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United Stales
Environmental Protector
Healthcare Environmental Assistance Resources
Pollution Prevention and Compliance Assistance
for Healthcare Facilities
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ENVIRONMENTAL COMPLIANCE
AND POLLUTION PREVENTION GUIDE
for Health Care Facilities
June 2004
New York State Department of Environmental Conservation
Pollution Prevention Unit
George E. Pataki, Governor Erin M. Crotty, Commissioner
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ACKNOWLEDGMENTS
The New York State Department of Environmental Conservation (NYSDEC), Pollution
Prevention Unit would like to acknowledge the U.S. Environmental Protection Agency (USEPA)
Region 2 Office, New York State Department of Health, and the University of Rochester
Medical Center in the preparation of this document. In addition the Pollution Prevention Unit
would like to acknowledge the following NYSDEC programs for their assistance in the
preparation of the final document: Division of Air Resources; Division of Environmental
Remediation; Division of Public Affairs; Division of Solid and Hazardous Materials; and
Division of Water.
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TABLE OF CONTENTS
INTRODUCTION 1
Section I - Regulations 3
Air Regulations 3
Overview 3
Does Your Facility Need An Air Permit? 3
Part 201 - Permits and Registration 3
Part 212 - General Process Emission Sources 5
Ethylene Oxide Sterilizers 6
Part 219 - Incinerators 6
Part 225 - Fuel Composition and Use - Sulfur Limitations 6
Part 227 - Stationary Combustion Installations 7
Boilers 7
Record Keeping 7
Asbestos 7
Water Regulations 8
Overview 8
Wastewater Discharge Requirements 8
Permitting Requirements 8
Can You Treat or Recycle Your Wastewater? 9
Nonpoint Source Pollution 9
Storm Water Management 9
Safe Drinking Water Act 11
Hazardous Waste Regulations 12
Overview 12
Hazardous Waste Determination 12
Hazardous Waste Categories 16
Conditionally Exempt Small Quantity Generator 16
Small Quantity Generator 17
Storing Hazardous Waste 17
Large Quantity Generator 17
Typical Hospital Hazardous Wastes 18
Universal Waste Rules 18
Overview 18
Requirements 19
Proper Handling and Storage 19
Lamp Crushers 20
Medical Waste Regulations 21
Solid Waste Regulations 23
Petroleum and Chemical Bulk Storage Regulations 25
Overview 25
USEPA Tank Deadline 25
Chemical Bulk Storage Program 25
Petroleum Bulk Storage Program 26
When to Report a Spill? 27
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Pesticides Management Regulations 29
What are Pesticides? 29
Pesticide Product Registration 29
Pesticide Applicator Certification and Business Registration 29
Pesticide Use, Safety and Personal Protection 29
Integrated Pest Management 30
Pesticide Reporting Law and Record Keeping 30
Section II - Pollution Prevention 31
Introduction 31
General Pollution Prevention Tips 31
Section III - Waste Stream Management 33
Abrasive and Alkaline Cleaners 33
Regulatory Requirement 33
Pollution Prevention Tips 33
Absorbents and Floor-Dry 33
Regulatory Requirements 33
Pollution Prevention Tips 33
Floor Drains and Wastewater 34
Regulatory Requirements 34
Pollution Prevention Tips 35
Fluorescent Lamps and Other Hazardous Lamps 35
Regulatory Requirements 35
Lead-Acid Batteries 36
Regulatory Requirements 36
Pollution Prevention Tips 36
Used Electronics 36
Regulatory Requirements 36
Photographic Wastes 37
Pollution Prevention Tips 38
Pharmaceutical Wastes 38
Pollution Prevention Tips 39
Radioactive Wastes 39
Pollution Prevention Tips 39
Some Commonly Asked Questions 40
Section IV - Resource Guide 43
New York State Department of Environmental Conservation 43
Trade Organizations 45
NYSDEC Regional Offices 47
State and Local Assistance 48
Federal Assistance 49
New York State Permitted Hazardous Waste Facilities 50
Resources on the Internet 51
References 52
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INTRODUCTION
This environmental compliance guide
has been developed by the New York State
Department of Environmental Conservation
(NYSDEC) Pollution Prevention Unit to assist
health care facilities in New York State with
environmental regulations, better waste
management and waste minimization
methods. The main purpose of this document
is to provide guidance to health care staff
regarding the proper management of wastes
that are generated and released by health care
facilities. This manual will also describe
some of the environmental issues that may
affect the health care industry. For the
purposes of this document, health care facility
refers to hospitals and nursing facilities.
For the most part, small businesses and
institutions try to comply with applicable
regulations and are willing to implement
pollution prevention measures if information
is presented to them in a format that is easy to
understand. In an effort to assist businesses
and institutions in the health care industry,
this guide provides information on how to
properly manage wastes that are generated at
these facilities. The manual focuses on the
regulatory requirements and pollution
prevention methods for the wastes that are
generated as a result of everyday health care
operations.
This guide is divided into four sections:
Section I - A summary of NYSDEC
regulations as they pertain to the health
care industry.
Section II - Pollution prevention
options for the health care industry.
Section III - Identification and
management of waste streams generated
by the health care industry and pollution
prevention tips for each waste stream
mentioned.
Section IV - A resource guide that will
assist the health care industry with
names and addresses of technical
assistance providers.
There is a growing need for New York's
health care industry to understand and comply
with environmental regulations in order to
avoid enforcement actions and/or fines and
prevent potential harm to human health and
the environment. Health care facilities must
comply with environmental regulations to
ensure the safe handling of hazardous
materials and the reduction of negative
environmental health impacts.
Preventing waste is better than having to
manage it. If your company generates less
waste, you will have less waste to manage and
dispose of, resulting in lower disposal fees. If
your business generates less waste, you
reduce your liability risk by reducing your
risk of spills and discharges that can
contaminate the environment.
When you and your employees
familiarize yourselves with this compliance
guide, your facility should have a competitive
advantage. You will maintain good
regulatory compliance and will be able to
implement pollution prevention techniques
that will help you to reduce the amount of
wastes generated and released.
This guide was developed as a
supplement to the Environmental Compliance
and Pollution Prevention Guide for Small
Quantity Generators (SQG) manual, which is
intended for any small and medium-size
business or institution that generates
hazardous waste. If your business generates
hazardous waste, the SQG manual will give
you a good overview of the hazardous waste
regulations along with a summary of air and
water regulations. This guide should be used
Environmental Compliance and Pollution Prevention
Guide for the Health Care Industry
June 2004
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in combination with the Environmental Self-
Assessment for Health Care Facilities. These
manuals will serve as compliments to one
another to identify and implement pollution
prevention and regulatory opportunities.
Keep this manual where your employees can
refer to it as needed. Additional copies can be
downloaded at:
http ://www.dec. state.ny.us/website/ppu/index.
html on the Pollution Prevention Unit website.
Environmental Compliance and Pollution Prevention June 2004
Guide for the Health Care Industry 2
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Section I - Regulations
Air Regulations
OVERVIEW
If your facility has a boiler, an
emergency generator, an incinerator or a
sterilizer, you will have to comply with some
state and federal air regulations. This section
of the manual summarizes these air
regulations as they deal specifically with the
health care industry.
Ground-level ozone, a major component
of "smog," is formed in the atmosphere by
reactions between volatile organic carbons
(VOCs) and oxides of nitrogen (NOX) in the
presence of sunlight. High levels of ground-
level ozone can endanger public health and
damage crops and forests. As a means to
protect the public health and environment,
both NYSDEC and the United States
Environmental Protection Agency (USEPA)
regulate VOC emissions. Health Care facility
processes, such as fuel burning, are likely to
emit VOCs, nitrogen oxides, particulates, and
carbon monoxide. Many of these air emissions
may be hazardous air pollutants (HAPs),
which are often subject to additional controls.
USEPA has also established national
ambient air quality standards to limit levels of
"criteria pollutants." The criteria pollutants
are: carbon monoxide, lead, nitrogen dioxide,
particulate matter, ozone, and sulfur dioxide.
The Clean Air Act (CAA) requires the phase-
out of the production of chlorofluorocarbons
(CFCs) and several other ozone-depleting
chemicals. It also imposes controls on CFC-
containing compounds. In addition to the
release of CFCs, dioxins, furans, lead,
cadmium, ethylene oxide, and mercury are
also a concern in hospitals.
If you suspect that your facility may
have any air emissions, you should be familiar
with both the state and federal regulations that
apply to the health care industry. Under Title
6 of the New York Codes, Rules and
Regulations (6 NYCRR) the health care
industry may have to comply with:
Part 201 (Permits and Registration);
Part 212 (General Process Emission
Sources);
Part 219 (Incinerators);
Part 225 (Fuel Composition and Use);
and
Part 227 (Stationary Combustion
Installations).
If you are a health care facility with
fewer than 100 employees and need assistance
in computing your VOC emissions, finding
out what registration/permits you need, or
whether 6 NYCRR Parts 201, 212, 219, 225,
or 227 apply to your facility, call the Small
Business Assistance Program (SB AP) at (800)
780-7227. This non-regulatory program
providesfree confidential technical assistance
to help small businesses achieve voluntary
compliance under the Clean Air Act.
DOES YOUR FACILITY NEED AN
AIR PERMIT?
Part 201 - Permits and
Registration
_
The information in this section will help
you determine if your facility will require an
air permit or registration. The air permit
program is regulated under Title 6 New York
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June 2004
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Codes, Rules, and Regulations, Part 201 (6
NYCRR Part 201).
Your health care facility should identify
all emission sources and then calculate the
potential emissions from each source. After
you have totaled your potential emissions for
each pollutant from all sources, you will then
be able to determine whether or not your
facility needs a Title V Permit, State Facility
Permit, Minor Facility Registration or if the
emission sources are exempt/trivial for
permitting purposes.
Exemptions
Your health care facility will need to
obtain a Minor Facility Registration, State
Facility Permit, or a Title V Permit unless
every process at the facility is specifically
exempt from Part 201 and cumulative
emissions from all sources/processes at the
facility are less than Title V thresholds. Some
common exemptions that may apply to the
health care industry are:
Venting and exhaust systems for
laboratory operations.
Research and development activities,
including both stand-alone and activities
within a major stationary source, until
such time as the Administrator
completes a rulemaking to determine
how the permitting program should be
structured for these activities.
Solvent cleaning of parts and equipment
performed exclusively by hand wiping
or hand cleaning.
Facility-specific emergency power
generating units installed for use when
the usual sources of heat, power, water
and lighting are temporarily
unobtainable, where each individual unit
operates for no more than 500 hours per
year, and excluding those units under
contract with a utility to provide peak
sharing generation.
If you need assistance in determining whether
or not your facility is exempt from Part 201
permitting, call the regional NYSDEC air
engineer located in your area. (See Section IV
for phone numbers.)
MINOR FACILITY
REGISTRATION
The following conditions apply to minor
facility registration. The Major Source
thresholds are found in 6 NYCRR Part 201-
Facilities in the New York City and
the Lower Orange County
Metropolitan Areas
The New York City Metropolitan Area
consists of New York City, and the counties
of Westchester, Rockland, Nassau, and
Suffolk. The Lower Orange County
Metropolitan Area consists of seven towns:
Blooming Grove, Chester, Highlands,
Monroe, Tuxedo, Warwick and Woodbury.
To be eligible to register, a facility located in
the New York City Metropolitan Area or the
Lower Orange County Metropolitan Area
must meet all of the following conditions:
4 Total actual annual VOC emissions
must be less than 12.5 tons.
4 Total actual annual emissions of any
individual HAP must be less than 5 tons.
4 Total actual annual HAP emissions must
be less than 12.5 tons.
4 Total actual emissions of any regulated
air contaminants must be less than half
of all "Major Source" thresholds.
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June 2004
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Facilities Outside of the New York
City and the Lower Orange County
Metropolitan Areas
To be eligible to register, a facility located
outside of the New York City Metropolitan
Area and the Lower Orange County must
meet all of the following conditions:
4 Total actual annual VOC emissions
must be less than 25 tons.
4 Total actual annual emissions of any
individual HAP must be less than 5 tons.
4 Total actual annual HAP emissions must
be less than 12.5 tons.
4 Total actual emissions of all
contaminants must be less than all
Major Source thresholds.
Facilities Outside of the New York
City and the Lower Orange County
Metropolitan Areas
4 Total actual annual VOC emissions are
greater than 25 tons, but less than 50
tons.
4 Total actual annual emissions of any
individual HAP are less than 10 tons.
4 Total actual HAP emissions are less
than 25 tons.
TITLE V FACILITY PERMIT
Title V Facility permits are required for
all "Major Sources" in New York State. The
definition of Major Source is found in 6
NYCRR Part 201-2.l(b)(21).
STATE FACILITY PERMIT
The following conditions apply to state
facility permits.
Facilities in the New York City and
the Lower Orange County
Metropolitan Areas
4 Total actual annual VOC emissions are
greater than 12.5 tons, but less than 25
tons.
4 Total actual annual emissions of any
individual HAP are less than 10 tons.
4 Total actual HAP emissions are less
than 25 tons.
4 Total actual emissions of all
contaminants are less than the "Major
Source" threshold.
Please note that "annual" emissions are
computed on a rolling 12-month basis at the
end of each month of operation. The Major
Source thresholds are found in 6 NYCRR Part
201-2.1 (b)(21).
Part 212 - General Process
Emission Sources
This is the NYSDEC regulation that
covers air toxics and processes not covered by
more specific regulations and determines how
much control is needed on your facility's air
emissions. Before a permit is written, you
must establish your emission rate potential.
This is the maximum rate at which a specified
air contaminant from an emission source
would be emitted to the outdoor atmosphere
in the absence of any control equipment.
After your Emission Rate Potential is
established, then NYSDEC will apply a rating
of A, B, C, or D to each contaminant that is
emitted at your facility. This rating ("A"
being the most toxic) is assigned to each
contaminant in order to consider the potential
environmental effects of an air contamination
source on its surroundings.
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It should be noted that the Part 212
system for using Emission Rate Potential and
Environmental Ratings to determine control
requirements is likely to be changed in an
upcoming amendment to Part 212.
ETHYLENE OXIDE STERILIZERS
The operation and emissions of ethylene
oxide ("EtO") sterilizers are not subject to
federal 40 CFR Part 63 National Emission
Standards for Hazardous Air Pollutants
(NESHAP), but are subject to New York
Code of Rules and Regulations Part 212,
regarding General Process emissions
limitations. Reduction of emissions can be
achieved by consolidating loads to the
sterilizers, and maintaining vapor controls.
Part 219 -Incinerators
from waste incinerators is an ongoing topic.
New York State is adopting the federal
Municipal Waste Incinerators rule. Related to
this, a current effort is to evaluate mercury
emissions from stack testing of hospital
incinerators, and determine whether waste
management plans at the facilities are
effective.
Reducing the mercury input to the
incinerators by separating waste streams,
would be the easiest and most effective
method of reducing mercury emissions from
the incinerators.
More information on minimizing or
eliminating mercury releases from health care
facility incinerators can be found at:
www.dec.state.ny.us/website/ppu/p2shlth.html
in A Pollution Prevention Guide to Reducing
Mercury Emissions for Health Care Facility
Incinerators.
Part 219 regulates the permitting of
municipal solid waste, regulated medical
waste, crematory and miscellaneous
incinerators. 6 NYCRR Part 219-3 applies to
new and existing regulated medical waste
incinerators. Emission limits for hospitals
burning regulated medical waste are set for
particulates, hydrogen chloride, and various
toxic compounds.
Any facility operating a crematory must
comply with 6 NYCRR Part 219-4 and
USEPA 40 CFR 60, Part EC. This applies to
new and existing human and animal
crematories burning human and animal
bodies, body parts, and associated animal
bedding. Crematories must monitor
particulate emissions and primary and
secondary combustion chamber exit
temperatures. Reductions in pollution may be
achieved from combustion quality
enhancements.
An effort to reduce mercury emissions
Part 225 - Fuel Composition
and Use - Sulfur Limitations
Part 225 prohibits the sale, offer for sale,
purchase, or use of fuel exceeding the
permitted sulfur limit in any stationary
combustion installation or boiler with the
limits for coal and fuel oil based on location
of the source. Requirements for sulfur in fuel
vary by fuel type and location in the state.
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Part 227 - Stationary
Combustion Installations
This part regulates the particulate
emissions, NOX and opacity from stationary
combustion installations based on maximum
operating heat input, the type of fuel used, and
the date of construction of the boiler. An
existing major stationary source of nitrogen
oxides in NYS must use Reasonably
Available Control Technology (RACT) to
control nitrogen oxides emissions.
NOX RACT varies by boiler size and fuel
type. Particulate matter (PM) standards also
vary by fuel. However, the opacity limits are
the same regardless of fuel. Non-exempt
Emergency Generators at Title V facilities are
subject to NOX RACT.
BOILERS
For boilers, the applicability of the New
Source Performance Standards (NSPS)
depend on the size of the unit and the date the
unit was constructed. Performance testing,
emissions monitoring of sulfur dioxide (SO2)
and opacity, record keeping and reporting are
required for boilers. Smaller boilers are
addressed in 40 CFR Subpart DC. This
includes boilers constructed, modified or
reconstructed after June 8, 1989, and whose
design heat input capacity is greater than or
equal to 2.9 MW (10 million BTU/hr) and less
than 29 MW (100 million BTU/hr).
NSPS Emission Standards for SO2, NOX
and PM in boilers depend on the fuel type,
the heat input and the heat release rate of the
unit.
Common compliance issues with boilers
include reporting inadequacies, failure to
monitor fuel for nitrogen/sulfur content,
opacity monitors not installed/not working,
exceeding the emission caps, and failure to
obtain permits for non-exempt emergency
generators.
RECORD KEEPING
Even if your facility is exempt from
minor facility registration or air permitting
requirements, you should still maintain
records of your VOC emission rates, even if
you use fewer than 25 gallons per month. In
addition, records of the quantity of fuel used,
the sulfur content of fuel and the hours of
operation are also important records to
maintain. By keeping these records, you will:
Show proof of compliance with
applicable NYSDEC air requirements.
Be able to determine if your facility
needs any registrations or permits.
Be prepared to provide information to
any Regional NYSDEC inspectors if,
and when, they call to visit your facility.
Help your facility toward implementing
a pollution prevention program.
ASBESTOS
The asbestos NESHAP is handled by the New
York State Department of Labor. The
National Emission Standard for Asbestos can
be found in 40 CFR 61 Subpart M. Contact
the Department of Labor for information on
asbestos demolition, renovation and
inspections at (518) 457-2072 and USEPA
Region 2 for information on asbestos removal
at (212) 637-4042.
Environmental Compliance and Pollution Prevention
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Water Regulations
OVERVIEW
There is always the potential for
contaminants to spill or leak into the waters of
the State.
WASTEWATER DISCHARGE
REQUIREMENTS
Under the federal Clean Water Act
requirements, a health care facility cannot
discharge any pollutant to surface or ground
waters of the State without a state pollutant
discharge elimination system (SPDES) permit.
If your facility:
has any storm water runoff, you may be
required to obtain either a general or a
specific SPDES permit.
discharges process or non-process
wastewater directly to surface waters,
you may be required to obtain a State
Pollutant Discharge Elimination System
(SPDES) permit. You are considered a
direct discharger.
discharges its process wastewater to a
sewer that flows to a publicly owned
treatment works (POTW), you may be
required to meet pretreatment standards.
You are considered an indirect
discharger
Both direct and indirect dischargers
must meet effluent limits and conduct periodic
monitoring and reporting. Also, both direct
and indirect dischargers will be required to
pre-treat their wastewater to meet their
applicable effluent limits.
