activities using non-permit alternatives, such
as enforceable documents, are also subject to public
participation requirements. The public participation
provisions for these alternatives include public
notice and comment.
EPA encourages early, meaningful, and
continuous involvement of the public, including
regularly updating the community on the progress
made at the facility. Meaningful public participation
is achieved when all impacted and affected parties
have ample time to participate in the facility cleanup
decisions.
Information Repositories
In certain instances, RCRA permits can be the
subject of intense debate. When public interest is
strong, the demand for information increases. The
public participation requirements allow the
permitting agency to require a permit applicant to
set up an information repository at any time after
submittal of the permit application and during the
life of the permit. The repository will hold all
information and documents that the permitting
agency decides are necessary to adequately inform
and educate the public. EPA intended for permitting
agencies to use the information repository
requirement sparingly on a case-by-case basis when
a significant amount of public concern has surfaced
or where the community has unique information
needs.
CORRECTIVE ACTION
Corrective action investigations and remedial
actions at hazardous waste facilities also create
strong community interest because contamination
can directly affect and impact communities.
VI1-5
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Section VII: Public Participation
(Corrective action is fully discussed in Section III,
Chapter 9.) The community may seek information
related to current or potential contamination,
including levels of contamination, the extent of
health and environmental risks, and the potential for
future risks. The public may also seek additional
opportunities to provide input to the overseeing
agency or the facility about the cleanup of the
contamination.
More than 6,000 facilities are subject to RCRA
corrective action. The necessary degree of cleanup
at these sites varies significantly. Program
implementors are granted latitude in structuring the
corrective action process, developing cleanup
objectives, and selecting remedies appropriate to
site-specific circumstances. Similar latitude is
allowed in determining the best approach to public
participation, in order to provide opportunities
appropriate for the level of interest of the
community.
Public participation requirements during
corrective action are established in regulations;
further recommendations are set out in guidance.
The regulations set requirements that facilities and
implementing agencies must meet when a permit is
issued or modified to incorporate corrective action
provisions.
In the absence of final regulations specifically
addressing public participation during corrective
action, program implementors and facility owners
and operators should develop public participation
strategies on a site-specific basis, consistent with
existing public participation requirements and the
program goal of full, fair, and equitable public
participation. Permitting agencies and facilities
should make all reasonable efforts to provide for
early public participation because important
corrective action decisions are made during the site
investigation and characterization. At a minimum,
information regarding corrective action activities
should be available to the public and the public
should be given an opportunity to review and
comment on proposed corrective action remedies.
PUBLIC PARTICIPATION
DURING CORRECTIVE ACTION
When corrective action is part of the RCRA permitting
process, it follows the public participation
requirements associated with permitting. While EPA
regulations do not require public participation for
corrective action activities that are imposed or
overseen through an order, EPA's policy is that the
same level of public participation requirements
imposed under a permit should generally apply under
a corrective action order.
Corrective Action Permits
When corrective action is part of the RCRA
permitting process, it follows the public
participation requirements associated with
permitting. Thus, the corrective action provisions in
any permit application are available for public
review throughout the permitting process and the
public can comment on them at the draft permit
stage.
Corrective Action Orders
EPA regulations do not require that corrective
action activities that are imposed or overseen
through an order include public participation.
However, EPA's policy is that the same level of
public participation requirements imposed under a
permit should generally apply under a corrective
action order. There may be limitations on the
implementing agency's ability to release or discuss
certain information when using an order, but if
public interest in the facility is high, the agency
should address concerns without breaching the
confidentiality of the owner's and operator's case by
at least discussing why limitations are necessary,
and if and when they will be lifted.
EPA has clarified various issues in reference to
public participation activities during RCRA §7003
imminent hazard cleanups. Specifically, §7003
orders should involve public participation to the
maximum extent possible. During these cleanups,
EPA should provide public notice and an
opportunity to comment when the Agency issues the
order, during the remedy selection process, and upon
Agency determination that the cleanup has been
VII-6
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Section VII: Public Participation
completed. When situations prevent public
participation from occurring, the Agency should
involve the public at the earliest opportunity. The
Agency may also consider holding public meetings
to address concerns if the site has attracted
significant attention.
Remedial Action Plans
Public participation for Remedial Action Plans
(RAPs) includes public notice and comment of the
draft RAP or the notice of intent to deny. An
informal public hearing may also be requested under
the public participation provisions for RAPs.
Voluntary Corrective Action
Although EPA typically has less control over
public participation during voluntary corrective
action, the Agency encourages the use of public
participation and will generally take into account the
level of public participation conducted by the
facility owner and operator when evaluating the
acceptability of voluntary actions.
involvement activities as part of all formal RCRA
rulemakings. Congress, through the Administrative
Procedures Act (APA) (5 U.S.C. Sections 551-
559), established the legal requirement that federal
agencies provide the public with notice and an
opportunity to comment on rulemakings. The Act
addresses rulemaking procedures as well as site-
specific licensing procedures, access to agency
information, and procedures and standards for
judicial review of agency actions. All
environmental rulemakings proposed and finalized
by EPA include public participation throughout the
process (see Figure VII-2).
Proposed Rulemakings
The first step in the rulemaking process is the
issuance of the notice of proposed rulemaking by
EPA. The forum for providing the public with
notice of a proposed rule is the Federal Register.
The notice must include a statement of the time,
place, and nature of the rulemaking, a reference to
the legal authority under which the rule is proposed,
and the terms of the proposed rule.
STATE AUTHORIZATION
RCRA also requires public involvement when
EPA authorizes states to implement the hazardous
waste regulations. Such public involvement is
intended to allow the public to voice their concerns
regarding the change in implementing agency.
Specifically, during the state authorization process, a
state must provide public notice and an opportunity
for public hearing before submitting its application
for final authorization. The Statute also requires
that EPA provide opportunity for public hearing
before it decides to grant or deny a state's
authorization and before EPA withdraws a state's
authorization. (State authorization is fully discussed
in Section III, Chapter 11.)
THE RULEMAKING PROCESS
Besides facilitating public participation during
hazardous waste TSDF permitting, corrective action,
and state authorization under the RCRA Subtitle C
program, EPA proactively initiates public
Public Comment
After notice is given, EPA must provide
interested persons an opportunity to participate in
the rulemaking through submission of written data,
views, or arguments. This process not only educates
the public, but also provides valuable information to
EPA during the regulatory development process.
Up-front participation reduces the likelihood of
litigation challenging subsequent regulations.
Public participation can take many forms, including
opportunity for a hearing, opportunity for access to
EPA materials, and opportunity for written
comments on proposals.
Final Rulemakings
Once public comments are considered, EPA will
revise the proposed rulemaking. The rule will often
change between its proposal and finalization as a
result of public comments. The final rule is
published in the Federal Register, and EPA will
respond to public comments in the rule's preamble.
VI1-7
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Section VII: Public Participation
Figure VII-2: The Rulemaking Process
EPA issues notice of proposed
rulemaking in the Federal Register
Public responds to notice of proposed
rulemaking (e.g., attends hearings,
submits written comments)
i
EPA revises notice of
proposed rulemaking
I
EPA issues notice of final rulemaking in
the Federal Register and responds to
public comments in the rule's preamble
If necessary, EPA will give any interested
party the right to petition for the issuance,
amendment, or repeal of the rule
After final promulgation, EPA must give any
interested party the right to petition for the issuance,
amendment, or repeal of the rule.
Rulemaking Information
EPA evaluates a variety of background
information, as well as public comments, in the
development of a particular rulemaking. Each
Federal Register lists a background docket that is
available for public viewing. This docket contains
all the background documents, including scientific
studies, risk assessments, public comments, and
EPA responses, that were used for that particular
rulemaking.
In addition to the background docket, the
Federal Register also contains regulatory impact
analyses. These are analyses of a particular
rulemaking's effects on other environmental
regulations and economic impact on the regulated
community.
In these analyses, EPA evaluates the effects a
rule will have on other environmental regulations,
such as CERCLA and CWA, and publishes the
expected impacts in the Federal Register. In
addition, EPA studies the economic effects of a
particular rule on the regulated community to
determine compliance costs. As required by the
Regulatory Flexibility Act of 1980, the Agency also
evaluates the impacts of the rulemaking on small
businesses, small organizations, and small
governmental jurisdictions.
ENVIRONMENTAL JUSTICE
Environmental justice refers to the fair
distribution of environmental risks across
socioeconomic and racial groups. On February 11,
1994, President Clinton issued Executive Order
12898, directing federal agencies to identify and
address environmental concerns and issues of
minority and low-income communities. EPA is
committed to equal protection in the implementation
and enforcement of the nation's environmental laws.
EPA believes that environmental justice issues
should be addressed on a local level and on a site-
specific basis. EPA encourages permitting agencies
and facilities to use all reasonable means to ensure
that all segments of the population have an equal
opportunity to participate in the permitting process
and have equal access to information in the process.
These means may include, but are not limited to,
multilingual notices and fact sheets, as well as
translators, in areas where the affected community
contains significant numbers of people who do not
speak English as a first language.
OUTREACH AND PUBLIC
ASSISTANCE
A number of opportunities exist for the public to
obtain RCRA program information and assistance.
These include grants, the Freedom of Information
Act, EPA Office of Ombudsman, the RCRA
Information Center, and the RCRA, Superfund &
EPCRA Call Center.
VII-8
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Section VII: Public Participation
Grants
Under RCRA §7007, EPA has the authority to
provide grants to states, municipalities, educational
institutions, or any other organization to help these
groups effectively implement training programs that
demonstrate solid waste management and resource
recovery operations. Such grants provide
governments and nonprofit organizations with the
opportunity to further the goals of Act through
public outreach.
Freedom of Information Act
The Freedom of Information Act (FOIA)
provides private parties with the right to obtain
information in the possession of the government.
Unless materials are promptly published and copies
are offered for sale, each agency must make
information available for public inspection and
copying. FOIA requires each agency to establish
procedures for handling requests regarding
government statutes, regulations, standards, permit
conditions, requirements, orders, and policies.
There are certain materials which are not subject
to FOIA. These include:
Draft materials
Matters of national defense or foreign policy
Material related solely to internal personnel
rules and practices
Trade secrets and privileged commercial or
financial information
Investigation material collected for enforcement
purposes
Geological and geophysical information and
data.
EPA has pursued a policy of fully disclosing its
records to the public, consistent with the rights of
individuals to privacy, the rights of persons entitled
to protection under confidential business
information (CBI) provisions, and the need for EPA
to promote internal policy deliberations. EPA will
disclose information to any requester to the fullest
extent possible without unjustifiable expense or
unnecessary delay.
EPA's Office of Ombudsman
In order to create a central clearinghouse for
public concerns on matters relating to the
implementation and enforcement of RCRA, EPA
established the Office of Ombudsman and appointed
a Hazardous Waste Ombudsman at EPA
Headquarters and each EPA Region. The primary
responsibilities of the Ombudsman are to respond to
questions and complaints regarding implementation
of the RCRA program. Additionally, the
Ombudsman makes recommendations to the EPA
Administrator based on inquiries received. The
EPA Headquarters Ombudsman may be reached by
contacting:
Office of Ombudsman
U.S. Environmental Protection Agency
Office of Solid Waste and Emergency Response
1200 Pennsylvania Avenue, N.W
Washington, DC 20460
(800) 262-7937
EPA Docket Center
Each time a rulemaking process is announced, a
docket is established to store materials (e.g., Federal
Registers, supporting documentation, and public
comments) throughout the rulemaking process.
Paper dockets, electronic dockets, and information
centers serve as the respository for this information.
In September 2002, EPA consolidated many of the
docket facilities located in the Metropolitan
Washington area into one combined docket facility.
The new docket facility, the EPA Docket Center,
supports several EPA programs, including the
Resource Conservation and Recovery Act (RCRA),
the Comprehensive Environmental Response,
Compensation, and Liability Act (CERCLA), the Oil
Pollution Act (OPA), the Clean Air Act (CAA), the
Toxic Substances Control Act (TSCA), the Toxic
Release Inventory (TRI), the Safe Drinking Water
VI1-9
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Section VII: Public Participation
Act (SDWA), and the Clean Water Act (CWA). The
EPA Docket Center is located at:
EPA West
Room B102
1301 Constitution Avenue, NW
Washington, DC 20014
Hours of operation are 8:30 a.m. to 4:30 p.m.,
EST, Monday through Friday, excluding federal
holidays.
In addition to the EPA Docket Center, EPA
maintains an electronic public docket system, known
as EPA Dockets (EDOCKET). EDOCKET allows
an individual to search, download, and print the
documents in a docket, as well as submit comments
online. This docket is available at www.epa.gov/
edocket
RCRA, Superfund & EPCRA Call
Center
The RCRA, Superfund & EPCRA Call
Center is a publicly accessible service which
provides up-to-date regulatory information. The
Call Center responds to factual questions on federal
EPA regulations developed under RCRA, CERCLA,
EPCRA, the Oil Pollution Act (OPA), and SPCC.
The Call Center is staffed by professionals who are
completely familiar with the latest issues and
regulations affecting the hazardous waste program.
The Call Center is open Monday through Friday
from 9:00 a.m. to 5:00 p.m., EST, and may be
contacted at either (703) 412-9810, or toll-free,
(800) 424-9346.
SUMMARY
EPA is committed to involving the public in the
development and implementation of the solid waste,
hazardous waste, and UST regulations and seeks to
empower communities to become involved in local
RCRA-related activities. To achieve these goals, the
RCRA public participation requirements bring
government, private industry, public interest groups,
and citizens together to make important decisions
about hazardous waste management facilities.
A focus of RCRA public participation is the
involvement of the public in the hazardous waste
TSDF permitting process. The public interaction
occurs during pre-application meetings, public
comment and response periods, and public hearings.
RCRA includes specific provisions to involve the
public in all stages of the hazardous waste TSDF
permitting process: prior to the initial permit
application; after draft permit issuance; and during
permit modifications, permit renewals, post-closure
permits, and trial burns.
In addition, RCRA requires public involvement
during Subtitle C corrective action, whether such
cleanups are instituted through a permit or order, or
conducted voluntarily. RCRA also requires public
involvement when EPA authorizes states to
implement the hazardous waste regulations.
While RCRA's initiatives to facilitate public
participation during hazardous waste TSDF
permitting, corrective action, and state authorization
are limited to the RCRA Subtitle C program, EPA is
required to comply with the public involvement
provisions under APA for all formal rulemakings
under all RCRA subtitles.
Consistent with Executive Order 12898,
directing federal agencies to identify and address
environmental concerns and issues of minority and
low-income communities, EPA encourages allowing
all segments of the population equal access to
information pertaining to the RCRA program.
To assist in disseminating information and
promoting public education about the RCRA
program, EPA engages in several outreach and
public assistance mechanisms. The Agency
provides training grants, allows access to
information through the Freedom of Information
Act, and provides program information through the
EPA Office of Ombudsman, the RCRA Information
Center, and the RCRA, Superfund & EPCRA Call
Center.
ADDITIONAL RESOURCES
Additional information about the topics covered
in this chapter can be found at: www.epa.gov/
epaoswer/hazwaste/permit/pubpart/index.htm.
VII-10
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APPENDIX A
HAZARDOUS WASTE MANIFEST
A-1
-------
Please print or type (Form designed for use on elite (12 - pitch) typewriter)
Form Approved. OMB No. 2050 - 0039 Expires 9-30-91
UNIFORM HAZARDOUS
WASTE MANIFEST
1 Generator's US EPA ID No. Manifest
Document No.
i i i i i i i i i i i i i i i i
2. Page 1
of
Information in the shaded areas
is not required by Federal
law
3. Generator's Name and Mailing Address
4. Generator's Phone ( )
A. State Manifest Document Number
B. State Generator's ID
5. Transporter 1 Company Name
US EPA ID Number
I I I I I I I I I I I
C. State Transporter's ID
D. Transporter's Phone
7. Transporter 2 Company Name
US EPA ID Number
I I I I I I I I I I I
E. State Transporter's ID
F. Transporter's Phone
. Designated Facility Name and Site Address
10. US EPA ID Number
I I I I I I I I I I I
G. State Facility's ID
H. Faci ity's Phone
1 1 . US DOT Description (Including Proper Shipping Name, Hazard Class, and ID Number)
1 2. Containers
No. Type
13.
Total
Quantity
I I
I I I
I I
I I I
I I
I I I
I I
I I I I I I
J. Additional Descriptions for Materials Listed Above
K. Handling Codes for Wastes Listed Above
15. Special Handling Instructions and Additional Information
16. GENERATOR'S CERTIFICATION: I hereby declare that the contents of this consignment are fully and accurately described above by
proper shipping name and are classified, packed, marked, and labeled, and are in all respects in proper condition for transport by highway
according to applicable international and national government regulations.
If I am a large quantity generator, I certify that I have a program in place to reduce the volume and toxicity of waste generated to the degree I have determined to be
economically practicable and that I have selected the practicable method of treatment, storage, or disposal currently available to me which minimizes the present and
future threat to human health and the environment; OR, if I am a small quantity generator, I have made a good faith effort to minimize my waste generation and select
the best waste management method that is available to me and that I can afford.
Printed/Typed Name
Signature
Month Day Year
I I I I I I
1 7. Transporter 1 Acknowledgement of Receipt of Materials
Printed/Typed Name
Signature
Month Day Year
I I I I I I
18. Transporter 2 Acknowledgement of Receipt of Materials
Printed/Typed Name
Signature
Month Day Year
I I I I I I
19. Discrepancy Indication Space
20. Facility Owner or Operator: Certification of receipt of hazardous materials covered by this manifest except as noted in item 19.
Printed/Typed Name
Signature
Month Day Year
I I I I I I
EPA Form 8700 - 22 (Rev. 9 - 88) Previous editions are obsolete.
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APPENDIX B
LAND DISPOSAL RESTRICTIONS
NOTIFICATION REQUIREMENTS
Generators: Generators must send a notification with the initial shipment of every waste to a TSDF. If
the waste, process, or receiving facility changes, another notification is required. The information that the
notification must include varies according to the status of the waste. Waste that needs treatment before it can
be disposed of will have different information than waste that can be disposed of without treatment. Below
is a table that details the required elements for LDR notifications.
Required Notification Information
1 . EPA hazardous waste and
manifest numbers of first
shipment
2. Statement: This waste is
subject to LDR
3. Statement: This waste is not
prohibited from land disposal
4. The constituents of concern and
any underlying hazardous
constituents (if applicable)
5. Indication whether it is
wastewater or nonwastewater
6. Waste analysis data
(when available)
7. Date the waste will be prohibited
from land disposal
8. For hazardous debris, when
treating with the alternative
treatment technologies, list the
contaminants subject to treatment
9. For contaminated soil, list the
constituents subject to treatment
and state whether the soil
contains hazardous waste and
meets the treatment standard
10. A certification is needed
(see applicable section for
exact wording)
Waste Needs to Meet
Treatment Standard
X
X
X
X
X
X
X
Waste Meets
Treatment Standard
X
X
X
X
X
X
X
Waste Is Not Subject
to Treatment Standard
X
X
X
X
X
Waste Is In
Lab Packs
X
X
B-1
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Appendix B: Land Disposal Restrictions Notification Requirements
Treatment Facilities: Treatment facilities have to send similar notifications along with the shipment of
treated wastes to disposal facilities. A certification must be included stating that the waste meets the
treatment standards and may be land disposed. Below is a table detailing the information required for
treatment facility notifications.
Required Notification Information
1.
2.
3.
4.
5.
6.
10.
EPA hazardous waste and manifest
number of first shipment
Statement that the waste is subject to LDR
The constituents of concern and any
underlying hazardous constituents (if
applicable)
Indication whether it is wastewater or
nonwastewater
Waste analysis data (when available)
For contaminated soil, list the constituents
subject to treatment and state whether the
soil contains hazardous waste and meets
the treatment standard
A certification statement is needed (see
applicable section for exact wording)
Waste Is Treated and
Sent for Disposal
X
X
X
X
X
X
X
B-2
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APPENDIX C
UNDERGROUND STORAGE TANK
NOTIFICATION FORM
C-1
-------
&EPA
United States
Environmental Protection Agency
Washington, DC 20460
Form Approved.
OMB No.2050-0068
Notification for Underground Storage Tanks
State Agency Name and Address:
STATE USE ONLY
ID NUMBER:
DATE RECEIVED:
TYPE OF NOTIFICATION
I DATE ENTERED INTO COMPUTER:
JA. NEW FACILITY
IB. AMENDED
1C. CLOSURE
DATA ENTRY CLERK INITIALS:
Number of tanks
at facility
Number of continuation sheets attached
INSTRUCTIONS AND GENERAL INFORMATION
Please type or print in ink. Also, be sure you have signatures in ink for sections
VIII and XI. Complete a notification form for each location containing
underground storage tanks. If more than 5 tanks are owned at this location, you
may photocopy pages 3 through 5 and use them for additional tanks.
The primary purpose of this notification program is to locate and evaluate
underground storage tank systems (USTs) that store or have stored petroleum
or hazardous substances. The information you provide will be based on
reasonably available records, or in the absence of such records, your
knowledge or recollection.
Federal law requires UST owners to use this notification form for all
USTs storing regulated substances that are brought into use after May 8,
1986, or USTs in the ground as of May 8,1986 that have stored regulated
substances at anytime since January 1,1974. The information
requested is required by Section 9002 of the Resource Conservation and
Recovery Act (RCRA), as amended.
Who Must Notify? Section 9002 of RCRA, as amended, requires owners of
USTs that store regulated substances (unless exempted) to notify designated
State or local agencies of the existence of their USTs. "Owner" is defined as:
In the case of an UST in use on November 8,1984, or brought into use after
that date, any person who owns an UST used for storage, use, or dispensing
of regulated substances; or
In the case of an UST in use before November 8,1984, but no longer in use
on that date, any person who owned the UST immediately before its
discontinuation.
Also, if the State so requires, any facility that has made any changes to facility
information or UST system status, must submit a notification form (only
amended information needs to be included).
What USTs Are lncluded?An UST system is defined as any one or
combination of tanks that (1) is used to contain an accumulation of regulated
substances, and (2) whose volume (including connected underground piping) is
10% or more beneath the ground. Regulated USTs store petroleum or
hazardous substances (see the following "What Substances Are Covered").
I. OWNERSHIP OF UST(s)
Owner Name (Corporation, Individual, Public Agency, or Other Entity)
OWNER WAS CONTACTED TO CLARIFY RESPONSES, COMMENTS:
What Tanks Are Excluded From Notification?
Tanks removed from the ground before May 8, 1986;
Farm or residential tanks of 1,100 gallons or less capacity storing motor fuel for
noncommercial purposes;
Tanks storing heating oil for use on the premises where stored;
Septic tanks;
Pipeline facilities (including gathering lines) regulated under the Natural Gas
Pipeline Safety Act of 1968, or the Hazardous Liquid Pipeline Safety Act of
1979, or which is an intrastate pipeline facility regulated under State laws;
Surface impoundments, pits, ponds, or lagoons;
Storm water or waste water collection systems;
Flow-through process tanks;
Liquid traps or associated gathering lines directly related to oil or gas production
and gathering operations;
Tanks on or above the floor of underground areas, such as basements or
tunnels;
Tanks with a capacity of 110 gallons or less.
What Substances Are Covered?The notification requirements apply to USTs
containing petroleum or certain hazardous substances. Petroleum includes
gasoline, used oil, diesel fuel, crude oil or any fraction thereof which is liquid at
standard conditions of temperature and pressure (60 degrees Fahrenheit and 14.7
pounds per square inch absolute). Hazardous substances are those found in
Section 101 (14) of the Comprehensive Environmental Response, Compensation
and Liability Act of 1980 (CERCLA), with the exception of those substances
regulated as hazardous waste under Subtitle C of RCRA.
Where To Notify? Send completed forms to:
When To Notify? 1. Owners of USTs in use or that have been taken out of
operation after January 1, 1974, but still in the ground, must notify by May 8, 1986.
2. Owners who bring USTs into use after May 8, 1986, must notify within 30 days
of bringing the UST into use. 3. If the State requires notification of any
amendments to facility, send information to State agency immediately.
Penalties: Any owner who knowingly fails to notify or submits false information
shall be subject to a civil penalty not to exceed $11,000 for each tank for which
notification is not given or for which false information is given.
II. LOCATION OF UST(s)
If required by State, give the geographic location of USTs by degrees, minutes, and
seconds. Example: Latitude 42° 36'12" N, Longitude 85° 24'17" W
Latitude Longitude
Street Address
County
Facility Name or Company Site Identifier, as applicable
City
State
Zip Code
Q If address is the same as in Section I, check the box and proceed to section III.
If address is different, enter address below:
Street Address
County
Phone Number (Include Area Code)
City
State
Zip Code
EPA Form 7530-1 (Rev. 9-98) Electronic and paper versions acceptable.
Previous editions may be used while supplies last.
Page 1 of 5
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&EPA
United States
Environmental Protection Agency
Washington, DC 20460
Form Approved.
OMB No.2050-0068
Notification for Underground Storage Tanks
III. TYPE OF OWNER
IV. INDIAN COUNTRY
Federal Government
State Government L
Local Government L
Commercial
Private
Gas Station
Petroleum Distributor
Air Taxi (Airline)
Aircraft Owner
Auto Dealership
USTs are located on land within an Indian
Reservation or on trust lands outside
reservation boundaries.
USTs are owned by a Native American
nation or tribe.
V. TYPE OF FACILITY
Railroad
Federal - Non-Military
Federal - Military
Industrial
Contractor
Tribe or Nation where USTs are located:
Trucking/Transport
Utilities
Residential
Farm
Other (Explain)
VI. CONTACT PERSON IN CHARGE OF TANKS
Name:
Job Title:
Address:
VII. FINANCIAL RESPONSIBILITY
Phone Number (Include Area Code):
I ll have met the financial responsibility requirements (in accordance with 40 CFR Subpart H) by using the following mechanisms:
Check All that Apply
Self Insurance
Commercial Insurance
Risk Retention Group
Local Government Financial Test
Guarantee
Surety Bond
Letter of Credit
Bond Rating Test
State Funds
Trust Fund
Other Method (describe here)
VIM. CERTIFICATION (Read and sign after completing ALL SECTIONS of this notification form)
I certify under penalty of law that I have personally examined and am familiar with the information submitted in Sections I through XI of this notification form and all
attached documents, and that based on my inquiry of those individuals immediately responsible for obtaining the information, I believe that the submitted information
is true, accurate, and complete.
Name and official title of owner or owner's
authorized representative (Print)
Signature
Date Signed
Paperwork Reduction Act Notice
EPA estimates public reporting burden for this form to average 30 minutes per response including time for reviewing instructions, gathering and maintaining the data needed and completing
and reviewing the form. Send comments regarding this burden estimate to Director, OP, Regulatory Information Division (2137), U.S. Environmental Protection Agency, 401 M Street
Washington D.C. 20460, marked "Attention Desk Officer for EPA." This form amends the previous notification form as printed in 40 CFR Part 280, Appendix I. Previous editions of this
notification form may be used while supplies last.
EPA Form 7530-1 (Rev. 9-98) Electronic and paper versions acceptable.
Previous editions may be used while supplies last.
Page 2 of 5
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f^ ^^P^Jl United States Form Approved.
tiffirtnr\ Environmental Protection Agency OMB NO 2050-0068
Washington, DC 20460
Notification for Underground Storage Tanks
IX. DESCRIPTION OF UNDERGROUND STORAGE TANKS (Complete for all tanks and piping at this location.)
Tank Identification Number
1. Statusof Tank (check only one) Currently In Use
Temporarily Closed
Permanently Closed
2. Date of Installation (month/year)
3. Estimated Total Capacity(gallons)
4. Material of Construction(check all that apply)
Asphalt Coated or Bare Steel
Cathodically Protected Steel
Coated and Cathodically Protected Steel
Composite (Steel Clad with Fiberglass)
Fiberglass Reinforced Plastic
Lined Interior
Excavation Liner
Double Walled
Polyethylene Tank Jacket
Concrete
Unknown
If Other, please specify here
Check box if tank has ever been repaired
5. Piping Material (check all that apply) Bare Steel
Galvanized Steel
Fiberglass Reinforced Plastic
Copper
Cathodically Protected
Double Walled
Secondary Containment
Unknown
Other, please specify
6. Piping Type "Safe" Suction (no valve at tank)
(Check all that apply) "U.S." Suction (valve at tank)
Pressure
Gravity Feed
Check box if piping has ever been repaired
Tank No
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Tank No
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Tank No
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EPA Form 7530-1 (Rev. 9-98)Electronic and paper versions acceptable.
Previous editions may be used while supplies last.
Page 3 of 5
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A ^^%JV United States
^SHt tfTr\ Environmental Protection Agency
Washington, DC 20460
Notification for Underground Storage Tanks
Tank Identification Number
7. Substance Currently Stored (or last Gasoline
stored in the case of closed tanks) Diesel
( Check all that apply) Gasohol
Kerosene
Heating Oil
Used Oil
If Other, please specify here
Hazardous Substance
CERCLA name and/or
CAS number
Mixture of Substances
Please specify here
8. Release Detection (check all that apply)
Manual tank gauging
Tank tightness testing
Inventory Control
Automatic tank gauging
Vapor monitoring
Groundwater monitoring
Interstitial monitoring
Automatic line leak detectors
Line tightness testing
No release detection required (such as some types of
suction piping, emergency generator tanks or field
constructed tanks)
Other method allowed by implementing agency
(such as SIR)
Please specify other method here
9. Spill and Overfill Protection
Overfill device installed
Spill device installed
Tank No
I
°
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TANK
PIPE
°
Tank No
I
°
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TANK
PIPE
°
Tank No
I
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TANK
PIPE
°
Tank No
Form Approved.
OMB No .2050-0068
I
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TANK
PIPE
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Tank No
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TANK
PIPE
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EPA Form 7530-1 (Rev. 9-98)Electronic and paper versions acceptable.
Previous editions may be used while supplies last.
Page 4 of 5
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^% ^"^^ J^ United States Form Approved.
tiSffir tHr\ Environmental Protection Agency OMB NO 2050-0068
Washington, DC 20460
Notification for Underground Storage Tanks
Tank Identification Number
Tank No
Tank No
Tank No
Tank No
Tank No
X. CLOSURE OR CHANGE IN SERVICE
1 . Closure or Change in Service
Estimated date the UST was last used for storing regulated
substances (month/day/year)
Check box if this is a change in service
2. Tank Closure
Estimated date tank closed (month/day/year)
(check all that apply below)
Tank was removed from ground
Tank was closed in ground
Tank filled with inert material
Describe the inert fill material here
3. Site Assessment
Check box if the site assessment was completed
Check box if evidence of a leak was detected
n
|
°
n
|
°
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°
n
H
°
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XI. CERTIFICATION OF INSTALLATION (COMPLETE FOR UST SYSTEMS INSTALLED AFTER DECEMBER 22, 1988)
Installer Of Tank And Piping Must Check All That Apply:
Installer certified by tank and piping manufacturers
Installer certified or licensed by the implementing agency
Installation inspected by a registered engineer
Installation inspected and approved by implementing agency
Manufacturer's installation checklists have been completed
Another method allowed by State agency
If so, please specify here
I
I
I
I
I
Signature of UST Installer Certifying Proper Installation of UST System
Name Signature
Position Company
Date
EPA Form 7530-1 (Rev. 9-98)Electronic and paper versions acceptable.
Previous editions may be used while supplies last
Page 5 of 5
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APPENDIX D
GLOSSARY
The terms below are defined as they pertain to the
Resource Conservation and Recovery Act.
Abandoned For purposes of defining a material as
a solid waste under RCRA Subtitle C, a material that
is disposed of, burned, or incinerated.
Accumulated Speculatively Storage of a material
in lieu of expeditious recycling. Materials are
usually accumulated speculatively if the waste being
stored has no viable market or if a facility cannot
demonstrate that at least 75 percent of the material
has been recycled in a calendar year.
Acknowledgment of Consent Notice sent by EPA
to an exporter of hazardous waste, indicating that the
importing country has agreed to accept such waste.
Action Levels For purposes of Subtitle C corrective
action, risk-based concentrations of hazardous
constituents in ground water, soil, or sediment that
may trigger further investigation into possible
contamination at a particular site.
Administrative Action Enforcement action taken
by EPA or a state under its own authority, without
involving a judicial court process.
Administrative Procedures Act The Act that
establishes rulemaking procedures as well as site-
specific licensing procedures, access to agency
information, and procedures and standards for
judicial review of agency actions. All environmental
rulemakings proposed and finalized by EPA include
public participation throughout the process.
Aggregation Points Centers that accept used oil
only from places owned by the same owner and
operator as the aggregation point, or from do-it-
yourselfers.
Alternative Concentration Limits For purposes of
TSDF ground water monitoring, hazardous
constituent limits established by the EPA Regional
Administrator that are allowed to be present in
ground water.
Annual Aggregate For purposes of UST financial
responsibility, the total amount of UST financial
responsibility coverage required to cover all leaks
that might occur in one year.
Applicable or Relevant and Appropriate
Requirements Standards, criteria, or limitations
under federal or more stringent state environmental
laws, including RCRA, that may be required during
a Superfund remedial action, unless site-specific
waivers are obtained.
Authorized State A state that has been delegated
the authority by EPA to implement and enforce its
own regulations for hazardous waste management
under RCRA. The state program must be at least as
stringent as the federal standards.
Automatic Tank Gauging A release detection
method for USTs that uses a probe in the tank that is
wired to a monitor to provide information on product
level and temperature.
D-1
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Appendix D: Glossary
Basel Convention The international treaty that
establishes standards for global trade of hazardous
waste, municipal waste, and municipal incinerator
ash. Because the United States is not a party to the
convention, U.S. businesses can only export waste to
those countries with which the U.S. government has
negotiated a separate waste trade agreement.
Bentsen Wastes Geothermal exploration,
development, and production waste exempt from
RCRA Subtitle C regulation.
Best Demonstrated Available Technology The
technology that best minimizes the mobility or
toxicity (or both) of the hazardous constituents for a
particular waste.
Bevill Wastes Fossil fuel combustion wastes,
mining and mineral processing wastes, and cement
kiln dust wastes exempt from RCRA Subtitle C
regulation.
Biennial Report A report submitted by hazardous
waste LQGs and TSDFs to enable EPA and the states
to track the quantities of hazardous waste generated
and the movements of those hazardous wastes.
Boiler An enclosed device that uses controlled
flame combustion to recover and deliver energy in
the form of steam, heated fluid, or heated gases.
Bottom Ash Ash that collects at the bottom of a
combustion chamber.
Burners Handlers who burn used oil for energy
recovery in boilers, industrial furnaces, or hazardous
waste incinerators.
Burning for Energy Recovery Burning hazardous
waste for its heating value as a fuel, and using
wastes to produce fuels or as ingredients in fuels.
By-Products Materials that are not one of the
intended products of a production process and
includes most wastes that are not spent materials or
sludges.
California List Interim LDR treatment standards
that ensured adequate protection of human health
and the environment during the time EPA was
promulgating final LDR treatment standards.
Capacity Assurance Plan A written statement
which ensures that a state has hazardous waste
treatment and disposal capacity. This capacity must
be for facilities that are in compliance with RCRA
Subtitle C requirements and must be adequate to
manage hazardous wastes projected to be generated
within the state over 20 years.
Cathode Ray Tubes Vacuum tubes, made primarily
of glass, which constitute the video display
component of televisions and comptuer monitors.
These tubes are generally hazardous for lead.
Cathodic Protection A form of corrosion
protection for USTs that uses sacrificial anodes or a
direct current source to protect steel by halting the
naturally occurring electrochemical process that
causes corrosion.
Cement Kiln Type of industrial furnace that
receives hazardous waste to burn as fuel to run its
cement process. Cement is produced by heating
mixtures of limestone and other minerals or
additives at high temperatures in a rotary kiln,
followed by cooling, grinding, and finish mixing.
Change in Service Using a formerly regulated UST
system to store a nonregulated substance.
Characteristic Waste Waste that is considered
hazardous under RCRA because it exhibits any of
four different properties: ignitability, corrosivity,
reactivity, and toxicity.
Civil Action A formal lawsuit, filed in court, against
a person who has either failed to comply with a
statutory or regulatory requirement or an
administrative order, or against a person who has
contributed to a release of hazardous waste or
hazardous constituents.
Clean Air Act The Act that regulates air emissions
from area, stationary, and mobile sources. CAA
limits the emission of pollutants into the atmosphere
in order to protect human health and the
environment from the effects of airborne pollution.
Clean Closure The process of completely removing
all waste that was treated, stored, or disposed in a
hazardous waste unit.
D-2
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Appendix D: Glossary
Clean Water Act The Act that sets the basic
structure for regulating discharges of pollutants to
surface waters of the United States. CWA imposes
contaminant limitations or guidelines for all
discharges of wastewater into the nation's
waterways.
Closure The procedure that a solid or hazardous
waste management facility undergoes to cease
operations and ensure protection of human health
and the environment in the future.
Codification The process by which final
regulations are incorporated into the CFR, which is
published annually.
Collection Centers Centers that accept used oil
from multiple sources, including both businesses and
private citizens.
Combustion The controlled burning in an enclosed
area as a means of treating or disposing of hazardous
waste.
Commercial Chemical Products Unused or off-
specification chemicals, spill or container residues,
and other unused manufactured products that are not
typically considered chemicals. For the purposes of
hazardous waste listings, CCPs include only unused,
pure chemical products and formulations.
Compliance Monitoring For purposes of RCRA
TSDF ground water monitoring, a program that
seeks to ensure that the amount of hazardous waste
that has leaked into the uppermost aquifer does not
exceed acceptable levels.
Composting Processes designed to optimize the
natural decomposition or decay of organic matter,
such as leaves and food. The end product of
composting is a humus-like material that can be
added to soils to increase soil fertility, aeration, and
nutrient retention.
Comprehensive Environmental Response,
Compensation, and Liability Act The Act that
authorizes EPA to clean up uncontrolled or
abandoned hazardous waste sites and respond to
accidents, spills and other emergency releases of
hazardous substances. CERCLA provides EPA with
enforcement authority to ensure that responsible
parties pay the cleanup costs of remediating a site
contaminated with hazardous substances.
Comprehensive Environmental Response,
Compensation, and Liability Information System
A computerized database used to track hazardous
substance sites.
Comprehensive Performance Testing The initial
and periodic evaluation procedure for demonstrating
compliance with the national emission standards for
hazardous air pollutants and establishes revised
operating limits for hazardous waste combustors.
Comprehensive Procurement Guidelines A list,
updated every two years, which designates items
with recycled content that procuring agencies should
aim to purchase. This list currently contains 54
items within 8 product categories.
Concentration Limits For purposes of TSDF
ground water monitoring, the maximum levels of
hazardous constituents allowed to be present in the
ground water.
Conditionally Exempt Small Quantity
Generators Facilities that produce less than 100 kg
of hazardous waste, or less than 1 kg of acutely
hazardous waste, per calendar month. A CESQG
may only accumulate less than 1,000 kg of
hazardous waste, 1 kg of acutely hazardous waste, or
100 kg of spill residue from acutely hazardous waste
at any one time.
Construction Quality Assurance A program
required by EPA to ensure that a landfill, surface
impoundment, or waste pile meets all of the
technological requirements.
D-3
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Appendix D: Glossary
Contained-In Policy An EPA policy that
determines the health threats posed by contaminated
environmental media and debris, and whether such
materials must be managed as RCRA hazardous
wastes.
Containers Portable devices in which a material is
stored, transported, treated, or otherwise handled.
Containment Building A completely enclosed
structure used to store or treat noncontainerized
waste.
Continuous Emission Monitoring Systems A
system that directly and continuously measures one
or more pollutants exiting a combustion unit.
Continuous Monitoring Systems A device which
continuously samples the regulated parameter
without interruption, evaluates the detector response
at least once every 15 seconds, and computes and
records the average value at least every 60 seconds.
Cooperative Agreement An agreement between a
state and EPA which ensures that the state will spend
money from the LUST Trust Fund for its intended
purpose.
Corporate Guarantee The demonstration that a
corporate grandparent, corporate parent, or sibling
corporation can meet financial assurance
requirements on behalf of a TSDF owner and
operator, or the financial responsibility requirements
on behalf of an UST owner and operator. Firms with
a "substantial business relationship" with an UST
owner and operator can also make this
demonstration.
Corrective Action An EPA program to address the
investigation and cleanup of contamination from
solid waste facilities, hazardous waste facilities, and
USTs.
Corrective Action Management Unit A physical,
geographical area designated by EPA or states for
managing remediation wastes during corrective
action.
Corrosivity Characteristic The characteristic
which identifies wastes that are acidic or alkaline
(basic) and can readily corrode or dissolve flesh,
metal, or other materials.
Counting Totaling the hazardous wastes at a given
facility for a particular month in order to determine
hazardous waste generator status.
Covered States States that participated in EPA's
medical waste tracking program from June 22, 1989
to June 22, 1991, which included Connecticut, New
Jersey, New York, Rhode Island, and the
Commonwealth of Puerto Rico.
Cradle to Grave The time period referring to the
initial generation of hazardous waste to its ultimate
disposal.
Criminal Action Enforcement action reserved for
the most serious violations, which can result in fines
or imprisonment.
De minimis Very small amounts of hazardous waste
that are discharged to wastewater treatment facilities
and thus, are exempt from the mixture rule. De
minimis also refers to small concentrations of
regulated substances in an UST.
Debris A broad category of large manufactured and
naturally occurring objects that are commonly
discarded (e.g., construction materials,
decommissioned industrial equipment, discarded
manufactured objects, tree trunks, boulders).
Delisting A site-specific petition process whereby a
handler can demonstrate to EPA that a particular
wastestream generated at its facility that meets a
listing description does not pose sufficient hazard to
warrant RCRA regulation. Owners and operators
can also use the delisting process for wastes that are
hazardous under the mixture and derived-from rules
that pose minimal hazard to human health and the
environment.
Derived-From Rule A rule that regulates residues
from the treatment of listed hazardous wastes.
Designated Facility A hazardous waste treatment,
storage, or disposal facility which has received a
RCRA permit (or interim status), or is a recycling
facility regulated under 40 CFR Section 261.2(c)(2)
or Subpart F, of Section 266, and has been
designated on the manifest by the generator.
D-4
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Appendix D: Glossary
Destination Facilities Facilities that treat, dispose
of, or recycle a particular category of universal
waste.
Destruction and Removal Efficiency Standard
which verifies that a combustion unit is destroying
the organic components found in hazardous waste.
Detection Monitoring For purposes of RCRA
TSDF ground water monitoring, the first step of
monitoring at land disposal units, where the owner
and operator monitors for indication of a leak from
the unit, looking for potential changes in the ground
water quality from normal (background) levels.
Dilution Prohibition The LDR requirement that
prohibits the addition of soil or water to waste in
order to reduce the concentrations of hazardous
constituents instead of treatment by the appropriate
LDR treatment standards.
Direct Discharges Discharges from point sources
into surface water pursuant to a CWA NPDES
permit.
Disposal The discharge, deposit, injection,
dumping, spilling, leaking, or placing of any solid or
hazardous waste on or in the land or water.
Disposal Prohibition The LDR requirement that
prohibits the land disposal of hazardous waste that
has not been adequately treated to reduce the threat
posed by such waste.
Distillation Bottoms Residues that form at the
bottom of a distillation unit.
Do-it-Yourselfers Individuals who generate used
oil through the maintenance of their own personal
vehicles and equipment and are not considered used
oil generators.
Drip Pads Engineering structures consisting of a
curbed, free-draining base, constructed of non-
earthen materials, and designed to convey wood
preservative chemical drippage from treated wood,
precipitation, and surface water run-on to an
associated collection system at wood preserving
plants.
Elementary Neutralization Units Containers,
tanks, tank systems, transportation vehicles, or
vessels which neutralize wastes that are hazardous
only for exhibiting the characteristic of corrosivity.
Emergency Planning and Community Right-to-
Know Act The Act designed to help communities
prepare to respond in the event of a chemical
emergency and to increase the public's knowledge of
the presence and threat of hazardous chemicals.
Environmental Justice The fair distribution of
environmental risks across socioeconomic and racial
groups.
Environmental Media Materials such as soil,
surface water, ground water, and sediment.
EPA Identification Number A unique number
assigned by EPA to each hazardous waste generator,
transporter, or treatment, storage, and disposal
facility.
Episodic Generation The situation in which a
generator's status changes from one month to the
next, as determined by the amount of waste
generated in a particular month. If a generator's
status does in fact change, the generator is required
to comply with the respective regulatory
requirements for that class of generators for the
waste generated in that particular month.
Equipment Each valve, pump, compressor,
pressure relief device, sampling connection system,
open-ended valve or line, or flange or other
connector, and any other control devices or systems.
Exception Report A report, submitted by LQGs
and SQGs, detailing efforts to locate wastes when a
signed copy of the manifest has not been received.
Existing USTs USTs that were in service, or for
which installation had commenced on or before
December 22, 1988.
Extended Product Responsibility An approach to
environmental protection that strives to reduce the
environmental impacts of products.
D-5
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Appendix D: Glossary
Federal Insecticide, Fungicide, and Rodenticide
Act The Act that provides procedures for the
registration of pesticide products to control their
introduction into the marketplace.
Federal Procurement Program A program that
sets minimum recycled content standards for certain
designated items and requires procuring agencies to
purchase those items composed of the highest
percentage of recovered materials practicable.
Final Authorization Authorization by EPA that
indicates that a state's program is equivalent to, or no
less stringent than, as well as consistent with, federal
hazardous waste regulations.
Financial Assurance Under RCRA Subtitle C, the
requirements designed to ensure that TSDF owners
and operators will have the financial resources to
pay for closure, post-closure, and liability costs.
Under RCRA Subtitle D, the requirements designed
to ensure that MSWLF owners and operators will
have the financial resources to pay for closure, post-
closure, and corrective action costs.
Financial Test A test of self-insurance which
demonstrates that an owner and operator has
sufficient financial strength to satisfy TSDF
financial assurance or UST financial responsibility
requirements.
Float The lighter materials present in petroleum
refinery wastewater. As components of oily waste,
float rises to the surface in the first step of
wastewater treatment.
Fly Ash Particles of ash, such as particulate matter
which may also have metals attached them, that are
carried up the stack of a combustion unit with gases
during combustion.
Formal Action An enforcement action, frequently
in the form of an administrative order, that is taken
when a serious violation is detected, or when the
owner and operator does not respond to an informal
administrative action.
Freedom of Information Act The Act that grants
private parties the right to obtain information in the
government's possession. FOIA requires each
federal agency to establish procedures for handling
requests regarding government statutes, regulations,
standards, permit conditions, requirements, orders,
and policies.
Full Cost Accounting An accounting approach that
helps local governments identify all direct and
indirect costs, as well as the past and future costs, of
a municipal solid waste management program.
Generator Any person whose act first creates or
produces a hazardous waste, used oil, or medical
waste, or first brings such materials into RCRA
regulation.
Green Buildings Buildings that are designed,
constructed, operated, and ultimately removed in
such a way as to minimize their environmental
impact.
Ground Water Monitoring Sampling and analysis
of ground water for the purpose of detecting the
release of contamination from a solid or hazardous
waste land-based unit. Ground water monitoring is
also a method of UST release detection which senses
the presence of liquid product floating in ground
water.
Hammer Provisions Requirements written directly
into RCRA by Congress, as in the case of the
Hazardous and Solid Waste Amendments of 1984,
that would automatically become regulations if EPA
failed to issue its own regulations by certain dates.
Hazard Communication Standard The OSHA
standard that provides workers with access to
information about the hazards and identities of the
chemicals they are exposed to while working, as
well as the measures they can take to protect
themselves.
Hazard Ranking System A model devised under
CERCLA that determines the relative risk to public
health and the environment posed by hazardous
substances in ground water, surface water, air, and
soil. Only those sites with a score of 28.5 (on a scale
of 0 to 100) are eligible for placement on the NPL.
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Appendix D: Glossary
Hazardous Constituents For purposes of RCRA
TSDF ground water monitoring, those constituents
that have been detected in the uppermost aquifer and
are reasonably expected to be in or derived from the
waste contained in the unit.
Hazardous Substance A comprehensive
designation under CERCLA for RCRA hazardous
wastes as well as other toxic pollutants regulated by
CAA, CWA, and TSCA. EPA has the authority
under CERCLA to designate any additional element,
compound, mixture, or solution as a hazardous
substance. The definition of hazardous substance
specifically excludes petroleum and natural gas.
Hazardous Waste A waste with properties that
make it dangerous, or capable of having a harmful
effect on human health and the environment. Under
the RCRA program, hazardous wastes are
specifically defined as wastes that meet a particular
listing description or that exhibit a characteristic of
hazardous waste.
Hazardous Waste Operations and Emergency
Response Worker Protection Standard The
OSHA standard that protects the health and safety of
workers engaged in operations at hazardous waste
sites, hazardous waste treatment facilities, and
emergency response locations.
Ignitability characteristic The characteristic which
identifies wastes that can readily catch fire and
sustain combustion.
Incinerator An enclosed device that uses controlled
flame combustion and does not meet the criteria for
classification as a boiler, industrial furnace, sludge
dryer (a unit that dehydrates hazardous sludge), or
carbon regeneration unit (a unit that regenerates
spent activated carbon). Incinerators also include
infrared incinerators (units that use electric heat
followed by a controlled flame afterburner) and
plasma arc incinerators (units that use electrical
discharge followed by a controlled flame
afterburner).
Incorporation by Reference This occurs when the
regulatory language in a state's regulation actually
cite, or refer to, the federal regulations.
Indirect Discharges Wastewater that is first sent to
a POTW, and then after treatment by the POTW,
discharged pursuant to a NPDES permit.
Industrial Ecology The study of material and
energy flows and their transformations into products,
byproducts, and wastes throughout industrial and
ecological systems.
Industrial Furnace An enclosed unit that is an
integral part of a manufacturing process and uses
thermal treatment to recover materials or energy
from hazardous waste.
Informal Administrative Action Any
communication from EPA or a state agency that
notifies the handler of a problem.
Inherently Waste-Like For purposes of defining a
material as a solid waste under RCRA Subtitle C, a
material, such as dioxin-containing wastes, that is
always considered a solid waste because of its
intrinsic threat to human health and the environment.
Insurance A policy to cover the TSDF financial
assurance or UST financial responsibility
requirements.
Interim Authorization A temporary mechanism
that is intended to promote continued state
participation in hazardous waste management while
encouraging states to develop programs that are fully
equivalent to the federal program and will qualify
for final authorization.
Interim Measures Under RCRA Subtitle C
corrective action, short-term actions to control
ongoing risks while site characterization is underway
or before a final remedy is selected.
Interim Status Facilities TSDFs that were already
in operation when the RCRA standards were
established and that are operating under less
stringent standards until they receive a permit.
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Appendix D: Glossary
Interstitial Monitoring UST release detection
method that involves the use of secondary
containment, such as a barrier, outer wall, vault, or
liner around the UST or piping to prevent leaking
product from escaping into the environment. If
product escapes from the inner tank or piping, it will
then be directed towards an interstitial monitor
located between the walls.
Inventory Control An UST release detection
method that involves taking measurements of tank
contents, recording the amount of product pumped
each operating day, and reconciling this data at least
once a month to determine if a tank is leaking.
Jobs through Recycling A program EPA launched
in 1994 to support recycling markets. The goal of
the program is to foster markets for recycled goods
by promoting and assisting the development of
businesses using recovered materials, creating new
recycling jobs, and spurring innovative technologies.
Lab Packs Drums filled with many small
containers packed in nonbiodegradable absorbent
materials.
Land Disposal For purposes of RCRA Subtitle C
regulation, placement in or on the land, except in a
corrective action unit of hazardous waste, and
includes, but is not limited to, placement in a
landfill, surface impoundment, waste pile, injection
well, land treatment facility, salt dome formation,
salt bed formation, underground mine or cave, or
placement in a concrete vault, or bunker intended for
disposal purposes.
Land Treatment Units Also known as land farms,
land treatment units involve the application of
hazardous waste on the soil surface, or the
incorporation of waste into the upper layers of the
soil in order to degrade, transform, or immobilize
hazardous constituents present in hazardous waste.
Landfill For purposes of RCRA Subtitle C, a
disposal unit where nonliquid hazardous waste is
placed in or on the land.
Large Quantity Generators Facilities that generate
more than 1,000 kg of hazardous waste per calendar
month, or more than 1 kg of acutely hazardous waste
per calendar month.
Large Quantity Handlers of Universal Waste
Handlers that accumulate a total of 5000 kg or more
of universal waste at any one time.
Leachate Any liquid, including any suspended
components in the liquid, that has percolated through
or drained from waste.
Leaking Underground Storage Tank Trust Fund
A fund created by SARA that provides money for
overseeing corrective action taken by a responsible
party, and provides money for cleanups at UST sites
where the owner and operator is unknown,
unwilling, or unable to respond.
Letter of Credit A credit document issued to an
owner and operator to cover TSDF financial
assurance or UST financial responsibility
requirements.
Liabilities Damages that may result from an
unexpected release of contaminants into the
environment.
Lightweight Aggregate Kiln Type of industrial
furnace that produces lightweight aggregate and
burns liquid hazardous waste as fuel to run its
process. Lightweight aggregate refers to a wide
variety of raw materials (such as clay, shale, or slate)
which, after thermal processing, can be combined
with cement to form concrete products. Lightweight
aggregate is produced either for structural or thermal
insulation purposes.
Listed Wastes Wastes that are considered
hazardous under RCRA because they meet specific
listing descriptions.
Manifest Paperwork that accompanies hazardous
waste from the point of generation to the point of
ultimate treatment, storage, or disposal. Each party
involved in the waste's management retains a copy
of the RCRA manifest, which contains specific
information about the waste.
Manual Tank Gauging A method of UST leak
detection that requires keeping the tank undisturbed
for at least 36 hours per week, during which time the
contents of the tank are measured to determine if the
tank is leaking.
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Appendix D: Glossary
Marine Protection, Research, and Sanctuaries
Act This Act requires a permit for any material that
is transported from a U.S. port or by a U.S. vessel
for disposition at sea.
Marketers Used oil handlers who either 1) direct
shipments of used oil to be burned as fuel in
regulated devices, or 2) claim that used oil to be
burned for energy recovery is on-specification.
Maximum Achievable Control Technology
Process Technology-based concentration limits
developed under CAA to limit emissions of
individual constituents from hazardous waste
combustion units.
Maximum Contaminant Levels For purposes of
RCRA ground water monitoring, contaminant-
specific levels borrowed from SDWA that are the
maximum levels of hazardous waste or hazardous
constituents allowed to be present in the
groundwater.
Medical Waste Culture and stocks of infectious
agents, human pathological wastes, human blood
and blood products, used sharps, certain animal
wastes, certain isolation wastes, and unused sharps.
Memorandum of Agreement An agreement
between a state's director and its EPA Regional
Administrator outlining the nature of the
responsibilities to enforce a regulatory program and
defining the level of coordination and oversight
between EPA and the state agency.
Military Munitions For purposes of defining a
material as a solid waste under RCRA Subtitle C,
ammunition products and components produced for
or used by the military for national defense and
security.
Miscellaneous Units Hazardous waste treatment,
storage, or disposal units regulated under RCRA that
do not meet any of the other definitions of regulated
units.
Mixed Waste Radioactive waste that is also a
hazardous waste under RCRA. Such wastes are
jointly regulated by RCRA and Atomic Energy Act.
Mixture Rule A rule that is intended to ensure the
regulation of mixtures of listed wastes with
nonhazardous solid wastes.
Municipal Solid Waste Durable goods (e.g.,
appliances, tires, batteries), nondurable goods (e.g.,
newspapers, books, magazines), containers and
packaging, food wastes, yard trimmings, and
miscellaneous organic wastes from residential,
commercial, and industrial nonprocess sources.
Municipal Solid Waste Landfill A discrete area of
land or excavation that receives municipal solid
waste.
National Ambient Air Quality Standards
Regulations promulgated by EPA under the Clean
Air Act for six criteria pollutants sulfur dioxide,
particulate matter, nitrogen dioxide, carbon
monoxide, ozone, and lead in order to protect the
public from toxic emissions to the atmosphere.
National Corrective Action Prioritization System
A resource management tool by which EPA sets
priorities for the Subtitle C corrective action
program.
National Emission Standards for Hazardous Air
Pollutants Standards set by EPA under the Clean
Air Act to control emissions from specific industrial
sources.
National Oil and Hazardous Substances Pollution
Contingency Plan The NCP contains the
regulations that implement the CERCLA response
process. The NCP also provides information about
the roles and responsibilities of EPA, other federal
agencies, states, and private parties regarding
releases of hazardous substances.
National Priorities List EPA's priority hazardous
substance sites for cleanup. EPA only funds
remedial actions at hazardous waste sites on the
NPL.
New USTs USTs that are installed, or for which
installation has commenced, after December 22,
1988. New USTs must be installed in compliance
with all of the applicable technical standards.
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Appendix D: Glossary
Nonsudden Accidental Occurrences For purposes
of TSDF financial assurance, events that take place
over time and involve continuous or repeated
exposure to hazardous waste.
Notice of Deficiency A notice requiring that a
TSDF permit applicant supply more information for
a complete permit application.
Notice of Intent to Deny A notice issued by a
permitting agency which tells a TSDF permit
applicant that the application does not demonstrate
compliance with the RCRA standards.
Notice of Noncompliance An informal letter to a
handler written as part of an informal administrative
action.
Notice of Violation An informal letter to a handler
written as part of an informal administrative action.
Occupational Safety and Health Act The Act that
is designed to save lives, prevent injuries, and
protect the health of employees in the workplace.
OSHA accomplishes these goals through several
regulatory requirements including the HCS and
HAZWOPER standards.
OECD Council Decision A multilateral agreement
by the Organization for Economic Cooperation and
Development that establishes procedural and
substantive controls for the import and export of
recyclables between member nations. Because the
United States is a member of the OECD, U.S.
businesses can trade recyclables with other member
nations.
Off-Specification Used Oil Used oil that is tested
and does not meet given parameters for arsenic,
cadmium, chromium, flash point, lead, and total
halogens.
Omnibus Provision The authority which allows
EPA to add conditions to a TSDF permit that are not
specifically addressed by the RCRA regulations.
On-Specification Used Oil Used oil that meets all
the given parameters for arsenic, cadmium,
chromium, flash point, lead, and total halogens.
Open Dumps Solid waste disposal facilities that
fail to comply with the Subtitle D criteria.
Operating Requirements Parameters established
by a facility and written into a permit that will
ensure a combustion unit meets numerical
performance standards.
Operation and Maintenance The operation and
maintenance phase of the CERCLA response
process. Operation and maintenance may include
activities such as ground water pump and treat, and
cap maintenance. EPA conducts review of operation
and maintenance activities to ensure that the remedy
selected is still protective of human health and the
environment.
Overfiling When a state fails to enforce its
hazardous waste program properly, EPA can
overfile, or enforce a provision for which a
particular state has authorization.
Particulate Matter Small dust-like particles
emitted from hazardous waste combustion units.
Payment Bond For purposes of TSDF financial
assurance, a type of surety bond that will fund a
standby trust fund in the amount equal to the value
of the bond.
Per Occurrence For purposes of UST financial
responsibility, the amount of money that must be
available to pay for the costs from one leak.
Performance Bond For purposes of TSDF
financial assurance, a type of surety bond that
guarantees that an owner and operator will comply
with their closure, post-closure, and liability
requirements.
Performance Standards The numerical pollutant
emission limits for hazardous waste combustion
units developed by EPA.
Permanent Closure Closure of an UST that
involves a number of steps designed to ensure that
the tank will pose no threat to human health or the
environment after it is closed.
Permit-as-a-Shield The provision which ensures
that TSDF permittees will not be enforced against
for violating new requirements that were not
established in the original permit.
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Appendix D: Glossary
Permit-by-Rule A special form of a RCRA permit
that is sometimes granted to facilities with permits
for activities under other environmental laws.
Permitted Facilities Facilities that have obtained a
TSDF permit from EPA or the state agency to
engage in the treatment, storage, or disposal of
hazardous waste.
Point of Compliance For purposes of RCRA TSDF
ground water monitoring, the vertical point where a
TSDF owner and operator must monitor the
uppermost aquifer to determine if the leak exceeds
the ground water protection standard.
Point Source Discharges Discharges of treated
wastewater directly into a lake, river, stream, or
other water body. Point source discharges are
regulated under CWA.
Pollutants or Contaminants Any element,
substance, compound, or mixture that, after release
into the environment and upon exposure, ingestion,
inhalation, or assimilation into any organism, will or
may reasonably be anticipated to cause illness,
death, or deformation in any organism. The
definition of pollutant or contaminant specifically
excludes petroleum and natural gas.
Post-Closure Period after closure during which
owners and operators of solid or hazardous waste
disposal units conduct monitoring and maintenance
activities in order to preserve the integrity of the
disposal system.
Potentially Responsible Party The person or
persons who may be held liable for hazardous
substance contamination under CERCLA. PRPs
may include the owners and operators, generators,
transporters, and disposers of the hazardous
substances.
Precious Metals Reclamation The recycling and
recovery of precious metals (i.e., gold, silver,
platinum, palladium, iridium, osmium, rhodium, and
ruthenium) from hazardous waste.
Preliminary Assessment A review of all readily
available site information such as maps, deeds, and
other records to determine if further CERCLA
response action is necessary. During the PA, EPA
tries to determine what type of substances may have
been released and the potential impacts to human
health and the environment.
Principal Organic Hazardous Constituents
Selected organic constituents, which are high in
concentration and difficult to burn, that are
monitored to ensure a hazardous waste combustion
unit's destruction and removal efficiency.
Process Vent Any open-ended pipe or stack that is
vented to the atmosphere either directly, through a
vacuum-producing system, or through a tank
associated with hazardous waste distillation,
fractionation, thin-film evaporation solvent
extraction, or air or steam stripping operations.
Processors and Rerefiners Facilities that process
used oil so that it can be burned for energy recovery
or reused.
Procuring Agency Agencies that purchase $10,000
or more worth of an item designated under the
federal procurement program during the course of a
fiscal year. Procuring agencies include: federal
government departments or agencies; state
government agencies that use appropriated federal
funds for procurement of a designated item; local
government agencies that use appropriated federal
funds for procurement of a designated item, and
government contractors that work on a project
funded by appropriated federal funds with respect to
work performed under the contract.
Publicly Owned Treatment Works A municipal
wastewater treatment plant that receives domestic
sewage from households, office buildings, factories,
and other places where people live and work.
Treatment at a POTW is regulated by the CWA.
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Appendix D: Glossary
RCRAInfo A database that tracks RCRA Subtitle C
facility-specific data (i.e., events and activities
related to hazardous waste generators, transporters,
and TSDFs), and hazardous waste activity reports,
known as biennial reports, that are submitted by
LQGs and TSDFs.
Reactivity Characteristic The characteristic which
identifies wastes that readily explode or undergo
violent reactions.
Rebuttable Presumption For purposes of RCRA,
an objective test that focuses on the halogen level in
used oil to determine whether the used oil has been
mixed with a listed hazardous waste.
Reclaimed For purposes of defining a material as a
solid waste under RCRA Subtitle C, a material is
reclaimed if it is processed to recover a usable
product, or regenerated by processing it in a way that
restores it to usable condition.
Record of Decision A remedial action plan
document that describes the remedy selected for a
Superfund site.
Recovered Materials Advisory Notice A notice
that provides suggested recycled content levels and
other purchasing information for each item
designated in the CPG. Procuring agencies can use
these levels as guidelines, but are encouraged to
exceed EPA's recommendations.
Recovered Materials Content Levels The
minimum amount of recovered material that
designated items under the federal procurement
program should contain.
Recycled For purposes of defining a material as a
solid waste under RCRA Subtitle C, a material is
recycled if it is used or reused, or reclaimed.
Recycling The separation and collection of wastes,
their subsequent transformation or remanufacture
into usable or marketable products or materials, and
the purchase of products made from recyclable
materials.
Recycling Presumption The assumption that all
used oil that is generated will be recycled.
Regulated Community The group of organizations,
people, industries, businesses, and agencies that,
because they perform certain activities, fall under the
purview of RCRA.
Regulated Substance For purposes of UST
regulation, any hazardous substance defined under
CERCLA § 101 (14) and petroleum.
Regulations Rules issued by an agency, such as
EPA, that translate the general mandate of a statute
into a set of requirements that the regulated
community and the agency must work within.
Remedial Action Longer-term CERCLA response
actions that ultimately represent the final remedy for
a site and generally are more expensive and of a
longer duration than removals.
Remedial Action Plans Special form of RCRA
permit that a facility may obtain to treat, store, or
dispose of hazardous remediation waste at a
remediation waste management site.
Remedial Design/Remedial Action Remedial
design is a phase in the CERCLA response process
in which technical drawings are developed for the
chosen remedy, costs for implementing the remedy
are estimated, and roles and responsibilities of EPA,
states and contractors are determined. During the
remedial action phase, the remedy is implemented
generally by a contractor, with oversight and
inspection conducted by EPA or the state (or both).
Remedial Investigation/Feasibility Study A
remedial investigation is a phase in the CERCLA
response process that entails an in-depth
examination of the nature and extent of
contamination at a site and the associated risks to
human health and the environment. The feasibility
study entails an analysis of remedial action
alternatives comparing the advantages and
disadvantages of each.
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Appendix D: Glossary
Remediation Waste All solid and hazardous
wastes, and all media (including ground water,
surface water, soils, and sediments) and debris that
are managed for implementing cleanup.
Removal Action Short-term cleanup action taken
under CERCLA that usually addresses problems
only at the surface of a site. A removal is conducted
in response to an emergency, and generally is limited
to 12 months duration or $2 million in expenditures.
Risk Retention Groups For purposes of UST
financial responsibility, entities formed by
businesses or individuals with similar risks to
provide insurance coverage for those risks.
Risk-Based Decision-Making A process that uses
risk and exposure assessment concepts to help UST
implementing agencies establish enforcement
priorities.
Rulemakings Rules issued by an agency, such as
EPA, that translate the general mandate of a statute
into a set of requirements that the regulated
community and the agency must work within.
Safe Drinking Water Act The Act designed to
protect the nation's drinking water supply by
establishing national drinking water standards
(MCLs or specific treatment techniques), and by
regulating UIC wells.
Scrap Metal Worn or extra bits and pieces of metal
parts, such as scrap piping and wire, or worn metal
items, such as scrap automobiles and radiators.
Secondary Materials The five categories of solid
wastes regulated under Subtitle C, which include:
spent materials, by-products, sludges, commercial
chemical products, and scrap metal.
Sham Recycling Illegitimate activities executed
under the guise of recycling in order to be exempt
from or subject to lesser regulation.
Site Inspection An in-depth assessment of on-site
conditions, conducted as part of the CERCLA
response process, to rank the site's hazard potential
by determining the site's hazard ranking system
score. Activities to assess the site may include
sampling, field reconnaissance, and examination of
site records (e.g., topographical maps, logs).
Sludges Any solid, semisolid, or liquid wastes
generated from a wastewater treatment plant, water
supply treatment plant, or air pollution control
device.
Small Quantity Generators Facilities that generate
between 100 kg and 1,000 kg of hazardous waste per
calendar month.
Small Quantity Handlers of Universal Waste
Handlers that do not accumulate 5000 kg of all
universal waste categories combined at their location
at any one time.
Sole Active Ingredient For purposes of
determining if a waste is P or U listed, the only
chemical ingredient serving the function of a
commercial product formulation.
Solid Waste Any garbage, refuse, sludge from a
wastewater treatment plant, water supply treatment
plant, or air pollution control facility, and other
discarded material, including solid, liquid, semisolid,
or contained gaseous material, resulting from
industrial, commercial, mining, and agricultural
operations and from community activities. For the
purposes of hazardous waste regulation, a solid
waste is a material that is discarded by being either
abandoned, inherently waste-like, a certain waste
military munition, or recycled.
Solid Waste Management Units For purposes of
Subtitle C corrective action, discernible units where
solid or hazardous wastes have been placed at any
times, or any area where solid wastes have been
routinely and systematically released.
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Appendix D: Glossary
Source Reduction Maximizing or reducing the use
of natural resources at the beginning of an industrial
process, thereby eliminating the amount of waste
produced by the process. Source reduction is EPA's
preferred method of waste management.
Spent Materials Materials that have been used and
can no longer serve the purpose for which they were
produced without processing.
Spill Prevention Control and Countermeasures
Regulations establishing spill prevention procedures
and equipment requirements for nontransportation-
related facilities with certain aboveground or
underground storage capacities that could reasonably
be expected to discharge oil into or upon the
navigable waters of the United States or adjoining
shorelines.
Staging Pile An accumulation of solid, non-flowing
remediation waste that is not a containment building
and that is used only during remedial operations for
temporary storage at a facility.
State Assurance Funds For purposes of UST
financial responsibility, state funds that are used to
help pay for cleanup and third-party liability costs
resulting from leaking USTs.
State Authorization Tracking System A tool used
by EPA to chart those states that have been
authorized to implement the RCRA hazardous waste
program.
Statistical Inventory Reconciliation An UST
release detection method that involves using
sophisticated computer software to conduct a
statistical analysis of inventory, delivery, and
dispensing data in order to determine if a tank is
leaking.
Storage Holding hazardous waste for a temporary
period, after which the hazardous waste is treated,
disposed of, or stored elsewhere.
Storage Prohibition LDR provision that prevents
the indefinite storage of untreated hazardous waste
for reasons other than the accumulation of quantities
necessary for effective treatment or disposal.
Sudden Accidental Occurrences For purposes of
TSDF financial assurance, events that are not
continuous or repeated.
Superfund The common name for CERCLA.
Superfund refers to the entire CERCLA program as
well as the trust fund established to fund cleanup of
contaminated sites where potentially responsible
parties cannot be identified, or are unwilling or
unable to pay.
Superfund Amendments and Reauthorization Act
SARA, enacted in 1986, reauthorized and amended
CERCLA to include additional enforcement
authorities, technical requirements, community
involvement requirements, and various
clarifications. SARA Title III authorized EPCRA.
Supplemental Environmental Projects
Environmentally beneficial projects which a
defendant or respondent agrees to undertake in the
settlement of a civil or administrative enforcement
action, but which the defendant is not otherwise
legally required to perform.
Surety Bond A guarantee which certifies that a
surety company will cover TSDF financial assurance
or UST financial responsibility requirements on
behalf of the owner and operator.
Surface Impoundment A natural topographic
depression, man-made excavation, or diked area
formed primarily of earthen materials that is used to
treat, store, or dispose of hazardous waste.
Tank Tightness Testing A variety of UST release
detection methods used to determine if a tank is
leaking; most of these methods involve monitoring
changes in product level or volume in a tank over a
period of several hours.
Tanks Stationary devices used to store or treat
hazardous waste.
Technical Grade For purposes of determining if a
waste is P or U listed, a commercial chemical
product that is not 100 percent pure, but is of a grade
of purity that is either marketed or recognized in
general usage by the chemical industry.
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Appendix D: Glossary
Temporary Closure A method by which an UST
owner and operator can close a tank temporarily and
bring it back into service at a later date. The owner
and operator must continue to operate and maintain
the corrosion protection system and the leak
detection system if any product remains in the tank.
Temporary Units Containers or tanks that are
designed to manage remediation wastes during
corrective action at permitted or interim status
facilities.
Thermal Treatment The treatment of hazardous
waste in a device that uses elevated temperatures as
the primary means to change the chemical, physical,
or biological character or composition of the waste.
Totally Enclosed Treatment Units Units that are
designed and constructed to practically eliminate the
potential for hazardous wastes to escape into the
environment during treatment.
Toxic Substances Control Act The Act that
controls the manufacture and sale of certain
chemical substances.
Toxicity Characteristic The characteristic which
identifies wastes that are likely to leach dangerous
concentrations of toxic chemicals into ground water.
Toxicity Characteristic Leaching Procedure A lab
procedure designed to predict whether a particular
waste is likely to leach chemicals into ground water
at dangerous levels.
Transfer Facilities Any transportation-related
facility such as loading docks, parking areas, storage
areas, or other similar areas where shipments of
hazardous waste, used oil, or universal waste are
held temporarily during the normal course of
transportation.
Transporter Any person engaged in the off-site
transportation of hazardous waste, used oil, universal
waste, or medical waste.
Treatment Any method, technique, or process
designed to physically, chemically, or biologically
change the nature of a hazardous waste.
Treatment Standards LDR criteria that hazardous
waste must meet before it is disposed.
Treatment, Storage, and Disposal Facilities
Facilities engaged in the treatment, storage, or
disposal of hazardous waste. These facilities are the
last link in the cradle-to-grave hazardous waste
management system.
Trial Burn Burn conducted to test the performance
of a hazardous waste combustion unit over a range
of conditions.
Trust Fund A financial mechanism by which a
facility can set aside money in order to cover the
TSDF financial assurance or UST financial
responsibility requirements.
Underground Injection Control Well Units into
which hazardous waste is permanently disposed of
by injection 1/4 mile below an aquifer with an
underground source of drinking water (as defined
under SDWA).
Underground Storage Tanks A tank and any
underground piping connected to the tank that is
used to contain an accumulation of regulated
substances and that has at least 10 percent of its
combined volume underground.
Underlying Hazardous Constituents Constituents
that must be treated in order to meet contaminant-
specific levels for purposes of the LDR program.
Unit Pricing An economic incentive program used
to achieve source reduction and recycling, also
called variable rate refuse collection, where
customers who dispose of more waste pay more for
the collection and disposal services.
Universal Treatment Standards Contaminant-
specific hazardous waste LDR treatment levels.
Universal Wastes Commonly recycled wastes with
special management provisions intended to facilitate
recycling. There are four categories of universal
wastes: hazardous waste batteries, hazardous waste
pesticides that have been recalled or collected in
waste pesticide collection programs, hazardous
waste lamps, and hazardous waste thermostats.
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Appendix D: Glossary
Upgrading Retrofitting existing USTs to come into
compliance with the UST regulations. The
upgrading period expires on December 22, 1998.
Use Constituting Disposal The direct placement of
wastes or waste-derived products (e.g., asphalt with
petroleum refining wastes as an ingredient) on the
land.
Used Oil Any oil that has been refined from crude
or synthetic oil that has been used and, as a result of
such use, is contaminated by physical or chemical
impurities.
USTfield Abandoned or underutilized industrial and
commercial properties where redevelopment is
complicated by real or perceived environmental
petroleum contamination from federally-regulated
USTs.
Vapor Monitoring An UST release detection
method in which the equipment measures product
fumes in the soil around the UST to check for leaks.
Violation The act or an instance of breaking or
disregarding the law.
Waste Analysis Plan A plan that outlines the
procedures necessary to ensure proper treatment,
storage, or disposal of hazardous waste.
Waste Minimization The reduction, to the extent
feasible, in the amount of hazardous waste generated
prior to any treatment, storage, or disposal of the
waste. Because waste minimization efforts
eliminate waste before it is generated, disposal costs
may be reduced, and the impact on the environment
may be lessened.
Waste Pile An open pile used for treating or storing
nonliquid hazardous waste.
Wastewater Treatment Units Tanks or tank
systems that treat hazardous wastewaters and
discharge them pursuant to CWA.
WasteWiSe A program designed to assist
companies, states, local governments, Native
American tribes, and other institutions in developing
cost-effective practices to reduce solid waste.
Zero Discharges Wastewater that is not directly or
indirectly discharged to a navigable water (e.g.,
wastewater that is land disposed through spray
irrigation) under CWA. Zero discharge facilities are
subject to federal or state regulatory limitations that
are as strict as those that apply to direct and indirect
dischargers under CWA.
D-16
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APPENDIX E
ACRONYMS AND ABBREVIATIONS
ACL - Alternative Concentration Limit
AEA - Atomic Energy Act
APA - Administrative Procedures Act
API - American Petroleum Institute
ARAR - Applicable or Relevant and Appropriate
Requirement
ATSDR - Agency for Toxic Substances and Disease
Registry
BATF - Bureau of Alcohol, Tobacco, and Firearms
BDAT - Best Demonstrated Available Technology
BIF - Boiler and Industrial Furnace
BRS - Biennial Reporting System
CAA- Clean Air Act
CAMU - Corrective Action Management Unit
CAP - Capacity Assurance Plan
CBI - Confidential Business Information
CCP - Commercial Chemical Product
CDC - Centers for Disease Control
CERCLA - Comprehensive Environmental
Response, Compensation, and Liability Act
CERCLIS - Comprehensive Environmental
Response, Compensation, and Liability Act
Information System
CESQG - Conditionally Exempt Small Quantity
Generator
CFC - Chlorofluorocarbon
CFR - Code of Federal Regulations
CMI - Corrective Measures Implementation (see
Section III, Chapter 9)
CMS - Corrective Measures Study
CPG - Comprehensive Procurement Guideline
CWA-Clean Water Act
DOD - Department of Defense
DOE - Department of Energy
DOJ - Department of Justice
DOT - Department of Transportation
DRE - Destruction and Removal Efficiency
DSCM - Dry Standard Cubic Meter
ENU - Elementary Neutralization Unit
EPA ID - EPA Identification
EPCRA - Emergency Planning and Community
Right-to-Know Act
FIFRA - Federal Insecticide, Fungicide, and
Rodenticide Act
FOIA - Freedom of Information Act
GPRA - Government Performance and Results Act
GWPS - Ground water Protection Standard
H - Hazard Code
HAZWOPER - Hazardous Waste Operations and
Emergency Response Worker Protection Standard
HCS - Hazard Communication Standard
HRS - Hazard Ranking System
HSWA - Hazardous and Solid Waste Amendments
kg - kilogram
Ib - pound
LDR - Land Disposal Restrictions
LQG - Large Quantity Generator
E-1
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Appendix E: Acronyms and Abbreviations
LQHUW - Large Quantity Handler of Universal
Waste
LUST - Leaking Underground Storage Tank
MACT - Maximum Achievable Control Technology
MCL - Maximum Contaminant Level
MOA - Memorandum of Agreement
MPRSA - Marine Protection, Research, and
Sanctuaries Act
MSWLF - Municipal Solid Waste Landfill
NAAQS - National Ambient Air Quality Standards
NCAPS - National Corrective Action Prioritization
System
NCP - National Oil and Hazardous Substances
Pollution Contingency Plan
NESHAP - National Emission Standards for
Hazardous Air Pollutants
NPDES - National Pollutant Discharge Elimination
System
NPL - National Priorities List
NSPS - New Source Performance Standards
O&M - Operation and Maintenance
OECA - Office of Enforcement and Compliance
Assurance
OECD - Organization for Economic Cooperation
and Development
OPA - Oil Pollution Act
OSHA - Occupational Safety and Health Act
OSWER - Office of Solid Waste and Emergency
Response
PA - Preliminary Assessment
PCB - Polychlorinated Biphenyl
PEI - Petroleum Equipment Institute
POHC - Principal Organic Hazardous Constituent
POTW - Publicly Owned Treatment Works
ppm - parts per million
ppmw - parts per million by weight
PRP - Potentially Responsible Party
RBAC - Recycling and Reuse Business Assistance
Center
RBDM - Risk-Based Decision-Making
RCRA - Resource Conservation and Recovery Act
RCRIS - Resource Conservation and Recovery Act
Information System
RD&D - Research, Development, and
Demonstration
RD/RA - Remedial Design/Remedial Action
REDA - Recycling Economic Development
Advocate
RFA - RCRA Facility Assessment
RFI - RCRA Facility Inspection
RI/FS - Remedial Investigation/Feasibility Study
RIC - RCRA Information Center
RMAN - Recovered Materials Advisory Notice
ROD - Record of Decision
SARA - Superfund Amendments and
Reauthorization Act
SDWA - Safe Drinking Water Act
SIC - Standard Industrial Classification
SI - Site Inspection
SIR - Statistical Inventory Reconciliation
SPCC - Spill Prevention, Control, and
Countermeasures
SQG - Small Quantity Generator
SQHUW - Small Quantity Handler of Universal
Waste
StATS - State Authorized Tracking System
SWMU - Solid Waste Management Unit
TC - Toxicity Characteristic
TCLP - Toxicity Characteristic Leaching Procedure
TETU - Totally Enclosed Treatment Unit
TSCA - Toxic Substances Control Act
TSDF - Treatment, Storage, and Disposal Facility
UIC - Underground Injection Control
USPS - United States Postal Service
UST - Underground Storage Tank
UTS - Universal Treatment Standard
WIPP - Waste Isolation Pilot Project
WWTU - Wastewater Treatment Unit
E-2
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APPENDIX F
OSW ORGANIZATION CHART
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Appendix F: OSW Organization Chart
The Office of Solid Waste (OSW) contributes
to the Agency's goal of protecting human health and
the environment. Its principal responsibility is to
build a national waste management program,
implemented through EPA Regional Offices and
state programs, to manage solid and hazardous
waste in the United States. There are six divisions
which follow:
The Communications, Information, and
Resources Management Division (CIRMD) is
responsible for managing an outreach and
communications program to increase public
awareness about solid and hazardous waste
programs, managing the national RCRA information
systems, and providing administrative, budget, and
contract management support to the Office of Solid
Waste.
The Economics, Methods, and Risk Analysis
Division (EMRAD) is responsible for evaluating
toxicological and exposure data; developing health
and ecological risk assessment support; and
applying multimedia fate to transport models to
assist in the evaluation of the ecological and human
health impacts of solid waste management systems.
It prepares regulatory assessments, which include
societal costs and benefits of options for regulation
development, policy analysis, and legislative
initiatives under consideration within OSW. The
Division also develops and evaluates sampling,
statistical, and analytical methods to support RCRA
regulations and policies, and implements the RCRA
quality assurance program.
The Hazardous Waste Identification Division
(HWID) is responsible for conducting industry
studies to determine which wastes should be listed
as hazardous, and identifying the hazardous waste
characteristics. It also develops Agency policies
related to delisting, and develops regulations and
guidance regarding medical wastes, used oil,
generators and transporters of hazardous waste,
hazardous waste recycling, and the definition of
solid waste. The Division also develops policies
related to international hazardous waste management
and is the lead on issues related to the import and
export of hazardous waste, such as the Basel
Convention.
The Hazardous Waste Minimization and
Management Division (HWMMD) is responsible
for encouraging hazardous waste minimization,
establishing standards that assure safe treatment of
hazardous waste, and identifying data that must be
reported on waste generation, treatment, storage, and
disposal. HWMMD's responsibilities include the
Waste Minimization National Plan, the LDR
program, the EPA Combustion Strategy, and the
Waste Information Needs Project.
The Municipal and Industrial Solid Waste
Division (MISWD) is responsible for ensuring safe
management of municipal, industrial, and extractive
solid wastes by providing technical guidance,
regulations, policy, and information related to waste
prevention, recycling, and disposal to industry, EPA
Regional, state and tribal officials, and the general
public.
The Permits and State Programs Division
(PSPD) is responsible for the nationwide
implementation of a program to control hazardous
wastes including the permitting of facilities and the
authorization of states to operate their programs in
lieu of the federal program. The Division develops
regulations and guidance for the national corrective
action program which oversees site cleanups at
facilities that store, treat, or dispose of hazardous
waste. PSPD also provides technical support for
EPA Regions and states that are implementing the
programs.
F-2
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APPENDIX G
ENVIRONMENTAL CONTACTS
EPA INFORMATION SERVICES
Center for Environmental Research and Information (CERI),
Office of Research and Development (ORD) (513)569-7562
www.epa.gov/ORD/publications
Clean Air Technology Center (919)541-0800
www.epa.gov/ttn/catc
Environmental Appeals Board (EAB) (201) 501-7060
www.epa.gov/eab
EnvironmentalJustice Hotline (800)962-6215
www.epa.gov/compliance/environmentaljustice/index.html
Environmental Recycling Hotline/Earth's 911 (800)253-2687
www.earth911.org
Human Resources (202)564-4606
www.epa.gov/epahrist
Indoor Air Quality Clearinghouse (800) 438-4318
www.epa.gov/iaq
Information Resource Center (IRC) (202) 260-5922
www.epa.gov/natlibra/hqirc
Methods Information Communication Exchange
(MICE or Test Methods Hotline) (703) 676-4690
www. epa .g ov/epaoswer/h azwaste/test/m i ce. htm
National Lead Information Center (800) 424-5323
www.epa.gov/lead/nlic.htm
National Radon Hotline (800) 767-7236
www.epa.gov/iaq/radon/
National Service Center for Environmental Publications (800) 490-9198
www.epa.gov/ncepihom/
G-1
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Appendix G: Environmental Contacts
National Pesticides Information Center;
Federal Insecticide, Fungicide, and Rodenticide Act (800) 858-7378
npic.orst.edu/
Office of Atmospheric Programs (202)564-9140
www.epa.gov/ozone
Office of Congressional & Intergovernmental Relations (202) 564-5200
www.epa.gov/ocir
Pay-As-You-Throw Helpline (888)372-7298
www.epa.gov/payt
RCRA, Superfund & EPCRA Call Center (800)424-9346
www.epa.gov/epaoswer/hotline
Safe Drinking Water Hotline (800)426-4791
www.epa.gov/safewater
Toxic Substances Control Act Hotline (202) 554-1404
WasteWise (800)372-9473
www.epa.gov/wastewise
Wetlands Protection Hotline (800)832-7828
www.epa.gov/owow/wetlands/wetline.html
EPA DOCKETS
Office of Air and Radiation (202) 566-1742
Office of Enforcement and Compliance Assurance (202) 566-1514
Office of Solid Waste and Emergency Response
RCRA/UST (202)566-0270
Superfund/Oil (202)566-0276
Office of Environmental Information (Toxics Release Inventory) (202) 566-1752
Office of Pollution, Prevention, and Toxics (202) 566-0280
Office of Water (202)566-2426
FEDERAL GOVERNMENT INFORMATION SERVICES
Agency for Toxic Substances and Disease Registry (ATSDR) (888) 422-8737
www.atsdr.cdc.gov/
Council for Environmental Quality; National Environmental Policy Act (202) 395-5750
www.whitehouse.gov/ceq
G-2
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Appendix G: Environmental Contacts
Federal Consumer Information Center (800) 333-4636
www.pueblo.gsa.gov
Federal Information Center (800) 688-9889
www.info.gov
Government Printing Office (202) 512-1800
www.access.gpo.gov
Hazardous Materials Information Center (800) 467-4922
hazmat.dot.gov
National Technical Information Service (800) 553-6847
www.ntis.gov
National Institute for Occupational Safety and Health (NIOSH) (800) 356-4647
www.cdc.gov/niosh
National Response Center (800)424-8802
www.nrc.uscg.mil
Nuclear Regulatory Commission (301)415-8200
www.nrc.gov
Occupational Safety and Health Administration (OSHA)
Compliance Guidance Group (301)515-6796
www.osha.gov
G-3
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Ul
o
i
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United States
Enforcement and
&EPA
Environmental Protection Compliance Assurance
Agency (2224 A)
EPA-305-B-98-006
December 1998
Protocol for Conducting
Environmental Compliance
Audits of Treatment,
Storage and Disposal
Facilities under the
Resource Conservation
and Recovery Act
EPA Office of Compliance
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Notice
This document has been developed to assist in conducting environmental audits. The use of this document should
be restricted to environmental audits only. For example, areas such as safety, transportation, occupational health,
and fire protection are mentioned solely for clarification purposes. It is a summary of environmental regulations
under RCRA but it is not a substitute for a comprehensive knowledge of the regulations themselves. Any
variation between applicable regulations and the summaries contained in this guidance document are
unintentional, and, in the case of such variations, the requirements of the regulations govern.