The NYSDEC Division of Water
(DOW), has derived and promulgated
protective numeric Water Quality Standards
for mercury in all use classifications of
ambient waters. Pollutant Minimization
Programs (PMPs) are multi-step pollutant
targeted processes for identifying sources of a
pollutant followed by action to minimize that
pollutant in the influent to a wastewater
treatment facility. PMPs are required in the
Great Lakes drainage basin and will be
required for facilities with mercury effluent
limits in the remainder of New York.
PERMITTING REQUIREMENTS
If your facility discharges wastewater
directly into surface or groundwater, then you
are required to obtain a SPDES Permit. These
permits are regulated under 6 NYCRR Parts
750-758.
A SPDES permit will list all pollutants
your facility is discharging into surface or
groundwater that NYSDEC determines
necessary to address. It may contain limits,
action levels or monitoring for each pollutant.
Limits applied to your discharge will be the
more stringent of either technology-based
limits (sometimes referred to as best available
technology or BAT limits), water quality
limits, or groundwater effluent standards.
Water quality limits are calculated according
to the classification and ambient standards
assigned to the specific water body receiving
the discharge. All surface waters and
groundwaters inNYS are classified according
to the best usage, e.g., drinking water or fish
propagation.
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To make certain you are complying with
your permit limits, you may be required to
sample your discharge and submit monitoring
reports. Contact your regional NYSDEC
office for information on obtaining a SPDES
permit. A list of NYSDEC regional offices
can be found in the resource guide found on
page 48 of this manual.
CAN YOU TREAT OR
RECYCLE YOUR
WASTEWATER?
Wastewater treatment and
recovery processes can be
considered treatment of a
hazardous waste if the
wastewater is a listed or
characteristic hazardous waste.
In order to avoid obtaining a
permit under the hazardous waste
regulations, your process must
meet one of the exemptions
found in 6 NYCRR Section 373-
l.l(d)(l). Processes that comply
with certain conditions are
eligible for exemptions such as
the wastewater treatment unit and the
recycling exemptions. If the wastewater itself
meets the conditions for an exclusion, such as
the closed-loop exclusion, it could be
excluded from being a hazardous waste
The maj ority of maj or hospitals/medical
centers are located in urbanized/developed
areas, and, therefore, dispose of wastewater
into the local sewer system. In this situation,
the health care facility is "regulated" by the
local entity (i.e. City, Town, Sewer District,
etc) who owns/operates the sewer system and
wastewater treatment facility.
With current regulations governing
proper handling and disposal of medical waste
and hazardous waste, the remaining
wastewater that is generated at the facility and
then discharged consists largely of sanitary
Remember
Before discharging
solvents, acids, or any
other wastes generated
at your facility to a
municipal sewer
system, check with
your local POTW.
wastewater, cleaning water, and minor lab
wastes. In general, these waste streams do not
cause any operational problems at the local
wastewater treatment facilities.
NONPOINT SOURCE
POLLUTION
Your facility may have a nonpoint
source discharge that could be regulated by a
SPDES general permit. Nonpoint
source discharges include:
contaminated soil
septic system infiltration
agricultural runoff
highway and parking lot runoff
construction activities
These sources of pollution
could introduce contaminants such as
nutrients, petroleum products,
biological oxygen demand (BOD)
loading, suspended solids, and
bacteria into lakes, rivers, and other
water bodies of the state.
For more information on
nonpoint source management,
contact NYSDEC's Division of
Water by calling (518) 402-8243.
STORM WATER
MANAGEMENT
Storm water begins as rain or melting
snow that runs off fields or hard surfaces such
as paved roads, roofs and parking lots. As it
flows through culverts, ditches or drains, the
storm water often picks up oils, litter, animal
wastes, fertilizer, pesticides and eroded soils,
sediment, heavy metals, or other materials
causing it to become polluted. When this
untreated storm water eventually flows into
waterways, it can impact water quality,
leading to the closing of beaches and shellfish
beds, nuisance weed growth in lakes, the
destruction of aquatic habitats, and possible
flooding
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In 1987, under the Clean Water Act,
USEPA established a program to address
storm water discharges associated with
industrial activity. The term "storm water
discharge associated with industrial activity"
refers to a storm water discharge from one of
11 categories of industrial activity defined in
40 CFR 122.26(a)(9)(b)(14). Five of the
categories are defined by SIC codes, while the
other six are identified through narrative
descriptions of the regulated industrial
activity.
Storm water permits are required when
water from your facility is conveyed to a
surface water body. If your facility's storm
water discharge goes directly into a combined
storm sewer and sanitary sewer system that
conveys the storm water to a POTW, then
your facility may not need a general storm
water permit. Check with your regional
NYSDEC office to determine if your facility
is exempt from obtaining a storm water
permit.
Storm water permits will help NYSDEC
recognize what wastes may eventually end up
in the state's waterways. To this end,
NYSDEC issues storm water permits that
cover discharges from roads with drainage
systems, catch basins, curbs, gutters, ditches,
man-made channels, or storm drains, that are
used for collecting and conveying storm water
directly related to manufacturing, processing,
or raw material storage areas at industrial
facilities.
NYSDEC issues two types of storm
water permits: individual permits and general
permits. An individual permit is more
complex and requires substantial data
collection and reporting compared to a general
permit. Your facility can apply for a general
permit by the following procedure:
First, develop and implement a "Storm
Water Pollution Prevention Plan." To
do this, you must obtain a copy of the
SPDES General Permit for Storm Water
Discharges. You can get a copy by
calling your NYSDEC regional office
(see resource guide). You can write the
Storm Water Pollution Prevention Plan
or have a consultant prepare it. This
plan does not have to be submitted to
NYSDEC, but must remain on the
premises in case a NYSDEC inspector
needs to review it.
Second, submit a "Notice of Intent,
Transfer, Termination" (NOITT) to:
NYSDEC, 625 Broadway, Albany, NY
12233-3505.
General permits may require some type
of monitoring, depending on the type of
facility. Usually, a health care facility may
only be required to do visual monitoring.
Information on storm water management
can be found at:
www.dec.state.ny .us/website/dow/mainpage.htm
on NYSDEC's website.
Best Management Practices
Here are some tips that could help you
reduce the contaminants in your storm water
runoff:
Install water bars to divert off-site storm
water away from your facility,
especially from maintenance and repair
areas. Water bars are essentially speed
bumps positioned to divert storm water.
Plant grass areas between the facility
and the nearby surface water to filter out
any contaminants before they are
discharged to waters of the State.
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Other types of vegetation can effectively
remove contaminants from storm water.
Even wetlands act as filter that remove
nutrients, hydrocarbons, and sediments
from runoff.
Don't pour fluids into your septic
system, into a dry well, on the ground,
or in the trash.
Cover all containers that are stored
outside to prevent any spillage onto the
ground.
Install sand filters, holding tanks, oil-
grit separators, or vortex concentrator
chambers to improve storm water
quality before it is discharged.
Try to do all your washing over a drain
that is connected to a sanitary sewer.
Always have a spill kit located close by
the fueling operations and make sure all
employees are trained in the use of spill
containment and cleanup. The kit
should include: absorbent socks or
booms, absorbent pillows and pads, oil
dry, boom and shovel, disposal bags or
other containers, safety goggles, plastic
gloves.
It is important to clean up spills
promptly and thoroughly.
Call NYSDEC at (518) 402-8117 if you have
questions on the storm water management
program.
SAFE DRINKING WATER ACT
The Safe Drinking Water Act (SOWA)
authorizes USEPA to protect underground
sources of drinking water through the control
of underground injection of liquid wastes.
USEPA accomplishes this by the federal
Underground Injection Control (UIC)
program. Under this program, USEPA
requires owners and operators of facilities that
discharge non-sanitary wastewaters to
groundwater to (1) either close the cesspool,
drywell or septic system, or (2) obtain a
permit under the UIC program.
This section is included to make health
care facilities aware that floor drains should
not have a direct discharge to the ground or
groundwater. This could be considered an
underground injection and would constitute a
violation of the SDWA unless authorized by
a UIC permit. For further information on
floor drains, see Section III.
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Hazardous Waste Regulations
OVERVIEW
The New York State hazardous waste
regulations are covered under 6 NYCRR Parts
370-374 and 376 and apply to any health care
facility that generates hazardous waste.
Hazardous wastes can be found in laboratory
wastes, unused chemicals, x-ray wastes,
miscellaneous mercury-containing devices,
chemotherapy drugs, returned
Pharmaceuticals, used electronics and
Universal Wastes. It is your responsibility to
determine the type and quantity of hazardous
waste you generate and properly manage it.
Since disposal fees for hazardous waste can
be very expensive, it would be in your best
interest to practice good hazardous waste
management. Call the Bureau of Hazardous
Waste Regulations at (518) 402-8633 for
assistance with managing your hazardous
waste. Refer to Section IV for more
information on technical assistance providers.
Departments that are most likely to
generate hazardous wastes include:
Dialysis
Lab oratory/hi stol ogy/pathol ogy
Facilities management
Radiology
Sterile processing
Surgical services
HAZARDOUS WASTE
DETERMINATION
You must determine which wastes you
generate at your facility are hazardous. As a
good management practice, always keep non-
hazardous waste separate from your
hazardous waste. This will reduce or
eliminate the mixing and/or contamination of
wastes that could increase your disposal costs.
One way to make a hazardous waste
determination is to see if your waste is listed
in the New York State regulations, 6 NYCRR
Part 371. If your waste is listed in Part 371, it
is automatically a hazardous waste. If your
waste is not listed, it could still be a hazardous
waste if it exhibits one of the hazardous waste
characteristics of ignitability, corrosivity,
reactivity, or toxicity found in 6 NYCRR Part
371 and described further below.
You can also apply your knowledge of
the waste to determine if it exhibits a
hazardous characteristic. You must have a
basis for making this determination, such as
material safety data sheets (MSDSs) or past
analytical results. MSDSs may contain
important information, such as ignitability
(flashpoint), corrosivity, or reactivity for
substances or chemicals you may use at your
facility. Please note that MSDSs only
describe the new product. During use, a non-
hazardous product could become hazardous
by mixing or contamination.
Ignitability
If your liquid waste has a flashpoint of less
than 140ฐF, it is hazardous. Examples
include: certain formulations of ethanol,
xylene, formalin, oil-based paints and rubbing
alcohol.
Corrosivity
If your waste has a pH of 2.0 or lower, or a
pH of 12.5 or higher, it is hazardous.
Examples include: certain formulations of
phenol, sodium hydroxide, and hydrochloric
acid.
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Reactivity
If your waste is unstable and undergoes
violent chemical reaction spontaneously or
reacts violently with air or water, it is
hazardous.
Toxicity
Your waste might have to be tested for
toxicity according to the methods explained in
6 NYCRR Part 3 71.3 (e) or in the federal
regulations, 40 CFR Part 261. Examples
include: arsenic, cadmium, chloroform,
chromium, lead, mercury and silver. These
can be found in pesticides, laboratory wastes,
paints, dyes, stains and products containing
Thimerosalฎ.
A toxicity test is done by having a
representative sample of the waste tested by a
certified lab, where it is analyzed using the
Toxicity Characteristic Leaching Procedure
(TCLP). If the concentration is equal to or
greater than the respective values listed in
Table 1, pages 14 and 15, then the waste is
hazardous. To download a list of certified
labs in New York State, go to the website:
http://www.wadsworth.org/labcert/elap/elap.
html.
Reminder
If you do not have a copy of the manual
Environmental Compliance and
Pollution Prevention Guide for Small
Quantity Generators, you can get your
copy by calling NYSDEC at (518) 402-
9469.
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Table 1
Toxicity Characteristic Leaching Procedure (TCLP)
The following are substances covered by the TCLP. The concentrations are nottotal amounts of the chemical
in the waste, but concentrations in the TCLP leachate after the specific test is carried out.
Waste
Code
D004
D005
D006
D007
D008
D009
D010
D011
D012
D013
D014
D015
D016
D017
D018
D019
D020
D021
D022
D023
D024
Substance
Arsenic
Barium
Cadmium
Chromium
Lead
Mercury
Selenium
Silver
Endrin
Lindane
Methoxychlor
Toxaphene
2,4-Dichlorophenoxyacetic acid
2,4,5-Trichlorophenoxypro pionic acid
Benzene
Carbon Tetrachloride
Chlordane
Chlorobenzene
Chloroform
o-Cresol
m-Cresol
CAS
Number
7440-38-2
7440-39-3
7440-43-9
7440-47-3
7439-92-1
7439.97-6
7782-49-2
7440-22-4
72-20-8
58-89-9
72-43-5
8001-35-2
94-75-7
93-72-1
71-43-2
56-23-5
57-74-9
108-90-7
67-66-3
95-48-7
108-39-4
TCLP
Concentration
Limit (mg/1)
5.0
100.0
1.0
5.0
5.0
0.2
1.0
5.0
0.02
0.4
10.0
0.5
10.0
1.0
0.50
0.50
0.03
100.0
6.0
200.0*
200.0*
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D025
D026
D027
D028
D029
D030
D031
D032
D033
D034
D035
D036
D037
D038
D039
D040
D041
D042
D043
p-Cresol
Cresol
1 ,4-Dichlorobenzene
1 ,2-Dichloroethane
1 , 1 -Dichloroethylene
2,4-Dinitrotoluene
Heptachlor (and its epoxide)
Hexachlorobenzene
Hexachloro- 1 ,3 -Butadiene
Hexachloroethane
Methyl ethyl ketone
Nitrobenzene
Pentachlorophenol
Pyridine
Tetrachloroethylene
Trichloroethylene
2,4,5-Trichlorophenol
2,4,6-Trichlorophenol
Vinyl Chloride
106-44-5
106-46-7
107-06-2
75-35-4
121-14-2
76-44-8
118-74-1
87-68-3
67-72-1
78-93-3
98-95-3
87-86-5
110-86-1
127-18-4
79-01-06
95-95-4
88-06-2
75-01-4
200.0*
2000*
7.5
0.50
0.70
0.13**
0.008
0.13**
0.5
3.0
200.0
2.0
100.0
5.0**
0.7
0.5
400.0
2.0
0.20
* If o-, m-, and p-Cresol concentrations cannot be differentiated, the total cresol (D026)
concentration is used. The regulatory level of total cresol is 200.0 mg/1.
** Quantitation limit is greater than the calculated regulatory level. The quantitation limit,
therefore, becomes the regulatory level.
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HAZARDOUS WASTE
CATEGORIES
Once you have determined that your
facility generates hazardous waste, then it is
necessary to determine your hazardous waste
generator category. Depending on the
quantity and type of waste generated, and the
amount of waste stored, you will be in one of
the following categories: Conditionally
Exempt Small Quantity Generator (CESQG),
Small Quantity Generator (SQG), or Large
Quantity Generator (LQG).
This section does not discuss in detail the
requirements for LQGs. Large Quantity
Generators are fully regulated under
6 NYCRR Parts 370-374 and 376. Large
Quantity Generators can download a copy of
the regulations from:
www.dec.state.ny.us/website/dshm/regs/370
parts.htm on the NYSDEC website.
Conditionally Exempt Small
Quantity Generator
A conditionally exempt small quantity
generator (CESQG):
Generates no more than 220 pounds
(approximately 26 gallons) of hazardous
waste per calendar month;
Generates no more than 2.2 pounds of
acute hazardous waste per calendar
month; and
Stores no more than 2,200 pounds of
hazardous waste or 2.2 pounds of acute
hazardous waste on site at any time.
A CESQG Must Comply with the
Following:
Identify your hazardous waste.
Comply with storage quantity limits.
Ensure proper treatment and/or disposal
of your waste.
Ensure delivery of the waste to a
treatment or disposal facility by bringing
no more than 220 pounds of hazardous
waste to the authorized treatment or
disposal facility; or by having the waste
transported by a 6 NYCRR Part 364
permitted hazardous waste transporter.
Did You Know?
As a CESQG, you can self-
transport up to 220 pounds per
month of your own waste to a
NYS approved facility.
CESQGs can self-transport up to 220
pounds (per calendar month) of their
hazardous waste to an offsite treatment or
disposal facility as long as they transport it
to:
A state or federally regulated hazardous
waste management treatment, storage or
disposal facility.
A facility permitted by NYS to manage
municipal or industrial solid waste and
authorized to receive CESQG hazardous
waste.
A facility that uses, reuses or legitimately
recycles the waste.
A permitted household hazardous waste
(HHW) collection facility that accepts
CESQG waste. See Section IV for a list
of permitted HHW facilities.
If you elect not to transport your own
hazardous waste, you must use a 6 NYCRR
Part 364 permitted transporter.
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Small Quantity Generator
A small quantity generator (SQG):
Generates between 220 pounds and 2,200
pounds of hazardous waste per calendar
month;
Generates less than 2.2 pounds of acute
hazardous waste per calendar month; and
Stores less than 13,200 pounds of
hazardous waste or 2.2 pounds of acute
hazardous waste on site at any time.
A SQG Must Do The Following:
Obtain an USEP A Identification Number
by calling USEPA at (212) 637-4106.
Use a hazardous waste manifest form for
each waste shipment.
Use a 6 NYCRR Part 364 permitted
hazardous waste transporter.
Limit on-site storage. Waste must be
shipped within 180 days of accumulation
(or 270 days, if the treatment, storage, or
disposal facility is greater than 200 miles
away).
Follow emergency preparedness and
response requirements.
Adhere to land disposal restrictions.
Did You Know?
Small quantity generators cannot transport their
own waste. They must use a 6 NYCRR Part 364
permitted transporter.
Storing Hazardous Waste
Keep the waste in a separate storage area
which is labeled "Hazardous Waste
Storage Area." Containers holding
ignitable or reactive hazardous waste
should be stored at least 50 feet from the
property line.
Label all containers properly. Containers
should be clearly labeled with the words
"Hazardous Waste" and the name of the
waste. Also signs indicating "Do Not
Enter" and "No Smoking" should be
clearly posted.
Mark each container with the date you
began collecting waste in that container.
Use proper containment (pallets with
built-in spill containment or berms) in
case of leaks.
Keep containers closed when not in use.
Keep containers in good condition and
periodically inspect for leaks, cracks or
rust.
The above is a summary of the requirements
for the SQGs. For more information on Small
Quantity Generators, request a copy of the
manual, Environmental Compliance and
Pollution Prevention Guide for Small
Quantity Generators by calling (518) 402-
9469. Complete requirements for SQGs can
be found in 6 NYCRR Parts 370-374 and 376;
you can download a copy from:
www.dec.state.ny.us/website/dshm/regs/370
parts.htm on NYSDEC website.
Large Quantity Generator
If you meet any of the following conditions,
you are a large quantity generator:
Generate more than 2,200 pounds of
hazardous waste per calendar month.
Generate more than 2.2 pounds of acute
hazardous waste per calendar month.
Store more than 13,200 pounds of
hazardous waste on site at any time.
Store more than 2.2 pounds of acute
hazardous waste at any time.
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By using good waste management and
pollution prevention methods mentioned in
this manual, most health care facilities should
not be large quantity generators. However, if
your facility is a large quantity generator, you
can obtain an electronic copy of the
regul ati on s f rom :
www.dec.state.ny.us/website/dshm/regs/370
parts.htm on the NYSDEC website, or call the
Division of Solid & Hazardous Materials at
(518) 402-8730. Printed copies of the
regulations can be purchased from West
Group at 1-800-328-9352.
Large quantity generators must obtain an
USEPA ID number, store hazardous waste no
more than 90 days on site, manifest their
waste, submit biennial reports to NYSDEC,
keep records at your site for three years,
comply with land disposal restrictions, and
comply with export/import requirements when
shipping waste out of the country.