This document is intended solely as guidance to explain performance objectives for environmental auditors.
Following the steps set forth in this guidance generally should result in compliance with those aspects of the
regulations that it covers. The U.S. Environmental Protection Agency (EPA) does not make any guarantee or
assume any liability with respect to the use of any information or recommendations contained in this document.
Regulated entities requiring additional information or advice should consult a qualified professional.
This guidance does not constitute rulemaking by the 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. EPA may take action at variance with
this guidance and its internal procedures.
Acknowledgements
EPA would like to gratefully acknowledge the support of the U.S. Army Corps of Engineers Construction
Engineering Research Laboratories (CERL) for their assistance in developing checklist items pertaining to the
RCRA Subpart CC and for providing suggestions for the overall format of 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 TSDFs under RCRA
Table of Contents
Notice inside cover
Acknowledgements inside cover
Section I: Introduction
Background ii
EPA's Policy on Environmental Audits ii
Purpose of the Protocols for Conducting Environmental Compliance Audits iv
How to Use This Protocol iv
List of Acronyms and Abbreviations vi
Section II: Audit Protocol
Applicability 1
Review of Federal Legislation 1
State and Local Regulations 2
Key Compliance Requirements 2
Key Terms and Definitions 3
Typical Records to Review 15
Typical Physical Features to Inspect 16
Index for Checklist Users 17
Checklist 19
Appendices
Appendix A: Identification and Listing of Hazardous Waste Al
Appendix B: Identification of Hazardous Waste Hazardous Constituents Bl
Appendix C: Commercial Chemical Products or Manufacturing Chemical Intermediates
Identified as Acute Hazardous Wastes Cl
Appendix D: Potentially Incompatible Hazardous Wastes Dl
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates El
Appendix F: Constituent Concentration in Waste Extract Fl
Appendix G: Treatment Methods Expressed as Specific Technologies Gl
Appendix H: Constituent Concentrations in Wastes HI
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 TSDFs under RCRA
Section I
Introduction
Background
The Environmental Protection Agency (EPA) is responsible for ensuring that businesses and organizations
comply with federal laws that protect the public health and the environment. Recently, EPA has begun
combining traditional enforcement activities with more innovative compliance approaches. In its Strategic Plan,
the Agency recognizes the need to assist the regulated community by providing compliance assistance and
guidance that will promote improved compliance and overall environmental performance (see Exhibit 1). EPA
encourages regulated entities to recognize compliance as the floor, rather than the ceiling, of environmental
performance by internalizing and implementing sound environmental practices. As part of that effort, EPA is
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.
Over the years, EPA has encouraged regulated entities to initiate environmental audit programs that support and
document compliance with environmental regulations. EPA has developed this audit protocol to provide
regulated entities with specific guidance in periodically evaluating their compliance with federal environmental
requirements.
Exhibit 1 - EPA's Credible Deterrent Goal
Within its Strategic Plan, EPA has established a goal to ensure full compliance with the laws intended to protect
human health and the environment. Within the framework of this goal, EPA's objectives are as follows:
Identify and reduce significant non-compliance in high priority program areas, while maintaining a strong
enforcement presence in all regulatory program areas,
Promote the regulated communities' voluntary compliance with environmental requirements through
compliance incentives and assistance programs.
EPA's Policy on Environmental Audits
In 1986, in an effort to encourage the use of environmental auditing, EPA published its "Environmental Auditing
Policy Statement" (see 51 FR 25004). The 1986 audit policy states that "it is 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, 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.
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 TSDFs under RCRA
Exhibit 2 - EPA's 1995 Audit Policy
Under the final Audit/Self Policing Policy, EPA will not seek gravity-based penalties and will not recommend
criminal prosecutions for companies that meet the requirements of the policy. Gravity-based penalties represent
the "seriousness" or punitive portion of penalties over and above the portion representing the economic gain from
non-compliance. The policy requires companies:
to promptly disclose and correct violations,
to prevent recurrence of the violation, and
to remedy environmental harm.
The policy excludes:
repeated violations,
violations that result in serious actual harm, and
violations that may present an imminent and substantial endangerment.
Corporations remain criminally liable for violations resulting from conscious disregard of their legal duties, and
individuals remain liable for criminal wrongdoing. EPA retains discretion to recover the economic benefit gained
as a result of noncompliance, so that companies will not be able to obtain an economic advantage over their
competitors by delaying investment in compliance. Where violations are discovered by means other than
environmental audits or due diligence efforts, but are promptly disclosed and expeditiously corrected, EPA will
reduce gravity-based penalties by 75% provided that all of the other conditions of the policy are met.
As a result of EPA's new audit policy, through March 1998, 247 companies have disclosed environmental
violations at more than 760 facilities and EPA has reduced or waived penalties for 89 companies and 433
facilities.
The final Audit/Self-Policing Policy was published in the Federal Register on December 22, 1995 (60 FR 66706).
It took effect on January 22, 1996. For further information, contact the Audit Policy Docket at (202) 260-7548 or
call (202) 564-4187.
In 1995, 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, 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 (see
Exhibit 2). These safeguards protect health and the environment by precluding policy relief for violations that
cause serious environmental harm or may have presented imminent and substantial endangerment, for example.
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 TSDFs under RCRA
Purpose of the Protocols for Conducting Environmental Compliance Audits
This protocol, which is part of a set containing other area or statutory specific audit protocols, is a tool to assist
you in conducting environmental audits, which should inform you whether your facility is in compliance with
federal regulations. EPA has developed these audit protocols to assist and encourage businesses and
organizations to perform environmental audits and disclose violations in accordance with EPA's audit policy. The
audit protocols are intended to promote consistency among regulated entities when conducting environmental
audits and to ensure that audits are conducted in a thorough and comprehensive manner.
Each protocol provides guidance on key requirements, defines regulatory terms, and gives an overview of the
federal laws affecting a particular environmental management area. It also includes a checklist containing
detailed procedures for conducting a review of facility conditions. In order to use these documents effectively,
you should be familiar with basic environmental auditing practices and the relevant environmental regulations
under Title 40 of the Code of Federal Regulations (CFR). The audit protocols are not intended to be exclusive or
limiting with respect to procedures that may be followed. EPA recognizes that other audit approaches and
techniques may be effective in identifying and evaluating a facility's environmental status and in formulating
recommendations to correct observed deficiencies.
These protocols can be used as a basis to implement, upgrade, or benchmark environmental management
activities. The protocols are a management tool for measuring and improving environmental performance by
correcting deficiencies uncovered by the audit (see Exhibit 3). This process is perhaps 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 those breakdowns in management oversight, information
exchange, and evaluation that allow environmental problems to recur. Thus, while an organization may have
developed an excellent record of dealing with a symptom, such as spill response, the underlying problem or "root
cause" has not been addressed. Furthermore, identifying the root cause of an audit finding can mean identifying
not only the failures that require correction but also the successes. 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.
Exhibit 3 - Corrective Action Model
Audit
i
N
Improve
Environmental
Mgmt. System
Effectiveness
Ni
Identify
Problems
1
Fix
Problems
Develop Actions
to Correct
Underlying
Causes
Analyze
Exceptions
for
Cause/Effect
*
Group Findings
for Common
Causes
1
Examine each
Group for
Underlying
Causes
How to Use This Protocol
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
IV
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
To conduct effective compliance audits, the auditor or audit team needs to possess sound working knowledge of
the operations and processes to be reviewed, the relevant regulations that apply to a given facility, and of
acceptable auditing practices. The audit protocol should be used as a planning tool to assist the auditor in
understanding the requirements for conducting a comprehensive audit. This document will provide the user with
a generic audit approach to regulatory issues that may require closer examination. Once the general issues are
identified through the use of this protocol, the auditor should perform a more detailed investigation to determine
the specific area of noncompliance to be corrected. The auditor should review federal, state and local
environmental requirements and annotate the protocol, as required, to include other applicable requirements not
included in the protocol.
The auditor also should determine which regulatory agency has authority for implementing an environmental
program so that the proper set of regulations is consulted. State programs that implement federally mandated
programs may contain more stringent requirements. This protocol should not be used as a substitute for the
applicable regulations.
The collective set of the audit protocols developed by EPA is 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. Each protocol is not intended to be an exhaustive set of procedures; rather it is
meant to inform the auditor, about the degree and quality of evaluation essential to a thorough environmental
audit. EPA is aware that other audit approaches may provide an effective means of identifying and assessing
facility environmental status and in developing corrective actions.
Each protocol contains the following information:
List of acronyms and abbreviations used in the document,
Applicability - provides guidance on the major activities and operations included in the protocol and a brief
description of how the protocol is applied,
Review of federal legislation - identifies key issues associated with the subject protocol area,
State and local regulations - identifies typical issues normally addressed in state and local regulations but
does not present individual state/local requirements,
Key compliance requirements - summarizes the overall thrust of the regulations for that particular protocol,
Key compliance definitions - defines important terms,
Typical records to review - highlights documents, permits and other pertinent paperwork that should be
reviewed by an auditor and reconciled against regulatory requirements,
Typical physical features to inspect - highlights pollution control equipment, manufacturing and process
equipment and other areas that should be visited and evaluated during an audit,
Index for checklist users - outlines different areas of the checklist that may pertain to the facility being
audited,
Checklist - matches the regulatory requirements with the tasks that should be accomplished by the auditor,
and
Appendices - supporting information for the checklist (e.g., regulatory deadlines, lists of contaminants,
wastes, and required testing procedures). Note: information contained in the appendices is dated and should
be verified with a current version of the applicable federal regulations.
The checklist delineates 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.
Good management practices are distinguished from regulatory requirements in the checklist by the acronym (MP)
and are printed in italics. The regulatory citation is given in parentheses after the requirement. The right column
gives instructions to help conduct the evaluation. These instructions are performance objectives that should be
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein. v
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
accomplished by the auditor. Some of the performance objectives may be simple documentation checks that take
only a few minutes; others may require a time-intensive physical inspection of a facility.
EPA is presently is the process of developing a series of audit protocol application guides to serve as companion
documents to the set of protocols. The application guides will provide the auditor with a matrix that identifies
and cross-references certain site-specific activities or unit operations with particular environmental aspects of
that activity. For example, managing hazardous waste containers is a site-specific activity with environmental
concerns, such as possible releases to air, and water, that may require additional review through auditing. By
using the application guide the user can identify facility specific practices that require more in-depth review. In
addition, the application guides will also direct the user to specific protocols and sections (e.g., checklist items)
of the protocol to determine areas that are regulated and require auditing.
List of Acronyms and Abbreviations
Btu British thermal unit
CAA Clean Air Act
CAMU Corrective action management unit
CCW Constituent concentrations in wastes
CERCLA Comprehensive Environmental Response, Compensation, and Liability Act (or Superfund)
CESQG Conditionally exempt small quantity generator
CFR Code of Federal Regulations
cm Centimeter
CO Carbon monoxide
CQA Construction quality assurance
CWA Clean Water Act
DOT Department of Transportation
DRE Destruction and removal efficiency
dscm Dry standard cubic meter
EPA Environmental Protection Agency
FR Federal Register
ft. Feet/Foot
g Gram
gal. Gallon
h Hour
ha Hectare
HC1 Hydrogen chloride
HOC Halogenated organic compound
hr. Hour
HSWA Hazardous and Solid Waste Amendments
in. Inch
kg Kilogram
km Kilometer
L Liter
Ib. Pound
LQG Large quantity generator
m Meter
meq Milliequivalent
mg Milligram
Mg Megagram
mi. Mile
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
VI
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
MJ Megajoule
mm Millimeter
MP Management practice
NOV Notice of violation
NRC National Response Center
OB/OD Open burning/open detonation
PCB Polychlorinated biphenyls
PL Public Law
POHC Principal organic hazardous constituent
POTW Publicly owned treatment works
ppm Parts per million
ppmv Parts per million by volume
ppmw Parts per million by weight
RCRA Resource Conservation and Recovery Act
scf Standard cubic foot
scm Standard cubic meter
SDWA Safe Drinking Water Act
SPCC Spill prevention, control, and countermeasure
SQG Small quantity generator
TOC Total organic carbon
TSD Treatment, storage, and disposal
TSDF Treatment, storage, and disposal facility
TSS Total suspended solids
TU Temporary unit
UIC Underground injection control
U.S. United States
USC United States Code
UST Underground storage tank
VO Volatile organic
VOC Volatile organic compound
yr. Year
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
VII
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
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This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein. viii
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Section II
Audit Protocol
Applicability
This protocol applies to facilities that store, treat, or dispose of hazardous waste. Not all checklist items will be
applicable to a particular facility. Guidance is provided on the checklists to direct the auditor to the regulations
concerning the type of hazardous waste activities/facilities on the site.
There are numerous environmental regulatory requirements administered by federal, state and local governments.
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.
Review of Federal Legislation
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 forthe 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 (EPA) promulgated regulations at 40 CFR Parts 260-299, establishing a
"cradle-to-grave" system that governs hazardous waste from the point of generation to its treatment or disposal.
RCRA also governs the management of used oil. Regulations promulgated under RCRA (40 CFR 279) establish
management standards for used oil generators, collection center aggregation points, transporters, transporter
facilities, used oil processors, rerefmeries, used oil burners who burn off-specification used oil for energy
recovery, used oil fuel marketers, and for use and disposal of oil used as a dust suppressant.
The 1984 Hazardous and Solid Wastes Amendments (HSWA) greatly expanded the requirements and coverage
of RCRA. A significant provision of HSWA is the prohibition on the land disposal of hazardous waste. The land
disposal restrictions (LDRs) promulgated by 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). This document does not provide audit guidance for
underground or above ground storage tanks regulated under RCRA. Audit guidance and technical
information on above and underground storage tanks is provided by EPA in a separate protocol titled Protocol for
Conducting Environmental Compliance Audits of Underground and Above Ground Storage Tanks and is
expected to be available in 1999.
After assessing air emissions at TSDFs, the EPA ascertained that volatile organic chemicals (VOCs) adversely
affect human health and the environment. In response, EPA promulgated three subparts of RCRA rules designed
to control VOCs. In 1990, EPA issued Subparts AA and BB, which amended 40 CFR Parts 264 and 265. Subpart
AA governs organic chemical emissions from certain hazardous waste treatment processes, while Subpart BB
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 TSDFs under RCRA
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.
State and Local Regulations
RCRA encourages states to develop their own parallel regulatory programs for hazardous waste management.
This includes the enacting of statutory authority and operating hazardous waste regulatory programs. Many states
have met the requirements established by EPA in 40 CFR271 (Requirements for Authorization of state
Hazardous Waste Programs) and have been approved to manage their own state programs. Many states have
adopted the EPA regulations by reference or have promulgated regulations that are identical to the 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, some states have listed additional waste
as hazardous waste (used oil, PCBs, asbestos). 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 and tailor this checklist accordingly.
Key Compliance Requirements
Financial Responsibility
Owners/operators of hazardous and solid waste landfills have financial assurance responsibilities as defined in
Subpart H of 40 CFR Parts 258, 264, and 265. A written estimate of costs for closure, post-closure care, liability
and sudden and non-sudden occurrences is required. These estimates are to be updated annually; some states may
require a more frequent update.
Permitted TSDF Requirements
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
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 TSDFs under RCRA
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 Part 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 EPA of hazardous waste activity and complies with application requirements under 40 CFR
Part 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 Part 264) are facility-specific requirements that are
incorporated into a TSDF permit.
TSDF Requirements - Subpart CC
Subpart CC applies to tanks, surface impoundments, containers, and certain miscellaneous units that:
are not expressly exempted from the rule;
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
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).
Transport Requirements
Containers of hazardous waste shipped offsite must be labeled to identify the waste and its hazard class.
Shipments from the facility to an off-site TSDF must also be accompanied by manifests and are subject to the full
transportation requirements as stipulated in Department of Transportation (DOT) hazardous materials
transportation regulations.
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.
This 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.
Key Terms and Definitions
Acknowledgement of Consent
The cable sent to the EPA from the U.S. Embassy in a receiving country that acknowledges the written consent of the
receiving country to accept the hazardous waste and describes the terms and conditions of the receiving country's
consent to the shipment (40 CFR 262.51).
Active Life
The period from the initial receipt of hazardous waste at the facility until the regulatory agency receives
certification of final closure (40 CFR 260.10).
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 TSDFs under RCRA
Active Portion
That portion of a facility where treatment, storage, or disposal operations are being or have been conducted and
which is not a closed portion (40 CFR 260.10).
Acute Hazardous Waste
Any waste listed under 40 CFR 261.31 through 261.33(c) with a hazard code of H. These include EPA hazardous
waste numbers: F020, F021, F022, F023, F026, and F027 (40 CFR 261.31) and the P listed wastes in 40 CFR
261.33(e).
Aquifer
A geologic formation, group of formations, or part of a formation capable of yielding a significant amount of
groundwater to wells or springs (40 CFR 260.10).
Average Volatile Organic (VO) Concentration
The mass-weighted average VO concentration of ahazardous waste (40 CFR 265.1081).
Boiler
An enclosed device using controlled flame combustion and having the following characteristics (40 CFR 260.10):
The unit has physical provisions for recovering and exporting thermal energy in the form of steam, heated
fluids, or heated gases;
The unit's combustion chamber and primary energy recovery section(s) must be of integral design;
While in operation the unit maintains a thermal energy recovery efficiency of at least 60 percent;
The unit has been approved by the EPA's Administrator; and
The unit must export and utilize 75% of the recovered energy.
Certification
A statement of professional opinion based upon knowledge and belief (40 CFR 260.10).
Characteristics of Hazardous Waste
The characteristics of ignitability, corrosivity, reactivity, and toxicity, which identify a waste as hazardous waste
(40 CFR 261.20 through 261.24).
Closed Portion
The portion of a facility that has been closed in accordance with the approved closure plan and all applicable
closure requirements (40 CFR 260.10).
Competent Authorities
The regulatory authorities of concerned countries having jurisdiction over transfrontier movements of wastes destined
for recovery operations (40 CFR 262.81).
Consignee
The ultimate treatment, storage, or disposal facility in a receiving country to which the hazardous waste will be sent (40
CFR 262.51).
Container
Any portable device in which a material is stored, transported, treated, disposed of, or otherwise handled (40
CFR 260.10).
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 TSDFs under RCRA
Containment Building
A hazardous waste management unit that is used to store or treat hazardous waste under 40 CFR 264.1100
through 264.1103 and 40 CFR 265.1100 through 265.1103 (40 CFR 260.10).
Contingency Plan
A document setting out an organized, planned, and coordinated course of action to be followed in case of a fire,
explosion, or release of hazardous waste or hazardous waste constituents which could threaten human health or
the environment (40 CFR 260.10).
Corrective Action Management Unit (CAMU)
An area within a facility that is designated by the regulatory agency under 40 CFR 264 Subpart S, for the purpose
of implementing corrective action requirements under 264.101 and RCRA section 3008(h). A CAMU shall only
be used for the management of remediation wastes pursuant to implementing such corrective action requirements
at the facility (40 CFR 260.10).
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 form the unit or a cover may be
formed by structural features permanently integrated into the design of the unit (40 CFR 265.1081).
Debris
Solid material exceeding a 60 mm particle size that is intended for disposal and that is a manufactured object,
plant or animal matter, or natural geologic material. The following materials are not debris: any material for
which a specific treatment standard is provided; process residuals such as smelter slag and residues from the
treatment of waste, wastewater, sludges, or air emissions residues; and intact containers of hazardous waste that
are not ruptured and retain at least 75 percent of their original volume (40 CFR 268.2).
Designated Facility
A hazardous waste TSDF that is identified on a manifest as the destination of a hazardous waste shipment. The
facility must have an appropriate permit, interim status, or be regulated under specific recycling requirements (40
CFR 260.10).
Detonation
An explosion in which chemical transformation passes through the material faster than the speed of sound (0.33
km/s at sea level) (40 CFR 265.382).
Dike
An embankment or ridge of either natural or man-made materials used to prevent the movement of liquids,
sludges, solids, or other materials (40 CFR 260.10).
Discharge or Hazardous Waste Discharge
The accidental or intentional spilling, leaking, pumping, pouring, emitting, emptying, or dumping of hazardous
waste into or on any land or water (40 CFR 260.10).
Disposal
The discharge, deposit, injection, dumping, spilling, leaking, or placing of any solid waste or hazardous waste
into or on any land or water so that such solid waste or hazardous waste or any constituent thereof may enter the
environment or be emitted into the air or discharged into any waters, including groundwaters (40 CFR 260.10).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein. 5
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Do-it-Yourselfer Used Oil Collection Center
Any site or facility that accepts/aggregates and stores used oil collected only from household do-it-yourselfers.
Elementary Neutralization Unit
A device used for neutralizing only those hazardous wastes that exhibit corrosivity (as defined in 40 CFR 261.22)
or are listed in Subpart D of 40 CFR 261 only because of corrosivity and that meets the definition of tank, tank
system container, transport vehicle, or vessel in 40 CFR 261.10 (40 CFR 260.10).
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).
EPA Hazardous Waste Number
The number assigned by EPA to each hazardous waste listed in Part 261, Subpart D and to each characteristic
identified in Part 261, Subpart C (40 CFR 260.10).
EPA Identification Number
The number assigned by EPA to each generator, transporter, and treatment, storage, or disposal facility (40 CFR
260.10).
Existing Hazardous Waste Management Facility or Existing Facility
A facility which was in operation or for which construction commenced on or before November 19, 1980 (40
CFR 260.10).
Existing Portion
The land surface area of an existing waste management unit, included in the original Part A permit application,
on which wastes have been placed prior to the issuance of a permit (40 CFR 260.10).
External Floating Roof
A pontoon or double-deck type floating roof that rests on the surface of a hazardous waste being managed in a tank that
has no fixed roof (40 CFR 265.1081).
Facility
All contiguous land and structures, other appurtenances, and improvements on the land, used for treating, storing,
or disposing of hazardous waste. A facility may consist of several treatment, storage, or disposal operational units
(e.g., one or more landfills, surface impoundments, or combination of them) (40 CFR 260.10).
Final Closure
The closure of all hazardous waste management units at the facility in accordance with all applicable closure
requirements so that hazardous waste management activities under 40 CFR Parts 264 and 265 are no longer
conducted at the facility unless subject to the provisions of §262.34 (40 CFR 260.10).
Fixed Roof
A cover that is mounted on a unit in a stationary position and does not move with fluctuations in the level of 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).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein. 6
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
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).
Food-Chain Crops
Tobacco, crops grown for human consumption, and crops grown for feed for animals whose products are
consumed by humans (40 CFR 260.10).
Free Liquids
Liquids which readily separate from the solid portion of a waste under ambient temperature and pressure (40
CFR 260.10).
Groundwater
Water below the land surface in a zone of saturation (40 CFR 260.10).
Halogenated Organic Compounds (HOC)
Those compounds having a carbon-halogen bond which are listed in Appendix A (40 CFR 268.2).
Hazardous Debris
Debris that contains a hazardous waste or that exhibits a characteristic of hazardous waste (40 CFR 268.2).
Hazardous Waste
A solid waste identified as a characteristic or listed hazardous waste in 40 CFR 261.3 (40 CFR 260.10).
Hazardous Waste Constituent
A constituent that caused the hazardous waste to be listed in 40 CFR Part 261, Subpart D (lists of hazardous
wastes from non-specific and specific sources, and listed hazardous wastes), or a constituent listed in the table of
maximum concentrations of contaminants for the toxicity characteristic) (40 CFR 260.10).
Hazardous Waste Management Unit
A contiguous area of land on or in which hazardous waste is placed, or the largest area in which there is
significant likelihood of mixing hazardous waste constituents in the same area. Examples include a surface
impoundment, a waste pile, a treatment area, a landfill cell, an incinerator, a tank and its associated piping and
underlying containment system, and a container storage area. A container alone does not constitute a unit; the
unit includes containers and the land or pad upon which they are placed (40 CFR 260.10).
In Light Liquid Service
The piece of equipment contains or contacts a waste stream where the vapor pressure of one or more of the organic
components in the stream is greater than 0.3 kPa at 20°C, the total concentration of the pure organic components
having a vapor pressure greater than 0.3 kPa at 20°C is equal to or greater than 20 percent by weight, and the fluid is a
liquid at operating conditions (40 CFR 264.1031).
In Light Material Service
The container is used to manage a material for which both of the following conditions apply:
The vapor pressure of one or more of the organic constituents in the material is greater than 0.3 kPa at 20°C
The total concentration of the pure organic constituents having a vapor pressure greater than 0.3 kPa at 20°C is
equal to or greater than 20 percent by weight (40 CFR 265.1081).
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 TSDFs under RCRA
Incinerator
An enclosed device using controlled flame combustion that neither meets the criteria for classification as a boiler
nor is listed as an industrial furnace (40 CFR 260.10).
Incompatible Waste
A hazardous waste that is unsuitable for:
Placement in a particular device or facility because it may cause corrosion or decay of containment materials
(e.g., container liners or tank walls); or
Commingling with another waste or material under uncontrolled conditions because the commingling
conditions produce heat or pressure; fire or explosion; violent reaction; toxic dusts, mist, fumes, or gases; or
flammable fumes or gases (40 CFR 260.10).
Industrial Furnace
Any of the following enclosed devices that are integral components of manufacturing processes and that use controlled
flame devices to accomplish recovery of materials or energy: cement kilns, lime kilns, aggregate kilns, phosphate kilns,
coke ovens, blast furnaces, smelting, melting and refining furnaces, titanium dioxide chloride process oxidation
reactors, methane reforming furnaces, pulping liquor recovery furnaces, combustion devices used in the recovery of
sulfur values from spent sulfuric acid, halogen acid furnaces, and other devices designated by the administrator (40
CFR 260.10).
Injection Wells
A well into which fluids are injected (40 CFR 260.10).
Inner Liner
A continuous layer of material placed inside a tank or container which protects the construction materials of the
tank or container from the contained waste or reagents used to treat the waste (40 CFR 260.10).
International Shipment
The transportation of hazardous waste into or out of the jurisdiction of the United States (40 CFR 260.10).
Land Disposal
Includes, but is not limited to, any placement of hazardous waste in a landfill, surface impoundment, waste pile,
injection well, land treatment facility, salt dome formation, underground mine or cave, or placement in a concrete
vault or bunker intended for disposal purposes (40 CFR 268.2).
Land Treatment Facility
A facility or part of a facility at which hazardous waste is applied onto or incorporated into the soil surface; such
facilities are disposal facilities if the waste will remain after closure (40 CFR 260.10).
Landfill
A disposal facility or part of a facility where hazardous waste is placed in or on land and which is not a land
treatment facility, a surface impoundment, an underground injection well, a salt bed formation, an underground
mine, or a cave (40 CFR 260.10).
Landfill Cell
A discrete volume of ahazardous waste landfill which uses a linerto provide isolation of wastes from adjacent
cells or wastes. Examples include trenches and pits (40 CFR 260.10).
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 TSDFs under RCRA
Leachate
Any liquid, including any suspended components in the liquid, that has percolated through or drained from
hazardous waste (40 CFR 260.10).
Leak Detection System
A system capable of detecting the failure of either the primary or secondary containment structure or the presence
of a release of hazardous waste or accumulated liquid in the secondary structure. Such a system must employ
operational controls (e.g., daily visible containment for releases into the secondary containment system of
aboveground tanks) or consist of an interstitial monitoring device designed to detect continuously and
automatically the failure of the primary or secondary containment structure or the presence of a release of
hazardous waste into the secondary containment structure (40 CFR 260.10).
Liner
A continuous layer of natural or man-made materials, beneath or on the sides of a surface impoundment, landfill,
or landfill cell, which restricts the downward or lateral escape of hazardous waste, hazardous waste constituents,
or leachate (40 CFR 260.10).
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).
Management or Hazardous Waste Management
The systematic control of the collection, source separation, storage, transportation, processing, treatment,
recovery, and disposal of hazardous waste (40 CFR 260.10).
Management Practice (MP)
Practices which, although not mandated by law, are encouraged to promote safe operating procedures.
Manifest
The shipping document originated and signed by the generator containing the information required by 40 CFR
262, Subpart B (40 CFR 260.10).
Manifest Document Number
The EPA 12-digit number assigned to the generator plus a unique 5 digit number assigned to the manifest by the
generator for recording and reporting purposes (40 CFR 260.10).
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 TSDFs under RCRA
Miscellaneous Unit
A hazardous waste management unit where hazardous waste is treated, stored, or disposed of and that is not a
container, tank, surface impoundment, pile, land treatment unit, landfill, incinerator, boiler, industrial furnace,
underground injection well with appropriate technical standards under 40 CFR 146, containment building, or unit
eligible for a research development and demonstration permit under 40 CFR 270.65 (40 CFR 260.10
Movement
Hazardous waste transported to a facility in an individual vehicle (40 CFR 260.10).
New Hazardous Waste Management Facility
A facility which began operation, or for which construction commenced after October 21, 1976 (40 CFR 260.10).
No Detectable Emissions
No escape of organics to the atmosphere as determined by using the procedures specified in 40 CFR 265.1084(d) (40
CFR 265.1081).
Nonwastewaters
Wastes that do not meet the criteria for wastewaters (40 CFR 268.2) (see definition of wastewaters).
Notifier
The person under jurisdiction of the exporting country who has, or will have at the time the planned transfrontier
movement commences, possession or other forms of legal control of the wastes and who proposes their transfrontier
movement for the ultimate purpose of submitting them to recovery operations. When the United States is the exporting
country, notifier is interpreted to mean a person domiciled in the U.S. (40 CFR 262.81).
OECD Country
Designated member countries of the Organization for Economic Cooperation and Development (OECD) consisting of
Austria, Belgium, Denmark, Finland, France, Germany, Greece, Iceland, Ireland, Italy, Japan, Luxembourg,
Netherlands, New Zealand, Norway, Portugal, Spain, Sweden, Switzerland, Turkey, United Kingdom, and the United
States. Canada and Mexico are considered OECD member countries under the RCRA regulations only for the purpose
of transit (40 CFR 262.58).
On site
On the same or geographically continuous property which may be divided by a public right-of-way, provided the
entrance and exit between the properties is at a cross-roads intersection and access is by crossing as opposed to
going along the right-of-way (40 CFR 260.10).
Open Burning
Combustion of any material without the following characteristics (40 CFR 260.10):
Control of combustion air to maintain adequate temperature for efficient combustion,
Containment of the combustion-reaction in an enclosed device to provide sufficient residence time and
mixing for complete combustion,
Control of emission of the gaseous combustion products.
Partial Closure
The closure of a hazardous waste management unit in accordance with the applicable closure requirements of 40
CFR 264 and 265 at a facility that contains other active hazardous waste management units. For example, partial
closure may include the closure of a tank (including its associated piping and underlying containment systems)
while other units of the same facility continue to operate (40 CFR 260.10).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein. 10
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Pile
Any non-containerized accumulation of solid, nonflowing hazardous waste that is used for treatment or storage
that is not a containment building (40 CFR 260.10).
Point of Waste Treatment
The point where a hazardous waste exits a waste management unit used to destroy, degrade, or remove organics in the
hazardous waste (40 CFR 265.1081).
Point Source
Any discernible, confined, and discrete conveyance, including but not limited to any pipe, ditch, channel, tunnel,
conduit, well, discrete fissure, container, rolling stock, concentrated animal feeding operation, or vessel or
floating craft, from which pollutants are or may be discharged. This term does not include return flows from
irrigated agriculture (40 CFR 260.10).
Pollution Prevention
The term includes equipment or technology modifications; process or procedure modifications; reformulation or
redesign of products; substitution of raw materials; and improvements in housekeeping, maintenance, training or
inventory control as defined in the Pollution Prevention Act.
Primary Exporter
Any person who is required to originate the manifest for a shipment of hazardous waste in accordance with 40 CFR
262, Subpart B or an equivalent state provision, that specifies a treatment, storage, or disposal facility in a receiving
country as the facility to which the hazardous waste will be sent and any intermediate arranging for the export (40 CFR
262.51).
Prohibited Wastes
A subset of restricted wastes (under the land disposal restriction (LDR) regulations) that have established treatment
standards, are not subject to variances or waiver, and do not meet the respective treatment standard.
Publicly Owned Treatment Works (POTW)
Any device or system used in the treatment (including recycling and reclamation) of municipal sewage or
industrial wastes of a liquid nature which is owned by a state or municipality (as defined by section 502(4) of the
CWA). This definition includes sewers, pipes, or other conveyances only if they convey wastewater to a POTW
providing treatment (40 CFR 260.10).
Pump Operating Level
A liquid level proposed by the owner or operator and approved by the regulatory agency based on pump
activation level, sump dimensions, and level that avoids backup into the drainage layer and minimizes head in the
sump (40 CFR264.226(d)(3)).
Qualified Groundwater Scientist
A scientist or engineer who has received a baccalaureate or postgraduate degree in the natural sciences or
engineering and has sufficient training and experience in groundwater hydrology and related fields as may be
demonstrated by state registration, professional certification, or completion of accredited university courses that
enable that individual to make sound professional judgments regarding groundwater monitoring and contaminant
fate and transport (40 CFR 260.10).
RCRA Permit Programs
RCRA regulations under 40 CFR 258.50-258.58 outline the requirements of a groundwater monitoring and
corrective action program. RCRA regulations under 40 CFR 264 and 265 require that any facility that treats,
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein. 11
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
stores or disposes of hazardous waste must apply to the state for an operating permit. If the state has not yet
given final approval or denial of the permit application, then the facility is considered an "interim status" facility,
and the temporary permit issued by the state is called a "Part A permit." If a final permit, called a "Part B
permit" has been issued, then the facility is considered a Treatment, Storage, and Disposal Facility (TSDF). The
facility RCRA permit, whether it is Part A or B, will have requirements in it for groundwater monitoring and
those requirements tend to differ from state to state.
In the federal regulations, there are basic requirements for both interim status facilities and TSDFs including the
development and maintenance of a groundwater monitoring program. The programs generally have different
levels of requirements depending on the potential level of groundwater contamination at the facility, and
proximity to sensitive receptors.
Receiving Country
A foreign country to which a hazardous waste is sent for the purpose of treatment, storage, or disposal (except short-
term storage incidental to transportation) (40 CFR 262.51).
Regional Administrator
The Regional Administrator for the EPA Region in which the facility is located, or his designee.
Replacement Unit
A landfill, surface impoundment or waste pile unit (40 CFR 260.10) from which all or substantially all of the
waste is removed, and that is subsequently reused to treat, store, or dispose of hazardous waste. This does not
apply to a unit from which waste is removed during closure, if the subsequent reuse solely involves the disposal
of waste from that unit and other closing units or corrective action areas at the facility, in accordance with an
approved closure plan or EPA or state approved corrective action.
Representative Sample
A sample of a universe or whole (e.g., waste pile, lagoon, groundwater) which can be expected to exhibit the
average properties of the universe or whole (40 CFR 260.10).
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.
Restricted Wastes
The RCRA hazardous wastes that are subject to the LDR program. A waste is restricted if EPA has established a
treatment standard for it, or if it has been specifically designated by Congress as ineligible for land disposal.
Runoff
Any rainwater, leachate, or other liquid that drains from any part of a facility (40 CFR 260.10).
Run-on
Any rainwater, leachate, or other liquid that drains onto any part of a facility (40 CFR 260.10).
Sludge
Any solid, semi-solid, or liquid waste generated from a municipal, commercial, or industrial wastewater
treatment plant, water supply treatment plant, or air pollution control facility exclusive of the treated effluent
from a wastewater treatment plant (40 CFR 260.10).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein. 12
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Storage
The holding of hazardous wastes for a temporary period, at the end of which the hazardous wastes are treated,
disposed of, or stored elsewhere (40 CFR 260.10).
Sump
Any pit or reservoir that meets the definition of tank and those troughs/trenches connected to it that serve to
collect hazardous waste for transport to hazardous waste TSDFs. Except that as used in the landfill, surface
impoundment, and waste pile rules, "sump" means any lined pit or reservoir that serves to collect liquids drained
from a leachate collection and removal system or leak detection system for subsequent removal from the system
(40 CFR 260.10).
Surface Impoundment
A facility or part of a facility that is a natural topographic depression, manmade excavation, or diked area formed
primarily of earthen materials designed to hold an accumulation of liquid wastes or wastes containing free liquids
and which is not an injection well (40 CFR 260.10).
Thermal Treatment
The treatment of hazardous waste in a device that uses elevated temperature as the primary means to change the
chemical, physical, or biological character or composition of the hazardous waste (40 CFR 260.10).
Totally Enclosed Treatment Facility
A facility for the treatment of hazardous waste which is directly connected to an industrial production process and
which is constructed and operated in a manner which prevents the release of any hazardous waste or any constituent
thereof into the environment during treatment. An example is a pipe in which waste acid is neutralized (40 CFR
260.10).
Transfer Facility
Any transportation-related facility including loading docks, parking areas, storage areas and other similar areas
where shipments of hazardous wastes are kept during the normal course of transportation (40 CFR 260.10).
Transfrontier Movement
Any shipment of hazardous wastes destined for recovery operations from an area under the national jurisdiction of one
OECD member country to an area under the national jurisdiction of another OECD country (40 CFR 262.81).
Transit Country
Any foreign country, other than a receiving country, through which a hazardous waste is transported (40 CFR 260.10).
Transport Vehicle
A motor vehicle or rail car used for the transportation of cargo by any mode. Each cargo-carrying body (trailer,
railroad freight car, etc.) is a separate transport vehicle (40 CFR 260.10).
Transporter
A person engaged in the offsite transportation of hazardous wastes by air, rail, highway, or water (40 CFR
260.10).
Treatability Study
A study in which a hazardous waste is subjected to a treatment process to determine (40 CFR 260.10):
Whether the waste is amenable to the treatment process,
What pretreatment (if any) is required,
The optimal process conditions needed to achieve the desired treatment,
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein. 13
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
The efficiency of a treatment process for a specific waste or wastes, or
The characteristics and volumes of residuals from a particular treatment process.
Also included in this definition for the purpose of the 40 CFR261.4(e) and (f) exemptions are liner compatibility,
corrosion, and other material compatibility studies and toxicological and health effects studies. A treatability
study is not a means to commercially treat or dispose of hazardous waste.
Treatment
Any method, technique, or process, including neutralization, designed to change the physical, chemical or
biological character or composition of any hazardous waste so as to neutralize such waste, or so as to recover
energy or material resources from the waste, or so as to render such waste nonhazardous, or less hazardous; safer
to transport, store, or dispose of; or amenable for recovery, amenable for storage, or reduced in volume (40 CFR
260.10).
Treatment Zone
A soil area of the unsaturated zone of a land treatment unit within which hazardous constituents are degraded,
transformed, or immobilized (40 CFR 260.10).
Underground Injection
The subsurface emplacement of fluids through a bored, drilled or driven well; or through a dug well, where the
depth of the dug well is greater than the largest surface dimension (40 CFR 260.10).
Unsaturated Zone or Zone of Aeration
The zone between the land surface and the water table (40 CFR 260.10).
United States
The 50 states, the District of Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam,
American Samoa, and the Commonwealth of the Northern Mariana Islands (40 CFR 260.10).
Uppermost Aquifer
The geologic formation nearest the natural ground surface that is an aquifer, as well as lower aquifers that are
hydraulically interconnected with this aquifer within the facility's property boundary (40 CFR 260.10).
Volatile Organic 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 (40 CFR 265.1081).
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 CFR 265.1081).
Wastewater Treatment Unit
A device that (1) is part of a wastewater treatment facility subject to regulation under section 402 or 307(b) of the
CWA; and (2) receives and treats or stores an influent wastewater that is a hazardous waste (as defined in 40
CFR 261.3), or that generates and accumulates a wastewater treatment sludge that is a hazardous waste, or treats
or stores a wastewater treatment sludge; and (3) meets the definition of tank or tank system (40 CFR 260.10).
Wastewaters
Wastes that contain less than one percent by weight total organic compounds and total suspended solids (40 CFR
268.2).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein. 14
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Zone of Engineering Control
An area under the control of the owner/operator that upon detection of a hazardous waste release, can be readily
cleaned up before the release of hazardous waste or hazardous constituents to groundwater or surface water (40
CFR260.10).
Typical Records to Review
Hazardous substance spill control and contingency plan;
Land disposal restriction certifications;
Emergency plan documents;
Placarding of hazardous waste and hazardous materials;
Location map of TSDF;
Employee training documentation;
Spill records;
Permits, if issued, otherwise Part A Application;
Unmanifested waste reports;
TSDF audit reports (inspection log);
Waste analysis plan(s);
Operating record;
Groundwater monitoring records and annual reports (where required);
Biennial reports, closure/post-closure plans, closure/post-closure notices (where applicable); and
Other documents as required by the permit
If the TSDF is also a generator, refer to the protocol for hazardous waste generators for applicable requirements.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein. 15
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Typical Physical Features to Inspect
Disposal sites;
Incinerators;
Vehicles used for transport;
Container storage areas and containment buildings;
Surface impoundments;
Marshaling facilities;
Fuel burners;
Site security measures (e.g., door locks, fencing, etc.);
Posted signs;
Communication equipment; and
Bulk storage tank areas.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein. 16
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Index for Checklist Users
All Facilities
Transportation of Hazardous Waste
All Treatment, Storage
and Disposal Facilities (TSDFs)
General
Personnel Training
Containers
Container Storage Areas
Containment Buildings
Restricted Wastes
Emissions from Process Vents
Air Emissions Standards for
Equipment Leaks
Documentation Requirements
Surface Impoundments
Waste Piles
Land Treatment Units
Hazardous Waste Landfills
Closure
Additional Requirements for
Permitted TSDFs
General
Surface Impoundments
Waste Piles
Land Treatment Units
Hazardous Waste Landfills
Incinerators
Miscellaneous Units
Additional Requirements for Interim
Status TSDFs
General
Surface Impoundments
Waste Piles
Land Treatment Units
Hazardous Waste Landfills
Incinerators
Thermal Treatment
Chemical/Physical/ Biological
Treatment
Refer To
Checklist Items
DF.1 through DF.4
DF.5 through DF.9
DF. 10 through DF.1 9
DF.20 through DF.21
DF.22 through DF.33
DF.34 through DF.36
DF.37 through DF.43
DF.44 through DF.49
DF.50 through DF.55
DF.56 through DF.65
DF.66 through DF.76
DF.77 through DF.83
DF.84
DF.85
DF.86
DF.87 through DF.91
DF.92 through DF.1 08
DF.1 09 through DF.1 19
DF. 120 through DF. 124
DF. 125 through DF. 131
DF.1 32 through DF.1 35
DF.1 36 through DF.1 39
DF. 140 through DF. 142
DF. 143 through DF. 151
DF.1 52 through DF.1 55
DF.1 56 through DF.1 59
DF. 160 through DF. 163
DF.164
DF. 165 through DF. 169
DF.1 70 through DF.1 72
DF.1 73 through DF.1 75
Page Numbers
19
20-21
21-24
25
26-35
35-36
36-39
39-42
42-48
49-55
55-59
60-69
70
71
71
71-72
72-77
77-80
81-83
83-85
86-87
88-89
90-91
91-93
94-95
96-97
98-99
100
101-102
103
104
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
17
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Refer To
Checklist Items
Page Numbers
Export/Import of Hazardous Waste
Exports of Hazardous Waste for
Recovery Within the OECD
Member Countries
Exports of Hazardous Waste
(Except to the OECD Member
Countries) for Recovery
Imports of Hazardous Waste for
Recovery Within the OECD
Member Countries
Imports of Hazardous Waste
(Except from the OECD
Member Countries) for
Recovery
DF.176 through DF.182
DF.183 through DF.190
DF.191 through DF.196
DF.197 through DF.198
105-108
109-110
111-112
112
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 TSDFs under RCRA
Checklist
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
All Facilities
DF.1. The current status of any
ongoing or unresolved Consent
Orders, Compliance
Agreements, Notices of Violation
(NOVs), 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.
For those open items, indicate what corrective action is planned and milestones
established to correct problems.
DF.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 the guide.
If so, annotate checklist to include new standards.
Determine if the facility has activities or facilities which are federally regulated, but not
addressed in this checklist.
Verify that the facility is in compliance with all applicable and newly issued regulations.
DF.3. Facilities are required to
comply with state and local
regulations concerning
hazardous waste management.
Verify that the facility is abiding by state and local hazardous waste requirements.
Verify that the facility is operating according to permits issued by the state or local
agencies where approved.
(NOTE: Issues typically regulated by state and local agencies include:
- Additional manifesting requirements
- More frequent reporting requirements
- Transportation
- Identification of special waste or waste categories
- Regulation of specific substances as hazardous waste such as: medical,
pathological, and infectious waste; used oil; explosives; used batteries
- Small and very small quantity generator requirements
- RCRA permitting of oil/water separators
- Disposal requirements
- Construction and operation of storage and disposal facilities
- Satellite accumulation point requirements
- Container marking and labeling requirements.)
Verify that the actions detailed in compliance agreements are being taken according to
the schedule established in the agreements.
DF.4. Specific persons should
be designated responsible for
hazardous waste storage areas,
and the precise nature of their
responsibilities should be
specified (MP).
Verify that specific individuals have been designated responsible for hazardous waste
storage areas.
Verify that the individuals designated responsible for hazardous waste storage areas
are aware of the precise nature of their responsibilities.
Verify that required hazardous waste handling training is in personnel file.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
Transportation of Hazardous Waste
DF.5. Transporters of hazardous
waste that is required to be
manifested must have an EPA
identification number and must
comply with manifest
management requirements (40
CFR 263.10(a), 263.10(b),
263.11,263.20(a) through
263.20(d), 263.21 and
263.22(3)).
(NOTE: These requirements do not apply to the onsite transportation of hazardous
waste. Nor do they apply to CESQGs.)
Determine if the facility transports hazardous waste offsite using their own vehicles or
a contractor.
Verify that the transporter has an EPA identification number.
Verify that all waste accepted, transported, or offered for transport is accompanied by
a manifest.
Verify that prior to transport, the transporter signs and dates the manifest and returns a
copy to the generator prior to leaving the facility.
Verify that the transporter retains a copy of the manifest after delivery.
Verify that manifests are kept on file for three years.
(NOTE: Special issues involved in the transportation of hazardous waste by air, rail or
water are not addressed in this guide.)
DF.6. Before transporting
hazardous waste or offering
hazardous waste for
transportation offsite in the
United States, the facility must
package and label the waste in
accordance with DOT
regulations contained in 49 CFR
172, 173, 178, and 179 (40 CFR
262.30 through 262.33).
Determine what pretransport procedures for hazardous waste are used.
Inspect a sample of containers awaiting transport to verify that containers are properly
constructed and contain no leaks, corrosion, or bulges.
Examine end-seams for minor weeping that indicates drum failure.
Verify that labeling and marking on each container is compatible with the manifests.
Verify that the following information is displayed on a random sample of containers of
110 gal. (416.40 L) or less in accordance with 49 CFR 172.304:
- "HAZARDOUS WASTE - Federal Law Prohibits Improper Disposal. If found, contact
the nearest police or public safety authority or the U.S. Environmental Protection
Agency."
- Generator's name and address
- Manifest Document Number .
Verify that proper DOT placarding is available for the transporter.
DF.7. Transporters of waste
offsite must take immediate
notification and clean-up action
if a discharge occurs during
transport (40 CFR 263.30 and
263.31).
Verify that transport operators have instructions to notify local authorities and take
clean-up action so that the discharge does not present a hazard.
Verify that transporters give notice to the NRC and report in writing as required by 49
CFR 171.15 and 49 CFR 171.16.
DF.8. The facility should ensure
that transportation of hazardous
wastes between buildings is
accomplished in accordance
with good management
practices to help prevent spills,
releases, and accidents (MP).
Determine if procedures exist to manage movement of hazardous wastes throughout
the facility.
Determine if drivers are trained in spill control procedures.
Determine if provisions have been made for securing wastes in vehicles during
transport.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.9. Transporters must not
store manifested shipments in
containers meeting DOT
packaging requirements for
more than 10 days at a transfer
facility (40 CFR 263.12).
Determine if the facility has a transfer facility.
Verify the following:
- Transfer facility storage is for 10 days or less
- DOT packaging requirements are met
- Shipments are manifested and manifests accompany shipments
- Storage is consistent with good management practices.
(NOTE: Storage for more than 10 days will require a TSDF permit.)
All Treatment, Storage and Disposal Facilities (TSDFs)
General
DF.10. All permitted TSDFs are
required to meet the hazardous
waste management
requirements outlined in their
permit (40 CFR 270.10 and
270.30 through 270.33).
Determine if the facility is operating as a permitted disposal facility.
Verify that the TSDF is not treating, storing, or disposing of waste other than those
listed in their permit or for interim status facilities, their permit application.
Verify that the TSDF is meeting the requirements outlined in the permit for the
following:
- Reporting and recordkeeping
- Compliance schedules
- Allowable wastes
- Allowable activities
- Corrective action, if applicable.
DF.11. All TSDFs which have
Interim Status are required to
meet the hazardous waste
management requirements of 40
CFR 265 and apply for a Part B
permit (40 CFR 270.71 and
279.73(g)).
Determine if the TSDF is an Interim Status disposal facility.
Verify that the TSDF is only treating, storing, or disposing of wastes listed in their Part
A application.
Verify that the TSDF is meeting all the requirements for Interim Status TSDFs outlined
in 40 CFR 265.
Verify that the TSDF has submitted a Part B permit application.
DF.12. All TSDFs that store,
treat, transport, handle, or
dispose of hazardous wastes
must obtain an EPA
identification number (40 CFR
264.11 and 265.11).
Examine documentation from EPA for the facility's TSDF identification number.
Verify that the correct identification number is used on all appropriate documentation
(i.e., manifests).
DF.13. TSDFs must control
entry to the active portion of the
facility (40 CFR 264.14 and
265.14).
Verify that the following items are in place at the TSDF, unless the TSDF can
demonstrate that physical contact with the waste, structures, and equipment within the
active portion of the TSDF will not injure unknowing or unauthorized person or
livestock, and that disturbance of the waste or equipment will not cause a RCRA
violation:
- A 24-hour surveillance system (e.g., television monitors, surveillance by guards), or
a fence or natural barrier with controlled entry (an attendant, television monitors,
locked entrances, or controlled roadway access), and
- Signs with the words "Danger-Unauthorized Personnel Keep Out" posted at each
entrance and other locations as appropriate and signs are legible from 25 ft. (7.62
m).
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.14. All TSDFs must be
designed, constructed,
maintained, and operated to
minimize the possibility of a fire,
explosion, or any unplanned
release of hazardous waste or
hazardous constituents (40 CFR
264.30 through 264.37 and
265.30 through 265.37).
Determine if the following required equipment is easily accessible and in working
condition at the storage area (unless none of the hazards posed by the waste
managed at the facility would require the particular kind of equipment):
- Internal communications or alarm system capable of providing immediate
emergency instruction to facility personnel
- A telephone or hand-held two way radio, capable of summoning emergency
assistance
- Portable fire extinguishers and fire control equipment, including special
extinguishing equipment (foam, inert gas, or dry chemicals)
- Spill control equipment
- Decontamination equipment
- Fire hydrants or other source of waster (reservoir, storage tank, etc.) with adequate
volume and pressure, foam-producing equipment, or automatic sprinklers, or water
spray systems.
Determine if equipment is tested and maintained as necessary to insure proper
operation in an emergency.
Verify that sufficient aisle space is maintained to allow unobstructed movement of
personnel, fire protection equipment, spill control equipment, and decontamination
equipment to any area of the operation.
Review procedures employed by facility management to familiarize police, fire
departments, and emergency response teams with the layout of the facility, properties
of the waste being handled, and general operations as appropriate for the type of
waste and potential need for such services.
Review procedures employed by facility management to familiarize the hospital with
the site and the types of injuries that could result in an emergency as appropriate for
the type of waste and potential need for such services.
(NOTE: Where state or local authorities decline to enter into arrangements, the facility
must document this refusal in the operating record.)
DF.15. All TSDFs must take
precautions to prevent
accidental ignition or reaction of
ignitable or reactive wastes (40
CFR 264.17(a) and 265.17(a)).
Verify from the operating record and/or observation that the following safe
management practices are used:
- Wastes are separated and protected from sources of ignition or reaction
- Smoking and open flame is confined to specially designated locations when
ignitable or reactive wastes is handled
- No Smoking signs are used when necessary.
DF.16. TSDFs that treat, store or
dispose of ignitable, reactive, or
incompatible wastes must meet
specific prevention standards
(40CFR264.17(b)and
265.13(b)).
Verify from the operating record and/or observation that during treatment, storage, or
disposal of ignitable or reactive wastes, or during mixing of incompatible wastes and
other materials, precautions are taken to prevent the following reactions:
- Generation of extreme heat or pressure, fire or explosions, or violent reactions
- Production of uncontrolled toxic mists, fumes, dusts, or gases sufficient to threaten
human health or the environment
- Production of uncontrolled flammable fumes or gases sufficient to pose a risk of fire
or explosions
- Damage the structural integrity of the device or facility
- Threats to human health or the environment through other like means.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.17. A detailed chemical and
physical analysis of a
representative sample, as
specified in the TSDF's waste
analysis plan, of the hazardous
waste must be obtained prior to
treatment, storage or disposal
(40 CFR 264.13(a) and
265.13(a)).
Verify that a detailed physical and chemical analysis is done of a representative
sample of the wastes prior to treatment, storage, or disposal.
(NOTE: Prior studies or published information may be included as a part of the
analysis.)
Verify that the analysis is repeated as necessary to ensure that it is accurate and up to
date, specifically when the process or operation generating the waste has changed.
Verify that for off-site facilities, the TSDF ensures that the waste matches the identity
of the waste designated on the manifest.
DF.18. Each TSDF must have
an emergency coordinator on
the TSDF premises or on call at
all times (40 CFR 264.55 and
265.55).
Verify that, at all times, there is at least one employee at the TSDF or on call with
responsibility for coordinating all emergency response measures.
Verify that the emergency coordinator is thoroughly familiar with the TSDF, the
characteristics of the waste handled, and the provisions of the contingency plan. In
addition, verify the emergency coordinator has the authority to commit the resources
needed to carry out the contingency plan.
DF.19. TSDF emergency
coordinators must follow certain
emergency procedures
whenever there is an imminent
or actual emergency situation
(40 CFR 264.56(a) through
264.56(i) and 265.56(a) through
265.56(i)).
Verify that the emergency coordinator is required to follow these emergency
procedures:
- Immediately activate facility alarms or communication systems and notify
appropriate facility, state, and local response parties
- Identify the character, exact source, amount, and a real extent of any released
materials
- Assess possible hazards to human health or the environment, including direct and
indirect effects (e.g., release of gases, surface runoff from water or chemicals used
to control fire or explosions, etc.)
- Take all reasonable measures necessary to ensure that fires, explosions and
releases do not occur, recur, or spread to other hazardous waste at the facility.
These measures must include where applicable:
- stop processes and operations at the facility when necessary to prevent fires,
explosions, or further releases
collect and contain the released waste
remove or isolate containers when necessary
- Monitor for leaks, pressure buildup, gas generation, or ruptures in valves, pipes, or
other equipment whenever appropriate
- Provide for treatment, storage, or disposal of recovered waste, contaminated soil, or
surface water, or other material immediately after emergency
- Ensure that no waste that may be incompatible with the released material is treated,
stored, or disposed of until cleanup is completed
- Ensure that all emergency equipment is cleaned and fit for its intended use before
operations are resumed
- Notify EPA, and appropriate state and local authorities that the facility is in
compliance with 40 CFR 265.56(h) before operation resumes.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
Personnel Training
DF.20. All TSDF personnel who
handle hazardous waste must
meet certain training
requirements (40 CFR 264.16(a)
through 264.16(c) and 265.16(a)
through 265.16(c)).
Ensure that the facility personnel complete classroom instruction or on-the-job training
as set forth below:
Verify that the training program is directed by a person trained in hazardous waste
management procedures and that the program includes instruction which teaches
facility personnel hazardous waste management procedures relevant to positions in
which they are employed.
Although not specified by the regulations, examples of training topics for hazardous
waste management procedures could include (but would not be limited to) the
following:
- Waste turn in procedures
- Identification of hazardous wastes
- Container use, marking, labeling and on-site transportation
- Manifesting and off-site transportation
- 90 day storage area management
- Personal health and safety and fire safety
Verify that the training program includes contingency plan implementation and is
designed to ensure that facility personnel are able to respond to emergencies
including (where applicable):
- Key parameters for automatic waste feed cut-off systems
- Procedures for using, inspecting, repairing, and replacing emergency and
monitoring equipment
- Operation of communications and alarm systems
- Response to fire or explosion
- Response to groundwater contamination incidents
- Response to leaks or spills
- Shutdown of operations.
Verify that new employee training is completed within six months of employment/
assignment.
Verify that an annual review of initial training is provided.
Verify that employees do not work unsupervised until training is completed.
Verify specifically that waste storage area managers and hazardous waste handlers
have been trained.
DF.21. Training records must be
maintained for all TSDF staff
who manage hazardous waste
(40 CFR 264.16(d), 264.16(e),
265.16(d) and 265.16(e)).
Verify through examination that training records include the following:
- Job title and description for each employee by name
- Written description of how much training each position will obtain
- Documentation of training received by name.
Determine if training records are retained for three years for former employees.
Determine if training records on current employees are maintained. (NOTE: Training
records on current employees must be maintained until the closure of the facility).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
24
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
Containers
DF.22. Empty containers at
TSDFs previously holding
hazardous wastes must meet
the regulatory definition of empty
before they are exempted from
hazardous waste requirements
(40CFR261.7).
Verify that for containers or inner liners holding hazardous wastes:
- Wastes are removed that can be removed using practices commonly employed to
remove materials from that type of container (e.g., pouring, pumping, aspirating)
- No more than 2.5 cm (1 in.) of residue remains, or
- If the container is less than or equal to 110 gal. (416.40 L), no more than 3 percent
by weight of total container capacity remains, or
- When the container is greater than 110 gal. (416.40 L), no more than 0.3 percent by
weight of the total container capacity remains.
Verify that for containers that held a compressed gas, the pressure in the container
approaches atmospheric.
Verify that for a container or inner liner that held an acute hazardous waste listed in
Appendix C, one of the following is done:
- It is triple rinsed
- It is cleaned by another method identified through the literature or testing as
achieving equivalent removal
- The inner liner is removed.
DF.23. Containers used to store
hazardous waste at TSDFs must
be in good condition and not
leaking (40 CFR 264.171 and
265.171).
Verify that containers are not leaking, bulging, rusting, damaged or dented.
Verify that waste is transferred to a new container or managed in another appropriate
manner when necessary.
DF.24. Containers used at
TSDFs must be made of or lined
with materials compatible with
the waste stored in them (40
CFR 264.172 and 265.172).
Verify that containers are compatible with waste, in particular, check that strong
caustics and acids are not stored in metal drums.
DF.25. Containers at TSDFs
must be closed during storage
and handled in a safe manner
(40 CFR 264.173 and 265.173).
Verify that containers are closed except when it is necessary to add or remove waste
(check bungs and look for open funnels).
Verify that handling and storage practices do not cause damage to the containers or
cause them to leak.
DF.26. The handling of
incompatible wastes, or
incompatible wastes and
materials in containers at TSDFs
must comply with safe
management practices (40 CFR
264.17(b), 264.177, 265.17(b)
and 265.177).
Verify that incompatible wastes or incompatible wastes and materials are not placed in
the same containers unless it is done so that it does not:
- Generate extreme heat or pressure, fire, or explosion, or violent reaction
- Produce uncontrolled toxic mists, fumes, dusts, or gases in sufficient quantities to
threaten human health
- Produce uncontrolled flammable fumes or gases in sufficient quantities to pose a
risk of fire or explosions
- Damage the structural integrity of the device or TSDF or by any other like means
threaten human health.
(NOTE: Incompatible wastes as listed in Appendix D should not be placed in the same
containers.)
Verify that hazardous wastes are not placed in an unwashed container that previously
held an incompatible waste or material.
Verify that containers holding hazardous wastes incompatible with wastes stored
nearby in other containers, open tanks, piles, or surface impoundments are separated
or protected from each other by a dike, berm, wall or other device.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
25
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.27. Containers of hazardous
waste at TSDFs should be
managed in accordance with
specific management practices
(MP).
Verify the following by inspecting the container storage areas:
- Containers are not stored more than two high and have pallets between them
- Containers of highly flammable wastes are electrically grounded (check for clips and
wires and make sure wires lead to ground rod or system)
- At least 3 ft. (0.91 m) of aisle space is provided between rows of containers.
DF.28. Containers with design
capacities greater than 0.1 m3
[-26 gal.] and less than or equal
to 0.46 m3 [-122 gal.] into which
hazardous waste is placed are
required to meet specific design
and operating standards (40
CFR 265.1086(a) through
265.1086(b)(1)(i), 265.1087(a)
through 265.1087(b)(1)(l) and
265.1087(c)).
(NOTE: The requirements of 40 CFR 264.1086 and 265.1087 do not apply to
containers in which all the hazardous waste entering the container meets one of the
following (40 CFR 265.1082(c) and 265.1083(c)):
- The average VO concentration of the hazardous waste at the point of waste
origination is less than 500 ppmw
- The organic content of the hazardous waste entering the waste management unit
has been reduced by an organic destruction or removal process
- The waste meets the numerical concentration limits for organic hazardous
constituents as specified in 40 CFR 268.40 or has been treated by the treatment
technology established by the regulatory agency for the waste in 268.42(a) or an
equivalent method approved by the regulatory agency pursuant to 268.42(b).)
(NOTE: These requirements do not apply to a container that has a design capacity
less than or equal to 0.1 m3 [-26 gal.] (40 CFR 264.1080(b)(2) and 265.1080(b)(2)).)
(NOTE: Standards for containers used in waste stabilization processes (40 CFR
264.1086(b)(2) and 265.1087(b)(2)) are in checklist item DF.30.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
26
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.28. (continued)
Verify that, for containers with a design capacity greater than 0.1 m [-26 gal.] and
less than or equal to 0.46 m3 [-122 gal.], air emissions are controlled according to the
following Container Level 1 standards:
- A container is used that meets applicable U.S. DOT regulations on the packaging of
hazardous materials for transportation
- A container is used that is equipped with a cover and closure devices that form a
continuous barrier over the container openings so that when the cover and closure
devices are secured in the closed position there are not visible holes, gaps or other
open spaces into the interior of the container
- An open-top container is used in which an organic vapor suppressing barrier is
placed on or over the hazardous waste in the container so that no hazardous waste
is exposed to the atmosphere.
Verify that when a container using Level 1 standards, other than DOT approved
containers, is used, it is equipped with covers and closure devices composed of
suitable materials to minimize exposure, to the extent practical, of the hazardous
waste to the atmosphere and to maintain the equipment integrity throughout the
intended service life.
Verify that, whenever waste is in a container using Level 1 controls, covers and
closure devices are installed and closure devices are secured and maintained in the
closed position except as follows:
- Opening of a closure device or cover is allowed for adding waste or other material
to the container as follows:
when the container is filled to the intended final level in one continuous operation,
the closure devices are secured in the closed position and the covers installed at
the conclusion of the filling operation
- when discrete batches or quantities of material are added intermittently to the
container over a period of time, the closure devices are secured in the closed
position and covers installed upon either:
the container being filled to the intended final level
the completion of a batch loading after which no additional material will be
added to the container within 15 minutes
the person performing the loading operation leaving the immediate vicinity of
the container, or
the shutdown of the process generating the material being added to the
container, whichever condition occurs first.
- Opening of a closure device or cover is allowed for removing the hazardous waste
as follows:
in order to meet the requirements for an empty container
when discrete quantities or batches of material are removed from the container
but the container is not empty, the closure devices will promptly be returned to
the closed position and the covers installed upon either:
completion of batch removal after which no additional material will be removed
within 15 minutes or
the person performing the unloading leaves the immediate vicinity, whichever
condition occurs first
- Opening of a closure device or cover is allowed when access inside the container is
needed to perform routine activities other than transfer of hazardous waste
- Opening of a spring loaded, pressure vacuum relief valve, conservation vent, or
similar type of pressure relief device which vents to the atmosphere is allowed
during normal operations for the purpose of maintaining internal container pressure
- Opening of a safety device 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.
27
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.29. Containers with design
capacities greater than 0.46 m3
[-122 gal.] into which hazardous
waste is placed are required to
meet specific design and
operating standards (40 CFR
264.1086(a), 264.1087(b)(1)(ii)
through 264.1086(b)(1)(iii),
264.1086(c)(1) through
264.1086(c)(3), 264.1086(d),
265.1087(a), 265.1087(b)(1)(ii)
through 265.1087(b)(1)(iii),
265.1087(c)(1) through
265.1087(c)(3), and
265.1087(d)).
(NOTE: The requirements of 40 CFR 264.1086 and 265.1087 do not apply to
containers in which all the hazardous waste entering the container meets one of the
following (40CFR 264.1082(c) and 265.1083(c)):
- The average VO concentration of the hazardous waste at the point of waste
origination is less than 500 ppmw
- The organic content of the hazardous waste entering the waste management unit
has been reduced by an organic destruction or removal process
- The waste meets the numerical concentration limits for organic hazardous
constituents as specified in 40 CFR 268.40 or has been treated by the treatment
technology established by the regulatory agency for the waste in 268.42(a) or an
equivalent method approved by the regulatory agency pursuant to 268.42(b).)
(NOTE: These requirements do not apply to a container that has a design capacity
less than or equal to 0.1 m3 [-26 gal.] (40 CFR 265.1080(b)(2) and 265.1080(b)(2)).)
(NOTE: Standards for containers used in waste stabilization processes (40 CFR
265.1087(b)(2)) are in checklist item DF.30.)
Verify that, for containers with a design capacity greater than 0.46 m3 [-122 gal.] that
are not in light material service, air emissions are controlled according to the following
Container Level 1 standards:
- A container is used that meets applicable U.S. DOT regulations on the packaging of
hazardous materials for transportation
- A container is used that is equipped with a cover and closure devices that form a
continuous barrier over the container openings so that when the cover and closure
devices are secured in the closed position there are not visible holes, gaps or other
open spaces into the interior of the container
- An open-top container is used in which an organic vapor suppressing barrier is
placed on or over the hazardous waste in the container so that no hazardous waste
is exposed to the atmosphere.
Verify that, for containers with a design capacity greater than 0.46 m3 [-122 gal.] that
are in light material service, air emissions are controlled according to the following
Container Level 2 standards:
- A container is used that meets applicable U.S. DOT regulations on the packaging of
hazardous materials for transportation
- A container is used that operates with no detectable organic emissions
- A container is used that has been demonstrated within the preceding 12 months to
be vapor tight.
(NOTE: Level 2 standards apply only to containers that are in light material service.
For the containers that are not in light material service, Level 1 standards apply. (See
40 CFR 265.1087(b)(ii) and (Hi).)
Verify that when a container using Level 1 standards, other than DOT approved
containers, is used it is equipped with covers and closure devices composed of
suitable materials to minimize exposure of the hazardous waste to the atmosphere
and to maintain the equipment integrity for as long as it is 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.
28
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.29. (continued)
Verify that whenever waste is in a container using Level 1 or Level 2 controls, covers
and closure devices are installed and closure devices are secured and maintained in a
closed position except as follows:
- Opening of a closure device or cover is allowed for adding waste or other material
to the container as follows:
when the container is filled to the intended final level in one continuous operation,
the closure devices are secured in the closed position and the covers installed at
the conclusion of the filling operation
when discrete batches or quantities of material are added intermittently to the
container over a period of time, the closure devices are promptly secured in the
closed position and covers installed upon either:
the container being filled to the intended final level
the completion of a batch loading after which no additional material will be
added to the container within 15 minutes
the person performing the loading operation leaving the immediate vicinity of
the container
the shutdown of the process generating the material being added to the
container, whichever condition occurs first
- Opening of a closure device or cover is allowed for removing the hazardous waste
as follows:
in order to meet the requirements for an empty container
when discrete quantities or batches of material are removed from the container
but the container is not empty, the closure devices are promptly secured in the
closed position and the covers installed upon either:
completion of batch removal after which no additional material will be removed
within 15 minutes
the person performing the unloading leaves the immediate vicinity, whichever
condition occurs first
- Opening of a closure device or cover is allowed when access inside the container is
needed to perform routine activities other than transfer of hazardous waste
- Opening of a spring loaded, pressure vacuum relief valve, conservation vent, or
similar type of pressure relief device which vents to the atmosphere and is allowed
during normal operations for the purpose of maintaining internal container pressure
- Opening of a safety device to avoid unsafe conditions.
Verify that the transfer of hazardous waste in or out of containers meeting Container
Level 2 controls is done in a manner to minimize exposure of the hazardous waste to
the atmosphere (i.e., a submerged fill pipe, a vapor balancing system, a vapor
recovery system, a fitted opening in the top of the container through which the
hazardous waste is filled and subsequently purge the transfer line before removing it).
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.30. Containers with design
capacities greater than 0.1 m3
[-26 gal.] used for the treatment
of a hazardous waste by a waste
stabilization process are
required to meet specific design
and operating standards (40
CFR 264.1086(a),
264.1086(b)(2), 264.1086(e)(1)
through 264.1086(e)(3),
265.1087(a), 265.1087(b)(2),
and 265.1087(e)(1) through
265.1087(e)(3)).
(NOTE: The requirements of 40 CFR 264.1086 and 265.1087 do not apply to
containers in which all the hazardous waste entering the container meets one of the
following (40 CFR 264.1082(c) and 265.1083(c)):
- The average VO concentration of the hazardous waste at the point of waste
origination is less than 500 ppmv
- The organic content of the hazardous waste entering the waste management unit
has been reduced by an organic destruction or removal process
- The waste meets the numerical concentration limits for organic hazardous
constituents as specified in 40 CFR 268.40 or has been treated by the treatment
technology established by the regulatory agency for the waste in 268.42(a) or an
equivalent method approved by the regulatory agency pursuant to 268.42(b).)
(NOTE: These requirements do not apply to a container that has a design capacity
less than or equal to 0.1 m3 [-26 gal.] (40 CFR 264.1080(b)(2) and 265.1080(b)(2)).)
(NOTE: Safety devices may be installed and operated as necessary.)
Verify that containers with design capacities greater than 0.1 m3 [-26 gal.] used for the
treatment of a hazardous waste by a stabilization process meet the following Container
Level 3 standards at those times during the waste stabilization process when the
hazardous waste in the container is exposed to the atmosphere:
- A container is used that is vented directly through a closed-vent system to a control
device
- A container is used that is vented inside an enclosure which is exhausted through a
closed-vent system to a control device
- The container closure is designed and operated in accordance with the criteria for a
permanent total enclosure under 40 CFR 52.741
- The closed-vent system and control device is designed and operated in accordance
with 264.1087 and 265.1088 (see checklist item DF.33).
DF.31. Facilities are required to
have a written plan and
schedule for inspection and
monitoring requirements for
containers and meet specific
inspection requirements (40
CFR 264.15, 264.1086(c)(4),
264.1086(d)(4), 264.1088(b),
265.1087(c)(4), 265.1087(d)(4),
and 265.1089).
(NOTE: These requirements do not apply to a container that has a design capacity
less than or equal to 0.1 m3 [-26 gal.] (40 CFR 264.1086(b)(2) and 265.1080(b)(2)).)
Verify that the facility has a written plan and schedule for performing inspections and
monitoring.
Verify that the plan and schedule are being met.
Verify that inspections of the containers and their covers and closure devices for
containers using Container Level 1 or Level 2 controls are done as follows:
- When a hazardous waste is already in the container when it is first accepted and
the container is not emptied within 24 hours after it is accepted, the container and
its cover are visually inspected on the date of acceptance for cracks, holes, gaps, or
other open spaces into the interior of the container when the cover and closure
devices are secured in the closed position
- When a container is used for managing hazardous waste for 1 year or more, it is
visually inspected at least once every 12 months for visible cracks, holes, gaps, or
other open spaces when the cover and closure devices are secured in the closed
position.
Verify that when a defect is detected, the first efforts at repairs are within 24 hours
after detection, and repair is completed as soon as possible but no later than 5
calendar days after detection.
(NOTE: If repair cannot be completed within 5 calendar days, the hazardous waste
must be removed from the container.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
30
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.32. Facilities are required to
meet documentation
requirements for containers (40
CFR264.1086(c)(5),
264.1089(a), 264.1089(d)
through 264.1089(1),
265.1087(c)(5), 265.1090(a),
and 265.1090(d) through
265.1090(1)).
(NOTE: These requirements do not apply to a container that has a design capacity
less than or equal to 0.1 m3 [-26 gal.] (40 CFR 264.1080(b)(2) and 265.1080(b)(2)).)
Verify that a copy is available of the procedure used to determine that containers with
a capacity of 0.46 m3 [-122 gal.] or greater which do not meet DOT standards are not
managing hazardous waste in light material service.
Verify that if using Container Level 3 air emissions controls, the facility prepares and
maintains records that include:
- The most recent set of calculations and measurements performed by the
owner/operator to verify that the enclosure meets the criteria of a permanent total
enclosure as specified in 40 CFR 52.741, Appendix B
- All the records required for closed-vent systems.
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 container is operating at capacity or the
highest level reasonably expected to occur
- Design documents if design analysis is used, including certification that the
equipment meets the applicable specification
- A performance test plan if performance tests are used and all test results
- Description and date of each modification, as applicable
- Identification of operating parameters, description of monitoring devices, and
diagrams of monitoring sensor locations, as applicable
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
31
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
DF.32. (continued)
DF.32. (continued)
Reviewer Checks:
- 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-month 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-month period, including the type of
maintenance performed and the total number of hours during those 6-months
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 containers, 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 incinerator use or process destruction use, the identification
number for the incinerator, boiler, or industrial furnace in which the hazardous waste
is treated.
Verify that covers 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 containers not using the air emissions controls specified in 40 CFR
265.1085 through 265.1088 (see checklist items DF.28 through DF.33), 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 decomposition at or below
ambient temperatures
- A description of how the hazardous waste containing the organic peroxide
compounds identified in the above list is managed, including:
a facility identification number for the container or group of containers
the purpose and placement of this container or group of containers in the
management train of this hazardous waste
- the procedures used to ultimately dispose of the hazardous waste handled in the
containers
- An explanation why managing these containers would be an undue safety hazard.
Verify that all records, except design information records, are kept for at least 3 years.
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.
32
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.33. Facilities are required to
meet specific requirements for
closed-vent systems and control
devices used to achieve
compliance (40 CFR 264.1087
and 265.1088).
(NOTE: The requirements of 40 CFR 264.1087 and 265.1088 do not apply to
containers in which all the hazardous waste entering the container meets one of the
following (40 CFR 265.1082(c) and 265.1083(c)):
- The average VO concentration of the hazardous waste at the point of waste
origination is less than 500 ppmw
- The organic content of the hazardous waste entering the waste management unit
has been reduced by an organic destruction or removal process
- The waste meets the numerical concentration limits for organic hazardous
constituents as specified in 40 CFR 268.40 or has been treated by the treatment
technology established by the regulatory agency for the waste in 268.42(a) or an
equivalent method approved by the regulatory agency pursuant to 268.42(b).)
(NOTE: These requirements do not apply to a container that has a design capacity
less than or equal to 0.1 m3 [-26 gal.] (40 CFR 264.1080(b)(2) and 265.1080(b)(2)).)
Verify that closed-vent systems meet the following:
- It routes the gases, vapors and fumes emitted from the hazardous waste in the
waste management unit to a control device
- It is designed and operated in accordance with 40 CFR 264.1033Q) or265.1033(j)
- If it includes bypass devices that could be used to divert the gas or vapor stream to
the atmosphere before entering the control device, one of the following equipment
requirements is met for each type of bypass device (NOTE: low leg drains, high
point bleeds, analyzer vents, open-ended valve or lines, spring loaded pressure
relief valves, and other fittings used for safety purposes are not considered bypass
devices):
a flow indicator is installed, calibrated, maintained, and operated 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
a seal or locking device is placed on the mechanism by which the bypass device
position is controlled when the bypass valve is in the closed position so that the
bypass device cannot be opened without breaking the seal or removing the lock.
Verify that the seal or closure mechanism is visually inspected at least once every
month.
Verify that one of the following control devices is used:
- A 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 by weight
- An enclosed combustion device designed and operated in accordance with
264.1033(c)and265.1033(c)
- A flare designed and operated in accordance with 40 CFR 264.1033(d) and
265.1033(d).
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
DF.33. (continued)
Reviewer Checks:
Verify that, when a closed-vent system and control device is used, the following are
met:
- Periods of planned routine maintenance of the control device during which the
device does not meet specifications do not exceed 240 hours per year
- Control device system malfunctions are corrected as soon as practicable
- It is operated such that gases, vapors, and/or fumes are not actively vented to the
control device during periods of planned maintenance or control device system
malfunction, except in cases where it is necessary to do so in order to avoid an
unsafe condition or to implement malfunction corrective actions or planned
maintenance actions.
Verify that, if a carbon adsorption system is used, the following requirements are met:
- All activated carbon is replaced with fresh carbon on a regular basis as outlined in
40 CFR 264.1033(g), 264.1033(h), 265.1033(g) and 265.1033(h)
- All carbon that is a hazardous waste and that is removed from the control device is
managed according to 264.1033(n) or 265.1033(m) regardless of the average
volatile organic concentration.
Verify that, if a control device other than a thermal vapor incinerators, flare, boiler,
process heater, condenser, or carbon adsorption system is used, the requirements in
40 CFR 264.1033(1) and 265.1033(1) are met.
Verify that, for control devices, it is demonstrated by either a performance test or a
design analysis that the device achieves compliance except for the following:
- A flare
- A boiler or process heater with a design 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 process heater burning hazardous waste for which the owner or operator
has been issued a final permit under 40 CFR 270 and has designed and operates
the unit in accordance with the requirements of 40 CFR 266, subpart H
- A boiler or industrial furnace burning hazardous waste for which the owner or
operator has certified compliance with the interim status requirements of 40 CFR
265, subpart H.
Verify that the readings from each control device are inspected at least once each
operating day to check control device operation.
Container Storage Areas
DF.34. Containers at TSDFs
should be kept in storage areas
designated in the management
plan and identified by signs
(MP).
DF.35. Containers holding
ignitable or reactive waste must
be located 15 meters (50 feet)
from the property line of a TSDF
(40 CFR 264.176 and 265.176).
DF.36. TSDF personnel must
conduct weekly inspections of
container storage areas (40
CFR 264. 174 and 265. 174).
Verify that all containers are identified and stored in appropriate areas.
(NOTE: Any unidentified contents of solid waste containers and/or containers not in
designated storage areas must be tested to determine if solid or hazardous waste
requirements apply.)
Determine the distance from any storage containers to the property line.
(NOTE: This restriction does not apply to SQGs).
Verify that inspections are conducted at least weekly to look for leaking containers and
signs of deterioration of containers.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
Containment Buildings
(NOTE: According to the "Background Information' published on page 37221 of the 18 August 1992 edition of the Federal
Register, a hazardous waste containment building involves "the management of a hazardous waste inside a unit designed
and operated to contain the hazardous waste within the unit." This is not a building that holds drums or tanks filled with
hazardous waste, but a building that holds the hazardous waste itself.)
DF.37. TSDFs with containment
buildings that are in compliance
are not subject to the definition
of land disposal if specific
requirements are met (40 CFR
264.1100 and 265.1100).
Verify that the containment building meets the following:
- It is a completely enclosed, self-supporting structure that is designed and
constructed of manmade materials of sufficient strength and thickness to support
themselves, the waste contents, and any personnel and heavy equipment that
operate within the unit
- It is designed to prevent failure due to pressure gradients, settlement, compression,
or uplift, physical contact with the hazardous wastes, climatic conditions, and the
stress of daily operations
- It has a primary barrier that is designed to be sufficiently durable to withstand the
movement of personnel, wastes, and handling of equipment within the unit
- If the unit is used to manage liquids:
there is a primary barrier designed and constructed of materials to prevent
migration of hazardous constituents into the barrier
- there is a liquid collection system designed and constructed of materials to
minimize the accumulation of liquid on the primary barrier
there is a secondary containment system designed and constructed of materials
to prevent migration of hazardous constituents into the barrier, with a leak
detection and liquid collection system capable of detecting, collecting, and
removing leaks of hazardous constituents at the earliest practicable time
- It has controls sufficient to prevent fugitive dust emissions
- It is designed and operated to ensure containment and prevent the tracking of
materials from the unit by personnel and equipment.
DF.38. Containment buildings
are required to be designed
according to specific standards
(40 CFR 264.1101(a)(1) through
264.1101(a)(2), 264.1101(a)(4),
264.1101(b), 265.1101(a)(1)
through 265.1101(a)(2), and
265.1101 (b)).
Verify that containment buildings meet the following design standards:
- It is completely enclosed with a floor, walls, and a roof to prevent exposure to the
elements and to assure containment of wastes
- The floor and containment walls, including any required secondary containment
system, are designed and constructed of man-made materials of sufficient strength
and thickness to support themselves, the waste contents, and any personnel and
heavy equipment that operate within the unit
- It is designed to prevent failure due to pressure gradients, settlement, compression,
or uplift, physical contact with the hazardous wastes, climatic conditions, and the
stress of daily operations
- It has sufficient structural strength to prevent collapse or other failure
- All surfaces in contact with hazardous wastes are compatible with the wastes
- It has a primary barrier that is designed to be sufficiently durable to withstand the
movement of personnel, wastes, and handling of equipment within the unit and is
appropriate for the chemical and physical characteristics of the waste.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
35
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.38. Continued
Verify that if the containment building is going to manage hazardous wastes with free
liquids or treated with free liquids the following design requirements are also met:
- There is a primary barrier designed and constructed of materials to prevent
migration of hazardous constituents into the barrier (e.g., a geomembrane covered
by a concrete wear surface)
- There is a liquid collection and removal system designed and constructed of
materials to minimize the accumulation of liquid on the primary barrier
- The primary barrier is sloped to drain liquids to the associated collection system
- Liquids and wastes are collected and removed to minimize hydraulic head on the
containment system at the earliest practicable time
- There is a secondary containment system, including a secondary barrier, designed
and constructed of materials to prevent migration of hazardous constituents into the
barrier, with a leak detection and liquid collection system capable of detecting,
collecting, and removing leaks of hazardous constituents at the earliest practicable
time
- The leak detection component of the secondary containment system meets the
following:
- it is constructed with a bottom slope of one percent or more
it is constructed of granular drainage materials with a hydraulic conductivity of 1 x
10~2 cm/s or more and a thickness of 12 in. (30.5 cm) or more, or constructed of
synthetic or geonet drainage materials with a transmissivity of 3 x 10"5 m2/s or
more
- If treatment is to be conducted in the building, the treatment area is designed to
prevent the release of liquids, wet materials, or liquid aerosols to other portions of
the building
- The secondary containment system is constructed of materials that are chemically
resistant to the waste and liquids managed in the building and of sufficient strength
and thickness to prevent collapse under pressure exerted by overlaying materials
and by any equipment used.
(NOTE: An exception to the structural strength requirement may be made for
lightweight doors and windows based on the nature of the waste management
operations if the following criteria are met:
- The doors and windows provide an effective barrier against fugitive dust emissions
- The unit is designed and operated in a manner that ensures that the waste will not
come in contact with the doors or windows.)
(NOTE: A containment building can serve as secondary containment systems for
tanks within the building if:
- It meets the requirements of 264.193(d) (see protocol for storage tank management)
- It meets the requirements of 264.193(b) and 264.193(c)(1) and (2) (see protocol for
storage tank management.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
36
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.39. Containment buildings
are required to be operated
according to specific standards
(40 CFR 264.1101(a)(3),
264.1101(c)(1), 264.1101(c)(4),
265.1101(a)(3), 26
and 265.1101(c)(4)).
Verify that incompatible wastes or treatment reagents are not placed in the building or
its secondary containment system if they could cause the unit or the secondary
containment system to leak, corrode, or otherwise fail.
Verify that the following operational procedures are done:
- Controls and practices are used to ensure the containment of the waste within the
building
- The primary barrier is maintained so that it is free of significant cracks, gaps,
corrosion, or other deterioration that could cause hazardous waste to be released
from the primary barrier
- The level of the stored/treated hazardous waste is maintained so that the height of
any containment wall is not exceeded
- Measures are implemented to prevent the tracking of hazardous waste out of the
unit by personnel or equipment used in the handling of the waste
- There is a designated area for the decontamination of equipment and collection of
rinsate
- Any collected rinsate is managed as needed according to its constituents
- Measures are implemented to control fugitive dust emissions so that no openings
exhibit visible emissions
- Particulate collection devices are maintained and operated according to sound air
pollution control practices.
Verify that data is gathered from monitoring equipment and leak detection equipment
and the site is inspected at least once every seven days and the results recorded in
the operating record.
DF.40. Containment buildings
are required to be certified by a
registered professional engineer
(40 CFR 264.1101 (c) (2) and
265.1101(c)(2)).
Verify that the building has been certified.
DF.41. Leaks in containment
buildings must be repaired and
reported (40 CFR
264.1101(c)(3)and
265.1101(c)(3)).
Verify that if a condition is detected that could lead to a leak or has already caused a
leak, it is repaired promptly.
Verify that when a leak is discovered:
- The discovery is recorded in the TSDF operating record
- The portion of the containment building that is affected is removed from service
- A cleanup and repair schedule is established
- Within seven days the regulatory agency is notified and within 14 working days
written notice is provided to the regulatory agency
- The regulatory agency is notified upon the completion of all repairs and certification
from a registered professional engineer is also submitted.
DF.42. Containment buildings
that contain both areas with and
without secondary containment
must meet specific requirements
(40 CFR 264.1101(d) and
265.1101 (d)).
Verify that each area is designed and operated according to the appropriate
requirements.
Verify that measures are taken to prevent the release of liquids or wet materials into
areas without secondary containment.
Verify that a written description is maintained in the TSDF operating log of operating
procedures used to maintain the integrity of areas without secondary containment.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.43. When a containment
building is closed specific
requirements must be met (40
CFR 264.1102 and 265.1102).
Determine if the TSDF has closed a containment building recently.
Verify that at closure, all waste residues, contaminated containment system
components, contaminated subsoils, structures, and equipment contaminated with
waste and leachate were removed or decontaminated.
Verify that the containment building is closed in accordance with closure and post-
closure requirements for TSDFs as outlined in the subsections pertaining to all TSDFs
titled Documentation Requirements and Closure.
Verify that if it is found that not all contaminated subsoils can be practicably removed
or decontaminated, the site is closed and landfill post-closure requirements are
implemented.
Restricted Wastes
DF.44. TSDFs must not dispose
of the wastes listed in Appendix
E on land unless specific
parameters are met (40 CFR
268.1, 268.4, and Appendix VII).
Verify that the wastes listed in Appendix E are not land disposed after the indicated
dates in the appendix unless:
- The TSDF was granted an extension
- The waste is hazardous only because it exhibits a hazardous characteristic, and is
otherwise prohibited from land disposal, but is not prohibited from land disposal if
the waste:
is disposed of into a nonhazardous or hazardous injection well
- does not exhibit any prohibited characteristic of a hazardous waste at the point of
injection
- Disposal is done in a surface impoundment and treatment of the wastes occurs at
the impoundment
- Sampling, testing, and removal procedures and design requirements outlined in 40
CFR 268.4 are followed
- The waste is treated.
(NOTE: The following are exempted from all of the requirements concerning restricted
wastes found in 40 CFR 268:
- Waste generated by a SQG of less than 100 kg (220.46 Ib.) of hazardous waste or
less than 1 kg of acute hazardous waste per month
- Waste pesticides that a farmer disposes of
- Wastes identified or listed as hazardous after 8 November 1984 for which EPA has
not promulgated land disposal prohibitions or treatment standards
- De minimis losses to wastewater treatment systems of commercial chemical
product or chemical intermediates that are ignitable (D001) or corrosive (D002) and
that contain underlying hazardous constituents
- Laboratory wastes displaying the characteristic of ignitability (D001), or corrosivity
(D002), that are commingled with other plant wastewaters under designated
circumstances
- Laboratory wastes that are ignitable and corrosive containing underlying hazardous
constituents from laboratory operations that are mixed with other plant wastewaters
at TSDFs whose ultimate discharge is subject to CWA regulations if the annualized
flow of laboratory wastewater into the facility's headwork does not exceed one
percent or the laboratory wastes combined annualized sewage concentration does
not exceed one ppm in the facility's headwork.)
(NOTE: As of May 8, 1993, debris that is contaminated with the wastes listed in
Appendix E and debris that is contaminated with any characteristic waste for which
there are treatment standards are prohibited from land disposal.)
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.45. Wastes that are
restricted from land disposal or
the residual from the treatment
of a waste restricted from land
disposal shall not be diluted as a
substitute for adequate
treatment (40 CFR 268.3(a) and
268.3(b)).
Verify that restricted wastes or the residual from the treatment of restricted wastes are
not diluted unless they are hazardous only because they exhibit a characteristic in a
treatment system which treats wastes that are then discharged into a water of the
United States by permit or which treats wastes for the purpose of pre-treatment or
unless the waste is a D003 reactive cyanide wastewater or nonwastewater.
DF.46. A restricted waste may
be land disposed only if the
constituent concentrations in the
waste or waste treatment
residue meet applicable
treatment standards, or if the
waste is treated using a
specified treatment technology
or equivalent treatment method
(40 CFR 268.40 through
268.43).
Verify that for restricted wastes identified in Appendix F that are land disposed, the
associated constituent concentrations in the extract of the waste or waste treatment
residual do not exceed the values shown in Appendix F.
Verify that for restricted wastes listed in Appendix G that are land disposed, the waste
is treated using the treatment technology specified in Appendix G or an equivalent
treatment method approved by the regulatory agency.
Verify that for restricted wastes identified in Appendix H that are land disposed, the
associated constituent concentrations in the waste or waste treatment residue do not
exceed the values shown in Appendix H.
(NOTE: As used in Appendices G and H, the term wastewater has the following
meaning: wastes that contain less than 1 percent by weight total organic carbon (TOC)
and less than 1 percent by weight total suspended solids (TSS), with the following
exceptions:
- F001, F002, F003, F004, F005 wastewaters are solvent-water mixtures that contain
less than 1 percent by weight TOC or less than 1 percent by weight total F001,
F002, F003, F004, F005 solvent constituents listed in Appendix F
- K011, K013, K014 wastewaters contain less than 5 percent by weight TOC and less
than 1 percent by weight TSS, as generated
- K103 and K104 wastewaters contain less than 4 percent by weight TOC and less
than 1 percent by weight TSS
- Waste analysis plan compliance.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
39
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.47. Treatment facilities are
required to follow specific
procedures for restricted wastes
(40CFR268.7(b)).
Verify that treatment facilities are testing their waste according to the procedures
outlined in their waste analysis plan.
Verify that the generating facility sends a one-time notification with the first hazardous
waste shipment going to a treatment or disposal facility. A copy of this notification
would also be placed in the treatment facility's files. This one-time notification
requirement also applies to lab packs.
A new notification is needed if there is a change in the waste, process, or receiving
facility. This change should affect the determination of which treatment standards
apply.
The notification shall include the following information:
- EPA hazardous waste number
- The waste is subject to the LDRs and the constituents of concern for F001-F005
and F039 and underlying hazardous constituents (for wastes that are not managed
in a CWA or CWA-equivalent facility), unless the waste will be treated and
monitored for all constituents (NOTE: If all wastes will be treated and monitored,
there is no need to put them on the LDR notice.)
- Determination of applicable wastewater/nonwastewater category and subdivisions
made within a waste code based on waste-specific criteria
- The manifest number associated with the shipment of waste
- Waste analysis data, when available
- Certification statement.
Verify that the treatment facility submits a certification of waste or treatment residue of
a restricted waste to the land disposal facility stating that the waste has been treated in
compliance with applicable standards.
(NOTE: If waste or treatment residues will be further managed at a different treatment
or storage facility, the TSDF sending the waste or treatment residue offsite must
comply with notice and certification requirements.)
(NOTE: Where the wastes are recyclable materials used in a manner constituting
disposal, the treatment facility is not required to notify the receiving facility.)
DF.48. Land disposal facilities
for restricted wastes are
required to maintain copies of
notices and certifications and
test the waste except when
disposing of waste that is
recycled material used in a
manner constituting disposal (40
CFR268.7(c)).
Verify that copies of the certifications and notification are kept on hand.
Verify that the facility is testing waste as specified in the facilities waste analysis plan.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.49. The storage of
hazardous waste that is
restricted from land disposal is
not allowed unless specific
conditions are met (40 CFR
268.50).
Verify that land disposal restricted waste is not stored at the TSDF unless the TSDF is
storing the wastes in tanks, containers, or containment buildings in order to
accumulate the necessary quantities for proper recovery, treatment or disposal and:
- Each container is marked to identify contents and the date accumulation began
- Each tank is clearly marked with a description of the contents, the quantity of each
hazardous waste received, and the start date of accumulation or a record of such
information is maintained.
Verify that transporters do not store manifested shipments of land disposal restricted
wastes for more than 10 days.
(NOTE: A TSDF may store the land disposal restricted wastes for up to one year if
they can prove that the reason for storage is to accumulate such quantities of
hazardous waste as are necessary to facilitate proper treatment and disposal.)
(NOTE: The prohibition on storage does not apply to hazardous wastes that have met
treatment standards.)
Verify that liquid hazardous wastes containing PCBs at concentrations greater than 50
ppm are stored at a site that meets the requirements of 40 CFR 761.65(b) (see Toxic
Substance Control Act (TSCA)) and is removed from storage within one year of the
date it was first placed into storage.
Emissions from Process Vents
DF.50. TSDFs with process
vents associated with distillation,
fractionation, thin-film
evaporation, solvent extraction,
or air or steam stripping
operations that manage
hazardous wastes with organic
concentrations of at least 10
ppmw are required to meet
specific standards (40 CFR
264.1030(b), 264.1030(e),
264.1032, 265.1030(b),
265.1030(d) and 265.1032).
(NOTE: This applies only if the operation are conducted in one of the following:
- A unit that is subject to the permitting requirements of 40 CFR 270
- A unit (including a hazardous waste recycling unit) that is not exempt from
permitting under the provisions of 40 CFR 262.34(a) (i.e., a hazardous waste
recycling unit that is not a 90-day storage tank or container) and that is located at a
hazardous waste management unit facility that is otherwise subject to the permitting
requirements of 40 CFR 270
- A unit that is exempt from permitting under the provisions of 40 CFR 262.34(a) (i.e.,
a 90-day tank or container) and is not a recycling unit under the provisions of 40
CFR 261.6.)
Verify that one of the following is met:
- Total organic emissions from the process vents do not exceed 1.4 kg/h (3 Ib/h) and
2.8Mg/yr(3.1 tons/yr)
- Total organic emissions are reduced by use of a control device from all process
vents by 95 weight percent.
(NOTE: These requirements do not apply to the process vents at a facility where the
owner/operator certifies all of the process vents that would otherwise have to meet
these requirements are equipped with and operating air emission controls in
accordance with the process vent requirements of an applicable regulation under 40
CFR part 60, part 61, or part 63. The documentation of compliance with these other
regulations must be kept with, or made readily available with, the facility operating
record.)
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.51. When a TSDF uses a
closed-vent system and control
device to meet the standards for
total organic emissions, the
closed-vent system and control
device must meet certain
minimum requirements (40 CFR
264.1030(b), 264.1030(e),
264.1033(a) through
264.1033(h), 264.1033(j),
264.1033(k), 265.1030(b),
265.1030(d) and 265.1033(a)
through 265.1033(j)).
(NOTE: This applies to TSDFs with process vents associated with distillation,
fractionation, thin-film evaporation, solvent extraction, or air or steam stripping
operations that manage hazardous wastes with organic concentrations of at least 10
ppmw, if the operations are conducted in one of the following:
- A unit that is subject to the permitting requirements of 40 CFR 270
- A unit (including a hazardous waste recycling unit) that is not exempt from
permitting under the provisions of 40 CFR 262.34(a) (i.e., a hazardous waste
recycling unit that is not a 90-day tank or container) and that is located at a
hazardous waste management facility that is otherwise subject to the permitting
requirements of 40 CFR 270
- A unit that is exempt form permitting under the provisions of 40 CFR 262.34(a) (i.e.,
a 90-day tank or container) and is not a recycling unit under the provisions of 40
CFR 261.6.)
(NOTE: These requirements do not apply to the process vents at a facility where the
owner/operator certifies all of the process vents that would otherwise have to meet
these requirements are equipped with and operating air emission controls in
accordance with the process vent requirements of an applicable regulation under 40
CFR part 60, part 61, or part 63. The documentation of compliance with these other
regulations must be kept with, or made readily available with, the facility operating
record.)
Verify that control devices involving vapor recovery are designed and operated to
recovery the organic vapors vented to the air with an efficiency of 95 weight percent or
greater unless the total organic emission limit(s) can be attained at an efficiency of
less than 95 weight percent.
Verify that if an enclosed combustion device is used (i.e., vapor incinerator, boiler, or
process heater), it is designed and operated to reduce the organic emissions vented to
it by 95 weight percent or greater, to achieve a total organic compound concentration
of 20 ppmv expressed as the sum of the actual compounds, not carbon equivalents,
on a dry basis corrected to 3 percent oxygen, or to provide a minimum residence time
of 0.50 seconds at a minimum temperature of 760°C [1400°F].
Verify that if a boiler or process heater is used as the control device, the vent stream is
introduced into the flame zone of the boiler or process heater.
Verify that if flares are used:
- They are designed and operated with no visible emissions except for periods not in
excess of five minutes during any two consecutive hours
- They are operated with a flame present at all times
- They are used only if the net heating value of the gas being combusted is 11.2
MJ/scm (300 Btu/scf) or greater, if the flare is steam-assisted or air-assisted
- If nonassisted, the net heating value of the gas being combusted is 7.45 MJ/scm
(200 Btu/scf) or greater
- If nonassisted or steam-assisted, they have an exit velocity less than 18.3 m/s (60
ft/s) except when the net heating value of the gas being combusted is greater than
37.3 MJ/scm (1000 Btu/scf) and the exit velocity is equal to or greater than 18.3 m/s
(60 ft/s) but less than 122 m/s (400 ft/s).
Verify that each monitor and control device is inspected on a routine basis.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.51. (continued)
Verify that each required control device is installed, calibrated, monitored and
inspected as follows:
- A flow indicator is installed in the vent stream at the nearest feasible point to the
control device inlet, but before being combined with other streams, and provides a
record of vent stream flow from each affected process vent to the control device at
least once every hour
- A device to continuously monitor control device operations as specified:
a temperature monitoring device equipped with a continuous recorder for a
thermal vapor incinerator
- a temperature monitoring device equipped with a continuous recorder for a
catalytic vapor incinerator
a heat sensing monitor with a continuous recorder for flares
- a temperature monitoring device equipped with a continuous recorder to
measure a parameter that indicates good combustion operating practices are
being used for a boiler or process heater having a design heat input capacity less
than 44 MW
- for a condenser, one of the following:
a monitoring device with a continuous recorder to measure the concentration
level of the organic compound in the exhaust vent stream from the condenser
a temperature monitoring device equipped with a continuous recorder capable
of monitoring temperature in the exhaust vent stream from the condenser exit
with an accuracy of ± 1 percent of the temperature being monitored in Celsius
or in ± 0.5 Celsius, whichever is greater
for a carbon adsorption system such as a fixed bed carbon adsorber that
regenerates the carbon bed directly in the control device, one of the following:
a monitoring device equipped with a continuous recorder to measure the
concentration levels of the organic compounds in the exhaust vent stream
from the carbon bed
a monitoring device equipped with a continuous recorder to measure a
parameter that indicates the carbon bed is regenerated on a regular,
predetermined time cycle.
Verify that readings from monitoring devices are checked at least once a day.
Verify that if a carbon adsorption system is being used that regenerates the carbon
bed directly onsite, the existing carbon in the control device is replaced with fresh
carbon at regular, predetermined time intervals.
(NOTE: The predetermined time interval is based on the design analysis required
under 40 CFR 265.1035(b)(4)(iii)(F).)
Verify that if a carbon adsorption system is being used that does not regenerate the
carbon bed directly onsite, the existing carbon in the control device is replaced on a
regular basis.
(NOTE: When to replace the carbon is determined by one of the following procedures:
- Monitoring the concentration level of the organic compound in the exhaust vent
stream from the carbon adsorption system daily or at an interval no greater than 20
percent of the time required to consume the total carbon working capacity,
whichever is longer
- Replace the carbon at a regular predetermined time interval that is less than the
design carbon replacement interval.)
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.51. (continued)
Verify that closed-vent systems meet one of the following:
- Are designed and operated with no detectable emissions as indicated by an
instrument reading of less than 500 ppm above background as determined by the
procedures in 40 CFR 264.1035(b) and 265.1034(b) and by visual inspection
- Are designed to operate at a pressure below atmospheric pressure and are
equipped with at least one pressure gauge or other pressure measurement device
that can be read from a readily accessible location.
DF.52. TSDFs are required to
maintain specific records
pertaining to process vent
emissions (40 CFR 264.1035
and 265.1035).
Verify that the following information is kept in the operating record:
- An implementation schedule, if appropriate
- Up-to-date documentation of compliance with process vents and with closed-vent
systems
- The test performance plan if test data is used to determine the organic removal
efficiency or total organic compound concentration achieved by a control device
- Documentation of compliance with 40 CFR 265.1033, including:
a list of all information references and sources used in preparing the
documentation
- records, including the dates of required compliance tests
design analysis, specifications, drawings, schematics, and piping and
instrumentation diagrams if engineering calculations are used
- A statement signed and dated by the operator or owner certifying that the operating
parameters used in the design analysis reasonably represent the conditions which
exist when the hazardous waste management unit is or would be operating at the
highest load or capacity level reasonably expected
- A statement signed and dated by the owner or operator certifying that the control
device is designed to operate at an efficiency of 95 percent or greater unless the
total organic concentration limit is achieved at an efficiency of less than 95 weight
percent or the total organic emissions limits for affected process vents can be
attained by a control device involving vapor recovery at an efficiency less than 95
weight percent
- All performance test results if used to demonstrate compliance
- Design documentation
- Monitoring and inspection results
- Notations of exceedance
- Explanation for each period of exceedance
- For carbon adsorption systems:
- when the carbon is replaced in carbon adsorption systems
- date and time when a control device is monitored for carbon breakthrough
- The date of each control device startup and shutdown.
Verify that records of monitoring operations and inspection information are kept for
three years.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
44
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.53. Closed-vent systems are
required to be monitored,
inspected, and leaks repaired
(40CFR264.1030(b),
264.1030(e), 264.1033(1),
264.1033(0), 265.1030(b),
265.1030(d), 265.1033(k), and
265.1033(n)).
(NOTE: This applies to TSDFs with process vents associated with distillation,
fractionation, thin-film evaporation, solvent extraction, or air or steam stripping
operations, that manage hazardous wastes with organic concentrations of at least 10
ppmw, if the operations are conducted in one of the following:
- A unit that is subject to the permitting requirements of 40 CFR 270
- A unit (including a hazardous waste recycling unit) that is not exempt form
permitting under the provisions of 40 CFR 262.34(a) (i.e., a hazardous waste
recycling unit that is not a 90-day tank or container) and that is located at a
hazardous waste management facility that is otherwise subject to the permitting
requirements of 40 CFR 270
- A unit that is exempt from permitting under the provisions of 40 CFR 262.34(a) (i.e.,
a 90-day tank or container) and is not a recycling unit under the provisions of 40
CFR 261.6.)
(NOTE: These requirements do not apply to the process vents at a facility where the
owner/operator certifies all of the process vents that would otherwise have to meet
these requirements are equipped with and operating air emission controls in
accordance with the process vent requirements of an applicable regulation under 40
CFR part 60, part 61, or part 63. The documentation of compliance with these other
regulations must be kept with, or made readily available with, the facility operating
record.)
Verify that closed-vent systems designed and operated with no detectable emissions
(i.e., one at a pressure below atmospheric pressure) as indicated by an instrument
reading of less than 500 ppm above background are monitored as follows:
- An initial leak detection monitoring of the closed-vent system using the procedures
outlined in 40 CFR 264.1034(b) or 265.1034(b) on or before the date the system
becomes subject to this section of the CFR
- Visual inspection at least once a year for closed-vent system joints, seams, or other
connections that are permanently or semi-permanently sealed (e.g., a welded joint
between two sections of hard piping or a bolted and gasketed ducting flange)
- Annual and at times required by the regulatory agency for all other parts of the
system using the procedures specified in 40 CFR 265.1034(b).
Verify that closed-vent systems designed to operate at no detectable emissions are
monitored as follows:
- Annual visual inspection to check for defects that could result in air pollutant
emissions
- Initial inspection on or before the date the system becomes subject to this section of
the CFR.
(NOTE: For closed-vent systems designed to operate at no detectable emissions,
portions of the system designated as unsafe to monitor are exempt from the visual
monitoring if:
- The components are unsafe to monitor because monitoring personnel would be
exposed to an immediate danger
- A written plan that requires monitoring as practicable during safe to monitor periods
is in place and followed.)
Verify that detectable emissions, as indicated by visual inspection or by an instrument
reading of greater than 500 ppmv above background, are controlled as soon as
practicable but not later than 15 days after the emission is detected.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.53. (continued)
Verify that a first attempt at repair is made no later than 5 calendar days after the
emission is detected.
(NOTE: Delay of repair of a closed-vent system for which leaks have been detected is
allowed if the repair is technically infeasible without a process unit shutdown, or if it is
determined that the emissions resulting from the immediate repair would be greater
than the fugitive emissions likely to result from delay of repair.)
DF.54. Closed-vent systems and
control devices used to comply
with the provisions of 40 CFR
264.1030 through 264.1035 and
265.1030 through 265.1035 are
required to be operated at all
times when emissions may be
vented to them (40 CFR
264.1030(b), 264.1030(e),
264.1033(m), 265.1030(b),
265.1030(d), and 265.1033(1)).
(NOTE: This applies to TSDFs with process vents associated with distillation,
fractionation, thin-film evaporation, solvent extraction, or air or steam stripping
operations, that manage hazardous wastes with organic concentrations of at least 10
ppmw, if the operations are conducted in one of the following:
- A unit that is subject to the permitting requirements of 40 CFR 270
- A unit (including a hazardous waste recycling unit) that is not exempt form
permitting under the provisions of 40 CFR 262.34(a) (i.e., a hazardous waste
recycling unit that is not a 90-day tank or container) and that is located at a
hazardous waste management facility that is otherwise subject to the permitting
requirements of 40 CFR 270
- A unit that is exempt from permitting under the provisions of 40 CFR 262.34(a) (i.e.,
a 90-day tank or container) and is not a recycling unit under the provisions of 40
CFR 261.6.)
Verify that closed-vent systems and control devices are operated at all times when
emissions may be vented to them.
(NOTE: These requirements do not apply to the process vents at a facility where the
owner/operator certifies all of the process vents that would otherwise have to meet
these requirements are equipped with and operating air emission controls in
accordance with the process vent requirements of an applicable regulation under 40
CFR part 60, part 61, or part 63. The documentation of compliance with these other
regulations must be kept with, or made readily available with, the facility operating
record.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
46
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.55. When carbon adsorption
systems are used, operators are
required to manage all carbon
that is a hazardous waste
according to specific parameters
(40CFR264.1030(b),
264.1030(e), 264.1033(n),
265.1030(b), 265.1030(d), and
265.1033(m)).
(NOTE: This applies to TSDFs with process vents associated with distillation,
fractionation, thin-film evaporation, solvent extraction, or air or steam stripping
operations, that manage hazardous wastes with organic concentrations of at least 10
ppmw, if the operations are conducted in one of the following:
- A unit that is subject to the permitting requirements of 40 CFR 270
- A unit (including a hazardous waste recycling unit) that is not exempt form
permitting under the provisions of 40 CFR 262.34(a) (i.e., a hazardous waste
recycling unit that is not a 90-day tank or container) and that is located at a
hazardous waste management facility that is otherwise subject to the permitting
requirements of 40 CFR 270
- A unit that is exempt from permitting under the provisions of 40 CFR 262.34(a) (i.e.,
a 90-day tank or container) and is not a recycling unit under the provisions of 40
CFR 261.6.)
(NOTE: These requirements do not apply to the process vents at a facility where the
owner/operator certifies all of the process vents that would otherwise have to meet
these requirements are equipped with and operating air emission controls in
accordance with the process vent requirements of an applicable regulation under 40
CFR part 60, part 61, or part 63. The documentation of compliance with these other
regulations must be kept with, or made readily available with, the facility operating
record.)
Verify that carbon removed form control devices that is a hazardous waste is managed
in one of the following manners, regardless of the average VOC concentration of the
carbon:
- Regenerated or reactivated in a thermal treatment unit that meets one of the
following:
- the unit has a final permit under 40 CFR 270 which implements the requirements
of 40 CFR 264, subpartX
the unit is equipped with and operating air emission controls in accordance with
applicable requirements
- Incinerated in a hazardous waste incinerator for which the operator either:
- has a final permit under 40 CFR 270 which implements the requirements of 40
CFR 264, subpart O
has designed and operates the incinerator in accordance with the interim status
required in 40 CFR 265, subpart O
- Burned in a boiler or industrial furnace for which the operator either:
has been issued a final permit under 40 CFR 270 implementing 40 CFR 266
has designed and operates the boiler or industrial furnace in accordance with the
interim status requirements of 40 CFR 266, subpart H.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
Air Emission Standards for Equipment Leaks
(NOTE: This section applies to equipment that contains or contacts hazardous waste with organic concentrations of at
least 10 percent by weight that are managed in one of the following (40 CFR 264.1050(b) and 265.1050(b)):
- A unit that us subject to the permitting requirements of 40 CFR 270
- A unit (including a hazardous waste recycling unit) that is not exempt from permitting under the provisions of 40 CFR
262.34(a) (i.e., a hazardous waste recycling unit that is not a 90-day tank or container) and that is located at a
hazardous waste management facility that is otherwise subject to the permitting requirements of 40 CFR 270
- A unit that is exempt from permitting under the provisions of 40 CFR 262.34(a) (i.e., a 90-day tank or container) and is
not a recycling unit under the provisions of 40 CFR 261.6.)
(NOTE: This section does not apply to the following (40 CFR 264.1050(e), 264.1050(f), 265.1050(d), and 265.1050(e)):
- Equipment that is in vacuum service and is identified as such on the required list
- Equipment that contains or contacts hazardous waste with an organic concentration of at least 10 percent by weight for
less than 300 hours per calendar year and is identified as such.
DF.56. TSDFs with pumps in
light liquid service that contain or
contact hazardous wastes with
organic concentrations of at
least 10 percent by weight are
required to meet specific
standards (40 CFR 264.1052
and 265.1052).
Verify that pumps in light liquid service are monitored monthly according to designated
reference methods and visually inspected weekly.
(NOTE: A leak is detected if there is an instrument reading of 10,000 ppm or greater
or if there is an indication of liquid dripping from the pump seal.)
Verify that when a leak is detected, the first attempt at repair is made within five
calendar days and repair is completed within 15 calendar days.
Verify that, if the TSDF has chosen not to monitor monthly or visually check weekly,
pumps equipped with a dual mechanical seal system meet the following design and
operation requirements:
- The dual mechanical seal system is operated with barrier fluid at a pressure that is
at all times greater than the pump stuffing box or equipped with a barrier fluid
degassing reservoir that is connected by a closed-vent system to a control device or
equipped with a system that purges the barrier fluid into a hazardous waste stream
with no detectable emission to the atmosphere
- The barrier fluid system must not be a hazardous waste with organic concentrations
10 percent or greater by weight
- The barrier fluid system is equipped with a sensor that will detect failure if the seal is
broken
- Pumps are checked by visual inspection weekly
- Sensors are checked daily or equipped with an audible alarm that is checked
monthly.
Verify that, if the TSDF has chosen not to monitor monthly or visually check weekly,
pumps designated for no detectable emissions as indicated by an instrument reading
of 500 ppm above background or less meet the following:
- They are operated with no detectable emissions
- They are tested for compliance initially upon designation, annually, and at other
times as requested by the regulatory agency
- No externally actuated shaft penetrates the pump housing.
(NOTE: Any pump that is equipped with a closed-vent system capable of capturing
and transporting any leakage from the seal or seals to a control device is exempt from
these requirements.)
DF.56. (continued)
Verify that the owner/operator has determined, based on design considerations and
operating experience, a criterion that indicates failure of the seal system, the barrier
fluid system, or both.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.57. TSDFs with compressors
that contain or contact
hazardous wastes with organic
concentrations of at least 10
percent by weight are required
to meet specific standards (40
CFR 264.1053 and 265.1053).
Verify that each compressor is equipped with a seal system that includes a barrier fluid
system and that prevents leakage of total organic emissions to the atmosphere except
if:
- It is equipped with a closed-vent system capable of capturing and transporting any
leakage from the seal to a control device
- It is designated for no detectable emission and:
it operates at an instrument reading of less than 500 ppm above background
it is tested for compliance initially upon designation, annually, and at times as
requested by the regulatory agency.
Verify that compressor seal systems meet one of the following:
- It is operated with the barrier fluid at a pressure that is at all times greater than the
compressor stuffing box pressure
- It is equipped with a barrier fluid system that is connected to a closed-vent system to
a control device
- It is equipped with a system that purges the barrier fluid into a hazardous waste
stream with no detectable emissions to the atmosphere.
Verify that the barrier fluid is not a hazardous waste with organic concentrations 10
percent or greater by weight.
Verify that each barrier fluid system is equipped with a sensor that will detect failure of
the seal system, barrier fluid system, or both.
Verify that each sensor is checked daily or is equipped with an audible alarm that is
checked monthly.
(NOTE: Sensors on compressors located within the boundary of an unmanned site
must be checked daily.)
Verify that when a leak is detected, the first attempt at repair is made within five
calendar days and the repair is made within 15 calendar days.
DF.58. TSDFs with pressure
relief devices in gas/vapor
service that contain or contact
hazardous wastes with organic
concentrations of at least 10
percent by weight are required
to meet specific standards (40
CFR 264.1054 and 265.1054).
Verify that, except during pressure releases, each pressure relief device in gas/vapor
service is operated with no detectable emissions as indicated by an instrument reading
of less than 500 ppm above background.
Verify that, if there is a pressure release, the device is returned to a no detectable
emission status within 5 calendar days and the device is monitored to ensure
compliance.
(NOTE: Any pressure relief device that is equipped with a closed-vent system capable
of capturing and transporting leakage from the pressure relief device to a control
device is exempt from these requirements.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
49
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.59. TSDFs with sampling
connecting systems that contain
or contact hazardous wastes
with organic concentrations of at
least 10 percent by weight are
required to meet specific
standards (40 CFR 264.1055
and 265.1055).
Verify that each sampling connection system is equipped with a closed purge, closed
loop system or closed-vent system.
Verify that each system collects the sample purge for return to the processing or for
routing to the appropriate treatment system.
(NOTE: Gases displaced through filling of the sample container are not required to be
collected or captured.)
Verify that each closed purge, closed loop system or closed-vent system does one of
the following:
- Returns the purged process fluid directly to the process line
- Collects and recycles the purged process fluid
- Is designed and operated to capture and transport all the purged process fluid to a
waste management unit that is in compliance or a control device that is in
compliance.
(NOTE: In-situ sampling systems are exempt from these requirements.)
DF.60. TSDFs with open-ended
valves or lines that contain or
contact hazardous wastes with
organic concentrations of at
least 10 percent by weight are
required to meet specific
operation standards (40 CFR
264.1056 and 265.1056).
Verify that each open-ended valve or line is equipped with a cap, blind flange, plug, or
a second valve.
Verify that the cap, blind flange, plug, or second valve seals the open end at all times
except during operations requiring hazardous waste stream flow through the open-
ended valve of line.
Verify that each open-ended valve or line equipped with a second valve is operated so
that the valve on the hazardous waste stream end is closed before the second valve is
closed.
Verify that when a double block and bleed system is being used, the bleed valve is
shut or plugged except during operations that require venting the line between the
block valves.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.61. TSDFs with valves in
gas/vapor service or light liquid
service that contain or contact
hazardous wastes with organic
concentrations of at least 10
percent by weight are required
to meet specific monitoring and
repair standards (40 CFR
264.1057, 264.1061, 265.1057,
and 265.1061).
Verify that valves in gas/vapor service or light liquid service are monitored monthly to
detect leaks.
(NOTE: A leak is detected if an instrument reading of 10,000 ppm or greater is
measured. But, if a leak is not detected for two consecutive months, monitoring may
be cut back to quarterly until a leak is detected.)
(NOTE: Valves that are designated for no detectable emissions, as indicated by an
instrument reading of less than 500 ppm above background, do not have to be
monitored monthly if:
- The valve has no external actuating mechanism in contact with the hazardous waste
stream
- The valve is operated with emission less than 500 ppm above background
- The valve is tested initially upon designation, annually, and at the request of the
regulatory agency.)
(NOTE: Valves that are designated as unsafe-to-monitor are exempt from the
requirement for monthly monitoring if:
- The valve is unsafe to monitor because monitoring personnel would be exposed to
an immediate danger
- A written monitoring plan is followed that requires monitoring as often as is
reasonably practicable during safe-to-monitor times.)
(NOTE: Valves that are designated as difficult-to-monitor are exempt from monthly
monitoring requirements if:
- The valve cannot be monitored without elevating the monitoring personnel more
than 2 meters above a support surface
- The hazardous waste management unit within which the valve is located was in
operation before June 21, 1990
- A written monitoring plan is followed that requires the monitoring of the valve at least
once per calendar year.)
(NOTE: The TSDF may elect to have all valves within a hazardous waste
management unit comply with an alternative standard of no greater than 2 percent of
the valves to leak.)
(NOTE: The following are alternatives to the prescribed monitoring schedule which can
be used until the percentage of valves leaking is greater than 2 percent:
- After 2 consecutive quarterly leak detection periods with the percentage of valves
leaking equal to or less than 2 percent, an owner or operator may begin to skip one
of the quarterly leak detection periods for the valves
- After 5 consecutive quarterly leak detection periods with the percentage of valves
leaking equal to or less than 2 percent, an owner or operator may begin to skip 3 of
the quarterly leak detection periods.
Verify that, when a leak is detected, the first attempt at repair is made within five
calendar days after detection, and leak repair is completed within 15 calendar days
after detection.
(NOTE: First attempts at repair include, but are not limited to:
- Tightening of bonnet bolts
- Replacement of bonnet bolts
- Tightening of packing gland nuts
- Injection of lubricant into lubricated packing.)
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.62. TSDFs with pumps and
valves in heavy liquid service,
pressure relief devices in light
liquid service or heavy liquid
service, and other connectors
that contain or contact
hazardous wastes with organic
concentrations of at least 10
percent by weight are required
to meet specific monitoring and
repair standards (40 CFR
264.1058 and 265.1058).
Verify that pumps and valves in heavy liquid service, pressure relief devices in light
liquid service or heavy liquid service, and other connectors are required to be
monitored within five days if evidence of a potential leak is found by visual, olfactory,
audible, or other detection method.
(NOTE: A leak is detected if an instrument reading of 10,000 ppm or greater is
measured.)
Verify that, when a leak is detected, the first attempt at repair occurs within five days
and repair is done within 15 days after discovery.
(NOTE: First attempts at repair include, but are not limited to:
- Tightening of bonnet bolts
- Replacement of bonnet bolts
- Tightening of packing gland nuts
- Injection of lubricant into lubricated packing.)
(NOTE: Any connector that is inaccessible or is ceramic or ceramic-lined is exempt
from the monitoring requirements.)
DF.63. TSDFs are required to
keep specific records pertaining
to the valves, pumps, pressure
relief devices, and connecting
systems being monitored for
leaks and submit certain reports
(40 CFR 264.1058(e), 264.1064,
264.1065,265.1058(6), and
265.1064).
Verify that the following information is maintained in the TSDF operating record:
- Equipment identification number and hazardous management unit identification
- Approximate locations
- Type of equipment
- Percent-by-weight total organics in the hazardous waste stream at the equipment
- Hazardous waste state at the equipment (gas, liquid, vapor)
- Method of compliance
- Implementation schedule if needed
- A performance plan for control devices as needed
- Documentation of compliance
- Documentation of repair, including:
- the instrument and operator identification numbers and the equipment
identification number
the date evidence of a potential leak was found
the date the leak was detected and the date of each attempt to repair the leak
- repair methods applied in each attempt
- "Above 10,000" if the maximum instrument reading after each repair attempt is
greater than 10,000 ppm
- "Repair delayed" and the reason for delay if the leak is not repaired within 15
calendar days after discovery
documentation supporting the delay of valve repair
signature of the owner or operator whose decision it was that repair could not be
made without a hazardous waste management unit shutdown
- the expected date of successful repair of the leak when it is not repaired within
15 calendar days
the date of the successful repair of the leak
- Design documentation and monitoring, operating, and inspection information for
each closed-vent system control device required to comply with the provisions of 40
CFR 265.1060
- Monitoring and inspection information indicating proper operation and maintenance
of the control device for a control device other than a thermal vapor incinerator,
catalytic vapor incinerator, flare, boiler, process heater, condenser, or carbon
adsorption system
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.63. (continued)
- The following information for all equipment subject to 40 CFR 265.1052 through
265.1060:
- a list of identification numbers for equipment (except welded fittings)
a list of identification numbers for equipment that the owner or operator elects to
designate for no detectable emissions
- a list of equipment identification numbers for pressure relief devices
- the dates of required compliance tests, background levels, maximum instrument
reading, measured during the compliance test
a list of identification numbers for equipment in vacuum service
- identification either by list or location (area or group) of equipment that contains
or contacts hazardous waste with an organic concentration of at least 10 percent
by weight for less than 300 hours per calendar year.
Verify that the following information is kept for all valves subject to 40 CFR
265.1057(g)and(h):
- A list of identification numbers for valves listed as unsafe to monitor, an explanation
for each valve stating why it is unsafe to monitor, and the plan for monitoring each
valve
- A list of identification numbers for valves that are designated as difficult to monitor,
an explanation for each valve stating why it is difficult to monitor, and the plan for
monitoring each valve
- The following for all valves complying with 40 CFR 265.1062:
- a schedule of monitoring
- the percent of valves found leaking in each monitoring period.
Verify that the following information is kept for use in determining exemptions:
- An analysis determining the design capacity of the unit
- A statement listing the hazardous waste influent to and effluent from each unit
subject to 40 CFR 265.1052 through 265.1060 and an analysis determining whether
these hazardous wastes are heavy liquids
- An up-to-date analysis and the supporting information and data used to determine if
equipment is subject to the requirements.
(NOTE: If repairs are made and the control device does not exceed or operate outside
of the design specifications for more than 24 hours, a report to the regulatory agency
is not required.)
Verify that permitted TSDFs submit a semiannual report indicating leaks and repairs to
the regulatory agency.
(NOTE: Any connector that is inaccessible or is ceramic or ceramic-lined is exempt
from the recordkeeping requirements.
DF.64. Each piece of equipment
subject to the requirements in 40
CFR 264.1050 through
264.1064 and 265.1050 through
265.1064 is required to be
marked so that it can be
distinguished from other
equipment (40 CFR 264.1050(d)
and265.1050(c)).
Verify that each piece of equipment subject to the requirements in 40 CFR 264.1050
through 264.1064 and 265.1050 through 265.1064 is marked so that it can be
distinguished from other equipment.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.65. When a TSDF
owner/operator has elected to
comply with alternative
standards, specific actions are
required (40 CFR 264.1061 and
265.1061).
Determine if the owner/operator subject to 40 CFR 264.1057/265.1057 (see checklist
item DF.61) has elected to have all valves within a hazardous waste management unit
comply with an alternative standard of allowing 2 percent of the valves to leak.
Verify that the following actions have been taken if complying with the 2 percent
alternative:
- The regulatory agency has been notified of the choice to comply with the alternative
standard
- A performance test was conducted initially upon designation, annually, and at other
times as required by the regulatory agency
- If a valve leak is detected, first attempt at repair is within 5 calendar days and leak
repair is completed within 15 days after detection.
Verify that, if the owner/operator has decided to no longer apply with the 2 percent
rule, they have notified the regulatory agency.
Documentation Requirements
OF.66. TSDFs must develop and
follow a written waste analysis
plan(40CFR264.13(b),
264.13(c), 265.13(b), and
265.13(c)).
Determine if the TSDF treats, stores, or disposes of hazardous waste.
Verify that the TSDF has a waste analysis plan.
Verify that the TSDF is following the waste analysis plan by comparing the plan to
records of actual procedures.
Verify that the waste analysis plan contains the following:
- Testing parameters for which each hazardous waste will be analyzed
- Test methods
- Sampling methods used to obtain a representative sample
- Frequency in which the analysis will be reviewed or repeated to ensure that the
analysis is up-to-date and accurate
- Waste analysis supplied by offsite generators
- Methods used to meet the additional analysis requirements for management of
ignitable, reactive, or incompatible wastes, bulk and containerized liquids, and
incineration are stated (if applicable)
- Procedures and schedules for sampling, analysis and removal of residues, where
required, for the surface impoundments exempted from the LDR restrictions
- Additional information required for TSDFs seeking an exemption from the air
emission standards of subpart CC
- Additional information as follows for offsite facilities:
- specific procedures to inspect (and analyze if necessary) each movement of
hazardous waste received to ensure that it matches the identity of the waste
designated in the manifest
- the method of sampling used to obtain a representative sample (if the
identification method includes sampling)
the procedures that an offsite landfill receiving containerized hazardous waste
will use to determine if a hazardous waste generator or treater has added a
biodegradable sorbent to the waste in the container.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
54
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.67. Each TSD site on the
facility must have a formal
written inspection schedule and
a log of inspection results (40
CFR 264.15 and 265.15).
Verify that the TSDF has a formal written inspection schedule for inspecting monitoring
equipment, safety and emergency equipment, security devices, and operating and
structural equipment that are important to preventing, detecting, or responding to
environmental or human health hazards.
Verify that the schedule is kept at the TSDF and lists types of problems to be looked
for during the inspection.
Verify that areas subject to spills, such as loading and unloading areas, are inspected
daily when in use.
Verify that any deterioration or malfunction detected by the inspections has been
corrected.
Verify that logs, or records, of the inspections are kept for three years and include the
following:
- The date and time of the inspection
- The name of the inspector
- A notation of the observations made
- The date and nature of any repairs or other remedial actions.
DF.68. TSDFs must have a
contingency plan (40 CFR
264.50 through 264.54 and
265.50 through 265.54).
(NOTE: TSDFs may be addressed in the facility's SPCC plan or other emergency
plan, or if none exists, in a separate contingency plan.)
Verify that the contingency plan is designed to minimize hazards to human health or
the environment from fires, explosions, or any unplanned sudden or non-sudden
release of hazardous waste or hazardous waste constituents.
Verify that the plan includes the following:
- A description of actions to be taken during an emergency
- A description of arrangements, as appropriate, agreed to by local police
departments, fire departments, hospitals, contractors, and state and local
emergency response teams
- Names, addresses, and phone numbers of all persons qualified to act as
emergency coordinator
- A list of all emergency equipment at the TSDF, its location, a physical description,
and an outline of its capabilities
- An evacuation plan for TSDF personnel where there is a possibility evacuation
would be needed.
Verify that copies of the contingency plan are maintained at the TSDF and also have
been submitted to organizations which may be called upon to provide emergency
services.
Verify that the contingency plan is routinely reviewed and updated, especially when the
TSDF is issued a new permit, the plan fails in an emergency, the emergency
coordinators change, the waste being handled changes, and/or the list of emergency
equipment changes.
DF.69. TSDF operators must
record the time, date, and
details of any incident that
requires implementing the
contingency plan (40 CFR
264.56G) and 265.56Q)).
Review TSDF operating records to determine if incidents have been recorded and
corrective actions taken.
Verify that written reports have been submitted to the regulatory agency within 15 days
after the incident.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
55
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.70. TSDF operators must
keep written operating records
at the facility (40 CFR 264.73
through 264.74 and 265.73
through 265.74).
Verify that the TSDF has a written operating record.
Determine if the operating record includes:
- A description and quantity of each hazardous waste received at the TSDF and the
method(s) and date(s) of treatment, storage, or disposal of each waste received at
the TSDF
- The location of each hazardous waste within the TSDF (cross-referenced to specific
manifest document numbers and the quantity at each location)
- For disposal facilities, the location and quantity is recorded on a map or diagram of
each cell or disposal area
- Records and results of waste analyses and waste determinations performed
- Reports of all the incidents that required the implementation of the contingency plan
- Records and results of inspections (only a 3 year retention period)
- Monitoring, testing, and analytical data (where required)
- For offsite facilities, notices to the generator
- Annual certification that the TSDF has a program in place to reduce the volume and
toxicity of hazardous waste, and that the proposed method of treatment, storage, or
disposal minimizes the present and future threat to human health and the
environment
- The record of the quantities and date of placement for each shipment of hazardous
waste placed in land disposal units under an extension granted by 40 CFR 268.5, a
petition granted under 40 CFR 268.6, or a certification granted under 40 CFR 268.8
- A copy of the applicable notice, demonstration, and certification required for any
restricted hazardous wastes
- Certifications and demonstrations provided to generators or received from
generators
- Closure cost estimates or, for disposal facilities, post-closure cost estimates.
(NOTE: This information must be recorded and maintained in the operating record
until closure of the disposal facility.)
(NOTE: The retention period for all records is extended automatically during the
course of any unresolved enforcement action or as required by the regulatory agency.)
DF.71. TSDFs must prepare and
submit a single copy of a
biennial report to the regulatory
agency by March 1 of each even
numbered year (40 CFR 264.75
and 265.75).
Obtain a copy of the biennial report (EPA Form 8700-13D or applicable state form).
Verify that biennial reports are prepared and submitted and contain the following
information:
- EPA identification number
- TSDF name and address
- Calendar year covered by report
- Description and quantity of each waste received
- Method of treatment, storage, or disposal for each waste
- Certification signed by owner or operator of the TSDF
- Offsite facilities must also report EPA identification number for each hazardous
waste generator from which waste was received
- Description of efforts undertaken during the year to reduce the volume and toxicity
of waste generated (for onsite facilities only)
- Description of changes in volume and toxicity of waste actually achieved during the
year in comparison to previous years to the extent that information is available for
the years prior to 1984 (for onsite facilities only).
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.72. TSDFs must have a
written closure plan for each
TSDF(40CFR264.110,
264.112(a), 264.112(b),
265.110,265.112(3), and
265.112(b)).
Determine if the TSDF has a written closure p\ar\.
Determine, by review, if the closure p\ar\ addresses:
- How the TSDF will be closed
- Estimates of the maximum amount of wastes in storage and in treatment during the
life of the TSDF
- Description of removal or decontamination procedures to be used during closure
- Schedule for closure of each unit.
DF.73. TSDFs with hazardous
waste disposal units and certain
surface impoundments and
waste piles are required to have
a written post-closure plan (40
CFR 264.118 and 265.118(3)
through 265.118(d)).
Verify that the plan includes the following information:
- Identifies the monitoring and maintenance activities that will be carried on after
closure of each disposal unit and the frequency of these activities
- Name address and phone number of the person or office to contact during post-
closure care.
Verify that the plan is amended if there is a change in the expected year of final
closure, if events occur during the life of the TSDF that impact closure care or there is
a change in TSDF design.
DF.74. TSDFs that receive
waste from offsite sources must
comply with manifest
requirements (40 CFR 264.70,
264.71, 265.70 and 265.71).
Determine if the TSDF receives waste from offsite sources and if their permit allows for
the receipt of offsite waste.
Determine if manifests contain the following by reviewing a random number of
manifests:
- Proper signature
- Date of receipt.
Verify that a copy was sent to the generator within 30 days of receipt of waste.
Verify that copies are retained at the TSDF for three years from the date of delivery of
hazardous waste.
Verify that wastes received by the TSDF are included in their permit.
(NOTE: Periods of retention of records are extended automatically during the course
of any unresolved enforcement action or as requested by the regulatory agency.)
DF.75. TSDFs which receive
waste from offsite sources are
required to attempt to resolve
manifest discrepancies when
they occur (40 CFR 264.72 and
265.72).
Determine if significant discrepancies existed between the quantity or type of waste
designated on the manifest or shipping paper, and the quantity or type of waste the
TSDF received.
Verify that on discovery of a significant discrepancy, an attempt was made to reconcile
the discrepancy with the generator and/or the transporter.
Verify that if the discrepancy could not be resolved within 15 days after receipt of the
waste, the regulatory agency was notified by mail and the following was included:
- A letter describing the discrepancy and the attempts to reconcile it
- Copy of the manifest or shipping paper at issue.
(NOTE: For bulk waste, variations greater than 10 percent in weight, and for batch
waste, any variation in piece count is a significant discrepancy. Significant
discrepancies in type are obvious differences which can be discovered by inspection
or waste analysis, such as waste solvent substituted for waste acid, or toxic
constituents not reported on the manifest or shipping paper. These discrepancies may
only be discovered after waste analysis.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
57
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.76. Reports must be
submitted to the regulatory
agency when a TSDF accepts
an unmanifested waste
shipment (40 CFR 264.76 and
265.76).
Determine if unmanifested shipments have been accepted.
Verify that reports (Form 8700-13B or applicable state form) are submitted within 15
days.
(NOTE: When small quantities (i.e., waste from CESQGs) are received without
certification that the waste is excluded from manifest requirements, an unmanifested
waste report should be filed.)
Surface Impoundments
DF.77. TSDFs must follow
specific restrictions concerning
the types of wastes placed in
any surface impoundment (40
CFR 264.229, 264.230, 265.229
and 265.230).
Verify that incompatible wastes or incompatible wastes and materials are not placed in
the same surface impoundment unless precautions are taken to prevent:
- 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 TSDF
- Threats to human health or the environment through other means.
Verify that ignitable or reactive wastes are not placed in surface impoundments unless
the wastes and impoundments satisfy the restrictions in 40 CFR 268 (see checklist
items DF.44 through DF.49, "Restricted Wastes") and they are treated, rendered or
mixed so that it is no longer ignitable or reactive.
Verify that one of the following conditions is met for the surface impoundment when
used for ignitable or reactive waste:
- Precautions are taken so that the following are prevented:
- 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 TSDF
threats to human health or the environment through other means
- The waste is managed so that it is protected from any materials or conditions which
may cause it to ignite or react
- The surface impoundment is used only for emergencies.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.78. When surface
impoundments use floating
membrane covers, the covers
are required to meet specific
design standards (40 CFR
264.1085(a) through
264.1085(c)(2), and 265.1086(a)
through 265.1086(c)(ii)).
(NOTE: These requirements do not apply to 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
following an approved closure plan (40 CFR 264.1080(b)(4) and 265.1080(b)(4)).)
(NOTE: These requirements do not apply to surface impoundments in which all the
hazardous waste entering the surface impoundment meets one of the following (40
CFR 264.1082(c) and 265.1083(c)):
- The average VO concentration of the hazardous waste at the point of waste
origination is less than 500 ppmw
- The organic content of the hazardous waste has been reduced by an organic
destruction or removal process
- The waste meets the numerical concentration limits for organic hazardous
constituents as specified in 40 CFR 268.40 or has been treated by the treatment
technology established by the EPA for the waste in 268.42(a) or an equivalent
method.)
Verify that the surface impoundment has installed and operates one of the following:
- A floating membrane cover
- A cover that is vented through a closed-vent system to an approved control device.
DF.78. (continued)
Verify that the floating membrane cover is designed and operated to meet the
following:
- It is designed to float on the liquid surface during normal operations and form a
continuous barrier over the entire surface area of the liquid
- It is fabricated from a synthetic membrane material that is either high density
polyethylene with a thickness no less than 2.5 millimeters or a material or a
composite of different materials determined to have both organic permeability
properties that are equivalent to the polyethylene and chemical and physical
properties that maintain the material integrity for the intended service life of the
material
- It is installed so that there are no visible cracks, holes, gaps, or other open spaces
between cover section seams or between the interface of the cover edge and its
foundation mountings
- All openings, except for emergency cover drains, are quipped 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 cover opening and the closure
device
- The emergency cover drains are equipped with a slotted membrane fabric cover
that covers at least 90 percent of the area of the opening or a flexible fabric sleeve
seal
- The closure device is made of suitable materials to minimize the exposure of the
hazardous waste to the atmosphere and maintain the integrity of the closure
devices through their intended service life.
Verify that, whenever hazardous waste is in the surface impoundment, the floating
membrane cover floats on the liquid and each closure device is secured in the closed
position except for the following:
- To provide access to the surface impoundment for performing routine maintenance,
inspection, or other activities for normal operations
- To remove accumulated sludge or other residues from the bottom of the surface
impoundments
- When necessary to avoid an unsafe condition.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
59
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.79. When surface
impoundments use a cover that
is vented through a closed-vent
system to a control device, the
cover is required to meet
specific design standards (40
CFR264.1085(d)(1),
264.1085(d)(2), 265.1086(d)(1),
and265.1086(d)(2)).
(NOTE: These requirements do not apply to 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
following an approved closure plan (40 CFR 264.1080(b)(4) and 265.1080(b)(4)).)
(NOTE: These requirements do not apply to surface impoundments in which all the
hazardous waste entering the surface impoundment meets one of the following (40
CFR 264.1082(c) and 265.1083(c)):
- The average VO concentration of the hazardous waste at the point of waste
origination is less than 500 ppmw
- The organic content of the hazardous waste has been reduced by an organic
destruction or removal process
- The waste meets the numerical concentration limits for organic hazardous
constituents as specified in 40 CFR 268.40 or has been treated by the treatment
technology established by the EPA for the waste in 268.42(a) or an equivalent
method.)
Verify that the cover is vented directly through a closed-vent system to a control device
as follows:
- The cover and the closure devices form a continuous barrier over the entire surface
area of the liquid in the surface impoundment
- Each opening not vented to the control device is equipped with a closure device
- When the pressure in the vapor headspace underneath the cover is less than
atmospheric pressure when the control device is in operation, closure devices are
designed to operate so that when the closure device is secure 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 cover opening and the closure
device
- When the pressure in the vapor headspace is equal to or greater than atmospheric
pressure when the control device is operating, the closure device is designed to
operate with no detectable organic emissions
- The cover and its closure devices are made of suitable materials to minimize
exposure of the hazardous waste to the atmosphere, to the extent practical, and
maintains the integrity of the cover and closure devices throughout their intended
life service.
Verify that, when a hazardous waste is in the surface impoundment, the cover is
installed with each closure device secured in the closed position, and the vapor
underneath the cover vented to the control devices except as follows:
- Venting to the control device is not done and opening of the closure devices or
removal is allowed in order to provide access to the surface impoundment for
performing routine inspection, maintenance, or other activities needed for normal
operations
- Venting to the control device is not done and opening of the closure devices or
removal is allowed to remove accumulated sludge or other residues from the bottom
of the surface impoundment
- Opening of safety devices to avoid an unsafe condition.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.80. Closed-vent systems and
control devices are required to
be designed according to 40
CFR 264.1087 or 265.1088 (40
CFR264.1085(d)(1)(iv),
264.1087, 265.1086(d)(1)(iv),
and 265.1088).
(NOTE: These requirements do not apply to 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
following an approved closure plan (40 CFR 264.1080(b)(4) and 265.1080(b)(4)).)
(NOTE: These requirements do not apply to surface impoundments in which all the
hazardous waste entering the surface impoundment meets one of the following (40
CFR 264.1082(c) and 265.1083(c)):
- The average VO concentration of the hazardous waste at the point of waste
origination is less than 500 ppmw
- The organic content of the hazardous waste has been reduced by an organic
destruction or removal process
- The waste meets the numerical concentration limits for organic hazardous
constituents as specified in 40 CFR 268.40 or has been treated by the treatment
technology established by the EPA for the waste in 268.42(a) or an equivalent
method.)
Verify that closed-vent systems:
- Route the gases, vapors, and fumes emitted from the hazardous waste to a control
device
- Are designed according to 264.1033(k) or265.1033(j) as appropriate
- Are equipped with one of the following when the system includes 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
purposes) that could be used to divert the gas or vapor stream to the atmosphere:
- a flow indicator at the inlet to the bypass device that indicates whether gas or
vapor flow is present in the bypass device
a seal or locking device placed on the mechanism by which the bypass device
position is controlled when the bypass device is in the closed position so that the
bypass device cannot be opened without breaking the seal or removing the lock.
Verify that if a control device is used, 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 (i.e., vapor incinerator, boiler, or process heater),
designed and operated to reduce the organic emissions vented to it by 95 weight
percent or greater, to achieve a total organic compound concentration of 20 ppmv,
expressed as the sum of the actual compounds, not carbon equivalents, on a dry
basis corrected to 3 percent oxygen, or to provide a minimum residence time of
0.50 seconds at a minimum temperature of 760°C [1400°F]
- A flare that:
- is designed and operated with no visible emissions except for periods not in
excess of 5 minutes during any 2 consecutive hours
is operated with a flame present at all times
- is used only if the net heating value of the gas being combusted is 11.2 MJ/scm
(300 Btu/scf) or greater if the flare is steam-assisted or air-assisted.
if nonassisted, the net heating value of the gas being combusted is 7.45 MJ/scm
(200 Btu/scf) or greater
- if nonassisted or steam-assisted, has an exit velocity less than 18.3 m/s (60 ft/s)
except when the net heating value of the gas being combusted is greater than
37.3 MJ/scm (1000 Btu/scf) and the exit velocity is equal to or greater than 18.3
m/s (60 ft/s) but less than 122 m/s (400 ft/s).
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.80. (continued)
(NOTE: These specifications do not apply during periods of planned routine
maintenance, nor do they apply during control device system malfunctions.)
(NOTE: The performance of each flare will be demonstrated in accordance with 40
CFR 265.1033(e).)
Verify that, when using a closed-vent system and control device, periods of planned
routine maintenance of the control device during which specifications will be exceeded
do not exceed 240 hours/year.
Verify that malfunctions are corrected as soon as is practical.
Verify that closed-vent systems are operated so that gases, vapors, and/or fumes are
not actively vented to the control device during periods of planned maintenance or
control device system malfunctions.
Verify that, when a carbon adsorption system is used, all activated carbon in the
control device is replaced on a regular basis after start-up.
Verify that carbon removed from control devices that is a hazardous waste is managed
in one of the following manners, regardless of the average VOC concentration of the
carbon:
- Regenerated or reactivated in a thermal treatment unit that meets one of the
following:
the unit has a final permit under 40 CFR 270 which implements the requirements
of 40 CFR 264, subpartX
- the unit is equipped with and operating air emission controls in accordance with
applicable requirements
- Incinerated in a hazardous waste incinerator for which the operator either:
- has a final permit under 40 CFR 270 which implements the requirements of 40
CFR 264, subpartO
has designed and operates the incinerator in accordance with the interim status
required in 40 CFR 265, subpart O
- Burned in a boiler of industrial furnace for which the operator either:
has been issued a final permit under 40 CFR 270 implementing 40 CFR 266
- has designed and operates the boiler or industrial furnace in accordance with the
interim status requirements of 40 CFR 266, subpart H.
Verify that operation and maintenance is done in accordance with 264.1033(j) or
265.1033(i) if a control device is used other than a thermal vapor incinerator, flare,
boiler, process heater, condenser, or carbon adsorption system.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.80. (continued)
Verify that achievement of control device performance requirements is demonstrated
by a performance test or design analysis is used 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 of process heater burning hazardous waste for which a final permit has
been issued under 40 CFR 270 and is designed and operated in accordance with
the requirements of 40 CRR 266, subpart H
- A boiler or industrial furnace burning hazardous waste which the owner or operator
has designed and operates in accordance with the interim status requirements of 40
CFR 266, subpart H.
Verify that 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.
DF.81. Surface impoundments
are required to have enclosed
pipes or other closed systems
for the transfer of hazardous
waste in certain circumstances
(40 CFR 264.1085(e) and
265.1086(e)).
(NOTE: These requirements do not apply to 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
following an approved closure plan (40 CFR 264.1080(b)(4) and 265.1080(b)(4)).)
(NOTE: These requirements do not apply to surface impoundments in which all the
hazardous waste entering the surface impoundment meets one of the following (40
CFR 264.1082(c) and 265.1083(c)):
- The average VO concentration of the hazardous waste at the point of waste
origination is less than 500 ppmw
- The organic content of the hazardous waste has been reduced by an organic
destruction or removal process
- The waste meets the numerical concentration limits for organic hazardous
constituents as specified in 40 CFR 268.40 or has been treated by the treatment
technology established by the EPA for the waste in 268.42(a) or an equivalent
method.)
Verify that transfer of hazardous waste is done using continuous hard piping or
another closed system that does not allow exposure of the waste to 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.
63
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.82. Facilities are required to
meet inspection and monitoring
requirements and requirements
for the repair of defects
identified in the inspection and
monitoring process for surface
impoundments (40 CFR
264.1085(c)(3), 264.1085(d)(3),
264.1085(f), 264.1085(g),
264.1087(c)(7), 264.1088,
265.1086(c)(3), 265.1086(d)(3),
265.1086(f), 265.1086(g),
265.1088(c)(7), and 265.1089).
(NOTE: These requirements do not apply to 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
following an approved closure plan (40 CFR 264.1080(b)(4) and 265.1080(b)(4)).)
(NOTE: These requirements do not apply to surface impoundments in which all the
hazardous waste entering the surface impoundment meets one of the following (40
CFR 264.1082(c) and 265.1083(c)):
- The average VO concentration of the hazardous waste at the point of waste
origination is less than 500 ppmw
- The organic content of the hazardous waste has been reduced by an organic
destruction or removal process
- The waste meets the numerical concentration limits for organic hazardous
constituents as specified in 40 CFR 268.40 or has been treated by the treatment
technology established by the EPA for the waste in 268.42(a) or an equivalent
method.)
Verify that the facility has a written plan and schedule for performing inspections and
monitoring.
Verify that, when a floating membrane cover is used, inspection is done as follows:
- Initial visual inspection of the cover and its closure devices to check for defects that
could result in air emissions on or before the date that the surface impoundment
becomes subject to this section
- Annual visual inspection of the cover and its closure devices to check for defects
that could result in air emissions.
Verify that, when a cover vented to a control device is used, inspection is done as
follows:
- Initial visual inspection of the cover and its closure devices to check for defects that
could result in air emissions on or before the date that the surface impoundment
becomes subject to this section
- Annual visual inspection of the cover and its closure devices to check for defects
that could result in air emissions.
(NOTE: After the initial inspection, subsequent inspection and monitoring may be done
at intervals longer than 1 year when inspecting or monitoring the cover would expose a
worker to dangerous, hazardous, or other unsafe conditions as long as there is a
written explanation stating the reasons the cover is unsafe to inspect and there is a
written plan to inspect the cover.)
Verify that, when a defect is identified, the first efforts at repair are made no later than
5 calendar days after detection and repair is completed as soon as possible, but no
later than 45 calendar days after detection.
(NOTE: Repair may be delayed beyond 45 calendar days if the owner or operator
determines that repair requires emptying or temporary removal from service of the
surface impoundment and no alternative capacity is available at the site to accept the
hazardous waste normally managed in the surface impoundment.)
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.82. (continued)
Verify that each required control device has a device to continuously monitor it as
follows:
- A temperature monitoring device equipped with a continuous recorder for a thermal
vapor incinerator
- A temperature monitoring device equipped with a continuous recorder for a catalytic
vapor incinerator
- A heat sensing monitor with a continuous recorder for flares
- A temperature monitoring device equipped with a continuous recorder to measure a
parameter that indicates good combustion operating practices are being used for a
boiler or process heater having a design heat input capacity less than 44 MW
- For a condenser, one of the following:
a monitoring device with a continuous recorder to measure the concentration
level of the organic compound in the exhaust vent stream from the condenser
- a temperature monitoring device equipped with a continuous recorder capable of
monitoring temperature in the exhaust vent stream from the condenser with an
accuracy of ± 1 percent of the temperature being monitored in Celsius or in ±
0.5°C, whichever is greater
- For a carbon adsorption system such as a fixed bed carbon adsorber that
regenerates the carbon bed directly in the control device, one of the following:
a monitoring device equipped with a continuous recorder to measure the
concentration levels of the organic compounds in the exhaust vent stream from
the carbon bed
a monitoring device equipped with a continuous recorder to measure a
parameter that indicates the carbon bed is regenerated on a regular,
predetermined time cycle.
Verify that the continuous monitoring devices are inspected at least once each
operating day to check control device operation.
Verify that closed-vent systems designed and operated with no detectable emissions,
as indicated by an instrument reading of less than 500 ppm above background, are
monitored as follows:
- An initial leak detection monitoring of the closed-vent system on or before the date
the system becomes subject to this section of the CFR
- Visual inspection according to 40 CFR 264.1034(b)/265.1034(b) at least once a
year for closed-vent system joints, seams, or other connections that are
permanently or semi-permanently sealed (e.g., a welded joint between two sections
of hard piping or a bolted and gasketed ducting flange)
- Annually and at times required by the regulatory agency for all other parts of the
system.
Verify that closed-vent systems designed to operate at no detectable emissions are
monitored as follows:
- Annual visual inspection to check for defects that could result in air pollutant
emissions
- Initial inspection on or before the date the system becomes subject to this section of
the CFR.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.82. (continued)
(NOTE: For closed-vent systems designed to operate at no detectable emissions,
portions of the system designated as unsafe to monitor are exempt from the visual
monitoring if:
- The components are unsafe to monitor because monitoring personnel would be
exposed to an immediate danger
- A written plan that requires monitoring as practicable during safe to monitor periods
is in place and followed.)
Verify that detectable emissions, as indicated by visual inspection or by an instrument
reading of greater than 500 ppmv above background, are controlled as soon as
practicable but not later than 15 days after the emission is detected.
Verify that a first attempt at repair is made no later than 5 calendar days after the
emission is detected.
(NOTE: Delay of repair of a closed-vent system for which leaks have been detected is
allowed if the repair is technically infeasible without a process unit shutdown, or if it is
determined that the emissions resulting from the immediate repair would be greater
than the fugitive emissions likely to result from delay of repair.)
DF.83. Facilities are required to
meet documentation
requirements for surface
impoundments (40 CFR
264.1089(a), 264.1089(c),
264.1089(e) through
264.1089(h), 265.1090(a),
265.1090(c), and 265.1090(e)
through 265.1090(h)).
Verify that the facility records and maintains the following:
- The surface impoundment identification number (or other unique identification
description as selected by the owner/operator)
- Documentation describing the floating membrane cover or cover design, as
applicable, that includes information prepared by the owner/operator or provided by
the cover manufacturer or vendor describing the cover design, and certification by
the owner/operator that the cover meets specifications
- A record of each required inspection, including the following information:
date inspection was completed
for each defect, the location, description of the defect, date of detection, and
corrective action taken.
Verify that the following documentation is kept for closed-vent systems and control
devices:
- Certification that the control device is designed to operate at the necessary
performance level when the surface impoundment is or would be operating at
capacity or the highest level reasonably expected to occur
- Design documentation, if design analysis is used
- A performance test plan, if performance tests are used
- Description and date of each modification
- Identification of operating parameters, description of monitoring devices, and
diagram of monitoring sensor location or locations
- For planned routine maintenance operations where the control device would not
meet requirements, the following semiannually:
- a description of the planned routine maintenance that is anticipated for the next
6-month period
a description of the planned routine maintenance that was performed during the
previous 6-month period
- the total number of hours that the control device did not meet the requirements of
40 CFR 264.1089(i)(1)/265.1090(l)(1)
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.83. (continued)
- For unexpected malfunctions:
- the duration and occurrence of each malfunction
- 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 carbon removed from a carbon adsorption system.
Verify that all records, except design information records, are kept for a minimum of 3
years.
Verify that design information records are kept in the operating record until the air
pollution control equipment is replaced or otherwise no longer in service.
Verify that records for exempted facilities are kept as long as the facility is not using air
emissions controls.
Verify that, for exempted facilities, the following information is kept:
- The information used for waste determination in the operating log
- The identification number of the incinerator, boiler, or industrial furnace in which the
hazardous waste is treated.
Verify that, for unsafe to inspect and monitor covers, a record is kept of the
identification numbers of the units and the reasons why the cover is unsafe to monitor
and a plan and a schedule for inspecting and monitoring each cover.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
Waste Piles
DF.84. All waste piles containing
ignitable or incompatible wastes
must follow certain requirements
(40 CFR 264.256, 264.257,
265.256 and 265.257).
Verify that ignitable wastes are not placed into piles unless one of the following is met:
- The waste is treated or rendered, or mixed before or immediately after placement in
the pile so that:
- the waste or mixture no longer meets the definition of ignitable or reactive waste
there is no generation of extreme heat or pressure, fire or explosions, or violent
reactions
- there is no production of uncontrolled toxic mists, fumes, dusts, or gases in
quantities that would threaten human health or the environment
there is no production of uncontrolled flammable fumes or gases in quantities
that would pose a risk of fire or explosion
- there is no damage to structural integrity of the device orTSDF
- there is no threat to human health or the environment through other means
- The waste is managed in such a way that it is protected from any material or
conditions that may cause it to ignite or react.
Verify that ignitable or reactive wastes are not placed in waste piles unless the waste
and the waste pile meet the applicable requirements of 40 CFR 268 (see checklist
items under the section "Restricted Wastes").
Verify that incompatible wastes are not placed in the same pile and hazardous waste
is not piled on the same base where incompatible wastes or materials were previously
piled unless the base has been decontaminated and the following are avoided:
- 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 TSDF
- Threats to human health or the environment through other means.
Verify that piles of hazardous waste that are incompatible with any waste or other
material stored nearby in other containers, piles, open tanks, or surface
impoundments are separated from the other materials, or protected from them by
means of a dike, berm, wall, or other device.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
Land Treatment Units
DF.85. All land treatment
facilities must follow specific
guidelines for ignitable or
reactive wastes and
incompatible wastes (40 CFR
264.281, 264.282; 265.281 and
265.282).
Determine if the land treatment facility handles any ignitable or incompatible waste.
Verify that ignitable or reactive wastes are not land treated unless the waste and the
treatment zone meet all the requirements of 40 CFR 268 (see checklist items under
the section "Restricted Wastes").
Verify that ignitable or reactive waste are not land treated unless:
- The waste is immediately incorporated into the soil so that the resulting mixture no
longer meets the definition of ignitable or reactive waste and the following are
prevented:
- 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, or
the waste is managed in such a way that it is protected from any materials that
may cause it to react.
Hazardous Waste Landfills
DF.86. All hazardous waste
landfills are required to have a
run-on control system, a runoff
management system and control
the wind dispersal of particulate
matter (40 CFR 264. 301 (g)
through 264.301 (k), 265.301 (f)
through 265.301(1)).
Verify that:
- The run-on control system has the capacity to prevent flow onto the active portion of
the landfill during peak discharge of 25 year storm
- The runoff management system has adequate capacity to collect and control water
from a 24 hour, 25 year storm and the contents tested to determine correct disposal
methodology
- Collection and holding tanks or basins for run-on and runoff control systems are
emptied expeditiously after storms
- There is adequate control of wind dispersal and no blowing debris.
(NOTE: For permitted TSDFs, the permit will specify all design and operating
practices necessary to ensure compliance.)
Closure
OF. 87. TSDFs must comply with
certain closure schedules (40
CFR 264.113(a) through
264.113(d), 264.114, 265.113(a)
through 265.1 13(d), and
265.114).
Verify that within 90 days after receiving final volume of waste, all hazardous waste
has been treated and removed or disposed of onsite in accordance with the closure
plan.
Verify that partial and final closure activities are completed in accordance with
approved closure plan within 180 days after receiving the final volume of waste.
(NOTE: The regulatory agency may grant variances on the time period.)
(NOTE: During partial and final closure periods all contaminated equipment,
structures and soils must be properly disposed of. By removing any hazardous wastes
or constituents during closure, the TSDF becomes a hazardous waste generator and
is subject to the requirements of 40 CFR 262.)
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.88. All TSDFs are required to
follow certain notification
procedures for partial and final
closure (40 CFR 264.112(d)(1)
and 265.112(d)(1)).
Verify that TSDFs with surface impoundments, waste piles, land treatment or landfill
units notify the regulatory agency:
- 180 days prior to expected date of beginning closure of the first unit for interim
status TSDFs without an approved closure plan, 60 days with an approved closure
plan
- 60 days prior to expected date of beginning closure for all permitted TSDFs.
Verify that TSDFs with only tanks, containers, or incinerator units notify the regulatory
agency within 45 days prior to the date of beginning final closure.
DF.89. Within 60 days of
completion of closure of each
hazardous waste surface
impoundment, waste pile, land
treatment, and landfill unit,
facilities must submit a
certification of closure to the
regulatory agency (40 CFR
264.115 and 265.115).
Verify that a certification of closure was sent to the regulatory agency by registered
mail.
DF.90. By the time that
certification of closure has been
submitted, TSDFs are required
to submit a survey plat indicating
the location and dimensions of
landfill cells in relationship to
permanently surveyed
landmarks to specific authorities
(40 CFR 264.116 and 265.116).
Verify that a survey plat was submitted to the local zoning authorities or the authority
with jurisdiction over local land use, and the regulatory agency.
DF.91. Post-closure care of
hazardous waste management
units must meet specific
requirements (40 CFR 264.117
and 265.117).
Verify that post-closure care lasts for 30 years after closure and consists of the
following:
- Monitoring and reporting as required in other sections
- Maintenance of waste containment systems
- Use of the property is not allowed to disturb the integrity of the final cover, liner, or
any other components.
Additional Requirements for Permitted TSDFs
General
DF.92. Permitted TSDFs that
receive hazardous waste from
offsite sources must inform the
generator in writing that the
TSDF has the appropriate permit
and will accept the waste (40
CFR264.12(b)).
Verify that notification is sent and a copy is kept in the operating record.
DF.93. Permitted TSDFs that
treat, store, or dispose of
hazardous waste with solid
waste management units are
required to institute corrective
actions as outlined in the permit
to protect human health and the
environment from releases (40
CFR264.90(a)and264.101).
(NOTE: This applies regardless of when the waste was placed in solid waste
management units.)
Verify that corrective actions required by the permit are being done.
(NOTE: The regulatory agency may identify the unit as not having to comply with this
requirement.)
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.94. Container storage areas
at TSDFs must have a
containment system that meets
specific standards (40 CFR
264.175(a) and 264.175(b)).
Verify that all container storage areas meet the following criteria:
- Containers are stored on a base that is free from cracks or gaps and is impervious
so that leaks, spills, and precipitation are contained
- The base is sloped (or otherwise designed) to drain and remove liquids resulting
from leaks, spills, or precipitation unless the containers are elevated
- Spilled or leaked waste and accumulated precipitation is removed in a timely
manner
- The containment system has adequate capacity to contain 10 percent of the volume
of all the containers or the volume of the largest container, whichever is greater
- Run-on into the containment system is prevented unless the system has sufficient
capacity to contain any run-on that might enter the system in addition to the already
required capacity.
(NOTE: If the collected material is a hazardous waste, it must be handled accordingly.
If it is discharged through a point source, it is subject to the Clean Water Act
requirements.)
DF.95. Containment at permitted
TSDFs for containers holding
wastes that do not contain free
liquids must meet specific
criteria which is lesser than that
for general containment areas
(40CFR264.175(c)).
Verify that one of the following storage area criteria is met:
- The area is sloped or able to drain and remove liquid resulting from precipitation
- Containers are elevated or protected from contact with accumulated liquid.
(NOTE: Storage areas must have complete containment systems when the containers
holding F020, F022, F023, F026, and F027 do not contain free liquids.)
DF.96. When container storage
areas are closed at permitted
TSDFs, specific conditions must
be met (40 CFR 264.178).
Verify that closure criteria were met:
- All hazardous waste and residues were removed from the containment system
- Remaining containers, liners, bases, and soils (containing or contaminated with
hazardous waste or hazardous waste residues) were decontaminated or removed
- All hazardous wastes (including materials removed from the containment system)
were managed appropriately.
DF.97. The facility should
develop a formal groundwater
protection program which
includes groundwater
monitoring, documentation,
recordkeeping and standard
operating procedures for
groundwater related activities
(e.g., drilling, well inspection and
maintenance, etc.) (MP).
Confirm that facility standard operating procedures exist for
- Drilling
- Well construction
- Management and disposal of investigation derived waste (e.g., borehole cuttings,
development water and purge water, and drilling fluid)
- Well inspection and maintenance
- Groundwater and soil sampling, preservation and shipment and chain of custody
control
- Well abandonment
- Data management.
Verify that the facility developed and maintains documentation relating to
hydrogeologic characterization which includes the definition and description of site
geology and hydrology including identification of aquifers, and surface
water/groundwater relationships.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
(NOTE: DF.98 through DF. 103 describe the requirements for groundwater programs pursuant to 40 CFR 264 Subpart F,
Releases from Solid Waste Management Units, such as surface impoundments, waste piles, land treatment units, or
landfill units which have received waste after July 26, 1982 (40 CFR 264.90(a)(2)).)
DF.98. Facilities are required to
conduct a monitoring and
response program (40 CFR
264.91).
Verify that the facility conducts the following monitoring and response activities as
applicable:
- At a minimum, the facility must institute a detection monitoring program as
described in DF.101
- Whenever hazardous constituents are detected at statistically significant
concentrations at a compliance point, the facility must institute a compliance
monitoring program as described in DF.102
- Whenever the groundwater protection standard is exceeded or hazardous
constituents exceed concentration limits beyond the point of compliance, the facility
must institute a corrective action program as described in DF.103.
DF.99. The facility must comply
with the conditions specified in
the facility permit meant to
ensure that hazardous
constituents under 40 CFR
264.93 detected in the
groundwater do not exceed the
concentration limits under 40
CFR 264.94 in the uppermost
aquifer underlying the waste
management area beyond the
point of compliance under 40
CFR 264.95 (40 CFR 264.92).
Review the facility permit and determine whether the groundwater protection standards
set forth are addressed in the facility's groundwater protection program. The
groundwater protection standards should include at least the following parts:
- The identification of hazardous constituents listed in Appendix VIII of 40 CFR 261
that have been detected in the groundwater from the facility
- Concentration limits for the hazardous constituents identified
- The point of compliance at which monitoring must be conducted
- The compliance period during which the groundwater protection standard applies.
DF.100. Facilities must comply
with the requirements in 40 CFR
264.97 for any groundwater
monitoring program developed
to satisfy 40 CFR 264.98,
264.99, or 264.100 (40 CFR
264.97).
If there is a possibility of hazardous constituents in the groundwater, ensure that the
following activities are added to the groundwater monitoring plan:
- For each hazardous constituent in each well, one of the statistical methods
described in 40 CFR 264.97(h) for evaluating monitoring data has been chosen by
the facility, approved by the regulatory agency, and complies with the performance
standards in 40 CFR 264.97(1)
- All groundwater monitoring data collected is maintained in the facility operating
record and submitted for review as required by the regulatory agency
- The program includes sampling and analytical procedures that are appropriate and
accurately measure hazardous constituents in groundwater samples
- An appropriate method for determining background water quality has been selected
and background groundwater quality has been determined.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.101. Facilities required to
establish a detection monitoring
program under 40 CFR 264
Subpart F must, at a minimum,
comply with 40 CFR 264.98 (40
CFR 264.98).
If the facility is required by the regulatory agency to establish a detection monitoring
program, ensure that the following activities are included in the groundwater
monitoring plan:
- Monitoring for indicator parameters (e.g., specific conductance, total organic
carbon, or total organic halogen), waste constituents, or reaction products that
provide a reliable indication of the presence of hazardous constituents in the
groundwater
(NOTE: The regulatory agency will specify the parameters or constituents to be
monitored and their frequency for collection and statistical analysis in the facility
permit (40 CFR 264.98(a) and 264.98(d).)
- Determination of the groundwater flow rate and direction in the uppermost aquifer,
at least annually
- Determination of whether statistically significant evidence of contamination exists
and if it does exist, the following steps are taken:
(NOTE: If statistically significant evidence of contamination exists but, may have
been caused by contamination from another source or by an error in sampling, then
the facility must demonstrate that to the regulatory agency. Note also that facility
permits may provide additional time for resampling after an indication of a
groundwater release.)
- the regulatory agency is notified in writing within seven days
the groundwater is immediately sampled in all monitoring wells to determine if
any constituents in Appendix IX of 40 CFR 264 are present, and if so, in what
concentration.
(NOTE: If Appendix IX constituents are present in the sample then the following
activities are required:
- An application for a permit modification to establish a compliance monitoring
program is submitted within 90 days to the regulatory agency
- An engineering feasibility plan for corrective action and all data necessary to justify
any alternative concentration limits are submitted to the regulatory agency within
180 days.)
DF.102. Facilities required to
establish a compliance
monitoring program under CFR
264 Subpart F must, at a
minimum, comply with 40 CFR
264.99 (40 CFR 264.99).
If the facility is required to establish a compliance monitoring plan, verify that the plan
contains procedures for the following activities to be done in conjunction with the
groundwater monitoring plan:
- Determination of whether any significant evidence of increased contamination exists
and if it does exist, the following steps are taken:
the regulatory agency is notified in writing which limits are exceeded within seven
days
- an application for a permit modification to establish a corrective action program is
submitted to the regulatory agency within 180 days.
(NOTE: If statistically significant evidence of increased contamination exists but, may
have been caused by contamination from another source or by an error in sampling,
then the facility must demonstrate that to the regulatory agency. Note also that facility
permits may provide additional time for resampling after an indication of a groundwater
release.)
DF.103. Facilities required to
establish a corrective action
program under 40 CFR 264
Subpart F must, at a minimum,
comply with 40 CFR 264.100 (40
CFR 264.100).
If the facility is required to establish a corrective action program, determine whether
the following procedures are in place in addition to the groundwater monitoring plan:
- The facility either removes hazardous waste constituents or treats them in place to
prevent the constituents from exceeding their respective concentration limits. The
permit will specify the specific measures that will be taken
- The facility establishes a groundwater monitoring program to evaluate the
effectiveness of the corrective action program and submits the results of the
evaluation semi-annually in a written report to the regulatory agency.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.104. TSDFs operating
corrective actions programs are
required to report semi-annually
to the regulatory agency on their
effectiveness (40 CFR
264.100(g)).
Determine if the TSDF operates a corrective action program.
Verify that a semi-annual progress report is sent to the regulatory agency.
DF.105. TSDFs that are seeking
a permit for the treatment,
storage, or disposal of
hazardous waste must initiate
the corrective actions needed to
protect human health and the
environment from all releases of
hazardous waste of constituents
from any solid waste
management unit, regardless of
when the waste was placed in
the unit (40 CFR 264.101).
Verify that the corrective actions specified in the permit are being done and the
compliance schedule is being met.
(NOTE: As a part of the corrective action program the regulatory agency may
designate an area of the TSDF as a Corrective Action Management Unit (CAMU) or a
Temporary Unit (TU).)
DF.106. All permitted TSDFs are
required to document
compliance with ignitable,
reactive, or incompatible waste
management requirements (40
CFR264.17(c)).
Verify that compliance documentation is maintained at the TSDF. Such documentation
may be based on published scientific or engineering literature, data from field tests, or
the results of the treatment of similar wastes by similar treatment processes or similar
operating conditions.
DF.107. Permitted TSDFs with
process vents associated with
distillation, fractionation, thin film
evaporation, solvent extraction,
or air or steam stripping
operations that manage
hazardous wastes with organic
concentrations of at least 10
ppmw are required to submit a
semi-annual report concerning
process vent emissions (40 CFR
264.1036).
Verify that a semi-annual report is submitted to the regulatory agency and that it
includes the following:
- The EPA identification number, name, and address of the TSDF
- Dates when the control device exceeded or operated outside of design specification
and the exceedences were not corrected within 24 hours
- Dates when a flare operated with visible emissions
- The duration and cause of exceedences and corrective measures taken
(NOTE: If there are no exceedences a report is not required.)
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.108. Permitted facilities are
required to meet specific
reporting requirements as
related to air emissions controls
(40 CFR 1090(a), 264.1090(c),
and264.1090(d)).
Verify that a written report is submitted to the regulatory agency within 15 days of
becoming aware that hazardous waste is being managed in an exempted container in
noncompliance with the applicable design and operating requirements.
Verify that, in regard to required control devices, a semiannual written report is
submitted to the regulatory agency describing each occurrence of noncompliance
during the previous 6 months when either of the following occurred:
- A control device is operated continuously for 24 hours or longer in noncompliance
with the applicable operating values
- A flare is operated with visible emissions for 5 minutes or longer in a 2-hour period.
Verify that the report contains an explanation of why the control device could not be
returned to compliance within 24 hours and actions taken to correct noncompliance.
(NOTE: The semiannual report is not required for a 6-month period if all control
devices are operated so there is not a period of 24 hours or longer in which the control
device was in continuous noncompliance and no flare was operated with visible
emissions for 5 minutes or longer in a 2-hour period.)
(NOTE: If the facility received its permit under RCRA Section 3005 prior to 6
December 1996, 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)).)
Surface Impoundments
DF.109. Permitted surface
impoundments must be
designed according to specific
parameters (40 CFR 264.221 (a)
264.221 (g) through 264.221(1)).
Determine if the TSDF has a permitted surface impoundment constructed before July
29, 1992. If so, the following items should be assessed:
Verify that surface impoundments have a liner for all portions of the impoundment.
Verify that the impoundment is designed, constructed, maintained, and operated to
prevent overtopping, overfilling, wind and wave action, rainfall, run-on, malfunctions of
level controllers, alarms and other equipment, and human error.
Verify that the impoundment has dikes that are designed and constructed and
maintained to prevent massive failure of the dikes.
(NOTE: The regulatory agency will specify in the permit all design and operating
practices that are necessary.)
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.110. New permitted surface
impoundments that started
construction after January 19,
1992, lateral expansions of
permitted surface
impoundments which started
construction after July 29, 1992,
and replacements of existing
surface impoundments where
reuse started after July 29,
1992, are required to meet
specific design and operating
criteria. (40 CFR 264.19,
264.221 (c) through 264.221 (f),
264.222, 264.223, and
264.226(d)).
Verify that the impoundment has two or more liners and a leachate collection and
removal system between liners, or the double liner requirement has been waived by
the regulatory agency.
Verify that the liner meets the specifications stated in 40 CFR 264.221 (c).
Verify that the TSDF has a Construction Quality Assurance (CQA) program to ensure
that constructed units meet or exceed all design criteria and specifications in the
permit.
Verify that the designated CQA officer is a registered professional engineer.
Verify that the TSDF has a written CQA plan that addresses the following:
- Identification of applicable units and a description of how they will be constructed
- Identification of key personnel
- A description of sampling and inspection activities.
Verify that waste is not received in a unit until an approved CQA plan has been
submitted to the regulatory agency.
Verify that documentation supporting construction quality assurance certification can
be provided upon request.
Verify that these surface impoundments comply with the action leakage rate assigned
by the regulatory agency.