TYPICAL HOSPITAL
HAZARDOUS WASTES
Typical hospital hazardous waste include
mercury containing items, photographic/X-ray
fixer solutions, ethanol and
formaldehyde/ethanol solutions,
chemotherapy drugs, spent, off-spec and
excess laboratory drugs, fluorescent lamps
and compressed gases.
Specific wastes include cerrobend, an X-
ray shielding putty, which contains lead and
cadmium, and several chemotherapy drugs
that are listed in 40 CFR 261 and 6 NYCRR
Part 371. Other wastes can include cantor
tubes, dental amalgam, feeding tubes,
esophageal dilators, and Miller Abbot tubes.
Mercury-containing devices include
thermometers, sphygmomanometers,
gastrointestinal tubes, laboratory chemicals,
cleaners and degreasers, batteries, and
fluorescent lamps.
Universal Waste Rule
OVERVIEW
To streamline the hazardous waste
regulations for wastes that are generated by
large numbers of sources in relatively small
quantities, USEPA issued the Universal Waste
Rule in 1995. The universal waste regulations
govern the collection and management of
these widely generated wastes and were
designed to reduce the amount of hazardous
waste entering the municipal solid waste
stream; encourage the recycling and proper
disposal of some common hazardous wastes;
and reduce the regulatory burden on the
regulated community. Universal wastes are
generated in a wide variety of settings
including households, schools, office
buildings, and medical facilities, in addition to
the industrial settings usually associated with
hazardous wastes. In NYS, hazardous wastes
which can be managed as universal waste
currently include such items as hazardous
batteries, hazardous mercury-containing
thermostats, certain pesticides, and hazardous
lamps. Although handlers of universal wastes
must meet less stringent standards for storing,
transporting, and collecting wastes, the wastes
must comply with full hazardous waste
requirements for final recycling, treatment, or
disposal. This approach removes these wastes
from municipal landfills and incinerators,
which provides stronger safeguards for public
health and the environment.
Batteries
Batteries included are nickel-cadmium
(Ni-Cd), certain lithium, small sealed
lead-acid batteries, and batteries that exhibit
hazardous waste characteristics. These may
be found in many common items in the
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business and home, including electronic
equipment, mobile telephones, portable
computers, and emergency backup lighting.
Mercury Thermostats
Mercury thermostats are located in many
buildings including offices, schools, industrial
facilities, and homes.
Pesticides
Agricultural pesticides that are recalled under
certain conditions and unused pesticides that
are collected and managed as part of a waste
pesticide collection program are included in
the Universal Waste Rule. Pesticides may be
unwanted for a number of reasons, such as
being banned, obsolete, damaged or no longer
needed due to changes in cropping patterns or
other factors.
Hazardous Lamps
Examples of common universal waste
hazardous lamps include, but are not limited
to, fluorescent lights, high-intensity discharge,
neon, mercury vapor, high-pressure sodium,
and metal halide lamps. Many used lamps are
considered hazardous wastes under the
Resource Conservation and Recovery Act
(RCRA) because of the presence of mercury
or occasionally lead.
REQUIREMENTS
If your waste includes hazardous
batteries, pesticides, thermostats, or lamps,
you must decide whether or not you will
manage them as universal waste. You may
choose between traditional hazardous waste
regulations or universal waste rule standards.
However, flip-flopping between the two sets
in order to avoid meeting requirements of one
or both sets of regulations is not allowed. For
example, storage time limits exist for both
management scenarios. Flip-flopping
between regulations will not extend storage
time.
If you decide to manage these wastes
under the traditional hazardous waste
regulations, you must count them in
determining whether you are a conditionally
exempt small quantity generator (CESQG), a
small quantity generator (SQG) or a large
quantity generator (LQG). They must also be
reported on the generator annual report if you
are required to file an annual report. Universal
wastes are not counted for the purpose of
determining generator category, and need not
be reported on your hazardous waste report.
PROPER HANDLING AND
STORAGE
If your facility manages any of the above
mentioned universal wastes at your site, then
you are either a small quantity handler or a
large quantity handler of universal waste. A
small quantity handler of universal waste is
any facility that accumulates less than 5,000
kg (11,000 Ibs) of total universal wastes on
site at any time. Requirements include
packaging in a way to minimize breakage;
immediately cleaning up any leaks or spills;
employee training; and properly labeling and
dating containers. A large quantity handler of
universal waste accumulates 5,000 kg (11,000
Ibs) or more of total universal wastes on site
at any time. Requirements include USEPA
notification; packaging in a way to minimize
breakage; immediately cleaning up any leaks
or spills; employee training; properly labeling
and dating containers; and complying with
record keeping and reporting requirements.
Both handlers can store universal waste up
to one year on site.
Universal waste transporters must meet
applicable DOT standards; comply with
record keeping and reporting requirements;
and comply with applicable requirements of 6
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NYCRR Part 364 (Waste Transporter
Permits). Small and large quantity handlers,
as well as common carriers can transport up to
500 Ibs of universal waste in any one
shipment without a Waste Transporter Permit.
Destination facilities must comply with
all applicable requirements of 6 NYCRR Parts
370 through 374-3 and 376, including
notification of hazardous waste activity and
obtaining a Part 373 hazardous waste permit,
if applicable.
LAMP CRUSHERS
Lamps being managed under the
universal waste rule may not be crushed. If
you wish to crush your lamps, you will need
to manage the lamps under the traditional
hazardous waste regulations. This will
require that you count the weight of the lamps
toward determining hazardous waste
generator category, and you will be required
to meet applicable generator, transporter and
transfer facility standards. The crushed lamps
are usually considered hazardous waste for
mercury, and sometimes for lead, and must be
handled and disposed of via normal hazardous
waste requirements. Crushing is considered a
form of hazardous waste treatment, and under
ordinary hazardous waste generator
regulations, hazardous waste lamps may only
be crushed if the process is exempt from
hazardous waste treatment regulations (6
NYCRR Part 373-1.l(d)(l)). Common
exemptions that might be used are: on-site
treatment by a conditionally exempt small
quantity generator; the first step of a recycling
process, if the lamps will be directed to a
mercury recycler; or the treatment in the tank
or container in which the lamps are being
stored. Generators who wish to use one of the
latter two exemptions should seek specific
guidance from the Technical Determination
Section at (518) 402-8633.
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Medical Waste Regulations
Hospitals, nursing homes, blood banks
and clinical laboratories are regulated by the
New York State Department of Health
(NYSDOH) under Section 1389 of the Public
Health Law (PHL) and 10 NYCRR Part 70
pertaining to on-site management of regulated
medical waste (RMW) generated by such
facilities. Title 15 of Article 27 of the ECL
preempts PHL pertaining to the packaging,
transport and off-site management of RMW
generated by health care facilities. 6 NYCRR
Parts 360 and 364 provide the regulatory
framework for off-site management of RMW.
All other generators of RMW are under
NYSDEC's regulatory jurisdiction.
Unfortunately, different states have
different definitions of regulated medical
waste. These differing definitions could pose
a problem when transporting waste between
states. The definition of Regulated Medical
Waste in New York State is:
"Regulated medical waste shall mean any of
the follow ing waste which is generated in the
diagnosis, treatment, or immunization of
human beings or animals, in research
pertaining thereto, or in the production and
testing ofbiologicals, provided how ever, that
regulated medical waste shall not include
hazardous waste identified or listed pursuant
to Section 27-0903 of the Environmental
Conservation Law, or any household waste
promulgated under this section. "
Regulated Medical Waste includes
cultures and stocks, human pathological
wastes, human blood and blood products,
sharps, and animal waste contaminated with
infectious agents.
Regulated medical wastes must be
managed depending upon the amount
produced and shipped off-site each month. If
your facility produces and ships off-site less
than 50 pounds of regulated medical waste
in a calendar month, your facility is a small
quantity generator. If your facility
produces and ships off-site more than 50
pounds of regulated medical waste in a
calendar month, your facility is a large
quantity generator.
Regulated Medical Waste generators are
not required to register with NYSDEC, but a
generator or transporter of regulated medical
waste is responsible for knowing the
requirements for proper packaging, labeling,
transportation, and training pertaining to their
facility. They must also complete an
approved Medical Waste Tracking Form
(MWTF) to accompany the waste to the
disposal facility.
In addition to the OSHA Universal
Biohazard Symbol, the word Biohazard and
the UN identification number, UN3291, that
are required under federal regulations, each
container prepared for transport should be
labeled with the generator's name and
address, the transporter's name and permit
number, and the date of shipment. The
shipping containers should also be labeled
"infectious" or "regulated medical waste."
If the facility's regulated medical wastes
are not disposed of on-site in a state-licensed
incinerator, or for the disposal of liquids in a
sanitary sewer (with local authority
authorization), the facility is responsible for
documenting the delivery of the regulated
medical wastes to a licensed disposal facility.
Large quantity generators must use a
hauler who has a current NYSDEC permit to
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transport regulated medical wastes to a
licensed treatment/disposal facility. Small
quantity generators may use a permitted
hauler or, if registered with NYSDEC, they
may transport the wastes themselves.
The problems associated with the use of
bulk containers and reusable sharps
containers, the commingling of untreated
RMW with solid waste and on-site treatment,
differences in out-of-state RMW definitions,
enhanced training requirements for
management of special waste streams and
waste generated from bioterrorism incidents
are a few of the important issues facing
appropriate management of RMW.
You should be familiar with both the state and
federal regulations that apply to the health
care industry. Under the New York Codes,
Rules and Regulations (NYCRR) the health
care industry may have to comply with:
Title 6 NYCRR Part 360 (Solid Waste
Management Facilities);
Title 6 NYCRR Part 364 (Waste
Transporter Permits); and
Title 10 NYCRR Part 70 (Regulated
Medical Waste).
6 NYCRR Parts 360 and 364 provide the
regulatory framework for off-site management
of RMW. RMW must be treated before
disposal as solid waste in NYS. RMW sharps
must be treated and destroyed before disposal
in NYS. Once treated, RMW may be
disposed of as solid waste at a facility
authorized to accept treated RMW for
disposal.
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Guide for the Health Care Industry 22
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Solid Waste Regulations
In 1988, the Solid Waste Management
Act put emphasis on waste reduction, reuse
and recycling as primary solid waste
management methods.
Every health care facility should be
aware of what items they are
discarding and how they are
disposing of them. The best
way to do this is to develop a
solid waste management
disposal plan. The first step
in developing your plan is to conduct a waste
audit of your business. A waste audit will
show where you can improve your
purchasing practices and help identify
potential waste reduction and recycling
options. Also, a waste audit will help you get
accurate information on the nature and
quantity of your waste. Businesses that
implement waste reduction, reuse and
recycling have benefitted by reducing costs.
Here are some waste reduction and
recycling strategies your facility can adopt:
Use reusable shipping containers and
pallets.
Purchase reusable products and supplies.
Recycle your office paper, plastics, glass,
metal and other materials.
Make sure your employees practice
waste reduction and recycling methods.
Purchase products with recycled content.
Turn off computers, lights, and other
electrical equipment when you leave for
the day, or turn them off when not using
them.
Place trash receptacles in convenient
locations.
Use two-sided copying whenever
possible, and use waste paper as scrap or
draft paper.
Use e-mail and automated forms
whenever possible.
Consolidate files and functions in order
to reduce duplication.
Use paper and other materials with
recycled content.
Encourage the use of coffee mugs and
real spoons versus styrofoam and plastic.
When purchasing print jobs, specify
environmentally friendly options such as
recycled paper, no extra packaging, and
soy-based inks.
Consider the total costs of energy,
supplies, and waste pick-up and assign
responsibility for waste reduction.
Send copier and printer toner cartridges
back to the supplier for refurbishing.
Purchase products with less packaging.
Purchase products made from recycled or
post-consumer materials.
Purchase only as much of a chemical as
you can use and follow all label
instructions.
Try to find alternative products without
hazardous contents that will accomplish
the same task.
Buy in bulk, when practical, but do not
buy more than you can use before the
product expires.
Take batteries to recycling facilities.
Mulch or compost your yard waste and
vegetable scraps from your cafeteria.
If necessary, caulk windows and doors
and install storm windows, doors, and
insulation to conserve energy.
Use energy-efficient bulbs and fixtures
and install light sensors in rooms.
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Use baking soda as a cleaner instead of
more toxic solutions.
When painting, use latex paints whenever
possible.
When using paint thinner for cleanup,
save the used thinner in a covered
bucket; the paint solids will settle to the
bottom, and the thinner can be poured off
and reused.
Conserve energy by using energy-
efficient heating and air conditioning
systems that use solar power or natural
gas.
Install low-flow water faucets and low-
capacity toilets.
Eliminate all leaks and take measures to
minimize the potential for spills.
Use non-toxic and recycled materials
whenever possible.
Improve the operating efficiency of
equipment.
Improve material receiving, storage, and
handling practices and policies to reduce
wasted product.
Encourage vendors and suppliers to
avoid excess packaging and other
wasteful practices.
Conduct a review of the use of raw
materials and generation of wastes and
consider the full cost of wasting.
Recycle whatever wastes cannot be
avoided.
In addition, you may want to identify the
materials that comprise the largest portion of
your waste stream and establish a separate
recycling program targeting the materials
identified.
To obtain a copy of the Waste Audit
Reference Manual, call the NYSDEC Bureau
of Solid Waste, Reduction & Recycling at
(518)402-8705.
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Petroleum and Chemical Bulk Storage Regulations
OVERVIEW
If your facility utilizes heating oil,
solvents, corrosives, degreasers, petroleum
products, etc., you may have to comply with
state and federal bulk storage regulations.
These bulk storage regulations pertain to tank
registration, upgrades, and inspections for the
safe handling of petroleum products, and the
storage of more than 1,000 different
hazardous substances. They also set stringent
design standards for new construction.
The bulk storage regulations consist of
petroleum bulk storage (6NYCRRParts 612-
614) and chemical bulk storage (6 NYCRR
Parts 595-599). The storage of hazardous
substances is regulated under the Chemical
Bulk Storage (CBS) program. The storage of
petroleum is regulated under the Petroleum
Bulk Storage (PBS) program. Both petroleum
and hazardous substance tanks must be
registered with NYSDEC. Both programs are
outlined below. For more information and a
copy of the regulations, call (518) 402-9553.
USEPA TANK DEADLINE
As of December 22, 1998, all
underground storage tanks (USTs) greater
than 110 gallons (except those tanks used for
on-site heating oil) must have been upgraded
to meet USEPA standards for corrosion
protection and overfill. Tanks that weren't
properly upgraded must be closed. If your
facility has not upgraded or closed your
underground storage tanks to meet USEPA
requirements you should contact your regional
NYSDEC Office.
CHEMICAL BULK STORAGE
PROGRAM
New York's Chemical Bulk Storage
(CBS) program addresses both underground
storage tanks (USTs) and aboveground
storage tanks (ASTs) containing regulated
hazardous substances. The regulations (Part
596) require the registration of ASTs that
exceed 185-gallon capacity and all USTs that
store any of the hazardous substances listed in
597 either singularly or in combination.
All underground tanks and any stationary
aboveground tanks of 185 gallons or more
which store a hazardous substance and non-
stationary tanks storing 2,200 pounds or more
of a hazardous substance, or a mixture
thereof, for a period of 90 days or more, are
subject to the technical standards of 6
NYCRR Parts 598 and 599.
Ethylene glycol-based antifreeze is a
regulated hazardous substance. If you are
storing ethylene glycol-based antifreeze in a
tank greater than 185 gallons, the chemical
bulk storage program requires that this tank be
registered. Drums that are used to store
ethylene glycol-based antifreeze do not have
to be registered. You can obtain a copy of the
registration form from:
www.dec.state.ny .us/web site/der/bulkstor/forms
on the NYSDEC website.
Secondary Containment at
Transfer Stations
A transfer station is an area where pipes
or hoses are connected and disconnected to
empty or fill a storage tank. This includes
railways, roads, containment basins, curbs,
collection sumps, and impervious pads where
a vehicle or container is located to off-load or
to receive a hazardous substance, where a
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coupling to a transfer line is made for the
purpose of hazardous substance transfer, or
where a system to collect and contain spills
resulting from transfer is located. As of
December 22,1999, all transfers of hazardous
substances at a registered facility must occur
within a transfer station equipped with
permanently installed secondary containment.
The goal of the program is to control any
release from bulk storage systems and transfer
operations and to reduce/eliminate releases to
soil, surface water, and groundwater.
Spill Prevention Report (SPR)
The SPR is considered to be the
cornerstone of the CBS regulations and was
required by August 11, 1996. The major
elements of the SPR require a listing of all
spills over the previous five-year period, an
assessment of the causes of those spills, a
compliance assessment of bulk storage
operations, records of inspections, a spill
response plan, and management's signature
indicating acceptance and approval of the
report. A proper SPR can minimize and
eliminate injury, loss of life, hospitalization,
subsequent remediation, and reduce overall
liability.
PETROLEUM BULK STORAGE
PROGRAM
New York's Petroleum Bulk Storage
(PBS) program regulates facilities with
underground storage tanks (USTs) and
aboveground storage tanks (ASTs) with a
combined total storage capacity of greater
than 1,100 gallons. (See 6NYCRR612-614).
Under 6 NYCRR 612-614, owners were
required to register storage facilities with
NYSDEC by December 27, 1986. Facilities
must re-register every five years. Registration
fees vary per facility, depending on capacity.
Some 114,000 tanks, holding a total of nearly
4.4 billion gallons, are registered in New
York. New facilities must be registered
before being placed into service. NYSDEC
must be notified 30 days prior to substantial
modification and tank closure.
Any tank storing used oil, no matter what
the size, is subject to petroleum bulk storage
requirements, including registration with
NYSDEC. Drums do not have to be
registered. You can obtain a copy of the
registration form from:
www.dec.state.ny.us/website/der/bulkstor/forms
on the NYSDEC website.
Nassau, Suffolk, Rockland, Westchester,
and Cortland counties administer the program
in these localities, pursuant to delegation from
NYSDEC. Because these counties may have
more stringent requirements than the State,
owners and operators should contact the
county to learn of specific local requirements.
Existing USTs and ASTs must observe
rules for color coding of fill ports, shutoff
valves, gauges and check valves. Operators
of ASTs must conduct monthly visual
inspections. Every 10 years they must clean
out the tanks, remove the sludge from the
bottom, inspect for structural integrity and test
for tightness. In addition, operators must
perform a detailed inspection every 10 years
for any AST with a capacity of 10,000 gallons
or more or any tank with a capacity less than
10,000 gallons which could reasonably be
expected to discharge petroleum to the waters
of the State. Ten-year inspections are not
required for:
tanks which are entirely aboveground,
such as tanks on racks, cradles or stilts;
tanks storing No. 5 or No. 6 fuel oil; or
tanks installed in conformance with the
standards for new construction set forth
in 6 NYCRR 614.8 through 614.11.
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Operators of metered USTs must keep
daily inventory records (and maintain them
for five years) and notify NYSDEC and the
tank owner within 48 hours of unexplained
inventory losses. See 6 NYCRR 613.4(a)(2)
for more information on unmetered tanks.
Operators must also test tanks and pipes every
five years or monitor the interstitial space of
double-walled equipment. The USEPA
requires that certain piping systems be tested
every three years. See 40 CFR 280 for
Federal UST requirements.
Tanks that are temporarily out-of-service
(30 days or more) must be drained of product
to the lowest draw-off point. Fill lines and
gauge openings must be capped or plugged.
Inspection and registration must continue.
Those tanks that are permanently
out-of-service must be emptied of liquid,
sludge and vapors and must either be removed
or filled with solid inert material, such as sand
or concrete slurry. NYSDEC must be notified
30 days prior to filling or removal.
Part 614 applies to all new and
substantially modified facilities. New USTs
must either be made of fiberglass reinforced
plastic; cathodically protected steel (to protect
against the corrosion caused by contact
between steel and soil); or steel clad with
fiberglass reinforced plastic. New ASTs must
be constructed of steel. If their bottom rests
on the ground, the tank must have cathodic
protection. An impermeable barrier must be
installed under the tank bottom, with
monitoring between the barrier and the
bottom. New underground piping systems
must be designed with a 30-year life
expectancy. If made of steel, they must be
cathodically protected. Pipes may be
constructed of fiberglass-reinforced plastic or
other equivalent non-corrodible materials.
Secondary Containment
Secondary containment means
containment which prevents any materials
spilled or leaked from reaching the land or
water outside the containment area before
cleanup occurs. All aboveground tanks with
a capacity of 10,000 gallons or more must be
equipped with secondary containment. All
aboveground tanks smaller than 10,000
gallons are required to be equipped with
secondary containment if it is reasonably
expected that the facility is within close
proximity to ground or surface waters of the
state. Facilities within 500 feet of the
following resources may be considered
presumptive evidence of being in close
proximity to ground or surface waters:
perennial or intermittent stream;
public or private well;
primary or principal aquifer;
wetlands as defined in 6 NYCRR 664;
lake, pond, estuary, etc.; or
storm drain.
Secondary containment such as a
double-walled tank, a vault, a cut-off wall or
impervious underlayment must be provided
for new USTs. Double-walled tanks must
have the interstitial space monitored for leaks.
If one of the other secondary containment
options is chosen, an in-tank monitoring
system, or one or more observation wells can
be used.
WHEN TO REPORT A SPILL
Reporting spills is a crucial first step in
the response process. There may be several
different state, local, and federal laws and
regulations that require spillers to report
petroleum and hazardous materials spills.
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Hazardous Substances
Associated with each regulated hazardous
substance under Part 597 is a Reportable
Quantity (RQ); one for a release to air and one
for a release to land/water. Appropriate
parties are required to take prompt remedial
action to protect human health and the
environment in the event of a spill. A spill
that exceeds the RQ but is contained by
effective secondary containment, and which is
cleaned up within 24 hours, is not reportable
unless it could result in a fire or explosion or
pose a health risk to adjacent parties. When a
spill cannot be contained, it becomes a release
to the environment. When a release exceeds
the RQ for that substance, the facility must
report the release to the NYSDEC Spill
Hotline (800) 457-7362 within two hours of
discovery. Part 595 applies to all releases,
including those from chemical process tanks,
chemical fires, explosions, and non-registered
facilities.
Petroleum Products
Petroleum spills must be reported to
NYSDEC unless they meet all of the
following criteria:
The spill is known to be less than 5
gallons.
The spill is contained and under the
control of the spiller.
The spill has not and will not reach the
State's water or any land.
The spill is cleaned up within two hours
of discovery.
All reportable spills must be reported to the
NYSDEC Spill Hotline at (800) 457-7362.
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Pesticides Management Regulations
WHAT ARE PESTICIDES?
A pesticide is any substance or mixture of
substances intended for preventing,
destroying, repelling, or mitigating any
insects, rodents, fungi, weeds, or other forms
of plant or animal life or viruses. Health Care
facilities may require the use of pesticides to
control a variety of plant or insect pests in and
around their facility. The New York State
regulations pertaining to these and other
pesticides are found under 6 NYCRR Parts
320-329. For more specific information
regarding the use of pesticides, please call the
Bureau of Pesticides Management at (518)
402-8781.
Health care facilities may be using
pesticides in a number of areas inside the
facility. These include food preparation areas,
waste disposal areas, cafeterias, public areas,
offices, and patient rooms.
PESTICIDE PRODUCT
REGISTRATION
The Environmental Conservation Law
(ECL) ง33-0701 requires every pesticide
product which is used, distributed, sold or
offered for sale in New York State to be
registered with NYSDEC. Pesticides are
registered as either general-use pesticides (or
unclassified), which may be sold by anyone
or used by anyone on their own property, or
restricted-use pesticides, which may be sold,
distributed, purchased, possessed and used
only by the holder of a written permit and/or
pesticide applicator certification issued by
NYSDEC. Pesticides classified as restricted-
use may pose a significant risk to the
applicator, the public health or the
environment if stored, handled or applied
improperly. A commercial permit, issued by
NYSDEC, is required to sell, offer for sale, or
possess for the purpose of resale any
restricted-use pesticide.
Businesses may check if the products
they use are registered in NYS or if they are
classified as general or restricted-use by going
to pmep.cce.cornell.edu/pims/ on the Cornell
Pesticide Management Education Program
(PMEP) website, or you can go to:
www.dec.state.ny.us/website/dshm/pesticid/
pestreg.htm on the NYSDEC website.
PESTICIDE APPLICATOR
CERTIFICATION AND
BUSINESS REGISTRATION
The pesticide applicator requirements are
explained in detail in Title 6 of the Official
Compilation of Codes, Rules and Regulations
of the State of New York (6 NYCRR) Part
325, Application of Pesticides.
PESTICIDE USE, SAFETY AND
PERSONAL PROTECTION
Pesticides must be used in such a manner
and under such wind and other conditions as
to prevent contamination of people, pets, fish,
wildlife, crops, property, structures, lands,
pasturage or waters adjacent to the area of
use. Pesticides must always be used only in
accordance with label and labeling directions.
Prior to any pesticide application, the
certified pesticide applicator must provide
safety training to individuals using pesticides
under the certified pesticide applicator's direct
supervision. The training shall include, but is
not limited to, the following topics:
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4 site-typical detailed guidance for
pesticide use;
4 pesticide safety; and
4 the use of personal protective equipment
including selection of appropriate
respirators.
Certified pesticide applicators must
provide relevant safety information, restricted
entry intervals and personal protective
equipment and other safety equipment beyond
normal work attire, as specified by the
pesticide label, to individuals using pesticides
under the certified pesticide applicator's direct
supervision. However, if the certified
pesticide applicator is not the owner or
manager of a registered pesticide business, the
owner or manager of the facility must provide
such information and equipment.
All equipment containing pesticides and
drawing water from any water source shall
have an effective anti-siphon device to
prevent backflow. Empty noncombustible
pesticide containers, such as plastic or metal
containers, must be cleansed before disposal,
using the three-rinse technique as defined in 6
NYCRR 325.1, or other methods approved by
the Department, except that containers of
ready-to-use pesticides that do not require
dilution must be drained only for one 30-
second period.
INTEGRATED PEST
MANAGEMENT
In an effort to reduce to the greatest
extent possible the use of chemical pesticides,
your facility should institute an integrated pest
management plan (IPM). An IPM plan is a
systematic approach to managing pests,
including but not limited to identifying needed
repairs and keeping storage areas within the
facility clean. The plan should focus on long-
term prevention or suppression of pest
populations with minimal impact on human
health, the environment, and non-target
organisms. IPM incorporates all reasonable
measures to prevent pest problems by
properly identifying pests, monitoring
population dynamics, and utilizing cultural,
physical, biological or chemical pest
population control methods to reduce pests to
acceptable levels.
PESTICIDE REPORTING LAW
AND RECORD KEEPING
The Pesticide Reporting Law (PRL)
requires the annual submission of reports, by
February 1 of each year, detailing pesticide
sales and use activities. All commercial
applicators shall maintain pesticide use
records for each pesticide application
containing the following:
a. USEPA registration number;
b. product name;
c. quantity of each pesticide used;
d. date applied; and
e. location of application by address
(including five-digit zip code).
Such records shall be maintained for a
period of not less than three years. All
commercial applicators shall also maintain
corresponding records of the dosage rates,
methods of application and target organisms
for each pesticide application. These records
shall be maintained on an annual basis and
retained for a period of not less than three
years and shall be available for inspection
upon request by the department. For more
information you may e-mail NYSDEC at
prl@gw.dec.state.ny.us or call toll-free at
(888)457-0110.
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Section II - Pollution Prevention
INTRODUCTION
NYSDEC is promoting pollution
prevention because it is often the most
cost-effective option to reduce pollution, as
well as the environmental and health risks
associated with pollution. Even businesses that
do a good job of managing their materials and
wastes can end up spending large amounts of
money, time, and other resources on
environmental compliance. Pollution
prevention provides a means of meeting, and
possibly reducing a business's environmental
compliance requirements, while also saving
money and improving its economic
competitiveness. It is a proactive, "common-
sense" approach to environmental
management. By reducing, or eliminating, the
generation of pollution in the first place, a
business can save itself valuable resources.
In most cases, pollution prevention does
not involve expensive and "high-tech" process
changes. Many pollution prevention options
for health care facilities are simple and of
minimal cost.
The best way to reduce pollution is to
prevent it in the first place. Some companies
have implemented pollution prevention
techniques that improve efficiency and
increase profits while at the same time
minimizing environmental impacts. This can
be done in many ways, such as reducing
material inputs, changing the process to reuse
by-products, improving management practices,
and employing substitutes for toxic chemicals.
Some smaller facilities are able to actually get
below regulatory thresholds just by practicing
some simple pollution prevention strategies.
Waste segregation (separation or
preparation) involves avoiding the mixture of
different types of wastes and avoiding the
mixture of hazardous wastes with
nonhazardous wastes. This makes the
recovery of hazardous wastes easier by
minimizing the number of different
hazardous constituents in a given waste
stream. Also, it prevents the contamination
of nonhazardous wastes. An example of this
is the segregation of wastewater sludge from
metal contaminants.
The following is a list of some general
pollution prevention methods that you can
use to minimize waste at your facility. The
term pollution prevention (P2) refers to the
elimination or reduction in volume or
toxicity of waste prior to generation or prior
to recycling, treatment or release to the
environment. Pollution prevention can also
be referred to as waste reduction, waste
minimization, or source reduction. An
effective pollution prevention program can:
Reduce the risk of criminal and civil
liability;
Reduce your operating costs;
Improve employee morale, participation,
and safety;
Enhance your company's image in the
community; and
Protect the public health and the
environment.
GENERAL POLLUTION
PREVENTION TIPS
Implementing a successful housekeeping
program, as a rule, requires little or no capital
investment. Keep in mind that substantial
savings will not be achieved if routine
surveillance procedures are not implemented.
Here are some housekeeping methods you
can try at your facility:
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Always obtain the material safety data
sheets (MSDS) from the supplier or
vendor for any chemical used in the shop.
The MSDS provides specific information
about the material.
Inspect all shipments and return all
unacceptable or damaged materials;
especially those items that could become
hazardous wastes once they are signed for.
Practice preventive maintenance of
equipment.
Cover solvent tanks when not in use to
reduce evaporation.
Improve purchasing and inventory
methods to ensure that materials do not
exceed shelf life. Date all raw materials
and chemicals and use the first-in, first-
out method of inventory control. Expired
and outdated materials that can't be used
create waste.
Turn off electrical equipment, such as
lights and copiers, when not in use.
Train employees in all areas, especially in
chemical handling and spill response.
Segregate hazardous from nonhazardous
wastes.
Use high-efficiency fans, blowers, and
filters (about 50 percent efficient) at your
facility. Fans, blowers, and filters used to
maintain ultra-clean air are an integral
part of a facility's operation. There can be
hundreds of fans in use that run 24 hours
a day, seven days a week. Most fan filters
in use are only 10 to 20 percent energy
efficient. A centrifugal blower/motor can
be up to 25 to 30 percent efficient, and
some other units are higher.
Install anti-siphon devices equipped with
self-closing valves on inlet water lines
where warranted.
Inspect tank and tank liners periodically to
avoid failures that might severely
overload the waste treatment system.
Use dry cleanup, where possible, instead
of flooding with water.
Install drip trays and splash guards
where required.
Remember, the first step in establishing a
pollution prevention program atthe facility is
to implement employee awareness. One way
this can be achieved is by offering training
sessions on regulatory compliance and waste
minimization so that the employees can
familiarize themselves with the proper waste
management strategies.
Even if the facility only generates a
small amount of waste, keep in mind that
there are thousands of health care facilities
that generate a small amount. Together,
these facilities generate a large amount of
waste that must be managed properly.
All hazardous waste generators are
required to manifest their hazardous waste as
required under the Environmental
Conservation Law (ECL) 27-0907. These
generators must sign a certification on the
manifest form that, "the generator of
hazardous waste has in place a program to
reduce the volume or quantity of toxicity of
such waste to the degree determined by the
generator to be economically practical." A
good source of guidance is the Hazardous
Waste Reduction Plan - Guidance Document
available from the Division of Solid and
Hazardous Materials at (518) 402-8610.
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Section III - Waste Stream Management
To assist the health care industry in complying with environmental regulations, this section
discusses some best management practices for waste streams that can be generated in the health
care industry. The following waste streams give the reader an interpretation of the NYSDEC
regulatory requirement and the preferred waste management techniques that facilities can try
when they dispose of their waste. The following discussions, listed by waste stream, will include
a summary of the regulatory requirements for that particular waste. If the requirements state that
a hazardous waste determination must be made, then you will have to determine if your waste
can be disposed of as a hazardous waste or a solid waste.
Abrasive and Alkaline
Cleaning Compounds
REGULATORY REQUIREMENTS
If your facility uses alkaline or acidic
cleaning solutions, you must make a
hazardous waste determination on the spent
solution before disposing of it. If the pH of
this waste is 2.0 or less; or 12.5 or greater,
prior to any waste treatment, then these are
hazardous wastes. In addition, these wastes
could be hazardous if they fail the TCLP test
for metals.
POLLUTION PREVENTION TIPS
Chemical substitution is one of the best
ways to reduce your hazardous waste
generation during your cleaning process.
Here are some tips that could help you:
Use mild alkaline and acidic cleaners.
Mild alkaline detergent solutions, such as
sodium hydroxide, sodium carbonate,
sodium phosphate, and borax, are used to
clean many substrates because no
hydrogen gas is formed during the
process. These cleaners also remove
rust, scale, and oxides from metal
surfaces. Generally, the stronger the
solution, the faster it cleans. However,
mild solutions are used to accomplish
thorough rinsing in the process line.
Absorbents and Floor-Dry
REGULATORY REQUIREMENTS
A hazardous waste determination must be
made on all absorbent pads or floor-dry
material that is used to clean up spills. If your
facility has a spill that could be harmful to
public health or the environment, you must
contact NYSDEC immediately at (800) 457-
7362.
Alert
Before discarding absorbents or floor-dry into
dumpsters, make sure you are complying with
all the necessary NYSDEC regulations.
POLLUTION PREVENTION TIPS
Good housekeeping practices are the best
way to minimize spills. The fewer spills that
occur, the less absorbents, floor-dry or other
absorbent material will be needed to clean up
these spills.
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Here are some tips to help you prevent
spills at your facility:
Train your employees. Since employees
are the ones who create the spills, make
sure that each employee is taught the
importance of spill prevention.
If you must use absorbents, make sure to
purchase absorbent material that can be
reused. Absorbent "socks," for example,
can be used up to 10 times.
Make sure all of your tanks or drums that
contain liquids have some kind of
secondary containment in case of a leak
or spill.
After wiping up a spill with absorbents or
a mop, drain excess liquids into the waste
container for that particular waste. For
example, if you are cleaning up an oil
spill, squeeze the excess oil in the
container marked USED OIL.
Use shop towels to wipe up small spills,
then send your shop towels to be
laundered.
Consider an award program for
employees that keep their work areas
clean or for workers who come up with
good pollution prevention ideas.
Floor Drains and Wastewater
The wastewater discussed in this section
refers to all the wastewater generated at your
facility that is not treated before it is
discharged. This can include wastewater from
spills, cleanup, leaks, or any other industrial
wastewater that does not get treated.
REGULATORY REQUIREMENTS
As discussed in Section I, the
Environmental Conservation Law prohibits
the discharge of pollutants into surface or
groundwaters without a State Pollutant
Discharge Elimination System (SPDES)
Permit. The Safe Drinking Water Act, under
the Underground Injection Control program
administered by USEPA was designed to
prevent contamination of groundwater
resulting from the operation of inj ection wells.
In addition, the disposal of hazardous waste
into floor drains may be a violation of the
federal Resource Conservation and Recovery
Act (RCRA).
Regulatory Alert
Do not discharge to your floor drains unless
they are connected to either a public sewer
or a holding tank.
If you have floor drains at your facility, you
must do one of the following:
Make sure they are connected to a public
sewer system. In most cases, floor drains
are connected to a publicly owned
treatment works (POTW), however, the
owner should refer to the Local Codes
Enforcement Officer and the Sewer Use
Ordinance before making any new
connections. Some municipalities
restrict floor drains from being connected
to the sewer system, depending on the
type of operation. Also, you may be
required by your POTW to connect an
oil/water separator between the floor
drains and the sewer system. The
oil/water separators should be checked
on a regular basis to make sure they are
working properly. This includes cleaning
out the sludge annually, testing it for
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toxicity and then disposing of it properly.
If you are a conditionally exempt small
quantity generator (CESQG), you can
transport this sludge to an approved
facility. This
includes transporting dried sludge to your
local landfill, but prior approval is
needed. See Section IV for locations of
the household hazardous waste collection
facilities.
If no POTW is located in your area, make
sure your floor drains are connected to
some kind of holding tank, where the
wastewater can be pumped out and
treated or disposed of properly. All
wastewater should be hauled away by a
6 NYCRR Part 364 NYSDEC permitted
waste transporter to avoid any liability.
POLLUTION PREVENTION TIPS
Wastewater can be generated at your
facility from washing floors or other cleaning
operations. By minimizing the amount of
wastewater, you reduce the amount of
wastewater and sludge that must be managed
or discharged. Here are some tips to help you
minimize your generation of wastewater:
Use dry floor cleaning methods. This
includes sweeping and vacuuming.
Train employees to use water efficiently.
Use only nontoxic soaps to clean floors.
Prevent drips and spills from reaching the
floor.
If a small spill does occur, clean it
immediately with shop towels or mops.
Never clean spills by hosing them down
with water.
Maintain vehicles only in areas where
there are no floor drains. If floor drains
are present, seal them off during work to
prevent spills from entering the drains.
Never have floor drains where hazardous
materials are stored.
If you collect your wastewater in a
holding tank, try to reuse it whenever
possible.
Consider buying a water recycling unit
to treat your wastewater on site.
Wash your vehicles at an off-site
commercial car wash.
If you service vehicles at your facility,
brush snow and ice off before bringing
them into the service shop.
Fluorescent Lamps and
Other Hazardous Lamps
REGULATORY REQUIREMENTS
Currently, most waste fluorescent lamps
are hazardous wastes due to their mercury
content. Other examples of lamps that, when
spent, are commonly classified as hazardous
waste include high-intensity discharge (HID),
neon, mercury vapor, high-pressure sodium
and metal halide lamps. The U.S.
Environmental Protection Agency (USEPA)
added hazardous waste lamps to the Universal
Waste Rule (64 FR 36465 - 36490) in 1999,
and NYSDEC adopted these regulations on
March 15,2002. Handlers of hazardous waste
lamps are able to choose between managing
their lamps under the traditional hazardous
waste regulations or as universal wastes.
However, once you declare your lamps
universal wastes, you must continue to handle
them as universal wastes. Jumping back and
forth between the traditional RCRA approach
and the Universal Waste Rule in order to
avoid any requirements is prohibited.
Most health care facilities are considered
Small Quantity Handlers of Universal Waste
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defined as handlers accumulating less than
5,000 kg or 11,000 Ibs. of total universal
wastes (hazardous batteries, certain hazardous
pesticides, hazardous thermostats, or
hazardous lamps, calculated collectively) on
site at any time. The requirements for Small
Quantity Handlers of universal waste lamps
include:
lamps be packaged in a way to minimize
breakage;
any broken lamps are immediately
cleaned up;
containers are structurally sound and
properly labeled and dated; and
broken lamps may need to be managed as
hazardous waste.