Verify that the surface impoundment facility has an approved response action plan
prior to the receipt of waste.
Verify that the amount of liquid removed from each leak detection system sump is
recorded at least once a week during the active life and closure period.
Verify that after a final cover is installed, the amount of liquids removed from each leak
detection system sump is recorded at least monthly or:
- If the liquid level in the sump stays below the pump operating level of two
consecutive months, then the liquid amounts may be recorded quarterly
- If the liquid level in the sump stays below the pump operating level for two
consecutive quarters, then the liquid amounts may be recorded semiannually.
(NOTE: TSDFs with replacement surface impoundments may be exempt from these
requirements if the existing unit was constructed in compliance with the design
standards of sections 3004(o)(1 )(A)(i) and (o)(5) of RCRA and there is no reason to
believe the liner is not functioning as designed.)
DF.111. Permitted TSDFs must
inspect liners and cover systems
during construction and
installation of liners (40 CFR
264.226(a)).
(NOTE: This excludes existing portions of surface impoundments exempt from
264.221(a).)
Verify that liners and covers are inspected for uniformity, damage, and imperfections.
DF.112 TSDFs must conduct
inspections while surface
impoundments are in operation
(40 CFR 264.226(b)).
Verify that inspections are conducted at least weekly and after storms to detect
evidence of the following:
- Deterioration, malfunctions, or improper operation of overtop piping control systems
- Sudden drops in the level of the impoundment contents
- Severe erosion or other signs of deterioration in dikes or other containment devices.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
76
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.113. Prior to the issuance of
a permit and/or after any period
of greater than six months of
disuse, the TSDF must obtain
certification from a qualified
engineer that surface
impoundment dikes have
structural integrity (40 CFR
264.226(c)).
Determine if the TSDF is permitted or if any impoundment has been out of service for
six months or more.
Verify that the certification of structural integrity includes:
- Verification that the impoundment can withstand the amounts and types of waste it
will contain
- That without dependence on any liner system the impoundment will not fail due to
scouring or piping.
DF.114. TSDFs must follow
specific restrictions concerning
the types of wastes placed in
permitted surface
impoundments (40 CFR
264.231).
Verify that hazardous wastes F020, F021, F022, F023, F026, and F027 are not placed
in the impoundment unless it is done according to a management plan approved by
the regulatory agency.
DF.115. Permitted surface
impoundments are required to
be removed from service under
specific circumstances (40 CFR
264.227(a)).
Verify that surface impoundments have been removed from service if any of the
following circumstances exist:
- The level of liquid suddenly drops and the drop is not known to be cause by changes
in flow
- The dike leaks.
DF.116. In order to remove a
permitted surface impoundment
from service, specific
parameters have to be met (40
CFR 264.227(b), 264.227(c),
and 264.227(e)).
Verify that when a surface impoundment is removed from service the following
requirements are met:
- The flow or addition of waste is immediately shut off or stopped
- Surface leakage is immediately contained
- Leaks are stopped or the impoundment is emptied
- The regulatory agency is notified within seven days of problems.
Verify that the contingency plan specifies a procedure for taking a surface
impoundment out of service.
Verify that if a surface impoundment is removed from service and it is not being
repaired, it is closed.
DF.117. Surface impoundments
may not be restored to service
unless specific standards are
met (40 CFR 264.227(d)).
Verify that prior to being returned to service the following is done:
- The portion of the impoundment that was failing is repaired
- The dike is recertified if the reason for removal from service was faulty dike integrity
- Liners are correctly installed and operating.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.118. TSDFs that have
surface impoundments must
follow certain closure and post-
closure requirements (40 CFR
264.228(a) and 264.228(b)).
Determine if the TSDF has closed or plans to close any surface impoundments.
Verify that at closure the TSDF does one of the following:
- Removes or decontaminates all waste residues, contaminated containment system
components, contaminated subsoils, and structures and equipment contaminated
with waste and leachate and manages them as hazardous waste
- Eliminates the free liquids by removing liquid wastes or solidifying the remaining
wastes and water residue and stabilizes remaining wastes to a bearing capacity
sufficient to support final cover and cover the surface impoundment with a final cover
designed and constructed to:
-provide long-term minimization of the migration of liquids
-function with minimum maintenance
promote drainage and minimized erosion or abrasion of the final cover
accommodate settling and subsidence so that the cover's integrity is maintained
- have a permeability less than or equal to the permeability of any bottom liner
system or natural subsoils present.
Verify that if waste residues or contaminated materials are left in place, the TSDF
meets post-closure requirements outlined in 40 CFR 264.117 through 264.120 and:
- Maintains the integrity and effectiveness of the final cover
- Maintains and monitors the leak detection system
- Maintains and monitors the groundwater monitoring system
- Prevents run-on and runoff from eroding or otherwise damaging the final cover.
DF.119. Facilities are required to
meet specific reporting
requirements as related to air
emissions (40 CFR 264.1090(a),
264.1090(c), and 264.1090(d)).
Verify that a written report is submitted to the regulatory agency within 15 days of
becoming aware that hazardous waste is being managed in an exempted surface
impoundment in noncompliance with the applicable design and operating
requirements.
Verify that, in regard to required control devices, a semiannual written report is
submitted to the regulatory agency describing each occurrence of noncompliance
during the previous 6 months when either of the following occurred:
- A control device is operated continuously for 24 hours or longer in noncompliance
with the applicable operating values
- A flare is operated with visible emissions for 5 minutes or longer in a 2-hour period.
Verify that the report contains an explanation of why the control device could not be
returned to compliance within 24 hours and actions taken to correct noncompliance.
(NOTE: The semiannual report is not required for a 6-month period if all control
devices are operated so there is not a period of 24 hours or longer in which the control
device was in continuous noncompliance and no flare was operated with visible
emissions for 54 minutes or longer in a 2-hour period.)
(NOTE: If the facility received its permit under RCRA Section 3005 prior to 6
December 1996, these requirements will be incorporated in the permit when it is
reviewed. Until that time, the TSDF is required to comply with all 40 CFR 265, Subpart
CC(40CFR 165.1080(c).)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
78
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
Waste Piles
DF.120. Permitted TSDFs that
store or treat hazardous waste in
waste piles must meet specific
design and operating standards
(40 CFR 264.250 and
264.251(a), 264.251(b), and
264.251 (g) through 264.251 (k)).
(NOTE: Waste piles closed with wastes left in place are regulated as landfills. Waste
piles inside or under a protective structure are exempt from the standards in 40 CFR
264.250 through 264.259 if they contain no liquids, are protected from run-on, are
designed and operated to control dispersal of waste by wind, and do not generate
leachate through decomposition or other reactions.)
Determine if the TSDF treats or stores hazardous waste in waste piles.
Verify that the following standards are met for each waste pile:
- The pile has a liner and is located on a foundation that provides support
- The liner is installed to cover all surrounding earth likely to be in contact with the
waste or leachate
- A leachate collection and removal system is located immediately above the liner
- Leachate depth over the liner does not exceed 30 cm (1 ft.)
- Protection from wind and run-on is provided
- A runoff management system is in place and in operating condition
- Tanks and basins associated with the run-on and runoff control systems are
emptied.
(NOTE: The permit will designate all design and operating practices necessary to
ensure that the requirements are satisfied.)
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.121. Permitted waste piles
constructed after January 29,
1992, lateral expansions that
started after July 29, 1992, and
replacement of existing waste
piles where reuse started after
July 29, 1992, are required to
meet specific design and
operating requirements (40 CFR
264.19, 264.251 (c) through
264.251 (f), 264.252, 264.253).
Verify that the described waste piles have two or more liners and a leachate collection
and removal system above and between the liners.
Verify that the liner is designed and constructed of materials to prevent the migration
of hazardous constituents into the liner during the active life and post-closure care
period.
(NOTE: See 40 CFR 264.251 (c)(1) and 264.251 (c)(2) for details on the design of the
liner and the leachate collection system.)
Verify that the TSDF has a CQA program to ensure that constructed units meet or
exceed all design criteria and specifications in the permit.
Verify that the designated CQA officer is a registered professional engineer.
Verify that the TSDF has a written CQA plan that addresses the following:
- Identification of applicable units and a description of how they will be constructed
- Identification of key personnel
- A description of sampling and inspection activities.
Verify that documentation supporting construction quality assurance certification can
be provided upon request.
Verify that waste is not received in a unit until an approved CQA plan has been
submitted to the regulatory agency.
Verify that the pumpable liquids in the leak detection sumps are removed to minimize
the head on the bottom liner.
Verify that the TSDF is complying with the action leakage rate assigned by the
regulatory agency.
Verify that the TSDF has an approved response action plan prior to the receipt of
waste.
(NOTE: The regulatory agency may approve alternative designs or grant a waiver.)
DF.122. TSDFs must conduct
inspections of permitted waste
piles during construction and
while they are in operation (40
CFR 264.254).
Verify that if construction of a waste pile is occurring at the TSDF the following are
taking place:
- Liners and cover systems are inspected for uniformity, damage, and imperfection
- Synthetic liners and covers are inspected for tight seams and joints immediately
after construction
- Soil based and admixed liners and covers are inspected for imperfections
Verify that the waste pile is inspected at least weekly and after storms to detect
evidence of the following:
- Deterioration, malfunctions, or improper operation in run-on and runoff systems
- Proper functioning of wind dispersal control system
- Presence of leachate in, and proper functioning of leachate control system.
Verify that the amount of liquids removed from each leak detection system is recorded
at least once a week during the active life and closure period.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
DF.123. TSDFs that treat F020,
F021, F022, F023, F026, and/or
F027 in permitted waste piles
are required to follow specific
operating procedures (40 CFR
264.259).
DF. 124. TSDFs that operate
permitted waste piles must
follow specific requirements for
closure and post-closure care
(40 CFR 264.258).
Reviewer Checks:
Determine if the TSDF treats F020-F023, F026, or F027.
Verify that these wastes are kept in enclosed piles unless the owner/operator has a
management plan approved by the regulatory agency.
Verify that at the time of closure all waste residues, contaminated containment system
components, subsoils, and structures and equipment contaminated with hazardous
waste have been removed or decontaminated.
Verify that if all contaminated subsoils cannot be removed or decontaminated
practicably, then the site is closed and managed according to closure and post-closure
care requirements for a landfill.
Verify that if the TSDF has a waste pile that does not comply with the liner
requirement, and is not exempted from this requirement, they comply with the
following:
- The written closure plan addresses the removal of all contaminated substances and
a contingency plan if all contamination cannot be removed from the pile
- A contingency post-closure plan is prepared for the waste pile and be submitted to
the appropriate agency within 90 days after determining the waste pile must be
closed.
Land Treatment Units
DF.125. TSDFs with permitted
hazardous waste land treatment
units must meet certain
standards (40 CFR 264.270
through 264.273(f)).
DF.126. TSDFs must conduct
inspections while land treatment
facilities are in operation (40
CFR264.273(g)).
Determine if the TSDF operates a land treatment facility.
Verify that the following standards are met at each permitted hazardous waste land
treatment unit:
- The treatment zone is no more than 1.5 m (5 ft.) from the initial soil surface
- The treatment zone is more than 1 m (3 ft.) above the seasonal high water table
- Only wastes with hazardous constituents that can be degraded, transformed, or
immobilized are placed in the treatment zone
- Run-on control systems are operated to prevent flow onto the treatment zone during
peak discharge from at least a 25 year storm
- Tanks and basins associated with the run-on and runoff control systems are
emptied or otherwise managed after storms
- Wind dispersal is controlled.
(NOTE: The regulatory agency will specify in a permit the exact elements of the
treatment program.)
Verify that the land treatment system is inspected weekly and after storms to detect
evidence of:
- Deterioration, malfunctions, or improper operation of run-on and runoff control
systems
- Improper functioning of wind dispersal control measures.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.127. TSDFs with food chain
crops grown in or on the
treatment zone are required to
meet specific operational
standards (40 CFR 264.276).
Determine if food chain crops are grown in or on the treatment zone.
Verify that prior to the growth of food chain crops in or on the treatment zone, it has
been demonstrated that there is no substantial risk to human health caused by the
growth of the crops by demonstrating that hazardous constituents other than cadmium
meet one of the following:
- Will not be transferred to the food or feed portions of the crop by plant uptake or
direct contact, and will not otherwise be ingested by food chain animals
- Will not occur in greater concentrations in or on food of feed portions of the crops
grown on untreated soils under similar conditions in the same region.
Verify that if food chain crops are grown, only those specified in the permit by the
regulatory agency are being grown.
Verify that if cadmium-containing wastes are applied to food chain crops in or on
treatment zones, the following are met:
- The pH of the waste and soil mixture is 6.5 or greater at the time of application,
except in cases where the waste contains cadmium at concentrations of 2 mg/kg or
less
- The annual application of cadmium from waste does not exceed 0.5 kg/ha on land
used for production of tobacco, leafy vegetables, root crops grown for human
consumption, or other food chain crops
- The cumulative application of cadmium from waste does not exceed 5 kg/ha if the
waste and soil mixture has a pH less than 6.5
- If the waste and soil mixture has a pH of 6.5 or greater or is maintained at a pH of
6.5 or greater during crop growth, then one of the following must be met:
the cumulative application of cadmium from waste does not exceed 5 kg/ha if soil
cation exchange capacity is less than 5 meq/100 g
- the cumulative application of cadmium from waste does not exceed 10 kg/ha if
soil cation exchange capacity is 5 to 15 meq/100 g
the cumulative application of cadmium from waste does not exceed 20 kg/ha if
soil cation exchange capacity is greater than 15 meq/100 g
- animal feed is the only food chain crop produced.
DF.128. Permitted land
treatment units must have an
unsaturated zone monitoring
program (40 CFR 264.278).
Verify that the unsaturated zone monitoring program meets the following:
- The soil and soil-pore liquid are monitored to determine if hazardous constituents
migrate out of the treatment zone
- A system is installed that includes soil monitoring using soil cores and soil-pore
liquid monitoring using devices such as lysimeters
- A background value has been established for each hazardous constituent to be
monitored (see permit)
- The soil monitoring and soil-pore liquid monitoring is done immediately below the
treatment zone
- Consistent sampling and monitoring procedures are used.
Verify that the contaminants listed in the permit are being monitored.
Verify that when it is found that there is a statistically significant increase of hazardous
constituents below the treatment zone the following steps are taken:
- The regulatory agency is notified in writing within seven days
- Within 90 days a permit application is submitted to the regulatory agency for a
permit modification to modify the operating practices.
DF.129. Land treatment facilities
must keep an operating record
that includes dates and rates of
application (40 CFR 265.279).
Verify that the operating record contains the dates and rates of applications.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF. 130. All land treatment
facilities are required to meet
specific closure and post-closure
plans (40 CFR 264.280).
Verify that during the closure period the following requirements are met:
- All operations are continued as necessary to maximize degradation, transformation,
or immobilization of hazardous constituents in the treatment zone
- Runoff is minimized
- Run-on and runoff management systems are maintained
- Wind dispersal of hazardous waste is controlled
- Compliance with food chain crop prohibitions is continued
- Unsaturated zone monitoring is continued except that soil-pore liquid monitoring
may be terminated 90 days after the last application of waste to the treatment zone
- A vegetative cover is established on the portion of the land treatment facility being
closed when the cover will not substantially impede degradation, transformation, or
immobilization of hazardous constituents.
Verify that when closure is completed, certification by an independent qualified soil
scientist or independent registered professional engineer was submitted to the
regulatory agency that the facility has been closed according to the specifications of
an approved closure plan.
Verify that during the post-closure period:
- Operations are continued to enhance degradation, transformation, and sustain
immobilization of hazardous constituents in the treatment zone
- A vegetative cover is maintained
- Run-on control systems are maintained
- Runoff management systems are maintained
- Wind dispersal of hazardous waste is controlled
- Food chain crop prohibitions are met
- Unsaturated zone monitoring is continued except that soil-pore liquid monitoring
may be terminated 90 days after the last application of waste to the treatment zone.
(NOTE: The TSDF may not be required to establish a vegetative cover or meet post-
closure requirements if the regulatory agency finds that the level of hazardous waste
constituents in the treatment soil zone does not exceed the background value of those
constituents by an amount that is statistically significant.)
DF.131. Hazardous wastes
F020 through F023, F026, and
F027 must not be placed in a
land treatment facility unless it is
done according to an approved
management plan for these
wastes (40 CFR 264.283).
Verify that these wastes are only place in a land treatment unit according to the
requirements of the approved waste management plan.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
83
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
Hazardous Waste Landfills
DF.132. Permitted hazardous
waste landfills are required to
have a liner and a leachate
collection and removal system
(40 CFR 264.301(a) through
264.301(b)).
Determine if the TSDF disposes of hazardous wastes in an onsite landfill.
Verify that the landfill liner is:
- Designed, constructed, and installed to prevent any migration of waste out of the
landfill
- Placed on a properly supported base or foundation
- Installed to cover all surrounding earth likely to be in contact with the waste.
Verify that the leachate collection and removal system is immediately above the liner
and will operate to remove leachate from the landfill.
Verify that collected leachate is tested to determine correct disposal methodology.
(NOTE: The permit will contain specific design and operating conditions.)
DF.133. New landfills on which
construction started after
January 29, 1992, lateral
expansions which started
construction after July 29, 1992,
and each replacement of an
existing landfill that will start
reuse after July 29, 1992, are
required meet specific design
and operating standards (40
CFR 264.19, 264.301 (c) through
264.301 (f), 264.302, 264.304).
Determine if the TSDF has any landfills meeting the stated criteria.
Verify that the landfill has two or more liners and a leachate collection and removal
system above and between the liners or a waiver of double liner requirement has been
obtained from the regulatory agency.
Verify that the TSDF has a CQA program to ensure that constructed units meet or
exceed all design criteria and specifications in the permit.
Verify that the designated CQA officer is a registered professional engineer.
Verify that the TSDF has a written CQA plan that addresses the following:
- Identification of applicable units and a description of how they will be constructed
- Identification of key personnel
- A description of sampling and inspection activities.
Verify that waste is not received in a unit until an approved CQA plan has been
submitted to the regulatory agency.
Verify that documentation supporting construction quality assurance certification can
be provided upon request.
Verify that the pumpable liquids in the leak detection system sumps are collected and
removed to minimize the head on the bottom liner.
Verify that surface impoundments subject to these landfill requirements meet the
action leakage rate set by the regulatory agency.
Verify that the TSDF has an approved response action plan before the receipt of
waste.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.133. (continued)
Verify that if the flow rate into the leak detection system exceeds the action leakage
rate for any sump:
- The regulatory agency is notified within seven days
- A written notification is submitted within 14 days
- To the extent practicable, the location, size and cause of any leak is determined
- A determination is made as to whether waste receipt should be stopped or
restricted
- The regulatory agency is notified of actions taken and actions to be taken within 30
days after discovery
- A monthly report is submitted to the regulatory agency as long as the flow rate in
the leak detection systems exceeds the action leakage rate.
(NOTE: These restrictions do not apply if the existing unit was constructed in
accordance with the design standards of section 3004(o)(1 )(A)(i) and (o)(5) of RCRA
and there is no reason to believe that the liner is not functioning as designed.)
DF.134. Hazardous waste
landfills are required to be
inspected (40 CFR 264.303).
Verify that liners were inspected during construction for overall integrity.
Verify that immediately after construction was completed, the following inspections
were performed:
- Synthetic liners and covers to ensure tight seams and joints and absence of tears
- Soil-based and admixed liners for imperfections that may increase impermeability
(e.g., cracks and root-holes).
Verify that while a landfill is in operation it is inspected weekly and after storms to
detect evidence of the following:
- Deterioration, malfunctions, or improper operations of run-on and runoff control
systems
- Proper functioning of wind dispersal control systems where present
- The presence of leachate in and proper functioning of the leachate collection
system.
Verify that the amount of liquid removed from each leak detection sump is recorded at
least once a week during the active life of the landfill and closure period.
Verify that after a final cover is installed, the amount of liquids removed from each leak
detection system sump is recorded at least monthly or:
- If the liquid level in the sump stays below the pump operating level for two
consecutive months, the liquid amounts are recorded quarterly
- If the liquid level in the sump stays below the pump operating level for two
consecutive quarters, the liquid amounts are recorded semi-annually.
DF.135. TSDFs with permitted
hazardous waste landfills are
required to meet specific
standards for hazardous wastes
F020, F021, F022, F023, F026,
and F027 (40 CFR 264.317).
Determine whether or not these wastes are landfilled at the disposal facility.
Verify that if they are landfilled, the TSDF has a management plan for their disposal
that is approved by the regulatory agency.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
Incinerators
DF.136. TSDFs with permitted
hazardous waste incinerators
must comply with certain
operating requirements (40 CFR
264.340 (a) through 264.340(c)
and 264.341 through
264.344(a), 264.345, and
264.347).
Determine if specific wastes (principal organic hazardous constituents (POHC)) are
specified in the permit.
Verify that only the wastes listed in the permit are burned, and only under the
operating conditions set forth in the permit.
Verify that sufficient waste analyses are conducted throughout normal operations to
ensure that waste feed is within the limits specified in the permit.
Verify that for each waste specified in the permit, the incinerator achieves a
destruction and removal efficiency (ORE) of 99.99 percent.
Verify that the ORE for all wastes incinerated is determined by the following equation:
(W -W )
^ in outjx100%
where:
Win = mass feed rate of one POHC in the waste stream feeding the incinerator
Wouf = mass emissions rate of the same POHC present in the exhaust
emissions.)
Verify that when EPA Hazardous Waste Numbers F020 through F023, F026, or F027
are incinerated a ORE of 99.9999 percent is achieved and the regulatory agency is
notified of the intent to burn.
DF.137. Permitted hazardous
waste incinerators are required
to meet specific emission
standards (40 CFR 264.343(b)
and 264.343(c)).
Determine if the incinerator produces stack emissions of hydrogen chloride (HCI).
Verify that if HCI emissions exceed 1.8 kg/hr (4 Ib/h), the emissions are controlled so
that the rate of emission is no greater than the larger of either 1.8 kg/hr (4 Ib/h) or 1
percent HCI in the stack gas prior to entering any pollution control equipment.
Verify that particulate matter no greater than 180 mg/dscm is emitted.
(NOTE: Compliance with operating requirements established in the permit will be
regarded as compliance with 40 CFR 262.343 (i.e., only the wastes listed in the permit
are burned, and only under the operating conditions set forth in the permit (see 40
CFR264.343(d))).)
DF.138. Operators of
incinerators must conduct
monitoring while incinerating
hazardous waste (40 CFR
264.347).
Verify that the operator monitors, at a minimum, the following at the indicated intervals:
- Waste feed rate, combustion temperature, specified indicator of combustion gas
velocity, CO (prior to release): continuously
- The incinerator and associated equipment for leaks, spills etc.: daily
- The emergency waste feed cutoff system and associated emergency cutoff alarms:
weekly.
Verify that any other monitoring required in the permit is conducted.
Verify that monitoring and inspection data are recorded and the records placed in the
operating log.
(NOTE: Upon request by the regulatory agency, sampling and analysis of the waste
and exhaust emissions must be conducted to verify that the operating requirements
established in the permit achieve the performance standards of 40 CFR 264.343 (see
40CFR264.347(a)(3)).)
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.139. When permitted
hazardous waste incinerators
are closed all hazardous waste
and hazardous waste residues
must be removed (40 CFR
264.351).
Verify that all hazardous wastes and hazardous waste residues, including ash,
scrubber waters, and scrubber sludges, are removed from the incinerator site.
Miscellaneous Units
(NOTE: The open burning/open detonation (OB/OD) of waste explosives at permitted TSDFs is done under the
classification of miscellaneous unit. This is also sometimes referred to as a Subpart X Permit.)
DF.140. TSDFs that treat, store,
or dispose of hazardous wastes
in permitted miscellaneous units
must comply with specific
environmental performance
standard requirements (40 CFR
264.601).
Determine whether the TSDF treats, stores, or disposes of any hazardous waste in
miscellaneous units.
Verify that miscellaneous units are located, designed, constructed, operated,
maintained, and closed in a manner that will ensure protection of human health and
the environment, including:
- Prevention of any release due to migration in the surface water, wetlands, or the soil
surface, taking in to consideration:
volume and physical and chemical characteristics of the waste in the unit
the effectiveness of containing, confining, and collection systems and structures
in preventing migration
- the hydrologic characteristics of the unit and surrounding area, including the
topography of the land around the unit
regional patterns of precipitation
- existing quality, quantity, and direction of groundwater flow
- the proximity of the unit to surface waters
the current and potential uses of nearby surface waters and any water quality
standards established for those surface waters
- the existing quality of surface waters and surface soils including other sources of
contamination and their cumulative impact
regional pattern of land use
potential health risks caused by human exposure to the waste
- potential for damage from exposure to domestic animals, wildlife, crops,
vegetation, and physical structures.
- Prevention of any release that may have adverse affects on human health or the
environment due to migration of waste constituents in the groundwater or
subsurface environment, taking in to consideration:
volume, physical, and chemical characteristics of waste including its potential for
migration through soil, liners, or other containing structures
- the hydrological and geological characteristics of the unit and surrounding area
- existing quality of groundwater including other sources of contamination and their
cumulative impact on the groundwater
the quantity and direction of groundwater flow
- proximity to and withdrawal rates of current and potential groundwater users
- regional pattern of land use
potential for deposition or migration of waste into subsurface physical structures,
and the root zone of food-chain crops and other vegetation
- potential health risks caused by human exposure to the waste
- potential for damage from exposure to domestic animals, wildlife, crops,
vegetation, and physical structures
regional pattern of precipitation.
Verify that miscellaneous units are designed and operated according to their permit
conditions.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.141. TSDFs that treat, store,
or dispose of hazardous wastes
in permitted miscellaneous units
must comply with monitoring,
analysis, inspection, responses,
reporting, and corrective action
regulations (40 CFR 264.602).
Determine if the TSDF:
- Follows the general inspection requirements of 40 CFR 264.15
- Tests and maintains equipment in compliance with 40 CFR 264.33
- Prepares a biennial report as specified in 40 CFR 264.75
- Prepares unmanifested waste reports and additional reports, if applicable, as
required in 40 CFR 264.76 through 264.77
- Takes corrective action to prevent releases as defined in 40 CFR 264.101.
DF.142. A permitted
miscellaneous unit that is a
disposal unit must be
maintained according to the
permit requirements during the
post-closure period (40 CFR
264.603).
Determine if the TSDF has a closed miscellaneous unit.
Verify that the post-closure requirements specified in the permit are being carried out.
Additional Requirements for Interim Status TSDFs
General
DF.143. Interim status TSDFs
are allowed to conduct OB/OD
of waste explosives under
specific conditions (40 CFR
265.382).
Determine if the TSDF is conducting OB/OD activities.
Verify that the OB/OD occurs at the distance from an adjoining property line indicated
in the following chart:
Lb. of waste explosive
or propellents
0 to 100
101 to 1,000
1,001 to 10,000
10,000 to 30,000
Minimum distance from OB/OD activity to the
property of others
204 m (670 ft.)
380m (1,250 ft.)
530m (1,730 ft.)
690m (2,260 ft.)
DF.144. TSDFs operating
surface impoundments, landfills,
or land treatment facilities are
required to have a groundwater
monitoring program that can
determine the impact of these
activities on the uppermost
aquifer (40 CFR 265.90(a)
through 265.90(c) and
265.90(e)).
Verify that, unless the TSDF has demonstrated in writing there is a low potential for
water migration or received a waiver, the TSDF has a groundwater monitoring
program.
Verify that the monitoring program is carried out throughout the active life of the
activity and during post-closure for disposal activities.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.145. The TSDF must gather
and analyze samples from the
groundwater monitoring system
according to a groundwater
sampling and analysis plan (40
CFR 265.92).
Verify that the plan includes procedures and techniques for the following:
- Sample collection
- Sample preservation and shipment
- Analytical procedures
- Chain of custody control.
Verify that the TSDF established initial background groundwater quality.
Verify that the concentrations and/or values are determined for the following
parameters and samples collected as indicated:
- Parameters characterizing the suitability of groundwater as drinking water as found
in Appendix III of 40 CFR 265
- Parameters of chloride, iron, manganese, phenols, sodium, sulfate: annually
- Parameters for pH, specific conductance, total organic carbon, total organic
halogen: semiannualiy.
(NOTE: The last two listed parameters are quarterly for the first year.)
Verify that the elevation of the groundwater surface is determined each time a sample
is obtained.
DF.146. Groundwater monitoring
systems are required to meet
specific standards (40 CFR
265.91).
Verify that the groundwater monitoring system is capable of yielding groundwater
samples for analysis.
Verify that groundwater monitoring systems consist of the following:
- Monitoring wells, at least three, installed hydraulically downgradient at the limit of
the waste management area
- Monitoring wells, at least one, installed hydraulically upgradient from the limit of the
waste management area
- An alternate hydraulically downgradient monitoring well location that has been
demonstrated in writing to be sufficient.
(NOTE: Separate monitoring systems are not required for each component of a waste
management system if the upgradient and downgradient sampling will detect any
discharge from the waste management area.)
DF.147. Facilities with interim
status TSDFs must have an
outline of a groundwater quality
assessment program (40 CFR
265.93(a)).
Determine if a groundwater quality assessment program outline has been developed.
Verify that the program is capable of determining:
- Whether or not hazardous waste or hazardous waste constituents have entered the
groundwater
- The rate and extent of migration of hazardous waste or hazardous waste
constituents in the groundwater
- The concentrations of hazardous waste or hazardous waste constituents in the
groundwater.
DF.148. When there is a
significant increase for pH,
specific conductance, total
organic carbon, or total organic
halogen (or pH decrease) in the
downgradient wells, the TSDF
must perform specific actions
(40CFR265.93(c)(2)and
265.93(d)(1) through
265.93(d)(4)).
Verify that additional samples are taken from the wells showing a significant change.
Verify that, if a significant increase (or pH decrease) is confirmed, written notice is
issued to the regulatory agency within 7 days of the confirmation.
Verify that, within 15 days after the notification was submitted, the TSDF submits a
groundwater quality assessment program.
Verify that the program is implemented.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.149. If a TSDF is required to
have a groundwater assessment
program, specific reports must
be submitted and actions taken
depending on the results of the
program (40 CFR 265.93(d)(5)
through 265.93(d)(7)).
Verify that the program was implemented as soon as possible and a written report
containing an assessment of the water was sent to the regulatory agency.
(NOTE: If the results of the first determination under the program show that no
hazardous waste or hazardous waste constituents have entered the groundwater, the
TSDF can return to its usual practices of monitoring.)
DF.150. Unless the groundwater
is being monitored to satisfy a
groundwater assessment
program, the TSDF is required
to meet specific reporting and
recordkeeping requirements (40
CFR265.94(a)).
Verify that records on analyses and groundwater elevations are kept throughout the
life of the site, and for disposal facilities through post-closure.
Verify that, during the first year of groundwater monitoring, the results of parameter
monitoring are submitted to the regulatory agency within 15 days after completing
each quarterly analysis.
Verify that, after the first year, concentrations and values for monitored parameters are
reported annually.
DF.151. When the groundwater
is being monitored to satisfy a
groundwater assessment
program, records have to be
maintained of the analyses and
annual reports submitted (40
CFR265.94(b)).
Verify that records of analyses and evaluations specified in the plan are maintained
throughout the active life of the site, and for disposal facilities throughout post-closure.
Verify that the results of the program are submitted annually to the regulatory agency
by 1 March of each calendar year.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
Surface Impoundments
DF.152. New surface
impoundments that started
construction after January 29,
1992, lateral expansions of
surface impoundments which
started construction after July
29, 1992, and replacements of
existing surface impoundments
where reuse started after July
29, 1992 are required to meet
specific design and operating
criteria (40 CFR 265.19,
265.221(a) through 265.221 (e),
265.221 (h), 265.222, and
265.223).
Verify that the listed surface impoundments have two liners and a leachate collection
and removal system between the liners unless a waiver has been granted by the
regulatory agency.
Verify that the TSDF has a CQA program to ensure that constructed units meet or
exceed all design criteria and specifications in the permit.
Verify that the designated CQA officer is a registered professional engineer.
Verify that the TSDF has a written CQA plan that addresses the following:
- Identification of applicable units and a description of how they will be constructed
- Identification of key personnel
- A description of sampling and inspection activities.
Verify that waste is not received in a unit until an approved CQA plan has been
submitted to the regulatory agency.
Verify that documentation supporting construction quality assurance certification can
be provided upon request.
Verify that the regulatory agency is notified 60 days prior to the receipt of wastes.
Verify that a TSDF submitting notice files a Part B application within six months of the
receipt of notice.
Verify that the TSDF is complying with the action leakage rate established by the
regulatory agency and if the rate is exceeded by flow into any sump:
- The regulatory agency is notified within seven days
- A written notification is submitted within 14 days
- The location, size and cause of any leak is determined to the extent practicable
- A determination is made as to whether waste receipt should be stopped or
restricted
- The regulatory agency is notified of actions taken and actions to be taken within 30
days after discovery of a leak
- A monthly report is submitted to the regulatory agency as long as the flow rate in
the leak detection system exceeds the action leakage rate.
Verify that the TSDF has an approved response action plan.
(NOTE: As of February 18, 1993, surface impoundments that are newly subject to
hazardous waste requirements because of new additions or characteristics for the
identification of hazardous waste are required to meet the standards outlined above
concerning having two or more liners and a leachate collection system.)
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.153. Interim status surface
impoundments are required to
meet specific operating and
containment standards (40 CFR
265.221 (f), 265.221(g), 265.223,
265.225, and 265.226).
Verify that there is enough freeboard to prevent any overtopping of the dike by
overfilling, wave actions, or a storm.
Verify that there is a freeboard of 60 cm (2 ft) unless written certification states that a
lesser freeboard is acceptable.
Verify that all earthen dikes have a protective cover such as grass, shale, or rock to
minimize wind and water erosion and preserve integrity.
Verify that the freeboard is inspected at least once each day.
Verify that the surface impoundment is inspected at least once a week for signs of
deterioration, leaks, or failure.
Verify that the amount of liquids removed from each leak detection system sump is
recorded at least:
- Once a week during the active life and closure period
- Monthly after the final cover is installed or:
-if the liquid level in the sump stays below the pump operating level of two
consecutive months, quarterly
if the liquid level in the sump stays below the pump operating level for two
consecutive quarters, semi-annually.
DF.154. In specific
circumstances additional waste
analyses must be done (40 CFR
265.225).
Verify that additional waste analyses are done whenever:
- The surface impoundment is used to treat a substantially different hazardous waste
from what was previously treated
- A substantially different process is used to treat the waste.
DF.155. Specific procedures
must be followed during the
closure and post-closure periods
for an interim status surface
impoundment (40 CFR
265.228).
Verify that at closure all waste residues, contaminated containment system
components, contaminated subsoils, and structures and equipment contaminated with
waste and leachate are removed or decontaminated.
Verify that post-closure care includes care equivalent to that for interim status landfills
and 40 CFR 265.310, including:
- Elimination of free liquids
- Stabilization of wastes to a bearing capacity sufficient to support the final cover
- Covering of surface impoundment
- Maintenance and monitoring of leak detection system.
Verify that if wastes, waste residues, or contaminated materials remain after closure:
- The integrity of the final cover is maintained
- A groundwater monitoring system is maintained that meets the requirements of 40
CFR 265.90 through 265.94
- Run-on and runoff are prevented from damaging or eroding the final cover
- Maintenance and monitoring of the groundwater monitoring system is provided by
the facility owner/operator.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
Waste Piles
DF.156. Interim status waste
piles are required to meet
specific standards for wind
protection, waste analysis, and
containment (40 CFR 265.250,
265.251, and 265.253).
Determine if the TSDF operates an interim waste pile.
Verify that interim status waste piles are covered or otherwise managed to prevent
dispersal of the pile contents by the wind.
Verify that if the leachate or runoff from a pile is a hazardous waste, one of the
following is done:
- Option one:
place the pile on an impermeable base that is compatible with the waste
design, construct, operate, and maintain a run-on control system capable of
preventing flow onto the active portion of the pile during peak discharge from at
least a 25 year storm
design, construct, operate, and maintain a runoff management system to collect
and control at least the water volume resulting for a 24 hour, 25 year storm
- empty and manage collection and holding facilities for the run-on and runoff
systems
- Option two:
protect the pile from precipitation and run-on
- no liquids or wastes containing liquids are placed in the pile.
DF.157. New interim status piles
which start construction after
January 29, 1992, lateral
expansions of a waste pile unit
which started after July 29,
1992, and each such
replacement of an existing waste
pile unit for which reuse started
after July 29, 1992 must meet
specific design and operating
standards (40 CFR 265.19,
265.254, 265.255, 265.259, and
265.260).
Determine if the TSDF operates an interim status waste pile meeting the listed
description.
Verify that the waste pile has two or more liners and a leachate collection and removal
system.
Verify that the TSDF has a CQA program to ensure that constructed units meet or
exceed all design criteria and specifications in the permit.
Verify that the TSDF has a written CQA plan that addresses the following:
- Identification of applicable units and a description of how they will be constructed
- Identification of key personnel
- A description of sampling and inspection activities.
Verify that waste is not received in a unit until an approved CQA plan has been
submitted to the regulatory agency.
Verify that documentation supporting construction quality assurance certification can
be provided upon request.
Verify that waste piles subject to these requirements meet the action leakage rate set
by the regulatory agency.
Verify that the TSDF has an approved response action plan before receipt of waste.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.157. (continued)
Verify that if the flow rate into the leak detection system exceeds the action leakage
rate for any sump:
- The regulatory agency is notified within seven days
- A written notification is submitted within 14 days
- The location, size and cause of any leak is determined to the extent practicable
- A determination is made as to whether waste receipt should be stopped or
restricted
- The regulatory agency is notified of actions to be taken within 30 days after
discovery of a leak
- A monthly report is submitted to the regulatory agency as long as the flow rate in
the leak detection system exceeds the action leakage rate.
Verify that the amount of liquids removed from each leak detection sump is recorded
at least one a week during the active life and closure period.
DF.158. Except in specific
instances, TSDFs are required
to analyze a representative
sample from each incoming
waste before adding the waste
to an existing pile (40 CFR
265.252).
Verify that an analysis is performed unless one of the following occurs:
- The only wastes that the TSDF receives for piling are compatible
- The waste received is compatible with the pile in which it is to be placed.
DF.159. Interim status waste
piles must meet specific closure
and post closure requirements
(40 CFR 265.258).
Verify that at closure all waste residues, contaminated containment system
components, contaminated subsoils, and structures and equipment contaminated with
waste and leachate are removed or decontaminated.
Verify that if all residues cannot be removed, the waste pile is closed and post-closure
care is carried out as for a landfill.
Land Treatment Units
DF.160. Interim status land
treatment units are required to
be operated according to
specific standards (40 CFR
265.270, 265.272, 265.273, and
265.279).
Determine if the TSDF operates an interim status land treatment unit.
Verify that the following standards are met at the land treatment unit:
- Hazardous wastes are not placed in or on a land treatment facility unless it can be
made less hazardous or nonhazardous by degradation, transformation, or
immobilization processes occurring in or on the soil
- Run-on control systems are operated to prevent flow onto the treatment zone during
peak discharge from at least a 25 year storm
- Runoff management systems are capable of controlling and collecting a water
volume at least equivalent to a 24 hour, 25 year storm
- Tanks and basins associated with the run-on and runoff control systems are
emptied or otherwise managed after storms
- Wind dispersal is controlled.
Verify that in addition to required waste analysis, prior to placing a hazardous waste in
or on a land treatment facility the owner or operator:
- Determines the concentrations in the waste of any substance which equals or
exceeds the maximum concentrations contained in Table 1 of 264.21
- Determines the concentration of any substance which caused the waste to be listed
as hazardous
- Determines the concentrations of arsenic, cadmium, lead, and mercury if food chain
crops are grown unless there is documentation present to prove that none of these
constituents exist.
Verify that hazardous waste application dates and rates are included in the operating
record.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.161. TSDFs are required to
operate interim status land
treatment facilities where food
chain crops are grown according
to specific standards (40 CFR
265.276).
Determine if the TSDF grows food chain crops on their land treatment facilities.
Verify that the TSDF notified the regulatory agency that food chain crops were being
grown.
Verify that food chain crops are not grown on the land treatment facility unless there is
proof that the crop will not be contaminated by arsenic, lead, mercury, or other harmful
constituents.
Verify that if the TSDF accepts waste that is contaminated with cadmium, the handling
practices outlined in 50 CFR 265.276(c) are followed.
DF.162. TSDFs with interim
status land treatment facilities
are required to have an
unsaturated zone monitoring
plan (40 CFR 265.278).
Verify that the TSDF has an unsaturated zone monitoring plan that includes:
- Soil monitoring using soil cores
- Soil-pore water monitoring using devices such as lysimeters
- Depth and number of samples to be taken.
Verify that the TSDF is following the plan.
DF.163. TSDFs with interim
status land treatment facilities
are required to meet specific
requirements concerning closure
and post-closure (40 CFR
265.280).
Verify that in the closure plan, the TSDF has addressed the following issues for interim
status land treatment facilities:
- Control of migration of wastes
- Control of the release of contaminated runoff into surface water
- Control of the release of airborne particulates
- Compliance with food chain crop restrictions.
Verify that during closure:
- Unsaturated zone monitoring is continued
- The run-on control system is maintained
- The runoff management system is maintained
- There is continued control of wind dispersal of particulate matter.
Verify that when closure was completed, the TSDF notified the regulatory agency.
Verify that during post-closure the following is done:
- Soil-core monitoring is continued as specified in the post closure plan
- Access to the unit is restricted as appropriate
- Growth of food chain crops complies with restrictions
- Wind dispersal of hazardous wastes is controlled.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
95
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
Hazardous Waste Landfills
DF.164. New interim status
landfill units which started
construction after January 29,
1992, each lateral expansion of
a landfill unit that started
construction after July 29, 1992,
and each replacement of an
existing landfill that will begin
reuse after July 29, 1992, is
required to meet specific design
and operating standards (40
CFR 265.19, 265.301(a) through
265.301(e) and 265.302 through
265.304).
Determine if the TSDF has any interim status landfills meeting the stated criteria.
Verify that the landfill has two or more liners and a leachate collection system above
and between the liners or that a waiver of the double liner requirement has been
obtained from the regulatory agency.
Verify that the TSDF has a CQA program to ensure that constructed units meet or
exceed all design criteria and specifications in the permit.
Verify that the designated CQA officer is a registered professional engineer.
Verify that the TSDF has a written CQA plan that addresses the following:
- Identification of applicable units and a description of how they will be constructed
- Identification of key personnel
- A description of sampling and inspection activities.
Verify that waste is not received in a unit until an approved CQA plan has been
submitted to the regulatory agency.
Verify that documentation supporting construction quality assurance certification can
be provided upon request.
Verify that the TSDF notifies the regulatory agency at least 60 days prior to receiving
waste and files a Part B application within six months of the receipt of notice.
Verify that landfills subject to these requirements meet the action leakage rate set by
the regulatory agency.
Verify that the TSDF has an approved response action plan before the receipt of
waste.
Verify that if the flow rate into the leak detection system exceed the action leakage rate
for any sump:
- The regulatory agency is notified within seven days
- A written notification is submitted within 14 days
- To the extent practicable, the location, size and cause of any leak is determined
- A determination is made as to whether waste receipt should be stopped or
restricted
- The regulatory agency is notified of actions taken and actions to be taken within 30
days after discovery
- A monthly report is submitted to the regulatory agency as long as the flow rate is the
leak detection system exceeds the action leakage rate.
Verify that after a final cover is installed, the amount of liquids removed from each leak
detection system sump is recorded at least monthly or:
- If the liquid level in the sump stays below the pump operating level for two
consecutive months, quarterly
- If the liquid level in the sump stays below the pump operating level for two
consecutive quarters, semiannually.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
Incinerators
DF.165. TSDFs with interim
status that use incinerators for
hazardous waste must
sufficiently analyze all wastes
burned (40 CFR 265.340 and 40
CFR 265.341).
Determine if the TSDF incinerates hazardous wastes.
Determine if the results of each waste analysis are kept on file in the operating record.
Verify that for each waste not previously burned at the site, a waste analysis is
conducted to establish steady state (normal) operating conditions including:
- Waste fuel feed
- Auxiliary fuel feed
- Air flow
- Type of pollutants that might be emitted
- At a minimum, the waste analysis must determine:
heating value
halogen content
- sulfur content
- lead concentration level
mercury concentration level.
(NOTE: TSDFs with interim status may be exempt from all the requirements for
hazardous waste incinerators (except closure) under certain conditions:
- The TSDF has written documentation that the wastes they incinerate do not contain
any hazardous constituents listed in 40 CFR 261 appendix VIII (see Appendix B of
this protocol)
- The documentation is retained at the TSDF
- The wastes are listed as hazardous solely because of their ignitable (Hazard Code
I) or corrosive (Hazard Code C) properties, or both, as listed and determined in 40
CFR 261, part C or D
- The wastes are listed as reactive (Hazard Code R) for characteristics other than
those listed in 40 CFR 261.23(a)(4) and (5) and will not be burned when other
hazardous wastes are present in the combustion zone
- The wastes are hazardous wastes solely because they possess the characteristics
of ignitability, corrosivity, or both, as determined by the tests for characteristics of
hazardous waste
- The wastes are hazardous wastes solely because they possess the reactivity
characteristics described in 40 CFR 261.23(a)(1), (2), (3), (6), (7) and (8) and will
not be burned when other hazardous wastes are present in the combustion zone.)
DF.166. TSDFs with interim
status may burn F020 through
F023, F026, F027 if they have
proper certification (40 CFR
265.352).
Determine if the TSDF burns EPA hazardous waste numbers F020 through F023,
F026, or F027.
Verify that the TSDF has received certification from the regulatory agency if such
wastes are burned at the site.
DF.167. TSDFs with interim
status that incinerate hazardous
waste must not feed hazardous
waste unless the incinerator is at
a steady state (40 CFR
265.345).
Observe the incinerator during startup and shutdown to verify that the waste is not fed
until steady state conditions are reached.
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 TSDFs under RCRA
Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.168. An interim status TSDF
that incinerates hazardous
waste must conduct monitoring
and inspections (40 CFR
265.347).
Verify that the following monitoring and inspection procedures are followed:
- Existing instruments related to combustion and emission control are monitored
every 15 minutes including the instruments that control:
- waste feed
auxiliary fuel feed
airflow
- incinerator temperature
- scrubber flow
scrubber pH
- The complete incinerator and associated equipment are inspected at least daily for
leaks, spills, and fugitive emissions, including:
- pumps
valves
conveyors
- pipes
- emergency shutdown controls and system alarms are checked at least daily to
assure proper operation.
DF.169. At closure of an interim
status incinerator, all hazardous
waste and hazardous waste
residues must be removed (40
CFR 265.351).
Verify that when an interim status hazardous waste incinerator is closed, the wastes
and residues are removed.
Thermal Treatment
DF.170. TSDFs with interim
status thermal treatment
facilities must meet specific
requirements (40 CFR 265.370,
265.373, 265.375, 265.381, and
265.383).
Determine if the TSDF operates an interim status thermal treatment facility (other than
enclosed devices using controlled flame combustion).
Verify that the following requirements are met:
- The thermal treatment process is operating at steady state (normal) conditions,
including temperature, before adding hazardous waste (unless the process is a
noncontinuous (batch) process that requires a complete thermal cycle to treat the
waste)
- Waste analysis is performed on waste not previously treated at the thermal
treatment facility that includes:
establishing steady state (normal) operating condition
types of pollutants which might be emitted
- heating value
- halogen and sulfur content
concentrations of lead and mercury.
(NOTE: The open burning of hazardous waste is prohibited except for the open
burning and detonation of waste explosives.)
Verify that if open burning or detonation of waste explosives is conducted, the
following standards are met:
- Pounds of waste explosives or propellents determines the minimum distance from
open burning or detonation to property of others as shown below:
- 0-100 Ib.: 204m (670 ft.)
- 101-1,000 Ib.: 380m (1250 ft.)
- 1001-10,000 Ib.: 530m (1730 ft.)
- 10,001-30,000 Ib.: 690 m (2260 ft.).
Verify that at closure all wastes and residues are removed.
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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Regulatory Requirement or
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Reviewer Checks:
DF.171. Interim status thermal
treatment facilities must be
certified, it they treat certain
wastes (40 CFR 265.383).
Determine if the TSDF thermally treats EPA waste numbers F020 through F023, F026,
or F027.
Verify that the TSDF has received certification from the regulatory agency to burn such
wastes.
DF.172. Operators of interim
status thermal treatment
facilities must conduct
monitoring and inspections while
thermally treating hazardous
waste (40 CFR 265.377).
Determine if the operator conducts at a minimum the following monitoring while
thermally treating hazardous wastes:
- Every 15 min, the following instrumentation for temperature and emission controls
are monitored and appropriate corrections are made immediately:
waste feed rate
- auxiliary fuel rate
- treatment process temperature
relevant process flow and level controls
every hour, stack emissions are visually checked for normal appearance (color
and opacity)
- Every day, the complete thermal treatment process and associated equipment are
checked including:
pumps, valves, conveyors, pipes, etc. inspected for leaks, spills, and fugitive
emissions
- emergency shutdown controls and systems alarms are checked for proper
operation.
Chemical/Physical/Biological Treatment
DF.173. TSDFs with interim
status chemical, physical, and
biological treatment facilities
must meet certain requirements
(40 CFR 265.400 through
265.402, and 265.404).
Determine if the TSDF operates a chemical, physical, or biological treatment facility to
treat hazardous wastes.
(NOTE: These requirements do not apply to TSDFs which treat hazardous wastes by
chemical, physical, biological methods in other than tanks, surface impoundments,
and land treatment units.)
Verify that the following criteria are met:
- Wastes or treatment reagents are not placed in treatment process or equipment if
they could cause ruptures, leaks, corrosion or other failures
- In addition to the analyses required by 40 CFR 265.13, continuously fed systems
are equipped with waste feed cutoff or bypass system
- Waste analyses and treatment tests (e.g., bench scale or pilot plant tests) are
performed, or written, documented information is obtained whenever a substantially
different waste is treated or a substantially different treatment process is used.
Verify that at closure all wastes and residues are removed.
DF.174. TSDFs with chemical,
physical, and biological
treatment facilities must conduct
regular inspections (40 CFR
265.403).
Determine if the chemical, physical, and biological treatment facility is inspected in
accordance with the following:
- At least daily, discharge control and safety equipment (e.g., waste feed cutoff
system, bypass system, drainage systems, and pressure relief systems) to ensure
good working order
- At least daily, data from monitoring equipment is checked to ensure process is
operated in accordance with its design
- At least weekly, construction materials of the treatment process or equipment is
inspected to detect corrosion, leaks, etc.
- At least weekly, construction materials of and the area surrounding dikes or other
discharge confinement structures are inspected to detect erosion or signs of
leakage (dead vegetation, wet spots, etc.).
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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Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.175. TSDFs with interim
status may not place ignitable,
reactive, or incompatible waste
in a treatment process or
equipment unless certain
requirements are met (40 CFR
265.405 through 265.406 and
265.17(b)).
Determine whether the TSDF treats any of these wastes.
Verify that any ignitable or reactive waste is treated or mixed in such a way before or
immediately after placement in the treatment process so that the resultant material no
longer meets the definition for ignitable or reactive wastes and is treated in such a way
that it is not exposed to conditions that may cause it to react or ignite.
Verify that incompatible wastes are not placed in the same treatment process,
equipment, or in unwashed equipment that previously held incompatible waste.
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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Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
Export/Import of Hazardous Waste
Exports of Hazardous Waste for Recovery within the OECD Member Countries
DF.176. A U.S. Notifierthat
exports amber list or red list
hazardous waste (see 40 CFR
262.89 and 262.82) destined for
recovery operations (see 40
CFR262.81(k))inanOECD
member country (40 CFR
262.58(a)) must comply with
notification requirements (40
CFR 262.83).
Determine whether the importing country is an Organization for Economic
Coordination and Development (OECD) member country [Australia, Austria, Belgium,
Denmark, Finland, France, Germany, Greece, Iceland, Ireland, Italy, Japan,
Luxembourg, Netherlands, New Zealand, Norway, Portugal, Spain, Sweden,
Switzerland, Turkey, United Kingdom, and United States].
(NOTE: The following countries have become OECD member countries since EPA
promulgated its OECD regulations in 1996: South Korea, Czech Republic, Poland, and
Hungary. EPA plans to amend its regulations to reflect these new OECD countries. In
the interim, EPA strongly recommends that U.S. exports to these new OECD countries
comply with the applicable OECD regulations, since these countries would expect
compliance with OECD requirements for shipments they receive from the U.S.)
Determine whether the waste is destined for recovery operations, including resource
recovery, recycling, reclamation, direct re-use or alternative uses.
Verify that 45 days prior to shipment of hazardous waste, the facility has notified EPA
(in writing) of the following:
- Serial number or other accepted identifier of the notification form
- Name, address, telephone and telefax numbers, and EPA ID number of the notifier
- Name, address, telephone and telefax numbers of any consignee (other than the
owner or operator of the recovery facility) and whether the consignee will exchange
or store the waste before delivery to the final recovery facility
- Intended transporters and any agents
- Country of export and point of departure
- Countries of transit, relevant competent authority, and point of entry and departure
- Country of import, relevant competent authority, and point of entry
- Statement of whether the notification is for a single or multiple shipments and, for
multiple shipments, period of validity requested
- Date foreseen for shipments to begin
- Designation of waste types from the appropriate list (amber or red and waste list
code), descriptions of each waste type, estimated total quantity of each, RCRA
waste code, and United Nations number for each waste type and
- Signed certification that states the following:
"I certify that the above information is complete and correct to the best of my
knowledge. I also certify that legally-enforceable written contractual obligations
have been entered into, and that any applicable insurance or other financial
guarantees are or shall be in force covering the transfrontier movement."
(NOTE: The U.S. does not currently require financial assurance; however, U.S.
exporters may be asked by other governments to provide and certify to such
assurance as a condition of obtaining consent to a proposed movement.)
(NOTE: If wastes with similar physical and chemical characteristics, the same United
Nations classification, and the same RCRA waste codes are to be sent to the same
recovery facility by the same notifier, the notifier may submit one notification of intent
to export these wastes in multiple shipments during a period of up to one year.)
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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Regulatory Requirement or
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Reviewer Checks:
DF.176. (continued)
(NOTE: For amber list wastes to be shipped to a recovery facility pre-approved by the
competent authority of the receiving country, the notifier must provide the above
information to EPA at least 10 days prior to shipment. Waste may be shipped as soon
as the notification has been received by the competent authorities in the exporting,
importing, and transit countries unless the notifier receives information indicating that
any country objects to the shipment.)
For amber list wastes, verify that either (1) no objection was lodged by any exporting,
importing, or transit countries within 30 days after issuance of the Acknowledgment of
Receipt of notification by the competent authority of the importing country or (2) the
competent authorities of all importing and transit countries provided written consent
within 30 days.
For red list wastes, verify that written consent was received from the importing country
and any transit countries prior to export.
DF.177. A U.S. notifier must
execute a valid written contract
or chain of contracts with the
recovery facility that specifies
the responsibilities of each (40
CFR 262.85).
Verify that contracts specify the name and EPA ID number, where available, of:
- The generator of each type of waste
- Each person who will have physical custody of the waste
- Each person who will have legal control of the waste and
- The recovery facility.
Verify that contracts specify:
- Which party will assume responsibility for alternate management of the wastes if it
cannot be carried out as described in the notification of intent to export
- That the person with actual possession or physical control over the waste will
immediately notify the notifier and the competent authorities of the exporting and
importing countries and transit country if wastes are located in a country of transit
- The person specified in the contract who will assume responsibility for the adequate
management of the wastes including, if necessary, arranging for their return to the
original country of export
- Notification prior to re-export to a third country and
- Provisions for financial guarantees.
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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Compliance Category:
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Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.178. A U.S. notifier must
ensure that a tracking document
accompanies each shipment of
amber or red list wastes until it
reaches the final recovery facility
(40 CFR 262.84).
Verify that a copy of the tracking document is attached to the shipment.
Verify that the tracking document includes all information contained in the notification
and the following:
- The date shipment commenced
- Name, address, telephone and telefax numbers of primary exporter, if different than
the notifier
- Name and EPA ID number of all transporters
- Any special precautions to be taken by transporters
- Signed certification that states the following:
"I certify that the above information is complete and correct to the best of my
knowledge. I also certify that legally-enforceable written contractual obligations
have been entered into, and that any applicable insurance or other financial
guarantees are or shall be in force covering the transfrontier movement, and that:
1. All necessary consents have been received; OR
2. The shipment is directed at a recovery facility within the OECD area and no
objection has been received from any of the concerned countries within the 30 day
tacit consent period; OR
3. The shipment is directed at a recovery facility pre-authorized for that type of
waste within the OECD area; such an authorization has not been revoked, and no
objection has been received from any of the concerned countries."
(NOTE: The notifier may delete sentences that are not applicable.)
and
- Appropriate signatures for each custody transfer.
DF.179. A U.S. notifier must
comply with special manifest
requirements (40 CFR 262.84(c)
and 262.54(a), (b), (c), (e), and
(i))-
Verify that the tracking documents contain the following:
- The name and address of the foreign consignee (and any alternate consignee) in
place of the designated facility's name, address, and EPA ID number and
- The point of departure from the United States indicated in the Special Handling
Instructions and Additional Information section.
Verify that a copy of the manifest is provided for delivery to the U.S. Customs official at
the point of departure from the U.S.
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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Compliance Category:
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Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.180. A primary exporter
must file an annual report with
EPA by March 1 of each year
regarding hazardous waste
exported for recovery during the
previous year (40 CFR
262.87(a)).
Verify that an annual report has been submitted by March 1 of every year for
hazardous waste exported for recovery during the previous calendar year.
Randomly check several annual reports to determine whether they contain the
following information for all hazardous waste exported for recovery during the previous
year:
- The EPA ID number, name, mailing and site address of the notifier filing the report
- Calendar year covered by the report
- The name and address of each final recovery facility
- For each final recovery facility and each waste exported: a description of the waste,
the EPA hazardous waste number, the OECD waste type and code, the DOT
hazard class, the EPA ID number for each transporter used, the total amount of
waste shipped, and the number of shipments
- Under certain circumstances, the efforts used to reduce the volume and toxicity of
the waste and the change achieved during the previous year in comparison to
earlier years and
- Certification signed by the primary exporter that states the following:
"I certify under penalty of law that I have personally examined and am familiar with
the information submitted in this and all attached documents, and that based on my
inquiry of those individuals immediately responsible for obtaining the information, I
believe that the submitted information is true, accurate, and complete. I am aware
that there are significant penalties for submitting false information including the
possibility of fine and imprisonment."
DF.181. A primary exporter
must file an exception report
with EPA under certain
circumstances (40 CFR
262.87(b)).
Verify that an exception report is filed with EPA each time any of the following occurs:
- The notifier does not receive a copy of the tracking document signed by the
transporter stating point of departure from the U.S. within 45 days of acceptance by
the initial transporter
- Within 90 days from the date the waste was accepted by the initial transporter, the
notifier does not receive written confirmation from the recovery facility that the waste
was received or
- The waste is returned to the U.S.
DF.182. A primary exporter
must maintain records that
relate to export activities (40
CFR262.87(c)).
Verify that the following records are kept for the appropriate period of time:
- Each notification of intent to export and all written consents obtained (at least three
years from the date the hazardous waste was accepted by the initial transporter)
- Each annual report (at least 3 years from the due date of the report), and
- Any exception reports and each confirmation of delivery received from the recovery
facility (at least 3 years from the date the initial waste was received from the
recovery facility).
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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Compliance Category:
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Regulatory Requirement or
Management Practice:
Reviewer Checks:
Exports of Hazardous Waste (Except to the OECD Member Countries) for Recovery
DF.183. A primary exporter of
hazardous waste must comply
with notification requirements
(40CFR262.53(a)and
262.53(b)).
Determine if the facility imports/exports hazardous waste.
Verify that 60 days prior to the initial shipment of hazardous waste to each country in
each calendar year, the facility has notified the EPA (in writing) of the following:
- Name, mailing address, telephone number, and EPA identification number of the
primary exporter
- By consignee, for each hazardous waste type:
- identification of the hazardous waste shipped by EPA identification number
DOT shipping name, hazard class, and importer for the waste
estimated frequency/rate at which such wastes(s) is to be exported
- estimated total quantity (in units)
- all points of entry to and departure from each foreign country the waste will pass
through
a description of the approximate length of time the waste will remain in each
country, and how it will be handled there
- the mode of transportation used to transport the waste and type(s) of
containers used
description of the treatment, storage, or disposal method to be used in the
receiving country
- name and address of the foreign consignee.
DF.184. The primary exporter
must attach a copy of an EPA
Acknowledgment of Consent
(that confirms the consent of the
foreign country to receive the
waste) to the shipment of
hazardous waste to a foreign
country (40 CFR 262.52(c),
262.53(f) and 262.54(h)).
Verify that a copy of the EPA Acknowledgment of Consent is on file by checking the
records.
Verify that a copy of this document was attached to the shipment.
DF.185. Primary exporters of
hazardous waste must require
confirmation of the delivery of
the hazardous waste and a
description of any significant
discrepancies between the
manifest and the shipment (40
CFR262.54(f)).
Verify that the facility has been receiving confirmation of delivery.
Determine if there are any notations of discrepancies.
DF.186. Primary exporters of
hazardous waste are required to
comply with general manifest
requirements with certain
modifications (40 CFR 262.54(a)
through 262.54(e) and
262.54(i)).
Verify that the manifest copies comply with the general manifest requirements of 40
CFR 262.20 through 262.23.
Determine if the following modifications are made by reviewing the manifest copies:
- The name and address of the foreign consignee (and any alternate consignee) is
put in the place of the designated facility's name, address, and EPA number.
- The point of departure from the United States is indicated in the Special Instructions
and Additional Information sections.
- This statement, "and conform to the terms of the attached EPA Acknowledgment of
Consent," is added to the end of the first sentence of the certification in Item 16.
Verify that a copy of the manifest is provided for delivery to the U.S. Customs official at
the U.S. point of departure.
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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Compliance Category:
Hazardous Waste Management
Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.187. Primary exporters of
hazardous waste are required to
follow specific procedures when
a shipment cannot be delivered
to the designated or alternate
consignee (40 CFR 262.54(g)).
Verify that when a shipment cannot be delivered, the primary exporter does one of the
following:
- Notifies the EPA of a change in the conditions of the original notification to allow
shipment to a new consignee and obtains an EPA Acknowledgment of Consent
prior to delivery, or
- Instructs the transporter to return the waste to the primary exporter in the United
States or designates another facility within the United States.
Verify that the facility instructs the transporter to revise the manifest to reflect changes
made.
DF.188. Primary exporters of
hazardous waste are required to
file an exception report under
certain conditions (40 CFR
262.55).
Verify that an exception report was filed if:
- A signed copy of the manifest from the transporter containing the following
information was not received within 45 days from the day it was accepted by the
initial transporter:
- date of departure of the waste from the United States
- place of departure of the waste from the United States
- Within 90 days from the date the waste was accepted by the initial transporter, the
facility has not received a written confirmation from the foreign consignee stating
that the hazardous waste was received
- The waste is returned to the United States.
DF.189. The primary exporter
must file an Annual Report with
the regulatory agency by March
1 of each year regarding
hazardous waste exported
during the previous year (40
CFR 262.56).
Verify that an Annual Report has been submitted by March 1 of every calendar year.
Verify that the Annual Reprts contain the following information for all hazardous waste
exported during the previous calendar year:
- Type, EPA hazardous waste number, DOT hazard class and name for each
hazardous waste(s) exported
- EPA identification number for each transporter (where applicable)
- Quantity of hazardous waste(s) exported
- Frequency (dates) of hazardous waste(s) exported
- Ultimate destination for all hazardous waste(s) exported
- Efforts used to reduce the volume and toxicity of the waste (and the changes
achieved during the year in comparison to previous years)
- A certification signed by the primary exporter that states:
"I certify under penalty of law that I have personally examined and am familiar with
the information submitted in this and all attached documents, and that based on my
inquiry of those individuals immediately responsible for obtaining the information, I
believe that the submitted information is true, accurate, and complete. I am aware
that there are significant penalties for submitting false information including the
possibility of fine and imprisonment."
DF.190. Primary exporters of
hazardous wastes must
maintain additional records that
relate to their export activities
(40 CFR 262.57).
Verify that the following are kept for at least three years:
- A copy of each notification of intent to export
- A copy of each EPA Acknowledgment of Consent
- A copy of each confirmation of delivery (signed manifests) of the waste
- Annual reports.
(NOTE: Periods of retention are automatically extended during the course of any
unresolved enforcement action.)
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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Compliance Category:
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Regulatory Requirement or
Management Practice:
Reviewer Checks:
Imports of Hazardous Waste for Recovery Within the OECD Member Countries
DF.191. A U.S. importer of
amber list or red list hazardous
waste (see 40 CFR 262.89 and
262.82) destined for recovery
operations (see 40 CFR
262.81 (k)) from an OECD
member country (40 CFR
262.58(a)) must execute a valid
written contract or chain of
contracts with the recovery
facility that specifies the
responsibilities of each (40 CFR
262.85).
Determine whether the exporting country is an OECD member country [Australia,
Austria, Belgium, Denmark, Finland, France, Germany, Greece, Iceland, Ireland, Italy,
Japan, Luxembourg, Netherlands, New Zealand, Norway, Portugal, Spain, Sweden,
Switzerland, Turkey, United Kingdom, and United States].
(NOTE: The following countries have become OECD member countries since EPA
promulgated its regulations in 1996: South Korea, Czech Republic, Poland, and
Hungary. EPA plans to amend its regulations to reflect these new OECD countries. In
the interim, EPA strongly recommends that exports to these new OECD countries
comply with applicable OECD regulations, since these countries would expect
compliance with OECD requirements for shipments they receive from the U.S.)
Determine whether the waste is for recovery operations, including resource recovery,
recycling, reclamation, direct re-use or alternative uses.
Verify that contracts specify the name and EPA ID number, where available, of:
- The generator of each type of waste
- Each person who will have physical custody of the waste
- Each person who will have legal control of the waste and
- The recovery facility.
Verify that contracts specify:
- Which party will assume responsibility for alternate management of the wastes if it
cannot be carried out as described in the notification of intent to export
- That the person with actual possession or physical control over the waste will
immediately notify the notifier and the competent authorities of the exporting and
importing countries and transit country if wastes are located in a country of transit
- That the person specified in the contract will assume responsibility for the adequate
management of the wastes including, if necessary, arranging their return to the
original country of export
- Notification prior to re-export to a third country and
- Provisions for financial guarantees.
DF.192. A U.S. importer must
ensure that a tracking document
accompanies each shipment of
amber or red list wastes until it
reaches the final recovery facility
(40 CFR 262.84).
Verify that a copy of the tracking document was attached to the shipment.
Verify that the tracking document included all information contained in the notification
and the following:
- The date shipment commenced
- Name, address, telephone and telefax numbers of primary exporter, if different than
the notifier
- Name and EPA ID number of all transporters
- Identification of means of transport, including types of packaging
- Any special precautions to be taken by transporters
- Signed certification required by 40 CFR 262.84(b)(6) and
- Appropriate signatures for each custody transfer.
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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Compliance Category:
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Regulatory Requirement or
Management Practice:
Reviewer Checks:
DF.193. A consignee must
comply with general manifest
requirements with certain
modifications (40 CFR 262.84(c)
and 262.60).
Verify that the manifest copies comply with the general manifest requirements of 40
CFR 262.20.
Determine if the following modifications are made by reviewing the manifest copies:
- The name and address of the foreign generator and the importer's name, address
and EPA identification number are put in place of the generator's name, address
and EPA identification number and
- The U.S. importer (or his agent) must sign and date the certification statement in
place of the generator's signature and obtain the signature of the initial transporter.
DF.194. Each person in the
U.S. that has physical custody of
the waste until it arrives at the
recovery facility must sign the
tracking document (40 CFR
262.84(d)).
Verify that the U.S. transporter, consignee, and owner or operator of the recovery
facility have signed the manifest.
DF.195. An owner/operator of a
U.S. recovery facility must send
signed copies of the tracking
document to the notifier, to EPA,
and to the competent authorities
of the exporting and transit
countries within three days of
receipt of imports (40 CFR
262.84(e)).
Verify that the facility sends signed copies of the tracking document to the notifier, to
EPA, and to the competent authorities of the exporting and transit countries within the
three days.
DF.196. A facility that has
arranged to receive hazardous
waste from a foreign source
must notify EPA (40 CFR
264.12(a)(1)and265.12(a)(1)).
Verify that the facility notifies the appropriate EPA Regional Administrator in writing at
least four weeks prior to the date the waste is expected to arrive at the facility.
(NOTE: Notice of subsequent shipments of the same waste from the same foreign
source is not required.)
Imports of Hazardous Waste (Except from the OECD Member Countries) for Recovery
DF.197. Any person who
imports hazardous waste must
comply with general manifest
requirements with certain
modifications (40 CFR 262.60).
Verify that the manifest copies comply with the general manifest requirements of 40
CFR 262.20.
Determine if the following modifications are made by reviewing the manifest copies:
- The name and address of the foreign generator and the importer's name, address
and EPA identification number are put in place of the generator's name, address
and EPA identification number and
- The U.S. importer (or his agent) must sign and date the certification statement in
place of the generator's signature and obtain the signature of the initial transporter.
DF.198. A facility that has
arranged to receive hazardous
waste from a foreign source
must notify EPA (40 CFR
264.12(a)(1)and265.12(a)(1)).
Verify that the facility notifies the appropriate EPA Regional Administrator in writing at
least four weeks prior to the date the waste is expected to arrive at the facility.
(NOTE: Notice of subsequent shipments of the same waste from the same foreign
source is not required.)
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
Treatment, Storage and Disposal Facilities under the Resource
Conservation and Recovery Act
Appendix A:
Identification and Listing of Hazardous Waste
(40 CFR 261.30 through 261.31)
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix A: Identification and Listing of Hazardous Waste (40 CFR 261.30 through 261.31)
Table 1 - Hazardous Waste from Nonspecific Sources
Industry and
USEPA Hazardous
Waste Number
F001
F002
F003
F004
F005
F006
F007
F008
F009
F010
F011
F012
F019
F020
Hazardous Waste
The spent halogenated solvents used in degreasing. Trichloroethylene, methylene chloride, 1,1,1-
trichloroethane, carbon tetrachloride, and the chlorinated fluorocarbons; all spent solvent mixtures
or blends used in degreasing containing before use, a total often percent or more (by volume) of
one or more of the above halogenated solvents listed in F002, F004, F005; and still bottoms from
the recovery of these spent solvents and spent solvent mixtures.
The following spent halogenated solvents: tetrachloroethylene, methylene chloride,
trichloroethylene, 1,1,1-trichloroethane, chlorobenzene, l,l,2-trichloro-l,l,2-trifluoroethane,
ortho-dichlorobenzene, trichlorofluoromethane, and 1,1,2-trichloroethane; all spent solvent
mixtures or blends containing, before use, a total often percent or more by volume, of one or more
of the above halogenated solvents or those listed in F001, F004, or F005; and still bottoms from
the recovery of these spent solvents and spent solvent mixtures.
The spent nonhalogenated solvents, xylene, acetone, ethyl acetate, ethyl benzene, ethyl ether,
methyl isobutyl ketone, n-butyl alcohol, cyclohexanone, and methanol; and the still bottoms from
the recovery of these solvents and spent solvent mixtures.
The spent nonhalogenated solvents, cresols and cresylic acid, and nitrobenzene; and the still
bottoms from the recovery of these solvents.
The following spent nonhalogenated solvents: toluene, methyl ethyl ketone, carbons disulfide,
isobutanol, pyridine, benzene, 2-ethoxylethanol, and 2-nitropropane; all spent solvent mixtures or
blends containing, before use, a total often percent or more by volume of one or more of the above
nonhalogenated solvents or those solvents listed in F001, F002, or F004; and still bottoms from the
recovery of these solvents.
Wastewater treatment sludges from electroplating operations except from the following processes:
(1) sulfuric acid anodizing of aluminum; (2) tin plating on carbon steel; (3) zinc plating (segregated
basis) on carbon steel; (4) aluminum or zinc-aluminum plating on carbon steel; (5) cleaning
stripping associated with tin, zinc and aluminum plating on carbon steel; and (6) chemical etching
and milling of aluminum.
Spent cyanide plating bath solution from electroplating operations.
Plating bath residues from the bottom of plating baths from electroplating operations where
cyanides are used in the process.
Spent stripping and cleaning bath solutions from electroplating operations where cyanides are used
in the process.
Quenching bath residues from oil baths from metal heat treating operations where cyanides are
used in the process.
Spent cyanide solutions from salt bath pot cleaning from metal heat treating operations.
Quenching wastewater treatment sludges from metal heat treating operations where cyanides are
used in the process.
Wastewater treatment sludges from the chemical conversion coating of aluminum except from
zirconium phosphating in aluminum can washing when such phosphating is an exclusive
conversion coating process.
Wastes from use of tri-, or tetrachlorophenol, or intermediates used to produce its pesticide
derivatives. **
Hazard
Code*
(t)
(t)
(i)
(t)
(U)
(t)
(r,t)
(r,t)
(r,t)
(r,t)
(r,t)
(t)
(t)
(h)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
A1
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix A: Identification and Listing of Hazardous Waste (40 CFR 261.30 through 261.31)
Industry and
USEPA Hazardous
Waste Number
F021
F022
F023
F024
F025
F026
F027
F028
F032
F034
F035
F037
Hazardous Waste
Wastes of pentachlorophenol, or intermediates used to produce its derivatives. **
Wastes, of tetra-, penta-, or hexachlorobenzenes under alkaline conditions. **
Wastes, of tri- and tetrachlorophenols. **
Wastes, including but not limited to distillation residues, heavy ends, tars and reactor cleanout
wastes from the production of chlorinated aliphatic hydrocarbons, utilizing free radical catalyzed
processes having carbon chain lengths from one to five, (Omits light ends, spent filters and filter
aids, spent desiccants, wastewater, wastewater treatment sludges, spent catalysts and wastes listed
in 40 CFR 261. 32).
Condensed light ends, spent filters aids, and spent desiccant wastes from the production of certain
chlorinated aliphatic hydrocarbons, by free radical catalyzed processes. These chlorinated aliphatic
hydrocarbons are those having carbon chain lengths ranging from one to and including five, with
varying amounts and positions of chlorine substitution.
Wastes of tetra-, penta-, or hexachlorobenzene under alkaline conditions.
Discarded unused formulations containing tri-, tetra-, or pentachlorophenol or discarded unused
formulations containing compounds derived from these chlorophenols (does not include
hexachlorophene synthesized from prepurified 2,4,5-trichlorophenol as the sole component.
Residues from incineration or thermal treatment of soil contaminated with EPA hazardous waste
Nos. F020, F021, F022, F023, F026 and F027.
Wastewaters (except those that have not come into contact with process contaminants), process
residue, preservative drippage, and spent formulations from wood preserving processes generated
at plants that currently use of have previously used chlorophenolic formulations (except potentially
cross-contaminated wastes that have had the F032 waste code deleted in accordance with 261.35
and where the generator does not resume or initiate use of chlorophenolic formulations). This
listing does not include K001 bottom sediment sludge from the treatment of wastewater from wood
preserving processes that use creosote and/or pentachlorophenol.
Wastewaters (except those that have come into contact w/ process contaminants), process residuals,
preservative drippage, and spent formulations from wood preserving processes generated at plants
that use creosote formulations. This listing does not include K001 bottom sludge from the
treatment of wastewater from wood preserving processes that use creosote and or
pentachlorophenol .
Wastewaters (except those that have come into contact w/ process contaminants), process residuals,
preservative drippage, and spent formulations from wood preserving processes generated at plants
that use inorganic preservatives containing arsenic or chromium. This listing does not include
K001 bottom sediment sludge from the treatment of wastewater from wood preserving processes
that use creosote and/or pentachlorophenol.
Petroleum refinery primary oil/water/solids separation sludge Any sludge generated from the
gravitational separation of oil/water/solids during the storage or treatment of process Wastewaters
and oily cooling Wastewaters from petroleum refiners. This includes, but is not limited to, sludges
generated in: oil/water/solids separators; tanks and impoundments; ditches and other conveyances;
sumps; and stormwater units receiving dry weather flow.
Sludges generated in stormwater units that do not receive dry weather flow, sludges generated from
non-contact once through cooling waters segregated for treatment from other process or oily
cooling waters, sludges generated in aggressive biological treatment units*** (including sludges
generated in one or more additional units after Wastewaters have been treated in aggressive
biological treatment units) and K051 wastes are not included in this listing.
Hazard
Code*
(h)
(h)
(t)
(t)
(t)
(h)
(h)
(t)
(t)
(t)
(t)
(t)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
A2
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix A: Identification and Listing of Hazardous Waste (40 CFR 261.30 through 261.31)
Industry and
USEPA Hazardous
Waste Number
Hazardous Waste
Hazard
Code*
F038
Petroleum refinery secondary (emulsified) oil/water/solids separation sludge-Any sludge and/or
float generated from the physical and/or chemical separation of oil/water/solids in process
wastewaters and oily cooling wastewaters from petroleum refineries.
Such wastes include, but are not limited to, all sludges and floats generated in: induced air flotation
(IAF) units, tanks and impoundments, and all sludges generated in DAF units. Sludges generated
in stormwater units that do not receive dry weather flow, sludges generated from non-contact once-
through cooling waters segregated for treatment from other process or oily cooling waters, sludges
and floats generated in aggressive biological treatment units*** (including sludges and floats
generated in one or more additional units after wastewaters have been treated in aggressive
biological treatment units) and F037, K048, and K051 wastes are not included in this listing.
(t)
F039
Leachate (liquids that have percolated through land disposed wastes) resulting from the disposal of
more than one restricted waste classified as hazardous under 40 CFR 261 Subpart D.
(Leachate resulting from the management of one or more of the following wastes and no other
hazardous waste retains its hazardous waste number(s): F020, F021, F022, F023, F026, F027,
and/or F028.)
NOTE: The listing of wastewaters that have not come into contact with process contaminants is stayed administratively. The listing for
plants that have previously used chlorophenolic formulations is administratively stayed whenever these wastes are covered by the F034 or
F035 listings. These stays will remain in effect until further administrative action is taken.
! Hazard Codes:
t = toxic waste
i = ignitable waste
r = reactive waste
h = acute hazardous waste
c = corrosive waste
e = toxicity characteristic waste
** (except wastewater and spent carbon from hydrogen chloride purification) the manufacturing or production use: as a reactant, chemical
intermediate, or component in a formulating process. The listing for F020 and F023 does not include wastes from the production of
Hexachlorophene from highly purified 2,4,5- trichlorophenol.
*** Aggressive biological treatment units are defined as units which employ one of the following treatment methods: activated sludge;
trickling filter; rotating biological contactor for the continuous accelerated biological oxidation of wastewaters; or high-rate aeration.
Ffigh-rate aeration is a system of surface impoundments or tanks in which intense mechanical aeration is used to completely mix the wastes,
enhance biological activity, and (A) the units employs a minimum of 6 hp per million gallons of treatment volume; and either (B) the
hydraulic retention time of the unit is no longer than 5 days; or (C) the hydraulic retention time is no longer than 30 days and the unit does
not generate a sludge that is a hazardous waste by the Toxicity Characteristic.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
A3
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix A: Identification and Listing of Hazardous Waste (40 CFR 261.30 through 261.31)
Table 2 - Hazardous Waste from Organic and Inorganic Chemical Industries
Industry and
EPA Hazardous
Waste Number
Hazardous Waste
Hazard
Code*
Organic Chemicals
K009
K010
K011
K013
K014
K015
K016
K017
K018
K019
K020
K021
K022
K023
K024
K025
K026
K027
K028
K029
K030
K083
K085
K103
Distillation bottoms from the production of acetaldehyde from ethylene.
Distillation side cuts from the production of acetaldehyde from ethylene.
Bottom stream from the wastewater stripper in the production of acrylonitrile.
Bottom stream from the acetonitrile column in the production of acrylonitrile.
Bottoms from the acetonitrile purification column in the production of acrylonitrile.
Still bottoms from the distillation of benzyl chloride.
Heavy ends or distillation residues from the production of carbon tetrachloride.
Heavy ends (still bottoms) from the purification column in the production of
epichlorohydrin.
Heavy ends from fractionation in ethyl chloride production.
Heavy ends from the distillation of ethylene dichloride in ethylene dichloride
production.
Heavy ends from the distillation of vinyl chloride in vinyl chloride monomer production.
Aqueous spent antimony catalyst waste from fluoromethanes production.
Distillation bottom tars from the production of phenol/acetone from cumene.
Distillation light ends from the production of phthalic anhydride from naphthalene.
Distillation bottoms from the production of phthalic anhydride from naphthalene.
Distillation bottoms from the production of nitrobenzene by the nitration of benzene.
Stripping still tails from the production of methyl ethyl pyridines.
Centrifuge residue from toluene diisocyanate production.
Spent catalyst from the hydrochlorinator reactor in the production of 1 , 1 , 1 -
trichloroethane.
Waste from the product stream stripper in the production of 1,1,1 -trichloroethane.
Column bottoms or heavy ends from the combined production of trichloroethylene and
perchloroethylene.
Distillation bottoms from aniline production.
Distillation of fractionation column bottoms from the production of chlorobenzene.
Process residues from aniline extraction from the production of aniline.
(t)
(t)
(U)
(U)
(t)
(t)
(t)
(t)
(t)
(t)
(t)
(t)
(t)
(t)
(t)
(t)
(t)
(U)
(t)
(t)
(t)
(t)
(t)
(t)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
A4
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix A: Identification and Listing of Hazardous Waste (40 CFR 261.30 through 261.31)
Industry and
EPA Hazardous
Waste Number
K104
K105
K107
K108
K109
K110
K093
K094
K095
K096
Kill
K112
K113
K114
K115
K116
Hazardous Waste
Combined wastewater streams generated from nitrobenzene or aniline production.
Separated aqueous stream from the reactor product washing step in the production of
chlorobenzenes.
Column bottoms from product separation from the production of 1 , 1 -dimethylhydrazine
(UDMH) from carboxylic acid
Condensed Column overheads from product separation and condensed reactor vent
gases from the production of 1,1 -dimethylhydrazine (UDMH) from carboxylic acid
hydrazides
Spent filter cartridges from product purification from production of 1 ,1 -
dimethylhydrazine (UDMH) from carboxylic acid hydrazides
Condensed column overheads from intermediate separation from the production of 1 ,1 -
dimethylhydrazine (UDMH) from carboxylic acid hydrazides
Distillation light ends from the production of phthalic anhydride from erthoxylene.
Distillation bottoms from the production of phthalic anhydride from orthozylene.
Distillation bottoms from the production of 1,1,1-trichloroethane.
Heavy ends from the heavy ends column from the production of 1,1,1-trichloroethane.
Product washwaters from the production of dinitrotoluene via nitration of toluene.
Reaction byproduct water from the drying column in the production of toluenediamine
via hydrogenation of dinitrotoluene.
Condensed liquid light ennation of dinitrotoluene.
Vicinals from the purification of toluenediamine in the production of toluenediamine.
Heavy ends from the purification of toluenediamine in the production of toluenediamine
via hydrogenation of dinitrotoluene.
Organic condensate from the solvent recovery column in the production of toluene
diisocyanate via phosgenation of toluenediamine.
Hazard
Code*
(t)
(t)
(M)
(U)
(t)
(t)
(t)
(t)
(t)
(t)
(M)
(t)
(t)
(t)
(t)
(t)
Inorganic Chemicals
K118
K136
K071
K073
Spent adsorbent solids from purification of ethylene dibromide in the production of
ethylene dibromide via bromination of ethene.
Still bottoms from the purification of ethylene dibromide in the production of ethylene
dibromide via bromination of ethene.
Brine purification muds from the mercury cell process in chlorine production, where
separately prepurified brine is not used.
Chlorinated hydrocarbon waste from the purification step of the diaphragm cell process
using graphite anodes in chlorine production.
(t)
(t)
(t)
(t)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
A5
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix A: Identification and Listing of Hazardous Waste (40 CFR 261.30 through 261.31)
Industry and
EPA Hazardous
Waste Number
K106
Hazardous Waste
Wastewater treatment sludge from the mercury cell process in chlorine production.
Hazard
Code*
(t)
Hazardous Waste from Explosives Manufacturing
K044
K045
K046
K047
Wastewater treatment sludge from the manufacturing and processing of explosives.
Spent carbon from the treatment of wastewater containing explosives.
Wastewater treatment sludges from the manufacturing, formulation and loading of lead-
based initiating compounds.
Pink/red water from TNT operations.
(r)
(r)
(t)
(t)
! Hazard Codes:
t = toxic waste
i = ignitable waste
r = reactive waste
c = corrosive waste
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
A6
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Protocol for Conducting Environmental Compliance Audits of
Hazardous Waste Generators under the Resource Conservation
and Recovery Act
Appendix B:
Identification of Hazardous Waste Hazardous Constituents
(40 CFR 261, Appendix VIM)
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix B: Identification of Hazardous Waste Hazardous Constituents (40 CFR 261, Appendix VIM)
Common Name
Acetonitrile
Acetophenone
2-Acetylaminefluarone
Acetyl chloride
1 -Acetyl-2-thiourea
Acrolein
Acrylamide
Acrylonitrile
Aflatoxins
Aldicarb
Aldrin
Allyl alcohol
Allyl chloride
Aluminum phosphide
4-Aminobiphenyl
5-(Aminomethyl)-3-isoxazolol
4-Aminopyridine
Amitrole
Ammonium vanadate
Aniline
Antimony
Antimony compounds, N.O.S.1
Aramite
Arsenic
Arsenic compounds, N.O.S.1
Arsenic acid
Arsenic pentoxide
Arsenic trioxide
Auramine
Chemical Abstracts Name
Same
Ethanone, 1-phenyl-
Acetamide, N-9H-fluoren-2-yl
Same
Acetamide, N-(aminothioxomethyl)-
2-Propenal
2-Propenamide
2-Propenenitrile
Same
Propanal, 2-methyl-2-(mehtylthio)-, O-
[(methylamino)carbonyl]oxime.