More information on handling of
fluorescent lamps and universal wastes can be
found at:
www.dec.state.ny.us/website/dshm/hzwstman/
bulbs2.htm on the NYSDEC website. You
can also contact the Bureau of Hazardous
Waste Regulation in the Division of Solid and
Hazardous Materials at (518) 402-8633.
POLLUTION PREVENTION TIPS
Use an authorized recycler.
Indoor storage is recommended for lead-
acid batteries.
Store batteries on an acid-resistant rack
or tub.
Batteries stored outside should be stored
on impermeable surfaces and should have
secondary containment. Also, it is
recommended that batteries be covered to
prevent acid run off.
Keep a neutralizing agent such as baking
soda nearby, in case of leaks or spills. If
a spill does occur, the waste must be
treated as a hazardous waste.
When stacking batteries, make sure they
are stored so that any fluid from leaking
batteries will not be released to the
environment.
Electrolyte fluid in spent batteries
contains a sufficient quantity of lead to
make it a hazardous waste. This fluid, if
discharged onto the ground, will
frequently make the soil which absorbs it
a hazardous waste.
Lead-Acid Batteries
REGULATORY REQUIREMENTS
If your lead-acid batteries are recycled,
they are not required to be counted as
hazardous waste, but are still subject to
limited hazardous waste regulations. If lead-
acid batteries are not recycled, they must be
managed under the traditional regulatory
scheme as non-exempt hazardous waste.
Used Electronics
REGULATORY REQUIREMENTS
Due to technology's rapid development,
electronic equipment quickly becomes out of
date. Owners of computers and electronic
equipment have three management options:
Resale, donation or repair of units
Dismantling and recycling of units
Disposal of units
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Scrap Metal Exemption
Most discarded electronics which would
qualify as hazardous waste (e.g., monitors) are
considered to contain sufficient quantities of
scrap metal parts that they can be regarded as
scrap metal themselves, and, thus, would be
exempt from regulation (scrap metal
exemption) as hazardous waste if the
following conditions are met:
Prior Notification [6 NYCRR
371.1(c)(7)]: If the generator is not a
Conditionally Exempt Small Quantity
Generator (CESQG), both the generator
and subsequent handlers in the recycling
process in New York State are required
to notify NYSDEC, giving certain basic
information, such as the locations of
generating and receiving facilities.
Although written concurrence from
NYSDEC is not required, NYSDEC will
provide one upon request (provided the
electronics item, in fact, qualifies for the
exemption).
Scrap metal must ultimately be recycled.
The scrap metal exemption requires that
scrap metal pieces actually be reclaimed
from the hazardous electronics and that
they be recycled.
Note that the scrap metal exemption
cannot apply to a part separated from the
whole component unless that separated part
independently contains scrap metal pieces that
will ultimately be reclaimed. For example, an
all-plastic case that was separated from a
computer monitor could no longer qualify for
the scrap metal exemption, nor could broken
cathode ray tube (CRT) glass. Note that an
item which qualifies as hazardous scrap metal
is still a hazardous waste, but exempted from
regulation if it will be recycled.
Resale and Repair of Units
Electronic products that are directly
resold or even donated for continued use are
not considered to be discarded, and, thus,
cannot be subject to the solid or hazardous
waste regulations (i.e., they are still
"products").
Non-working electronic products that are
serviced by repair shops, repaired and then
returned to the user are not considered to be
wastes.
If non-working electronic products are
dismantled and some individual parts (e.g.,
disk drives) are found to be operative, reused
or marketed for reuse, such parts are
considered to be products reclaimed from
waste. Therefore, they are no longer
considered to be solid or hazardous waste.
Any unusable components removed from the
products as part of a repair process must be
managed by the repair shop as "ordinary"
solid or hazardous waste, unless the part
qualifies for the scrap metal exemption.
More information on the management of
used electronics can be found at:
http://www.dec.state.ny.us/website/dshm/
hzwstman/dismantl.htm on the NYSDEC
website.
Photographic Wastes
Waste streams associated with image
processing include spent fixer, spent
cartridges, expired film, and silver flake.
These waste streams may need to be regulated
under RCRA. Wastes containing silver at
levels equal to or greater than 5 ppm as
determined by a TCLP test are regulated as a
hazardous waste and should be managed
accordingly. Silver is also regulated under the
Clean Water Act for wastewater disposal.
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Therefore, the effluent from the silver
recovery process must be managed in
accordance with local sewer use requirements
before discharge to a POTW occurs.
Many localities require compliance with
the Silver Council's Code of Management
Practices. The Silver Council's Code of
Management Practices can be found at:
http ://www. silvercouncil. org/html on the
Silver Council's website.
According to "The Environmentally
Responsible Dental Office: A Guide to Proper
Management in Dental Offices," published by
the Northeast Natural Resource Center of the
National Wildlife Federation and the Vermont
State Dental Society, June 1999: "Lead
wastes such as lead foil that shields x-ray
film, protective lead shields, and lead aprons
are regulated hazardous waste. Do not throw
them into the trash or into biohazard bags.
They may be recycled as scrap metal, with the
lead being reclaimed or smelted. If these lead
wastes are recycled as scrap metal, they are
exempt from most hazardous waste
requirements. Suppliers or amalgam recyclers
may take there items as a courtesy to
customers."
POLLUTION PREVENTION TIPS
Cover developer and fixer tanks to
reduce evaporation and oxidation.
Extend processing bath life.
Store materials in the proper temperature
and lighting.
Use squeegees to reduce bath losses.
Use silver-free films or a digital x-ray
process which would eliminate hazardous
waste production.
Pharmaceutical Waste
Pharmaceutical waste can be hazardous
waste, regulated medical waste, OSHA
regulated waste or solid waste. A hazardous
waste determination must be made. This
determination will dictate how the waste
should be managed.
Epinephrine, nitroglycerin, warfarin,
nicotine, and several chemotherapy agents are
examples of wastes that may be hazardous
waste when discarded. A complete list of
these P- and U-listed pharmaceuticals can be
found in 6 NYCRR 371.4(d) and 40 CFR
261.33. In addition, there are other
chemotherapy agents that are potentially as
hazardous as those listed agents. Therefore,
risk management could include treating all
bulk and residue chemotherapy agents as
hazardous waste.
Chemotherapy waste such as tubing,
gloves, gowns and empty vials, IVs and
syringes that are regulated as hazardous waste
must be managed in accordance with the
hazardous waste regulations of 6 NYCRR
Parts 370-374 and 376. Other hazardous drug
wastes, while not regulated as hazardous
wastes, must be managed in accordance with
the appropriate laws and regulations and
disposed through incineration.
In addition to chemotherapy wastes,
pharmaceutical waste includes
Pharmaceuticals identified as outdated,
products that are not returnable for credit,
spilled or broken products no longer usable
for their intended purpose, any items used in
cleaning up a spill, and any pharmaceuticals
used in compounding or IV preparation.
Partial vials, compounded IVs and broken or
spilled materials should be managed in
compliance with applicable waste
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management regulations. Pharmaceuticals,
especially antibiotics, should not be disposed
of in the sewer system.
POLLUTION PREVENTION TIPS
Centralize chemotherapy compounding
location.
Minimize waste from compounding hood
cleaning.
Radioactive Wastes
In health care facilities, radioactive
material is used to conduct in-vitro and in-
vivobiomedical research, clinical studies, and
medical diagnostic and therapeutic procedures
performed on patients. The types of
radioactive waste that may be generated can
include solids, liquids, animal carcasses, or
equipment contaminated with short-lived or
long-lived radionuclides. Every health care
facility that uses radionuclides may only do so
in accordance with the authorization granted
under its radioactive material license issued
by the New York State or New York City
Department of Heath. The license requires
that all resultant radioactive waste be properly
managed, and that waste minimization
procedures be practiced.
Every health care facility's license
identifies the facility' s radiation safety officer,
who is the person responsible for ensuring
that radioactive wastes are properly managed,
and that any disposal or discharge of
radioactive materials to the environment is
conducted in accordance with the 6 NYCRR
Part 380 regulations issued by the NYS
Department of Environmental Conservation.
Ensure that all radioactive waste is
disposed of by one of the following methods,
in accordance with Section 380-4:
4 Return to vendor
4 Decay in storage
4 Release to the municipal sanitary sewer
system
4 Under the biomedical exemption
4 Ship for disposal to a licensed disposal
facility
4 Another method as authorized in a Part
380 permit
Any questions regarding the Part 380
regulations should be directed to the
Department's Radiation Section at (518) 402-
8579.
POLLUTION PREVENTION TIPS
Periodically evaluate all radioactive
waste generating procedures, to ensure
that radioactive waste is not created
unnecessarily.
Ensure that radioactive waste is managed
in accordance with the facility's waste
minimization plan, as required by the
radioactive materials license.
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Some Commonly Asked Questions
Q. I generate a wide variety of wastes at
my facility. Are there any hazardous
wastes I do not have to count in order
to determine my generator status?
A. In order to count your waste, you must
first determine which wastes are
hazardous. Secondly, you must
determine if any of your hazardous
wastes are exempt from counting. When
determining your generator category, you
do not have to count such wastes as
universal wastes, spent lead-acid
batteries that are reclaimed, used oil
managed under 6 NYCRR Subpart 360-
14, solvents that are taken directly from
an operating machine and put directly
into a still for recycling, computer
monitors or other electronic equipment if
sent to an authorized recycler under the
hazardous scrap metal exemption, or
other wastes that are specifically
exempted from counting.
Q. I frequently hire several different
contractors to do work at my facility.
Most of the time they leave toxic
materials at my facility when they
complete their work. What has to be
done with these materials?
A. Any waste materials that are generated at
your facility are your obligation. You are
responsible for the safe handling and
disposal of these items.
Q. What is a "discharge"?
A. Article 12 of the Navigation Law, the
legislation which applies to Oil Spill
Prevention, Control, and Compensation,
defines a discharge as:
"...any intentional or unintentional
action or omission resulting in the
releasing, spilling, leaking, pumping,
pouring, emitting, emptying or dumping
of petroleum into the waters of the state
or onto lands from which it might flow or
drain into said waters, or into waters
outside the jurisdiction of the state when
damage may result to the lands, waters
or natural resources within the
jurisdiction of the state;.."
Q. What does "remediation" mean?
A. Remediation is the act or process of
removing contamination from the soil,
groundwater, or other medium. The term
"cleanup" is commonly used in referring
to remediation. Cleanup typically is used
in a broader context and may refer to
activities such as using speedi-dry to
recover oil from a roadway, or sorbent
pads to collect oil from the water's
surface.
Q. What is the definition of Petroleum?
A. Article 12, Section 172 of NYS
Navigation Law defines "Petroleum" as:
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"...oil or petroleum of any kind and in
any form including, but not limited to,
oil, petroleum, fuel oil, oil sludge, oil
refuse, oil mixed with other wastes and
crude oils, gasoline and kerosene... "
Additional guidance regarding the
definition of petroleum is available to
assist in identifying compounds which
meet this definition. Procedures
identifying petroleum compounds and a
list of some common substances and
mixtures which are subject to Article 12
of the NYS Navigation Law are
available.
Q. What petroleum spills need to be
reported?
A. All petroleum spills that occur within
New York State (NYS) must be reported
to the NYS Spill Hotline (1-800-457-
7362) within 2 hours of discovery, except
spills which meet all of the following
criteria:
The quantity is known to be less than 5
gallons; and
The spill is contained and under the
control of the spiller; and
The spill has not and will not reach the
State's water or any land; and
The spill is cleaned up within 2 hours of
discovery.
A spill is considered to have not impacted
land if it occurs on a paved surface such
as asphalt or concrete. A spill in a dirt or
gravel parking lot is considered to have
impacted land and is reportable.
More details on notification and reporting
requirements can be found in Spill
Guidance Manual Section 1.1.
Q. How do I find an environmental
response, remediation or laboratory
contractor?
A. NYSDEC cannot recommend a
consultant or contractor, however, here
are a few resources you may choose to
review.
Cleanup Oil.com is a "...comprehensive
International Directory of Oil Spill
Cleanup Contractors and Response
Organizations." The site lists contractors
by country and state. This site is not
affiliated with NYSDEC.
The yellow pages or SuperPages.com
under the categories, Environmental &
Ecological Consultants, Engineers
Environmental or Environmental
Services.
The list of NYSDEC standby contractors
for response and containment,
investigation and remediation and
laboratory analysis.
Q. What are the groundwater cleanup
standards at petroleum spill sites in
New York State?
A. Groundwater standards and guidance
values can be found in 6 NYCRR Part
703. Additional information can be
found in the Division of Water's
Technical and Operational Guidance
Series (TOGS) 1.1.1.
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Q. What are the soil cleanup standards at
petroleum spill sites in New York
State?
A. The cleanup goal of the Department is
the restoration of the environment to its
pre-spill conditions. When the
Department determines that cleanup of a
site to pre-spill conditions is not possible
or feasible, the recommended soil
cleanup objectives can be found in
"Technical and Administrative Guidance
Memorandum (TAGM) #4046." These
recommended soil cleanup objectives
apply to in-situ (non-excavation) soil and
excavated soil for placement back in the
original excavation or elsewhere on-site.
Q. Who must report a release?
A. There are many laws and regulations in
New York State that require releases of
petroleum, chemicals and materials that
may cause environmental damage to be
reported. In all cases, the responsible
party or the property owner is required to
report the discovery of a release. Many
of the laws and regulations also place
burden on consultants, contractors or
anyone with knowledge.
Due to the complexity of the regulations
and situations which multiple laws and
regulations can apply, the NYSDEC
recommends that anyone with knowledge
report the discovery of any
contamination or a release to the NYS
Spill Hotline (1-800-457-7362) as soon
as possible. More details on notification
and reporting requirements can be found
in the Spill Guidance Manual Section
1.1. The Office of the Attorney General
has information on their webpage
regarding reporting and liability as well
as information on petroleum releases in
general.
Q. What other reporting requirements
are there?
A. In addition to requirements for reporting
petroleum releases to the NYS Spill
Hotline covered in Article 12 of NYS
Navigation Law and the Petroleum Bulk
Storage Regulations (6 NYCRR Part
613.8), there are several requirements for
reporting releases of hazardous materials
and substances likely to pollute the
environment. These are covered by the
Chemical Bulk Storage Regulations (6
NYCRR Part 595, 596, 597), Article 17
of the Environmental Conservation Law,
as well as the Federal Clean Water act
and many parts of the Code of Federal
Regulations. In general federal-level
notification can be made through the
National Response Center (NRC) at 1-
800-424-8802. Most hazardous material
releases also require notification to the
local emergency response system (fire,
police, EMS). More details on
notification and reporting requirements
can be found in the Spill Guidance
Manual Section 1.1.
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Section IV - Resource Guide
The following organizations provide technical assistance; publish information; conduct or speak
at workshops and conferences; and provide telephone, written and on-site information to generators
on pollution prevention and better management of air, water, solid waste and hazardous waste issues.
NEW YORK STATE DEPARTMENT OF ENVIRONMENTAL CONSERVATION
625 Broadway, Albany, NY 12233
Division of Environmental Permits
(518)402-9167
Responsible for outreach and compliance
assistance by offering workshops/training and
publications.
Division of Solid & Hazardous Materials
Bureau of Hazardous Waste Regulation
(518)402-8633
Responsible for making hazardous waste
determinations, reviewing hazardous waste
reduction plans, and hazardous waste
permitting.
Regulated Medical Waste
(518)402-8678
Responsible for providing technical assistance
for proper RMW management and disposal
practices.
Waste Transporter Program
(518)402-8707
Responsible for issuing permits to waste
haulers that transport solid and hazardous,
industrial/commercial, sewage and septage
waste.
Bureau of Solid Waste, Reduction &
Recycling
(518)402-8705
Responsible for solid waste recycling and
waste reduction issues.
Division of Air Resources
Bureau of Stationary Sources
(518)402-8403
Responsible for source review, permitting,
MACTandNESHAP implementation.
Bureau of Air Quality Analysis and Research
(518)402-8402
Responsible for air toxics assessments and
mercury control.
Division of Water
Bureau of Water Permits
(518)402-8111
Responsible for managing the State Pollutant
Discharge Elimination System (SPDES)
permits, the SPDES program for storm water
discharges, the water resources programs,
and the municipal water supply permits.
Spill Response Hotline
(800)457-7362
To report releases of petroleum products or
hazardous substances to air, land or water.
Regulations require reporting within 2 hours
if certain conditions are not met. Also, the
National Response Center should be notified.
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Division of Environmental Remediation
Petroleum and Chemical Bulk Storage
(518)402-9549
Responsible for the registration of
above/underground tanks, conducting
workshops and training, and developing
publications for the petroleum and chemical
bulk storage program.
Petroleum Bulk Storage Hotline
(518)402-9549
Provides technical assistance on chemical
and petroleum above/underground storage
tanks.
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Trade Organizations
Joint Commission on Accreditation of
Healthcare Organizations (JCAHO)
One Renaissance Boulevard
Oakbrook Terrace, IL 60181
Phone: (630) 792-5000
Fax: (630) 792-5005
Internet: http: //www .j caho. org
Greater New York Hospital Association
(GNYHA)
555 West 57th Street, 15th Floor
New York, New York 10019
Phone: (212)246-7100
Fax:(212)262-6350
Internet: http://www.gnyha.org
New York State Nurses Association
(NYSNA)
11 Cornell Road
Latham, New York 12110-1499
Phone:(518)782-9400
Fax:(518)782-9530
E-mail: infor@ ny sna. or g
Internet: http://www.nvsna.org
American Hospital Association (AHA)
Chicago Headquarters
One North Franklin
Chicago, IL 60606
Phone: (312)422-3000
Fax:(312)422-4796
Internet:
http://www.hospitalconnect.com/DesktopServlet
Healthcare Association of New York State
(HANYS)
1 Empire Drive
Rensselaer, NY 12144
Phone: (518)431-7600
Fax:(518)431-7915
Internet: http: //www. hany s. or g
Western New York Healthcare Association
1876 Niagara Falls Blvd.
Tonawanda, NY 14150
Phone: (716) 695-0843
Fax:(716) 695-0073
E-mail: wnyha@ wnyha.com
Internet: http://www.wnyha.com
North Metropolitan Hospital Association
400 Stony Brook Court
Newburgh, NY 12250-5162
Phone: (914) 562-7520
Fax:(914)562-0187
Internet: http://www.normet.org
Lowell Center for Sustainable Production
Sustainable Hospitals Project
Kitson Hall, Room 2000
One University Avenue
Lowell, MA 01854
Phone: (978) 934-3259
E-mail: lcsp@uml.edu
Internet:
http ://www.uml. edu/centers/LC SP/hospitals/
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Iroquois Healthcare Organization
Clifton Park Office
17 Halfmoon Executive Park Drive
Clifton Park, NY 12065
Phone: (518)383-5060
Fax:(518)383-2616
Syracuse Office
5740 Commons Park
East Syracuse, NY 13057-9400
Phone: (315)445-1851
Fax:(315)445-2293
Internet: http://www.iroquois.org
Health Care Without Harm
National contact: Health Care Without Harm
c/o Center for Health, Environment and
Justice
P.O. Box 6808
Falls Church, VA 22040
Phone: (703) 237-2249
Fax:(703)237-8389
E-mail: noharm@iatp.org
Internet: http://www.noharm.org
Health Care Without Harm
New York State contact:
Citizens' Environmental Coalition
33 Central Avenue
Albany, NY 12210
Phone: (518)462-5527
Fax:(518)465-8349
E-mail: cechcwh@juno.com
NYS Nurses Association
11 Cornell Road
Latham, NY 12110
Phone: (518)782-9400
Fax:(518)782-9530
E-mail: info@nysna.org
Internet: http://www.nvsna.org
Physicians for Social Responsibility/NYC
475 Riverside Drive #551
New York, NY 10115
Phone: (212) 890-2980
Fax: (212) 890-2243
E-mail: psrnyc@igc.apc.org
Internet: http://www.psr.org
Medical Society of the State of New York
(MSSNY)
MSSNY Office
420 Lakeville Road, P.O. Box 5404
Lake Success, NY 11042-5404
Phone: (516)488-6100
Fax:(516)488-1267
E-mail: mssny@mssny.org
Medical Society of the State of New York
(MSSNY)
Albany Office
1 Commerce Plaza
99 Washington Avenue, Suite 2103
Albany, NY 12210
Phone: (518)465-8085
Fax:(518)465-0976
E-mail: mssnyalb@ix.netcom.com
Internet: http://www.mssny.org
New York Committee on Occupational
Safety & Health (NYCOSH)
275 7th Avenue
New York, NY 10001
Phone: (212) 627-3900
E-mail: nycosh@nycosh.org
Internet: http://www.nvcosh.org
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NYSDEC Regional Offices
REGION 1
Nassau and Suffolk counties
Building 40, SUNY at Stony Brook
Stony Brook, NY 11790
(631)444-0230
REGION 2
Bronx, Kings, New York, Queens and
Richmond counties
1 Hunters Point Plaza
47-40 21st Street
Long Island City, NY 11101
(718)482-4900
REGION 3
Dutchess, Orange, Putnam, Rockland,
Sullivan, Ulster and Westchester counties
21 South Putt Corners Road
NewPaltz,NY 12561-1696
(845) 256-3054
REGION 4
Albany, Columbia, Delaware, Greene,
Montgomery, Otsego, Rensselaer,
Schenectady andSchoharie counties
1150 North Westcott Road
Schenectady, NY 12306-2014
(518)357-2234
REGION 5
Clinton, Essex, Franklin, Fulton, Hamilton,
Saratoga, Warren and Washington counties
Route 86
Ray Brook, NY 12977
(518)897-1242
REGION 6
Herkimer, Jefferson, Lewis, Oneida and St.
Lawrence counties
317 Washington Street
Watertown, NY 13601
(315)785-2513
REGION 7
Broome, Cayuga, Chenango, Cortland,
Madison, Onondaga, Oswego, Tiogaand
Tompkins counties
615 Erie Boulevard West
Syracuse, NY 13204-2400
(315)426-7400
REGION 8
Chemung, Genesee, Livingston, Monroe,
Ontario, Orleans, Schuyler, Seneca,
Steuben, Wayne and Yates counties
6274 East Avon-Lima Road
Avon, NY 14414
(585) 226-2466
REGION 9
Allegany, Cattaraugus, Chautauqua, Erie,
Niagara and Wyoming counties
270 Michigan Avenue
Buffalo, NY 14203-2999
(716)851-7220
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State and Local Assistance
Erie County Office of Pollution Prevention
Department of Environment and Planning
95 Franklin Street, Room 1077
Buffalo, NY 14202-3973
(716)858-7674
Provides confidential assistance to businesses
and the private sector in Erie County.
Broome County Division of Solid Waste
Management
Edwin Crawford County Office Building
44 Hawley Street
Binghamton, NY13902
(607) 778-2250
Provides assistance to residents and
businesses in Broome County.
The Center for Business and Industry
SUNY at Fredonia, Lagrasso Hall
Fredonia, NY 14063
(716)673-3177
Provides assistance for businesses located in
Chautauqua, Cattaraugus, and Allegany
counties.
SUNY Buffalo
Center for Integrated Waste Management
Jarvis Hall, Room 207
Buffalo, NY 14260-4400
(716) 645-3446
Provides R&D support to industries,
businesses, and governmental agencies.
Suffolk County Water Authority
4060 Sunrise Highway
Oakdale,NY11769
(613) 589-5200
Provides confidential assistance to businesses
in Suffolk County.
NYS Environmental Facilities Corporation
Small Business Assistance Program
625 Broadway
Albany, NY 12205
(800) 780-7227
(518)402-7462
Provides confidential technical assistance to
small businesses in New York State on issues
regarding the Clean Air Act.
NYC Department of Environmental
Protection
Environmental Economic Development
Assistance Unit
59-17 Junction Boulevard
Corona, NY 11368
(718)595-4359
Provides assistance to small businesses in
New York City.
Clean Air Act Small Business Ombudsman
Empire State Development
Small Business Division
633 3rd Avenue, 32nd Floor
New York, NY 10017
(800) STATENY or (800) 782-8369
Provides confidential assistance to small
businesses in New York State on issues
regarding the Clean Air Act.
Your county or town Department of Health,
Public Works Office, or Environmental
Management Council may also be able to
provide you with information on local
regulations and issues.
Environmental Compliance and Pollution Prevention
Guide for the Health Care Industry
June 2004
48
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Federal Assistance
Small Business Ombudsman Hotline
401 M Street SW
Washington, DC 20460
Phone: (800) 368-5888
Fax:(703) 305-6462
Helps private citizens, small businesses, and
smaller communities with questions on all
program aspects with USEPA.
RCRA/Superfund/EPCRA Hotline
401 M Street SW
Washington, D.C. 20460
(800) 424-9346
(202)557-1938
Answer questions on matters related to solid
waste, hazardous waste, or underground
storage tanks. Also, can be used to order
USEPA publications.
USEPA Region II Office
Compliance Assistance & Program Support
290 Broadway, 21st Floor
New York, NY 10007-1866
(212) 637-3268
Provides compliance and pollution prevention
assistance to USEPA Region II area
businesses.
USEPA Region II Office
Division of Enforcement and Compliance
Assistance - RCRA Compliance Branch
290 Broadway, 22nd Floor
New York, NY 10007-1866
Phone: (212) 637-4145
Fax: (212) 637-4949
In addition to conducting RCRA inspections on
small businesses, this office provides technical
assistance on RCRA related issues.
USEPA Headquarters
Office of Compliance (2224A)
401 M St., SW
Washington, DC 20460
Phone:(202)260-1821
Fax: (202) 564-0009
Regulatory, technical, compliance and
pollution prevention assistance.
US Department of Transportation Hotline
Hazardous Materials Information Center
Office of Hazardous Materials Standards
Research & Special Programs Administration
400 7th Street, SW
Washington, DC 20590-0001
Phone: (202) 366-4488
Phone: (202) 366-4000 (Main Number)
Fax: (202) 366-3753
Technical assistance on matters related to
DOT's hazardous materials transportation
regulations.
Pollution Prevention Information
Clearinghouse (PPIC)
USEPA - MC304
401 M St., SW
Washington, DC 20460
Phone:(202)260-1023
Fax:(202)260-0178
Provides a library and an electronic bulletin
board dedicated to information on pollution
prevention.
National Response Center
(800) 424-8802
In Washington, D.C. (202) 426-2675
To report oil and chemical spills to the
Federal Government. This hotline is manned
by the U.S. Coast Guard.
Environmental Compliance and Pollution Prevention
Guide for the Health Care Industry
June 2004
49
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New York State Permitted Household Hazardous Waste Facilities
If you are a Conditionally Exempt Small Quantity Generator and located in one of the following
counties, you can call the number listed to make arrangements to bring your hazardous waste for
disposal. Appointments are usually required. Some counties are opening their facilities to
neighboring counties. If your facility is not located in any of these counties, you may want to call
the closest hazardous waste collection facility for more details.
Municipally owned facilities
Broome County
P.O. Box 1766, Government Center
Binghamton, NY 13902
Mr. Brian R Donnelly (607) 778-6432
For Appointment (607) 763-4449
Facility Location: Broome Co. Landfill
Maine, NY
Monroe County
City Place
50 West Main Street, Suite 7100
Rochester, NY 14614
Mr. Harry Reiter (716) 760-7610
Facility Location: 444 East Henrietta Road
Oneida-Herkimer SW Authority
1600 Genesee Street
Utica,NY 13502
Mr. William Rabbia (315) 733-1224
Facility Location: 1600 Genesee Street
Utica, NY
Rockland Co. SW Management Authority
99 Torne Valley Road
Hillburn, NY 10931
Mr. Ronald C. Delo (845) 753-2200
Facility Location: Fireman's Memorial Dr.
Pomona, NY
Schenectady County
Planning Department
107 Nott Terrace, Suite 303
Schenectady, NY 12308-3170
Mr. Jeff Edwards (518) 386-2225
Facility Location: County Farm, Scotia, NY
Tompkins County
125 East Court Street
Ithaca, NY 14850
Mr. Ken Thompson (607) 273-4496
Facility Location: 122 Commercial Ave
Ithaca, NY
Town of Brookhaven
3233 Route 112
Medford,NY1763
Mr. Don Nohs (631) 451-6222
Facility Location: Horseblock Road
Yaphank, NY
Town of Huntington
641 New York Ave
Huntington, NY 11743
Mr. Brian Tuohey (631) 427-6377
Facility Location: 641 New York Ave
Huntington, NY
Town of Tonawanda
450 Woodward Ave
Kenmore,NY 14217
Mr. lohn Hedges (716) 875-8822
Facility Location: Town Highway Garage
Note: Only accepts used oil, antifreeze and latex
paint.
Privately owned facility
Environmental Products & Services, Inc.
532 State Fair Blvd.
Syracuse, NY 13204
Mr. David Ritter
(315) 476-4410 ext. 213
Facility Location: State Fair Blvd
Environmental Compliance and Pollution Prevention
Guide for the Health Care Industry
June 2004
50
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Resources on the Internet
Organization
Healthcare Without Harm
Hospitals for a Healthy Environment
National Pollution Prevention Roundtable
Silver Council
Tellus Institute
Waste Reduction Resource Center
US Army Center for Health Promotion and
Preventive Medicine
U.S. Department of Energy
Pollution Prevention Information
Clearinghouse
New York State
NYS Department of Environmental
Conservation (NYSDEC)
NYSDEC Pollution Prevention Unit
Empire State Development Business
Assistance Services
Environmental Facilities Corporation
Energy Research and Development Authority
U. S. Environmental Protection Agency
Enviro$en$e
Industry Sector Notebooks
Office of Underground Storage Tanks
Small Business Assistance Program
Technology Transfer Network
Internet Address
http://www.noharm.org
http://www.h2e-online.org
http://www.p2.org
http ://www. silvercouncil. org/html
http://www.tellus.org
http ://www.p2pay s. org
http://chppm-www.apgea.army.mil/hmwp/
http://epic.er.doe.gov/epic
http://www.dec.state.ny.us
http://www.dec.state.ny.us/website/ppu
http://www.empire.state.ny.us
http ://www.ny sefc. org
http ://www.ny serda. org
http://es.epa.gov
http://es.epa.gov/oeca/sector
http ://www. epa. gov/swerust 1
http://www.epa.gov/smallbusiness
http ://www. epa. gov/ttn
Environmental Compliance and Pollution Prevention
Guide for the Health Care Industry
June 2004
51
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References
Here are some other publications for the health care industry that you may find useful.
1. New York State Department of Environmental Conservation, Environmental Compliance
and Pollution Prevention Guide for Small Quantity Generators, March 1998.
2. New York State Department of Environmental Conservation, Environmental Self-Assessment
for the Health Care Industry, May 2001.
3. New York State Department of Environmental Conservation, Guidance for Regulated
Medical Waste Treatment. Storage, Containment, Transport, and Disposal, February 1999.
4. New York State Department of Environmental Conservation, Spill Response: Basic
Procedures and Requirements For Responsible Parties in New York State, January 1991.
5. New York State Department of Environmental Conservation/Empire State Development, The
Environmental Self-Audit For Small Businesses, March 1998.
6. United States Environmental Protection Agency Office of Enforcement and Compliance
Assistance, Guides to Pollution Prevention for Selected Hospital Waste Streams.
The production and printing of this publication has been funded by a grant from the United States
Environmental Protection Agency (USEPA).
Environmental Compliance and Pollution Prevention June 2004
Guide for the Health Care Industry 52
-------
New York State Department of Environmental Conservation
Division of Solid & Hazardous Materials
RCRA-C
in
New York State
Managing
Hazardous Waste
December 1999
-------
RCRA-C In New York State: Managing Hazardous Waste
Table of Contents
Page
EXECUTIVE SUMMARY i
INTRODUCTION 1
NEW YORK STATE'S RCRA-C PROGRAM 2
Hazardous Waste Manifest 2
Hazardous Waste Fees 3
Hazardous Waste Reduction 4
Hazardous Waste Permits 5
Financial Assurance 9
Corrective Action 10
Compliance Inspections 16
Other Program Activities 18
FUTURE DIRECTION 20
APPENDICES
A NYS RCRA-C Time Line
B Hazardous Waste Fee Schedules
L. Special Assessment Fee Schedule
2ฑ Regulatory Fee Schedule
C NYS RCRA-C Permit Process Flowchart
D NYS RCRA-C Closure Process Flowchart
E NYS RCRA-C Corrective Action Process Flowchart
-------
RCRA-C In New York State: Managing Hazardous Waste
EXECUTIVE SUMMARY
New York State's strong commitment to
protecting its citizens and environment from
potentially devastating exposure to hazardous
chemicals is illustrated in the Department of
Environmental Conservation's (Department)
RCRA-C program. The Department is
committed to reducing, recycling and
controlling hazardous wastes and restoring the
State's natural resources. The Department
implements the multi-faceted RCRA-C
program in partnership with the United
States Environmental Protection Agency
(EPA), industry and commerce, and
concerned citizens.
< Authorization. New York State initially
received EPA authorization to implement
and enforce the federal
RCRA-C program on May 29, 1986. A
comparative analysis of the national
authorization status as of
March 31, 1999 shows
New York leading all the
New England states and
surpassing the only other
EPA Region II state.
<ป Manifest. Key to
controlling the State's
hazardous waste is our
manifest program.
Hazardous waste is tracked
from the time it leaves the
generator facility to the
place of ultimate disposal.
Approximately 150,000
hazardous waste manifest
forms are processed
annually to track
hazardous waste through a
"cradle-to-grave" system
ensuring that hazardous wastes are
transported from the generator to a regulated
disposal facility without being tampered with
or illegally disposed.
<ป Fees. Through the Hazardous Waste
Special Assessment Fees and Regulatory
Fees, more than $200 million have been
collected. These fees are used to pay a
portion of the debt service associated with
the 1986 Environmental Quality Bond Act
and to fund other environmental program
needs.
<ป Reduction. Through the Department's
hazardous waste reduction efforts,
initiated in 1991, the amount of
hazardous waste generated in 1997 was
reduced by 42 percent - more than
12,000,000 tons.
<ป Permits. Through Part 373 permits, the
Department ensures environmentally-
protective standards in design, operation
Hazardous wastes must be properly managed to protect our environment.
Page i
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and performance of hazardous waste
treatment, storage and disposal facilities
(TSDFs). Under RCRA-C, 315 TSDFs in
New York State have been subject to Part
373 permitting requirements. Ninety-
seven (97) percent (298) of these TSDFs
have been closed or fully permitted. Only
ten facilities remain to be closed or fully
permitted. New York State is well ahead
of the national average for meeting EPA's
permitting goals.
Financial Assurance. All permitted
TSDFs have financial assurance
mechanisms to ensure that
owners/operators have the funding to
provide closure and post-closure activities
necessary to protect human health and the
environment upon ceasing operation. The
financial assurance also provides third
party compensation resulting from
accidental release of hazardous wastes.
The Department holds a total amount of
assurances in excess of $400 million.
Corrective Action. Nearly 200 RCRA-C
corrective action projects have been
completed since 1984, the first year of the
program, resulting in cleaner air, water
and soil at 65 RCRA-C facilities and
surrounding properties. More than 15.5
billion gallons of contaminated
groundwater have been pumped and
treated, and more than one-half million
cubic yards of contaminated soil have
been excavated, followed by
environmentally-sound treatment and
disposal.
Inspections. An average of more than
780 RCRA-C inspections are conducted
statewide each year to monitor compliance
with RCRA-C regulations. Through
routine inspections of hazardous waste
generators, transporters and treatment,
storage and disposal facilities, RCRA-C
inspectors uncover serious offenses -
violations that, left undetected, could
result in extreme, adverse consequences to
human health and the environment.
<ป Future Direction. The Department will
completely review the RCRA-C program
to determine all the vital components that
would constitute a comprehensive and
successful statewide hazardous waste
program. Upon review, the Department
will establish a level of effort that is
needed for each component and take steps
to secure adequate long-term resources.
There has been great progress made in the
management of hazardous waste in the
State and those successes must be
expanded and maintained.
All facilities will be permitted, permits will
be maintained, and all corrective measures
completed and monitored for
effectiveness. A process will be developed
to work with those managing hazardous
wastes to reduce their production to a
minimum and provide for the safest
management and maximum recycling of
those wastes that have to be produced.
Continued implementation and
improvement of our comprehensive
inspection process is planned to ensure
that the valuable resources of the State are
being protected from hazardous waste
mismanagement. We will expand and
maintain a comprehensive data
management system that will enable all
involved with the management of
hazardous waste to readily determine all
who generate, manage, ship, treat or
dispose of hazardous waste in the State.
This system will continue to provide
current information on the types and
quantities of hazardous wastes generated,
shipped and treated in the State.
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RCRA C IN NEW YORK STATE:
MANAGING HAZARDOUS WASTE
INTRODUCTION
The RCRA-C hazardous waste
management program, administered by
the Department of Environmental
Conservation, has gradually, but
dramatically, changed the ways in which
commerce and industry handle their most
toxic forms of waste. Once improperly
stored, inadequately treated and
indiscriminately dumped, hazardous
wastes are now stored, treated and
disposed in an environmentally-sound
manner. Hazardous waste is regulated in
New York State from the moment it is
generated to its final disposition to protect
human health and the environment, a
concept known as "cradle-to-grave" waste
management. Furthermore, through the
Department's hazardous waste reduction
efforts, the amount of hazardous wastes
generated has been reduced by 42 percent
compared to 1991.
The State's RCRA-C program has made
great strides. It has prevented the
emergence of new superfund sites, cleaned
up previously contaminated sites, and
upgraded or closed poorly-designed
facilities that spewed contaminants into
the environment.
History. The State's comprehensive
hazardous waste regulatory program is
based on Subtitle C of the Federal
Resource Conservation and Recovery Act
of 1976, known as the RCRA-C program.
Regulations that implemented RCRA-C
became effective on November 19, 1980,
to address adverse impacts to human
health and the environment that were
being discovered with increasing regularity
as a result of unsafe waste handling and
disposal practices. In general, New York
State's RCRA-C regulations, initially
adopted in 1982, focus on: 1) the criteria
to determine which wastes are hazardous;
2) the requirements for hazardous waste
handlers: generators, transporters, and
TSDFs (treatment, storage and disposal
facilities); and 3) the technical standards
for the design and safe operation of
TSDFs. Regulations also address past
environmental releases of contaminants
through investigation and corrective
action activities.
An understanding of RCRA-C in New
York State requires a brief introduction to
those legislative elements that drive the
program. Appendix A is a time line that
offers an overview of the program's
complex legislative framework. It is a list
limited to the statutes and regulations that
are significant to the program.