1,4,5,8-Dimethanonaphthalene, 1,2,3,4,10,10-10-
hexachloro- l,4,4a,5,8,8a-hexahydro-, (1 alpha, 4alpha,
4abeta, Salpha, Salpha, Sabeta)-.
2-Propen-l-ol
1 -Propane, 3-chloro
Same
[1,1 '-Biphenyl]-4-amine
3(2H)-Isoxazolone, 5-(aminomethyl)-
4-Pyridinamine
1H-1 ,2,4-Triazol-3-amine
Vanadic acid, ammonium salt
Benzenamine
Same
Sulfurous acid, 2-chloroethyl 2-[4-(l,l-
dimethylethyl)phenoxy]-l-methylethyl ester.
Same
Arsenic acid H3AsO4
Arsenic oxide As2O5
Arsenic oxide As2O3
Benzenamine, 4,4'-carbonimidoylbis[N,N-dimethyl
Chemical
Abstract No.
75-05-8
98-86-2
53-96-3
75-36-5
591-08-2
107-02-8
79-06-1
107-13-1
1402-68-2
116-06-3
309-00-2
107-18-6
107-18-6
20859-73-8
92-67-1
2763-96-4
504-24-5
61-82-5
7803-55-6
62-53-3
7440-36-0
140-57-8
7440-38-2
7778-39-4
1303-28-2
1327-53-3
492-80-8
Hazardous
Waste No.
U003
U004
U005
U006
P002
POOS
U007
U009
P070
P004
POOS
P006
P007
POOS
U011
P119
U012
P010
P011
P012
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
B1
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix B: Identification of Hazardous Waste Hazardous Constituents (40 CFR 261, Appendix VIM)
Common Name
Azaserine
Barium
Barium compounds, N.O.S.1
Barium cyanide
Benz[c]acridine
Benz[a]anthracene
Benzal chloride
Benzene
Benzenearsonic acid
Benzidine
Benzo[b]flouoranthene
Benzo[j]fluoranthene
Benzo(k)fluoranthene
Benzo[a]pyrene
p-Benzoquinone
Benzotrichloride
Benzyl chloride
Beryllium powder
Beryllium coumpounds, N.O.S.1
Bromoacetone
Bromoform
4-Bromophenyl phenyl ether
Brucine
Butyl benzyl phthalate
Cacodylic acid
Cadmium
Cadmium compounds, N.O.S.1
Calcium chromate
Calcium cyanide
Carbon disulfide
Carbon oxyfluoride
Chemical Abstracts Name
L-Serine, diazoacetate (ester)
Same
Same
Same
Same
Benzene, (dichloromethyl)-
Same
Arsonic acid, phenyl-
[l,l'-Biphenyl]-4,4 1 -diamine
Benz[e]acehpenanthrylene
Same
Same
Same
2,5-Cyclohexadiene- 1 ,4-dione
Benzene, (trichloromethyl)-
Benzene, (chloromethyl)-
Same
2-Propanone, 1-bromo-
Methane, tribromo-
Benzene, l-bromo-4phenoxy-
Strychnidin-10-one, 2,3-dimethoxy-
1,2-Benzenedicarboxylic acid, butyl phenyl-methyl ester.
Arsinic acid, dimethyl-
Same
Chromic acid H2CrO4, calcium salt
Calcium cyanide Ca(CN)2
Same
Carbonic difluoride
Chemical
Abstract No.
115-02-6
7440-39-3
542-62-1
225-51-4
56-55-3
98-87-3
71-43-2
98-05-5
92-87-5
205-99-2
205-82-3
207-08-9
50-32-8
106-51-4
98-07-7
100-44-7
7440-41-7
598-31-2
75-25-2
101-55-3
357-57-3
85-68-7
75-60-5
7440-43-9
13765-19-0
592-0108
75-15-0
353-50-4
Hazardous
Waste No.
U015
P013
U016
U018
U017
U019
U021
U022
U197
U023
P028
P015
P017
U225
U030
P018
U136
U032
P021
P022
U033
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
B2
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix B: Identification of Hazardous Waste Hazardous Constituents (40 CFR 261, Appendix VIM)
Common Name
Carbon tetrachloride
Chloral
Chlorambucil
Chlordane
Chlordane (alpha and gamma
isomers)
Chlorinated benzenes, N.O.S.1
Chlorinated ethane, N.O.S.1
Chlorinated fluorocarbons, N.O.S.1
Chlorinated naphthalene, N.O.S.1
Chlorinated phenol, N.O.S.1
Chlomaphazin
Chloroacetaldehyde
Chloroalkyl ethers, N.O.S.1
p-Chloroaniline
Chlorobenzene
Chlorobenzilate
p-Chloro-m-cresol
2-Chloroethyl vinyl ether
Chloroform
Chloromethyl methyl ether
beta-Chloronaphthalene
o-Chlorophenol
1 -(o-Chlorophenyl)thiourea
Chloroprene
3-Chloropropionitrile
Chromium
Chromium compounds, N.O.S.1
Chrysene
Citrus red no. 2
Chemical Abstracts Name
Methane, tetrachloro-
Acetaldehyde, trichloro-
Benzenebutanoic acid, 4-[bis(2-chloroethyl)amino]-.
4,7-Methano- IH-indene, 1 ,2,4,5,6 ,7,8,8-oc-tachloro-
2,3,3a,4,7,7a-hexahydro-.
Naphthalenamine, N,N-bis(2-chloroethyl)-
Acetaldehyde, chloro-
Benzenamine, 4-chloro-
Benzene, chloro-
Benzeneacetic acid, 4-chloro-alpha-(4-chlorophenyl)-
alpha-hydroxy-,ethyl ester.
Phenol, 4-chloro-3-methyl-
Ethene, (2-chloroethoxy)-
Methane, trichloro-
Methane, chloromethoxy-
Naphthalene, 2-chloro-
Phenol, 2-chloro-
Thiourea, (2-chlorophenyl)-
1,3-Butadiene, 2-chloro
Propanenitrile, 3-chloro-
Same
Same
2-Naphthalenol, l-[(2,5-dimethoxphenyl)azo]-.
Chemical
Abstract No.
56-23-5
75-87-6
305-03-3
57-74-9
494-03-1
107-20-0
106-47-8
108-90-7
510-15-6
59-50-7
110-75-8
67-66-3
107-30-2
91-58-7
95-57-8
5344-82-1
126-99-8
542-76-7
7440-47-3
218-01-9
6358-53-8
Hazardous
Waste No.
U211
U034
U035
U036
U026
P023
P024
U037
U038
U039
U042
U044
U046
U047
U048
P026
P027
U050
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
B3
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix B: Identification of Hazardous Waste Hazardous Constituents (40 CFR 261, Appendix VIM)
Common Name
Coal tar creosote
Copper cyanide
Creosote
Cresol (Cresylic acid)
Crotonaldehyde
Cyanides (soluble salts and
complexes) N.O.S.1
Cyanogen
Cyanogen bromide
Cyanogen chloride
Cycasin
2-Cyclohexyl-4,6-dinitrophenol
Cyclophosphamide
2,4-D
2,4-D, salts, esters
Daunomycin
DDD
DDE
DDT
Diallate
Dibenz[a,h]acridine
Dibenz[aj]acridine
Dibenz [a,h] anthracene
7H-Dibenzo[c,g]carbazole
Dibenzo [a,e] py rene
Dibenzo[a,h]pyrene
Dibenzo[a,i]pyrene
1 ,2-Dibromo-3-chloropropane
Dibutyl phthalate
Chemical Abstracts Name
Same
Copper cyanide CuCN
Same
Phenol, methyl-
2-Butenal
Ethanedinitrile
Cyanogen bromide (CN)Br
Cyanogen chloride (CN)C1
beta-D-Glucopyranoside, (methyl-ONN-azoxy)methyl .
Phenol, 2-cyclohexyl-4,6-dinitro-
2H- 1 ,3,2-Oxazaphosphorin-2-amine, N,N-bis(2-
chloroethyl)tetrahydro-, 2-oxide.
Acetic acid, (2,4-dichlorophenoxy)-
5,12-Naphthacenedione, 8-acetyl-10-[(3-amino-2,3,6-
trideoxy-alpha-L-lyxo-hexopyranosyl)oxy]-7,8,9,10-
tetrahydro-6,8,1 1-trihydroxy-l-methoxy-, (8S-cis)-.
Benzene, l,l'-(2,2-dichloroethylidene)bis[4-chloro-.
Benzene, l,l'-(dichloroethenylidene)bis[4-chloro-.
Benzene, l,l'-(2.2.2 trichloroethylideneObis[4-chloro-.
Carbamothioic acid, bis(l-methylethyl)-, S-(2,3-dichloro-2-
propenyl) ester.
Same
Same
Same
Same
Naphtho[l ,2,3,4-def]chrysene
Dibenzo [b,dif]chrysene
Benzo[rst]pentaphene
Propane, l,2-dibromo-3-chloro-
1,2-Benzenedicarboxylic acid, dibutyl ester
Chemical
Abstract No.
8007-45-2
544-92-3
1319-77-3
4170-30-3
460-19-5
506-68-3
506-77-4
14901-08-7
131-89-5
50-18-0
94-75-7
20830-81-3
72-54-8
72-55-9
50-29-3
2303-16-4
226-36-8
224-42-0
53-70-3
194-59-2
192-65-4
189-64-0
189-55-9
96-12-8
84-74-2
Hazardous
Waste No.
P029
U051
U052
U053
P030
P031
U246
P033
P034
U058
U240
U240
U059
U060
U061
U062
U063
U064
U066
U069
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
B4
-------
Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix B: Identification of Hazardous Waste Hazardous Constituents (40 CFR 261, Appendix VIM)
Common Name
o-Dichlorobenzene
m-Dichlorobenzene
p-Dichlorobenzene
Dichlororbenzene, N.O.S.1
3,3'-Dichlorobenzidine
1 ,4-Dichloro-2-butene
Dichlorodifluoromethane
Dichloroethylene, N.O.S.1
1 , 1 -Dichloroethylene
1 ,2-Dichloroethylene
Dichloroethyl ether
Dichloroisopropyl ether
Dichloromethoxy ethane
Dichloromethyl ether
2,4-Dichlorophenol
2,6-Dichlorophenol
Dichlorophenylarsine
Dichloropropane, N.O.S.1
Dichloropropanol, N.O.S.1
Dichloropropene, N.O.S.1
1 ,3-Dichloropropene
Dieldrin
1 ,2: 3 ,4-Diepoxybutane
Diethylarsine
1 ,4-Diethyleneoxide
Diethylhexyl phthalate
N,N-Diethylhydrazine
O,O-Diethyl S-methyl
dithiophosphate
Diethyl-p-nitrohpenyl phosphate
Chemical Abstracts Name
Benzene, 1,2-dichloro-
Benzene, 1,3-dichloro-
Benzene, 1,4-dichloro-
Benzene, dichloro-
[l,l'-Biphenyl]-4,4'-diamine, 3,3'-dichloro-
2-Butene, 1,4-dichloro
Methane, dichlorodifluoro-
Dichloroethylene
Ethene, 1,1-dichloro
Ethene, 1,2-dichlrol-, (E)
Ethane, l,l'oxybis[2-chloro-
Propane, 2,2'-oxybis[2-chloro
Ethane, 1,1'- [methylenebis(oxy)bix[2-chloro- .
Methane, oxybis[chloro-
Phenol, 2,4-dichloro-
Phenol, 1 ,6-dichloro-
Arsonous dichloride, phenyl-
Propane, dichloro-
Propanol, dichloro-
1-Propene, dichloro-
1-Propene, 1,3-dichloro-
2,7:3,6-Dimethanonaphth[2,3-b]oxirene, 3,4,5,6,9,9-
hexachloro-la,2,2a,3,6,6a,7,7a-octahydro-,
(laalpha,2beta,2aalpha,3beta,6beta,
6aalpha,7beta,7aalpha)- .
2,2'-Bioxirane
Arsine, diethyl-
l,4Dioxane
1,2-Benzenedicarboxylic acid, bis(2-ethyl-hexyl) ester.
Hydrazine, 1,2-diethyl-
Phosphorodithioic acid, O,O-diethyl S-methyl
Phosphoric acid, diethyl 4-nitrophenyl ester
Chemical
Abstract No.
95-50-1
541-73-1
106-46-7
25321-22-6
91-94-1
764-41-0
75-71-8
25323-30-2
75-35-4
156-60-5
111-44-4
108-60-1
111-91-1
542-88-1
120-83-2
87-65-0
696-28-6
26638-19-7
26545-73-3
26952-23-8
542-75-6
60-57-1
1464-53-5
692-42-2
123-91-1
117-81-7
1615-80-1
3288-58-2
311-45-5
Hazardous
Waste No.
U070
U071
U072
U073
U074
U075
U078
U079
U025
U027
U024
P016
U081
U082
P036
U084
P037
U085
P038
U108
U028
U086
U087
P041
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
B5
-------
Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix B: Identification of Hazardous Waste Hazardous Constituents (40 CFR 261, Appendix VIM)
Common Name
Diethyl phthalate
O,O-Diethyl O-pyrazinyl
phosphoro-thioate
Diethylstilbesterol
Dihydrosafrole
Diisopropylfluorophosphate (DFP)
Dimethoate
3,3'-Dimethoxybenzidine
p-Dimethylaminoazobenzene
7,12-Dimethylbenz[a]anthracene
3,3'-Dimethylbenzidine
Dimethylcarbamoyl chloride
1 , 1 -Dimethylhydrazine
1 ,2-Dimethylhydrazine
alpha,alpha-
Dimethylphenethylamine
2,4-Dimethylphenol
Dimethyl phthalate
Dimethyl sulfate
Dinitrobenzene, N.O.S.1
4,6-Dinitro-o-cresol
4,6-Dinitro-o-cresol salts
2,4-Dinitrophenol
2,4-Dinitrotoluene
2,6-Dinitrotoluene
Dinoseb
Di-n-octyl phthalate
Diphenylamine
1 ,2-Diphenylhydrazine
Di-n-propylnitrosamine
Disulfoton
Chemical Abstracts Name
1,2-Benzenedicarboxylic acid, diethyl ester
Phosphorothioic acid, O,O-diethyl O-pyrazinyl ester.
Phenol, 4,4'-(l,2-diethyl-l,2-ethenediylObis-,(E)-.
1,3-Benzodioxole, 5-propyl-
Phosphorofluoridic, bis(l-mthylethyl) ester.
Phosphorodithioic acid, O,O-dimethyl S-[2-(methylamino)-
2-oxoethyl] ester.
[l,l'-Biphenyl]-4,4'-diamine, 3,3'-dimethoxy-
Benzenamine, N,N-dimethyl-4-(phenylazo)-
Benz[a]anthracene, 7,12-dimethyl-
[l,l'-Biphenyl]-4,4'-diamine, 3,3'-dimethoxy-
Carbamic chloride, dimethyl-
Hydrazine, 1,1-dimethyl-
Hydrazine, 1,2-dimethyl-
Benzeneethanamine, alpha,alpha-dimethyl
Phenol, 2,4-dimethyl-
1,2-Benzenedicarboxylic acid, dimethyl ester
Sulfuric acid, dimethyl ester
Benzene, dinitro-
Phenol, 2-methyl-4,6-dinitro-
Phenol, 2-methyl-4,6-dinitro-
Benzene, l-methyl-2,4-dinitro-
Benzene, 2-methyl-l,3-dinitro-
Phenol, 2-(l-methylpropyl)-4,6-dinitro-
1,2-Benzenedicarboxylic acid, dioctyl ester
Benzenamine, N-phenyl-
Hydrazine, 1,2-diphenyl-
1 -Propanamine, N-nitroso-N-propyl-
Phosphorodithioic acid, O,O-diethyl S-[2-
(ethylthio)ethyl]ester.
Chemical
Abstract No.
84-66-2
297-97-2
56-53-1
94-58-6
55-91-4
60-51-5
119-90-4
60-11-7
57-97-6
119-90-4
79-44-7
57-14-7
540-73-8
122-09-8
105-67-9
131-11-3
77-78-1
25154-54-5
534-52-1
51-28-5
121-14-2
606-20-2
88-85-7
117-84-0
122-39-4
122-66-7
621-64-7
298-04-4
Hazardous
Waste No.
U088
P040
U089
U090
P043
P044
U091
U093
U094
U095
U097
U098
U099
P046
U101
U102
U103
P047
P047
P048
U105
U106
P020
U017
U109
Ulll
P039
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
B6
-------
Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix B: Identification of Hazardous Waste Hazardous Constituents (40 CFR 261, Appendix VIM)
Common Name
Dithiobiuret
Endothall
Endrin
Endrin metabolites
Epichlorohydrin
Epinephrine
Ethyl carbamate (urethane)
Ethyl cyanide
Ethylenebisdithiocarbamic acid
Ethylenebisdithiocarbamic acid,
salts and esters.
Ethylene dibromide
Ethylene dichloride
Ethylene glycol monoethyl ether
Ethyleneimine
Ethylene oxide
Ethylenethiourea
Ethylidene dichloride
Ethyl methacrylate
Ethyl methanesulfonate
Famphur
Fluoranthene
Fluorine
Fluoroacetamide
Formaldehyde
Formic acid
Glycidylaldehyde
Halomethanes, N.O.S.1
Chemical Abstracts Name
Thioimidodicarbonic diamide [(H3N)C(S)]2NH
7-Oxabicyclo[2.2.1]heptane-2,3-dicarboxylic
2,7:3,6-Dimethanonaphth[2,3-b]oxirene, 3,4,5,6,9,9-
hexachloro-la,2,2a,3,6,6a,7,7a- octa-hydro-,
( 1 aalpha,2beta,2abeta,3alpha,6alpha,
6abeta,7beta,7aalpha)- .
Oxirane, (chloromethyl)-
l,2-Benzenediol,4-[l -hy droxy-2-(methy lamino)ethy 1] - ,
(R)-.
Carbamic acid, ethyl ester
Propanenitrile
Carbamodithioic acid, 1,2-ethanediylbis-
Ethane, 1,2-dibromo-
Ethane, 1,2-dichloro-
Ethanol, 2-ethoxy-
Aziridine
Oxirane
2-Imidazolidinethione
Ethane, 1,1-dichloro-
2-Propenoic acid, 2-methyl-, ethyl ester
Methanesulfonic acid, ethyl ester
Phosphorothioic acid, 0-[4-
[(dimethylamino)sulfonyl]phenyl] O,O-di-methyl ester
Same
Same
Acetamide, 2-fluoro-, sodium salt
Same
Same
Oxiranecarboxy aldehyde
Chemical
Abstract No.
541-53-7
145-73-3
72-20-8
106-89-8
51-43-4
51-79-6
107-12-0
111-54-6
106-93-4
107-06-2
110-80-5
151-56-4
75-21-8
96-45-7
75-34-3
97-63-2
65-50-0
52-85-7
206-44-0
7782-41-4
62-74-8
50-00-0
64-18-6
765-34-4
Hazardous
Waste No.
P049
P088
P051
P051
U041
P042
U238
P101
U114
U114
U067
U077
U359
P054
U115
U116
U076
U118
U119
P097
U120
P056
P058
U122
U123
U126
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
B7
-------
Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix B: Identification of Hazardous Waste Hazardous Constituents (40 CFR 261, Appendix VIM)
Common Name
Heptachlor
Heptachlor epoxide
Heptachlor epoxide (alpha, beta, and
gamma isomers).
Heptachlorodibenzofurans
Heptachlorodibenzo-p-dioxins
Hexachlorobenzene
Hexachlorobutadiene
Hexachlorocyclopentadiene
Hexchlorodibenzo-p-dioxins
Hexchlorodibenzofurans
Hexachloroethane
Hexachlorophene
Hexachloropropene
Hexaethyl tetraphosphate
Hydrazine
Hydrogen cyanide
Hydrogen fluoride
Hydrogen sulfide
Indeno[l,2,3-cd]pyrene
Isobutyl alcohol
Isodrin
Isosafrole
Kepone
Lasiocarpine
Lead
Chemical Abstracts Name
4,7-Methano- IH-indene, 1 ,4,5,6,7,8,8-hep-tachloro-
3a,4,7,7a-tetrahydro-.
2,5-Methano-2H-indeno[l,2-b]oxirene, 2,3,4,5,6,7,7-
heptachloro-la,lb,5,5a,6,6a-hexa- hydro-, laalpha, Ibbeta,
2alpha, Salpha, Sabeta, 6beta, 6aalpha)-.
Benzene, hexachloro-
1 ,3-Butadiene, 1 , 1 ,2,3 ,4,4-hexachloro-
1,3-Cyclopentadiene, 1,2,3,4,5,5-hexachloro-
Ethane, hexachloro-
Phenol,2,2'-methylenebis[3,4,6-trichloro-
1 -Propene, 1 , 1 ,2,3 ,3,3-hexachloro-
Tetraphosphoric acid, hexaethyl ester
Same
Hydrocyanic acid
Hydrofluoric acid
Hydrogen sulfide H2S
Same
1-Propanol, 2-methyl-
1,4,5,8-Dimethanonaphthalene, 1,2,3,4,10,10-hexachloro-
l,4,4a,5,8,8a-hexahydro-,
( 1 alpha,4alpha,4abeta,5beta,8beta,8abeta)- .
1,3-Benzodioxole, S-(l-propenyl)-
l,3,4-Methano-2H-cyclobuta[cd]pentalen-2-one,
l,la,3,3a,4,5,5,5a,5b,6-decachlorooctahydro-.
2-Butenoic acid, 2-methyl-, 7-[[2,3-dihydroxy-2-(l-
methoxyethyl)-3-methyl-l-oxobutoxy]methyl]-2,3,5,7a-
tetrahydro-lH-pyrrolizin-1-yl ester, [S-
[lalpha(Z),7(2S*,3R*),7aalpha]]-
Same
Chemical
Abstract No.
76-44-8
118-74-1
87-68-3
77-47-4
67-72-1
70-30-4
1888-71-7
757-58-4
302-01-2
74-90-8
7654-39-3
7738-06-4
193-39-3
78-83-1
465-73-6
120-58-1
143-50-0
303-34-1
7439-92-1
Hazardous
Waste No.
P059
U127
U128
U130
U131
U132
U243
P062
U133
P063
U134
U135
U134
U140
P060
U141
U142
4143
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
B8
-------
Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix B: Identification of Hazardous Waste Hazardous Constituents (40 CFR 261, Appendix VIM)
Common Name
Lead xompounds, N.O.S.1
Lead acetate
Lead phosphate
Lead subacetate
Lindane
Maleic anhydride
Maleic hydrazide
Malononitrile
Melphalan
Mercury
Mercury compounds, N.O.S.1
Mercury fulminate
Methacrylonitrile
Methapyrilene
Methomyl
Methoxychlor
Methyl bromide
Methyl chloride
Methyl chlorocarbonate
Methyl chloroform
3-Methylcholanthrene
4,4'-Methylenebis(2-chloroaniline)
Methylene bromide
Methylene chloride
Methyl ethyl ketone (MEK)
Methyl ethyl ketone peroxide
Methyl hydrazine
Methyl iodide
Methyl isocyanate
Chemical Abstracts Name
Acetic acid, lead(2+) salt
Phosphoric acid, lead(2+) salt (2:3)
Lead, bus(acetato-O)tetrahydroxytri-
Cyciohexane, 1 ,2,3,4,5,6-hexachloro-
,( 1 alpha,2alpha,3beta,4alpha,5alpha,6beta)- .
2,5-Furandione
3,6-Pyridazinedione, 1,2-dihydro-
Propanedinitrile
L-Phenylalanine, 4-[bis(2-chloroethyl)aminol]-.
Same
Fulminic acid, mercury(2+) salt
2Propenenitrile, 2-methyl-
1 ,2-Ethanediamine, NN-dimethyl-N'-2-pyridinyl-N'-(2-
thienylmethyl)-.
Ethanimidothioic acid, N-[[(methylamino)carbonyl]oxy]-,
methyl ester.
Benzene, l,l'-(2,2,2-trichloroethylidene)bis[4-methoxy-.
Methane, bromo-
Methane, chloro-
Carbonochloridic acid, methyl ester
Ethane, 1,1,1-trichloro-
Benz[j]aceanthrylene, l,2-dihydro-3-methyl
Benzenamine, 4,4'-methylenebis[2-chloro-
Methane, dibromo-
Methane, dichloro-
2-Butanone
2-Butanone, peroxide
Hydrazine, methyl-
Methane, iodo-
Methane, isocyanato-
Chemical
Abstract No.
301-04-2
7446-27-7
1335-32-6
58-89-9
108-31-6
123-33-1
109-77-3
148-82-3
7439-97-6
628-86-4
126-98-7
91-80-5
16752-77-5
72-43-5
74-83-9
74-87-3
79-22-1
71-55-6
56-49-5
101-14-4
74-95-3
75-09-2
78-93-3
1338-23-4
60-34-4
74-88-4
624-83-9
Hazardous
Waste No.
U144
U145
U146
U129
U147
U148
U149
U150
U151
P065
U152
U155
P066
U247
U029
U045
U158
U226
U157
U158
U068
U080
U159
U160
P068
U138
P064
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
B9
-------
Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix B: Identification of Hazardous Waste Hazardous Constituents (40 CFR 261, Appendix VIM)
Common Name
2-Methyllactonitrile
Methyl methacrylate
Methyl methanesulfonate
Methyl parathion
Methylthiouracil
Mitomycin C
MNNG
Mustard gas
Naphthalene
1 ,4-Naphthoquinone
alpha-Naphthylamine
beta-Naphthylamine
alpha-Naphthylthiourea
Nickel
Nickel compounds, NO. S.1
Nickel carbonyl
Nickel cyanide
Nicotine
Nicotine salts
Nitric oxide
p-Nitroaniline
Nitrobenzene
Nitrogen dioxide
Nitrogen mustard
Nitrogen mustard, N-oxide, hydro-
chloride salt.
Nitroglycerin
p-Nitrophenol
2-Nitropropane
Chemical Abstracts Name
Propanenitrile, 2-hydroxy-2-methyl-
2-Propenoic acid, 2-methyl-methyl ester
Methanesulfonic acid, methyl ester
Phosphorothioic acid, O,O-dimethyl O-(4-nitrophenyl)
ester.
4(lH)-Pyrimidinone, 2,3-dihydro-6-methyl-2-thioxo-.
Azirino[2',3':3,4]pyrrolo[l,2-a]indole-4,7-dione, 6-amino-
8-[[(aminocarbonyl)oxy]methyl]-l,la,2,8,8a,8b-
hexahydro-8a-methoxy-5-methyl-, [laS-
laalpha,8beta,8aalpha,8balpha)]-.
Guanidine, N-methyl-N-nitro-N-nitroso-
Ethane, l,l'-thiobis[2-chloro-
Same
1 ,4-Naphthalenedione
1-Naphthalenamine
2-Naphthalenamine
Thiourea, 1-naphthalenyl-
Same
Nickel carbonyl Ni(CO)4, (T-4)-
Nickel cyanide Ni(CN)2
Pyridine, 3-(l-methyl-2-pyrrolidinyl)-, (S)-
Nitrogen oxide NO
Benzeneamine, 4-nitro-
Benzene, nitro-
Nitrogen dioxide NO2
Ethanamine, 2-chloro-N-(2-chloroethyl)-N-methyl-, N-
oxide.
1,2,3-Propanetriol, trinitrate
Phenol, 4-nitro-
Propane, 2-nitro-
Chemical
Abstract No.
75-86-5
80-62-6
66-27-3
298-00-0
56-04-2
50-07-7
70-25-7
505-60-2
91-20-3
130-15-4
134-32-7
91-59-8
86-88-4
7440-02-0
13463-39-3
557-19-7
54-11-5
10102-43-9
100-01-6
98-95-3
10102-44-0
51-75-2
55-63-0
100-02-7
79-46-9
Hazardous
Waste No.
P069
U162
P071
U164
U010
U163
U165
U166
U167
U168
P072
P073
P074
P075
P075
P076
P077
U169
P078
P081
U170
U171
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
B10
-------
Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix B: Identification of Hazardous Waste Hazardous Constituents (40 CFR 261, Appendix VIM)
Common Name
Nitrosamines, N.O.S.1
N-Nitosodi-n-butylamine
N-Nitrosodiethanolamine
N-Nitrosodiethylamine
N-Nitrosodimethylamine
N-Nitroso-N-ethylurea
N-Nitrosomethylethylamine
N-Nitroso-N-methylurea
N-Nitroso-N-methylurethane
N-Nitrosomethylvinylamine
N-Nitrosomorpholine
N-Nitrosonomicotine
N-Nitrosopiperidine
N-Nitrosopyrolidine
N-Nitrososarcosine
5-Nitro-o-toluidine
Octamethylpyrophosphoramide
Osmium tetroxide
Paraldehyde
Parathion
Pentachlorobenzene
Pentachlorodibenzo-p-dioxins
Pentachlorodibenzofurans
Pentachloroethane
Pentachloronitrobenzene (PCNB)
Pentachlorophenol
Phenacetin
Phenol
Phenylenediamine
Phenylmercury acetate
Chemical Abstracts Name
1-Butamine, N-butyl-N-nitroso
Ethanol, 2,2'-(nitrosoimino)bis-
Ethanamine, N-ethyl-N-nitroso-
Methanamine, N-methyl-N-nitroso-
Urea, N-ethyl-N-nitroso-
Ethanamine, N-methyl-N-nitoso-
Urea, N-methyl-N-nitroso-
Carbamic acid, methylnitroso, ethyl ester
Vinylamine, N-methyl-N-niroso-
Morpholine, 4-nitroso-
Pyridine, 3-(l-nitroso-2-pyrrolidinyl)-, (S)
Piperidine, 1-nitroso-
Pyrrolidine, 1-nitroso-
Glycine, N-methyl-N-nitroso-
Benzenamine, 2-methyl-5-nitro-
Diphosphoramide, octamethyl-
Osmium oxide OsO4 (T-4)-
1,3,5-Trioxane, 2,4,6-trimethyl-
Phosphorothioic acid, O,O-diethyl O-(4-nitro-phenyl)
ester.
Benzene, pentachloro-
Ethane, pentachloro-
Benzene, pentachloronitro-
Phenol, pentachloro-
Acetamide, N-(4-ethoxyphenyl)-
Same
Benzenediamine
Mercury, (acetato-O)phenyl-
Chemical
Abstract No.
35576-91-1D
924-16-3
1116-54-7
55-18-5
62-75-9
759-73-9
10595-95-6
684-93-5
615-53-2
4549-40-0
59-89-2
16543-55-8
100-75-4
930-55-2
13256-22-9
99-55-8
152-16-9
20816-12-0
123-63-7
56-38-2
608-93-5
76-01-7
82-68-8
87-86-5
62-44-2
108-95-2
25265-76-3
62-38-4
Hazardous
Waste No.
U172
U173
U174
P082
U176
U177
U178
P084
U179
U180
U181
P085
P087
U182
P089
U183
U184
U185
See F027
U187
U188
P092
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
B11
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix B: Identification of Hazardous Waste Hazardous Constituents (40 CFR 261, Appendix VIM)
Common Name
Phenylthiourea
Phosgene
Phosphine
Phorate
Phthalic acid esters, N.O.S.1
Phthalic anhydride
2-Picoline
Polychlorinated biphenyls, N.O.S.1
Potassium cyanide
Potassium silver cyanide
Pronamide
1,3-Propane sultone
n-Propylamine
Propargyl alcohol
Propylene dichloride
1 ,2-Propy lenimine
Propylthiouracil
Pyridine
Reserpine
Resorcinol
Saccharin
Saccharin salts
Safrole
Selenium
Selenium compounds, N.O.S.1
Selenium dioxide
Selenium sulfide
Selenourea
Silver
Silver compounds, N.O.S.1
Chemical Abstracts Name
Thiourea, phenyl-
Carbonic dichloride
Same
Phosphorodithioic, O,O-diethyl S-[(ethylthio)methyl] ester.
1 ,3-Isobenzofurandione
Pyridine, 2-methyl-
Potassium cyanide K(CN)
Argentate(l-), bis(cyano-C)-, potassium
Benzamide, 3,5-dichloro-N-( 1 , 1 -dimethyl-2-propynyl)- .
1,2-Oxathiolane, 2,2-dioxide
1-Propanamine
2-Propyn-l-ol
Propane, 1,2-dichloro-
Aziridine, 2-methyl-
4(lH)-Pyrimidinone, 2,3-dihydro-6-propyl-2 thioxo-.
Same
Yohimban-16-carboxylic acid, ll,17-dimeth-oxy-18-
[(3,4,5-trimethoxybenzoyl)oxy]-smethyl ester,
(Sbeta, 1 6beta, 1 Valpha, 1 8beta,20alpha> .
1,3-Benzenediol
1 ,2-Benzisothiazol-3(2H)-one, 1 ,1 -dioxide
1,3-Benzodioxole, 5-(2-propenyl)-
Same
Selenious acid
Selenium sulfide SeS2
Same
Same
Chemical
Abstract No.
103-85-5
75-44-5
7803-51-2
298-02-2
85-44-9
109-06-8
151-50-8
506-61-6
23950-58-5
1120-71-4
107-10-8
107-19-7
78-87-5
75-55-8
51-52-5
110-86-1
50-55-5
108-46-3
81-07-2
94-59-7
7782-49-2
7783-00-8
7488-56-4
630-10-4
7440-22-4
Hazardous
Waste No.
P093
P095
P096
P094
U190
U191
P098
P099
U192
U193
U194
P102
U083
P067
U196
U200
U201
U202
U202
U203
U204
U205
P103
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
B12
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix B: Identification of Hazardous Waste Hazardous Constituents (40 CFR 261, Appendix VIM)
Common Name
Silver cyanide
Silvex (2,4,5-TP)
Sodium cyanide
Streptozotocin
Strychnine
Strychnine salts
TCDD
1,2,4,5-Tetrachlorobenzene
Tetrachlorodibenzo-p-dioxins
Tetracholodibenzofurans
Tetrachloroethane, N.O.S.1
1,1,1 ,2-Tetrachloroethane
1,1,2,2-Tetrachloroethane
Tetrachloroethylene
2,3,4,6-Tetrachlorophenol
Tetraethyldithiopyrophosphate
Tetraethyl lead
Tetraethyl pyrophosphate
Tetranitromethane
Thallium
Thallium compounds, N.O.S. 1
Thallic oxide
Thallium(l) acetate
Thallium(l) carbonate
Thallium(l) chloride
Thallium(l) nitrate
Thallium selenite
Thallium(l) sulfate
Thioacetamide
Thiofanox
Chemical Abstracts Name
Silver cyanide Ag(CN)
Propanoic acid, 2-(2,4,5-trichlorophenoxy)-
Sodium cyanide Na(CN)
D-Glucose, 2-deoxy-2-
[[(methylnitrosoamino)carbonyl]amino]-.
Strychnidin- 1 0-one
Dibenzob,e][l,4]dioxin,2,3,7,8-tetrachloro-
Benzene, 1,2,4,5-tetrachloro-
Ethane, tetrachloro-, N.O.S.
Ethane, 1,1,1,2-tetrachloro-
Ethane, 1,1,2,-tetrachloro-
Ethene, tetrachloro-
Phenol, 2,3,4,6-tetrachloro-
Thiodiphosphoric acid, tertaethyl ester
Plumbane, tetraethyl-
Diphosphoric acid, tetraethyl ester
Methane, tetranitro-
Same
Thallium oxide T12O3
Acetic acid, thallium(l+) salt
Carbonic acid, dithallium(l+) salt
Thallium chloride T1C1
Nitric acid, thallium(l+) salt
Selenious acid, dithallium(l+) salt
Sulfuric acid, dithallium(l+) salt
Ethanethioamide
2-Butanone, 3,3-dimethyl-l-(methylthio)-, )-
[(methylamino)carbonyl] oxime.
Chemical
Abstract No.
506-64-9
93-72-1
143-33-9
18883-66-4
57-24-9
1746-01-6
95-94-3
25322-20-7
630-20-6
79-34-5
127-18-4
58-90-2
3689-24-5
78-00-2
107-49-3
509-14-8
7440-28-0
1314-32-5
563-68-8
6533-73-9
7791-12-0
10102-45-1
12039-52-0
7446-18-6
62-55-5
39196-18-4
Hazardous
Waste No.
P104
See F027
P106
U206
P108
P108
U207
U208
U209
U210
See F027
P109
P110
Pill
P112
P113
U214
U215
U216
U217
P114
P115
U218
P045
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
B13
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix B: Identification of Hazardous Waste Hazardous Constituents (40 CFR 261, Appendix VIM)
Common Name
Thiomethanol
Thiophenol
Thiosemicarbazide
Thiourea
Thiram
Toluene
Toluenediamine
Toluene-2,4-diamine
Touene-2,6-diamine
Toluene-3,4-diamine
Toluene diisocyanate
o-Toluidine
o-Toluidine hydrochloride
p-Toluidine
Toxaphene
1 ,2,4-Trichlorobenzene
1,1,2-Trichloroethane
Trichloroethylene
Trichloromethanethiol
Trichloromonofluoromethane
2,4,5-Trichlorophenol
2,4,6-Trichlorophenol
2,4,5-1
Trichloropropane, N.O.S.1
1 ,2,3-Trichloropropane
O,O,O-Triethyl phosphorothioate
1,3,5-Tri nitrobenzene
Tris(l-aziridinyl)phosphine sulfide
Tris(2,3-dibromopropyl) phosphate
Chemical Abstracts Name
Methanethiol
Benzenethiol
Hydrazinecarbothioamide
Same
Thioperoxydicarbonic diamide [(H2N)C(S)]2S2 tetramethyl-
Benzene, methyl-
Benzenediamine, ar-methyl-
1,3-Benzenediamine, 4-methyl-
1,3-Benzenediamine, 2-methyl-
1,2-Benzenediamine, 4-methyl-
Benzene, 1,3-diisocyanatomethyl-
Benzenamine, 2-methyl-
Benzenamine, 2-methyl-, hydrochloride
Benzenamine, 4-methyl-
Same
Benzene, 1,2,4-trichloro
Ethane, 1,1,3-trichloro-
Ethene, trichloro-
Methanethiol, trichloro-
Methane, trichlorofluoro-
Phenol, 2,4,5-trichloro-
Phenol, 2,4,6-trichloro-
Acetic acid, (2,4,5-trichlorophenoxy)-
Propane, 1,2,3-trichloro-
Phosphorothioic acid, O,O,O-triethyl ester
Benzene, 1,3,5-trinitro-
Aziridine, l,l',l"-phosphinothioylidynetris-
1-Propanol, 2,3-dibromo-, phosphate (3:1)
Chemical
Abstract No.
74-93-1
108-98-5
79-19-6
62-56-6
137-26-8
108-88-3
25376-45-8
95-80-7
823-40-5
496-72-0
26471-62-5
95-53-4
636-21-5
106-49-0
8001-35-2
120-82-1
79-00-5
79-01-6
75-70-7
75-69-4
95-95-4
88-06-2
93-76-5
25735-29-9
96-18-4
126-68-1
99-35-4
126-72-7
Hazardous
Waste No.
U153
POM
P116
U219
U244
U220
U221
U223
U328
U222
U353
P123
U227
U228
P118
U121
See F027
See F027
See F027
U234
U235
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
B14
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix B: Identification of Hazardous Waste Hazardous Constituents (40 CFR 261, Appendix VIM)
Common Name
Trypan blue
Uracil mustard
Vanadium pentoxide
Vinyl chloride
Warfarin
Warfarin salts, when present at
concentrations less than 0.3%.
Warfarin salts, when present at
concentrations greater than 0.3%
Zinc cyanide
Zinc phosphide
Zinc phosphide
Chemical Abstracts Name
2,7-Naphthalenedisulfonic acid, 3,3'-[(3,3'-di methyl[l,l'-
biphenyl]-4,4'-diyl)bis(azo)]-bis[5-amino-4-hydroxy-,
tetrasodium salt.
2,4-(lH,3H)-Pyrimidinedione, 5-[bis(2-
chloroethyl)amino]-.
Vanadium oxide V2O5
Ethene, chloro-
2H- 1 -Benzopyran-2-one, 4-hydroxy-3-(3-oxo- 1 -
phenylbutyl)-, when present at concentrations greater than
0.3%.
Zinc cyanide Zn(CN)2
Zinc phosphide Zn3P2, when present at concentrations
greater than 10%.
Zinc phosphide Zn3P2, when present at concentrations of
10% or less.
Chemical
Abstract No.
72-57-1
66-75-1
13-14-62-1
75-01-4
81-81-2
557-21-1
1314-84-7
1314-84-7
Hazardous
Waste No.
U236
U237
P120
U043
U248
U248
P001
P121
P122
U248
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
B15
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix B: Identification of Hazardous Waste Hazardous Constituents (40 CFR 261, Appendix VIM)
THIS PAGE INTENTIONALLY LEFT BLANK
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein. B16
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Protocol for Conducting Environmental Compliance Audits of
Hazardous Waste Generators under the Resource Conservation
and Recovery Act
Appendix C:
Commercial Chemical Products or Manufacturing Chemical
Intermediates Identified as Acute Hazardous Waste
(40 CFR 261.33(a) through 261.33(e))
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix C: Commercial Chemical Products or Manufacturing Chemical Intermediates Identified as Acute
Hazardous Waste (40 CFR 261.33(a) through 261.33(e))
(COMMENT: Primary hazardous properties of these materials have been indicated by the letters (t) (toxicity), and (r) (reactivity); absence
of a letter indicates that the compound only is listed for acute toxicity.)
Hazardous Waste No.
P023
P002
P057
P058
P002
POOS
P070
P004
POOS
P006
P007
POOS
P009
P119
P099
P010
P012
P011
P011
P012
P038
P036
P054
P067
P013
P024
P077
P028
P042
Substance
Acetaldehyde, chloro-
Acetamide, N-(aminothioxomethyl)-
Acetamide, 2-fluoro-
Acetic acid, fluoro-, sodium salt
1 -Acetyl-2-thiourea
Acrolein
Aldicarb
Aldrin
Allyl alcohol
Aluminum phosphide (r,t)
5-(Aminomethyl)-3-isoxazolol
4-Aminopyridine
Ammonium picrate (r)
Ammonium vanadate
Argebtate(l), bis(cyano-C)-, potassium
Arsenic acid H3AsO4
Arsenic oxide As2O3
Arsenic oxide As2O5
Arsenic pentoxide
Arsenic trioxide
Arsine, diethyl
Arsonous dichloride, phenyl
Aziridine
Aziridine, 2-methyl
Barium cyanide
Benzenamine, 4-chloro-
Benzenamine, 4-nitro-
Benzene, (chloromethyl)-
1,2-Benzenediol, 4-[l-hydroxy- 2-(methylamino)ethyl]- (r)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
C1
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix C: Commercial Chemical Products or Manufacturing Chemical Intermediates Identified as Acute
Hazardous Waste (40 CFR 261.33(a) through 261.33(e))
Hazardous Waste No.
P046
POM
P001
P028
P015
P016
P017
P018
P021
P021
P022
P095
P023
P024
P026
P027
P029
P029
P030
P031
P033
P033
P034
P016
P036
P037
P038
P041
P040
P043
Substance
Benzeneethanamine, alpha,alpha- dimethyl- (r)
Benzenethiol
2H-l-Benzopyran-2-one,4-hydroxy-3- (3-oxo-l-phenylbutyl)-, and salts when present at
concentrations greater than 0.3%
Benzyl chloride
Beryllium powder
Bis(chloromethyl)ether
Bromoacetone
Brucine
Calcium cyanide
Calcium cyanide Ca(CN)2
Carbon disulfide
Carbonic dichloride
Chloroacetaldehyde
p-Chloroaniline
1 -(o-Chlorophenyl)thiourea
3-Chloropropionitrile
Copper cyanide
Copper cyanide Cu(CN)
Cyanides (soluble cyanide salts), n.o.s.
Cyanogen
Cyanogen chloride
Cyanogen chloride (CN)C1
2-Cyclohexyl-4,6-dinitrophenol
Dichloromethyl ether
Dichlorophenylarsine
Dieldrin
Diethylarsine
Diethyl-p-nitrophenyl phosphate
O,O-Diethyl O-pyrazinyl phosphorothioate
Diisopropyl fluorophosphate (DEP)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
C2
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix C: Commercial Chemical Products or Manufacturing Chemical Intermediates Identified as Acute
Hazardous Waste (40 CFR 261.33(a) through 261.33(e))
Hazardous Waste No.
P004
P060
P037
P051
P044
P045
P046
P047
P048
P020
P085
Pill
P039
P049
P050
P088
P051
P051
P042
P031
P066
P101
P054
P097
P056
P057
P058
P065
P059
Substance
l,4:5,8-Dimethanonapthalene, 1,2,3 ,4,10, 10-hexachloro-l,4,4a,5,8,8a- hexahydro,
4alpha,4abeta,5alpha, 8alpha,8abeta)-
l,4:5,8-Dimethanonapthalene, 1,2,3 ,4,10,10-hexachloro-l,4,4a,5,8,8a- hexahydro-
4alpha,4abeta,5beta, 8beta,8abeta)-
(1 alpha,
, (1 alpha,
2,7:3,6-Dimethanonapth[2,3b]oxirane, 3,4,5,6 ,9,9- hexachloro-la,2,2a,3, 6,6a,7,7a-octahydro-,(l-
aalpha, 2beta,2aalpha,3beta,6beta,6aalpha, 7beta,7aalpha)-
2,7:3,6-Dimethanonapth[2,3b]oxirane, octahydro, (laalpha,2beta,2abeta,
3alpha,6alpha,6abeta,7beta,7aalpha)-
Dimethoate
3,3-Dimethyl-l-(methylthio)-2-butanone, O-[(methylamino)carbonyl]oxime
alpha,alpha-Dimethylphenethylamine
4,6-Dinitro-o-cresol and salts
2,4-Dinitrophenol
Dinoseb
Diphosphoramide,octamethyl-
Diphosphoric acid, tetraethyl ester
Disulfoton
Dithiobiuret
Endosulfan
Endothall
Endrin
Endrin and metabolites
Epinephrine
Ethanedinitrile
Ethanimidothioic acid, N-[[(methylamino)carbony] oxy]-, methyl ester
Ethyl cyanide
Ethyleneimine
Famphur
Fluorine
Fluoroacetamide
Fluoroacetic acid, sodium salt
Fulminic acid,mercury(2+)salt (r,t)
Heptachlor
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
C3
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix C: Commercial Chemical Products or Manufacturing Chemical Intermediates Identified as Acute
Hazardous Waste (40 CFR 261.33(a) through 261.33(e))
Hazardous Waste No.
P062
P116
P068
P063
P063
P096
P064
P060
P007
P092
P065
P082
P064
P016
PI 12
P118
P050
P059
P066
P068
P064
P069
P071
P072
P073
P073
P074
P074
P075
P076
Substance
Hexaethyl tetraphosphate
Hydrazinecarbothioamide
Hydrazine, methyl-
Hydrocyanic acid
Hydrogen cyanide
Hydrogen phosphide
Isocyanic acid, methyl ester
Isodrin
3(2H)-Isoxazolone, 5-(aminomethyl)-
Mercury (acetato-O)phenyl-
Mercury fulminate (r,t)
Methanamine, N-methyl-N-nitroso
Methane, isocyanato-
Methane, oxybis[chloro-
Methane, tetranitro- (r)
Methanethiol, trichloro-
6,9-Methano-2,4,3-benzodioxathlepen, 6,7,8,9,10,10-hexachloro- l,5,5a,6,9,9a-hexahydro-,3-
oxide
4,7-Methano-lH-indene, 1,4,5,6,7,8,8- heptachloro-3a,4,7,7a-tetrahydro-
Methomyl
Methyl hydrazine
Methyl isocyanate
2-Methyllactonitrile
Methyl parathion
alpha-Naphthylthiourea
Nickel carbonyl
Nickel carbonyl, (T-4)-
Nickel cyanide
Nickel cyanide Ni(CN)2
Nicotine and salts
Nitric oxide
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
C4
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix C: Commercial Chemical Products or Manufacturing Chemical Intermediates Identified as Acute
Hazardous Waste (40 CFR 261.33(a) through 261.33(e))
Hazardous Waste No.
P077
P078
P076
P078
P081
P082
P084
P074
P085
P087
P087
P088
P089
P034
P048
P047
P020
P009
P092
P093
P094
P095
P096
P041
P039
P094
P044
P043
P089
P040
P097
Substance
p-Nitroaniline
Nitrogen dioxide
Nitrogen oxide NO
Nitrogen oxide
Nitroglycerine (r)
N-Nitrosodimethylamine
N-Nitrosomethylvinylamine
Nickel cyanide
Octamethylpyrophosphoramide
Osmium oxide
Osmium tetroxide
7-Oxabicyclo[2.2.1]heptane-2,3- dicarboxylic acid
Parathion
Phenol, 2-cyclohexyl-4,6-dinitro
Phenol, 2,4-dinitro
Phenol, 2-methyl-4,6-dinitro- and salts
Phenol, 2-(l-methylpropyl)-4,6-dinitro
Phenol, 2,4,6-trinitro-, ammonium salt (r)
Phenylmercury acetate
Phenylthiourea
Phorate
Phosgene
Phosphine
Phosphoric acid, diethyl 4- nitrophenyl ester
Phosphorodithioic acid, O,O-diethyl S-[2-(ethylthio)ethyl] ester
Phosphorodithioic acid, O,O-diethyl S-[(ethylthio)methyl] ester
Phosphorodithioic acid, O,O-dimethyl S[2-(methylamino)-2-oxoethyl] ester
Phosphorofluoric acid, bis(l-methylethyl) -ester
Phosphorothioic acid, O,O-diethyl O- (4-nitrophenyl) ester
Phosphorothioic acid, O,O-diethyl O- pyrazinyl ester
Phosphorothioic acid, O-[4-[(dimethylamino) sulfonyljphenyl] O,O-dimethyl ester
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
C5
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix C: Commercial Chemical Products or Manufacturing Chemical Intermediates Identified as Acute
Hazardous Waste (40 CFR 261.33(a) through 261.33(e))
Hazardous Waste No.
P071
P110
P098
P098
P099
P070
P101
P027
P069
P081
P017
P102
POOS
POOS
P067
P102
POOS
P075
P103
P104
P104
P105
P106
P106
P108
P018
P108
P115
P109
P110
Pill
Substance
Phosphorothioic acid, O,O-dimethyl O- (4-nitrophenyl) ester
Plumbane, tetraethyl-
Potassium cyanide
Potassium cyanide K(CN)
Potassium silver cyanide
Propanal, 2-methyl-2-(methylthio)-, O-[(methylamino)carbonyl]oxime
Propanenitrile
Propanenitrile, 3-chloro-
Propanenitrile, 2-hydroxy-2-methyl
1,2,3-Propanetriol, trinitrate (r)
2-Propanone, 1-bromo-
Propargyl alcohol
2-Propenal
2-Propen- 1 -ol
1 ,2-Propy lenimine
2-Propyn-l -ol
4-Pyridinamine
Pyridine, (S)-3-(l-methyl-2-pyrrolidinyl)-,(S)-, and salts
Selenourea
Silver cyanide
Silver cyanide Ag(CN)
Sodium azide
Sodium cyanide
Sodium cyanide Na(CN)
Strychnidin-10-one, and salts
Strychnidin 10-one, 2,3-dimethoxy-
Strychnine and salts
Sulfuric acid, dithallium(l) salt
Tetraethyldithiopyrophosphate
Tetraethyl lead
Tetraethylpyrophosphate
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
C6
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix C: Commercial Chemical Products or Manufacturing Chemical Intermediates Identified as Acute
Hazardous Waste (40 CFR 261.33(a) through 261.33(e))
Hazardous Waste No.
PI 12
P062
P113
P113
P114
P115
P109
P045
P049
POM
P116
P026
P072
P093
P123
P118
P119
P120
P120
P084
P001
P121
P121
P122
Substance
Tetranitromethane (r)
Tetraphosphoric acid, hexaethyl ester
Thallic oxide
Thallium(lll) oxide
Thallium(l) selenite
Thallium(l) sulfate
Thiodiphosphoric acid, tetraethyl ester
Thiofanox
Thiomidodicarbonic diamide
Thiophenol
Thiosemicarbazide
Thiourea, (2-chlorophenyl)-
Thiourea, 1-naphthalenyl-
Thiourea, phenyl-
Toxaphene
Trichloromethanethiol
Vanadic acid, ammonium salt
Vanadium oxide V2O3
Vanadium pentoxide
Vinylamine, N-methyl-N-nitroso
Warfarin and salts, when present at concentrations greater than 0.3%
Zinc cyanide
Zinc cyanide Zn(CN)2
Zinc phosphide Zn3P2, when present at concentrations greater than 0.3%
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
C7
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix C: Commercial Chemical Products or Manufacturing Chemical Intermediates Identified as Acute
Hazardous Waste (40 CFR 261.33(a) through 261.33(e))
THIS PAGE INTENTIONALLY LEFT BLANK
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein. C8
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Protocol for Conducting Environmental Compliance Audits of
Hazardous Waste Generators under the Resource Conservation
and Recovery Act
Appendix D:
Potentially Incompatible Hazardous Wastes
(40 CFR 264, Appendix V)
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix D: Potentially Incompatible Hazardous Wastes (40 CFR 264, Appendix V)
Below are examples of potentially incompatible wastes and waste components along with the harmful consequences
that result from mixing wastes in one group with wastes in another group. The list is intended as a guide to indicate the
need for special precautions when managing these potentially incompatible waste materials or components. This list is
not intended to be exhaustive. Operators must, as the regulations require, adequately analyze their wastes so they can
avoid creating uncontrolled substances or reactions of the type listed below, whether listed below or not.
In the lists below, the mixing of a Group A material with a Group B material may have the potential consequences as
noted.
Group1-A
Group 1-B
Acetylene sludge
Alkaline caustic liquids
Alkaline cleaner
Alkaline corrosive liquids
Alkaline corrosive battery acid
Caustic wastewater
Lime sludge and other corrosive alkalies
Lime wastewater
Lime and water
Spent caustic
Acid sludge
Acid and water
Battery acid
Chemical cleaners
Electrolyte, acid
Etching acid liquid or solvent
Pickling liquor and other corrosive acids
Spent acid
Spent mixed acid
Spent sulfuric acid
Potential Consequences: Heat generation, violent reaction.
Group 2-A
Group 2-B
Aluminum
Beryllium
Calcium
Lithium
Magnesium
Potassium
Sodium
Zinc powder
Other reactive metals and metal hydrides
Any waste in Group 1-A or 1-B
Potential Consequences: Fire or explosion; generation of flammable hydrogen gas.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
D1
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix D: Potentially Incompatible Hazardous Wastes (40 CFR 264, Appendix V)
Group 3-A
Group 3-B
Alcohols
Water
Any concentrated waste in
Groups 1-A or 1-B
Calcium
Lithium
Metal hydrides
Potassium
SO2-CI2, SOCI1; PCI3, CH3SICI3
Other water-reactive waste
Potential Consequences: Fire, explosion, or heat generation; generation of flammable or toxic gases.
Group 4-A
Group 4-B
Alcohols
Aldehydes
Halogenated hydrocarbons
Nitrated hydrocarbons
Unsaturated hydrocarbons
Other reactive organic compounds and solvents
Concentrated Group 1-A or Group 1-B wastes
Group 2-A wastes
Potential Consequences: Fire, explosion, or violent reaction.
Group 5-A
Spent cyanide and sulfide solutions
Group 5-B
Group 1-B wastes
Potential Consequences: Generation of toxid hydrogen cyanide, or hydrogen sulfide gas.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
D2
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix D: Potentially Incompatible Hazardous Wastes (40 CFR 264, Appendix V)
Group 6-A
Group 6-B
Chlorates
Chlorine
Chlorites
Chromic acid
Hypochlorites
Nitrates
Nitric acid, fuming
Perchlorates
Permanganates
Peroxides
Other strong oxidizers
Acetic acid and other organic acids
Concentrated mineral acids
Group 2-A wastes
Group 4-A wastes
Other flammable and combustible wastes
Potential Consequences: Fire, explosion, or violent reaction.
"Law, Regulations, and Guidelines for Handling of Hazardous Waste," California Department of Health, February
1975.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
D3
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix D: Potentially Incompatible Hazardous Wastes (40 CFR 264, Appendix V)
THIS PAGE INTENTIONALLY LEFT BLANK
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein. D4
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Protocol for Conducting Environmental Compliance Audits of
Hazardous Waste Generators under the Resource Conservation
and Recovery Act
Appendix E:
Land Disposal Restricted Wastes and Their Effective Dates
(40 CFR 268, Appendix VII)
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
Table 1 - Land Disposal Restricted Wastes and Their Effective Dates
Waste Code
California list
California list
California list
California list
California list
RCRA Hazardous Wastes
RCRA Listed Wastes
D001
D002
D003
D004
D004
D005
D006
D007
D007
D008
D008
D009
D010
D011
D012
D013
DOM
D015
D016
Waste Category
Liquid hazardous wastes, including free liquids associated with solid
or sludge, containing free cyanides at concentrations greater than or
equal to 1000 mg/L or certain metals or compounds of these metals
greater than or equal to the prohibition levels.
Liquid (aqueous) hazardous wastes having a pH less than or equal to
2.
Dilute HOC wastewaters, defined as HOC-waste mixtures that are
primarily water and that contain greater than or equal to 1000 mg/L
but less than 10,000 mg/L.
Liquid hazardous waste containing PCBs greater than or equal to 50
ppm.
Other liquid and nonliquid hazardous wastes containing HOCs in
total concentration greater than or equal to 1000 mg.
Those that contain naturally occurring radioactive materials.
Mixed radioactive/hazardous wastes.
All
All
All
Wastewater
Nonwaste waters
Nonwaste water
All
All
All
Lead materials before secondary smelting
All others
Nonwaste water
All
All
All
All
All
All
All
Effective Date
8 July 1987
8 July 1987
8 July 1987
8 July 1987
8Novl988
8 May 1992
8 May 1992
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 May 1992
8 May 1992
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 May 1992
8 Aug 1990
8 May 1992
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
E1
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
Waste Code
D017
F001
F001
F002 (1,1,2 -trichloroethane)
F002
F002
F003
F003
F004
F004
F005 (benzene, 2-ethoxy
ethanol, 2-nitropropane).
F005
F005
F006
F006
F006 (cyanides)
F007
F008
F009
F010
F011 (cyanides)
F011
F012 (cyanides)
F012
F019
Waste Category
All
Small quantity generators, CERCLA response/RCRA corrective
action, initial generator's solvent-water mixtures, solvent-containing
sludges and solids.
All others
Wastewater and Nonwastewater
Small quantity generators, CERCLA response/RCRA corrective
action, initial generator's solvent-water mixtures, solvent-containing
sludges and solids.
All others
Small quantity generators, CERCLA response/RCRA corrective
action, initial generator's solvent-water mixtures, solvent-containing
sludges and solids.
All others
Small quantity generators, CERCLA response/RCRA corrective
action, initial generator's solvent-water mixtures, solvent-containing
sludges and solids.
All others
Wastewater and Nonwastewater
Small quantity generators, CERCLA response/RCRA corrective
action, initial generator's solvent-water mixtures, solvent-containing
sludges and soils.
All others
Wastewater
Nonwastewater
Nonwastewater
All
All
All
All
Nonwastewater
All others
Nonwastewater
All others
All
Effective Date
8 Aug 1990
8Novl988
8Novl986
8 Aug 1990
8Novl988
8Novl986
8Novl988
8Novl986
8Novl988
8Novl986
8 Aug 1990
8Novl988
8Novl986
8 Aug 1990
8 Aug 1988
8 July 1989
8 July 1989
8 July 1989
8 July 1989
8 June 1989
8 Dec 1986
8 July 1989
8 Dec 1989
8 July 1989
8 Aug 1990
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
E2
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
Waste Code
F020
F021
F022
F023
F024 (metals)
F024 (metals)
F024
F025
F026
F027
F028
F039
F039
K001 (organics)"
K001
K002
K003
K004
K004C
K005
K005C
K006
K007
K007C
K008
K008C
K009
K010
K011
K011
K013
Waste Category
All
All
All
All
Wastewater
Nonwaste water
All others
All
All
All
All
Wastewater
Nonwaste water
All
All others
All
All
Wastewater
Nonwaste water
Wastewater
Nonwaste water
All
Wastewater
Nonwaste water
Wastewater
Nonwaste water
All
All
Wastewater
Nonwaste water
Wastewater
Effective Date
8Novl988
8Novl988
8Novl988
8Novl988
8 June 1989
8 Aug 1990
8 June 1989
8 Aug 1990
8Novl988
8Novl988
8Novl988
8 Aug 1990
8 May 1992
8 Aug 1988
8 Aug 1988
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 June 1989
8 Aug 1990
8 Aug 1990
8 June 1989
8 Aug 1990
8 Aug 1988
8 June 1989
8 June 1989
8 Aug 1990
8 June 1989
8 Aug 1990
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
E3
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
Waste Code
K013
K014
K014
K015
K015
K016
K017
K018
K019
K020
K021
K021C
K022
K022
K023
K024
K025
K025C
K026
K027
K028 (metals)
K028
K029
K029
K030
K031
K031
K032
K033
K034
K035
Waste Category
Nonwaste water
Wastewater
Nonwaste water
Wastewater
Nonwaste water
All
All
All
All
All
Wastewater
Nonwaste water
Wastewater
Nonwaste water
All
All
Wastewater
Nonwaste water
All
All
Nonwaste water
All others
Wastewater
Nonwaste water
All
Wastewater
Nonwaste water
All
All
All
All
Effective Date
8 June 1989
8 Aug 1990
8 June 1989
8 Aug 1988
8 Aug 1990
8 Aug 1988
8 Aug 1990
8 Aug 1988
8 Aug 1988
8 Aug 1988
8 Aug 1990
8 Aug 1988
8 Aug 1990
8 Aug 1988
8 June 1989
8 Aug 1988
8 Aug 1990
8 Aug 1988
8 Aug 1990
8 June 1989
8 Aug 1990
8 June 1989
8 Aug 1990
8 June 1989
8 Aug 1990
8 Aug 1990
8 May 1992
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
E4
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
Waste Code
K036
K036c
K037"
K037
K038
K039
K040
K041
K042
K043
K044C
K045C
K046 (Nonreactive)
K046
K047
K048
K048
K049
K049
K050
K050
K051
K051
K052
K052
K060
K060C
K061
K061
K062
K069 (Non-Calcium Sulfate)0
Waste Category
Wastewater
Nonwaste water
Wastewater
Nonwaste water
All
All
All
All
All
All
All
all
Nonwaste water
All others
All
Wastewater
Nonwaste water
Wastewater
Nonwaste water
Wastewater
Nonwaste water
Wastewater
Nonwaste water
Wastewater
Nonwaste water
Wastewater
Nonwaste water
Wastewater
Nonwastewater (low zinc) (interim standard for high zinc remains in
effect until 7 Aug 1991).
All
Nonwastewater
Effective Date
8 June 1989
8 Aug 1988
8 Aug 1988
8 Aug 1988
8 June 1989
8 June 1989
8 June 1989
8 Aug 1990
8 Aug 1990
8 June 1989
8 Aug 1988
8 Aug 1988
8 Aug 1988
8 Aug 1990
8 Aug 1988
8 Aug 1990
8Novl990
8 Aug 1990
8Novl990
8 Aug 1990
8Novl990
8 Aug 1990
8Novl990
8 Aug 1990
8Novl990
8 Aug 1990
8 Aug 1988
8 Aug 1990
8 Aug 1988
8 Aug 1988
8 Aug 1988
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
E5
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
Waste Code
K069
K071
K073
K083
K084
K084
K085
K086 (organics)"
K086
K087
K093
K094
K095
K095
K096
K096
K097
K098
K099
K100
K100C
K101 (organics)
K101 (metals)
K101 (organics)
K101 (metals)
K102 (organics)
K102 (metals)
K102 (organics)
K102 (metals)
K103
K104
Waste Category
All others
All
All
All
Wastewater
Nonwaste water
All
All
All others
All
All
All
Wastewater
Nonwaste water
Wastewater
Nonwaste water
All
All
All
Wastewater
Nonwaste water
Wastewater
Wastewater
Nonwaste water
Nonwaste water
Wastewater
Wastewater
Nonwaste water
Nonwaste water
All
All
Effective Date
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 May 1992
8 Aug 1990
8 Aug 1988
8 Aug 1988
8 Aug 1988
8 June 1989
8 June 1989
8 Aug 1990
8 June 1989
8 Aug 1990
8 June 1989
8 Aug 1990
8 Aug 1990
8 Aug 1988
8 Aug 1990
8 Aug 1988
8 Aug 1988
8 Aug 1990
8 Aug 1988
8 May 1992
8 Aug 1988
8 Aug 1990
8 Aug 1988
8 May 1992
8 Aug 1988
8 Aug 1988
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
E6
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
Waste Code
K105
K106
K106
K113
K114
K115
K116
P001
P002
POOS
P004
POOS
P006
P007
POOS
P009
P010
P010
P011
P011
P012
P012
P013 (barium)
P013
POM
P015
P016
P017
P018
P020
P021
Waste Category
All
Wastewater
Nonwaste water
All
All
All
All
All
All
All
All
All
All
All
All
All
Wastewater
Nonwaste water
Wastewater
Nonwaste water
Wastewater
Nonwaste water
Nonwaste water
All others
All
All
All
All
All
All
All
Effective Date
8 Aug 1990
8 Aug 1990
8 May 1992
8 June 1989
8 June 1989
8 June 1989
8 June 1989
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 May 1992
8 Aug 1990
8 May 1992
8 Aug 1990
8 May 1992
8 Aug 1990
8 June 1989
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 June 1989
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
E7
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
Waste Code
P022
P023
P024
P026
P027
P028
P029
P030
P031
P033
P034
P036
P036
P037
P038
P038
P039
P040
P041
P042
P043
P044
P045
P046
P047
P048
P049
P050
P051
P054
P056
Waste Category
All
All
All
All
All
All
All
All
All
All
All
Wastewater
Nonwaste water
All
Wastewater
Nonwaste water
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
Effective Date
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 June 1989
8 June 1989
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 May 1992
8 Aug 1990
8 Aug 1990
8 May 1992
8 June 1989
8 June 1989
8 June 1989
8 Aug 1990
8 June 1989
8 June 1989
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
E8
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
Waste Code
P057
P058
P059
P060
P062
P063
P064
P065
P065
P066
P067
P068
P069
P070
P071
P072
P073
P074
P075
P076
P077
P078
P079
P081
P082
P084
P085
P087
P088
P089
P092
Waste Category
All
All
All
All
All
All
All
Wastewater
Nonwaste water
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
Wastewater
Effective Date
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 June 1989
8 June 1989
8 Aug 1990
8 Aug 1990
8 May 1992
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 June 1989
8 Aug 1990
8 Aug 1990
8 June 1989
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 June 1989
8 May 1992
8 Aug 1990
8 June 1989
8 Aug 1990
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
E9
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
Waste Code
P092
P093
P094
P095
P096
P099 (silver)
P099
P101
P102
P103
PI 04 (silver)
P104
P105
P106
P108
P109
P110
Pill
PI 12
P113
P114
P115
P116
P118
P119
P120
P121
P122
P123
U001
U002
Waste Category
Nonwaste water
All
All
All
All
Wastewater
All others
All
All
All
Wastewater
All others
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
Effective Date
8 May 1992
8 Aug 1990
8 June 1989
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 June 1989
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 June 1989
8 Aug 1990
8 June 1989
8 Aug 1990
8 June 1989
8 Aug 1990
8 June 1989
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 June 1989
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
E10
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
Waste Code
U003
U004
U005
U006
U007
U008
U009
U010
U011
U012
U014
U015
U016
U017
U018
U019
U020
U021
U022
U023
U024
U025
U026
U027
U028
U029
U030
U031
U032
U033
U034
Waste Category
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
Effective Date
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 June 1989
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
E11
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
Waste Code
U035
U036
U037
U038
U039
U041
U042
U043
U044
U045
U046
U047
U048
U049
U050
U051
U052
U053
U055
U056
U057
U058
U059
U060
U061
U062
U063
U064
U066
U067
U068
Waste Category
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
Effective Date
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 June 1989
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
E12
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
Waste Code
U069
U070
U071
U072
U073
U074
U075
U076
U077
U078
U079
U080
U081
U082
U083
U084
U084
U085
U086
U087
U088
U089
U090
U091
U092
U093
U094
U095
U096
U097
U098
Waste Category
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
Effective Date
8 June 1989
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 June 1989
8 June 1989
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
E13
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
Waste Code
U099
U101
U101
U103
U105
U106
U107
U108
U109
U110
mil
U112
U113
U114
U115
U116
U117
U118
U119
U120
U121
U122
U123
U124
U125
U126
U127
U128
U129
U130
U131
Waste Category
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
Effective Date
8 Aug 1990
8 Aug 1990
8 June 1989
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 June 1989
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
E14
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
Waste Code
U132
U133
U134
U135
U136
U136
U137
U138
U140
U141
U142
U143
U144
U145
U146
U147
U148
U149
U150
U151
U151
U152
U153
U154
U155
U156
U157
U158
U159
U160
U161
Waste Category
All
All
All
All
Wastewater
Nonwaste water
All
All
All
All
All
All
All
All
All
All
All
All
All
Wastewater
Nonwaste water
All
All
All
All
All
All
All
All
All
All
Effective Date
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 May 1992
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 May 1992
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
E15
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
Waste Code
U162
U163
U164
U165
U166
U167
U168
U169
U170
U171
U172
U173
U174
U176
U177
U178
U179
U180
U181
U182
U183
U184
U185
U186
U187
U188
U189
U190
U191
U192
U193
Waste Category
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
Effective Date
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 June 1989
8 Aug 1990
8 Aug 1990
8 Aug 1990
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
E16
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
Waste Code
U194
U196
U197
U200
U201
U202
U203
U204
U205
U206
U207
U208
U209
U210
U211
U212
U213
U214
U215
U216
U217
U218
U219
U220
U221
U222
U223
U225
U226
U227
U228
Waste Category
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
All
Effective Date
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 June 1989
8 Aug 1990
8 June 1989
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
E17
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
Waste Code
U234
U235
U236
U237
U238
U239
U240
U243
U244
U246
U247
U248
U249
Waste Category
All
All
All
All
All
All
All
All
All
All
All
All
All
Effective Date
8 Aug 1990
8 June 1989
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
8 Aug 1990
a This table also does not include contaminated soil and debris wastes.
b The standard has been revised in the Third Third Final Rule.
c No land disposal standard has been revised in the Third Third Final Rule.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
E18
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
Table 2 - Summary of Effective Dates of Land Disposal Restrictions
for Contaminated Soil and Debris (CSD)
1.
2.
3.
4.
5.
6.
1.
8.
9.
Restricted hazardous waste in CSD
Solvent-(FOOl-FOOS) and dioxin-(F020-F023 and F026-F028) containing soil and
debris from CERCLA response of RCRA corrective actions.
Soil and debris not from CERCLA response or RCRA corrective actions
contaminated with less than 1% total solvents (F001-F005) or dioxins (F020-F023
and F026-F028).
Soil and debris contaminated with California list HOCs from CERCLA response or
RCRA corrective actions.
Soil and debris contaminated with California list HOCs not from CERCLA
response or RCRA corrective actions.
All soil and debris contaminated with First Third wastes for which treatment
standards are based on incineration.
All soil and debris contaminated with Second Third wastes for which treatment
standards are based on incineration.
All soil and debris contaminated with Third Third wastes or, First or Second Third
"soft hammer" wastes which had treatment standards promulgated in the Third
Third rule, for which treatment standards are based on incineration, vitrification, or
mercury retorting, acid leaching followed by chemical precipitation, or thermal
recovery of metals; as well as all inorganic solids debris contaminated with D004-
D01 1 wastes, and all soil and debris contaminated with mixed RCRA/radioactive
wastes.
Debris that is contaminated with wastes listed in 40 CFR 268.10, 268.1 1, and
268.12 (including such wastes that are mixed radioactive hazardous wastes), and
debris that is contaminated with any characteristic waste for which treatment
standards are established (including such wastes that are mixed radioactive
hazardous wastes).
Hazardous soil having treatment standards based on incineration, mercury retorting
or vitrification, and soils contaminated with hazardous wastes listed in 40 CFR
268.10, 268.1 1, 268.12 that are mixed radioactive hazardous wastes.
Effective Date
8Novl990
8Novl990
8Novl990
8 July 1989
8 Aug 1990
8 June 1991
8 May 1993
8 May 1993
8 May 1993
NOTE:
1. Appendix VII is provided for the convenience of the reader.
2. Contaminated Soil and Debris Rule will be promulgated in the future.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
E19
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Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under RCRA
Appendix E: Land Disposal Restricted Wastes and Their Effective Dates (40 CFR 268, Appendix VII)
THIS PAGE INTENTIONALLY LEFT BLANK
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein. E20
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Protocol for Conducting Environmental Compliance Audits of
Hazardous Waste Generators under the Resource Conservation
and Recovery Act
Appendix F:
Constituent Concentrations in Waste Extract (40 CFR 268.411)
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix F: Constituent Concentrations in Waste Extract (40 CFR 268.411)
Waste Code
D004*
Arsenic (CAS 7440-38-2)
D005*
Barium (CAS 7440-39-3)
D006*
Cadmium (CAS 7440-43-9)
D007*
Chromium (Total) (CAS 7440-47-32)
D008*
Lead (CAS 7439-92-1)
D009** (Low Mercury Subcategory less than 260 mg/kg)
Mercury (CAS 7439-97-6)
D010*
Selenium (CAS 7782-49-2)
D011*
Silver (CAS 7440-22-4)
F001-F005** (spent solvents)
Acetone (CAS 67-64-1)
n-Butyl alcohol (CAS 71-36-3)
Carbon disulfide (CAS 75-15-0)
Carbon tetrachloride (CAS 56-23-5)
Chlorobenzene (CAS 108-90-7)
Cresols (and cresylic acid)
Cyclohexanone (CAS 108-94-1)
1,2-Dichlorobenzene (CAS 95-50-1)
Ethyl acetate (CAS 141-78-6)
Ethylbenzene (CAS 100-41-4)
Ethyl ether (CAS 60-29-7)
Isobutanol (CAS 78-83-1)
Methanol (CAS 67-56-1)
Methylene chloride (CAS 75-9-2)
Methyl ethyl ketone (CAS 78-93-3)
Methyl isobutyl ketone (CAS 108-10-1)
Nitrobenzene (CAS 98-95-3)
Pyridine(CAS 110-86-1)
Tetrachloroethylene (CAS 127-18-4)
Toluene (CAS 108-88-3)
1,1,1-Trichloroethane (CAS 71-55-6)
l,l,2-Trichloro-l,2,2-Trifloroethane (CAS 76-13-1) Trichloroethylene
(CAS 79-01-6)
Trichlorofloromethane (CAS 75-69-4)
Xylene
F006*
Cadmium (CAS 7440-43-9)
Chromium (total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
Nickel (CAS 7440-02-0)
Silver (CAS 7440-22-4)
Concentration (mg/L)
Wastewater
NA
NA
NA
NA
NA
NA
NA
NA
0.05
5.0
NA
0.05
0.15
2.82
NA
0.65
0.05
0.05
0.05
5.0
NA
0.20
0.05
0.05
0.66
1.12
0.079
1.12
1.05
1.05
0.062
0.05
0.05
NA
NA
NA
NA
NA
Non-Wastewater
5.0***
100
1.0
5.0
5.0
0.20
5.7
5.0
0.59
5.0
4.8
0.96
0.05
0.75
0.75
0.125
0.75
0.053
0.75
5.0
0.75
0.96
0.75
0.33
0.125
0.33
0.05
0.33
0.41
0.96
0.091
0.96
0.15
0.066
5.2
0.51
0.32
0.072
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
F1
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix F: Constituent Concentrations in Waste Extract (40 CFR 268.411)
Waste Code
F007*, F008*, F009*, F01 1* and F012*
Cadmium (CAS 7440-43-9)
Chromium (total)(CAS 7440-47-32)
Lead (CAS 7439-92-1)
Nickel (CAS 7440-02-0)
Silver (CAS 7440-22-4)
F019* Chromium (Total) (CAS 7440-47-32)
F020-F023 and F026-F026 dioxin containing wastes (same for wastewaters
and non-wastewaters)
FfxCDD-AH Hexachlorodibenzo-p-dioxins
FfxCDF All Hexachlorodibenzofurans
PeCDD-AH Pentachlorodibenzo-p-dioxins
PeCDF All Pentachlorodibenzofurans
TCDD-AH Tetrachlorodibenzo-p-dioxins
TCDF-- All Tetrachlorodibenzofurans
2,4,5-Trichorophenol (CAS 95-95-4)
2,4,6- Trichorophenol (CAS 86-06-2)
2,3,4,6-Tetrachlorophenol (CAS 58-90-2)
Pentachlorophenol (CAS 87-66-5)
F024*
Chromium (total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
Nickel (CAS 7440-02-0)
F037*
Chromium(total)
Nickel
F038*
Chromium(total)
Nickel
F039*
Antimony (CAS 7440-36-0)
Arsenic (CAS 7440-38-2)
Barium (CAS 7440-39-3)
Cadmium (CAS 7440-43-9)
Chromium (CAS 7440-47-32)
Lead (CAS 7439-92-1)
Mercury (CAS 7439-97-6)
Nickel (CAS 7440-02-0)
Selenium (CAS 7782-49-2)
Silver (CAS 7440-22-4)
K001*
Lead (CAS 7439-92-1)
K002*, K003*, K004*, and K005*
Chromium(Total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
K006* (anhydrous)
Chromium (Total) (CAS 7440-47-32
Lead (CAS 7439-92-1)
Concentration (mg/L)
Wastewater
NA
NA
NA
NA
NA
NA
< 1 ppb
< 1 ppb
< 1 ppb
< 1 ppb
< 1 ppb
< 1 ppb
< 1 ppm
<0.05 ppm
<0.05 ppm
<0.01 ppm
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
Non-Wastewater
0.066
5.2
0.51
0.32
0.072
5.2
0.073
Reserved
0.088
1.7
0.20
1.7
0.20
0.23
5.0
52
0.066
5.2
0.51
0.025
0.32
5.7
0.072
0.51
0.094
0.37
0.094
0.37
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
F2
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix F: Constituent Concentrations in Waste Extract (40 CFR 268.411)
Waste Code
K006* (hydrated)
Chromium (Total) (CAS 7440-47-32)
K007* and K008*
Chromium(Total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
K015*
Chromium(Total) (CAS 7440-47-32)
Nickel (CAS 7440-02-0)
K021*
Antimony (CAS 7440-36-0)
K022*
Chromium(Total) (CAS 7440-47-32)
Nickel (CAS 7440-02-0)
K028*
Chromium(Total) (CAS 74440-47-32)
Lead (CAS 7439-92-1)
Nickel (CAS 7440-02-0)
K031*
Arsenic (CAS 7440-38-2)
K046*
Lead (CAS 7439-92-1)
K048*, K049*, K050*, K051*, and K052* Chromium(Total) (CAS 7440-
47-32)
Nickel (CAS 7440-02-0)
K061*
antimony
arsenic
barium
beryllium
cadmium
chromium (total)
lead
mercury
nickel
selenium
silver
thallium
zinc
K062*
Chromium (Total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
K069** (Calcium Sulfate subcategory)
Cadmium (CAS 7440-43-9)
Lead (CAS 7439-92-1)
Concentration (mg/L)
Wastewater
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
Non-Wastewater
5.2
0.094
0.37
1.7
0.2
0.23
5.2
0.32
0.073
0.021
0.088
5.6*
0.18
1.7
0.20
2.1
0.055
7.6
0.014
0.19
0.33
0.37
0.009
5.
0.16
0.3
0.078
5.3
0.094
0.37
0.1
40.24
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
F3
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix F: Constituent Concentrations in Waste Extract (40 CFR 268.411)
Waste Code
K071*
Mercury (CAS 7439-97-6)
K083*
Nickel (CAS 7440-02-2)
K084*
Arsenic (CAS 7440-38-2)
K086*
Chromium(Total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
K087*
Lead (CAS 7439-92-1)
K100*
Cadmium (CAS 7440-43-9)
Chromium(Total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
K101*andK102*
Arsenic (CAS 7440-38-2)
K106** (Low Mercury Subcategory less than 260 mg/kg residues from
RMERC)
Mercury (CAS 7439-97-6)
K106** (Low Mercury Subcategory less than 260 mg/kg that are not
residues from RMERC) Mercury (CAS 7439-97-6)
K115*
Nickel (CAS 7440-02-0)
P010* (Arsenic acid)**
Arsenic (CAS 7440-38-2)
P011* (Arsenic pentoxide)
Arsenic (CAS 7440-38-2)
P012* (Arsenic trioxide)
Arsenic (CAS 7440-38-2)
P013* (Barium cyanide)
Barium (CAS 7440-39-3)
P036* (Dichlorophenylarsine)
Arsenic (CAS 7440-38-2)
P038* (Diethylarsine)
Arsenic (CAS 7440-38-2)
P065** (Low Mercury Subcategory less than 260 mg/kg Mercury
residues from RMERC) (mercury fulminate)
Mercury (CAS 7439-97-6)
Concentration (mg/L)
Wastewater
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
Non-Wastewater
0.025
0.088
5.6*
0.094
0.37
0.51
0.066
5.2
0.51
5.6*
0.020
0.025
0.32
5.6*
5.6*
5.6*
52
5.6*
5.6*
0.20
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
F4
-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix F: Constituent Concentrations in Waste Extract (40 CFR 268.411)
Waste Code
P065** (Low Mercury Subcategory less than 260 mg/kg Mercury
incinerator residues (not residues from RMERC) (Mercury fulminate)
Mercury (CAS 7439-97-6)
P073* (Nickel carbonyl)
Nickel (CAS 7440-02-0)
P074* (Nickel cyanide)
Nickel (CAS 7440-02-0)
P092** (Low Mercury Subcategory less than 260 mg/kg Mercury
residues from RMERC)(Phenyl mercury acetate)
Mercury (CAS 7439-97-6)
P092** (Low Mercury Subcategory less than 260 mg/kg Mercury-
incinerator residues(not residues from RMERC) (Phenyl mercury acetate)
Mercury (CAS 7439-97-6)
P099* (Potassium silver cyanide)
Silver (CAS 7440-22-4)
PI 03* (Selenourea)
Selenium (CAS 7782-49-2)
P104* (Silver cyanide)
Silver (CAS 7440-22-4)
PI 10* (Tetraethyl lead)
Lead (CAS 7439-92-1)
PI 14* (Thallium selenite)
Selenium (CAS 7782-49-2)
U032* (Calcium chromate)
Chromium(Total) (CAS 7440-47-32)
UO51* (Creosote)
Lead (CAS 7439-92-1)
U136*(Cacodylicacid)
Arsenic (CAS 7440-38-2)
U144* (Lead acetate)
Lead (CAS 7439-92-1)
U145* (Lead phosphate)
Lead (CAS 7439-92-1)
U146* (Lead subacetate)
Lead (CAS 7439-92-1)
Concentration (mg/L)
Wastewater
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
Non-Wastewater
0.025
0.32
0.32
0.20
0.025
0.072
5.7
0.072
0.51
5.7
0.094
0.51
5.6*
0.51
0.51
0.51
* See also Appendix 4-10, Table CCW in 40 CFR 268.43.
** See also Appendix 4-9, Table 2 in 40 CFR 268.42.
*** These treatment standards have been based on EP Leachate analysis but this does not preclude the use of TCLP analysis.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
F5
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Protocol for Conducting Environmental Compliance Audits of
Treatment, Storage and Disposal Facilities under the Resource
Conservation and Recovery Act
Appendix G:
Treatment Methods Expressed as Specific Technologies
(40 CFR 268.42)
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Table 1 - Technology Codes and Description of Technology-Based Standards
Technology
Code
ADGAS
AMLGM
BIODG
CARBN
CHOXD
CHRED
DEACT
FSUBS
HLVIT
IMERC
INCIN
Description of Technology-Based Standards
Venting of compressed gases into an absorbing or reacting media (i.e., solid or liquid) venting can be
accomplished through physical release utilizing valves/piping; physical penetration of the container;
and/or penetration through detonation.
Amalgamation of liquid, elemental mercury contaminated with radioactive materials utilizing inorganic
reagents such as copper, zinc, nickel, gold, and sulfur that result in a nonliquid, semi-solid amalgam and
thereby reducing potential emissions of elemental mercury vapors to the air.
Biodegradation of organics or non-organics (i.e., degradable inorganics that contain the elements of
phosphorus, nitrogen, and sulfur) in units operated under either aerobic or anaerobic conditions such that
a surrogate compound or indicator parameter has been substantially reduced in concentration in the
residuals (e.g., Total Organic Carbon can often be used as an indicator parameter for the biodegradation of
many organic constituents that cannot be directly analyzed in wastewater residues).
Carbon adsorption (granulated or powered) of non- metallic inorganics, organo-metallics, and/or organic
constituents, operated such that a surrogate compound or indicator parameter has not undergone
breakthrough (e.g., Total Organic Carbon can often be used as an indicator parameter for absorption of
many organic constituents that cannot be directly analyzed in wastewater residues). Breakthrough occurs
when the carbon has become saturated with the constituent (or indicator parameter) and substantial change
in adsorption rate associated with that constituent occurs.
Chemical or electrolytic oxidation utilizing the following oxidation reagents (or waste reagents) or
combinations of reagents: (1) hypochlorite (e.g. bleach); (2) chlorine; (3) chlorine dioxide; (4) ozone or
UV (ultraviolet light) assisted ozone; (5) peroxides; (6) persulfates; (7) perchlorates; (8) permanganates;
and/or (9) other oxidizing reagents of equivalent efficiency, performed in units operated such that a
surrogate compound or indicator parameter has been substantially reduced in concentration in the
residuals (e.g., Total Organic Carbon can often be used as indicator parameter for the oxidation of many
organic constituents that cannot be directly analyzed in wastewater residues). Chemical oxidation
specifically indicates what is commonly referred to as alkaline chlorination.