Authorization. New York State initially
received EPA interim base authorization
to implement and enforce the federal
RCRA-C program on July 26, 1982, with
final base authorization granted on May
29, 1986. Currently, following several
authorization revisions, the State has
adopted 101 percent of the federal
program (101 percent includes some
optional rules) and has been authorized
for 76 percent of the federal program as of
March 1999. A comparative analysis of
authorization status as of March 31, 1999
illustrates that New York State leads all
New England states and far surpasses the
only other EPA Region II state by 31
Page 1
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percent (101 percent vs. 70 percent) for
adoption and 62 percent (76 percent vs.
14 percent) for authorization. Further,
authorization is pending from EPA for an
additional 51 rules which will bring the
New York State RCRA-C program in line
with the federal program as of August
1997.
The federal RCRA-C program is dynamic
and ever evolving. From August 1997
through July 1999, there have been 24
additional federal RCRA-C rule changes.
The Department is continually revising its
regulations to maintain consistency with
the federal RCRA-C program.
RCRA-C authorization is advantageous to
our regulated community. It means they
deal with only one regulator - compliance
with our State hazardous waste
requirements equals compliance with
federal laws and regulations for those
portions of the State program that are
authorized. In addition, due to our
comprehensive working knowledge of local
facilities, the Department offers quicker
response to facility compliance needs and
keener oversight of permit issues than
possible under a federally-run program.
The Department, through its nine
Regional Offices, is able to more rapidly
respond to citizen concerns.
Program Administration. The Division
of Solid & Hazardous Materials has the
lead role in implementing the authorized
RCRA-C Program in New York State.
The program is administered from the
Central Office in conjunction with the
Department's nine Regional Offices.
Activities such as regulatory development,
permit reviews, closure and corrective
action approvals, development of technical
guidance, maintenance of data bases, and
development of annual program work
plans are handled in the Central Office.
Regional Offices also participate in permit
reviews and closure and corrective action
activities. The Regional Offices conduct
the vast majority of compliance
inspections.
Other Units/Divisions in the Department
also participate in certain elements of the
RCRA-C Program. The Pollution
Prevention Unit conducts activities related
to waste reduction and minimization. The
Division of Environmental Enforcement
and the Division of Law Enforcement are
involved in the enforcement of the State
hazardous waste laws and regulations.
The Division of Legal Affairs provides
counsel for legal interpretation and
meeting program legal needs. The
Division of Environmental Permits
coordinates the issuance of all permits in
the Department, including hazardous
waste facility permits.
NEW YORK STATE'S RCRA-C PROGRAM
HAZARDOUS WASTE
MANIFEST
The hazardous waste manifest program is
a key element in controlling hazardous
waste. Using a set of forms, reports and
procedures, the manifest program tracks
hazardous waste from the time it leaves
the generator facility where it is produced,
until it reaches the off-site waste
management facility that will store, treat
or dispose of the hazardous waste. This
cradle-to-grave tracking system ensures
that hazardous waste is transported from
Page 2
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the place of generation to the place of
ultimate disposal without being tampered
with, dumped, or otherwise illegally
disposed of along the way.
A manifest form specified by law
accompanies every regulated shipment of
hazardous waste originating or
terminating in New York State. The
information provided by the manifest
system enables state environmental
planning agencies, and local and private
managers of hazardous waste to plan for
the appropriate treatment, storage and
disposal of hazardous waste. The manifest
information supports annual reports,
special assessment and regulatory fee
programs; identifies generators and
treatment, storage and disposal facilities
that do not file required manifests; and is
used to refer violators to the Divisions of
Environmental Enforcement, Legal Affairs,
Management and Budget, and other units
and staff. It also assists in determining
compliance during hazardous waste
inspections.
Currently, approximately 150,000
manifest forms are processed annually.
This process provides the following
hazardous waste information:
quantity and type generated in New
York State;
quantity and type brought in from
other states;
quantity and type shipped out-of-state;
quantity disposed in New York State
by each type of ultimate disposal
method (i.e., landfill, incineration,
chemical treatment, etc.);
quantity that does not reach its
intended destination; and
those in non-compliance with
hazardous waste manifest
requirements.
HAZARDOUS WASTE FEES
More than $200 million in hazardous
waste fees have been collected through
March 31, 1998 to pay a portion of the
costs of remediating inactive hazardous
waste sites and for administering the
regulatory programs. There are two types
of fees levied by New York State, special
assessment fees and regulatory program
fees.
Special Assessment Fees
Established in 1982 and amended in
1985, special assessment fees are levied on
facilities in New York State that generate
hazardous waste, and all treatment,
storage and disposal facilities (TSDFs)
receiving hazardous waste from out-of-
state generators based on the amount of
waste generated or received and the
method of waste disposal. (Federal
facilities and remediation at hazardous
waste sites in New York State are exempt
from the assessment.)
Assessments are levied on a scale ranging
from $27.00 per ton for land filling down
to $2.00 per ton for on-site incineration.
The assessment is due on a quarterly basis
and payable to the New York State
Department of Taxation and Finance.
One hundred percent of the revenue
collected goes to the Hazardous Waste
Remedial Fund's Industry Fee Transfer
Page3
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Account which is used to pay 50 percent
of the debt service associated with the
1986 Environmental Quality Bond Act
(EQBA). Annual fluctuations occur in the
revenues collected from the hazardous
waste special assessment fees because of
the year-to-year changes in the source,
amount and method of management of
the hazardous wastes. Appendix B-l
illustrates the annual special assessment
fee schedule.
Regulatory Fees
Regulatory fees were established in 1983
through Article 72, Environmental
Conservation Law, which authorizes the
Department of Environmental
Conservation to collect regulatory fees and
penalties from certain public and private
facilities required to have air, water
(SPDES), hazardous waste and waste
transporter permits and hazardous waste
generators. Three categories of facilities
that manage hazardous waste are charged
annual regulatory fees in New York State.
Fees are assessed according to facility type
and the amount of hazardous waste
generated. Appendix B-2 illustrates the
annual regulatory fee schedule.
Annual invoices are prepared and sent by
the Department to all TSDFs and to all
required generators. Payments are sent to
the Department and deposited into the
Environmental Regulatory Account. Fifty
percent of the regulatory fees collected is
transferred into the Hazardous Waste
Remedial Fund's Industry Fee Transfer
Account. Fifty percent of the revenue
collected is used to fund other
environmental program needs.
HAZARDOUS WASTE
REDUCTION
In 1997, a significant net reduction in
primary hazardous waste in New York
State-more than 42 percent, was
achieved. The legislative goal is 50
percent reduction by the end of the year
2000.
Primary hazardous waste is the hazardous
waste produced by actual industrial and
commercial production processes and is
the chief concern and focus of our RCRA-
C program. Primary waste is often
transported off the site of generation to be
managed at a hazardous waste treatment,
storage or disposal facility (TSDF).
The impressive 42 percent reduction is the
result of the Department's Hazardous
Waste Reduction Program. Since July 1,
1991, 535 generators of hazardous waste
have prepared hazardous waste reduction
plans. These plans evaluate the types of
waste generated and the processes
responsible for the generation. The plans
also provide the implementation plan to
reduce or eliminate the primary hazardous
waste generated through technically and
economically-feasible waste reduction
processes, technologies or operational
changes.
Our most recent analysis shows that waste
reduction efforts had prevented the generation of
more than 12,000,000 tons of primary
hazardous waste in 1997. This is based on
all measures implemented since the
beginning of the hazardous waste
reduction program. See Figure 1.
Page
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Hazardous Waste Reduction 1991-1997
1991 1992 1993 1994 1995 1996 1997
Hazardous Waste Generated
Hazardous Waste Reduced *
Hazardous Waste Expected
* For each year, the Hazardous Waste Reduction figure represents the difference between Hazardous Waste
Generated and -what DEC calculates -would have been generated, based on changes in production rates and
efficiencies.
Figure 1
HAZARDOUS WASTE
PERMITS
New York State's hazardous waste
management permits ensure
environmentally-protective standards in
design, operation and performance of
hazardous waste treatment, storage and
disposal facilities (TSDFs). These permits
also address prevention of and response
preparedness for accidental releases to the
environment and resulting environmental
contamination, as well as facility closures.
TSDFs are the last link in the cradle-to-
grave hazardous waste management
system. In recognition of the extensive
potential for adverse environmental
impact posed by mismanaged hazardous
waste, the permitting process is executed
methodically and thoroughly among all
stakeholders: the permit applicant, the
Department, the public and other
interested parties in accordance with 6
NYCRR Part 373. Appendix C is a How
chart of the Part 373 permitting process.
All TSDFs in New York State that did not
meet the required standards have been
upgraded, have closed or are in the process of
closing.
Page 5
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Hot oil furnace burning hazardous waste for energy recovery.
Types of TSDFs
Commercial TSDFs. Commercial TSDFs
manage large quantities of hazardous
wastes from a myriad of generators.
Whether a land disposal, combustion,
storage or treatment facility, considerable
resources and expertise are required to
ensure that the wide variety of hazardous
wastes are safely managed and that
incompatible wastes are not blended.
There are currently 19 commercial TSDFs
in New York State. These TSDFs handled
714,000 tons of hazardous wastes in
1997. All commercial TSDFs in New
York State have been permitted pursuant
to Part 373.
Non-commercial TSDFs. Non-
commercial TSDFs manage only
hazardous waste generated by their own
company with the majority of those
wastes generated onsite. Non-
commercial facilities that store the
hazardous wastes they generate on site
for greater than 90 days; combust or
land dispose of the hazardous wastes at
that site; or receive company hazardous
waste from offsite (with a few
exceptions) require a Part 373 Permit.
There are currently 49 non-commercial
TSDFs in New York State. These
TSDFs handled 195,000 tons of
hazardous wastes in permitted units in
1997.
Non-commercial facilities that solely
store or treat in tanks, containers or
containment buildings the hazardous
wastes they generate on site for less than
90 days are exempt from Part 373
permitting and are regulated as
hazardous waste generators.
Interim Status TSDFs. Interim Status
TSDFs are those facilities that existed
when the hazardous waste regulations
went into effect in November 1980 or who
subsequently became subject to permitting
due to regulatory changes. A timely
submittal of a Part A permit application
allows the existing facility to continue
operation until a final Part 373 Permit is
obtained. Approximately 740 companies
filed a Part A permit application.
Closure Achievements
The New York State RCRA-C facility
universe requiring permits is significantly
smaller than anticipated when RCRA-C
went into effect. Upon careful evaluation
by the Department, it was determined that
432 companies of the 740 that filed Part
A applications were "protective filers" -
Page 6
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companies that filed to protect their
ability to have legal status as TSDFs but
subsequently did not require a Part 373
Permit. These companies managed their
wastes in a manner not requiring a permit.
The remaining 308 facilities that filed
Part A applications were considered to be
TSDFs. All TSDFs are subject to Part 373
Permit requirements. Subsequently, 240
of the 308 facilities have closed in
accordance with Part 373 closure
requirements. Many of these closed
TSDFs continue to operate their
businesses as generators and their waste is
now handled by commercial facilities that
meet the stringent permitting
requirements.
Closure requirements include removal of
all wastes, clean up of contaminated
surfaces and soils, and when necessary,
installation of final cover, and post-closure
monitoring which prevent exposure of
humans and the environment to toxic
wastes. Appendix D is a flow chart of the
Part 373 closure process.
Land Disposal Unit Closures. The
number of TSDFs operating hazardous waste
land disposal units in New York State has been
reduced from 39 to two through the RCRA-C
closure process. The two remaining TSDFs
that currently operate hazardous waste
land disposal units in the State are fully-
permitted hazardous waste landfills. They
meet or exceed all federal and State
regulatory standards pertaining to design,
construction, operation, maintenance and
long-term monitoring.
Since the majority of TSDFs operate two
or more hazardous waste land disposal
units, the closure of these facilities resulted in
the closure of 108 land disposal units.
RCRA-C defines land disposal units
subject to its regulations as landfills,
surface impoundments, waste piles and
land treatment units used for the
management of hazardous waste on or
after November 19, 1980. The following
is a break down of the 108 land disposal
units that have been closed since 1981:
Twenty-five (25) landfills and 13 waste
piles containing approximately 8.5
million cubic yards of hazardous waste
were closed. The closure of one two-
acre landfill and the 13 waste piles
resulted in the removal of
approximately one-half million cubic
yards of hazardous waste to regulated
hazardous waste disposal facilities.
Twenty-four of the landfills were
capped using a final cover system in
accordance with regulation, which will
prevent the generation of an estimated
211 million gallons per year of hazardous
waste contaminated leachate that could
pollute surface and ground waters.
Seventy (70) surface impoundments
were closed and three additional
surface impoundments have ceased
operation and initiated the RCRA-C
closure process. The closure activities
at these 73 surface impoundments
have resulted in the removal of
approximately 220 million gallons of
hazardous wastewater and approximately
350 thousand cubic yards of hazardous
waste sludge and soil to regulated
hazardous waste disposal units.
Combustion Unit Closures. A total of
nine combustion units have been closed at
eight sites across the State. The units
were potentially harmful to the
environment and human health and their
operators chose to close rather than
upgrade them to meet current regulatory
requirements.
Page 7
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Permit Achievements
Of the original 308 TSDFs, 298 facilities (or
97 percent) have been either closed or fully
permitted.
Currently, 68 hazardous waste TSDFs
operate in New York State: one is a
landfill, one operates both a landfill and
combustion units, eight others operate
combustion units and 58 are solely storage
and/or treatment facilities. Part 373
Permits have been issued for all of the
hazardous waste units at 58 facilities in
the state, including the two land disposal
facilities and all but two of the combustion
facilities.
Only ten TSDFs remain that are not fully
permitted. Two of these have decided to
close rather than pursue Part 373 Permits.
Permitting for four of the facilities has
been deferred pending EPA rulemaking
that is expected to exempt these facilities
from Part 373 Permit requirements since
they manage mixed radioactive/hazardous
wastes that are already regulated by the
Atomic Energy Act (AEA). The remaining
four facilities are planned to be permitted
in the next few years; two of these four
facilities already have Part 373 Permits
that cover all but one of their hazardous
waste units. See Figure 2.
National Status. New York State is well
ahead of the national average for all states
in meeting EPA's permitting goal of 90
percent of existing TSDFs by 2005.
Permit Renewal and
Modification Achievements
Permit Renewals. Part 373 Permits are
issued for a period of up to five or ten
years depending on the type of facility.
To continue operation upon expiration of
New York State TSDFs Universe
Permit/Closure Summary
Total RCRA-C Facilities - 308*
Status of 68 Operating TSDFs
58 Fully Permitted, 10 Interim Status - IS
Closed/Inactive
Operating
Fully Permitted
To Be Permitted-IS
Closing-IS
Permit Deferred-IS
* Originally 740 companies filed; 432 were "protective filers", leaving 308 facilities.
Figure 2
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its permit, a TSDF is required to obtain a
permit renewal. The full permitting
process, including public participation and
the incorporation of any regulatory
changes that occurred subsequent to the
issuance of the original permit, must be
met to renew the Part 373 Permit.
Because of the numerous changes in the
RCRA-C program over the years, the
permit renewal process for most facilities
has been as extensive as that for the
original permit. As the initial Part 373
Permits for the remaining TSDFs are
being completed, resources are being
allocated to process the permit renewals.
Since 1990, 13 permit renewals have been
completed.
Permit Modifications. Manufacturing
and other business operations are
dynamic, frequently modifying or adding
new processes. Such changes often require
modifications to Part 373 Permits. Minor
permit modifications follow a simplified
permitting process. However,
modifications defined in regulation as
"major" require the same permitting
procedures, including public participation,
as the original permits.
Since 1989, the Department has issued
more than 320 modifications to Part 373
Permits. The majority were minor
modifications.
FINANCIAL ASSURANCE
All hazardous waste treatment, storage or
disposal facilities operating in New York
State have provided financial assurance in
accordance to 6 NYCRR Subpart 373-2.8.
Financial assurance ensures that the
owner/operator of a TSDF is able to
provide closure and post-closure activities
necessary to protect human health and the
environment upon ceasing operation. A
separate financial assurance requirement
provides the insurance for third party
compensation resulting from any sudden
release (i.e., a release identified with an
accidental event such as fire or explosion)
or gradual release (i.e., a release that
begins some time prior to discovery as a
result of non-catastrophic containment
failure such as impoundment liner
leakage).
Financial assurance for closure or post-
closure must demonstrate that funds will
be available through one of six
mechanisms: Trust Fund, Surety Bond
(payment bond), Letter of Credit,
Insurance, Financial Test, and Corporate
Guarantee. Estimates of the cost of
closure, post-closure and corrective action
activities provide the base figure for the
amount of financial assurance required.
The Department holds a total amount of
assurances in excess of $400 million as
illustrated in the following table:
TSDF Financial Assurance for
Closure and Post Closure Activities
Trust Fund
Insurance
Letter of Credit
Payment Bonds
Financial Tests &
Corporate Guarantee
$ 1,200,000
20,000,000
18,500,000
60,000,000
300,000,000 +
Page 9
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CORRECTIVE ACTION
RCRA-C corrective action projects have
prevented human exposure to toxic
chemicals; protected ground and surface
sources of potable water; allowed
beneficial reuse of formerly-contaminated
land; rehabilitated river and stream
habitats; restored wetlands; and improved
fish and other aquatic life populations.
The RCRA-C Corrective Action Program
investigates and cleans up existing
environmental pollution caused by past
activities at currently operating industrial
and commercial facilities which presently
or formerly
treated,
stored, or
disposed of
hazardous
wastes.
Nearly 200
RCRA-C
corrective
measure
projects have
been
completed
since 1984,
the first year
of the
program,
resulting in
cleaner air,
water and soil at 65 RCRA-C facilities and
surrounding properties. More than 15.5
billion gallons of contaminated groundwater
have been pumped and treated, and more than
one-half million cubic yards of contaminated soil
have been excavated, followed by
environmentally-sound treatment and disposal.
RCRA-C authority extends to
Restoration of wetland near Onondaga Lake by excavation
of 12,000 cubic yards ofPCB contaminated soil and flushing of
contaminated sediment from sewer pipelines.
contaminant releases from all waste
management units (units), including
releases to property beyond the facility
boundary. A unit is any discernible area
where solid or hazardous wastes have been
placed at any time, or any area where
wastes have been routinely and
systematically released. The majority of
RCRA-C treatment, storage or disposal
facilities have more than one unit.
Corrective Action Process
The corrective action process is structured
around the following elements: a
preliminary site assessment; followed, as
necessary, by an
extensive
characterization of
any contamination,
and an evaluation
and implementation
of cleanup
alternatives, both
interim and final.
The process
elements, described
below, are intended
to be flexible, and
not every
component may be
necessary for each
project. A
determination of
"no further action
required" may be
made at any step of the process.
RCRA Facility Assessment (RFA). RFAs
evaluate existing information on
environmental conditions, including
information on actual or potential
releases. A visual site inspection is
performed, and sampling of water or soil
may occur to determine if a release of
Page 10
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hazardous waste has occurred. At most
active industrial facilities, sewer system
evaluations are included in the RFA.
Sewer inspection and leak testing have
often identified deteriorated or broken
sewer pipelines which are leaking
significant volumes of contaminated
wastewater that threaten groundwater
resources.
To date, the RCRA-C program has required the
assessment of more than 137,000 linear feet of
subsurface sewers. Nearly 30 percent of
these sewer lines were removed from
service and several thousand feet were
replaced, relined, or repaired.
RCRA Facility Investigation (RFI).
RFIs are full-scale site characterizations
that determine the nature and extent of
contamination caused by releases
identified during the RFA.
RFIs range from small investigations, such
as contamination of surface soil at a waste
container storage location, to a complex
study that covers numerous areas of a site
having releases to air, soil,
surface water, and groundwater.
Through March of 1999, the
Department has approved 212
RFI work plans that have been or
are currently being conducted at 77
industrial facilities.