Chemical reduction utilizing the following reducing reagents (or waste reagents) or combinations of
reagents: (1) sulfur dioxide; (2) sodium, potassium, or alkali salts or sulfides, bisulfites, metabisulfites,
and polyethylene glycols (e.g., NaPEG and KPEG); (3) sodium hydrosulfide; (4) ferrous salts; and/or (5)
other reducing reagents of equivalent efficiency, performed in units operated such that a surrogate
compound or indicator parameter has been substantially reduced in concentration in the residuals (e.g.,
Total Organic Halogens can often be used as an indicator parameter for the reduction of many halogenated
organic constituents that cannot be directly analyzed in wastewater residues). Chemical reduction is
commonly used for the reduction of hexavalent chromium to the trivalent state.
Deactivation to remove the hazardous characteristics of a waste due to its ignitability, corrosivity, and/or
reactivity.
Fuel substitution in units operated in accordance with applicable technical operating requirements.
Vitrification of high level mixed radioactive wastes in units in compliance with all applicable radioactive
protection requirements under control of the Nuclear Regulatory Commission.
Incineration of wastes containing organics and mercury in units operated in accordance with the technical
operating requirements of 40 CFR part 264 subpart O and part 265 subpart O. All wastewater and
nonwastewater residues derived from this process must then comply with the corresponding treatment
standards per waste code with consideration of any applicable subcategories (e.g., High or Low Mercury
Subcategories).
Incineration in units operated in accordance with the technical operating requirements of 40 CFR part 264
subpart O and part 265 subpart O.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G1
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Technology
Code
LLEXT
MACRO
NEUTRO
NLDBR
PRECP
RBERY
RCGAS
RCORR
RLEAD
RMERC
RMETL
Description of Technology-Based Standards
Liquid-liquid extraction (often referred to as solvent extraction) of organics from liquid wastes into an
immiscible solvent for which the hazardous constituents have a greater solvent affinity, resulting in an
extract high in organics that must undergo either incineration, reuse as a fuel, or other recovery/reuse and
a raffmate (extracted liquid waste) proportionately low in organics that must undergo further treatment as
specified in the standard.
Macroencapsulation with surface coating materials such as polymeric organic (e.g. resins and plastics) or
with a jacket or inert inorganic materials to substantially reduce surface exposure to potential leaching
media. Macroencapsulation specifically does not include any material that would be classified as a tank or
container according to 40 CFR 260. 10.
Neutralization with the following reagents (or waste reagents) or combination or reagents: (1) acids; (2)
bases; or (3) water (including wastewaters) resulting in a pH greater than 2 but less than 12.5 as measured
in the aqueous residuals.
No land disposal based on recycling.
Chemical precipitation of metals and other inorganics as insoluble precipitates of oxides, hydroxides,
carbonates, sulfates, chlorides, fluorides, or phosphates. The following reagents (or waste reagents) are
typically used alone or in combination: (1) lime (i.e., containing oxides and/or hydroxides of calcium
and/or magnesium; (2) caustic (i.e., sodium and/or potassium hydroxides; (3) soda ash (i.e., sodium
carbonate); (4) sodium sulfide; (5) ferric sulfate or ferric chloride; (6) alum; or (7) sodium sulfate.
Additional floculating, coagulation or similar reagents/processes that enhance sludge dewatering
characteristics are not precluded from use.
Thermal recovery of Beryllium.
Recovery/reuse of compressed gases including techniques such as reprocessing of the gases for
reuse/resale; filtering/adsorption of impurities; remixing for direct reuse or resale; and use of the gas as a
fuel source.
Recovery of acids or bases utilizing one or more of the following recovery technologies: (1) distillation
(i.e., thermal concentration); (2) ion exchange; (3) resin or solid adsorption; (4) reverse osmosis; and/or
(5) incineration for the recovery of acid Note: this does not preclude the use of other physical phase
separation or concentration techniques such as decantation, filtration (including ultrafiltration), and
centrifugation, when used in conjunction with the above listed recovery technologies.
Thermal recovery of lead in secondary lead smelters.
Retorting or roasting in a thermal processing unit capable of volatilizing mercury and subsequent
condensing the volatilized mercury for recovery. The retorting or roasting in a thermal unit (or facility)
must be subject to one or more of the following: (a) a National Emissions Standard for Hazardous Air
Pollutants (NESHAP) for mercury; (b) a Best Available Control Technology (BACT) or a Lowest
Achievable Emission Rate (LAER) standard for mercury imposed pursuant to a Prevention of Significant
Deterioration (PSD) permit; or (c) a state permit that establishes emission limitations (within meaning of
section 302 of the Clean Air Act) for mercury. All wastewater and nonwastewater residues derived from
this process must then comply with the corresponding treatment standards per waste code with
consideration of any applicable subcategories (e.g., High or Low Mercury Subcategories).
Recovery of metals or inorganics utilizing one or more of the following direct physical/removal
technologies: (1) ion exchange; (2) resin or solid (i.e., zeolites) adsorption; (3) reserve osmosis; (40
chelation/solvent extraction; (5) freeze crystallization; (6) ultrafiltration and/or (7) simple precipitation
(i.e., crystallization) Note: This does not preclude the use of other physical phase separation or
concentration techniques such as decantation, filtration (including ultrafiltration), and centrifugation,
when used in conjunction with the above listed recovery technologies.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G2
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Technology
Code
RORGS
RTHRM
RZINC
STABL
SSTRP
WETOX
WTRRX
Description of Technology-Based Standards
Recovery of organics utilizing one or more of the following technologies: (1) distillation; (2) thin film
evaporation; (3) steam stripping; (4) carbon adsorption; (5) critical fluid extraction; (6) liquid-liquid
extraction; (7) precipitation/crystallization (including freeze crystallization); or (8) chemical phase
separation techniques (i.e., addition of acids, bases, demulsifiers, or similar chemicals);-Note: this does
not preclude the use of other physical phase separation techniques such as a decantation, filtration
(including ultrafiltration), and centrifugation, when used in conjunction with the above listed recovery
technologies.
Thermal recovery of metals or inorganics from nonwastewaters in units identified as industrial furnaces
according to 40:260.10 (1), (6), (7), (11), and (12) under the definition of "industrial furnaces".
Resmelting in high temperature metal recovery units for the purpose of recovery of zinc.
Stabilization with the following reagents (or waste reagents) or combinations of reagents: (1) Portland
cement; or (2) lime/pozzolans (e.g., fly ash and cement kiln dust) this does not preclude the addition of
reagents (e.g., iron slats, silicates, and clays) designed to enhance the set/cure time and/or compressive
strength, or to overall reduce the leachability of the metal or inorganic.
Steam stripping of organics from liquid wastes utilizing direct application of steam to the wastes operated
such that liquid and vapor flow rates, as well as, temperature and pressure ranges have been optimized,
monitored, and maintained. These operating parameters are dependent upon the design parameters of the
unit such as, the number of separation stages and the internal column design. Thus, resulting in a
condensed extract high in organics that must undergo either incineration, reuse as a fuel, or other
recovery/reuse and an extract wastewater that must undergo further treatment as specified in the standard.
Wet air oxidation performed in units such that a surrogate compound or indicator parameter has been
substantially reduced in concentration in the residuals (e.g., Total Organic Carbon can often be used as an
indicator for the oxidation of many organic constituents that cannot be directly analyzed in wastewater
residues).
Controlled reaction with water for highly reactive inorganic or organic chemicals with precautionary
controls for protection of workers from potential violent reactions as well as precautionary controls for
potential emissions of toxic/ignitable levels of gases released during the reaction.
Note 1: When a combination of these technologies (i.e., a treatment train) is specified as a single treatment standard, the order of
application is specified in 268.42, Table 2 by the five letter technology code that must be applied first, then the designation "fb"
(abbreviation for "followed by"), then the five letter technology code for the technology that must be applied next, and soon.
Note 2: When more than one technology (or treatment train) are specified as alternative treatment standards, the five letter technology
codes (or the treatment trains) are separated by a semicolon (;) with the last technology preceded by the word "or". This
indicates that any one of these BDAT technologies or treatment trains can be used for compliance with the standard.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G3
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Table 2 - Technology-Based Standards by RCRA Waste Codes
Waste Code
D001
Ignitable liquids based on 261 .21(a)(l) wastewaters
D001
Ignitable liquids based on 261.21(a)(l)Low TOC ignitable liquids
subcategory Less than 10% TOC
D001
Ignitable Liquids based on 261.21(a)(l)High TOC ignitable liquids
subcategory Greater than or equal to 10% TOC
D001
Ignitable compressed gases based on 261.21(a)(2)
D001
Ignitable reactives based on 261.21(a)(4)
D002
Acid subcategory based on 261.22(a)(l)
D002
Akaline subcategory based on 261.22(a)(l)
D002
Other corrosives based on 261.22(a)(2)
(NOTE: the following language under D003 reactive sulfides wastewater, "...
but not including dilution as a substitute for adequate treatment," is
suspended until 6-17-93; see FR 14319 3-17-93)
D003
Reactive sulfides based on 261.23(a)(5) but not including dilution as a
substitute for adequate treatment
D003
Explosives based on 261 .23(a)(6 8)
D003
Water reactives based on 261.23(a)(2-4)
D003
Other reactives based on 261.23(a)(l)
D006 (CAS 7440-43-9)
Cadmium containing batteries
D008 (CAS 7439- 92-1)
Lead acid batteries that are identified as RCRA hazardous waste and that are
not excluded from regulation (see 40:268.80)
D009*** (CAS 7439-97-6)
Mercury (High Mercury subcategory greater than or equal to 260 mg/kg
total mercury and organics (and are not incinerator residues))
Technology Code
Wastewaters
DEACT
NA
NA
NA
NA
DEACT
DEACT
DEACT
DEACT
DEACT
NA
DEACT
NA
NA
NA
Non-Wastewaters
NA
DEACT
FSUBS; RORGS or
INCIN
DEACT***
DEACT
DEACT
DEACT
DEACT
DEACT
DEACT
DEACT
DEACT
RTHRM
RLEAD
IMERC; or RMERC
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G4
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Waste Code
D009*** (CAS 7439-97-6)
Mercury (High Mercury subcategory greater than or equal to 260 mg/kg
total mercury inorganics (including incinerator residues and residues from
RMERC))
D012** (CAS 72-20-8)
Endrin
D013** (CAS 58-89-9)
Lindane
D014** (CAS 72-43-5)
Methoxychlor
D015** (CAS 8001-35-1)
Toxaphene
D016** (CAS 94-75-7)
2,4-D
D017** (CAS 93-72-1)
2,4,5-TP
F005*** (CAS 79-46-9)
2-Nitropropane
F005*** (CAS 110-80-5)
2-Ethoxyethanol
F024***
K025
Distillation bottoms from the production of nitrobenzene by the nitration of
benzene
K026
Stripping still tails form the production of methyl ethyl pyridines
K027
Centrifuge and distillation residues from toluene diisocyanate production
K039
Filter cake from the filtration of diethylphosphorodithioic acid in the
production of phorate
K044
Wastewater treatment sludges from the manufacturing and processing of
explosives
K045
Spent carbon from the treatment of wastewater containing explosives
K047
Pink/red water from TNT operations
Technology Code
Wastewaters
NA
BIODG; or
INCIN
CARBN; or
INCIN
WETOX; or
INCIN
BIODG; or
INCIN
CHOXD; BIODG
or INCIN
CHOXD or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
BIODG; or
INCIN
INCIN
LLEXT fb
SSTRPfb
CARBN; or
INCIN
INCIN
CARBN or
INCIN
CARBN or
INCIN
DEACT
DEACT
DEACT
Non-Wastewaters
RMERC
NA
NA
NA
NA
NA
NA
INCIN
INCIN
INCIN
INCIN
INCIN
FSUBS or INCIN
FSUBS or INCIN
DEACT
DEACT
DEACT
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G5
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Waste Code
K069***
Emission control dust/sludge from secondary lead smelting: Non-Calcium
Sulfate Subcategory
K106***
Wastewater treatment sludge from the mercury cell process in chlorine
production: (High mercury subcategory greater than or equal to 260 mg/kg
total mercury.)
K107
Column bottoms from product separation from the production of 1,1-
dimethylhydrazine (UDMH) from carboxylic acid hydrazides
K108
Condensed column overheads from product separation and condensed reactor
vent gases from the production of 1,1-dimethyl-hydrazine (UDMH) from
carboxylic acid hydrazides.
K109
Spent filter cartridges from product purification from the production of 1,1-
dimethylhydrazine (UDMH) from carboxylic acid hydrazides
K110
Condensed column overheads from intermediate separation from the
production of 1,1-dimethylhydrazine (UDMH) from carboxylic acid
hydrazides
K112
Reaction by-product water from the drying column in the production of
toluenediamine via hydrogenation of dinitrotoluene
K113
Condensed liquid light ends from the purification of toluenediamine in the
production of toluenediamine via hydrogenation of dinitrotulene
K114
Vicinals from the purification of toluenediamine in the production of
toluenediamine via hydrogenation of dinitrotolene
K115
Heavy ends from the purification of toluenediamine in the production of
toluenediamine via hydrogenation of dinitrotoluene
K116
Organic condensate from the solvent recovery column in the production of
toluene diisocyante via phosgenation of toluenediamine
Technology Code
Wastewaters
NA
NA
INCIN; or
CHOXD fb
CARBN; or
BIODG fb
CARBN
INCIN; or
CHOXD fb
CARBN; or
BIODG fb
CARBN
INCIN; or
CHXODfb
CARBN; or
BIODG fb
CARBN
INCIN; or
CHOXD fb
CARBN; or
BIODG fb
CARBN
INCIN; or
CHOXD fb
CARBN; or
BIODG fb
CARBN
CARBN; or
INCIN
CARBN; or
INCIN
CARBN; or
INCIN
CARBN; or
INCIN
Non-Wastewaters
RLEAD
RMERC
INCIN
INCIN
INCIN
INCIN
INCIN
FSUBS; or INCIN
FSUBS; or INCIN
FSUBS; or INCIN
FSUBS; or INCIN
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G6
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Waste Code
K123
Process wastewater (including supernates, filtrates, and washwaters) from the
production of ethylenebisdithiocarbamic acid and its salts
K124
Reactor vent scrubber water from the production of
ethylenebisdithiocarbamic acid and its salts
K125
Filtration, evaporation, and centrifugation solids from the production of
ethylenebisdithiocarbamic acid and its salts
K126
Baghouse dust and floor sweepings in milling and packaging operations from
the production or formulation of ethylene bisdithiocarbamic acid and its salts
P001 (CAS 81-81-2)
Warfarin (>0.3%)
P002 (CAS 591-08-2)
1 -Acetyl-2-thiourea
POOS (CAS 107-02-8)
Aceolein
POOS (CAS 107-18-6)
Allyl alcohol
P006 (CAS 20859-73-8)
Aluminum phosphide
P007 (CAS 2763-96-4)
5-Aminoethyl 3-isoxazolol
POOS (CAS 504-24-5)
4-Aminopyridine
P009 (CAS 131-74-8)
Ammonium picrate
Technology Code
Wastewaters
INCIN; or
CHOXD fb
(BIODG or
CARBN)
INCIN; or
CHOXD fb
(BIODG or
CARBN)
INCIN; or
CHOXD fb
(BIODG or
CARBN)
INCIN; or
CHOXD fb
(BIODG or
CARBN)
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
NA
(WETOX or
CHOXD) fb
CARBN; or
INCIN
CHOXD;
CHRED; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
CHOXD;
CHRED;
CARBN;
BIODG; or
INCIN
Non-Wastewaters
INCIN
INCIN
INCIN
INCIN
FSUBS; or INCIN
INCIN
FSUBS; or INCIN
FSUBS; or INCIN
CHOXD; CHRED; or
INCIN
INCIN
INCIN
FSUBS; CHOXD;
CHRED; or INCIN
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G7
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Waste Code
POM (CAS 108-98-5)
Thiophenol (Benzebe thiol)
P015 (CAS 7440-41-7)
Beryllium powder
P016 (CAS 542-88-1)
Bis(chloromethyl)ether
P017 (CAS 598-31-2)
Bromoacetone
P01 8 (CAS 357-57-3)
Brucine
P022**(CAS75-15-0)
Carbon disulfide
P023 (CAS 107-20-0)
Chloroacetaldehyde
P026 (CAS 5344-82-1)
l-(o-Chlorophenyl) thiourea
P027 (CAS 542-76-7)
3-Chloropropionitrile
P028 (CAS 100-44-7)
Benzyl chloride
P031 (CAS 460-19-5)
Cyanogen
P033 (CAS 506-77-4)
Cyanogen chloride
Technology Code
Wastewaters
(WETOX or
CHOXD) fb
CARBN; or
INCIN
RMETL; or
RTHRM
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
NA
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
CHOXD;
WETOX or
INCIN
CHOXD;
WETOX or
INCIN
Non-Wastewaters
INCIN
RMETL; or RTHRM
INCIN
INCIN
INCIN
INCIN
INCIN
INCIN
INCIN
INCIN
CHOXD; WETOX or
INCIN
CHOXD; WETOX or
INCIN
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G8
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Waste Code
P034 (CAS 131-89-5)
2-Cyclohexyl-4,6-dinitrophenol
P040 (CAS 297-97-2)
O,O-Diethyl O-pyrzinyl phosphorothioate
P041 (CAS 3 11-45-5)
Diethyl-p-nitrophenyl phosphate
P042 (CAS 51-43-4)
Epinephrine
P043 (CAS 55-91-4)
Diisopropyl florophosphate(DFP)
P044 (CAS 60-5 1-5)
Dimethoate
P045 (CAS 39196-18-4)
Thiofanox
P046 (CAS 122-09-8)
alpha, alpha-Dimethylphenethylamine
P047 (CAS 534-52-1)
4,6-Dinitro-o-cresol salts
P049 (CAS 541-53-7)
2,4-Dithlobluret
P054(CAS 151-56-4)
Aziridine
P056** (CAS 7782-41-4)
Fluorine
P057 (CAS 640-19-7)
Fluoroacetamide
Technology Code
Wastewaters
(WETOX or
CHOXD) fb
CARBN; or
INCIN
CARBN; or
INCIN
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
CARBN; or
INCIN
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
NA
(WETOX or
CHOXD) fb
CARBN; or
INCIN
Non-Wastewaters
INCIN
FSUBS; or INCIN
FSUBS; or INCIN
INCIN
FSUBS; or INCIN
FSUBS; or INCIN
INCIN
INCIN
INCIN
INCIN
INCIN
ADGAS fb NEUTR
INCIN
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G9
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Waste Code
P058 (CAS 62-74-8)
Fluoroacetic acid, sodium salt
P062 (CAS 757-58-4)
Hexaethy Itetrapho sphate
P064 (CAS 624-83-9)
Isocyanic acid, ethyl ester
P065*** (CAS 628-86-4)
Mercury fulminate: (High Mercury Subcategory greater than or equal to 260
mg/kg total Mercury either incinerator residues or residues from RMERC)
P065*** (CAS 628-86-4)
Mercury fulminate: (All Nonwastewaters that are not incinerator residues
from RMERC; regardless of Mercury content)
P066 (CAS 16752-77-5)
Methomyl
P067 (CAS 75-55-8)
2-Methylaziridine
P068 (CAS 60-34-4)
Methyl hydrazine
P069 (CAS 75-86-5)
Methyllactonitrile
P070 (CAS 116-06-3)
Aldicarb
P072 (CAS 86-88-4)
1 -Naphthyl-2-thiourea
P075 (CAS 54-1 1-5)
Nicotine and salts
Technology Code
Wastewaters
(WETOX or
CHOXD) fb
CARBN; or
INCIN
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
NA
NA
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
CHOXD;
CHRED;
CARBN;
BIODG; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
Non-Wastewaters
INCIN
FSUBS; or INCIN
INCIN
RMERC
IMERC
INCIN
INCIN
FSUBS; CHOXD;
CHRED; or INCIN
INCIN
INCIN
INCIN
INCIN
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G10
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Waste Code
P076(CAS 10102-43-9)
Nitric oxide
P078(CAS 10102-44-0)
Nitrogen dioxide
P081 (CAS 55-63-0)
Nitroglycerin
P078(CAS 10102-44-0)
Nitrogen dioxide
P081 (CAS 55-63-0)
Nitroglycerin
P082** (CAS 62-75-9)
N-Nitrosodimethylamine
P084 (CAS 4549-40-0)
N-Nitrosomethylvinylamine
P085 (CAS 152-16-9)
Octamethylpyrophosphoramide
P087 (CAS 20816-12-0)
Osmium tetroxide
P088 (CAS 145-73-3)
Endothall
P092*** (CAS 62-38-4)
Phenyl mercury acetate: (High Mercury Subcategory - greater than or equal
to 260 mg/kg total Mercury - either incinerator residues or residues from
RMERC)
P092*** (CAS 62-38-4)
Phenyl mercury acetatate: (All nonwastewaters that are not incinerator
residues and are not residues from RMERC: regardless of Mercury Content)
P093 (CAS 103-85-5)
N-Phenylthiouea
Technology Code
Wastewaters
ADGAS
ADGAS
CHOXD;
CHRED;
CARBN;
BIODG; or
INCIN
ADGAS
CHOXD;
CHRED;
CARBN;
BIODG; or
INCIN
NA
(WETOX or
CHOXD) fb
CARBN; or
INCIN
CARBN; or
INCIN
RMETL; or
RTHRM
(WETOX or
CHOXD) fb
CARBN; or
INCIN
NA
NA
(WETOX or
CHOXD) fb
CARBN; or
INCIN
Non-Wastewaters
ADGAS
ADGAS
FSUBS; CHOXD;
CHRED; or INCIN
ADGAS
FSUBS; CHOXD;
CHRED; or INCIN
RMERC
INCIN
FSUBS; or INCIN
RMETL; or RTHEM
FSUBS; or INCIN
REMEC
IMERC; or RMERC
INCIN
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G11
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Waste Code
P095 (CAS 75-44-5)
Phosgene
P096 (CAS 7803-51-2)
Phosphine
P102 (CAS 107-19-7)
Propargyl alcohol
P105 (CAS 26628-22-8)
Sodium azide
PI 08 (CAS 57-24-9)
Strychnine and salts
P109 (CAS 3689-24-5)
Tetraethyidithiopyrophosphate
PI 12 (CAS 509-14-8)
Tetranitromethane
P113**(CAS 1314-32-5)
Thallic oxide
PI 15** (CAS 7446- 18-6)
Thallium (1) sulfate
PI 16 (CAS 79- 19-6)
Thiosemicarbazide
PI 18 (CAS 75-70-7)
Thrichloromethanethiol
PI 19** (CAS 7803-55-8)
P120** (CAS 1314-62-1)
Vanadium pentoxide
Technology Code
Wastewaters
(WETOX or
CHOXD) fb
CARBN; or
INCIN
CHOXD;
CHRED; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
CHOXD;
CHRED;
CARBN;
BIODG; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
CARBN; or
INCIN
CHOXD;
CHRED;
CARBN;
BIODG; or
INCIN
NA
NA
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
NA
NA
Non-Wastewaters
INCIN
CHOXD; CHRED; or
INCIN
FSUBS; or INCIN
FSUBS; CHOXD; or
INCIN
INCIN
FSUBS; or INCIN
FSUBS; CHOXD;
CHRED; or INCIN
RTHRM; or STABL
RTHRM; or STABL
INCIN
INCIN
STABL
STABL
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G12
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Waste Code
P122 (CAS 1314-84-7)
Zinc Phosphide (>10%)
U001 (CAS 75-07-0)
Acetaldehyde
U003** (CAS 75-05-8)
Acetonitrile
U006 (CAS 75-36-5)
Acetyl Chloride
U007 (CAS 79-06-1)
Acrylamide
U008(CAS79-10-7)
Acrylic acid
U010 (CAS 50-07-7)
Mitomycin C
U011 (CAS 61-82-5)
Amitrole
U014 (CAS 492-80-8)
Auramine
U015 (CAS 115-02-6)
Azaserine
U016 (CAS 225-51-4)
Benz(c)acridine
U017 (CAS 98-87-3)
Benzal chloride
Technology Code
Wastewaters
CHOXD;
CHRED; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
NA
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
Non-Wastewaters
CHOXD; CHRED; or
INCIN
INCIN
INCIN
INCIN
INCIN
FSUBS; or INCIN
INCIN
INCIN
INCIN
INCIN
FSUBS; or INCIN
INCIN
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G13
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Waste Code
U020 (CAS 98-09-9)
Benzensulfonyl chloride
U021 (CAS 92-87-5)
Benzidine
U023 (CAS 98-07-7)
Benzotrichloride
U026 (CAS 494-03-1)
Chlomaphazin
U033 (CAS 353-50-4)
Carbonyl fluoride
U034 (CAS 75-87-6)
Trichloroacetaldehyde (Chloral)
U035 (CAS 305-03-3)
Chlorambucil
U038** (CAS 510-15-6)
Chlorobenzilate
U041 (CAS 106-89-8)
1 -Chloro-2,3-epoxy propane (Epichlorohydrin)
U042**(CAS 110-75-8)
2-Chloroethyl vinyl ether
U046 (CAS 107-39-2)
Chloromethyl methyl ether
U049 (CAS 3 165-93-3)
4-Chloro-o-toluidine hydrochloride
Technology Code
Wastewaters
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
CHOXD;
CHRED;
CARBN;
BIODG; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
NA
(WETOX or
CHOXD) fb
CARBN; or
INCIN
NA
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
Non-Wastewaters
INCIN
INCIN
FSUBS; CHOXD;
CHRED; or INCIN
INCIN
INCIN
INCIN
INCIN
INCIN
INCIN
INCIN
INCIN
INCIN
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G14
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Waste Code
U053 (CAS 4170-30-3)
Crotonaldehyde
U055 (CAS 98-82-8)
Cumeme
U056 (CAS 110-82-7)
Cyclohexane
U057** (CAS 108-94-1)
Cyclohexanone
U058 (CAS 50-18-0)
Cyclophosphamide
U059 (CAS 20830-81-3)
Daunomycin
U062 (CAS 2303- 16-4)
Diallate
U064 (CAS 189-55-9)
1 ,2,7,8-Dibenzopyrene
U073 (CAS 91-94-1)
3,3'-Dichlorobenzidine
U074 (CAS 1476-11-5)
cis- 1 ,4-Dichloro-2-butylene trans- 1 ,4-Dichloro-2-butylene
U085 (CAS 1464-53-5)
1 ,2: 3 ,4-Diepoxybutane
U086 (CAS 1615-80-1)
N,N-Diethylhydrazine
Technology Code
Wastewaters
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
NA
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
CHOXD;
CHRED;
CARBN;
BIODG; or
INCIN
Non-Wastewaters
FSUBS; or INCIN
FSUBS; or INCIN
FSUBS; or INCIN
FSUBS; or INCIN
FSUBS; or INCIN
INCIN
INCIN
FSUBS;
INCIN
INCIN
FSUBS; or INCIN
FSUBS; CHOXD;
CHRED; or INCIN
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G15
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Waste Code
U087 (CAS 3288-58-2)
O,O-Diethy S-methyldithiophosphate
U089 (CAS 56-53-1)
Diethy stilbestrol
U090 (CAS 94-58-6)
Dihydrosafrole
U091(CAS119-9-4)
3,3'-Dimethoxybenzidine
U092 (CAS 124-40-3)
Dimethylamine
U093** (CAS 621-90-9)
p-Dimethylaminoazobenzene
U094 (CAS 57-97-6)
7,12-Dimethy benz(a)anthracene
U095 (CAS 119-93-7)
3,3'-Dimethylbenzidine
U096(CAS80-15-9)
a,a-Dimethyl benzyl hydroperoxide
U097 (CAS 79-44-7)
Dimethylcarbomyl chloride
U098 (CAS 57-14-7)
1 , 1 -Dimethylthydrazine
Technology Code
Wastewaters
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
NA
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
CHOXD;
CHRED;
CARBN;
BIODG; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
CHOXD;
CHRED;
CARBN;
BIODG; or
INCIN
Non-Wastewaters
FSUBS; or INCIN
FSUBS; or INCIN
FSUBS; or INCIN
INCIN
INCIN
INCIN
FSUBS; or INCIN
INCIN
FSUBS; CHOXD;
CHRED; or INCIN
INCIN
FSUBS; CHOXD;
CHRED; or INCIN
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G16
-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Waste Code
U099 (CAS 540-73-8)
1 ,2-Dimethylhydrazine
U103 (CAS 77-78-1)
Dimethyl sulfate
U109 (CAS 122-66-7)
1 ,2-Diphenylhydrazine
Ul 10 (CAS 142-84-7)
Dipropylamine
Ul 13 (CAS 140-88-5)
Ethyl acrylate
Ul 14 (CAS 11 1-54-6)
Ethylene bis-dithiocarbamic acid
U115 (CAS 75-21-8)
Ethylene oxide
Ul 16 (CAS 96-45-7)
Ethylene thiourea
Ul 19 (CAS 62-50-0)
Ethyl methane sulfonate
U122 (CAS 50-00-0)
Formaldehyde
U123(CAS64-18-6)
Formic acid
Technology Code
Wastewaters
CHOXD;
CHRED;
CARBN;
BIODG; or
INCIN
CHOXD;
CHRED;
CARBN;
BIODG; or
INCIN
CHOXD;
CHRED;
CARBN;
BIODG; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
Non-Wastewaters
FSUBS; CHOXD;
CHRED; or INCIN
FSUBS; CHOXD;
CHRED; or INCIN
FSUBS; CHOXD;
CHRED; or INCIN
INCIN
FUSES; or INCIN
INCIN
CHOXD; or INCIN
INCIN
INCIN
FSUBS; or INCIN
FSUBS; or INCIN
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G17
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Waste Code
U124 (CAS 110-00-9)
Furan
U125 (CAS 98-01-1)
Furfural
U126 (CAS 765-34-4)
Glycidaldehyde
U132 (CAS 70-30-4)
Hexachlorophenene
U133 (CAS 302-01-2)
Hydrazine
U134** (CAS 7664-39-3)
Hydrogen Flouride
U135 (CAS 7783-06-4)
Hydrogen Sulfide
U143 (CAS 303-34-4)
Lasiocarpine
U147 (CAS 108-3 1-6)
Malaic anhydride
U148 (CAS 123-33-1)
Maleic hydrazide
U149(CAS 109-77-3)
Malononitrile
U150 (CAS 148-82-3)
Melphalan
Technology Code
Wastewaters
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
CHOXD;
CHRED;
CARBN;
BIODG; or
INCIN
NA
CHOXD;
CHRED; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
Non-Wastewaters
FSUBS; or INCIN
FSUBS; or INCIN
FSUBS; or INCIN
INCIN
FSUBS; CHOXD;
CHRED; or INCIN
ADGAS fb NEUTR; or
NEUTR
CHOXD; CHRED; or
INCIN
INCIN
CARBN; or INCIN
FSUBS; or INCIN
INCIN
INCIN
INCIN
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G18
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Waste Code
U151*** (CAS 7439-97-6)
Mercury: (High Mercury Subcategory - greater than or equal to 260 mg/kg
total Mercury
U153 (CAS 74-93-1)
Methane thiol
Ul 54 (CAS 67-56-1)
Methanol
Ul 56 (CAS 79-22-1)
Methyl chlorocarbonate
U160 (CAS 1338-23-4)
Methyl ethyl ketone perioxide
U163 (CAS 70-25-7)
N-Methyl N'-nitro N-Nitrosoguanidine
U164 (CAS 56-04-2)
Methylthiouracil
U166 (CAS 130-15-4)
1 ,4-Naphthoquinone
U167 (CAS 134-32-7)
1 -Naphthylamine
U168** (CAS 91-59-8)
2-Naphthlyamine
U171 (CAS 79-46-9)
2-Nitropropane
U173(CAS1116-54-7)
N-Nitroso-di-n-ethanolamine
Technology Code
Wastewaters
NA
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
CHOXD;
CHRED;
CARBN;
BIODG; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
NA
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
Non-Wastewaters
RMERC
INCIN
FSUBS; or INCIN
INCIN
FSUBS; CHOXD;
CHRED; or INCIN
FSUBS; CHOXD;
CHRED; or INCIN
INCIN
FSUBS; or INCIN
INCIN
INCIN
INCIN
INCIN
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G19
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Waste Code
U176 (CAS 759-73-9)
N-Nitroso-N-ethylurea
U177 (CAS 684-93-5)
N-Nitroso-N-methylurea
U178 (CAS 615-53-2)
N-Nitroso-N-methylurehane
U182 (CAS 123-63-7)
Peraldehyde
U184 (CAS 76-01-7)
Pentachloroethane
Ul 86 (CAS 504-60-9)
1,3-Pentadiene
U189 (CAS 1314-80-3)
Phosphorus sulfide
U191 (CAS 109-06-8)
2-Picoline
U193 (CAS 1120-71-4)
1,3-Propane sultone
U194 (CAS 107-10-8)
n-Propylamine
U197 (CAS 106-51-4)
p-Benzoquinone
U200 (CAS 50-55-5)
Reserpine
Technology Code
Wastewaters
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CHOXD;
CHRED; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
Non-Wastewaters
INCIN
INCIN
INCIN
FSUBS; or INCIN
INCIN
FSUBS; or INCIN
CHOXD; CHRED; or
INCIN
INCIN
INCIN
INCIN
FSUBS; or INCIN
INCIN
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G20
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Waste Code
U201 (CAS 108-46-3)
Resorcinol
U202 **** (CAS 81-07-2)
Saccharin and salts
U206(CAS 18883-66-4)
Steptozatocin
U213 (CAS 109-99-9)
Tetrahydrofuran
U214** (CAS 563-68-8)
Thallium (1) acetate
U215** (CAS 6533-73-9)
Thallium (1) carbonate
U216** (CAS 7791-12-0)
Thallium (1) chloride
Technology Code
Wastewaters
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
(WETOX or
CHOXD) fb
CARBN; or
INCIN
NA
NA
NA
Non-Wastewaters
FSUBS; or INCIN
INCIN
INCIN
FSUBS; or INCIN
RTHRM; or STABL
RTHRM; or STABL
RTHRM; or STABL
* See also Table CCWE in 268.41 (see accession number 8807).
** See also Table CCW in 268.43 (see accession number 8808).
*** See also Tables CCWE in 268.41 (see accession number 8807) and CCW in 268.43 (see accession number 8808).
**** CAS Number given for parent compound only.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G21
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix G: Treatment Methods Expressed as Specific Technologies (40 CFR 268.42)
Table 3 - Technology-Based Standards for Specific Radioactive Hazardous Mixed Waste
Waste Code with Waste Description and/or Treatment Category
D002, D004, D005, D006, and D007
Radioactive high level wastes generated during the reprocessing of fuel rods
subcategory
D008 (CAS 7439- 92-1)
Radioactive lead solids subcategory*
D008
Radioactive high level wastes generated during the reprocessing of fuel rods
subcategory
D009 (CAS 7439-97-6)
Elemental mercury contaminated with radioactive materials
D009 (CAS 7439-97-6)
Hydraulic oil contaminated with mercury; radioactive materials subcategory
D009,D010,D011
Radioactive high level wastes generated during the reprocessing of fuel rods
subcategory
Ul 51 (CAS 7439- 97-6)
Mercury: Elemental mercury contaminated with radioactive materials
Wastewaters
NA
NA
NA
NA
NA
NA
NA
Non Wastewaters
HLVIT
MACRO
HLVIT
AMLGM
IMERC
HLVIT
AMLGM
* These lead solids include, but are not limited to, all forms of lead shielding, and other elemental forms of lead. These lead solids do not
include treatment residuals such as hydroxide sludges, other wastewater treatment residuals, or incinerator ashes that can undergo
conventional pozzolanic stabilization, nor do they include organolead materials that can be incinerated and stabilized as ash.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
G22
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Protocol for Conducting Environmental Compliance Audits of
Treatment, Storage and Disposal Facilities under the Resource
Conservation and Recovery Act
Appendix H:
Constituent Concentrations in Wastes (40 CFR 268.43(a))
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-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
D003 (CAS 57-12-5) (reactive cyanides category-based on 261.23(a)(5))
Cyanides (Total)
Cyanides (Amenable)
D004* (CAS 7440-38-2)
Arsenic
D005* (CAS 7440-39-2) Barium
D006* (CAS 7440-43-9) Cadmium
D007* (CAS 7440-47-32) Chromium (Total)
D008* (CAS 7439-92-1)
Lead
D009* (CAS 7439-97-6) Mercury
D010* (CAS 7782-49-2) Selenium
D011* (CAS 7440-22-4)
Silver
D012** (CAS 720-20-8)
Endrin
D013** (CAS 58-89-9)
Lindane
D014** (CAS 72-43-5) Methoxychlor
D015** (CAS 8001-35-1) Toxaphene
D016** (CAS 94-75-7)
2,4-D
D017** (CAS 93-76-5)
2,4,5-TP Silvex
F001-F005 spent solvents*** 1,1,2-Trichloroethane (CAS 71-55-6)
Benzene (CAS 7 1-43-2)
F001-F005 spent solvents
(Pharmaceutical industry wastewater subcategory)
Methylene chloride (CAS 75-09-2)
F006*
Cyanides (Total) (CAS 57-12-5)
Cyanides (Amenable) (CAS 57-12-5)
Concentrations
Wastewaters
(mg/L) Notes
Reserved
0.86
5.0
100
1.0
5.0
5.0
0.20
1.0
5.0
NA
NA
NA
NA
NA
NA
0.030
0.070
0.44
1.2
0.86
Non-Wastewaters
(mg/kg) Notes
590 (3)
30
NA
NA
NA
NA
NA
NA
NA
NA
0.13(1)
0.066(1)
0.18(1)
1.3(1)
10.0(1)
7.9(1)
7.6(1)
3.7(1)
NA
590
30
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H1
-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
Cadmium (CAS 7440-43-9)
Chromium (CAS 7440-47-32)
Lead (CAS 7439-92-1)
Nickel (CAS 7440-02-0)
F007*
Cyanides (total) (CAS 57-12-5)
Cyanides (amenable) (CAS 57-12-5)
Chromium (total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
Nickel (CAS 7440-02-0)
F008*
Cyanides (total) (CAS 57-12-5)
Cyanides (amenable) (CAS 57-12-5)
Chromium (CAS 7440-47-32)
Lead (CAS 7439-92-1)
Nickel (CAS 7439-92-1)
F009*
Cyanides (total) (CAS 57-12-5)
Cyanides (amenable) (CAS 57-12-5)
Chromium (CAS 7440-47-32)
Lead (CAS 7439-92-1)
Nickel (CAS 7440-02-0)
F010
Cyanides (total) (CAS 57-12-5)
Cyanides (amenable) (CAS 57-12-5)
F011*
Cyanides (total) (CAS 57-12-5)
Cyanides (amenable) (CAS 57-12-5)
Chromium (total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
Nickel (CAS 7440-02-0)
Concentrations
Wastewaters
(mg/L) Notes
1.6
0.32
0.040
0.44
1.9
0.1
0.32
0.04
0.44
1.9
0.1
0.32
0.04
0.44
1.9
0.1
0.32
0.04
0.44
1.9
0.1
1.9
0.1
0.32
0.04
0.44
Non-Wastewaters
(mg/kg) Notes
NA
NA
NA
NA
590
30
NA
NA
NA
590
30
NA
NA
NA
590
30
NA
NA
NA
1.5
NA
110
9.1
NA
NA
NA
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H2
-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
F012*
Cyanides (total) (CAS 57-12-5)
Cyanides (amenable) (CAS 57-12-5)
Chromium (total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
Nickel (CAS 7440-02-0)
F019*
Cyanides (total) (CAS 57-12-5)
Cyanides (amenable) (CAS 57-12-5)
Chromium (total) (CAS 7440-47-32)
F024**
Note: F024 organic standards must be treated via incineration (INCIN)
2-Chloro-l,3-butadiene (CAS 126-99-6)
3-Chloropropene (CAS 107-05- )
1,1-Dichloroethane (CAS 75-34-3)
1,2-Dichloroethane (CAS 107-06-2)
1,2-Dichloropropane (CAS 78-87-5)
cis-l,3-Dichloropropene (CAS 10061-01-5)
trans- 1,3-Dichloropropene (CAS 10061-02-6)
Bis(2-ethylhexyl)phthalate (CAS 117-81-7)
Hexachloroethane (CAS 67-72-1)
Chromium (total) (CAS 7440-47-32)
Nickel (CAS 7440-02-0)
F025 (light ends subcategory) Chloroform (CAS 67-66-3)
1,2-Dichloroethane (CAS 107-06-2)
1,1-Dichloroethylene (CAS 75-35-4)
Methylene chloride (CAS 75-9-2)
Carbon tetrachloride (CAS 56-23-5)
1,1,2-Trichloroethane (CAS 79-00-5)
Trichloroethylene (CAS 79-01-6)
Vinyl chloride (CAS 75-01-4)
Concentrations
Wastewaters
(mg/L) Notes
1.9
0.1
0.32
0.04
0.44
1.2
0.86
0.32
0.28(1)
0.28(1)
0.014(1)
0.014(1)
0.014(1)
0.014(1)
0.014(1)
0.036(1)
0.036(1)
0.35
0.47
0.046 (2)
0.21 (2)
0.025 (2)
0.089 (2)
0.057 (2)
0.054 (2)
0.054 (2)
0.27 (2)
Non-Wastewaters
(mg/kg) Notes
110
9.1
NA
NA
NA
590 (3)
30(3)
NA
0.28(1)
0.28(1)
0.014(1)
0.014(1)
0.014(1)
0.014(1)
0.014(1)
1.8(1)
1.8(1)
NA
NA
6.2(1)
6.2(1)
6.2(1)
31(1)
6.2(1)
6.2(1)
5.6(1)
33(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H3
-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
F025 (spent filters/aids and desiccants subcategory) Chloroform (CAS 67-66-
3)
Methylene chloride (CAS 75-9-2)
Carbon tetrachloride (CAS 56-23-5)
1,1,2-Trichloroethane (CAS 79-00-5)
Trichloroethylene (CAS 79-01-6)
Vinyl chloride (CAS 75-01-4)
Hexachlorobenzene (CAS 118-74-1)
Hexachlorobutadiene (CAS 87-68-3)
Hexachloroethane (CAS 67-72-1)
F039**(and D001 and D002 wastes prohibited by 268.37) Acetone (CAS 67-
64-1)
Acenaphthylene (CAS 208-96-8)
Acenaphthene (CAS 83-32-9)
Acetonitrile (CAS 75-05-8)
Acetophenone (CAS 96-86-2)
2-Acetylaminofluorene (CAS 53-96-3)
Acrolein
Acrylonitrile (CAS 107-02-8)
Aldrin(CAS 107-13-1)
(CAS 309-00-2)
4-Aminobiphenyl (CAS 92-67-1)
Aniline (CAS 62-53-3)
Anthracene (CAS 120-12-7)
Aramite (CAS 140-57-8)
Aroclor 1016 (CAS 12674-11-2)
Aroclor 1221 (CAS 11104-28-2)
Aroclor 1232 (CAS 11141-16-5)
Aroclor 1242 (CAS 53469-21-9)
Aroclor 1248 (CAS 12672-29-6)
Aroclor 1254 (CAS 11097-69-1)
Concentrations
Wastewaters
(mg/L) Notes
0.046 (2)
0.089 (2)
0.057 (2)
0.054 (2)
0.054 (2)
0.27 (2)
0.055 (2)
0.055 (2)
0.055 (2)
0.28 (2)
0.059 (2)
0.059 (2)
0.17(2)
0.010(2)
0.059 (2)
0.29 (2)
0.24 (2)
0.021 (2)
0.13(2)
0.81 (2)
0.059 (2)
0.36 (2)
0.013(2)
0.014(2)
0.013(2)
0.0172)
0.013(2)
0.014(2)
Non-Wastewaters
(mg/kg) Notes
6.2(1)
31(1)
6.2(1)
6.2(1)
5.6(1)
33(1)
37(1)
28(1)
30(1)
160(1)
3.4(1)
4.0(1)
NA
9.7(1)
140(1)
NA
84(1)
0.066(1)
NA
14(1)
4.0(1)
NA
0.92(1)
0.92(1)
0.92(1)
0.92(1)
0.92(1)
1.8(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H4
-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
Aroclor 1260 (CAS 11096-82-5)
alpha-BHC (CAS 319-84-6)
beta-BHC (CAS 319-85-7)
delta-BHC (CAS 319-86-8)
gamma-BHC (CAS 58-89-9)
Benzene (CAS 7 1-34-2)
Benzo(a)anthracene (CAS 56-55-3)
Benzo(b)fluoranthene (CAS 205-99-2)
Benzo(k)fluoranthene (CAS 207-08-9)
Benzo(g,h,i)perylene (CAS 191-24-2)
Benzo(a)pyrene (CAS 5-32-8)
Bromodichloromethane (CAS 75-27-4)
Bromoform (CAS 72-25-2) (Tribromomethane)
Bromomethane (CAS 74-83-9) (methyl bromide)
4-Bromophenyl phenyl ether (CAS 101-55-3)
n-Butyl alcohol (CAS 71-36-3)
Butyl benzyl phthalate (CAS 85-68-7)
2-sec-Butyl-4,6-dinitrophenol (CAS 88-85-7)
Carbon tetrachloride (CAS 56-23-5)
Carbon disulfide (CAS 75-15-0)
Chlordane (CAS 57-74-9)
p-Chloroaniline (CAS 106-47-8)
Chlorobenzene (CAS 108-90-7)
Chlorobenzilate (CAS 510-15-6)
2-Chloro-l,3-butadiene (CAS 126-99-8)
Chlorodibromomethane (CAS 124-48-1)
Chloroethane (CAS 75-00-3)
bis(2-Chloroethoxy) methane (CAS 111-91-1)
bis(2-Chloroethyl) ether (CAS 1 1 1-44-4)
Chloroform (CAS 67-66-3)
Concentrations
Wastewaters
(mg/L) Notes
0.014(2)
0.00014 (2)
0.00014 (2)
0.023 (2)
0.0017 (2)
0.14(2)
0.059 (2)
0.055 (2)
0.059 (2)
0.0055 (2)
0.061 (2)
0.35 (2)
0.63 (2)
0.11(2)
0.055 (2)
5.6 (2)
0.017(2)
0.066 (2)
0.057 (2)
0.014(2)
0.0033 (2)
0.46 (2)
0.057 (2)
0.10(2)
0.057 (2)
0.057 (2)
0.27 (2)
0.036 (2)
0.033 (2)
0.046 (2)
Non-Wastewaters
(mg/kg) Notes
1.8(1)
0.066(1)
0.066(1)
0.066(1)
0.066(1)
36(1)
8.2
3.4(1)
3.4(1)
1.5(1)
8.2(1)
15(1)
15(1)
15(1)
15(1)
2.6(1)
7.9(1)
2.5(1)
5.6(1)
NA
0.13(1)
16(1)
5.7(1)
NA
NA
15(1)
6.0(1)
7.2(1)
7.2(1)
5.6(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H5
-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
bis(2-Chloroisopropyl) ether(CAS 39638-32-9)
p-Chloro-m-cresol (CAS 59-50-7)
Chloromethane (Methyl chloride)(CAS 74-87-3)
2-Chloronaphthalene (CAS 91-58-7)
2-Chlorophenol (CAS 95-57-8)
3-Chloropropylene (CAS 107-05-1)
Chrysene (CAS 218-01-9)
o-Cresol (CAS 95-48-7)
Cresol (m- and p-isomers)
Cyclohexanone (CAS 108-94-1)
l,2-Dibromo-3-chloropane (CAS 96-12-8)
l,2-Dibromoethane(CAS 106-93-4) (Ethylene dibromide)
Dibromomethane (CAS 74-95-3)
2,4-Dichlorophenoxyacetic acid (2,4-D) (CAS 94-75-7)
o,p'-DDD(CAS53-19-0)
p,p'-DDD (CAS 72-54-8)
o,p'-DDE (CAS 3424-82-6)
p,p'-DDE (CAS 72-55-9)
o,p'-DDT (CAS 780-02-6)
p,p'-DDT (CAS 50-29-3)
Dibenzo(a,h)anthracene (CAS 53-70-3)
Dibenzo(a,e)pyrene (CAS 192-65-4)
m-Dichlorobenzene (CAS 541-73-1)
o-Dichlorobenzene (CAS 95-50-1)
p-Dichlorobenzene (CAS 106-46-7)
Dichlorodifluoromethane (CAS 75-71-8)
1,1-Dichloroethane (CAS 75-34-3)
1,2-Dichloroethane (CAS 107-06-2)
1,1-Dichloroethylene (CAS 75-35-4) trans- 1,2-Dichloroethene
2,4-Dichlorophenol (CAS 120-83-2)
Concentrations
Wastewaters
(mg/L) Notes
0.055 (2)
0.018(2)
0.19(2)
0.055 (2)
0.044 (2)
0.036 (2)
0.059 (2)
0.11(2)
0.77 (2)
0.36 (2)
0.11(2)
0.028 (2)
0.11(2)
0.72 (2)
0.023 (2)
0.023 (2)
0.031 (2)
0.031 (2)
0.0039 (2)
0.0039 (2)
0.055 (2)
0.061 (2)
0.036 (2)
0.088 (2)
0.090 (2)
0.23 (2)
0.059 (2)
0.21 (2)
0.025 (2)
0.044 (2)
Non-Wastewaters
(mg/kg) Notes
7.2(1)
14(1)
33(1)
5.6(1)
5.7(1)
28(1)
8.2(1)
5.6(1)
3.2(1)
NA
15(1)
15(1)
15(1)
10(1)
0.087(1)
0.087(1)
0.087(1)
0.087(1)
0.087(1)
0.087(1)
8.2(1)
NA
6.2(1)
6.2(1)
6.2(1)
7.2(1)
7.2(1)
7.2(1)
33(1)
14(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H6
-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
2,6-Dichlorophenol (CAS 87-65-0)
1 ,2-Dichloropropane
cis-l,3-Dichloropropene (CAS 10061-01-5)
trans- 1,3-Dichloropropene (CAS 10061-02-6)
Dieldrin (CAS 60-57-1)
Diethyl phthalate (CAS 84-66-2)
2,4-Dimethyl phenol (CAS 105-67-9)
Dimethyl phthalate (CAS 131-11-3)
Di-n-butyl phthalate (CAS 84-74-2)
1,4-Dinitrobenzene (CAS 100-25-4)
4,6-Dinitro-o-cresol (CAS 534-52-1)
2,4-Dinitrophenol (CAS 51-28-5)
2,4-Dinitrotoluene (CAS 121-14-2)
2,6-Dinitrotoluene (CAS 606-20-2)
Di-n-octyl phthalate (CAS 117-84-0)
Di-n-propylnitrosamine (CAS 621-64-7)
Diphenylamine (CAS 122-39-4)
1,2-Diphenyl hydrazine (CAS 122-66-7)
Diphenylnitrosamine (CAS 621-64-7)
1,4-Dioxane (CAS 123-91-1)
Disulfoton (CAS 298-04-4)
Endosulfan I (CAS 939-98-8)
Endosulfan II (CAS 33213-6-5)
Endosulfan sulfate (CAS 1031-07-8)
Endrin (CAS 72-20-8)
Endrin aldehyde (CAS 7421-93-4)
Ethyl acetate (CAS 141-78-6)
Ethyl cyanide (CAS 107-12-0)
Ethyl benzene (CAS 100-41-4)
Ethyl ether (CAS 60-29-7)
Concentrations
Wastewaters
(mg/L) Notes
0.044 (2)
0.85 (2)
0.036 (2)
0.036 (2)
0.017(2)
0.20 (2)
0.036 (2)
0.047 (2)
0.057 (2)
0.32 (2)
0.28 (2)
0.12(2)
0.32 (2)
0.55 (2)
0.017(2)
0.40 (2)
0.52 (2)
0.087 (2)
0.40 (2)
0.12(2)
0.017(2)
0.023 (2)
0.029 (2)
0.029 (2)
0.0028 (2)
0.025 (2)
0.34 (2)
0.24 (2)
0.057 (2)
0.12(2)
Non-Wastewaters
(mg/kg) Notes
14(1)
18(1)
18(1)
18(1)
0.13(1)
28(1)
14(1)
28(1)
28(1)
2.3(1)
160(1)
160(1)
140(1)
28(1)
28(1)
14(1)
NA
NA
NA
170(1)
6.2(1)
0.066(1)
0.13(1)
0.13(1)
0.13(1)
0.13(1)
33(1)
360(1)
6.0(1)
160(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H7
-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
bis(2-Ethylhexyl) phthalate (CAS 117-81-7)
Ethyl methacrylate (CAS 97-63-2)
Ethylene oxide (CAS 75-21-8)
Famphur (CAS 52-85-7)
Fluoranthene (CAS 206-44-0)
Fluorene (CAS 86-73-7)
Fluorotrichloromethane (CAS 75-69-4)
Heptachlor (CAS 76-44-8)
Heptachlor epoxide (CAS 1024-57-3)
Hexachlorobenzene (CAS 118-74-1)
Hexachlorobutadiene (CAS 87-68-3)
Hexachlorocyclopentadiene (CAS 77-47-4)
Hexachlorodibenzo-furans
Hexchlorodibenzo-p-dioxins
Hexchloroethane (CAS 67-72-1)
Hexachloropropene (CAS 1888-71-7)
Indeno(l,2,3,-c,d)pyrene (CAS 193-39-5)
lodomethane (CAS 74-88-4)
Isobutanol (CAS 78-83-1)
Isodrin (CAS 465-73-6)
Isosafrole (CAS 120-58-1)
Kepone (CAS 143-50-8)
Methacrylonitrile (CAS 126-98-7)
Methanol (CAS 67-56-1)
Methapyrilene (CAS 91-80-5)
Methoxychlor (CAS 72-43-5)
3-Methylcholanthrene (CAS 56-49-5)
4,4-Methylene-bis-(2-chloroaniline) (CAS 101-14-4)
Methylene chloride (CAS 75-09-2)
Methyl ethyl ketone (CAS 78-93-3)
Concentrations
Wastewaters
(mg/L) Notes
0.28 (2)
0.14(2)
0.12(2)
0.017(2)
0.068 (2)
0.059 (2)
0.020 (2)
0.0012 (2)
0.016(2)
0.055 (2)
0.055 (2)
0.057 (2)
0.000063 (2)
0.000063 (2)
0.055 (2)
0.035 (2)
0.0055 (2)
0.019(2)
5.6 (2)
0.021 (2)
0.081 (2)
0.0011(2)
0.24 (2)
5.6 (2)
0.081 (2)
0.25 (2)
0.0055 (2)
0.50(2)
0.089 (2)
0.28 (2)
Non-Wastewaters
(mg/kg) Notes
28(1)
160(1)
NA
15(1)
8.2(1)
4.0(1)
33(1)
0.066(1)
0.066(1)
37(1)
28(1)
3.6(1)
0.001(1)
0.001(1)
28(1)
28(1)
8.2(1)
65(1)
170(1)
0.066(1)
2.6(1)
0.13(1)
84(1)
NA
1.5(1)
0.18(1)
15(1)
35(1)
33(1)
36(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H8
-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
Methyl isobutyl ketone (CAS 108-10-1)
Methyl methacrylate (CAS 80-62-6)
Methyl methansulfonate (CAS 66-27-3)
Methyl parathion (CAS 298-00-0)
Naphthalene (CAS 91-20-3)
2-Naphthylamine (CAS 91-59-8)
p-Nitroaniline (CAS 100-01-6)
Nitrobenzene (CAS 96-95-3)
5-Nitro-o-toluidine (CAS 99-55-8)
4-Nitrophenol (CAS 100-02-7)
N-Nitrosodiethylamine (CAS 55-18-5)
N-Nitrosodimethylamine (CAS 62-75-9)
N-Nitroso-di-n-butylamine (CAS 924-16-3)
N-Nitrosomethylethylamine (CAS 10595-95-6)
N-Nitrosomorpholine (CAS 59-89-2)
N-Nitrosopiperidine (CAS 100-75-4)
N-Nitrosopyrrolidine (CAS 930-55-2)
Parathion (CAS 56-38-2)
Pentachlorobenzene (CAS 608-93-5)
Pentachlorodibenzo-furans
Pentachlorodibenzo-p-dioxins
Pentachloronitrobenzene (CAS 82-68-8)
Pentachlorophenol (CAS 87-86-5)
Phenacetin (CAS 62-44-2)
Phenanthrene (CAS 85-01-8)
Phenol (CAS 108-95-2)
Phorate (CAS 298-02-2)
Phthalic anhydride (CAS 85-44-9)
Pronamide (CAS 23950-58-5)
Pyrene (CAS 129-00-0)
Concentrations
Wastewaters
(mg/L) Notes
0.14(2)
0.14(2)
0.018(2)
0.014(2)
0.059 (2)
0.52 (2)
0.028 (2)
0.068 (2)
0.32 (2)
0.12(2)
0.40 (2)
0.40 (2)
0.40 (2)
0.40 (2)
0.40 (2)
0.013(2)
0.013(2)
0.014(2)
0.055 (2)
0.000063 (2)
0.000063 (2)
0.055 (2)
0.089 (2)
0.081 (2)
0.059 (2)
0.039 (2)
0.021 (2)
0.069 (2)
0.093 (2)
0.067 (2)
Non-Wastewaters
(mg/kg) Notes
33(1)
160(1)
NA
4.6(1)
3.1(1)
NA
28(1)
14(1)
28(1)
29(1)
28(1)
NA
17(1)
2.3(1)
2.3(1)
35(1)
35(1)
4.6(1)
37(1)
0.001(1)
0.001(1)
4.8(1)
7.4(1)
16(1)
3.1(1)
6.2(1)
4.6(1)
NA
1.5(1)
8.2(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H9
-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
Pyridine (CAS 110-86-1)
Safrole (CAS 94-59-7)
Silvex (2,4,5-TP) (CAS 93-72-1)
2,4,5-1 (CAS 93-76-5)
1,2,4,5,- Tetrachlorobenzene (CAS 95-94-3)
Tetrachlorodibenzo-furans
Tetrachlorodibenzo-p-dioxins
1,1,1,2-Tetrachloroethane (CAS 630-20-6)
1,1,2,2-Tetrachloroethane (CAS 70-34-6)
Tetrachloroethene (CAS 127-18-4)
2,3,4,6-Tetrachlorophenol (CAS 58-90-2)
Toluene (CAS 108-88-3)
Toxaphene (CAS 8001-35-1)
1,2,4-Trichlorobenzene (CAS 120-82-1)
1,1,1-Trichloroethane (CAS 71-55-6)
1,1,2-Trichloroethane (CAS 79-00-5)
Trichloroethylene (CAS 79-01-6)
2,4,5-Trichlorophenol (CAS 95-95-4)
2,4,6-Trichlorophenol (CAS 88-06-2)
1,2,3-Trichloropropane (CAS 96-18-4)
l,l,2-Trichloro-l,2,2-trifluoro-ethane (CAS 76-13-1)
Tris(2,3-dibromopropyl (CAS 126-72-7)
Vinyl chloride (CAS 75-01-4)
Xylene(s)
Cyanides (total) (CAS 57-12-5)
Fluoride (CAS 16964-48-8)
Sulfide (CAS 8496-25-8)
Antimony (CAS 7440-36-0)
Arsenic (CAS 7440-38-2)
Barium (CAS 7440-39-3)
Concentrations
Wastewaters
(mg/L) Notes
0.014(2)
0.081 (2)
0.72 (2)
0.72 (2)
0.055 (2)
0.000063 (2)
0.000063 (2)
0.057 (2)
0.057 (2)
0.056 (2)
0.030 (2)
0.080 (2)
0.0095 (2)
0.055 (2)
0.054 (2)
0.054 (2)
0.054 (2)
0.18(2)
0.035(2)37(1)
0.85 (2)
0.057 (2)
0.11(2)
0.27 (2)
0.32 (2)
1.2(2)
35(2)
14(2)
1.9(2)
1.4(2)
1.2(2)
Non-Wastewaters
(mg/kg) Notes
16(1)
22(1)
7.9(1)
7.9(1)
19(1)
0.001(1)
0.001(1)
42(1)
42(1)
5.6(1)
37(1)
28(1)
1.3(1)
19(1)
5.6(1)
5.6(1)
5.6(1)
37(1)
28(1)
28(1)
NA
33(1)
28(1)
1.8(1)
NA
NA
NA
NA
NA
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H10
-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
Beryllium (CAS 7440-41-7)
Cadmium (CAS 7440-43-9)
Chromium (total) (CAS 7440-47-32)
Copper (CAS 7440-50-8)
Lead (CAS 7439-92-1)
Mercury (CAS 7439-97-6)
Nickel (CAS 7440-02-0)
Selenium (CAS 7782-49-2)
Silver (CAS 7440-22-4)
Thallium (CAS 7440-28-0)
Vanadium (CAS 7440-62-2)
Zinc (CAS 7440-66-6)
K001* Naphthalene (CAS 91-20-3)
Pentachlorophenol (CAS 87-86-5)
Penanthrene (CAS 85-01-8)
Pyrene (CAS 129-99-0)
Toluene (CAS 108-88-3)
Xylenes (total)
Lead (CAS 7439-92-1)
K002*, K003*, and K004* Chromium (total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
K005*
Chromium (total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
Cyanides(total) (CAS 57-12-5)
K006*
Chromium (total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
K007*
Chromium (total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
Concentrations
Wastewaters
(mg/L) Notes
0.82 (2)
0.20 (2)
0.37
1.3(2)
0.28 (2)
0.15(2)
0.55 (2)
0.82 (2)
0.29 (2)
1.4(2)
0.042 (2)
1.0(2)
0.031(1)
0.18(1)
0.031(1)
0.028(1)
0.028(1)
0.032(1)
0.037
0.9 (2)
3.4 (2)
0.9 (2)
3.4 (2)
0.74 (2)
0.9 (2)
3.4 (2)
0.9 (2)
3.4 (2)
Non-Wastewaters
(mg/kg) Notes
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
1.5(1)
7.4(1)
1.5(1)
1.5(1)
28(1)
33(1)
NA
NA
NA
NA
NA
Reserved
NA
NA
NA
NA
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H11
-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
Cyanides (total) (CAS 57-12-5)
K008*
Chromium (total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
K009
Chloroform (CAS 67-66-3)
K010
Chloroform (CAS 67-66-3)
K011, K013, and K014 Acetonitrile (CAS 75-05-8)
Acrylonitrile (CAS 107-13-1)
Acrylamide (CAS 79-06-1)
Benzene (CAS 7 1-34-2)
Cyanide(total) (CAS 57-12-5)
K015*
Anthracene (CAS 120-12-7)
Benzal chloride (CAS 98-87-3)
Sum of Benso(b) fluoranthene (CAS 205-99-2) and Benzo(k)fluoranthene
(CAS 207-08-9)
Phenanthrene (CAS 85-01-8)
Toluene (CAS 108-88-3)
Chromium (total) (CAS 7440-47-32)
Nickel (CAS 7440-02-0)
KOI 6 Hexachlorobenzene (CAS 118-74-1)
Hexachlorobutadiene (CAS 87-68-3)
Hexachlorocyclopentadiene (CAS 77-47-4). 0.007 (1)
Hexachloroethane (CAS 67-72-1)
Tetrachloroethene (CAS 127-18-4)
K017
1,2-Dichloropropane (CAS 78-87-5)
1,2,3-Trichloropropane (CAS 96-16-4)
Bis(2-chloroethyl)ether (CAS 1 1 1-44-4)
Concentrations
Wastewaters
(mg/L) Notes
0.74 (2)
0.9 (2)
3.4 (2)
0.1
0.1
38
0.06
19
0.02
21
1.0
0.28
0.029
0.27
0.15
0.32
0.44
0.033(1)
0.007(1)
5.6(1)
0.033(1)
0.007(1)
0.85(1,2)
0.85(1,2)
0.033 (1,2)
Non-Wastewaters
(mg/kg) Notes
NA
NA
6.0(1)
6.0(1)
1.8(1)
1.4(1)
23(1)
0.03(1)
57
3.4(1)
6.2(1)
3.4(1)
3.4(1)
6.0(1)
NA
NA
28(1)
5.6(1)
28(1)
6.0(1)
18(1)
28(1)
7.2(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H12
-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
K018
Chloroethane (CAS 75-00-3)
Chloromethane (CAS 74-87-3)
1,1-Dichloroethane (CAS 75-34-3)
1,2-Dichloroethane (CAS 107-06-2)
Hexachlorobenzene (CAS 118-74-1)
Hexachlorobutadiene (CAS 87-68-3)
Hexachloroethane (CAS 67-72-1)
Pentachloroethane (CAS 76-01-7)
1,1,1-Trichloroethane (CAS 71-55-6)
K019
Bis(2-chloroethyl)ether (CAS 111-44-4).
Chlorobenzene (CAS 108-90-7)
Chloroform (CAS 67-66-3)
p-Dichlorobenzene (CAS 106-46-7)
1,2-Dichloroethane (CAS 107-06-2)
Fluorene (CAS 86-73-7)
Hexachloroethane (CAS 67-72-1)
Naphthalene (CAS 91-20-3)
Phenanthrene (CAS 85-01-8)
1,2,4,5-Tetrachlorobenzene (CAS 95-94-3)
Tetrachloroethene (CAS 127-18-4)
1,2,4-Trichlorobenzene (CAS 120-82-1)
1,1,1-Trichloroethane (CAS 71-55-6)
K020
1,2-Dichloroethane (CAS 107-06-2)
1,1,2,2-Tetrachloroethane (CAS 79-34-6)
Tetrachloroethene (CAS 127-18-4)
K021*
Chloroform (CAS 67-66-3)
Carbon tetrachloride (CAS 56-23-5)
Antimony (CAS 7440-36-0)
Concentrations
Wastewaters
(mg/L) Notes
0.007(1)
0.007(1)
0.007(1)
0.007(1)
0.033(1)
0.007(1)
NA
0.007(1)
0.007(1)
0.007(1)
0.006(1)
0.007(1)
0.008(1)
0.007(1)
0.007(1)
0.033(1)
0.007(1)
0.007(1)
0.017(1)
0.007(1)
0.023(1)
0.007(1)
0.007(1)
0.007(1)
0.007(1)
0.046 (2)
0.057 (2)
0.60 (2)
Non-Wastewaters
(mg/kg) Notes
6.0(1)
NA
6.0(1)
6.0(1)
28(1)
5.6(1)
28(1)
5.6(1)
6.0(1)
5.6(1)
6.0(1)
6.0(1)
NA
6.0(1)
NA
28(1)
5.6(1)
5.6(1)
NA
6.0(1)
19(1)
6.0(1)
6.0(1)
5.6(1)
6.0(1)
6.2(1)
6.2(1)
NA(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H13
-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
K022*
Toluene (CAS 108-88-3)
Acetophenone (CAS 96-86-2)
Diphenylamine (CAS 22-39-4)
Diphenylnitrosamine (CAS 86-30-60)
Sum of Diphenylamine and Diphenylnitrosamine
Phenol (CAS 108-95-2)
Chromium (total) (CAS 7440-47-32)
Nickel (CAS 7440-02-0)
K023 and K024
Phthalic anhydride (measured as Phthalic acid) (CAS 85-44-9)
K028*
1,1-Dichloroethane (CAS 75-34-3)
trans- 1 ,2-Dichloroethane
Hexachlorobutadiene (CAS 87-68-3)
Hexachloroethane (CAS 67-72-1)
Pentachloroethane (CAS 76-01-7)
1,1,1,2-Tetrachloroethane (CAS 630-20-6)
1,1,2,2-Tetrachloroethane (CAS 79-34-6)
1,1,1-Trichlorethane (CAS 71-55-6)
1,1,2-Trichlorethane (CAS 79-00-5)
Tetrachloroethylene (CAS 127-18-4)
Cadmium (CAS 7440-43-9)
Chromium (total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
Nickel (CAS 7440-02-0)
K029 Chloroform (CAS 67-66-3)
1,2-Dichloroethane (CAS 107-06-2)
1,1-Dichloroethylene (CAS 75-35-4)
1,1,1-Trichloroethane (CAS 71-55-6)
Vinyl chloride (CAS 75-01-4)
Concentrations
Wastewaters
(mg/L) Notes
0.080 (2)
0.010
0.52 (2)
0.40 (2)
NA
0.039
0.35
0.47
0.54(1)
0.007(1)
0.033(1)
0.007(1)
0.033(1)
0.033(1)
0.007(1)
0.007(1)
0.007(1)
0.007(1)
0.007(1)
6.4
0.35
0.037
0.47
0.046
0.21
0.025
0.054
0.27
Non-Wastewaters
(mg/kg) Notes
0.034(1)
19(1)
NA
NA
13(1)
12(1)
NA
NA
28(1)
6.0(1)
6.0(1)
5.6(1)
28(1)
5.6(1)
5.6(1)
5.6(1)
6.0(1)
6.0(1)
6.0(1)
NA
NA
NA
NA
6.0(1)
6.0(1)
6.0(1)
6.0(1)
6.0(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H14
-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
K030
o-Dichlorobenzene (CAS 95-50-1)
p-Dichlorobenzene (CAS 106-46-7)
Hexachlorobutadiene (CAS 87-68-3)
Hexachloroethane (CAS 67-72-1)
Hexachloropropene (CAS 1888-71-7)
Pentachlorobenzene (CAS 608-93-5)
Pentachloroethane (CAS 76-01-7)
1,2,4,5-Tetrachlorobenzene (CAS 76-01-7)
Tetrachloroethane (CAS 127-18-4)
1,2,4-Trichlorobenzene (CAS 120-82-1)
K031*
Arsenic (CAS 7440-38-2)
K032
Hexachloropentadiene (CAS 77-47-4)
Chlordane (CAS 57-74-9)
Heptachlor (CAS 76-44-8)
Heptachlor epoxide (CAS 1024-57-3)
K033 and K034 Hexachlorocyclopentadiene (CAS 77-47-4)
K035
Acenaphthene (CAS 83-32-9)
Anthracene (CAS 120-12-7)
Benz(a)anthracene (CAS 56-55-3)
Benzo(a)pyrene (CAS 5-32-8)
Chrysene (CAS 218-01-9)
Dibenz(a,h)anthracene (CAS 53-70-3)
Fluoranthene (CAS 206-44-0)
Fluorene (CAS 86-73-7)
Indeno(l,2,3-cd)pyrene (CAS 193-39-5)
Cresols (m-and p-isomers)
Naphthalene (CAS 91-20-3)
o-cresol (CAS 95-48-7)
Concentrations
Wastewaters
(mg/L) Notes
0.008(1)
0.008(1)
0.007(1)
0.033(1)
NA
NA
0.007(1)
0.017
0.007(1)
0.023(1)
0.79
0.057 (2)
0.0033 (2)
0.012(2)
0.016(2)
0.057 (2)
NA
NA
0.059 (2)
NA
0.059 (2)
NA
0.068 (2)
NA
NA
0.77 (2)
0.059 (2)
0.11(2)
Non-Wastewaters
(mg/kg) Notes
NA
NA
5.6(1)
28(1)
19(1)
28(1)
5.6(1)
14(1)
6.0(1)
19(1)
NA
2.4(1)
0.26(1)
0.066(1)
0.066(1)
2.4(1)
3.4(1)
3.4(1)
3.4(1)
3.4(1)
3.4(1)
3.4(1)
3.4(1)
3.4(1)
3.4(1)
NA
3.4(1)
NA
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H15
-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
Phenanthrene (CAS 85-01-8)
Phenol (CAS 108-95-2)
Pyrene (CAS 129-00-0)
K036
Disulfoton (CAS 298-04-4)
K037
Disulfoton (CAS 298-04-4)
Toluene (CAS 108-88-3)
K038
Phorate (CAS 298-02-2)
K040
Phorate (CAS 298-02-2)
K041
Toxaphene (CAS 8001-35-1)
K042
1,2,4,5-Tetrachlorobenzene (CAS 95-94-3)
o-Dichlorobenzene (CAS 95-50-1)
p-Dichlorobenzene (CAS 106-46-7)
Pentachlorobenzene (CAS 608-93-5)
1,2,4-Trichlorobenzene (CAS 120-82-1).
K043
2,4-Dichlorophenol (CAS 120-83-2)
2,6-Dichlorophenol (CAS 87-65-0)
2,4,5-Trichlorophenol (CAS 95-95-4)
2,4,6-Trichlorophenol (CAS 88-06-2)
Tetrachlorophenols (total)
Pentachlorophenol (CAS 87-86-5)
Tetrachloroethene (CAS 79-01-6)
Hexachlorodibenzo-p-dioxins
Hexachlorodibenzo-furans
Pentachlorodibenzo-p-dioxins
Pentachlorodibenzo-furans
Tetrachlorodibenzo-p-dioxins
Concentrations
Wastewaters
(mg/L) Notes
0.059 (2)
0.039
0.067 (2)
0.025 (2)
0.025 (2)
0.080 (2)
0.025 (2)
0.025 (2)
0.0095 (2)
0.055 (2)
0.088 (2)
0.090 (2)
0.055 (2)
0.055 (2)
0.049(1)
0.013(1)
0.016(1)
0.039(1)
0.018(1)
0.22(1)
0.006(1)
0.001(1)
0.001(1)
0.001(1)
0.001(1)
0.001(1)
Non-Wastewaters
(mg/kg) Notes
3.4(1)
NA
8-2(1)
0.1(1)
0.1(1)
28(1)
0.1(1)
0.1(1)
2.6(1)
4.4(1)
4.4(1)
4.4(1)
4.4(1)
4.4(1)
0.38(1)
0.34(1)
8.2(1)
7.6(1)
0.68(1)
1.9(1)
1.7(1)
0.001(1)
0.001(1)
0.001(1)
0.001(1)
0.001(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H16
-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
Tetrachlorodibenzo-furans
K046*
Lead (CAS 7439-92-1)
K048*
Benzene (CAS 7 1-43-2)
Benzo(a)pyrene (CAS 50-32-8)
Bis(2-ethylhexy)phthalate (CAS 117-81-7)
Chrysene (CAS 218-01-9)
Di-n-butyl phthalate (CAS 84-74-2)
Ethylbenzene (CAS 100-41-4)
Fluorene (CAS 86-73-7)
Naphthalene (CAS 91-20-3)
Phenanthrene (CAS 85-01-8)
Phenol (CAS 108-95-2)
Pyrene (CAS 129-00-0)
Toluene (CAS 108-88-3)
Xylene(s)
Cyanides(total) (CAS 57-12-5)
Chromium(total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
K049*
Anthracene (CAS 120-12-7)
Benzene (CAS 7 1-43-2)
Benzo(a)pyrene (CAS 5-32-8)
Bis(2-ethylhexyl)phthalate (CAS 117-81-7)
Carbon disulfide (CAS 75-15-0)
Chrysene (CAS 2218-01-9)
2,4-Dimethylphenol (CAS 105-67-9)
Ethylbenzene (CAS 100-41-4)
Naphthalene (CAS 91-20-3)
Phenanthrene (CAS 85-01-8)
Concentrations
Wastewaters
(mg/L) Notes
0.001(1)
0.037
0.011(1)
0.047(1)
0.043(1)
0.043(1)
0.06(1)
0.011(1)
0.005(1)
0.033(1)
0.039(1)
0.047(1)
0.045(1)
0.011(1)
0.011(1)
0.028(1)
0.2
0.037
0.039(1)
0.011(1)
0.047(1)
0.043(1)
0.011(1)
0.043(1)
0.033(1)
0.011(1)
0.033(1)
0.039(1)
Non-Wastewaters
(mg/kg) Notes
0.001(1)
NA
14(1)
12(1)
7.3(1)
15(1)
3.6(1)
14(1)
NA
42(1)
34(1)
3.6(1)
36(1)
14(1)
22(1)
1.8(1)
NA
NA
28(1)
14(1)
12(1)
7.3(1)
NA
15(1)
NA
14(1)
42(1)
34(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H17
-------
Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
Phenol (CAS 108-95-2)
Pyrene (CAS 129-00-0)
Toluene (CAS 108-88-3)
Xylene(s)
Cyanides(total) (CAS 57-12-5)
Chromium(total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
K050*
Benzo(a)pyrene (CAS 50-32-8)
Phenol (CAS 108-95-2)
Cyanides(total) (CAS 57-12-5)
Chromium(total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
K051* Acenaphthene (CAS 208-96-8)
Anthracene (CAS 120-12-7)
Benzene (CAS 7 1-43-2)
Benzo(a)anthracene (CAS 50-32-8)
Benzo(a)pyrene (CAS 117-81-7)
Bis(2-ethylhexyl)phthalate) (CAS 75-15-0)
Chrysene (CAS 2218-01-09)
Di-n-butyl phthalate (CAS 105-67-9)
Ethylbenzene (CAS 100-41-4)
Fluorene (CAS 86-73-7)
Naphthalene (CAS 91-20-3)
Phenanthrene (CAS 85-01-8)
Phenol (CAS 108-95-2)
Pyrene (CAS 129-00-0)
Toluene (CAS 108-88-3)
Xylene(s)
Cyanides(total) (CAS 57-12-5)
Concentrations
Wastewaters
(mg/L) Notes
0.047(1)
0.045(1)
0.011(1)
0.011(1)
0.028(1)
0.2
0.037(1)
0.047(1)
0.047(1)
0.028(1)
0.2
0.037
0.05(1)
0.039(1)
0.011(1)
0.043(1)
0.047(1)
0.043(1)
0.06(1)
0.011(1)
0.05(1)
0.033(1)
0.039(1)
0.047(1)
0.045(1)
0.011(1)
0.011(1)
Non-Wastewaters
(mg/kg) Notes
3.6(1)
36(1)
14(1)
22(1)
1.8(1)
NA
NA
12
3.6(1)
1.8(1)
NA
NA
NA
28(1)
14(1)
20(1)
12(1)
7.3(1)
3.6(1)
14(1)
42(1)
34(1)
3.6(1)
36(1)
14(1)
22(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H18
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
Chromium(total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
K052* Benzene (CAS 71-43-2)
Benzo(a)pyrene (CAS 50-32-8)
o-Cresol (CAS 95-48-7)
p-Cresol (CAS 106-44-5)
2,4-Dimethylphenol (CAS 105-67-9)
Ethylbenzene (CAS 100-41-4)
Naphthalene (CAS 91-20-3)
Phenanthrene (CAS 85-01-8)
Phenol (CAS 108-95-2)
Toluene (CAS 108-88-3)
Xylenes
Cyanides(total) (CAS 57-12-5)
Chromium(total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
K060
Benzene (CAS 7 1-43-2)
Benzo(a)pyrene) (CAS 50-32-8)
Naphthalene (CAS 91-20-3)
Phenol (CAS 108-95-2)
Cyanides(total) (CAS 57-12-5)
K061*
Cadmium (CAS 7440-43-9)
Chromium(total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
Nickel (CAS 7440-02-0)
K062*
Chromium(total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
Nickel (CAS 7440-02-0)
Concentrations
Wastewaters
(mg/L) Notes
0.028(1)
0.2
0.011(1)
0.047(1)
0.011(1)
0.011(1)
0.033(1)
0.011(1)
0.033(1)
0.039(1)
0.047(1)
0.011(1)
0.011(1)
0.028(1)
0.2
0.037
0.17(1,2)
0.035 (1,2)
0.028 (1,2)
0.042 (1,2)
1.9
1.61
0.32
0.51
0.44
0.32
0.04
0.44
Non-Wastewaters
(mg/kg) Notes
1.8(1)
NA
14(1)
12(1)
6.2(1)
6.2(1)
NA
14(1)
42(1)
34(1)
3.6(1)
14(1)
22(1)
1.8(1)
NA
NA
0.071(1)
3.6(1)
3.4(1)
3.4(1)
1.2
NA
NA
NA
NA
NA
NA
NA
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H19
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
K069***
Cadmium (CAS 7440-43-9)
Lead (CAS 7439-92-1)
K071*
Mercury (CAS 7439-97-6)
K073
Carbon tetrachloride (CAS 56-23-5)
Chloroform (CAS 67-66-3)
Hexachloroethane (CAS 67-72-1)
Tetrachloroethene (CAS 127-18-4)
1,1,1-Trichloroethane (CAS 71-55-6)
K083*
Benzene (CAS 7 1-34-2)
Aniline (CAS 62-53-3)
Diphenylamine (CAS 22-39-4)
Diphenylnitrosamine (CAS 86-30-6)
Sum of diphenylamine and Diphenyl- nitrosamine
Nitrobenzene (CAS 98-95-3)
Phenol (CAS 108-95-2)
Cyclohexanone (CAS 108-94-1)
Nickel (CAS 7440-02-0)
K084 Arsenic (CAS 7440-38-2)
K085 Benzene (CAS 71-43-2)
Chlorobenzene (CAS 108-90-7)
o-Dichlorobenzene (CAS 95-50-1)
m-Dichlorobenzene (CAS 541-73-1)
p-Dichlorobenzene (CAS 106-46-7)
1,2,4-Trichlorobenzene (CAS 120-82-1)
1,2,4,5-Tetrachlorobenzene (CAS 95-94-3)
Pentachlorobenzene (CAS 608-93-5)
Hexachlorobenzene (CAS 118-74-1)
Aroclor 1016 (CAS 12674-11-2)
Concentrations
Wastewaters
(mg/L) Notes
1.6
0.51
0.030
0.057 (2)
0.046 (2)
0.055 (2)
0.056 (2)
0.054 (2)
0.14(2)
0.81
0.52 (2)
0.40 (2)
NA
0.068 (2)
0.039 (2)
0.36
0.47
0.79
0.14(2)
0.057 (2)
0.088 (2)
0.036 (2)
0.090 (2)
0.055 (2)
0.055 (2)
0.055 (2)
0.055 (2)
0.013(2)
Non-Wastewaters
(mg/kg) Notes
NA
NA
NA
6.2(1)
6.2(1)
30(1)
6.2(1)
6.2(1)
6.6(1)
14(1)
NA
NA
14(1)
14(1)
5.6(1)
NA
NA
NA
4.4(1)
4.4(1)
4.4(1)
4.4(1)
4.4(1)
4.4(1)
4.4(1)
4.4(1)
4.4(1)
0.92(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H20
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
Aroclor 1221 (CAS 11104-28-2)
Aroclor 1232 (CAS 11141-16-5)
Aroclor 1242 (CAS 53469-21-9)
Aroclor 1248 (CAS 12672-29-6)
Aroclor 1254 (CAS 11097-69-1)
Aroclor 1260 (CAS 11096-82-5)
K086* Acetone (CAS 67-64-1)
Acetophenone (CAS 96-86-2)
Bis(2-ethylhexyl)phthalate
n-Butyl alcohol (CAS 71-36-3)
Butyl benzyl phthalate (CAS 85-68-7)
Cyclohexanone (CAS 108-94-1)
1,2-Dichlorobenzene (CAS 95-50-1)
Diethyl phthalate (CAS 84-66-2)
Dimethylphthalate (CAS 131-11-3)
Di-n-butylphthalate (CAS 84-74-2)
Di-n-octylphthalate (CAS 117-84-0)
Ethyl acetate (CAS 141-78-6)
Ethylbenzene (CAS 100-41-4)
Methanol (CAS 67-56-1)
Methyl isobutyl ketone (CAS 108-10-1)
Methyl ethyl ketone (CAS 78-93-3)
Methylene chloride (CAS 75-09-2)
Naphthalene (CAS 91-20-3)
Nitrobenzene (CAS 98-95-3)
Toluene (CAS 108-88-3)
1,1,1-Trichloroethane (CAS 71-55-6)
Trichloroethylene (CAS 79-01-6)
Xylenes (Total)
Cyanides (Total) (CAS 57-12-5)
Concentrations
Wastewaters
(mg/L) Notes
0.014(2)
0.013(2)
0.017(2)
0.013(2)
0.014(2)
0.014(2)
0.28
0.010
0.28 (2)
5.6
0.017(2)
0.36
0.088
0.20 (2)
0.047 (2)
0.057 (2)
0.017(2)
0.34 (2)
0.057 (2)
5.6 (2)
0.14
0.28
0.089 (2)
0.059 (2)
0.068 (2)
0.080 (2)
0.054 (2)
0.054 (2)
0.32 (2)
1.91.5
Non-Wastewaters
(mg/kg) Notes
0.92(1)
0.92(1)
0.92(1)
0.92(1)
1.8(1)
1.8(1)
160(1)
9.7(1)
28(1)
2.6(1)
7.9(1)
NA
6.2(1)
28(1)
28(1)
28(1)
28(1)
33(1)
6.0
NA
33(1)
36(1)
33(1)
3.1(1)
14(1)
28(1)
5.6(1)
5.6(1)
28(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H21
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
Chromium (Total) (CAS 7440-47-32)
Lead (CAS 7439-92-1)
K087* Acenaphthylene (CAS 208-96-8)
Benzene (CAS 7 1-43-2)
Chrysene (CAS 218-01-9)
Fluoranthene (CAS 206-44-0)
Indeno(l,2,3-cd)pyrene (CAS 193-39-5)
Naphthalene (CAS 91-20-3)
Phenanthrene (CAS 85-01-8)
Toluene (CAS 85-01-8)
Xylenes
Lead (CAS 7439-92-1)
K093 and K094 Phthalic anhydride (CAS 85-44-9)
(measured as Phthalic acid)
K095
1,1,1,2-Tetrachloroethane (CAS 630-20-6)
1,1,2,2-Tetrachloroethane (CAS 79-34-6)
Tetrachloroethene (CAS 127-18-4)
1,1,2-Trichloroethane (CAS 79-00-5)
Trichloroethylene (CAS 79-01-6)
Hexachloroethane (CAS 67-72-1)
Pentachloroethane (CAS 76-01-7)
K096 1,1,1,2-Tetrachloroethane (CAS 630-20-6)
1,1,2,2-Tetrachloroethane (CAS 79-34-6)
Tetrachloroethene (CAS 127-18-4)
1,1,2-Trichloroethane (CAS 79-00-5)
Trichloroethene (CAS 79-01-6)
Trichloroethylene (CAS 79-01-6)
1,3-Dichlorobenzene (CAS 541-73-1)
Pentachloroethane (CAS 76-01-7)
1,2,4-Trichlorobenzene (CAS 120-82-1)
Concentrations
Wastewaters
(mg/L) Notes
0.32
0.037
0.028(1)
0.014(1)
0.028(1)
0.028(1)
0.028(1)
0.028(1)
0.028(1)
0.008(1)
0.014(1)
0.037
0.54(1)
0.057
0.057
0.056
0.054
0.054
0.055
0.055
0.057
0.057
0.056
0.054
0.054
0.054
0.036
0.055
0.055
Non-Wastewaters
(mg/kg) Notes
NA
NA
3.4(1)
0.071(1)
3.4(1)
3.4(1)
3.4(1)
3.4(1)
3.4(1)
0.65(1)
0.07(1)
NA
28(1)
5.6(1)
5.6(1)
6.0(1)
6.0(1)
5.6(1)
28(1)
5.6(1)
5.6(1)
5.6(1)
6.0(1)
6.0(1)
5.6(1)
5.6(1)
5.6(1)
5.6(1)
19(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H22
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
K097 Hexachlorocyclopentadiene (CAS 77-47-4)
Chlordane (CAS 57-74-9)
Heptachlor (CAS 76-44-8)
Heptachlor epoxide (CAS 1024-57-3)
K098
Toxaphene (CAS 8001-35-1)
K099
2,4-Dichlorophenoxyacetic acid (CAS 94-75-7)
Hexachlorodibenzo-p-dioxins
Hexachlorodibenzofurans
Pentachlorodibenzo-p-dioxins
Pentachlorodibenzofurans
Tetrachlorodibenzo-p-dioxins
Tetrachlorodibenzofurans
K100*
Cadmium (CAS 7440-43-9)
Chromium (CAS 7440-47-32)
Lead (CAS 7439-92-1)
K101
o-Nitroaniline
Arsenic (CAS 7440-38-2)
Cadmium (CAS 7440-43-9)
Lead (CAS 7439-92-1)
Mercury (CAS 7439-97-6)
K102*
o-Nitrophenol
Arsenic (CAS 7440-38-2)
Cadmium (CAS 7440-43-9)
Lead (CAS 7439-92-1)
Mercury (CAS 7439-97-6)
K103
Aniline (CAS 62-53-3)
Benzene (CAS 7 1-34-2)
Concentrations
Wastewaters
(mg/L) Notes
0.057 (2)
0.0033 (2)
0.0012 (2)
0.016(2)
0.0095 (2)
1.0(1)
0.001(1)
0.001(1)
0.001(1)
0.001(1)
0.001(1)
0.001(1)
1.6
0.32
0.51
0.27(1)
0.79
0.24
0.17
0.082
0.028(1)
0.79
0.24
0.17
0.082
4.5
0.15
Non-Wastewaters
(mg/kg) Notes
2.4(1)
0.26(1)
0.066(1)
0.066(1)
2.6(1)
1.0(1)
0.001(1)
0.001(1)
0.001(1)
0.001(1)
0.001(1)
0.001(1)
NA
NA
NA
14(1)
NA
NA
NA
NA
13(1)
NA
NA
NA
NA
5.6(1)
6.0(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H23
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
2,4-Dinitrophenol (CAS 51-28-5)
Nitrobenzene (CAS 98-95-3)
Phenol (CAS 108-95-2)
K104
Aniline (CAS 62-53-3)
Benzene (CAS 7 1-43-2)
2,4-Dinitrophenol (CAS 51-28-5)
Nitrobenzene (CAS 98-95-3)
Phenol (CAS 108-95-2)
Cyanides (Total) (CAS 57-12-5)
K105
Benzene (CAS 7 1-43-2)
Chlorobenzene (CAS 108-90-7)
o-Dichlorobenzene (CAS 95-50-1)
p-Dichlorobenzene (CAS 106-46-7)
2,4,5-Trichlorophenol (CAS 95-95-4)
2,4,6-Trichlorophenol (CAS 88-06-2)
2-Chlorophenol (CAS 95-57-8)
Phenol (CAS 108-95-2)
K106***
Mercury (CAS 7439-97-6)
K115*
Nickel (CAS 7440-02-0)
P004 (Aldrin)
Aldrin (CAS 309-00-2)
P010* (Arsenic acid)
Arsenic (CAS 7440-38-2)
P011* (Arsenic pentoxide) Arsenic (CAS
7440-38-2)
P012* (Arsenic trioxide)
Arsenic (CAS 7440-38-2)
P013* (Barium cyanide) Cyanides (Total)
Cyanides (Amenable)
P020 (Dinoseb)
2-sec-Butyl-4,6-dinitrophenol (CAS 88-85-7)
Concentrations
Wastewaters
(mg/L) Notes
0.61
0.073
1.4
4.5
0.15
0.61
0.073
1.4
2.7
0.14
0.057
0.088
0.090
0.18
0.035
0.044
0.039
0.030
0.47
0.21 (2)
0.79
0.79
0.79
1.9
0.1
0.066
Non-Wastewaters
(mg/kg) Notes
5.6(1)
5.6(1)
5.6(1)
5.6(1)
6.0(1)
5.6(1)
5.6(1)
5.6(1)
1.8(1)
4.4(1)
4.4(1)
4.4(1)
4.4(1)
4.4(1)
4.4(1)
4.4(1)
4.4(1)
NA
NA
0.066(1)
NA
NA
NA
110
9.1
2.5(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H24
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
P021 (Calcium cyanide) Cyanides (Total) (CAS
57-12-5)
Cyanides (Amenable) (CAS 57-12-5)
P022** (Carbon disulfide) Carbon disulfide (CAS 75-15-0)
P024 (p-Chloroaniline)
p-Chloroaniline (CAS 106-47-8)
P029 (Copper cyanide) Cyanides (Total) (CAS 57-12-5)
Cyanides (Amenable) (CAS 57-12-5)
P030 (Cyanides (soluble salts and complexes)
Cyanides (Total) (CAS 57-12-5)
Cyanides (Amendable) (CAS 57-12-5)
P036* (Dichlorophenylarsine) Arsenic (CAS 7440-38-2)
P037
Dieldrin (CAS 60-57-1)
P038* (Diethylarsine)
Arsenic (CAS 7440-38-2)
P039
Disulfoton (CAS 298-04-4)
P047
4,6-Dinitro-o-cresol (CAS 534-52-1)
P048
2,4-Dinitrophenol (CAS 51-28-5)
P050
Endosulfan I (CAS 939-98-8)
Endosulfan II (CAS 33213-6-5)
Endosulfan sulfate (CAS 1031-07-8)
P051
Endrin (CAS 72-20-8)
Endrin aldehyde (CAS 7421-93-4)
P056**
Fluoride (CAS 16964-48-8)
P059
Heptachlor (CAS 76-44-8)
Heptachlor epoxide (CAS 1024-57-3)
P060
Isodrin (CAS 465-73-6)
Concentrations
Wastewaters
(mg/L) Notes
1.9
0.1
0.014
0.46
1.9
0.1
1.9
0.1
0.79
0.017(2)
0.79
0.017
0.28
0.12(2)
0.023 (2)
0.029 (2)
0.029 (2)
0.0028 (2)
0.025 (2)
35
0.0012 (2)
0.016(2)
0.021 (2)
Non-Wastewaters
(mg/kg) Notes
110
9.1
NA
16(1)
110
9.1
110
9.1
NA
0.13(1)
NA
0.1(1)
160(1)
160(1)
0.066(1)
0.13(1)
0.13(1)
0.13(1)
0.13(1)
NA
0.066(1)
0.066(1)
0.066(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H25
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
P063 (Hydrogen cyanide) Cyanides (Total) (CAS 57-12-5)
Cyanides (Amenable) (CAS 57-12-5)
P065*** (Mercury fulminate) Mercury (CAS 7439-97-6)
P071
Methyl parathion (CAS 298-00-0)
P073* (Nickel carbonyl)
Nickel (CAS 7440-02-0)
P074* (Nickel cyanide) Cyanides (Total) (CAS 57-12-5)
Cyanides (Amenable) (Cas 57-12-5)
Nickel (CAS 7440-02-0)
P077
p-Nitroaniline (CAS 100-01-6)
P082**
N-Nitrosodimethylamine (CAS 62-75-9)
P089
Parathion (CAS 56-38-2)
P092*** (Phenylmercury acetate)
Mercury (CAS 7439-97-6)
P094
Phorate (CAS 298-02-2)
P097
Famphur (CAS 52-85-7)
P098 (Potassium cyanide) Cyanides (Total) (CAS 57-12-5)
Cyanides (Amenable) (CAS 57-12-5)
P099* (Potassium silver cyanide)
Cyanides (Total) (CAS 57-12-5)
Cyanides (Amenable) (CAS 57-12-5)
Silver (CAS 7440-22-4)
P101
Ethyl cyanide (Propanenitrite)
(CAS 107-12-0)
PI 03* (Selenourea)
Selenium (CAS 7782-49-2)
P104* (Silver cyanide)
Cyanides (Total) (CAS 57-12-5)
Concentrations
Wastewaters
(mg/L) Notes
1.9
0.10
0.030
0.025
0.32
1.9
0.10
0.44
0.028 (2)
0.40 (2)
0.025
0.030
0.025
0.025
1.9
0.10
1.9
0.1
0.29
0.24 (2)
1.0(2)
1.9
Non-Wastewaters
(mg/kg) Notes
110
9.1
NA
0.1(1)
NA
110
9.1
NA
28(1)
NA
0.1(1)
NA
0.1(1)
0.1(1)
110
9.1
110
9.1
NA
360(1)
NA
110
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H26
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
Cyanides (Amendable) (CAS 57-12-5)
Silver (CAS 7440-22-4)
P106 (Sodium cyanide) Cyanides (Total) (CAS 57-12-5)
Cyanides (Amenable) (CAS 57-12-5)
P110***(Tetraethyllead)
Lead (CAS 7439-92-1)
P113**(Thallicoxide)
Thallium (CAS 7440-28-0)
PI 14* (Thallium selenite) Selenium (CAS 7782-49-2)
PI 15** (Thallium(l)sulfate) Thallium (CAS 7440-28-0)
PI 19** (Ammonia vanadate) Vanadium (CAS 7440-62-2)
P120** (Vanadium pentoxide) Vanadium (CAS 7440-62-2)
P121 (Zinc cyanide)
Cyanides (Total) (CAS 57-12-5)
Cyanides (Amenable) (CAS 57-12-5)
P123
Toxaphene (CAS 8001-35-1)
U002
Acetone (CAS 67-64-1)
U003**
Acetonitrile (CAS 75-05-8)
U004
Acetophenone (CAS 98-86-2)
U005
2-Acetylaminofluorene (CAS 53-96-3)
U009
Acrylonitrile (CAS 107-13-1)
U012
Aniline (CAS 62-53-3)
U018
Benz(a)anthracene (CAS 56-55-3)
U019
Benzene (CAS 7 1-34-2)
U022
Benzo(a)pyrene (CAS 50-32-8)
Concentrations
Wastewaters
(mg/L) Notes
0.10
0.29
1.9
0.10
0.040
0.14(2)
1.0
0.14(2)
28(2)
28(2)
1.9
0.10
0.0095 (2)
0.28
0.17
0.010(1)
0.059 (2)
0.24 (2)
0.81
0.059 (2)
0.14(2)
0.061 (2)
Non-Wastewaters
(mg/kg) Notes
9.1
NA
110
9.1
NA
NA
NA
NA
NA
NA
110
9.1
1.3(1)
160(1)
0.17
9.7(1)
140(1)
84(1)
14(1)
8.2(1)
36(1)
8.2(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H27
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
U024
Bis(2-chloroethoxy)methane (CAS 111-91-1).
U025
Bis(2-chloroethyl)ether (CAS 1 1 1-44-4)
U027
Bis(2-chloroisopropyl)ether (CAS 39638-32-9)
U028
Bis(2-ethylhexyl)phthalate (CAS 117-81-7)
U029
Bromomethane (Methyl bromide) (CAS 74-83-9)
U030
4-Bromophenyl phenyl ether (CAS 101-55-3)
U031
n-Butyl alcohol (CAS 71-36-3)
U032* (Calcium chromate) Chromium (Total)
(CAS 7440-47-32)
U036
Chlordane (alpha and gamma)(CAS 57-74-9)
U037
Chlorobenzene (CAS 108-90-7)
U038**
Chlorobenzilate (CAS 510-15-6)
U039
p-Chloro-m-cresol (CAS 59-50-7)
U042**
2-Chloroethylvinyl (CAS 110-75-8)
U043
Vinyl chloride (CAS 75-01-4)
U044
Chloroform (CAS 67-66-3)
U045 Chloromethane (Methyl chloride) (CAS
74-87-3).
U047 2-Chloronaphthalene (CAS 91-58-7)
U048 2-Chlorophenol (CAS 95-57-8)
U050 Chrysene (CAS 218-01-9)
U051* (Creosote) Naphthalene (CAS 91-20-3)
Pentachlorophenol (CAS 87-86-5)
Phenanthrene (CAS 85-01-8)
Concentrations
Wastewaters
(mg/L) Notes
0.036
0.033
0.055 (2)
0.54(1)
0.11(1)
0.055(1)
5.6
0.32
0.033 (2)
0.057 (2)
0.10(2)
0.018(2)
0.057
0.27 (2)
0.046 (2)
0.19(2)
0.055 (2)
0.044 (2)
0.059 (2)
0.031
0.18
0.031
Non-Wastewaters
(mg/kg) Notes
7.2(1)
7.2(1)
7.2(1)
28(1)
15(1)
15(1)
2.6
NA
0.13(1)
5.7(1)
NA
14(1)
NA
33(1)
5.6(1)
33(1)
5.6(1)
5.7(1)
8.2(1)
1.5(1)
7.4(1)
1.5(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H28
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
Pyrene (CAS 129-00-0)
Toluene (CAS 108-88-3)
Xylenes (Total)
Lead (CAS 7439-92-1)
U052 (Cresols-Cresylic acid) o-Cresol (CAS 95-48-7)
Cresols (m- and p- isomers)
U057** Cyclohexanone (CAS 108-94-1)
U060 (DDD) o,p'-DDD (CAS 53-19-0)
o,p'-DDD (CAS 72-54-8)
U061 (DDT) o,p'-DDT (CAS 780-02-6)
p,p'-DDT (CAS 50-29-3)
o,p'-DDD (CAS 53-19-0)
p,p'-DDD (CAS 72-54-8)
o,p'-DDE (CAS 3424-82-6)
U063 Dibenzo(a,h)anthracene (CAS 53-70-3)
U066 l,2-Dibromo-3-chloropropane(CAS 96-12-8)
U067 1,2-Dibromo ethane (Ethylene dibromide) (CAS 106-93-4)
U068 Dibromethane (CAS 74-95-3)
U069 Di-n-butyl phathalate (CAS 84-74-2)
U070 o-Dichlorobenzene (CAS 95-50-1)
U071 m-Dichlorobenzene (CAS 541-73-1)
U072 p-Dichlorobenzene (CAS 104-46-7)
U075 Dichlorodifluoromethane (CAS 75-71-8)
U076 l,l-Dichloroethane(CAS 75-34-3)
U077 1,2-Dichloroethane (CAS 107-06-2)
U078 1,1-Dichloroethylene (CAS 75-35-4)
U079 (1,2-Dichloroethylene) trans- 1,2-Dichloroethylene (CAS 156-60-5)
U080 Methylene chloride (CAS 75-09-2)
U081 2,4-Dichlorophenol (CAS 120-83-2)
U082 2,6-Dichlorophenol (CAS 87-65-0)
Concentrations
Wastewaters
(mg/L) Notes
0.028
0.028
0.032
0.037
0.11(2)
0.77 (2)
0.36
0.023
0.023
0.0039 (2)
0.0039 (2)
0.023 (2)
0.023 (2)
0.031 (2)
0.055 (2)
0.11(2)
0.028 (2)
0.11(2)
0.54(1)
0.088 (2)
0.036
0.090 (2)
0.23 (2)
0.059 (2)
0.21 (2)
0.025 (2)
0.054 (2)
0.089 (2)
0.044 (2)
0.044 (2)
Non-Wastewaters
(mg/kg) Notes
1.5(1)
28(1)
33(1)
NA
5.6(1)
3.2(1)
NA
0.087(1)
0.087(1)
0.087(1)
0.087(1)
0.087(1)
0.087(1)
0.087(1)
8.2(1)
15(1)
15(1)
15(1)
28(1)
6.2(1)
6.2(1)
6.2 (2)
7.2(1)
7.2(1)
7.2(1)
33(1)
33(1)
33(1)
14(1)
14(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H29
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
U083 1,2-Dichloropropane (CAS 78-87-5)
U084 (1,3-Dichloropropene) cis-l,3-Dichloropropylene (CAS 10061-01-5)
trans- 1,3-Dichloropropylene (CAS 10061-02-6)
U088 Diethyl phthalate (CAS 84-66-2)
U093** p-Dimethylaminoazobenzene (CAS 60-11-7)
U101 2,4-Dimethylphenol (CAS 105-67-9)
U102 Dimethyl phthalate (CAS 131-11-3)
U105 2,4-Dinitrotoluene (CAS 121-14-2)
U106 2,6-Dinitrotoluene (CAS 606-20-2)
U107 Di-n-octyl phthalate (CAS 117-84-0)
U108 l,4-Dioxane(CAS 123-91-1)
Ulll Di-n-propylnitrosamine (CAS 621-64-7)
U112 Ethyl acetate (CAS 141-78-6)
U117 Ethyl ether (CAS 60-29-7)
Ul 18 Ethyl methacrylate (CAS 97-63-2)
U120 Fluoranthene (CAS 206-44-0)
U121 richloromonofluoromethane (CAS 75-69-4)
U127 Hexachlorobutadiene (CAS 118-74-1)
U128 Hexachlorobutadiene (CAS 87-68-3)
U129 (Lindane) alpha-BHC (CAS 319-84-6)
beta-BHC (CAS 319-85-7)
delta-BHC (CAS 319-86-8)
gamma-BHC (Lindane) (CAS 58-89-9)
U130 Hexachlorocyclopentadiene (CAS 77-47-7)
U131 Hexachloroethane (CAS 67-72-1)
U134** (Hydrogen fluoride) Floride (CAS 16964-48-8)
U136* (Cacodylic acid) Arsenic (CAS 7440-38-2)
U137* Indeno(l,2,3-c,d)pyrene(CAS 193-39-5)
UBS lodomethane (CAS 74-88-4)
U140 Isobutyl alcohol (CAS 78-83-1)
Concentrations
Wastewaters
(mg/L) Notes
0.85 (2)
0.036 (2)
0.036 (2)
0.54 (2)
0.13(2)
0.036 (2)
0.54(1)
0.32 (2)
0.55 (2)
0.54(1)
0.12(2)
0.40 (20
0.34 (2)
0.12(2)
0.14(2)
0.068 (2)
0.020 (2)
0.055 (2)
0.055 (2)
0.00014 (2)
0.00014 (2)
0.023 (2)
0.0017 (2)
0.057 (2)
0.055 (2)
35
0.79
0.0055 (2)
0.19(2)
5.6
Non-Wastewaters
(mg/kg) Notes
18(1)
18(1)
18(1)
28(1)
NA
14(1)
28(1)
140(1)
28(1)
28(1)
170(1)
14(1)
33(1)
160(1)
160(1)
8.2(1)
33(1)
37(1)
28(1)
0.66(1)
0.66(1)
0.66(1)
0.66(1)
3.6(1)
28(1)
NA
NA
6.2(1)
65(1)
170(1)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H30
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Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA
Appendix H: Constituent Concentrations in Wastes (CCW) (40 CFR 268.43(a))
Waste Codes
Regulated Hazardous Constituent with Applicable CAS Numbers
U141 Isosafrole (CAS 120-58-1)
U142 Kepone (CAS 143-50-8)
U144* (Lead acetate) Lead (CAS 7439-92-1)
U145* (Lead phosphate) Lead (CAS 7439-92-1)
U146* (Lead subacetate) Lead (CAS 7439-92-1)
U151*** Mercury (CAS 7439-97-6)
U152 Methacrylonitrile (CAS 126-98-7)
U154 Methanol (CAS 67-56-1)
U155 Methapyrilene (CAS 91-80-5)
U157 3-Methylcholanthrene (CAS 56-49-5)
U158 4,4'-Methylenebis(2-chloroaniline)(CAS 101-14-4)
U159 Methyl ethyl ketone (CAS 78-93-3)
U162 Methyl methacrylate (CAS 60-62-6)
U165 Naphthalene (CAS 91-20-3)
U168** 2-Naphthylamine (CAS 91-59-8)
U169 Nitrobenzene (CAS 98-95-3)
U170 4-Nitrophenol (CAS 100-02-7)
Concentrations
Wastewaters
(mg/L) Notes
0.081
0.0011
0.040
0.040
0.040
0.030
0.24 (2)
5.6
0.081
0.0055 (2)
0.50(2)
0.28
0.14
0.059 (2)
0.52 (2)
0.068 (2)
0.12(2)
Non-Wastewaters
(mg/kg) Notes
2.6(1)
0.13(1)
NA
NA
NA
NA
84(1)
NA
1.5(1)
15(1)
35(1)
36(1)
160(1)
3.1(1)
NA
14
29(1)
* See also Appendix 4-8, Table CCWE in 40 CFR 268.41
** See also Appendix 4-9, Table 2 in 40 CFR 268.42
*** See also Appendix 4-8, Table CCWE in 40 CFR 268.41 and Table 2 in 268.42
(1) Treatment standards for this organic constituent were established based upon incineration in units operated in accordance with the
technical requirements of 40 CFR Part 264 Subpart O or Part 265 Subpart O, or based upon combustion in fuel substitution units
operating in accordance with applicable technical requirements. A facility may certify compliance with these treatment standards
according to provisions in 40 CFR Part 268.7.
(2) Based on analysis of composite samples.
(3) As analyzed using SW-846 Method 9010 or 9012; sample size 10 gram; distillation time: one hour and fifteen minutes.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
H31
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Authority: 42 U.S.C. 6905, 6912(a), 6921-6927, 6930, 6934, 6935, 6937, 6938, 6939, and 6974.
1. Source: 45 FR 33073, May 19, 1980, unless otherwise noted.
Effective Date Note: The reporting or recordkeeping provisions included in the final rule published at
47 FR 32274, July 26, 1982, will be submitted for approval to the Office of Management and Budget
(OMB), and will not become effective until OMB approval has been obtained. EPA will publish a
notice of the effective date of the reporting and recordkeeping provisions of this rule after it obtains
OMB approval.
Subpart AGeneral
§ 260.1 Purpose, scope, and applicability.
(a) This part provides definitions of terms, general standards, and overview information applicable to parts 260
through 265 and 268 of this chapter.
(b) In this part: (1) Section 260.2 sets forth the rules that EPA will use in making information it receives available to
the public and sets forth the requirements that generators, transporters, or owners or operators of treatment, storage,
or disposal facilities must follow to assert claims of business confidentiality with respect to information that is
submitted to EPA under parts 260 through 265 and 268 of this chapter.
(2) Section 260.3 establishes rules of grammatical construction for parts 260 through 265 and 268 of this chapter.
(3) Section 260.10 defines terms which are used in parts 260 through 265 and 268 of this chapter.
(4) Section 260.20 establishes procedures for petitioning EPA to amend, modify, or revoke any provision of parts 260
through 265 and 268 of this chapter and establishes procedures governing EPA's action on such petitions.
(5) Section 260.21 establishes procedures for petitioning EPA to approve testing methods as equivalent to those
prescribed in parts 261, 264, or 265 of this chapter.
(6) Section 260.22 establishes procedures for petitioning EPA to amend subpart D of part 261 to exclude a waste from
a particular facility.
[45 FR 33073, May 19,1980, as amended at 51 FR 40636, Nov. 7, 1986]
§ 260.2 Availability of information; confidentiality of information.
(a) Any information provided to EPA under parts 260 through 265 and 268 of this chapter will be made available to
the public to the extent and in the manner authorized by the Freedom of Information Act, 5 U.S.C. section 552,
section 3007(b) of RCRA and EPA regulations implementing the Freedom of Information Act and section 3007(b),
part 2 of this chapter, as applicable.
(b) Any person who submits information to EPA in accordance with parts 260 through 266 and 268 of this chapter
may assert a claim of business confidentiality covering part or all of that information by following the procedures set
forth in §2.203(b) of this chapter. Information covered by such a claim will be disclosed by EPA only to the extent,
and by means of the procedures, set forth in part 2, subpart B, of this chapter except that information required by
§262.53(a) and §262.83 that is submitted in a notification of intent to export a hazardous waste will be provided to the
U.S. Department of State and the appropriate authorities in the transit and receiving or importing countries
regardless of any claims of confidentiality. However, if no such claim accompanies the information when it is
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received by EPA, it may be made available to the public without further notice to the person submitting it.
[45 FR 33073, May 19, 1980, as amended at 51 FR 28682, Aug. 8, 1986; 51 FR 40636, Nov. 7, 1986; 61 FR 16309, Apr.
12,1996]
§ 260.3 Use of number and gender.
As used in parts 260 through 265 and 268 of this chapter:
(a) Words in the masculine gender also include the feminine and neuter genders; and
(b) Words in the singular include the plural; and
(c) Words in the plural include the singular.
[45 FR 33073, May 19,1980, as amended at 51 FR 40636, Nov. 7, 1986]
Subpart BDefinitions
§260.10 Definitions.
When used in parts 260 through 273 of this chapter, the following terms have the meanings given below:
Above ground tank means a device meeting the definition of "tank" in §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.
Act or RCRA means the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act of
1976, as amended, 42 U.S.C. section 6901 et seq.
Active life of a facility means the period from the initial receipt of hazardous waste at the facility until the Regional
Administrator receives certification of final closure.
Active portion means that portion of a facility where treatment, storage, or disposal operations are being or have
been conducted after the effective date of part 261 of this chapter and which is not a closed portion. (See also
"closed portion" and "inactive portion".)
Administrator means the Administrator of the Environmental Protection Agency, or his designee.
Ancillary equipment means any device including, but not limited to, such devices as piping, fittings, flanges, valves,
and pumps, that is used to distribute, meter, or control the flow of hazardous waste from its point of generation to a
storage or treatment tank(s), between hazardous waste storage and treatment tanks to a point of disposal onsite, or
to a point of shipment for disposal off-site.
Aquifer means a geologic formation, group of formations, or part of a formation capable of yielding a significant
amount of ground water to wells or springs.
Authorized representative means the person responsible for the overall operation of a facility or an operational unit
(i.e., part of a facility), e.g., the plant manager, superintendent or person of equivalent responsibility.
Battery means a device consisting of one or more electrically connected electrochemical cells which is designed to
receive, store, and deliver electric energy. An electrochemical cell is a system consisting of an anode, cathode, and
an electrolyte, plus such connections (electrical and mechanical) as may be needed to allow the cell to deliver or
-------
receive electrical energy. The term battery also includes an intact, unbroken battery from which the electrolyte has
been removed.
Boiler means an enclosed device using controlled flame combustion and having the following characteristics:
(1 )(i) The unit must have physical provisions for recovering and exporting thermal energy in the form of steam,
heated fluids, or heated gases; and
(ii) The unit's combustion chamber and primary energy recovery sections(s) must be of integral design. To be of
integral design, the combustion chamber and the primary energy recovery section(s) (such as waterwalls and
superheaters) must be physically formed into one manufactured or assembled unit. A unit in which the combustion
chamber and the primary energy recovery section(s) are joined only by ducts or connections carrying flue gas is not
integrally designed; however, secondary energy recovery equipment (such as economizers or air preheaters) need
not be physically formed into the same unit as the combustion chamber and the primary energy recovery section.
The following units are not precluded from being boilers solely because they are not of integral design: process
heaters (units that transfer energy directly to a process stream), and fluidized bed combustion units; and
(iii) While in operation, the unit must maintain a thermal energy recovery efficiency of at least 60 percent, calculated
in terms of the recovered energy compared with the thermal value of the fuel; and
(iv) The unit must export and utilize at least 75 percent of the recovered energy, calculated on an annual basis. In this
calculation, no credit shall be given for recovered heat used internally in the same unit. (Examples of internal use are
the preheating of fuel or combustion air, and the driving of induced or forced draft fans or feedwater pumps); or
(2) The unit is one which the Regional Administrator has determined, on a case-by-case basis, to be a boiler, after
considering the standards in §260.32.
Carbon regeneration unit means any enclosed thermal treatment device used to regenerate spent activated carbon.
Certification means a statement of professional opinion based upon knowledge and belief.
Closed portion means that portion of a facility which an owner or operator has closed in accordance with the
approved facility closure plan and all applicable closure requirements. (See also "active portion" and "inactive
portion".)
Component means either the tank or ancillary equipment of a tank system.
Confined aquifer means an aquifer bounded above and below by impermeable beds or by beds of distinctly lower
permeability than that of the aquifer itself; an aquifer containing confined ground water.
Container means any portable device in which a material is stored, transported, treated, disposed of, or otherwise
handled.
Containment building means a hazardous waste management unit that is used to store or treat hazardous waste
under the provisions of subpart DD of parts 264 or 265 of this chapter.
Contingency plan means a document setting out an organized, planned, and coordinated course of action to be
followed in case of a fire, explosion, or release of hazardous waste or hazardous waste constituents which could
threaten human health or the environment.
Corrosion expert means a person who, by reason of his 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 certified as being qualified by the National Association of Corrosion Engineers (NACE) or be a
registered professional engineer who has certification or licensing that includes education and experience in
corrosion control on buried or submerged metal piping systems and metal tanks.
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Designated facility means a hazardous waste treatment, storage, or disposal facility which (1) has received a permit
(or interim status) in accordance with the requirements of parts 270 and 124 of this chapter, (2) has received a permit
(or interim status) from a State authorized in accordance with part 271 of this chapter, or (3) is regulated under
§261.6(c)(2) or subpart F of part 266 of this chapter, and (4) that has been designated on the manifest by the
generator pursuant to §260.20. If a waste is destined to a facility in an authorized State which has not yet obtained
authorization to regulate that particular waste as hazardous, then the designated facility must be a facility allowed by
the receiving State to accept such waste.
Destination facility means a facility that treats, disposes of, or recycles a particular category of universal waste,
except those management activities described in paragraphs (a) and (c) of §§273.13 and 273.33 of this chapter. A
facility at which a particular category of universal waste is only accumulated, is not a destination facility for
purposes of managing that category of universal waste.
Dike means an embankment or ridge of either natural or man-made materials used to prevent the movement of
liquids, sludges, solids, or other materials.
Dioxins andfurans (D/F) means tetra, penta, hexa, hepta, and octa-chlorinated dibenzo dioxins and furans.
Discharge or hazardous -waste discharge means the accidental or intentional spilling, leaking, pumping, pouring,
emitting, emptying, or dumping of hazardous waste into or on any land or water.
Disposal means the discharge, deposit, injection, dumping, spilling, leaking, or placing of any solid waste or
hazardous waste into or on any land or water so that such solid waste or hazardous waste or any constituent thereof
may enter the environment or be emitted into the air or discharged into any waters, including ground waters.
Disposal facility means a facility or part of a facility at which hazardous waste is intentionally placed into or on any
land or water, and at which waste will remain after closure. The term disposal facility does not include a corrective
action management unit into which remediation wastes are placed.
Drip pad is an engineered structure consisting of a curbed, free-draining base, constructed of non-earthen materials
and designed to convey preservative kick-back or drippage from treated wood, precipitation, and surface water run-
on to an associated collection system at wood preserving plants.
Elementary neutralization unit means a device which:
(1) Is used for neutralizing wastes that are hazardous only because they exhibit the corrosivity characteristic defined
in §261.22 of this chapter, or they are listed in subpart D of part 261 of the chapter only for this reason; and
(2) Meets the definition of tank, tank system, container, transport vehicle, or vessel in §260.10 of this chapter.
EPA hazardous waste number means the number assigned by EPA to each hazardous waste listed in part 261,
subpart D, of this chapter and to each characteristic identified in part 261, subpart C, of this chapter.
EPA identification number means the number assigned by EPA to each generator, transporter, and treatment,
storage, or disposal facility.
EPA region means the states and territories found in any one of the following ten regions:
Region IMaine, Vermont, New Hampshire, Massachusetts, Connecticut, and Rhode Island.
Region IINew York, New Jersey, Commonwealth of Puerto Rico, and the U.S. Virgin Islands.
Region IIIPennsylvania, Delaware, Maryland, West Virginia, Virginia, and the District of Columbia.
Region IVKentucky, Tennessee, North Carolina, Mississippi, Alabama, Georgia, South Carolina, and Florida.
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Region VMinnesota, Wisconsin, Illinois, Michigan, Indiana and Ohio.
Region VINew Mexico, Oklahoma, Arkansas, Louisiana, and Texas.
Region VIINebraska, Kansas, Missouri, and Iowa.
Region VIIIMontana, Wyoming, North Dakota, South Dakota, Utah, and Colorado.
Region IXCalifornia, Nevada, Arizona, Hawaii, Guam, American Samoa, Commonwealth of the Northern Mariana
Islands.
Region XWashington, Oregon, Idaho, and Alaska.
Equivalent method means any testing or analytical method approved by the Administrator under §§260.20 and
260.21.
Existing hazardous waste management (HWM) facility or existing facility means a facility which was in operation or
for which construction commenced on or before November 19,1980. A facility has commenced construction if:
(1) The owner or operator has obtained the Federal, State and local approvals or permits necessary to begin physical
construction; and either
(2)(i) A continuous on-site, physical construction program has begun; or
(ii) The owner or operator has entered into contractual obligationswhich cannot be cancelled or modified without
substantial lossfor physical construction of the facility to be completed within a reasonable time.
Existing portion means that land surface area of an existing waste management unit, included in the original Part A
permit application, on which wastes have been placed prior to the issuance of a permit.
Existing tank system or existing component means a tank system or component that is used for the storage or
treatment of hazardous waste and that is in operation, or for which installation has commenced on or prior to July 14,
1986. 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 physical construction of the site or installation of the tank system and
if either (1) a continuous on-site physical construction or installation program has begun, or (2) the owner or
operator has entered into contractual obligationswhich cannot be canceled or modified without substantial
lossfor physical construction of the site or installation of the tank system to be completed within a reasonable
time.
Explosives or munitions emergency means a situation involving the suspected or detected presence of unexploded
ordnance (UXO), damaged or deteriorated explosives or munitions, an improvised explosive device (IED), other
potentially explosive material or device, or other potentially harmful military chemical munitions or device, that
creates an actual or potential imminent threat to human health, including safety, or the environment, including
property, as determined by an explosives or munitions emergency response specialist. Such situations may require
immediate and expeditious action by an explosives or munitions emergency response specialist to control, mitigate,
or eliminate the threat.
Explosives or munitions emergency response means all immediate response activities by an explosives and
munitions emergency response specialist to control, mitigate, or eliminate the actual or potential threat encountered
during an explosives or munitions emergency. An explosives or munitions emergency response may include in-place
render-safe procedures, treatment or destruction of the explosives or munitions and/or transporting those items to
another location to be rendered safe, treated, or destroyed. Any reasonable delay in the completion of an explosives
or munitions emergency response caused by a necessary, unforeseen, or uncontrollable circumstance will not
terminate the explosives or munitions emergency. Explosives and munitions emergency responses can occur on
either public or private lands and are not limited to responses at RCRA facilities.
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Explosives or munitions emergency response specialist means an individual trained in chemical or conventional
munitions or explosives handling, transportation, render-safe procedures, or destruction techniques. Explosives or
munitions emergency response specialists include Department of Defense (DOD) emergency explosive ordnance
disposal (EOD), technical escort unit (TEU), and DOD-certified civilian or contractor personnel; and other Federal,
State, or local government, or civilian personnel similarly trained in explosives or munitions emergency responses.
Facility means:
(1) All contiguous land, and structures, other appurtenances, and improvements on the land, used for treating,
storing, or disposing of hazardous waste. A facility may consist of several treatment, storage, or disposal operational
units (e.g., one or more landfills, surface impoundments, or combinations of them).
(2) For the purpose of implementing corrective action under §264.101, all contiguous property under the control of
the owner or operator seeking a permit under subtitle C of RCRA. This definition also applies to facilities
implementing corrective action under RCRA Section 3008(h).
(3) Notwithstanding paragraph (2) of this definition, a remediation waste management site is not a facility that is
subject to 40 CFR 264.101, but is subject to corrective action requirements if the site is located within such a facility.
Federal agency means any department, agency, or other instrumentality of the Federal Government, any
independent agency or establishment of the Federal Government including any Government corporation, and the
Government Printing Office.
Federal, State and local approvals or permits necessary to begin physical construction means permits and
approvals required under Federal, State or local hazardous waste control statutes, regulations or ordinances.
Final closure means the closure of all hazardous waste management units at the facility in accordance with all
applicable closure requirements so that hazardous waste management activities under parts 264 and 265 of this
chapter are no longer conducted at the facility unless subject to the provisions in §262.34.
Food-chain crops means tobacco, crops grown for human consumption, and crops grown for feed for animals
whose products are consumed by humans.
Free liquids means liquids which readily separate from the solid portion of a waste under ambient temperature and
pressure.
Freeboard means the vertical distance between the top of a tank or surface impoundment dike, and the surface of
the waste contained therein.
Generator means any person, by site, whose act or process produces hazardous waste identified or listed in part 261
of this chapter or whose act first causes a hazardous waste to become subject to regulation.
Ground water means water below the land surface in a zone of saturation.
Hazardous -waste means a hazardous waste as defined in §261.3 of this chapter.
Hazardous waste constituent means a constituent that caused the Administrator to list the hazardous waste in part
261, subpart D, of this chapter, or a constituent listed in table 1 of§261.24of this chapter.
Hazardous waste management unit is a contiguous area of land on or in which hazardous waste is placed, or the
largest area in which there is significant likelihood of mixing hazardous waste constituents in the same area. Examples
of hazardous waste management units include a surface impoundment, a waste pile, a land treatment area, a landfill
cell, an incinerator, a tank and its associated piping and underlying containment system and a container storage area.
A container alone does not constitute a unit; the unit includes containers and the land or pad upon which they are
placed.
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In operation refers to a facility which is treating, storing, or disposing of hazardous waste.
Inactive portion means that portion of a facility which is not operated after the effective date of part 261 of this
chapter. (See also "active portion" and "closed portion".)
Incinerator means any enclosed device that:
(1) Uses controlled flame combustion and neither meets the criteria for classification as a boiler, sludge dryer, or
carbon regeneration unit, nor is listed as an industrial furnace; or
(2) Meets the definition of infrared incinerator or plasma arc incinerator.
Incompatible waste means a hazardous waste which is unsuitable for:
(1) Placement in a particular device or facility because it may cause corrosion or decay of containment materials (e.g.,
container inner liners or tank walls); or
(2) Commingling with another waste or material under uncontrolled conditions because the commingling might
produce heat or pressure, fire or explosion, violent reaction, toxic dusts, mists, fumes, or gases, or flammable fumes
or gases.
(See part 265, appendix V, of this chapter for examples.)
Individual generation site means the contiguous site at or on which one or more hazardous wastes are generated.
An individual generation site, such as a large manufacturing plant, may have one or more sources of hazardous
waste but is considered a single or individual generation site if the site or property is contiguous.
Industrial furnace means any of the following enclosed devices that are integral components of manufacturing
processes and that use thermal treatment to accomplish recovery of materials or energy:
(1) Cement kilns
(2) Lime kilns
(3) Aggregate kilns
(4) Phosphate kilns
(5) Coke ovens
(6) Blast furnaces
(7) Smelting, melting and refining furnaces (including pyrometallurgical devices such as cupolas, reverberator
furnaces, sintering machine, roasters, and foundry furnaces)
(8) Titanium dioxide chloride process oxidation reactors
(9) Methane reforming furnaces
(10) Pulping liquor recovery furnaces
(11) Combustion devices used in the recovery of sulfur values from spent sulfuric acid
(12) Halogen acid furnaces (HAFs) for the production of acid from halogenated hazardous waste generated by
chemical production facilities where the furnace is located on the site of a chemical production facility, the acid
product has a halogen acid content of at least 3%, the acid product is used in a manufacturing process, and, except
for hazardous waste burned as fuel, hazardous waste fed to the furnace has a minimum halogen content of 20% as-
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generated.
(13) Such other devices as the Administrator may, after notice and comment, add to this list on the basis of one or
more of the following factors:
(i) The design and use of the device primarily to accomplish recovery of material products;
(ii) The use of the device to burn or reduce raw materials to make a material product;
(iii) The use of the device to bum or reduce secondary materials as effective substitutes for raw materials, in
processes using raw materials as principal feedstocks;
(iv) The use of the device to burn or reduce secondary materials as ingredients in an industrial process to make a
material product;
(v) The use of the device in common industrial practice to produce a material product; and
(vi) Other factors, as appropriate.
Infrared incinerator means any enclosed device that uses electric powered resistance heaters as a source of radiant
heat followed by an afterburner using controlled flame combustion and which is not listed as an industrial furnace.
Inground tank means a device meeting the definition of "tank" in §260.10 whereby a portion of the tank wall is
situated to any degree within the ground, thereby preventing visual inspection of that external surface area of the
tank that is in the ground.
Injection well means a well into which fluids are injected. (See also "underground injection".)
Inner liner means a continuous layer of material placed inside a tank or container which protects the construction
materials of the tank or container from the contained waste or reagents used to treat the waste.
Installation inspector means a person who, by reason of his knowledge of the physical sciences and the principles
of engineering, acquired by a professional education and related practical experience, is qualified to supervise the
installation of tank systems.
International shipment means the transportation of hazardous waste into or out of the jurisdiction of the United
States.
Lamp, also referred to as "universal waste lamp", is defined as the bulb or tube portion of an electric lighting device.
A lamp is specifically designed to produce radiant energy, most often in the ultraviolet, visible, and infra-red regions
of the electromagnetic spectrum. Examples of common universal waste electric lamps include, but are not limited to,
fluorescent, high intensity discharge, neon, mercury vapor, high pressure sodium, and metal halide lamps.
Landfill means a disposal facility or part of a facility where hazardous waste is placed in or on land and which is not
a pile, a land treatment facility, a surface impoundment, an underground injection well, a salt dome formation, a salt
bed formation, an underground mine, a cave, or a corrective action management unit.
Landfill cell means a discrete volume of a hazardous waste landfill which uses a liner to provide isolation of wastes
from adjacent cells or wastes. Examples of landfill cells are trenches and pits.
Land treatment facility means a facility or part of a facility at which hazardous waste is applied onto or incorporated
into the soil surface; such facilities are disposal facilities if the waste will remain after closure.
Leachate means any liquid, including any suspended components in the liquid, that has percolated through or
drained from hazardous waste.
Leak-detection system means a system capable of detecting the failure of either the primary or secondary
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containment structure or the presence of a release of hazardous waste or accumulated liquid in the secondary
containment structure. Such a system must employ operational controls (e.g., daily visual inspections for releases
into the secondary containment system of aboveground tanks) or consist of an interstitial monitoring device
designed to detect continuously and automatically the failure of the primary or secondary containment structure or
the presence of a release of hazardous waste into the secondary containment structure.
Liner means a continuous layer of natural or man-made materials, beneath or on the sides of a surface impoundment,
landfill, or landfill cell, which restricts the downward or lateral escape of hazardous waste, hazardous waste
constituents, or leachate.
Management or hazardous -waste management means the systematic control of the collection, source separation,
storage, transportation, processing, treatment, recovery, and disposal of hazardous waste.
Manifestmeans the shipping document EPA form 8700-22 and, if necessary, EPA form 8700-22A, originated and
signed by the generator in accordance with the instructions included in the appendix to part 262.
Manifest document number means the U.S. EPA twelve digit identification number assigned to the generator plus a
unique five digit document number assigned to the Manifest by the generator for recording and reporting purposes.
Military munitions means all ammunition products and components produced or used by or for the U.S. Department
of Defense or the U.S. Armed Services for national defense and security, including military munitions under the
control of the Department of Defense, the U.S. Coast Guard, the U.S. Department of Energy (DOE), and National
Guard personnel. The term military munitions includes: confined gaseous, liquid, and solid propellants, explosives,
pyrotechnics, chemical and riot control agents, smokes, and incendiaries used by DOD components, including bulk
explosives and chemical warfare agents, chemical munitions, rockets, guided and ballistic missiles, bombs, warheads,
mortar rounds, artillery ammunition, small arms ammunition, grenades, mines, torpedoes, depth charges, cluster
munitions and dispensers, demolition charges, and devices and components thereof. Military munitions do not
include wholly inert items, improvised explosive devices, and nuclear weapons, nuclear devices, and nuclear
components thereof. However, the term does include non-nuclear components of nuclear devices, managed under
DOE's nuclear weapons program after all required sanitization operations under the Atomic Energy Act of 1954, as
amended, have been completed.
Mining overburden returned to the mine site means any material overlying an economic mineral deposit which is
removed to gain access to that deposit and is then used for reclamation of a surface mine.
Miscellaneous unit means a hazardous waste management unit where hazardous waste is treated, stored, or
disposed of and that is not a container, tank, surface impoundment, pile, land treatment unit, landfill, incinerator,
boiler, industrial furnace, underground injection well with appropriate technical standards under part 146 of this
chapter, containment building, corrective action management unit, unit eligible for a research, development, and
demonstration permit under 40 CFR 270.65, or staging pile.
Movement means that hazardous waste transported to a facility in an individual vehicle.
New hazardous waste management facility or new facility means a facility which began operation, or for which
construction commenced after October 21,1976. (See also "Existing hazardous waste management facility".)
New tank system or new tank component means a tank system or component that will be used for the storage or
treatment of hazardous waste and for which installation has commenced after July 14, 1986; except, however, for
purposes of §264.193(g)(2) and §265.193(g)(2), a new tank system is one for which construction commences after
July 14, 1986. (See also "existing tank system.")
On ground tank means a device meeting the definition of "tank" in §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 visually inspected.
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On-site means the same or geographically contiguous property which may be divided by public or private right-of-
way, provided the entrance and exit between the properties is at a cross-roads intersection, and access is by
crossing as opposed to going along, the right-of-way. Non-contiguous properties owned by the same person but
connected by a right-of-way which he controls and to which the public does not have access, is also considered on-
site property.
Open burning means the combustion of any material without the following characteristics:
(1) Control of combustion air to maintain adequate temperature for efficient combustion,
(2) Containment of the combustion-reaction in an enclosed device to provide sufficient residence time and mixing for
complete combustion, and
(3) Control of emission of the gaseous combustion products.
(See also "incineration" and "thermal treatment".)
Operator means the person responsible for the overall operation of a facility.
Owner means the person who owns a facility or part of a facility.
Partial closure means the closure of a hazardous waste management unit in accordance with the applicable closure
requirements of parts 264 and 265 of this chapter at a facility that contains other active hazardous waste management
units. For example, partial closure may include the closure of a tank (including its associated piping and underlying
containment systems), landfill cell, surface impoundment, waste pile, or other hazardous waste management unit,
while other units of the same facility continue to operate.
Person means an individual, trust, firm, joint stock company, Federal Agency, corporation (including a government
corporation), partnership, association, State, municipality, commission, political subdivision of a State, or any
interstate body.
Personnel or facility personnel means all persons who work, at, or oversee the operations of, a hazardous waste
facility, and whose actions or failure to act may result in noncompliance with the requirements of part 264 or 265 of
this chapter.
Pesticide means any substance or mixture of substances intended for preventing, destroying, repelling, or mitigating
any pest, or intended for use as a plant regulator, defoliant, or desiccant, other than any article that:
(1) Is a new animal drug under FFDCA section 201(w), or
(2) Is an animal drug that has been determined by regulation of the Secretary of Health and Human Services not to be
a new animal drug, or
(3) Is an animal feed under FFDCA section 201(x) that bears or contains any substances described by paragraph (1)
or (2) of this definition.
Pile means any non-containerized accumulation of solid, nonflowing hazardous waste that is used for treatment or
storage and that is not a containment building.
Plasma arc incinerator means any enclosed device using a high intensity electrical discharge or arc as a source of
heat followed by an afterburner using controlled flame combustion and which is not listed as an industrial furnace.
Point source means any discernible, confined, and discrete conveyance, including, but not limited to any pipe, ditch,
channel, tunnel, conduit, well, discrete fissure, container, rolling stock, concentrated animal feeding operation, or
vessel or other floating craft, from which pollutants are or may be discharged. This term does not include return
flows from irrigated agriculture.
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Publicly owned treatment works or POTW means any device or system used in the treatment (including recycling
and reclamation) of municipal sewage or industrial wastes of a liquid nature which is owned by a "State" or
"municipality" (as defined by section 502(4) of the CWA). This definition includes sewers, pipes, or other
conveyances only if they convey wastewater to a POTW providing treatment.
Qualified Ground-Water Scientist means a scientist or engineer who has received a baccalaureate or post-graduate
degree in the natural sciences or engineering, and has sufficient training and experience in ground-water hydrology
and related fields as may be demonstrated by state registration, professional certifications, or completion of
accredited university courses that enable that individual to make sound professional judgements regarding ground-
water monitoring and contaminant fate and transport.
Regional Administrator means the Regional Administrator for the EPA Region in which the facility is located, or his
designee.
Remediation waste means all solid and hazardous wastes, and all media (including ground water, surface water,
soils, and sediments) and debris, that are managed for implementing cleanup.
Remediation waste management site means a facility where an owner or operator is or will be treating, storing or
disposing of hazardous remediation wastes. A remediation waste management site is not a facility that is subject to
corrective action under 40 CFR 264.101, but is subject to corrective action requirements if the site is located in such a
facility.
Replacement unit means a landfill, surface impoundment, or waste pile unit (1) from which all or substantially all of
the waste is removed, and (2) that is subsequently reused to treat, store, or dispose of hazardous waste.
"Replacement unit" does not apply to a unit from which waste is removed during closure, if the subsequent reuse
solely involves the disposal of waste from that unit and other closing units or corrective action areas at the facility,
in accordance with an approved closure plan or EPA or State approved corrective action.
Representative sample means a sample of a universe or whole (e.g., waste pile, lagoon, ground water) which can be
expected to exhibit the average properties of the universe or whole.
Run-off mews any rainwater, leachate, or other liquid that drains over land from any part of a facility.
Run-on means any rainwater, leachate, or other liquid that drains over land onto any part of a facility.
Saturated zone or zone of saturation means that part of the earth's crust in which all voids are filled with water.
Sludge means any solid, semi-solid, or liquid waste generated from a municipal, commercial, or industrial wastewater
treatment plant, water supply treatment plant, or air pollution control facility exclusive of the treated effluent from a
wastewater treatment plant.
Sludge dryer means any enclosed thermal treatment device that is used to dehydrate sludge and that has a maximum
total thermal input, excluding the heating value of the sludge itself, of 2,500 Btu/lb of sludge treated on a wet-weight
basis.
Small Quantity Generator means a generator who generates less than 1000 kg of hazardous waste in a calendar
month.
Solid waste means a solid waste as defined in §261.2 of this chapter.
Sorbent means a material that is used to soak up free liquids by either adsorption or absorption, or both. Sorb means
to either adsorb or absorb, or both.
Staging pile means an accumulation of solid, non-flowing remediation waste (as defined in this section) that is not a
containment building and that is used only during remedial operations for temporary storage at a facility. Staging
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piles must be designated by the Director according to the requirements of 40 CFR 264.554.
State means any of the several States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands,
Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands.
Storage means the holding of hazardous waste for a temporary period, at the end of which the hazardous waste is
treated, disposed of, or stored elsewhere.
Sump means any pit or reservoir that meets the definition of tank and those troughs/trenches connected to it that
serve to collect hazardous waste for transport to hazardous waste storage, treatment, or disposal facilities; except
that as used in the landfill, surface impoundment, and waste pile rules, "sump" means any lined pit or reservoir that
serves to collect liquids drained from a leachate collection and removal system or leak detection system for
subsequent removal from the system.
Surface impoundment or impoundment means a facility or part of a facility which is a natural topographic
depression, man-made excavation, or diked area formed primarily of earthen materials (although it may be lined with
man-made materials), which is designed to hold an accumulation of liquid wastes or wastes containing free liquids,
and which is not an injection well. Examples of surface impoundments are holding, storage, settling, and aeration
pits, ponds, and lagoons.
Tank means a stationary device, designed to contain an accumulation of hazardous waste which is constructed
primarily of non-earthen materials (e.g., wood, concrete, steel, plastic) which provide structural support.
Tank system means a hazardous waste storage or treatment tank and its associated ancillary equipment and
containment system.
TEQ means toxicity equivalence, the international method of relating the toxicity of various dioxin/furan congeners
to the toxicity of 2,3,7,8-tetrachlorodibenzo-p-dioxin.
Thermal treatment means the treatment of hazardous waste in a device which uses elevated temperatures as the
primary means to change the chemical, physical, or biological character or composition of the hazardous waste.
Examples of thermal treatment processes are incineration, molten salt, pyro lysis, calcination, wet air oxidation, and
microwave discharge. (See also "incinerator" and "open burning".)
Thermostat means a temperature control device that contains metallic mercury in an ampule attached to a bimetal
sensing element, and mercury-containing ampules that have been removed from these temperature control devices in
compliance with the requirements of 40 CFR 273.13(c)(2) or 273.33(c)(2).
Totally enclosed treatment facility means a facility for the treatment of hazardous waste which is directly connected
to an industrial production process and which is constructed and operated in a manner which prevents the release of
any hazardous waste or any constituent thereof into the environment during treatment. An example is a pipe in
which waste acid is neutralized.
Transfer facility means any transportation related facility including loading docks, parking areas, storage areas and
other similar areas where shipments of hazardous waste are held during the normal course of transportation.
Transport vehicle means a motor vehicle or rail car used for the transportation of cargo by any mode. Each cargo-
carrying body (trailer, railroad freight car, etc.) is a separate transport vehicle.
Transportation means the movement of hazardous waste by air, rail, highway, or water.
Transporter means a person engaged in the offsite transportation of hazardous waste by air, rail, highway, or water.
Treatability Study means a study in which a hazardous waste is subjected to a treatment process to determine: (1)
Whether the waste is amenable to the treatment process, (2) what pretreatment (if any) is required, (3) the optimal
process conditions needed to achieve the desired treatment, (4) the efficiency of a treatment process for a specific
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waste or wastes, or (5) the characteristics and volumes of residuals from a particular treatment process. Also
included in this definition for the purpose of the §261.4 (e) and (f) exemptions are liner compatibility, corrosion, and
other material compatibility studies and toxicological and health effects studies. A "treatability study" is not a means
to commercially treat or dispose of hazardous waste.
Treatment means any method, technique, or process, including neutralization, designed to change the physical,
chemical, or biological character or composition of any hazardous waste so as to neutralize such waste, or so as to
recover energy or material resources from the waste, or so as to render such waste non-hazardous, or less
hazardous; safer to transport, store, or dispose of; or amenable for recovery, amenable for storage, or reduced in
volume.
Treatment zone means a soil area of the unsaturated zone of a land treatment unit within which hazardous
constituents are degraded, transformed, or immobilized.
Underground injection means the subsurface emplacement of fluids through a bored, drilled or driven well; or
through a dug well, where the depth of the dug well is greater than the largest surface dimension. (See also "injection
well".)
Underground tank means a device meeting the definition of "tank" in §260.10 whose entire surface area is totally
below the surface of and covered by the ground.
Unfit-for use tank system means 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.
United States means the 50 States, the District of Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin
Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands.
Universal Waste means any of the following hazardous wastes that are managed under the universal waste
requirements of part §273 of this chapter:
(1) Batteries as described in §273.2 of this chapter;
(2) Pesticides as described in §273.3 of this chapter;
(3) Thermostats as described in §273.4 of this chapter; and
(4) Lamps as described in §273.5 of this chapter.
Universal Waste Handler:
(1) Means:
(i) A generator (as defined in this section) of universal waste; or
(ii) The owner or operator of a facility, including all contiguous property, that receives universal waste from other
universal waste handlers, accumulates universal waste, and sends universal waste to another universal waste
handler, to a destination facility, or to a foreign destination.
(2) Does not mean:
(i) A person who treats (except under the provisions of 40 CFR273.13 (a) or (c), or 273.33 (a) or (c)), disposes of, or
recycles universal waste; or
(ii) A person engaged in the off-site transportation of universal waste by air, rail, highway, or water, including a
universal waste transfer facility.
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Universal Waste Transporter means a person engaged in the off-site transportation of universal waste by air, rail,
highway, or water.
Unsaturated zone or zone of aeration means the zone between the land surface and the water table.
Uppermost aquifer means the geologic formation nearest the natural ground surface that is an aquifer, as well as
lower aquifers that are hydraulically interconnected with this aquifer within the facility's property boundary.
Used oil means any oil that has been refined from crude oil, or any synthetic oil, that has been used and as a result
of such use in contaminated by physical or chemical impurities.
Vessel includes every description of watercraft, used or capable of being used as a means of transportation on the
water.
Wastewater treatment unit means a device which:
(1) Is part of a wastewater treatment facility that is subject to regulation under either section 402 or 307(b) of the
Clean Water Act; and
(2) Receives and treats or stores an influent wastewater that is a hazardous waste as defined in §261.3 of this
chapter, or that generates and accumulates a wastewater treatment sludge that is a hazardous waste as defined in
§261.3 of this chapter, or treats or stores a wastewater treatment sludge which is a hazardous waste as defined in
§261.3 of this Chapter; and
(3) Meets the definition of tank or tank system in §260.10 of this chapter.
Water (bulk shipment) means the bulk transportation of hazardous waste which is loaded or carried on board a
vessel without containers or labels.
Well means any shaft or pit dug or bored into the earth, generally of a cylindrical form, and often walled with bricks
or tubing to prevent the earth from caving in.
Well injection: (See "underground injection".)
Zone of engineering control means an area under the control of the owner/operator that, upon detection of a
hazardous waste release, can be readily cleaned up prior to the release of hazardous waste or hazardous constituents
to ground water or surface water.
[45 FR 33073, May 19, 1980]
Editorial Note: For Federal Register citations affecting §260.10, see the List of CFR Sections Affected, which appears
in the Finding Aids section of the printed volume and on GPO Access.
§260.11 References.
a) When used in parts 260 through 270 of this chapter, the following publications are incorporated by reference:
(1) "ASTM Standard Test Methods for Flash Point of Liquids by Setaflash Closed Tester," ASTM Standard
D-3278-78, available from American Society for Testing and Materials, 1916 Race Street, Philadelphia, PA 19103.
(2) "ASTM Standard Test Methods for Flash Point by Pensky-Martens Closed Tester," ASTM Standard D-93-79 or
D-93-80. D-93-80 is available from American Society for Testing and Materials, 1916 Race Street, Philadelphia, PA
19103.
(3) "ASTM Standard Method for Analysis of Reformed Gas by Gas Chromatography," ASTM Standard D-l 946-82,
available from American Society for Testing and Materials, 1916 Race Street, Philadelphia, PA 19103.
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(4) "ASTM Standard Test Method for Heat of Combustion of Hydrocarbon Fuels by Bomb Calorimeter (High-
Precision Method)," ASTM Standard D 2382-83, available from American Society for Testing and Materials, 1916
Race Street, Philadelphia, PA 19103.
(5) "ASTM Standard Practices for General Techniques of Ultra violet-Visible Quantitative Analysis," ASTM
Standard E 169-87 available from American Society for Testing and Materials, 1916 Race Street, Philadelphia, PA
19103.
(6) "ASTM Standard Practices for General Techniques of Infrared Quantitative Analysis," ASTM Standard E 168-88,
available from American Society for Testing and Materials, 1916 Race Street, Philadelphia, PA 19103.
(7) "ASTM Standard Practice for Packed Column Gas Chromatography," ASTM Standard E 260-85, available from
American Society for Testing and Materials, 1916 Race Street, Philadelphia, PA 19103.
(8) "ASTM Standard Test Method for Aromatics in Light Naphthas and Aviation Gasolines by Gas
Chromatography," ASTM Standard D 2267-88, available from American Society for Testing and Materials, 1916
Race Street, Philadelphia, PA 19103.
(9) "APTI Course 415: Control of Gaseous Emissions," EPA Publication EPA^50/2-81-005, December 1981,
available from National Technical Information Service, 5285 Port Royal Road, Springfield, VA 22161.
(10) "Flammable and Combustible Liquids Code" (1977 or 1981), available from the National Fire Protection
Association, 470 Atlantic Avenue, Boston, MA 02210.
(11) "Test Methods for Evaluating Solid Waste, Physical/Chemical Methods," EPA Publication SW-846 [Third
Edition (November 1986), as amended by Updates I (dated July 1992), II (dated September 1994), IIA (dated August
1993), IIB (dated January 1995), III (dated December 1996) and IIIA (dated April 1998)]. The Third Edition of SW-846
and Updates I, II, IIA, IIB, and III (document number 955-001-00000-1) are available from the Superintendent of
Documents, U.S. Government Printing Office, Washington, DC 20402, (202) 512-1800. Update IIIA is available
through EPA's Methods Information Communication Exchange (MICE) Service. MICE can be contacted by phone at
(703) 821^1690. Update IIIA can also be obtained by contacting the U.S. Environmental Protection Agency, Office of
Solid Waste (5307W), OSW Methods Team, 1200 Pennsylvania Ave., NW., Washington, DC 20460. Copies of the
Third Edition and all of its updates are also available from the National Technical Information Service (NTIS), 5285
Port Royal Road, Springfield, VA 22161, (703) 605-6000 or (800) 553-6847. Copies may be inspected at the Library,
U.S. Environmental Protection Agency, 401 M St., SW., Washington, DC 20460; or at the National Archives and
Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or
go to: http://-www.archives.gov/federal_register/code_of^federal_regulations/ibr_locations.html.
(12) "Screening Procedures for Estimating the Air Quality Impact of Stationary Sources, Revised", October 1992,
EPA Publication No. EPA^50/R-92-019, Environmental Protection Agency, Research Triangle Park, NC.
(13) "ASTM Standard Test Methods for Preparing Refuse-Derived Fuel (RDF) Samples for Analyses of Metals,"
ASTM Standard E926-88, Test Method CBomb, Acid Digestion Method, available from American Society for
Testing Materials, 1916 Race Street, Philadelphia, PA 19103.
(14) "API Publication 2517, Third Edition", February 1989, "Evaporative Loss from External Floating-Roof Tanks,"
available from the American Petroleum Institute, 1220 L Street, Northwest, Washington, DC 20005.
(15) "ASTM Standard Test Method for Vapor PressureTemperature Relationship and Initial Decomposition
Temperature of Liquids by Isoteniscope," ASTM Standard D 2879-92, available from American Society for Testing
and Materials (ASTM), 1916 Race Street, Philadelphia, PA 19103.
(16) Method 1664, Revision A, w-Hexane Extractable Material (HEM; Oil and Grease) and Silica Gel Treated w-Hexane
Extractable Material (SGT-HEM; Non-polar Material) by Extraction and Gravimetry. Available at NTIS, PB99-121949,
U.S. Department of Commerce, 5285 Port Royal, Springfield, Virginia 22161.
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(b) The references listed in paragraph (a) of this section are also available for inspection at the National Archives
and Records Administration (NARA). For information on the availability of this material at NARA, call
202-741-6030, or go to:
http://-www.archives.gov/federal_register/code_ofjederal_regulations/ibr_locations.html. These incorporations
by reference were approved by the Director of the Federal Register. These materials are incorporated as they exist on
the date of approval and a notice of any change in these materials will be published in the Federal Register.
[46 FR 35247, July 7, 1981, as amended at 50 FR 18374, Apr. 30, 1985; 52 FR 8073, Mar. 16, 1987; 52 FR 41295, Oct. 27,
1987; 54 FR 40266, Sept. 29, 1989; 55 FR 8949, Mar. 9,1990; 55 FR 25493, June 21, 1990; 56 FR 7206, Feb. 21, 1991; 58
FR 38883, July 20, 1993; 58 FR 46049, Aug. 31, 1993; 59 FR 468, Jan. 4, 1994; 59 FR 28484, June 2, 1994; 59 FR 62926,
Dec. 6, 1994; 60 FR 17004, Apr. 4, 1995; 62 FR 32462, June 13, 1997; 64 FR 26327, May 11, 1999; 66 FR 34376, June 28,
2001; 69 FR 19903, Apr. 9, 2004]
Subpart CRulemaking Petitions
§ 260.20 General.
(a) Any person may petition the Administrator to modify or revoke any provision in parts 260 through 266, 268 and
273 of this chapter. This section sets forth general requirements which apply to all such petitions. Section 260.21 sets
forth additional requirements for petitions to add a testing or analytical method to part 261, 264 or 265 of this chapter.
Section 260.22 sets forth additional requirements for petitions to exclude a waste or waste-derived material at a
particular facility from §261.3 of this chapter or the lists of hazardous wastes in subpart D of part 261 of this chapter.
Section 260.23 sets forth additional requirements for petitions to amend part 273 of this chapter to include additional
hazardous wastes or categories of hazardous waste as universal waste.
(b) Each petition must be submitted to the Administrator by certified mail and must include:
(1) The petitioner's name and address;
(2) A statement of the petitioner's interest in the proposed action;
(3) A description of the proposed action, including (where appropriate) suggested regulatory language; and
(4) A statement of the need and justification for the proposed action, including any supporting tests, studies, or
other information.
(c) The Administrator will make a tentative decision to grant or deny a petition and will publish notice of such
tentative decision, either in the form of an advanced notice of proposed rulemaking, a proposed rule, or a tentative
determination to deny the petition, in the Federal Register for written public comment.
(d) Upon the written request of any interested person, the Administrator may, at his discretion, hold an informal
public hearing to consider oral comments on the tentative decision. A person requesting a hearing must state the
issues to be raised and explain why written comments would not suffice to communicate the person's views. The
Administrator may in any case decide on his own motion to hold an informal public hearing.
(e) After evaluating all public comments the Administrator will make a final decision by publishing in the Federal
Register a regulatory amendment or a denial of the petition.
[45 FR 33073, May 19, 1980, as amended at 51 FR 40636, Nov. 7,1986; 57 FR 38564, Aug. 25, 1992; 60 FR 25540, May
11,1995]
§ 260.21 Petitions for equivalent testing or analytical methods.
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(a) Any person seeking to add a testing or analytical method to part 261, 264, or 265 of this chapter may petition for a
regulatory amendment under this section and §260.20. To be successful, the person must demonstrate to the
satisfaction of the Administrator that the proposed method is equal to or superior to the corresponding method
prescribed in part 261,264, or 265 of this chapter, in terms of its sensitivity, accuracy, and precision (i.e.,
reproducibility).
(b) Each petition must include, in addition to the information required by §260.20(b):
(1) A full description of the proposed method, including all procedural steps and equipment used in the method;
(2) A description of the types of wastes or waste matrices for which the proposed method may be used;
(3) Comparative results obtained from using the proposed method with those obtained from using the relevant or
corresponding methods prescribed in part 261, 264, or 265 of this chapter;
(4) An assessment of any factors which may interfere with, or limit the use of, the proposed method; and
(5) A description of the quality control procedures necessary to ensure the sensitivity, accuracy and precision of the
proposed method.
(c) After receiving a petition for an equivalent method, the Administrator may request any additional information on
the proposed method which he may reasonably require to evaluate the method.
(d) If the Administrator amends the regulations to permit use of a new testing method, the method will be
incorporated in "Test Methods for the Evaluation of Solid Waste: Physical/Chemical Methods," SW-846, U.S.
Environmental Protection Agency, Office of Solid Waste, Washington, DC 20460.
[45 FR 33073, May 19, 1980, as amended at 49 FR 47391, Dec. 4, 1984]
§ 260.22 Petitions to amend part 261 to exclude a waste produced at a particular facility.
(a) Any person seeking to exclude a waste at a particular generating facility from the lists in subpart D of part 261
may petition for a regulatory amendment under this section and §260.20. To be successful:
(1) The petitioner must demonstrate to the satisfaction of the Administrator that the waste produced by a particular
generating facility does not meet any of the criteria under which the waste was listed as a hazardous or an actutely
hazardous waste; and
(2) Based on a complete application, the Administrator must determine, where he has a reasonable basis to believe
that factors (including additional constituents) other than those for which the waste was listed could cause the
waste to be a hazardous waste, that such factors do not warrant retaining the waste as a hazardous waste. A waste
which is so excluded, however, still may be a hazardous waste by operation of subpart C of part 261.
(b) The procedures in this Section and §260.20 may also be used to petition the Administrator for a regulatory
amendment to exclude from §261.3(a)(2)(ii) or (c), a waste which is described in these Sections and is either a waste
listed in subpart D, or is derived from a waste listed in subpart D. This exclusion may only be issued for a particular
generating, storage, treatment, or disposal facility. The petitioner must make the same demonstration as required by
paragraph (a) of this section. Where the waste is a mixture of solid waste and one or more listed hazardous wastes or
is derived from one or more hazardous wastes, his demonstration must be made with respect to the waste mixture as
a whole; analyses must be conducted for not only those constituents for which the listed waste contained in the
mixture was listed as hazardous, but also for factors (including additional constituents) that could cause the waste
mixture to be a hazardous waste. A waste which is so excluded may still be a hazardous waste by operation of
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subpart C of part 261.
(c) If the waste is listed with codes "I", "C", "R", or "E", in subpart D,
(1) The petitioner must show that the waste does not exhibit the relevant characteristic for which the waste was
listed as defined in §261.21, §261.22, §261.23, or §261.24 using any applicable methods prescribed therein. The
petitioner also must show that the waste does not exhibit any of the other characteristics defined in §261.21, §261.22,
§261.23, or §261.24 using any applicable methods prescribed therein;
(2) Based on a complete application, the Administrator must determine, where he has a reasonable basis to believe
that factors (including additional constituents) other than those for which the waste was listed could cause the
waste to be hazardous waste, that such factors do not warrant retaining the waste as a hazardous waste. A waste
which is so excluded, however, still may be a hazardous waste by operation of subpart C of part 261.
(d) If the waste is listed with code "T" in subpart D,
(1) The petitioner must demonstrate that the waste:
(i) Does not contain the constituent or constituents (as defined in Appendix VII of part 261 of this chapter) that
caused the Administrator to list the waste, using the appropriate test methods prescribed in "Test Methods for
Evaluating Solid Waste, Physical/Chemical Methods," EPA Publication SW-846, as incorporated by reference in
§260.11; or
(ii) Although containing one or more of the hazrdous constituents (as defined in appendix VII of part 261) that
caused the Administrator to list the waste, does not meet the criterion of §261.11 (a)(3) when considering the factors
used by the Administrator in §261.11 (a)(3) (i) through (xi) under which the waste was listed as hazardous; and
(2) Based on a complete application, the Administrator must determine, where he has a reasonable basis to believe
that factors (including additional constituents) other than those for which the waste was listed could cause the
waste to be a hazardous waste, that such factors do not warrant retaining the waste as a hazardous waste; and
(3) The petitioner must demonstrate that the waste does not exhibit any of the characteristics defined in §261.21,
§261.22, §261.23, and §261.24 using any applicable methods prescribed therein;
(4) A waste which is so excluded, however, still may be a hazardous waste by operation of subpart C of part 261.
(e) If the waste is listed with the code "H" in subpart D,
(1) The petitioner must demonstrate that the waste does not meet the criterion of §261.11 (a)(2); and
(2) Based on a complete application, the Administrator must determine, where he has a reasonable basis to believe
that additional factors (including additional constituents) other than those for which the waste was listed could
cause the waste to be a hazardous waste, that such factors do not warrant retaining the waste as a hazardous waste;
and
(3) The petitioner must demonstrate that the waste does not exhibit any of the characteristics defined in §261.21,
§261.22, §261.23, and §261.24 using any applicable methods prescribed therein;
(4) A waste which is so excluded, however, still may be a hazardous waste by operation of subpart C of part 261.
(f) [Reserved for listing radioactive wastes.]
(g) [Reserved for listing infectious wastes.]
(h) Demonstration samples must consist of enough representative samples, but in no case less than four samples,
taken over a period of time sufficient to represent the variability or the uniformity of the waste.
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(i) Each petition must include, in addition to the information required by §260.20(b):
(1) The name and address of the laboratory facility performing the sampling or tests of the waste;
(2) The names and qualifications of the persons sampling and testing the waste;
(3) The dates of sampling and testing;
(4) The location of the generating facility;
(5) A description of the manufacturing processes or other operations and feed materials producing the waste and an
assessment of whether such processes, operations, or feed materials can or might produce a waste that is not
covered by the demonstration;
(6) A description of the waste and an estimate of the average and maximum monthly and annual quantities of waste
covered by the demonstration;
(7) Pertinent data on and discussion of the factors delineated in the respective criterion for listing a hazardous waste,
where the demonstration is based on the factors in §261.1 l(a)(3);
(8) A description of the methodologies and equipment used to obtain the representative samples;
(9) A description of the sample handling and preparation techniques, including techniques used for extraction,
containerization and preservation of the samples;
(10) A description of the tests performed (including results);
(11) The names and model numbers of the instruments used in performing the tests; and
(12) The following statement signed by the generator of the waste or his authorized representative:
I certify under penalty of law that I have personally examined and am familiar with the information submitted in this
demonstration and all attached documents, and that, based on my inquiry of those individuals immediately
responsible for obtaining the information, I believe that the submitted information is true, accurate, and complete. I
am aware that there are significant penalties for submitting false information, including the possibility of fine and
imprisonment.
(ii) [Reserved]
(j) After receiving a petition for an exclusion, the Administrator may request any additional information which he may
reasonably require to evaluate the petition.
(k) An exclusion will only apply to the waste generated at the individual facility covered by the demonstration and
will not apply to waste from any other facility.
(1) The Administrator may exclude only part of the waste for which the demonstration is submitted where he has
reason to believe that variability of the waste justifies a partial exclusion.
[45 FR 33073, May 19, 1980, as amended at 50 FR 28742, July 15,1985; 54 FR 27116, June 27, 1989; 58 FR 46049, Aug.
31,1994]
Editorial Note: For information on the availability of a guidance manual for petitions to delist hazardous wastes, see
50 FR 21607, May 28, 1985.
§ 260.23 Petitions to amend 40 CFR part 273 to include additional hazardous wastes.
(a) Any person seeking to add a hazardous waste or a category of hazardous waste to the universal waste
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regulations of part 273 of this chapter may petition for a regulatory amendment under this section, 40 CFR 260.20,
and subpart G of 40 CFR part 273.
(b) To be successful, the petitioner must demonstrate to the satisfaction of the Administrator that regulation under
the universal waste regulations of 40 CFR part 273: Is appropriate for the waste or category of waste; will improve
management practices for the waste or category of waste; and will improve implementation of the hazardous waste
program. The petition must include the information required by 40 CFR 260.20(b). The petition should also address
as many of the factors listed in 40 CFR 273.81 as are appropriate for the waste or category of waste addressed in the
petition.
(c) The Administrator will grant or deny a petition using the factors listed in 40 CFR 273.81. The decision will be
based on the weight of evidence showing that regulation under 40 CFR part 273 is appropriate for the waste or
category of waste, will improve management practices for the waste or category of waste, and will improve
implementation of the hazardous waste program.
(d) The Administrator may request additional information needed to evaluate the merits of the petition.
[60 FR 25540, May 11,1995]
§ 260.30 Variances from classification as a solid waste.
In accordance with the standards and criteria in §260.31 and the procedures in §260.33, the Administrator may
determine on a case-by-case basis that the following recycled materials are not solid wastes:
(a) Materials that are accumulated speculatively without sufficient amounts being recycled (as defined in §261.1(c)(8)
of this chapter);
(b) Materials that are reclaimed and then reused within the original production process in which they were
generated; and
(c) Materials that have been reclaimed but must be reclaimed further before the materials are completely recovered.
[50 FR 661, Jan. 4, 1985; 50 FR 14219, Apr. 11, 1985, as amended at 59 FR 48041, Sept. 19, 1994]
§ 260.31 Standards and criteria for variances from classification as a solid waste.
(a) The Administrator may grant requests for a variance from classifying as a solid waste those materials that are
accumulated speculatively without sufficient amounts being recycled if the applicant demonstrates that sufficient
amounts of the material will be recycled or transferred for recycling in the following year. If a variance is granted, it is
valid only for the following year, but can be renewed, on an annual basis, by filing a new application. The
Administrator's decision will be based on the following criteria:
(1) The manner in which the material is expected to be recycled, when the material is expected to be recycled, and
whether this expected disposition is likely to occur (for example, because of past practice, market factors, the nature
of the material, or contractual arrangements for recycling);
(2) The reason that the applicant has accumulated the material for one or more years without recycling 75 percent of
the volume accumulated at the beginning of the year;
(3) The quantity of material already accumulated and the quantity expected to be generated and accumulated before
the material is recycled;
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(4) The extent to which the material is handled to minimize loss;
(5) Other relevant factors.
(b) The Administrator may grant requests for a variance from classifying as a solid waste those materials that are
reclaimed and then reused as feedstock within the original production process in which the materials were generated
if the reclamation operation is an essential part of the production process. This determination will be based on the
following criteria:
(1) How economically viable the production process would be if it were to use virgin materials, rather than reclaimed
materials;
(2) The prevalence of the practice on an industry-wide basis;
(3) The extent to which the material is handled before reclamation to minimize loss;
(4) The time periods between generating the material and its reclamation, and between reclamation and return to the
original primary production process;
(5) The location of the reclamation operation in relation to the production process;
(6) Whether the reclaimed material is used for the purpose for which it was originally produced when it is returned to
the original process, and whether it is returned to the process in substantially its original form;
(7) Whether the person who generates the material also reclaims it;
(8) Other relevant factors.
(c) The Regional Administrator may grant requests for a variance from classifying as a solid waste those materials
that have been reclaimed but must be reclaimed further before recovery is completed if, after initial reclamation, the
resulting material is commodity-like (even though it is not yet a commercial product, and has to be reclaimed further).
This determination will be based on the following factors:
(1) The degree of processing the material has undergone and the degree of further processing that is required;
(2) The value of the material after it has been reclaimed;
(3) The degree to which the reclaimed material is like an analogous raw material;
(4) The extent to which an end market for the reclaimed material is guaranteed;
(5) The extent to which the reclaimed material is handled to minimize loss;
(6) Other relevant factors.
[50 FR 662, Jan. 4, 1985, as amended at 59 FR 48041, Sept. 19, 1994]
§ 260.32 Variances to be classified as a boiler.
In accordance with the standards and criteria in §260.10 (definition of "boiler"), and the procedures in §260.33, the
Administrator may determine on a case-by-case basis that certain enclosed devices using controlled flame
combustion are boilers, even though they do not otherwise meet the definition of boiler contained in §260.10, after
considering the following criteria:
(a) The extent to which the unit has provisions for recovering and exporting thermal energy in the form of steam,
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heated fluids, or heated gases; and
(b) The extent to which the combustion chamber and energy recovery equipment are of integral design; and
(c) The efficiency of energy recovery, calculated in terms of the recovered energy compared with the thermal value of
the fuel; and
(d) The extent to which exported energy is utilized; and
(e) The extent to which the device is in common and customary use as a "boiler" functioning primarily to produce
steam, heated fluids, or heated gases; and
(f) Other factors, as appropriate.
[50 FR 662, Jan. 4, 1985, as amended at 59 FR 48041, Sept. 19, 1994]
§ 260.33 Procedures for variances from classification as a solid waste or to be classified as a boiler.
The Administrator will use the following procedures in evaluating applications for variances from classification as a
solid waste or applications to classify particular enclosed controlled flame combustion devices as boilers:
(a) The applicant must apply to the Administrator for the variance. The application must address the relevant criteria
contained in §260.31 or §260.32.
(b) The Administrator will evaluate the application and issue a draft notice tentatively granting or denying the
application. Notification of this tentative decision will be provided by newspaper advertisement or radio broadcast in
the locality where the recycler is located. The Administrator will accept comment on the tentative decision for 30
days, and may also hold a public hearing upon request or at his discretion. The Administrator will issue a final
decision after receipt of comments and after the hearing (if any).
[59 FR 48041, Sept. 19,1994]
§ 260.40 Additional regulation of certain hazardous waste recycling activities on a case-by-case basis.
(a) The Regional Administrator may decide on a case-by-case basis that persons accumulating or storing the
recyclable materials described in §261.6(a)(2)(iv) of this chapter should be regulated under §261.6 (b) and (c) of this
chapter. The basis for this decision is that the materials are being accumulated or stored in a manner that does not
protect human health and the environment because the materials or their toxic constituents have not been
adequately contained, or because the materials being accumulated or stored together are incompatible. In making
this decision, the Regional Administrator will consider the following factors:
(1) The types of materials accumulated or stored and the amounts accumulated or stored;
(2) The method of accumulation or storage;
(3) The length of time the materials have been accumulated or stored before being reclaimed;
(4) Whether any contaminants are being released into the environment, or are likely to be so released; and
(5) Other relevant factors.
(b) [Reserved]
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The procedures for this decision are set forth in §260.41 of this chapter.
[50FR662, Jan. 4, 1985]
§ 260.41 Procedures for case-by-case regulation of hazardous waste recycling activities.
The Regional Administrator will use the following procedures when determining whether to regulate hazardous
waste recycling activities described in §261.6(a)(2)(iv) under the provisions of §261.6 (b) and (c), rather than under
the provisions of subpart F of part 266 of this chapter.
(a) If a generator is accumulating the waste, the Regional Administrator will issue a notice setting forth the factual
basis for the decision and stating that the person must comply with the applicable requirements of subparts A, C, D,
and E of part 262 of this chapter. The notice will become final within 30 days, unless the person served requests a
public hearing to challenge the decision. Upon receiving such a request, the Regional Administrator will hold a
public hearing. The Regional Administrator will provide notice of the hearing to the public and allow public
participation at the hearing. The Regional Administrator will issue a final order after the hearing stating whether or
not compliance with part 262 is required. The order becomes effective 30 days after service of the decision unless the
Regional Administrator specifies a later date or unless review by the Administrator is requested. The order may be
appealed to the Administrator by any person who participated in the public hearing. The Administrator may choose
to grant or to deny the appeal. Final Agency action occurs when a final order is issued and Agency review
procedures are exhausted.
(b) If the person is accumulating the recyclable material as a storage facility, the notice will state that the person must
obtain a permit in accordance with all applicable provisions of parts 270 and 124 of this chapter. The owner or
operator of the facility must apply for a permit within no less than 60 days and no more than six months of notice, as
specified in the notice. If the owner or operator of the facility wishes to challenge the Regional Administrator's
decision, he may do so in his permit application, in a public hearing held on the draft permit, or in comments filed on
the draft permit or on the notice of intent to deny the permit. The fact sheet accompanying the permit will specify the
reasons for the Agency's determination. The question of whether the Regional Administrator's decision was proper
will remain open for consideration during the public comment period discussed under §124.11 of this chapter and in
any subsequent hearing.
[50FR663, Jan. 4, 1985]'
Appendix I to Part 260Overview of Subtitle C Regulations
The Agency believes that there are many people who suspect, but are not sure, that their activities are subject to
control under the RCRA Subtitle C rules. This appendix is written for these people. It is designed to help those who
are unfamiliar with the hazardous waste control program to determine with which, if any, of the regulations they
should comply.
Definition of Solid Waste
The first question which such a person should ask himself is: "Is the material I handle a solid waste?" If the answer
to this question is "No", then the material is not subject to control under RCRA and, therefore, the person need not
worry about whether he should comply with the Subtitle C rules.
Section 261.2 of this chapter provides a definition of "solid waste" which expands the statutory definition of that
term given in section 1004(27) of RCRA. This definition is diagrammed in Figure 1 below.
Figure 1 explains that all materials are either: (1) Garbage refuse, or sludge; (2) solid, liquid, semi-solid or contained
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gaseous material; or (3) something else. No materials in the third category are solid waste. All materials in the first
category are solid waste. Materials in the second category are solid waste unless they are one of the five exclusions
specified in §261.4(a).
Definition of Hazardous Waste
If a person has determined that his material is a "solid waste", the next question he should ask is: "Is the solid waste
I handle a hazardous waste?"
Hazardous waste is defined in §261.3 of this chapter. Section 261.3 provides that, in general, a solid waste is a
hazardous waste if: (1) It is, or contains, a hazardous waste listed in subpart D of part 261 of this chapter, or (2) the
waste exhibits any of the characteristics defined in subpart C of part 261. However, parts 260 and 261 also contain
provisions which exclude (§§261.4(b), 260.20, and 260.22) certain solid wastes from the definition of "hazardous
waste", even though they are listed in subpart D or exhibit one or more of the characteristics defined in subpart C.
Figure 2 depicts the interplay of these special provisions with the definition of "hazardous waste". It presents a
series of questions which a person should ask himself concerning his waste. After doing so, the person should be
able to determine if the solid waste he handles is a hazardous waste.
Hazardous Waste Regulations
If this is the case, the person should look at Figure 3. Figure 3 depicts the special provisions specified in the final
part 261 rules for hazardous waste which:
1. Is generated by a small quantity generator
2. Is or is intended to be legitimately and beneficially used, re-used, recycled, or reclaimed
3. Is a sludge; is listed in part 261, subpart D; or is a mixture containing a waste listed in part 261, subpart D.
For each of these Groups, Figure 3 indicates with which subtitle C regulations (if any) the person handling these
wastes must comply. Figure 3 also explains that, if a person handles hazardous waste which is not included in any
one of the above three categories, his waste is subject to the subtitle C regulations diagrammed in Figure 4.
Figure 4 is a flowchart which identifies the three categories of activities regulated under the subtitle C rules, and the
corresponding set of rules with which people in each of these categories must comply. It points out that all people
who handle hazardous waste are either: (1) Generators of hazardous waste, (2) transporters of hazardous waste, (3)
owners or operators of hazardous waste treatment, storage, or disposal facilities, or (4) a combination of the above.
Figure 4 indicates that all of these people must notify EPA of their hazardous waste activities in accordance with the
Section 3010 Notification Procedures (see 45 FR 12746 et seq.), and obtain an EPA identification number.
It should be noted that people handling wastes listed in subpart D of part 261 who have filed, or who intend to file
an application to exempt their waste from regulation under the subtitle C rules, must also comply with the notification
requirements of section 3010.
If a person generates hazardous waste, Figure 4 indicates that he must comply with the part 262 rules. If he
transports it, he must comply with the part 263 rules. The standards in both these parts are designed to ensure,
among other things, proper recordkeeping and reporting, the use of a manifest system to track shipments of
hazardous waste, the use of proper labels and containers, and the delivery of the waste to a permitted treatment,
storage, or disposal facility.
If a person owns or operates a facility which treats, stores, or disposes of hazardous waste, the standards with which
he must comply depend on a number of factors. First of all, if the owner or operator of a storage facility is also the
person who generates the waste, and the waste is stored at the facility for less than 90 days for subsequent
shipment off-site, then the person must comply with §262.34 of the part 262 rules.
All other owners or operators of treatment, storage, or disposal facilities must comply with either the part 264 or the
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part 265 rules. To determine with which of these sets of rules an owner or operator must comply, he must find out
whether his facility qualifies for interim status. To qualify, the owner or operator must: (1) Have been treating,
storing, or disposing of the hazardous waste, or commenced facility construction on or before October 21, 1976, (2)
comply with the section 3010 notification requirements, and (3) apply for a permit under part 270 of this chapter.
If the owner or operator has done all of the above, he qualifies for interim status, and he must comply with the part
265 rules. These rules contain administrative requirements, monitoring and closure standards, and an abbreviated set
of technical and closure and post-closure cost estimate requirements. The owner or operator must comply with these
standards until final administrative disposition of his permit application is made. If a permit is issued to the owner or
operator, he must then comply with the permit which will be based on the part 264 rules.
If the owner or operator has not carried out the above three requirements, he does not qualify for interim status. Until
he is issued a permit for his facility, the owner or operator must stop waste management operations (if any) at the
facility, and send his hazardous waste (if any) to a facility whose owner or operator has interim status or to a storage
facility following the part 262 rules.
In order to apply for a permit, the owner or operator must comply with the procedures specified in part 270 of this
chapter.
It should be noted that the Agency will be periodically revising the rules depicted in Figures 3 and 4. All persons are
encouraged to write to EPA to verify that the regulations which they are reading are up-to-date. To obtain this
verification, contact: Solid Waste Information, U.S. Environmental Protection Agency, 26 West St. Clair Street,
Cincinnati, Ohio 45268 (513) 684-5362.
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Notification of
Regulated Waste
Activity
Instructions and Forms
EPA Form 8700-12
(Revised 5/2002)
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Office of Solid Waste
(5301)
Washington, DC 20460
Notification of Regulated Waste Activity
Instructions and Forms
Estimated Burden: Public reporting burden for initial notifications is estimated to be 4.26
hours. Public reporting burden for subsequent notifications is expected to be 1.84 hours. This
reporting burden includes time for reviewing instructions, searching existing data sources,
gathering and maintaining the data needed, and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any other aspect of this
collection of information, including suggestions for reducing this burden, to Director,
Collection Strategies Division (2822T), U.S. Environmental Protection Agency, 1200
Pennsylvania Ave., NW, Washington, D.C. 20460; and to the Office of Information and
Regulatory Affairs, Office of Management and Budget, Washington, D.C. 20503, marked
"Attention Desk Officer for EPA."
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Notification of Regulated Waste Activity
Instructions and Forms
This booklet is designed to help you determine if you are subject to requirements under the
Resource Conservation and Recovery Act (RCRA) for notifying the U.S. Environmental
Protection Agency (EPA) of your regulated waste activities. Regulated wastes are hazardous
wastes as defined by 40 CFR Part 261, universal wastes as defined by 40 CFR Part 273, and used
oil as defined by 40 CFR Part 279. The instructions contained in this booklet will assist you in
obtaining an EPA Identification Number by completing and submitting EPA Form 8700-12 for
initial notifications or in revising your EPA Form 8700-12 if you are required to submit a
subsequent notification. RCRA is a Federal law. If you are regulated but do not comply with the
RCRA notification requirements, you may be subject to civil penalties.
Large Quantity Handlers of Universal Waste and Used Oil Handlers have the option of
submitting either EPA Form 8700-12 or a letter to notify EPA of their regulated waste activities,
including both initial and subsequent notifications. As noted above, the instructions in this
booklet refer only to completing and submitting EPA Form 8700-12 (also called the RCRA
Subtitle C Site Identification Form or Site ID Form). However, the circumstances under which
these handlers must notify EPA of their regulated waste activities, the data they must provide,
and the procedures they must follow, as described in this booklet, apply to submitting EPA Form
8700-12 or a letter.
Note: Although this booklet contains information and instructions for completing a Notification
of Regulated Waste Activity, it should not be considered a substitute for the regulations in Title
40 of the Code of Federal Regulations (40 CFR). Rather, this booklet serves as a supplement to
the regulations and provides additional information not contained in 40 CFR. As a handler of
regulated wastes, you are responsible for learning and complying with all the requirements that
apply to you and your regulated waste activities.
In addition, remember that this booklet and the regulations in 40 CFR address only the Federal
hazardous waste program. Many States may have notification requirements that differ from the
Federal requirements; those States may use EPA Form 8700-12 or they may use a similar State
form that requires information not requested in the EPA form. Again, it is your responsibility to
make sure that you have completed and submitted all forms required under the Federal or your
State program.
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Notification of Regulated Waste Activity
We realize that the regulations are complex. Although we are not providing reprints of the 40
CFR regulations in this booklet, copies of the Federal regulations are available from EPA (see
below). We have listed the addresses and phone numbers of the contacts in each State who can
answer your questions and help you understand the Federal and State requirements that apply to
you; these are listed in Table 1 in Section 4 of these instructions. Table 2 in Section 4 contains
the addresses and phone numbers of contacts in each of the EPA Regional Offices.
In addition to those contacts, there are several other sources available to help with your questions
and provide information on EPA regulations:
EPA RCRA, Superfund & EPCRA Call Center. The Call Center provides up-to-date
information on several EPA programs and, also, responds to requests for relevant
publications and information resources. Please note that the Call Center cannot provide
regulatory interpretations.
To speak with Information Specialists about regulatory questions or to order publications,
call:
(800) 424-9346
or in Washington, DC Area - Local (703) 412-9810
TDD (800) 553-7672
or TDD Washington, DC Area - Local (703) 412-3323
The web site for the Call Center is at:
http://www.epa.gov/epaoswer/hotline
EPA web site for RCRA regulations at:
http: //www. epa. gov/doc s/epacfr40/chapt-I .info/sub ch-I. htm
Compliance Assistance Centers. The Environmental Protection Agency (EPA) has
sponsored partnerships with industry, academic institutions, environmental groups, and
other agencies to launch sector-specific Compliance Assistance Centers (Centers). Each
Center addresses real world issues in understandable language for you to understand
Federal environmental requirements and how to save money through pollution prevention
techniques. Visit the Compliance Assistance Centers at: http://www.assistancecenters.net
There are several Centers listed; you may find one for your business. If not, you may want
to review "Do I Need a Hazardous Waste Generator Identification Number?" and other
questions at: http://www.transource.org/hazmats/index.htm
EPA National Compliance Assistance Clearinghouse. The Clearinghouse is a
comprehensive source of compliance assistance information and resources. Use web links
to Federal, State, local, and other compliance assistance providers to find the tools you
need. Visit the Clearinghouse at: http://www.epa.gov/clearinghouse
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Notification of Regulated Waste Activity
EPA Small Business Ombudsman Office -- 1-800-368-5888
Your Trade Association
Initial Notifications
If you do not currently have an EPA Identification Number and you handle regulated waste, you
must submit an initial notification. Please refer to information contained in Sections 1 through 3
of this booklet to help you determine whether you handle a regulated waste, whether any
exemptions or exclusions apply to you, and how you should file Notification of Regulated Waste
Activity. Circumstances under which you should submit an initial notification include:
1. If you generate, transport, treat, store, or dispose of hazardous wastes. Refer to Section 1
for further information and a description of exclusions or exemptions; or
2. If you recycle hazardous wastes. (Recyclable materials are defined as hazardous wastes
that are recycled.) The recycling process itself is exempt from regulation, but you must
notify EPA and obtain an EPA Identification Number prior to recycling recyclable
materials. Refer to Section 1 for further information and a description of exemptions; or
3. If you are a large quantity handler of universal waste. Refer to Section 2 for further
information and a description of exemptions. (Notification is required for people who
have not previously notified EPA of their hazardous waste activities or who have not
already sent a notification to EPA as required by 40 CFR Part 273.32); or
4. If you transport, process, or re-refine used oil; burn off-specification used oil for energy
recovery; or market used oil. Refer to Section 3 for further information and for a
description of exemptions. (Notification is required for people who have not previously
notified EPA of their hazardous waste activities or have not notified under 40 CFR Part
279 or under 40 CFR Part 266, Subpart E, which was replaced by 40 CFR Part 279.)
Subsequent Notifications
Even if you have submitted an initial notification and have received an EPA Identification
Number, you may be required to submit a subsequent notification. Please refer to Sections 1
through 3 and 5 of this booklet for information on when and how to complete a subsequent
notification. In general, you should submit a subsequent notification under the following
circumstances:
1. If your business moves to another location; or
2. If the contact for your site changes; or
3. If the ownership of your site changes; or
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Notification of Regulated Waste Activity
4. If an additional owner has been added or replaced since you submitted your initial
notification; or
5. If the type of regulated waste activity you conduct changes.
Contents of This Booklet
Following is a list of the sections contained in this booklet and the information covered in those
sections:
Section 1. How to Determine if You Must Notify EPA of Your Hazardous Waste Activities
Section 2. How to Determine if You Must Notify EPA of Your Universal Waste Handling
Activities
Section 3. How to Determine if You Must Notify EPA of Your Used Oil Management Activities
Section 4. How to File Notification of Regulated Waste Activity (Information on how and where
to file your form; plus a list of State and EPA contacts where you can get information,
obtain forms, and send your completed forms.)
Section 5. Line-by-line Instructions for Notification of Regulated Waste Activity Using the
RCRA Subtitle C Site Identification Form (The blank form is provided at the end of
this booklet.)
Section 6. Definitions (To help you understand and complete the Notification of Regulated
Waste Activity)
Section 7. EPA Hazardous Waste Numbers for Waste Streams Commonly Generated
by Small Quantity Generators
Appendix 1- Typical Hazardous Waste Streams Produced by Small Quantity Generators
Appendix 2- Typical Hazardous Waste Streams and EPA Hazardous Waste Numbers
Blank RCRA Subtitle C Site Identification Form for filing Notification
of Regulated Waste Activity
After your completed notification is received, you will be sent a written acknowledgment that
will include your EPA Identification Number. You must use this number on all
communications with EPA regarding your regulated waste activities.
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Notification of Regulated Waste Activity
1. How to Determine if You Must Notify EPA of Your
Hazardous Waste Activities
All persons who generate, transport, recycle, treat, store, or dispose of hazardous waste are
required to notify EPA (or their State agency if the State is authorized to operate its own
hazardous waste program) of their hazardous waste activities. These persons must obtain an
EPA Identification Number unless their solid waste has been excluded from regulation or their
hazardous waste has been exempted as outlined below. These respective notification
requirements are found in 40 CFR Parts 261, 262, 263, 264, 265, and 266.
In addition to the discussion below, you will need to refer to 40 CFR Part 261 to help you
determine if the waste you handle is both a solid waste and a hazardous waste that is regulated
under RCRA If you need help making this determination after reading these instructions,
contact the agency listed for your State in Section 4 of these instructions.
To determine if you handle a solid waste that is also a hazardous waste and regulated under
RCRA, ask yourself the following questions.
A. Do I Handle a Solid Waste?
40 CFR 261.2 defines "solid waste" as any discarded material that is not excluded under Part
261.4(a) or that is not excluded by variance granted under Part 260.30 and 260.31. A discarded
material is any material which is:
1. Abandoned, as explained in Part 261.2(b); or
2. Recycled, as explained in Part 261.2(c); or
3. Considered inherently waste-like as explained in Part 261.2(d); or
4. A military munition identified as a solid waste in Part 266.202.
If you do not handle a solid waste, you do not need to notify EPA.
B. Has My Solid Waste Been Excluded from the Regulations
under Part 261.4?
The list of general exclusions can be found in 40 CFR 261.4. If the solid waste that you handle
has been excluded, either by rule or special variance, then you do not need to notify EPA for that
solid waste. If your solid waste was not excluded from regulation, you need to determine if it is a
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Notification of Regulated Waste Activity
hazardous waste that EPA regulates. EPA regulates a solid waste as hazardous waste in two
ways:
1. By specifically listing the solid waste as a hazardous waste and assigning it a unique
EPA Hazardous Waste Code Number; or
2. By regulating it because it possesses any of four hazardous waste characteristics and
assigning it a generic EPA Hazardous Waste Code Number.
C. Is My Solid Waste Specifically Listed as a Hazardous Waste?
Parts 261.30 through 261.33 identify certain solid wastes that EPA has specifically listed as
hazardous. Persons who handle listed hazardous waste are subject to regulation and must notify
EPA of their hazardous waste activities unless they are exempted as discussed below. Refer to
these regulations to see if your solid waste is included as a "listed hazardous waste." If you are
handling a newly regulated hazardous waste and have already notified EPA prior to that
hazardous waste being regulated and already have an EPA Identification Number, you do not
need to submit a subsequent notification for that newly regulated hazardous waste.
D. Does My Solid Waste Possess a Hazardous Characteristic?
Even if your solid waste is not specifically listed as a hazardous waste, it may still be hazardous
because it exhibits certain hazardous characteristics. These characteristics are:
1. Ignitability;
2. Corrosivity;
3. Reactivity; and
4. Toxicity.
Parts 261.20 through 261.24 explain each of the characteristics and outline the testing procedures
you should use to determine if your solid waste meets these characteristics. Persons who handle
characteristic hazardous waste that is regulated must notify EPA of their activities unless they are
exempted, as discussed below. If you are handling a newly regulated hazardous waste and have
already notified EPA prior to that hazardous waste being regulated and already have an EPA
Identification Number, you do not need to submit a subsequent notification for that newly
regulated hazardous waste.
E. Has My Hazardous Waste Been Exempted from the Regulations
under Parts 261.5 and 261.6(a)(3)?
Parts 261.5 and 261.6(a)(3) list certain hazardous wastes that are not subject to RCRA regulation.
If the hazardous waste that you handle has been exempted, then you do not need to notify EPA
for that hazardous waste.
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Notification of Regulated Waste Activity
2. How to Determine if You Must Notify EPA of Your
Universal Waste Handling Activities
Under 40 CFR Part 273, Subpart C, Large Quantity Handlers of Universal Waste who
accumulate a total of 5,000 kilograms or more of universal wastes at any time are required to
notify EPA (or their State agency if the State is authorized to operate its own universal waste
program) of their universal waste activities and obtain an EPA Identification Number, unless they
have previously notified EPA of their hazardous waste activities. Large Quantity Handlers of
Universal Waste must notify EPA of their universal waste activities and obtain an EPA
Identification Number before meeting or exceeding the 5,000 kilogram storage limit.
Small Quantity Handlers of Universal Waste are exempt from these notification requirements.
Note: Please refer to the regulations in 40 CFR Part 273 to ensure that you are aware of all the
requirements that apply to your universal waste handling activities.
3. How to Determine if You Must Notify EPA of Your
Used Oil Management Activities
Under 40 CFR Part 279, Subparts E, F, G, and H, respectively, persons who transport used oil;
process or re-refine used oil; burn off-specification used oil for energy recovery; or market used
oil fuel, are required to notify EPA (or their State agency if the State is authorized to operate its
own used oil program) and obtain an EPA Identification Number, unless they are exempt as
outlined below. Off-specification used oil may be burned for energy recovery in an industrial
furnace, boiler, or hazardous waste incinerator subject to regulation under Subpart O of 40 CFR
Part 264 or 265.
Used oil transporters; used oil processors/re-refiners; off-specification used oil burners; and used
oil fuel marketers who have not previously notified EPA of their hazardous waste activities or
notified under 40 CFR Part 266, Subpart E (replaced by Part 279) must notify EPA to identify
their used oil management activities.
Note: Please refer to the regulations in 40 CFR Part 279 to ensure that you are aware of all the
requirements that apply to your used oil management activities.
Who is exempt from used oil notification requirements?
A Persons who burn on-specification used oil fuel: Used oil that is to be burned for
energy recovery and that meets the specification provided under Part 279.11 is exempt
from the regulations However, the person who first claims that the used oil meets the
specification is subject to notification as a used oil fuel marketer and certain other
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Notification of Regulated Waste Activity
requirements (see Part 279, Subpart H). The burner of fuel that meets the specification
in Part 279.11 is not required to notify.
B. Used oil generators are not required to notify EPA.
C. Used oil generators operating used oil-fired space heaters: Persons who burn only used
oil that they generate (or used oil received from household do-it-yourself used oil
changers) in used oil-fired space heaters are exempt from the notification requirement
provided that the device is vented to the outdoors and the device is not designed to have a
capacity greater than 0.5 million BTU/hour.
4. How to File Notification of Regulated Waste Activity
Initial Notifications
If you do not currently have an EPA Identification Number and you handle a regulated waste, you
must submit an initial notification for your regulated waste activities. Please refer to Sections 1
through 3 of this booklet for more information on whether you must notify EPA of these
regulated waste activities. You can satisfy this initial notification requirement by completing and
signing the enclosed RCRA Subtitle C Site Identification Form (Site ID Form) [EPA Form 8700-
12] and mailing it to the appropriate address listed in subsection C of this section.
Under the Hazardous Waste Import Regulations, 40 CFR Part 262.60, foreign generators should
not apply for an EPA Identification Number. These regulations State that when filling out a U. S.
manifest, you must include the name and address of the foreign generator, and the name, address,
and EPA Identification Number of the importer. Please contact the U.S. firms involved with
your shipments and determine which firm will serve as the U. S. Importer.
Subsequent Notifications
Even if you have submitted an initial notification and have received an EPA Identification
Number, you may be required to submit a subsequent notification. Please refer to information
contained in Sections 1 through 3 and Section 5 of this booklet for instructions on when and how
to complete a subsequent notification.
A. How Many Forms Should I File?
A person who is subject to the hazardous waste, universal waste, or used oil management
regulations under RCRA should submit one notification (Site ID Form) per RCRA site. If you
conduct any regulated waste activity - hazardous waste, universal waste, or used oil management
activities - at more than one RCRA site, you must submit a separate notification (Site ID Form)
for each RCRA site.
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Notification of Regulated Waste Activity
If you only transport regulated wastes and do not generate, treat, store, or dispose of hazardous
wastes; qualify as a large quantity handler of universal wastes; or process/re-refine used oil, burn
off-specification used oil fuel, or market used oil fuel, you may submit one notification that
covers all transportation activities your company conducts. This notification should be sent to
the appropriate address (see subsection C below) that serves the State where your company has
its headquarters or principal place of business. However, if you are a transporter who also
engages in one or more of the regulated waste activities listed above, you must complete and
submit a separate notification (Site ID Form) to cover each RCRA site.
B. Can I Request that this Information Be Kept Confidential?
All information you submit in an initial or subsequent notification can be released to the public,
according to the Freedom of Information Act, unless it is determined to be confidential by EPA
pursuant to 40 CFR Part 2. Since notification information is very general, EPA believes it is
unlikely that any information in your notification could qualify to be protected from release.
However, you may make a claim of confidentiality by printing the word "CONFIDENTIAL" on
both sides of RCRA Subtitle C Site Identification Form and on any attachments. EPA will take
action on the confidentiality claims in accordance with 40 CFR Part 2.
C. Where Should I Send My Completed Form?
Listed alphabetically in Table 1 are the addresses and phone numbers of the proper contacts in
each State where you can get additional information and more forms, and where you should mail
your completed forms. As shown in Table 1, most States will answer your questions and receive
the completed forms. In a few instances, the process is shared between a State and EPA or
handled by EPA alone; this parts of the process are noted in Table 1. For your convenience,
Table 2 lists the addresses and phone numbers for EPA Regional contacts; however, you should
refer to Table 1 first. To avoid delay and confusion, follow the directions in Table 1 for your
State very carefully.
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Notification of Regulated Waste Activity
Table 1
Alphabetized State Listing of Contacts for Obtaining and
Submitting Notification of Regulated Waste Activity
Alabama
Obtain information or forms from, and
mail completed forms to:
Alabama Department of
Environmental Management
Land Division - Special Services Unit
(FedEx or UPS)
1400 Coliseum Boulevard
Montgomery, Alabama 36110-2059
(Regular mail)
P. O. Box 301463
Montgomery, Alabama 36130-1463
(334)271-7736
Alaska
Obtain information or forms from, and
mail completed forms to:
U.S. EPA Region 10
Office of Waste and Chemicals
Management
Hazardous Waste Notifications
(WCM-122)
1200 Sixth Avenue
Seattle, Washington 98101
(206)553-2583
From within Alaska, toll-free:
(800)550-7272
American Samoa
Obtain information from:
Environmental Quality Commission
Government of American Samoa
Pago, American Samoa 96799
Overseas Operator Commercial call:
Country Code (684) 663-2304
Obtain forms from:
U.S. EPA Region 9
RCRA Notifications
(WST-6-Tetratech)
(continued in next column)
75 Hawthorne Street
San Francisco, California 94105
(415)495-8895
Mail completed forms to:
U.S. EPA Region 9
American Samoa Project Officer
(CMD-1)
75 Hawthorne Street
San Francisco, California 94105
Arizona
Obtain information or forms from, and
mail
completed forms to:
Arizona Department of Environmental
Quality
Technical Program Unit
3033 N. Central Avenue
Phoenix, Arizona 85012
(602)207-4147
Arkansas
Obtain information or forms from, and
mail completed forms to:
Arkansas Department of
Environmental Quality
8001 National Drive
P.O. Box 8913
Little Rock, Arkansas 72219-8913
(501) 682-0863
California
Obtain information or forms from, and
mail completed forms to:
U.S. EPA Region 9
RCRA Notifications
75 Hawthorne Street,
WST-6-Tetratech
San Francisco, California 94105
(415)495-8895
10
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Notification of Regulated Waste Activity
Colorado
Obtain information or forms from, and
mail completed forms to:
Colorado Department of Public Health
and Environment
Hazardous Materials and Waste
Management Division
4300 Cherry Creek Drive, S.
HMWMD-HWC-B2
Denver, Colorado 80246-1530
(303) 692-3300
Connecticut
Obtain information or forms from, and
mail completed forms to:
Department of Environmental
Protection
Bureau of Waste Management
Waste Engineering and Enforcement
Division
79 Elm Street
Hartford, Connecticut 06106-5127
(860) 424-3372
Delaware
Obtain information or forms from, and
mail completed forms to:
Delaware Department of Natural
Resources and Environmental
Control
Solid and Hazardous Waste
Management Branch
Attn: Tracy Hamburg
89 Kings Highway
Dover, Delaware 19901
(302) 739-3689
District of Columbia
Obtain information or forms from, and
mail completed forms to:
Department of Health
Environmental Health Administration
Attn: Mark Hughes
51 N Street, N.E., Third Floor
Washington, D.C. 20002
(202)535-2285
Florida
Obtain information or forms from, and
mail completed forms to:
Hazardous Waste Regulation Section
MS 4560
Department of Environmental
Protection
Twin Towers Office Building
2600 Blair Stone Road
Tallahassee, Florida 32399-2400
(850) 488-0300
Georgia
Obtain information or forms from, and
mail completed forms to:
Hazardous Waste Branch
Environmental Protection Division
Georgia Department of Natural
Resources
Floyd Towers East, Room 1154
2 Martin Luther King, Jr. Dr.
Atlanta, Georgia 30334-9000
(404) 656-7802
Guam
Obtain information or forms from, and
mail completed forms to:
Guam Environmental Protection
Agency
P.O. Box 22439 - GMF
Barrigada, Guam 96921
(671)475-1606
Hawaii
Obtain information or forms from, and
mail completed forms to:
U.S. EPA Region 9
RCRA Notifications
75 Hawthorne Street,
WST-6-Tetratech
San Francisco, California 94105
(415)495-8895
11
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Notification of Regulated Waste Activity
Idaho
Obtain information or forms from, and
mail completed forms to:
Rene' Anderson
Waste Management & Remediation
Division
Idaho Department of Environmental
Quality
1410 N.Hilton Street
Boise, Idaho 83706
(208)373-0210
Illinois
Obtain information or forms from, and
mail completed forms to:
Illinois Environmental Protection
Agency
Bureau of Land
102 IN. Grand Ave. E
P.O. Box 19276
Springfield, Illinois 62794-9276
(217) 782-6762
Indiana
Obtain information or forms from, and
mail completed forms to:
Indiana Department of
Environmental Management
100 N. Senate Avenue
P.O. Box 6015
Indianapolis, Indiana 46206
(317)232-3242
Iowa
Obtain information or forms from, and
mail completed forms to:
U.S. EPA Region 7
Air, RCRA, and Toxics Division
RCRA Enforcement and State
Programs Branch (ARTD/RESP)
901 N. 5th Street
Kansas City, Kansas 66101
(913)551-7126
Kansas
Obtain information or forms from, and
mail completed forms to:
Department of Health and
Environment
Bureau of Waste Management
Waste Policy, Planning, and Outreach
Section
Attn: David Branscum
Forbes Field, Building 740
Topeka, Kansas 66620
(785) 296-6898
Kentucky
Obtain information or forms from, and
mail completed forms to:
Division of Waste Management
Department of Environmental
Protection
Cabinet for Natural Resources
and Environmental Protection
Attn: Marlyn Godby
Fort Boone Plaza, Building #2
14 Reilly Road
Frankfort, Kentucky 40601
(502) 564-6716
Louisiana
Obtain information or forms from, and
mail completed forms to:
Louisiana Department of
Environmental Quality
Department of Solid and Hazardous
Waste
P.O. Box 82178
Baton Rouge, Louisiana 70884-2178
(225) 765-0261
12
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Notification of Regulated Waste Activity
Maine
Obtain information or forms from, and
mail completed forms to:
Department of Environmental
Protection
Bureau of Remediation and Waste
Management
State House Station #17
Augusta, Maine 04333
(207)287-2651
Maryland
Obtain information or forms from, and
mail completed forms to:
Maryland Department of the
Environment
Hazardous Waste Program
Attn: Emily Troyer
Tracking/Certification Branch
2500 Broening Highway
Baltimore, Maryland 21224
(410)631-3344
Massachusetts
Obtain information or forms from, and
mail completed forms to:
Massachusetts Department of
Environmental Protection
Bureau of Waste Prevention
Attn: Notifications (8th Floor)
1 Winter Street
Boston, Massachusetts 02108
(617) 292-5849
Michigan
Obtain information or forms from, and
mail completed forms to:
Michigan Department of
Environmental Quality
Waste Management Division
Box 30241
Lansing, Michigan 48909
(517) 3 73-2730 or
(517)373-1837
Minnesota
Obtain information or forms from, and
mail completed forms to:
Minnesota Pollution Control Agency
Solid and Hazardous Waste Division
520 Lafayette Road, North
St. Paul, Minnesota 55155
(651)297-8330
Mississippi
Obtain information or forms from, and
mail completed forms to:
Department of Environmental Quality
Attn: Ms. Willie Brandon
101 W. Capital Street, Suite 100
Jackson, Mississippi 39201
or
Department of Environmental Quality
Attn: Ms. Willie Brandon
P.O. Box 10385
Jackson, Mississippi 39289-0385
(601)961-5171
Missouri
Obtain information or forms from, and
mail completed forms to:
Department of Natural Resources
Hazardous Waste Program
Attn: John Beard
1738 E. Elm Street
P.O. Box 176
Jefferson City, Missouri 65101
(573)751-3176
Montana
Obtain information or forms from, and
mail completed forms to:
ATTN: Mark Hall
Montana Department of
Environmental Quality
Hazardous Waste Program
1520E. Sixth Avenue
Helena, Montana 59620
(406) 444-4096
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Notification of Regulated Waste Activity
Navajo Nation
Obtain information or forms from, and
mail completed forms to:
The Navajo Nation
Navajo Environmental Protection
Agency
P.O. Box 339
Window Rock AZ 86515
(928)871-7995
Nebraska
Obtain information or forms from, and
mail completed forms to:
Hazardous Waste Management
Section
Department of Environmental Quality
State House Station
P.O. Box 98922
Lincoln, Nebraska 68509-8922
(402)471-4218
Nevada
Obtain information or forms from, and
mail completed forms to:
Nevada Department of Conservation
and Natural Resources
Division of Environmental Protection
Room 138
333 West Nye Lane
Carson City, NV 89706-0851
(775) 687-4670 ext. 3043
New Hampshire
Obtain information or forms from, and
mail completed forms to:
Department of Environmental
Services
Waste Management Division
6 Hazen Drive
Concord, New Hampshire 03301
(603)271-2901
New Jersey
Obtain information from:
New Jersey Department of
Environmental Protection
Bureau of Manifests and Information
Systems
Hazardous Waste and Transfer
Facilities (CN 414)
401 East State Street
Trenton, New Jersey 08625-0414
(609)292-7081
Obtain forms from and mail completed
forms to:
U.S. EPA Region 2
Division of Environmental Planning
and Protection
RCRA Programs Branch (22nd Floor)
290 Broadway
New York, New York 10007-1866
(212) 637-4106
New Mexico
Obtain information or forms from, and
mail completed forms to:
New Mexico Environmental
Department
Hazardous Waste Bureau
P.O. Box 26110
Santa Fe, New Mexico 87502
(505) 827-1557
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Notification of Regulated Waste Activity
New York
Obtain information from:
New York State Department of
Environmental Conservation
Division of Solid and Hazardous
Materials
Bureau of Hazardous Waste
Management
625 Broadway
Albany, New York 12233-7251
(518)402-8707
Obtain forms from and mail completed
forms to:
U.S. EPA Region 2
Division of Environmental Planning
and Protection
RCRA Programs Branch (22nd Floor)
290 Broadway
New York, New York 10007-1866
(212) 637-4106
North Carolina
Obtain information or forms from, and
mail completed forms to:
North Carolina Department of
Environment and Natural Resources
Division of Waste Management
401 OberlinRoad, Suite 150
Raleigh, North Carolina 27605
or
North Carolina Department of
Environment and Natural Resources
Division of Waste Management
P.O. Box 29603
Raleigh, North Carolina 27611-9603
(919)733-2178
North Dakota
Obtain information or forms from, and
mail completed forms to:
Division of Waste Management
North Dakota Department of Health
1200 Missouri Avenue
P.O. Box 5520
Bismarck, North Dakota 58506-5520
(701)328-5166
Northern Mariana Islands
Obtain information from:
Department of Public Health and
Environmental Services
Division of Environmental Quality
P.O. Box 1304
Saipan, Mariana Islands 96950
Overseas Operator Commercial call:
Country Code (670) 234-6984
Cable Address: Gov. NMI Saipan
Obtain forms from:
U.S. EPA Region 9
RCRA Notifications
(WST-6-Tetratech)
75 Hawthorne Street
San Francisco, California 94105
Mail completed forms to:
U.S. EPA Region 9
Northern Mariana Islands
Project Officer (CMD-1)
75 Hawthorne Street
San Francisco, California 94105
Ohio
Obtain information or forms from, and
mail completed forms to:
Ohio Environmental Protection
Agency
Division of Hazardous Waste
Management
P.O. Box 1049
Columbus, Ohio 43216-1049
(614) 644-2977
Oklahoma
Obtain information or forms from, and
mail completed forms to:
Department of Environmental Quality
Land Protection Division
P.O. Box 1677
Oklahoma City, Oklahoma 73101-1677
(405) 702-5000
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Notification of Regulated Waste Activity
Oregon
Obtain information or forms from, and
mail completed forms to:
Oregon Department of Environmental
Quality
Waste Management and Clean-up
Division
Generator-Transporter Registration
Attn: Susan Eidman
811 SW Sixth Avenue
Portland, Oregon 97204
(503)229-6511
Pennsylvania
Obtain information or forms from, and
mail completed forms to:
Pennsylvania Department of
Environmental Protection
Notifications Section
P.O. Box 8471
Harrisburg, Pennsylvania 17105-8741
(717) 787-6239
Puerto Rico
Obtain information from:
Puerto Rico Environmental Quality
Board
P.O.Box 11488
San Turce, Puerto Rico 00910
(787)767-8181
Obtain forms from and mail completed
forms to:
U.S. EPA Region 2
Division of Environmental Planning
and Protection
RCRA Programs Branch (22nd Floor)
290 Broadway
New York, New York 10007-1866
(212) 637-4106
Rhode Island
Obtain information or forms from, and
mail completed forms to:
Department of Environmental
Management
(Continued in next column)
Office of Compliance and Inspection
235 Promenade Street
Providence, Rhode Island 02908-5767
(401)222-1360
South Carolina
Obtain information or forms from, and
mail completed forms to:
Bureau of Solid and Hazardous Waste
Management
Department of Health and
Environmental Control
2600 Bull Street
Columbia, South Carolina 29201
(803) 896-4000
South Dakota
Obtain information or forms from, and
mail completed forms to:
Department of Environment and
Natural Resources
Waste Management Program
523 E. Capitol Avenue
Pierre, South Dakota 57501-3181
(605)773-3153
Tennessee
Obtain information or forms from, and
mail completed forms to:
Division of Solid Waste Management
Tennessee Department of Energy and
Conservation
LNC Tower, 5th Floor
401 Church Street
Nashville, Tennessee 37243-1535
(615)532-0780
Texas
Obtain information or forms from, and
mail completed forms to:
Texas Natural Resource Conservation
Commission
Registration and Reporting Section
P.O. Box 13087, MC-129
Austin, Texas 78711-3087
(512)239-6832
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Notification of Regulated Waste Activity
Utah
Obtain information or forms from, and
mail completed forms to:
Division of Solid and Hazardous
Waste
Department of Environmental Quality
P.O. Box 144880
Salt Lake City, Utah 84114-4880
(801)538-6170
Vermont
Obtain information or forms from, and
mail completed forms to:
Department of Environmental
Conservation
Agency of Natural Resources
Waste Management Division
West Office Building
103 S. Main Street
Waterbury, Vermont 05671-0404
(802) 241-3867
Virgin Islands
Obtain information from:
Virgin Islands Department of Planning
& Natural Resources
Division of Environmental Protection
179 Altona and Welgunst
St. Thomas, Virgin Islands 00801
(809)693-0114
Obtain forms from and mail completed
forms to:
U.S. EPA Region 2
Division of Environmental Planning
and Protection
RCRA Programs Branch (22nd Floor)
290 Broadway
New York, New York 10007-1866
(212) 637-4106
Virginia
Obtain information or forms from, and
mail completed forms to:
Commonwealth of Virginia
Department of Environmental Quality
(continued in next column)
Attn: Dan Gwinner
629 E. Main Street
Richmond, Virginia 23219
(804) 698-4177
Washington
Obtain information or forms from, and
mail completed forms to:
Washington Department of Ecology
Dangerous Waste Notifications
Attn: Sheri Ryan
P.O. Box 47658
Olympia, Washington 98504-7658
(360) 407-7555
West Virginia
Obtain information or forms from, and
mail completed forms to:
West Virginia Department of
Environmental Protection
Division of Waste Management
Attn: Brenda Woodyard
1356 Hansford Street
Charleston, West Virginia 25301- 1401
(304)558-5929
Wisconsin
Obtain information or forms from, and
mail completed forms to:
Bureau of Solid Waste
Department of Natural Resources
P.O. Box 7921
Madison, Wisconsin 53707
(608)266-2111
Wyoming
Obtain information or forms from, and
mail completed forms to:
Wyoming Department of
Environmental Quality
Solid and Hazardous Waste Division
122 W. 25th Street
Herschler Building, 4th Floor West
Cheyenne, Wyoming 82002
(307) 777-7752
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Notification of Regulated Waste Activity
Table 2
U.S. EPA Regional Contacts for Notification of Regulated Waste Activity
U.S. EPA Region 1
Office of Ecosystem Protection
Hazardous Waste Program Unit
One Congress Street, Suite 1100
Boston, MA 02114-2023
(617)918-1640
Connecticut, Maine,
Massachusetts, New Hampshire,
Rhode Island, Vermont
U.S. EPA Region 4
Hazardous Waste Management Division
RCRA Permitting Section
61 Forsyth Street
Atlanta, GA 30303
(404) 562-8440
Alabama, Florida, Georgia,
Kentucky, Mississippi, North
Carolina, South Carolina,
Tennessee
U.S. EPA Region 2
Division of Environmental Planning and
Protection
RCRA Programs Branch (22nd Floor)
290 Broadway
New York, New York 10007-1866
(212) 637-4106
New Jersey, New York, Puerto
Rico, Virgin Islands
U.S. EPA Region 5
RCRA Activities
77 West Jackson Boulevard
P.O. BoxA3587
Chicago, IL 60690
(312)886-4001
Illinois, Indiana, Michigan,
Minnesota, Ohio, Wisconsin
U.S. EPA Region 3
Waste and Chemicals Management
Division, 3WC11,
1650 Arch Street
Philadelphia, PA 19103-2029
(215)814-3413
Delaware, District of Columbia,
Maryland, Pennsylvania, Virginia,
West Virginia
U.S. EPA Region 6
Multimedia Planning and Permitting
Division (6PD-I)
1445 Ross Avenue, Suite 1200
Dallas, TX 75202-2733
(214) 665-6750
Arkansas, Louisiana, New Mexico,
Oklahoma, Texas
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Notification of Regulated Waste Activity
U.S. EPA Region 7
Air, RCRA, and Toxics Division
RCRA Enforcement and State Programs
Branch (ARTD/RESP)
901 N. 5th Street
Kansas City, KS 66101
(913)551-7126
Iowa, Kansas, Missouri, Nebraska
U.S. EPA Region 8
Office of Partnerships and Regulatory
Assistance
999 18th Street, Suite 500
Denver, CO 80202-2466
(303)312-6319
Colorado, Montana, North
Dakota, South Dakota, Utah,
Wyoming
U.S. EPA Region 9
RCRA Notifications (WST-6-Tetratech)
75 Hawthorne Street
San Francisco, CA 94105
(415)495-8895
Arizona, California, Hawaii,
Nevada, American Samoa, Guam,
Northern Mariana Islands
U.S. EPA Region 10
Office of Waste and Chemicals
Management
Hazardous Waste Notifications
(WCM-122)
1200 Sixth Avenue
Seattle, Washington 98101
(206)553-2583
From within Alaska, toll-free:
(800)550-7272
Alaska, Idaho, Oregon,
Washington
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Notification of Regulated Waste Activity
5. Line-by-line Instructions for Notification of Regulated
Waste Activity Using the RCRA Subtitle C
Site Identification Form
This is a new version of the Notification of Regulated Waste Activity booklet [EPA Form 8700-
12] Please be sure to review the instructions carefully and complete all items on the form.
Why has EPA revised the form?
In the past, basic site information (e.g., information about the name and location of RCRA-
regulated sites) has been collected on three different forms, each with its own instructions and
definitions. Basic site information was collected from all RCRA-regulated facilities through the
Notification of Regulated Waste Activity [EPA Form 8700-12]. RCRA-regulated sites (also,
called "facilities") seeking a hazardous waste permit or permit renewal also submitted site
information on the RCRA Hazardous Waste Part A Permit Application [EPA Form 8700-23].
Finally, large quantity generators and treatment, storage and disposal facilities reported site
information for the Hazardous Waste Report [EPA Form 8700-13A/B].
These differing sets of information sometimes gave regulators conflicting information about the
same site and the duplication was burdensome for respondents. The new RCRA Subtitle C Site
Identification Form (Site ID Form) in this booklet standardizes the RCRA site information that
was collected on these three forms. This means that, after you have submitted the Site ID Form
once, you can copy the previously submitted Site ID information onto the form included in this
booklet if there are no changes. Enter any new or changed information on the form and circle the
item number.
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Notification of Regulated Waste Activity
Instructions for Filling Out the RCRA Subtitle C
Site Identification (Site ID) Form
WHO MUST SUBMIT THIS FORM
All sites required to submit any of the following must submit the RCRA Subtitle C Site
Identification (Site ID) Form:
Initial Notification of Regulated Waste Activity
Subsequent Notification of Regulated Waste Activity
First RCRA Hazardous Waste Part A Permit Application
Revised RCRA Hazardous Waste Part A Permit Application
Hazardous Waste Report
These instructions explain how to complete the Site ID Form for the Notification of Regulated
Waste Activity. You must review all the items on the Site ID Form. Be sure to enter
information for all the required items.
PURPOSE OF THIS FORM
For purposes of the Notification of Regulated Waste Activity, the Site ID Form provides site-
specific information about a facility for obtaining an EPA Identification Number and submitting
initial notification of regulated waste activity. For purposes of a subsequent Notification of
Regulated Waste Activity, the Site ID Form provides updated site-specific information for those
items that have changed at your facility and verifies the information for those items that remain
unchanged.
The Site ID Form is divided into 13 items. You must complete Items 1 through 10 and Item 13;
you must complete Item 11 if you handle hazardous waste. You may use Item 12 for comments
on Items 1 through 11.
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Notification of Regulated Waste Activity
HOW TO FILL OUT THIS FORM
Please fill out all of the following Site ID Form items.
Item 1 - your reason for submitting the form (in this case, as an Initial or Subsequent
Notification of Regulated Waste Activity);
Item 2 - your site's EPA ID number;
Item 3 - the name of your site;
Item 4 - the physical location of your site;
Item 5 - the land type of your site;
Item 6 - the North American Industry Classification System (NAICS) code(s) for
your site;
Item 7 - the mailing address for your site;
Item 8 - name and phone number of a contact person at your site;
Item 9 - names of the legal owner and the operator of your site;
Item 10 - your site's regulated waste activities (enter all that apply);
Item 11 - the description of hazardous waste if you handle any;
Item 12 - additional comments on Items 1 through 11; and
Item 13 - certification that the information you provided throughout the form is
truthful, accurate and complete.
Type or print in black ink all items except the Signature box in Item 13. For subsequent
notification, enter your site's EPA ID number in the top right-hand corner on the second and
third pages of the form. Use the space for Comments in Item 12 to clarify or provide additional
information for any entry. When entering information in the Comments section, cross-reference
the item number and box letter to which the comment refers. If you must use additional sheets,
enter your site's EPA ID number in the top right-hand corner of each sheet and indicate clearly
the number of the item on the Site ID Form for the additional information on the separate sheets.
A complete listing of State and EPA Regional contacts, mailing addresses, and telephone
numbers, can be found Section 4 of this booklet.
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Notification of Regulated Waste Activity
ITEM-BY-ITEM INSTRUCTIONS
Item 1 Reason for Submittal:
Reason for Submittal: Place an "X" in the appropriate box to indicate whether this form
is your Initial Notification (to obtain an EPA Identification Number); a Subsequent
Notification (to update your site identification information); a component of a First or a
Revised Hazardous Waste Part A Permit Application; or a component of the Hazardous
Waste Report.
For Initial Notification of Regulated Waste Activity to provide site identification
information and obtain an EPA Identification Number for hazardous waste,
universal waste, or used oil activities. If your waste activity is regulated under
Subtitle C of the Resource Conservation and Recovery Act (RCRA) and the rules
promulgated pursuant to the Act (specifically 40 CFR Parts 260-299), you must
submit this form to notify the appropriate State or EPA Regional Office of your
regulated waste activities and obtain an EPA Identification Number.
For Subsequent Notification of Regulated Waste Activity to update site
identification information. You must use this form to submit a subsequent
notification if your site already has an EPA Identification Number and you wish to
change information (e.g., generator status, new owner, new mailing address, etc.).
As a component of a First Hazardous Waste Part A Permit Application. If your
site is planning to treat, store, or dispose of hazardous waste on site in a unit that is
not exempt from obtaining a hazardous waste permit, you must submit this form as
part of the Part A Permit Application. Also, if the activity at this site (treatment,
storage, or disposal) became newly regulated under RCRA Subtitle C and the rules
promulgated pursuant to the Act (specifically 40 CFR Parts 260-299), you must
submit this form as part of the Part A Permit Application.
As a component of a Revised Hazardous Waste Part A Permit Application. If
you must submit a revised Part A Permit Application to reflect changes that have
occurred at your site, you must submit this form as part of your revised Part A Permit
Application. Examples of site changes requiring a revised Part A Permit Application
include managing new wastes not identified in the first submission of the form or
changes to existing waste treatment processes. When submitting a revised Part A
Permit Application, please include the Amendment number in the appropriate space.
As a component of the Hazardous Waste Report. If you are required to submit a
Hazardous Waste Report indicating the amount of hazardous waste you generate,
treat, ship off site, or receive from off site, you must fill out this form.
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Notification of Regulated Waste Activity
Item 2 - Site EPA ID Number:
Provide your EPA Identification Number in Item 2 for this site. Also, be sure to include your
EPA Identification Number at the top of pages 2 and 3 of the form (as well as on any attachments
to the Site ID Form).
NOTE: If this is your initial notification for this site, leave the EPA Identification
Number blank and proceed to Item 3.
Items 3 and 4 ~ Site Name and Location:
Provide the legal name of your site and a complete location address. Please note that the address
you give for Item 4, Site Location, must be a physical address, not a post office box or route
number.
NOTE: A new EPA Identification Number is required if you change the location of
your site.
Item 5 ~ Site Land Type:
Place an "X" in the box that best describes the land type of your site. Select only one type:
Private, County, District, Federal, Indian, Municipal, State, or Other. If your site's Land Type
could be described as Municipal and as County, as District, or as Indian, do not mark Municipal.
Instead choose the other appropriate code; you may explain this in Item 12 - Comments.
Item 6 ~ North American Industry Classification System (NAICS) Code(s):
Box A must be completed. Completing Boxes B-D is recommended, if applicable.
Box A Provide the North American Industry Classification System (NAICS) code
that best describes your site's primary business production process for your
products or services. Use the six (6) digit code (most specific description)
if available for your business; if not, use the five (5) digit code; do not enter
any four (4) or less digit code.
Boxes B-D List other NAICS codes that describe the primary business production
processes for your site. Use the most specific 6 or 5 digit codes available.
You can obtain NAICS codes from the following sources:
NAICS web sites at http://www.census.gov/epcd/naics/naicscod.txt
Some libraries
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Notification of Regulated Waste Activity
Item 7 ~ Site Mailing Address:
Please enter the Site Mailing Address. If the mailing address and the Location of Site (Item 4)
are the same, you can print "Same" in the box for Item 7.
Item 8 Site Contact Person:
Enter the name, business telephone number, and extension of the person who should be contacted
regarding the information submitted in the Site ID Form. A subsequent notification is
recommended when the Site Contact Person changes.
NOTE: It is assumed that the Site Contact Person will receive mail at the Site
Mailing Address provided in Item 7. If this is not the case, please provide
the mailing address for the Site Contact Person in Item 12 - Comments.
Item 9 ~ Legal Owner and Operator of the Site:
This section should be used to indicate all the owners and operators of this site. For the meaning
of owner and operator, see Section 6. Definitions. The Comments section in Item 12 and
additional sheets can be used if necessary.
A. Name of Site's Legal Owner: Provide the name of your site's legal owner. If an
additional owner or owners have been added or a previous owner is no longer an owner
since the site's last submission of this form, please provide information on the new and
previous owner(s).
Date Became an Owner: Indicate the date on which the above person or entity became
the owner of your site.
Owner Type: Place an "X" in the box that best describes the owner type of your site.
Select only one type: Private, County, District, Federal, Indian, Municipal, State, or Other.
If your site's Owner Type could be described as Municipal and as County, as District, or
as Indian, do not mark Municipal. Instead choose the other appropriate code; you may
explain this in Item 12 - Comments.
Use the Comments section in Item 12 to list any additional owners, their names, the dates
they became owners, owner type, mailing address, and which owner(s), if any, are no
longer owners since your last submission of this form. If necessary, attach a separate sheet
of paper.
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Notification of Regulated Waste Activity
B. Name of Site's Operator: Provide the name of your site's operator.
Date Became an Operator: Indicate the date on which the above person became the
operator of your site.
Operator Type: Place an "X" in the box that best describes the operator type of your site.
Select only one type: Private, County, District, Federal, Indian, Municipal, State, or Other.
If your site's Operator Type could be described as Municipal and as County, as District,
or as Indian, do not mark Municipal. Instead choose the other appropriate code; you may
explain this in Item 12 - Comments.
Use the Comments section in Item 12 to list any additional operators, their names, the
dates they became operators, operator type, and mailing address. If necessary, attach a
separate sheet of paper.
NOTE: A subsequent notification is recommended when the owner or operator of a
site changes. Because an EPA Identification Number is site-specific, the
new owner will keep the existing EPA Identification Number for that
location. If the business moves to another location, the owner or operator
must notify the EPA of this change. In this instance, a new EPA
Identification Number will be assigned, since the business has changed
locations.
Item 10 ~ Type of Regulated Waste Activity (Place an 'X' in the appropriate boxes for the
activities that apply to your site.)
A. Hazardous Waste Activities: Place an "X" in the appropriate box(es) to indicate which
hazardous waste activities are being conducted at this site.
NOTE: Listed below are the Federal generator definitions. However, if the State
where your hazardous waste activities occur has definitions different from
the Federal definitions, you must use the State definitions.
Generator of Hazardous Waste: If you generate a hazardous waste that is listed in
40 CFR 261.31 through 261.33 or identified by one or more hazardous waste
character!stic(s) contained in 40 CFR 261.21 through 261.24, place an "X" in the
appropriate box for the quantity of non-acutely hazardous waste that is generated per
calendar month. The regulations for hazardous waste generators are found in 40 CFR
Part 262. Consult these regulations and your State for details about how the
regulations apply to your situation. Below is a brief description of the three types of
hazardous waste generators.
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Notification of Regulated Waste Activity
a. LQG: Large Quantity Generator
This site is a Large Quantity Generator if the site meets any of the following criteria:
i) Generates, in any calendar month, 1,000 kg (2,200 Ibs.) or more of RCRA
hazardous waste; or
ii) Generates, in any calendar month, or accumulates at any time, more than 1 kg
(2.2 Ibs.) of RCRA acute hazardous waste; or
iii) Generates, in any calendar month, or accumulates at any time, more than 100 kg
(220 Ibs.) of spill cleanup material contaminated with RCRA acute hazardous
waste.
NOTE: If, in addition to being an LQG, you recycle hazardous wastes at your site
(without storing the wastes before you recycle them), mark both this box
and Box A.4 below.
b. SQG: Small Quantity Generator
This site is a Small Quantity Generator if the site meets all of the following criteria:
i) Generates, in any calendar month, more than 100 kg (220 Ibs.) but less than
1,000 kg (2,200 Ibs.) of RCRA hazardous waste; and
ii) Generates, in any calendar month, or accumulates at any time, no more than 1 kg
(2.2 Ibs.) of acute hazardous waste and no more than 100 kg (220 Ibs.) of
material from the cleanup of a spill of acute hazardous waste.
OR, the site is a Small Quantity Generator if the site:
i) Meets all other criteria for a Conditionally Exempt Small Quantity Generator
(see below), but
ii) Accumulates, at any time, more than 1,000 kg (2,200 Ibs.) of RCRA hazardous
waste.
c. CESQG: Conditionally Exempt Small Quantity Generator
This site is a CESQG if the site does all of the following:
i) Generates no more than 100 kg (220 Ibs.) of RCRA hazardous waste in any
calendar month; and
ii) Accumulates, at any time, no more than 1,000 kg (2,200 Ibs.) of RCRA
hazardous waste; and
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Notification of Regulated Waste Activity
iii) Generates, in any calendar month, or accumulates at any time, no more than 1 kg
(2.2 Ibs.) of acute hazardous waste, and no more than 100 kg (220 Ibs.) of
material from the cleanup of a spill of acute hazardous waste.
NOTE: If you generate acutely hazardous wastes listed in 40 CFR 261.31, 261.32 or
261.33(e), please refer to 40 CFR 261.5(e) to determine the circumstances
under which you must notify the EPA.
In addition to the above, place an "X" in the following appropriate box(es) to indicate
other generator activities occurring at this site. (Mark all boxes that apply.)
d. United States Importer of Hazardous Waste
Place an "X" in the box if you import hazardous waste from a foreign country into the
United States. Refer to 40 CFR 262.60 for additional information.
e. Mixed Waste Generator
Place an "X" in the box if you are a generator of mixed waste (waste that is both
hazardous and radioactive). RCRA defines "mixed waste" as waste that contains both
hazardous waste and source, special nuclear, or by-product material subject to the
Atomic Energy Act (AEA), RCRA section 1004(41), 42 U.S.C. 6903 (63 FR 17414;
April 9, 1998).
2. Transporter of Hazardous Waste: Place an "X" in the box if you transport
hazardous waste within the United States. The Federal regulations for hazardous
waste transporters are found in 40 CFR Part 263.
3. Treater, Storer, or Disposer of Hazardous Waste: If you treat, store, or dispose of
regulated hazardous waste, place an "X" in this box. (Burning hazardous wastes in
boilers and industrial furnaces and storing hazardous wastes before recycling them
fall into this category as well.) A hazardous waste permit is required for this activity.
You are reminded to contact the appropriate agency for your State to request a RCRA
Hazardous Waste Part A Permit Application. The Federal regulations for owners or
operators of hazardous waste sites are found in 40 CFR Parts 264, 265, 266, and 270.
NOTE: If your site is a destination facility for universal wastes in addition to being a
treatment, storage, or disposal facility for other RCRA hazardous wastes,
mark both this box and Box B.2 below.
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Notification of Regulated Waste Activity
4. Recycler of Hazardous Waste: If you recycle regulated hazardous wastes (recyclable
materials), place an "X" in this box. The Federal regulations for owners or operators
of sites that recycle hazardous waste are found in 40 CFR 261.6. A hazardous waste
permit may be required for this activity. You also may be subject to other Federal and
State regulations.
NOTE: If your site, in addition to being a recycling site for hazardous waste, is a
treater, storer, or disposer of hazardous waste, mark both this box and Box
A.3 above. If your site is a destination facility for universal wastes in
addition to being a recycling site for other RCRA hazardous wastes, mark
both this box and Box B.2 below.
5. Exempt Boiler and/or Industrial Furnace:
a. If you burn small quantities of hazardous waste in an on-site boiler or industrial
furnace in accordance with the conditions in 40 CFR 266.108, place an "X" in the box
to indicate that you qualify for the Small Quantity On-Site Burner Exemption.
b. If you process hazardous wastes in a smelting, melting, or refining furnace solely
for metals recovery, as described in 40 CFR 266.100(d), or to recover economically
significant amounts of precious metals, as described in 40 CFR 266.100(g), or if you
process hazardous wastes in a lead recovery furnace to recover lead, as described in
40 CFR 266.100(h), place an "X" in the box to indicate that you qualify for the
Smelting, Melting, and Refining Furnace Exemption.
6. Underground Injection Control: If you generate, treat, store, or dispose of
hazardous waste and there is an underground injection well located at your site, place
an "X" in the box. The Federal regulations for owners or operators of underground
injection wells are found in 40 CFR Part 148.
B. Universal Waste Activities: Refer to your State-specific requirements and definitions
for universal waste. Refer to 40 CFR 261.9 and 40 CFR Part 273 for the Federal
regulations covering universal waste.
1. Large Quantity Handler of Universal Waste (LQHUW): You are an LQHUW if
you accumulate a total of 5,000 kg or more of any universal wastes (calculated
collectively) at any time. Place an "X" in the appropriate box(es) to indicate the
type(s) of universal wastes you generate and/or accumulate at your site. If your State
has additional universal wastes, indicate what they are and place an "X" in the
corresponding box(es).
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2. Destination Facility: Place an "X" in the box if you treat, dispose of, or recycle
universal wastes on site. A hazardous waste permit is required if you treat or dispose
of universal wastes; a permit may be required if you recycle universal wastes.
NOTE: If your site, in addition to being a destination facility for universal wastes, is
also a treatment, storage, or disposal facility for RCRA hazardous wastes,
mark both this box and Box A.3 above. In addition, if your site recycles
RCRA hazardous wastes, mark both this box and Box A.4 above.
C. Used Oil Activities: Mark the appropriate box(es) to indicate which used oil management
activities are taking place at this site. The Federal regulations for used oil management
are found in 40 CFR Part 279.
1. Used Oil Transporter: If you transport used oil and/or own or operate a used oil
transfer facility, place an "X" in the appropriate box(es) to indicate this used oil
management activity.
2. Used Oil Processor/Re-Refiner: If you process and/or re-refine used oil, place an
"X" in the appropriate box(es) to indicate this used oil management activity.
3. Off-Specification Used Oil Burner: If you burn off-specification used oil fuel,
place an "X" in the box to indicate this used oil management activity.
4. Used Oil Fuel Marketer: If you market off-specification used oil directly to a
burner, place an "X" in Box 4.a. If you are the first to claim the used oil meets the
used oil specification established in 40 CFR 279.11, place an "X" in Box 4.b. If
either of these boxes is marked, you also must notify (or have previously notified) as a
used oil transporter, used oil processor/re-refiner, or off-specification used oil fuel
burner, unless you are a used oil generator. (Used oil generators are not required to
notify.)
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Item 11 Description of Hazardous Wastes:
You will need to refer to 40 CFR Part 261 to complete this item. Part 261 identifies those solid
wastes which the EPA defines as hazardous and regulates under RCRA. If you need help
completing this section, please contact the appropriate State personnel.
A. Federally Regulated Hazardous Wastes: If you handle hazardous wastes that are
described in 40 CFR Part 261, enter the appropriate 4-digit code(s) in the box(es) provided.
NOTE: If you handle more hazardous wastes than will fit under Item 11 .A., please
continue listing the hazardous waste codes on an extra sheet. Attach any
additional sheets to the Site Identification Form.
B. State-Regulated Hazardous Wastes: If you manage State-regulated hazardous wastes
that have a waste code, enter the appropriate code(s) in the box(es) provided.
Item 12 Comments:
Use this section as needed to provide additional information for Items 1 through 11. You may
attach additional sheets if necessary.
Item 13 ~ Certification:
This certification must be signed by owner(s), operator(s), or authorized representative(s) of the
site. An "authorized representative" is a person responsible for the overall operation of the site
(i.e., a plant manager or superintendent, or a person of equal responsibility).
NOTE: All Site ID Form submissions must include this certification to be complete.
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6. Definitions
The following definitions are included to help you to understand and complete EPA Form 8700-
12:
Act or RCRA means the Solid Waste Disposal Act, as amended by the Resource Conservation
and Recovery Act of 1976, as amended by the Hazardous and Solid Waste Amendments of
1984, 42 U.S.C. Section 6901 et seq.
Authorized Representative means the person responsible for the overall operation of the RCRA
site or an operational unit (i.e., part of an RCRA site), e.g., superintendent or plant
manager, or person of equivalent responsibility.
Boiler means an enclosed device using controlled flame combustion and having the following
characteristics:
1. The unit has physical provisions for recovering and exporting energy in the form of
steam, heated fluids, or heated gases;
2. The unit's combustion chamber and primary energy recovery section(s) are of integral
design (i.e., they are physically formed into one manufactured or assembled unit);
3. The unit continuously maintains an energy recovery efficiency of at least 60 percent,
calculated in terms of the recovered energy compared with the thermal value of the
fuel;
4. The unit exports and utilizes at least 75 percent of the recovered energy, calculated on
an annual basis (excluding recovered heat used internally in the same unit, for
example, to preheat fuel or combustion air or drive fans or feedwater pumps); or
5. The unit is one which the Regional Administrator has determined, on a case-by-case
basis, to be a boiler, after considering the standards in 40 CFR 260.32.
Disposal means the discharge, deposit, injection, dumping, spilling, leaking, or placing of any
solid waste or hazardous waste into or on any land or water so that such solid waste or
hazardous waste or any constituent thereof may enter the environment or be emitted into
the air or discharged into any waters, including ground waters.
EPA Identification (ID) Number means the number assigned by EPA to each hazardous waste
generator, hazardous waste transporter, and treatment, storage, or disposal RCRA site;
large quantity handler of universal wastes; used oil transporter, used oil processor/re-
refiner, off-specification used oil fuel burner, and used oil fuel marketer.
Hazardous Waste means a hazardous waste as defined in 40 CFR 261.3.
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Hazardous Waste Generator means any person, by site, whose act or process produces
hazardous waste identified or listed in 40 CFR Part 261.
Hazardous Waste Storage means the holding of hazardous waste for a temporary period, at the
end of which the hazardous waste is treated, disposed of, or stored elsewhere.
Hazardous Waste Transporter means a person engaged in the off-site transportation of
hazardous waste by air, rail, highway, or water.
Hazardous Waste Treatment means any method, technique, or process, including
neutralization, designed to change the physical, chemical, or biological character or
composition of any hazardous waste so as to neutralize such hazardous waste, or so as to
recover energy or material resources from the hazardous waste, or so as to render such
hazardous waste nonhazardous, or less hazardous; safer to transport, store or dispose of; or
amenable for recovery, amenable for storage, or reduced in volume. Such term includes
any activity or processing designed to change the physical form or composition of
hazardous waste so as to render it nonhazardous.
Industrial Furnace means any of the following enclosed devices that are integral components of
manufacturing processes and that use thermal treatment to accomplish recovery of
materials or energy: cement kilns; lime kilns; aggregate kilns; phosphate kilns; coke ovens;
blast furnaces; smelting, melting and refining furnaces; titanium dioxide chloride process
oxidation reactors; methane reforming furnaces; pulping liquor recovery furnaces;
combustion devices used in the recovery of sulfur values from spent sulfuric acid; halogen
acid furnaces, as defined under industrial furnace in 40 CFR 260.10; and such other
devices as the Administrator may add to this list.
Large Quantity Handler of Universal Waste means a universal waste handler (as defined in 40
CFR 273.6) who accumulates 5,000 kilograms or more total of universal waste (batteries,
pesticides, or thermostats, collectively) at any time. This designation is retained through
the end of the calendar year in which 5,000 kilograms or more of universal wastes are
accumulated.
Municipality means a city, village, town, borough, county, parish, district, association, Indian
tribe or authorized Indian tribal organization, designated and approved management
agency under Section 208 of the Clean Water Act, or any other public body created by or
under State law and having jurisdiction over disposal of sewage, industrial wastes, or other
wastes.
Off-Specification Used Oil Burner means an RCRA site where used oil not meeting the
specification requirements in 40 CFR 279.11 (off-specification used oil) is burned for
energy recovery in devices identified in Section 279.61(a).
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Off-Specification Used Oil Fuel means used oil fuel that does not meet the specification
provided under 40 CFR 279.11.
On-Specification Used Oil Fuel means used oil fuel that meets the specification provided under
40CFR279.il.
Operator means the person responsible for the overall operation of a RCRA site. See Person.
Owner means a person who owns a RCRA site or part of a site, including the property owner.
See Person
Person means an individual, trust, firm, joint stock company, Federal Agency, corporation
(including a government corporation), partnership, association, State, municipality,
commission, political subdivision of a State, or any interstate body.
RCRA Subtitle C Site (Site) means the physical plant or location at which one or more of the
following regulated waste activities occurs: the generation, transportation, treatment,
storage, or disposal of hazardous wastes; recycling of hazardous wastes; the accumulation
of 5,000 kg or more of universal wastes; and the transportation (and temporary storage
during transportation), processing/re-refining, burning, or marketing of used oil. A site
may consist of several treatment, storage, or disposal operational units. A site also may
consist of an area undergoing corrective action. (For entities that only transport regulated
wastes, the term site refers to the headquarters of that entity's operations.)
Small Quantity On-Site Burner Exemption means that persons who burn small quantities of
hazardous waste in an on-site boiler or industrial furnace, in accordance with 40 CFR
266.108, are conditionally exempt from regulation for that activity.
Smelting, Melting, and Refining Furnace Exemption means that: owners or operators of
smelting, melting, and refining furnaces that process hazardous waste solely for metal
recovery are conditionally exempt from regulation, except for 40 CFR 266.101 and
266.112, provided they comply with the requirements in Section 266.100(d); owners or
operators of smelting, melting and refining furnaces that process hazardous waste for
recovery of precious metals are conditionally exempt from regulation, except for 40 CFR
266.112, provided they comply with the requirements in Section 266.100(g); and owners
or operators of lead recovery furnaces that process hazardous waste for recovery of lead
and that are subject to regulation under the Secondary Lead Smelting NESHAP are
conditionally exempt from regulation, except for 40 CFR 266.101, provided they comply
with the requirements in Section 266.100(h).
Underground Injection Control means the subsurface emplacement of fluids through a bored,
drilled or driven well; or through a dug well, where the depth of the dug well is greater
than the largest surface dimension. Underground injection wells are regulated under both
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Notification of Regulated Waste Activity
the Safe Drinking Water Act and the Resource Conservation and Recovery Act (see 40
CFR Part 148).
Used Oil means any oil that has been refined from crude oil, or any synthetic oil, that has been
used, and as a result of such use, is contaminated by physical or chemical impurities.
Used Oil Fuel Marketer means any person who conducts either of the following activities:
1. Directs a shipment of off-specification used oil from their RCRA site to an off-
specification used oil burner; or
2. First claims that used oil that is to be burned for energy recovery meets the used oil
fuel specifications set forth in 40 CFR 279.11.
Used Oil Management Activities, for the purposes of EPA Form 8700-12, include used oil
transportation; used oil processing and re-refining; burning off-specification used oil fuel;
and used oil fuel marketing.
Used Oil Processing means 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 products. 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.
Used Oil Processor means an RCRA site that processes on- or off-specification used oil.
Used Oil Re-Refiner means an RCRA site that produces lubricating oils and greases, industrial
fuel, asphalt extender, gasoline, and other products from on- or off-specification used oil.
Used Oil Transfer Facility means 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 hours during the normal course of transportation and not longer than 35 days.
Transfer facilities that store used oil for more than 35 days are subject to regulation under
40 CFR Part 279, SubpartF.
Used Oil Transporter means 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. 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.
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7. EPA Hazardous Waste Numbers for Waste Streams
Commonly Generated by Small Quantity Generators
EPA recognizes that generators of small quantities of hazardous waste, many of which are small
businesses, may not be familiar with the manner in which hazardous waste materials are
identified in the Code of Federal Regulations. In order to aid small quantity generators in
determining the EPA Hazardous Waste Numbers for their hazardous wastes that are needed to
complete EPA Form 8700-12, two appendices are enclosed.
Appendix 1 lists 18 general industry categories that contain small quantity generators. For each
of these categories, commonly generated hazardous wastes are identified. Appendix 2 lists EPA
Hazardous Waste Numbers for each hazardous waste stream identified in Appendix 1.
To use these appendices:
1. Locate your industry in Appendix 1 to identify the hazardous waste streams common to
your activities.
2. Find each of your hazardous waste streams in Appendix 2, and review the more detailed
descriptions of typical hazardous wastes to determine which hazardous waste streams
actually result from your activities.
3. If you determine that a hazardous waste stream does apply to you, report the 4-digit EPA
Hazardous Waste Number in Item 11 of EPA Form 8700-12.
The industries and hazardous waste streams described here do not provide a comprehensive list
but rather serve as a guide to potential small quantity generators in determining which of their
solid wastes, if any, are hazardous. Except for the pesticide category, this insert does not include
EPA Hazardous Waste Numbers for commercial chemical products that are hazardous when
discarded unused. These chemicals and their EPA Hazardous Waste Numbers are listed in 40
CFR 261.33.
If the specific Hazardous Waste Number that should be applied to your hazardous waste stream
is unclear, please refer to 40 CFR Part 261. Copies of Part 261 and other EPA regulations in 40
CFR are available at most libraries and on EPA 's Web Site at: www.epa.gov/docs/epacfr40/
chapt-I. info/subch-I/.
In those cases where more than one Hazardous Waste Number is applicable, all should be used.
If you have any questions, or if you are unable to determine the proper EPA Hazardous Waste
Numbers for your hazardous wastes, contact your State hazardous waste management agency as
listed in Section 4 of this booklet, or the RCRA, Superfund, and EPCRA Call Center at
1-800-424-9346 (or in the Washington, D.C. area at (703) 412-9810).
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Appendix 1
Typical Hazardous Waste Streams Produced by Small Quantity Generators
LABORATORIES
Acids/Bases, Heavy Metals/Inorganics,
Ignitable Wastes, Reactives, Solvents
PRINTING AND ALLIED INDUSTRIES
Acids/Bases, Heavy Metals/Inorganics,
Ink Sludges, Spent Plating Wastes, Solvents
PESTICIDE END USERS AND
APPLICATION
Heavy Metals/Inorganics, Services, Pesticides,
Solvents
CONSTRUCTION
Acids/Bases, Ignitable Wastes, Solvents
EQUIPMENT REPAIR
Acids/Bases, Ignitable Wastes,
Lead Acid Batteries, Solvents
FURNITURE /WOOD
MANUFACTURING & REFINISHING
Ignitable Wastes, Solvents
OTHER MANUFACTURING (textiles,
plastics, leather)
Heavy Metals/Inorganics, Solvents
LAUNDRIES AND DRY CLEANERS
Dry Cleaning Filtration Residues,
Solvents
EDUCATIONAL AND VOCATIONAL
SHOPS
Acids/Bases, Ignitable Wastes, Pesticides,
Reactives, Solvents
BUILDING CLEANING AND
MAINTENANCE
Acids/Bases, Solvents
VEHICLE MAINTENANCE
Acids/Bases, Heavy Metals/Inorganics,
Ignitable Wastes, Lead Acid Batteries,
Solvents
WOOD PRESERVING
Preserving Agents
MOTOR FREIGHT TERMINALS AND
RAILROAD
Acids/Bases, Transportation, Heavy
Metals/Inorganics, Ignitable Wastes,
Lead Acid Batteries, Solvents
FUNERAL SERVICES
Solvents (formaldehyde)
METAL MANUFACTURING
Acids/Bases, Cyanide Wastes, Heavy
Metals/Inorganics, Ignitable Wastes,
Reactives, Solvents, Spent Plating Wastes
CHEMICAL MANUFACTURERS
Acids/Bases, Cyanide Wastes, Heavy
Metals/Inorganics, Ignitable Wastes,
Reactives, Solvents
CLEANING AGENTS AND COSMETICS
Acids/Bases, Heavy Metals/Inorganics,
Ignitable Wastes, Pesticides, Solvents
FORMULATORS
Acids/Bases, Cyanide Wastes, Heavy
Metals/Inorganics, Ignitable Wastes,
Pesticides, Reactives, Solvents
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Appendix 2
Typical Hazardous Waste Streams and EPA Hazardous Waste Numbers
ACIDS/BASES:
Acids, bases or mixtures having a pH less than or equal to 2 or greater than or equal to 12.5, or liquids that corrode
steel at a rate greater than 0.25 inches per year, are considered to be corrosive (for a complete description of
corrosive wastes, see 40 CFR 261.22, Characteristic of Corrosivity). All corrosive materials and solutions have the
EPA Hazardous Waste Number D002. The following are some examples of the more commonly used corrosives:
Examples of Corrosive Waste Streams
Acetic Acid
Ammonium Hydroxide
Chromic Acid
Hydrobromic Acid
Hydrochloric Acid
Hydrofluoric Acid
Nitric Acid
Oleum
Perchloric Acid
Phosphoric Acid
Potassium Hydroxide
Sodium Hydroxide
Sulfuric Acid
DRY CLEANING FILTRATION RESIDUES:
Cooked powder residue (perchloroethylene plants only), still residues and spent cartridge filters containing
perchloroethylene or valclene are hazardous and have an EPA Hazardous Waste Number of F002. Still residues
containing petroleum solvents with a flash point less than 140F are also considered hazardous, and have an EPA
Hazardous Waste Number of DOO1.
HEAVY METALS/INORGANICS:
Heavy Metals and other inorganic waste materials exhibit the characteristic of TCLP Toxicity and are considered
hazardous if the extract from a representative sample of the waste has any of the specific constituent concentrations
as shown in 40 CFR 261.24, Table 1. This may include dusts, solutions, wastewater treatment sludges, paint wastes,
waste inks, and other such materials which contain heavy metals/inorganics (note that wastewater treatment sludges
from electroplating operations containing nickel and cyanide are identified as F006). The following are TCLP Toxic:
Waste Stream
Arsenic
Barium
Cadmium
Chromium
Lead
Mercury
Selenium
Silver
EPA Hazardous Waste
Number
D004
D005
D006
D007
D008
D009
D010
D011
IGNITABLE WASTES:
Ignitable wastes include any flammable liquids, non-liquids, and contained gases that have a flashpoint less than
140F (for a complete description of ignitable wastes, see 40 CFR 261.21, Characteristic of Ignitability). Examples
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Notification of Regulated Waste Activity
are spent solvents (see also solvents), solvent still bottoms, ignitable paint wastes (paint removers, brush cleaners and
stripping agents), epoxy resins and adhesives (epoxies, rubber cements and marine glues), and waste inks containing
flammable solvents. Unless otherwise specified, all ignitable wastes have an EPA Hazardous Waste Number of
D001.
Some commonly used ignitable compounds are:
Waste Stream
Acetone
Benzene
n-Butyl Alcohol
Chlorobenzene
Cychlohexanone
Ethyl Acetate
Ethylbenzene
Ethyl Ether
Ethylene Bichloride
Methanol
Methyl Isobutyl Ketone
Petroleum Distillates
Xylene
EPA Hazardous Waste
Number
F003
D001
F003
F002
F003
F003
F003
F003
D001
F003
F003
D001
F003
INK SLUDGES CONTAINING CHROMIUM AND LEAD:
This includes solvent washes and sludges, caustic washes and sludges, or water washes and sludges from cleaning
tubs and equipment used in the formulation of ink from pigments, driers, soaps, and stabilizers containing chromium
and lead. All ink sludges have an EPA Hazardous Waste Number of K086.
LEAD ACID BATTERIES:
Used lead acid batteries should be reported on the notification form only if they are not recycled. Used lead acid
batteries that are recycled do not need to be counted in determining the quantity of waste that you generate per
month, nor do they require a hazardous waste manifest when shipped off your premises. (Note: Special
requirements do apply if you recycle your batteries on your own premises see 40 CFR 266.80.)
Waste Stream
Lead Dross
Spent Acids
Lead Acid Batteries
EPA Hazardous Waste
Number
D008
D002
D008,D002
ORGANIC WASTES:
See 40 CFR 261.24, Table 1 - Maximum Concentration of Contaminants for the Toxicity Characteristic, for a list of
constituents and regulatory levels.
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Notification of Regulated Waste Activity
PESTICIDES:
Pesticides, pesticide residues, washing and rinsing solutions and dips which contain constituent concentrations at or
above Toxicity Characteristic regulatory levels (see 40 CFR 261.24) are hazardous waste. Pesticides that have an
oral LD50 toxicity (rat) < 50 mg/kg, inhalation LC50 toxicity (rat) < 2 mg/L or a dermal LD 50 toxicity (rabbit) <
200 mg/kg, are hazardous materials. The following pesticides would be hazardous waste if they are technical grade,
unused and disposed. For a more complete listing, see 40 CFR 261.32-33 for specific listed pesticides, discarded
commercial chemical products, and other wastes, wastewaters, sludges, and by-products from pesticide production.
(Note that while many of these pesticides are no longer in common use, they are included here for those cases where
they may be found in storage.)
Waste Stream
EPA Hazardous Waste
Number
Aldicarb
Aldrin
Amitrole
Arsenic Pentoxide
Arsenic Trioxide
Cacodylic Acid
Carbamic Acid, Methylnitroso-
Ethyl Ester
Chlordane
Copper Cyanides
l,2-Dibromo-3-Chloropropane
1,2-Dichloropropane
1,3-Dichloropropene
2,4-Dichlorophenoxy Acetic Acid
DDT
Dieldrin
Dimethoate
Dimethylcarbamoyl Chloride
Dinitrocresol
Dinoseb
Disodium Monmomethane arsonate
Disulfoton
Endosulfan
Endrin
Ethylmercuric Chloride
Famphur
Nepthachlor
Hexachlorobenzene
Kepone
Lindane
2-Methoxy Mercuric Chloride
Methoxychlor
Methyl Parathion
Mono sodium Methane arson ate
Nicotine
Parathion
Pentachloro nitrobenzene
Pentachlorophenol
Phenylmercuir Acetate
Phorate
P070
P004
U011
P011
P012
U136
U178
U036
P029
U066
U083
U084
U240
U061
P037
P044
U097
P047
P020
D004
P039
P050
P051
D009
P097
P059
U127
U142
U129
D009
D014
P071
D004
P075
P089
U185
U242
D009
P094
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Notification of Regulated Waste Activity
Waste Stream
Strychnine
2,4,5-Trichlorophenoxy Acetic Acid
2-(2,4,5-Trichlorophenoxy)-Propionic Acid
Thallium Sulfate
Thiram
Toxaphene
Warfarin
EPA Hazardous Waste
Number
P108
U232
U233
P115
U244
P123
U248
SOLVENTS:
Spent solvents, solvent still bottoms or mixtures containing solvents are often hazardous. This includes solvents used
in degreasing and paint-brush cleaning, and distillation residues from reclamation. The following are some
commonly used hazardous solvents (see also Ignitable Wastes for other hazardous solvents, and 40 CFR 261.31 for
most listed hazardous waste solvents):
Waste Stream
Benzene
Carbon Bisulfide
Carbon Tetrachloride
Chlorobenzene
Cresols
Cresylic Acid
O-Dichlorobenzene
Ethanol
Ethylene Bichloride
Isobutanol
Isopropanol
Kerosene
Methyl Ethyl Ketone
Methylene Chloride
Naphtha
Nitrobenzene
Petroleum Solvents (Flash-
point less than 140F)
Pyridine
1,1, 1-Trichloroethane
Tetrachloroethylene
Toluene
Trichloroethylene
Trichlorofluoromethane
Trichlorotrifluoroethane
White Spirits
EPA Hazardous Waste Number
D001
F005
F001
F002
F004
F004
F002
D001
D001
F005
D001
D001
F005
F001 (Sludges), F002 (Still Bottoms)
D001
F004
D001
F005
F001 (Sludges), F002 (Still Bottoms)
F001 (Sludges), F002 (Still Bottoms)
F005
F001 (Sludges), F002 (Still Bottoms)
F002
F002
D001
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Notification of Regulated Waste Activity
REACTIVES:
Reactive wastes include reactive materials or mixtures which are unstable, react violently with or form explosive
mixtures with water, generate toxic gases or vapors when mixed with water (or when exposed to pH conditions
between 2 and 12.5 in the case of cyanide- or sulfide-bearing wastes), or are capable of detonation or explosive
reaction when irritated or heated (for a complete description of reactive wastes, see 40 CFR 261.23, Characteristic of
Reactivity). Unless otherwise specified, all reactive wastes have an EPA Hazardous Waste Number of D003. The
following materials are commonly considered to be reactive:
Waste Stream
Acetyl Chloride
Chromic Acid
Cyanides
Organic Peroxides
Perchlorates
Permanganates
Hypochlorites
Sulfides
EPA Hazardous Waste
Number
D003
D003
D003
D003
D003
D003
D003
D003
SPENT PLATING AND CYANIDE WASTES:
Spent plating wastes contain cleaning solutions and plating solutions with caustics, solvents, heavy metals and
cyanides. Cyanide wastes may also be generated from heat treatment operations, pigment production and
manufacturing of anti-caking agents. Plating wastes are generally Hazardous Waste Numbers F006-F009. Heat
treatment wastes are generally Hazardous Waste Numbers F010-F012. See 40 CFR 261.31 for a more complete
description of plating wastes.
WOOD PRESERVING AGENTS:
Compounds or mixtures used in wood preserving, including the wastewater treatment sludge from wastewater
treatment operations, are considered hazardous wastes. Bottom sediment sludges from the treatment of wastewater
from wood preserving processes that use creosote or pentachlorophenol are hazardous, and have an EPA Hazardous
Waste Number of K001. In addition, wastewaters, process residuals, preservative drippage, and spent formulations
from certain wood preserving processes are also hazardous wastes and carry EPA Hazardous Waste Numbers F032,
F034 or F035, depending on the contaminants they contain. Unless otherwise indicated, specific wood preserving
components are as follows:
Waste Stream
Chro mated Copper Ar senate
Creosote
Pentachlorophenol
EPA Hazardous Waste
Number(s)
D004, F035
K001,F034
K001,F032
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Notification of Regulated Waste Activity
RCRA Subtitle C Site Identification Form
Read all instructions before completing the form.
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Notification of Regulated Waste Activity
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TO:
The Appropriate State or
EPA Regional Office.
1. Reason for Submittal
(See instructions on
page 23)
MARK CORRECT BOX(ES)
2. Site EPA ID Number
(See instructions on page
24)
3. Site Name (See
instructions on page 24)
4. Site Location
Information (See
instructions on page 24)
5. Site Land Type (See
instructions on page 24)
6. North American Industry
Classification System
(NAICS) Code(s) for the
Site (See instructions on
page 24)
7. Site Mailing Address
(See instructions on page
25)
8. Site Contact Person (See
instructions on page 25)
9. Legal Owner and
Operator of the Site (See
instructions on pages 25 to
26)
United States Environmental Protection Agency
RCRA SUBTITLE C SITE IDENTIFICATION FORM
Reason for Submittal:
Q To provide Initial Notification of Regulated Waste Activity (to ot
waste, or used oil activities).
Q To provide Subsequent Notification of Regulated Waste Activit
Q As a component of a First RCRA Hazardous Waste Part A Per
Q As a component of a Revised RCRA Hazardous Waste Part A
Q As a component of the Hazardous Waste Report.
stain an EPA ID Number for hazardous waste, universal
/ (to update site identification information).
mit Application.
Permit Application (Amendment # ).
EPA ID Number:
Name:
Street Address:
City, Town, or Village:
County Name:
State:
Zip Code:
Site Land Type: Q Private Q County Q District Q Federal Q Indian Q Municipal Q State Q Other
A. B.
C. D.
Street or P. O. Box:
City, Town, or Village:
State:
Country:
First Name: Ml:
Phone Number:
A. Name of Site's Legal Owner:
Owner Type: Q Private Q County Q District Q Federal
B. Name of Site's Operator:
Operator Type: Q Private Q County Q District Q Federal
Zip Code:
Last Name:
Phone Number Extension:
Date Became Owner (mm/dd/yyyy):
Q Indian Q Municipal Q State Q Other
Date Became Operator (mm/dd/yyyy):
Q Indian Q Municipal Q State Q Other
EPA Form 8700-12 (Revised 5/2002)
Page 1 of 3
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OMB#: 2050-0175 Expires 12/31/2003
EPA ID No.
10. Type of Regulated Waste Activity (Mark the appropriate boxes for activities that apply to your site. See instructions on pages 26 to 30)
A. Hazardous Waste Activities
1. Generator of Hazardous Waste
(Choose only one of the following three categories.)
Q a. LQG: Greater than 1,000 kg/mo (2,200 Ibs./mo.) of non-acute
hazardous waste; or
Q b. SQG: 100 to 1,000 kg/mo (220-2,200 Ibs./mo.) of non-acute
hazardous waste; or
Q c. CESQG: Less than 100 kg/mo (220 Ibs./mo.) of non-acute hazardous
waste
In addition, indicate other generator activities. (Mark all that apply)
Q d. United States Importer of Hazardous Waste
Q e. Mixed Waste (hazardous and radioactive) Generator
For Items 2 through 6, mark all that apply.
Q 2. Transporter of Hazardous Waste
Q 3. Treater, Storer, or Disposer of Hazardous Waste (at your
site) Note: A hazardous waste permit is required for this
activity.
Q 4. Recycler of Hazardous Waste (at your site) Note: A
hazardous waste permit may be required for this activity.
5. Exempt Boiler and/or Industrial Furnace
Q a. Small Quantity On-site Burner Exemption
Q b. Smelting, Melting, and Refining Furnace Exemption
O 6. Underground Injection Control
B. Universal Waste Activities
1. Large Quantity Handler of Universal Waste (accumulate 5,000 kg or
more) [refer to your State regulations to determine what is regulated].
Indicate types of universal waste generated and/or accumulated at your
site. (Mark all boxes that apply):
a. Batteries
b. Pesticides
c. Thermostats
d. Lamps
e. Other (specify)
f. Other (specify)
g. Other (specify)
Generate
a
a
a
a
a
a
a
Accumulate
a
a
a
a
a
a
a
2. Destination Facility for Universal Waste
Note: A hazardous waste permit may be required for this activity.
C. Used Oil Activities (Mark all boxes that apply.)
1. Used Oil Transporter - Indicate Type(s) of Activity(ies)
Q a. Transporter
Q b. Transfer Facility
2. Used Oil Processor and/or Re-refiner - Indicate Type(s)
of Activity(ies)
Q a. Processor
Q b. Re-refiner
Q 3. Off-Specification Used Oil Burner
4. Used Oil Fuel Marketer - Indicate Type(s) of Activity(ies)
Q a. Marketer Who Directs Shipment of Off-Specification
Used Oil to Off-Specification Used Oil Burner
Q b. Marketer Who First Claims the Used Oil Meets the
Specifications
11. Description of Hazardous Wastes (See instructions on page 31)
A. Waste Codes for Federally Regulated Hazardous Wastes. Please list the waste codes of the Federal hazardous wastes handled at your site. List them in
the order they are presented in the regulations (e.g., D001, D003, F007, U112). Use an additional page if more spaces are needed.
EPA Form 8700-12 (Revised 5/2002)
Page 2 of 3
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OMB#: 2050-0175 Expires 12/31/2003
EPA ID No.
B. Waste Codes for State-Regulated (i.e., non-Federal) Hazardous Wastes. Please list the waste codes of the State-regulated hazardous wastes handled
at your site. List them in the order they are presented in the regulations. Use an additional page if more spaces are needed for waste codes.
12. Comments (See instructions on page 31)
13. Certification. I certify under penalty of law that this document and all attachments were prepared under my direction or supervision in accordance with a
system designed to assure that qualified personnel properly gather and evaluate the information submitted. Based on my inquiry of the person or persons who
manage the system, or those persons directly responsible for gathering the information, the information submitted is, to the best of my knowledge and belief,
true, accurate, and complete. I am aware that there are significant penalties for submitting false information, including the possibility of fine and imprisonment for
knowing violations. (See instructions on page 31)
Signature of owner, operator, or an
authorized representative
Name and Official Title (type or print)
Date Signed
(mm/dd/yyyy)
EPA Form 8700-12 (Revised 5/2002)
Page 3 of 3
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