Once complete, the RFI results
are reviewed by the Department
and the facility is directed to
undertake the next phase of the
corrective action process. In
many cases, a supplemental
investigation is necessary
because the initial investigation
did not sufficiently define the
full extent of contamination.
The Department has approved reports for 167
completed RFIs conducted at 58 industrial
facilities.
Interim Corrective Measure (ICM).
ICMs are temporary actions essential to
control or minimize ongoing threats to
human health or the environment while
site characterizations (i.e., RFAs, RFIs) are
underway or before a final remedy is
selected.
Examples of ICMs include: removing the
contamination source (i.e., leaking tanks);
fencing off the contaminated area;
providing alternative drinking water
sources; or installing a presumptive
remedy to collect performance data (i.e.,
groundwater pumping with effectiveness
monitoring). Leaking tanks and
associated piping are major contributors to
subsurface contamination to both soils
and groundwater. RCRA Facility
Assessments (RFAs) and RCRA Facility
Deteriorating underground tank is lifted by crane in tank removal effort to
prevent release into the environment.
Page 11
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Investigations (RFIs) have identified
several hundred poorly-maintained
underground storage tanks at many
facilities throughout the State. As a
result, these deteriorated underground
storage tank systems have been
removed and replaced with new tank
systems; most of which are above-
ground.
The Department has approved the
implementation of 142 ICMs at 58
industrial facilities throughout the state.
Many large and/or older facilities have
required several ICMs.
Corrective Measure Study (CMS). A
CMS identifies and evaluates different
alternatives to remediate a site.
A facility performs a CMS when a
potential need for cleanup is
determined as a result of the RFI
process. The goal of the CMS is to
select final remedies from among
several realistic alternatives. In some
instances, however, a single alternative is
the most practical remedy for a specific
type of contamination and that alternative
is the focus of the CMS. The CMS will
also assess the effectiveness of any ICMs
that have been implemented and how they
fit into the overall final remedy selection
for the facility. In several cases, the CMS
addresses potential remedial actions for
property that extends beyond the facility
boundary.
Under the Department's RCRA-C program
there have been 55 corrective measure studies
completed at 43 facilities.
An important element of the CMS is the
public participation phase during which
the RFI, CMS, and any other relevant
Construction of an underground slurry wall at a western New York
landfill to prevent surface and groundwater contamination.
information is available for public review
and comment. To facilitate public
participation, the Department's RCRA-C
staff prepares a summary document called
the "Statement of Basis" which describes
the rationale for the proposed remedy
selection and contains an explanation for
the chosen cleanup goals. After public
review and comment, the final remedies
for a facility are selected by the
Department.
Corrective Measures Implementation
(CMI). The CMI includes detailed
design, construction, operation,
maintenance, and monitoring of the
selected remedy.
Upon completion of the public
participation process and approval of the
Page 12
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Final Statement of Basis by the
Department, the facility enters the CMI
phase of the corrective action process.
The CMI phase is often the culmination
of several years of effort by the facility and
the Department's
RCRA-C staff. It
usually signifies
that all areas of a
facility that were
known to be, or are
currently used for
the management of
solid and/or
hazardous wastes
have been
thoroughly
investigated and
impacts to the
environment
defined. In the
case of very large
facilities, the site
may be divided
into manageable
parts with each
part undergoing its
own corrective
action process
according to an
approved schedule.
The corrective
measures that are
constructed and
operated often are
long-term actions,
such as
groundwater pump
and treatment
systems, that must
be periodically
evaluated to
determine if
^
cleanup goals are
being achieved. Figure 3
RCRA-C TSDF Universe Subject to
Corrective Action Evaluation Total: 315*
95 TSDFs - RFA Complete
RFA Reassessment
Superfund (DER)
RFA Complete
Co-Manage RCRA/DER
USEPA
No Further Action
RFI Imposed
RFI Not Complete
Interim/Final Corrective Measure In Place
Corrective Action
Achievements
Currently, 315 facilities in New York State
are subject to corrective action evaluation
under the RCRA-C
program. The 315
facilities include
seven projects that
do not require
permits under 6
NYCRR Part 373.
These facilities
vary in size from a
one-acre facility
with one unit to a
facility comprising
2,200 acres and
667 units.
The following is
the management
responsibility and
implementation
status of these 315
RCRA-C facilities.
See Figure 3.
RFA
Reassessment.
127 facilities
partially
evaluated by
EPA
approximately
ten years ago
are currently
being
reassessed by
the Division of
Solid &
Hazardous
Materials to
determine
whether an in-
77 TSDFs-RFI Imposed
Includes the 308 facilities that are subject to Part 373
permitting.
Page 13
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depth investigation is warranted.
Superfund. Eighty-five (85) facilities
have superfund elements and are,
therefore, under the management of
the Division of Environmental
Remediation (DER). These 85
facilities are in various stages of
investigation and remediation.
EPA. Two (2) are facilities for which
EPA maintained the management lead
due to previous project involvement.
These projects are at various stages of
investigation and remediation.
Co-Managed by the Division of
Solid & Hazardous Materials and
the Division of Environmental
Remediation. Six (6) facilities are co-
managed between the Divisions of
Solid & Hazardous Materials and
Environmental Remediation due to
previous involvement with specific
project aspects by both Divisions.
These projects are at various stages of
investigation and remediation.
RFA Completed. Under Division of
Solid & Hazardous Materials'
management, 95 facilities have
completed the RCRA-C Facility
Assessment process. The following is
the status of these 95 facilities:
No further action required - 18
facilities require no further action.
RFI - 77 facilities have entered the
RCRA-C Facility Investigation
phase. More than 84 percent (65)
of these facilities have completed
RFIs, have implemented the
required corrective measures, and
are operating in a manner that is
protective of human health and
the environment. The remaining
12 facilities are in the
investigation stage and several of
these have partially implemented
required corrective measures.
Of the 65 facilities that have implemented
corrective actions, 32 facilities have
implemented treatment and disposal of
contaminated soils. See text box on page
15 for the soil remediation totals from
1985 through 1998 and the 1999
projection, based upon approved interim
and final corrective measure plans.
All 32 of these facilities have groundwater
monitoring systems in place to ensure that
adequate cleanup has been achieved to
prevent any adverse impacts to
groundwater resources. The remaining 33
of the 65 facilities have implemented
groundwater pump and treatment. Since
1984, more than 15.5 billion gallons of
contaminated groundwater have been
intercepted/removed/treated prior to discharge to
surface waters. Fifteen and one-half billion
gallons of clean water would supply the
water needs of more than 400,000 people
for a full year.
Progress made in containing
contamination through pump and
treatment of groundwater is illustrated in
the three-dimensional chart in Figure 4.
Currently, 79 percent of RCRA-C facilities
have achieved hydraulic containment site-
wide and 21 percent have achieved
hydraulic control at most portions of their
site. A few site-specific examples of
progress made related to improving the
groundwater conditions at RCRA-C
Page 14
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Contaminated Soil Remediation
1985-1998
(cubic yards)
Soils Treated & Disposed On-site 293,650
Soils Transported Off-site for Disposal 210.825
Total Soils Remediated (prior to 1999) 504,475
Projected Soil Remediation
1999
Total Soils Projected for Remediation
270,000
Excavation of 35,000 cubic yards of arsenic contaminated soils from
a Niagara County school athletic field.
facilities for the protection of human
health and the environment are:
Allied Amphenol - The
groundwater pump and treatment
system at this facility has provided
protection of the entire Village of
Sidney water supply. A
dramatic reduction --
approximately 95 percent --in
the plume concentration of
volatile organic
contaminants (VOCs) of
common industrial solvents
has been achieved. A
groundwater pump and
treatment system in
operation at the facility from
January 1987 through May
1995 reduced the stabilized
plume core from 3,000 parts per
billion (ppb) to less than 20
ppb. Post-remedial
monitoring indicates that
groundwater standards at the
plume perimeter have
remained below the five ppb
groundwater protection standards
and continue to decline as a result
of natural recharge and flushing of
the aquifer.
Channel Master - Groundwater
Groundwater Pump and Treatment Contamination
Containment Progress 1984-1998
^100
c
g 80
I 60
> 40
| 20
1985
1987
1989
1991
1993
1995
1997
1984 1986 1988 1990 1992 1994 1996 1998
I No Containment
Q Some Portion of Containment
Site-Wide Plume Containment
Figure 4
Page 15
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pump and treatment systems have
effectively contained the VOC
plume beneath the manufacturing
building since implemented in
1987. Contaminant concentrations
have been reduced from a pre-pumping
level of 500 parts per million (ppm) to
less than ten ppm. Groundwater
contamination beneath a former
surface impoundment at the site
has declined to, and remains at,
levels not requiring any additional
remedial action.
IBM Kingston - Groundwater
pump and treatment systems and
a groundwater collection trench
has provided containment of the
major VOC plume that covers
approximately 100 acres of the
site. Maximum VOC concentrations
have been reduced from more than
150,000ppb in 1984 to less than
2,000 ppb in 1999. More than
three-fourths of the performance
monitoring wells show a
substantial decrease in VOC
concentration.
Ciba-Geigy Main Plant - A
groundwater collection
system installed in 1992,
along an 800 foot section of
the Hudson River has
restricted the discharge of
volatile and semi-volatile
organic contaminants into
the River. Approximately
7,500,000 gallons of
contaminated groundwater has
been collected and treated by
the system.
Fort Drum - Installation
and operation of
groundwater remedial systems at four
separate areas have resulted in the recovery
of over 30,000 gallons of gasoline and the
removal and treatment of 50 million gallons of
contaminated groundwater.
COMPLIANCE INSPECTIONS
The compliance inspection program
monitors compliance with RCRA-C
regulations, identifies violators and
initiates enforcement action to bring
violators into compliance with RCRA-C
regulations or close down those who
cannot achieve compliance. Through
routine inspections of hazardous waste
generators, transporters and treatment,
storage and disposal facilities, RCRA-C
inspectors often uncover serious offenses
that, left undetected, could result in
extreme, negative consequences to the
State's public health, and environment.
An average of more than 780 RCRA-C
inspections have been conducted statewide each
year since State fiscal year (SPY) 1989/90
Groundwater sampling at RCRA-C site.
Page 16
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RCRA-C Compliance SPY 1998/99
Total Inspections - 733
In Compliance
Minor Violations
Significant Violations
Figure 5
through the collaborative efforts of the
DEC Central Office and the nine DEC
Regional Offices. Currently, there are 44
inspectors certified by the Commissioner
to conduct hazardous waste inspections
and six inspectors in training.
During SFY 1998/99, 733 inspections
were conducted statewide as follows: 87
of a universe of 88 operating and closed
TSDFs (apx. 99 percent); 220 of a
universe of 2,600 large quantity generators
(apx. 8.5 percent); and, 426 of a universe
of 6,100 small quantity generators (apx. 7
percent).
Upon inspection, facilities with no
violations are sent a copy of the inspection
report with a letter indicating that no
violations were found and thanking them
for their cooperation. When violations of
RCRA-C regulations are noted, they are
categorized as minor (e.g., administrative
or record keeping) or significant (i.e., a
potential threat to the environment).
Minor violators are sent letters noting the
violations and specifying a time period in
which they must be corrected.
Compliance is confirmed either through
certification by the facility or follow-up
inspection.
Enforcement against significant violators
includes administrative action that
requires paying fines and entering into a
consent order that results in compliance or
a referral to the Office of the State
Attorney General for formal legal action.
The goal of enforcement is to achieve full
regulatory compliance and assure that any
environmental damage or potential
environmental threats are mitigated as
soon as possible.
The RCRA-C inspection program is
considered a deterrent to non-compliance.
In the past ten years almost 8,000
hazardous waste inspections have been
conducted. For the 733 inspections conducted
in 1998/99, approximately 66 percent of
RCRA-C inspections indicated substantial
compliance with State rules and regulations.
Of the 34 percent in violation, approximately
28 percent were in violation of minor provisions
of the regulations and only six percent were
significant violators. See Figure 5. This
reflects a ten percent compliance increase
from SFY 1989/90.
Most minor violators are brought to
compliance within 90 days of the initial
day of inspection. For significant
violators, formal enforcement action is
usually taken within 120 to 150 days from
the date of inspection.
Inspections. The following examples
illustrate how inspections protect human
health and the environment:
Spectrum Finishing Corporation - This
aircraft parts plating facility was a large
quantity generator of hazardous waste
Page 17
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situated over a sole-source aquifer.
The facility closed and left all
hazardous wastes on site stored in
numerous containers and tanks.
During a routine RCRA-C inspection it
was noted that the drums were in poor
condition. Most were rusted, one 55
gallon drum with unidentified liquid
had a hole on its side, and some were
left open. Any leaks from the
containers would have flowed through
the surrounding soil and into the
groundwater/water supply. Through
prompt DEC action EPA conducted an
emergency removal action that
mitigated this imminent threat to
public health and the environment.
United Plating - Inspection of this
electroplating company exposed
dozens of drums of hazardous waste
stored on-site and that hazardous
waste was being treated without a
permit. Located in a residential
neighborhood and near a school, the
company's illegal practices greatly
jeopardized the welfare of the
Hazardous waste illegally stored in open containers.
neighborhood.
After the Department referred the case
to the Attorney General, the owner
pled guilty to a Class E felony and was
sentenced to one to three years
imprisonment and the corporation
paid a penalty of $ 150,000. In
addition, since the company had no
money for cleanup, an emergency
drum removal was conducted by EPA.
State Superfund is involved in the
remaining clean up of the site.
OTHER PROGRAM
ACTIVITIES
POLLUTION PREVENTION (P2)-
ACTIVITIES FROM 1993 to PRESENT
The objective of pollution prevention is to
substantially reduce pollutant generation
and release through integrated facility
management. Through outreach and
technical assistance activities the
Department facilitates the achievement of
this objective.
P2 Outreach:
Small Quantity Generator Program.
This multi-component outreach program
provides this segment of the regulated
community with information through a
hotline, workshops, meetings, or other
events.
Annual Pollution Prevention
Conference. The Annual Pollution
Prevention Conference is the
Department's primary forum to inform
interested parties of advances and new
technologies in the area of pollution
Page 18
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prevention.
Annual Governor's Awards for P2. This
Awards Program provides public
recognition of outstanding efforts in
implementing pollution prevention
projects.
Exhibits, games that can be used to teach
P2 principles to children, and a variety of
publications are tools employed to reach
stakeholders and others.
P2 Technical Assistance:
Small Business Workshops. These
workshops are an integral and important
component of the Department's effort to
provide assistance to the small business
community.
M2P2 Annual Report/Program
Analysis. This includes an analysis of
activities being undertaken by facilities
that are related to the multi-media
pollution prevention (M2P2 ) initiative.
As part of this effort, inspection reports
are reviewed to identify pollution
prevention opportunities.
Strategic Goals Program (SGP). New
York State is a charter state in this
program and will be implementing the
SGP for Metal Finishers. Through this
effort, the Department will work with
charter industries and publicly owned
treatment works (POTWs) to achieve
program goals.
Integrated Permitting Pilot Initiative.
This initiative will provide an evaluation
of the costs and benefits of coordinating,
interrelating, and synchronizing certain
regulatory requirements and activities at
industrial facilities.
Additional technical assistance is provided
through the maintenance of a
clearinghouse of P2 technical resources
and the development of environmental
indicators that provide outcome rather
than activity measures.
HAZARDOUS WASTE
MINIMIZATION
Toxic Release Inventory
(TRI)/Hazardous Waste Measurement.
Reports are prepared on TRI releases and
hazardous waste generation at 400/95
facilities along with comprehensive TRI
assessment of toxic chemical releasers in-
State.
Waste Minimization Strategy. The
Department works with EPA Region II, to
develop and implement programs directed
at reducing releases of persistent
bioaccumulative toxics.
Promoting Improved Performance.
Through this program facilities can closely
interact on a voluntary and cooperative
basis with the Department.
PROJECT XL
The Department is a participant in EPA's
Project XL, part of the National
Performance Review Regulatory
Reinvention Initiative. Project XL gives
regulated entities an opportunity to
demonstrate e[X]cellence and [Leadership
by providing the flexibility to develop
alternative strategies that will replace or
modify specific environmental regulatory
requirements where these strategies can
produce superior protection of public
health and the environment. Presently,
two XL projects have been approved for
New York State and a third is in process:
Page 19
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HADCO. HAD CO produces printed wire
boards and generates both hazardous and
non-hazardous copper-rich sludges.
HADCO is seeking a variance that will
make all of their sludges non-hazardous
when sent to a smelter for metals recovery.
The basis for this variance is the similarity
of HADCO's sludges to copper-bearing
ores. In return, HADCO will reinvest
their savings in recycling their
non-hazardous sludges which are currently
being landfilled.
Public Utilities in New York State.
These utilities will be able to streamline
and improve their handling of hazardous
wastes generated at remote locations, such
as manholes, by consolidating these wastes
at a central location. This will not only be
more economical, but will eliminate unsafe
storage on location. The utilities must
reinvest one-third of their savings into
environmental benefit projects, which may
include multi-media waste minimization.
The Department is the actual sponsor of
this project.
IBM. IBM generates hazardous
metal-finishing sludges. They are seeking
to remove the sludge from hazardous
waste regulation, based on use of the
material as an ingredient in making
cement and the low levels of hazardous
substances present. IBM is in the process
of seeking XL status for the sludge.
FUTURE DIRECTION
The RCRA-C program has received federal
grant funding at the same dollar amount
for the last six years. As a result, the
number of staff dedicated to the program
has declined over the years and is
approaching a level that may be
inadequate to support an effective
comprehensive program. A return to
those years of limited or no regulatory
oversight must be avoided. Consequently,
a complete review of the RCRA-C program
to identify all those vital components
necessary for a comprehensive and
successful statewide hazardous waste
program is required. Once these
components are identified, the associated
level of effort will be determined and the
program resource needs established. The
review will consider the fact that as some
of our hazardous waste regulatory
activities mature, some staff resources will
become available to meet these needs.
However, new monies will be necessary.
Utilizing available staff, the hazardous
waste facility permit program will focus on
completing the permitting of the few
remaining interim status facilities and on
developing/implementing a permitting
process that provides for timely processing
of permit renewals, modifications, and
closures. Routine review of permit
renewal applications for closed land
disposal facilities must also continue.
These are facilities that require, by
regulation, permits known as "post-closure
permits." The program also must focus on
the implementation of the new Maximum
Achievable Control Technology (MACT)
and RCRA-C regulations for hazardous
waste combustion facilities, including
approving permit modifications for
upgraded Air Pollution Control
Equipment (APCE), trial burn plans and
reports, multipathway risk assessments
and performance tests. In addition, there
is a need to evaluate instituting a new
focus on reducing the amount of
persistent, bioaccumulative toxics
generated as part of hazardous waste
streams.
Page 20
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Given adequate staff, the level of
inspections of small quantity generators,
conditionally exempt small quantity
generators and used oil facilities should be
increased. Also, additional inspections
should be performed in certain geographic
areas to better protect sensitive
environments such as sole-source aquifers
and watersheds for drinking water supplies
and reduce impacts in areas where
cumulative impacts are disproportionate.
Increased inspections of facilities that
claim exemptions from hazardous waste
regulations should also be conducted.
Efforts should be made to more closely
integrate the various hazardous waste data
sets for any given facility to create a
comprehensive picture of past and present
waste management activities at facilities.
This information should be readily
available to all Department regulatory
programs and the public over the
intra/internet. Work will continue to
promote electronic reporting of hazardous
waste information by the regulated
community to make it easier to report
data and increase the quality of that data.
At the same time, federal changes to the
manifest system procedures must be
monitored so they can be implemented as
necessary.
The updating of the hazardous waste
regulations to incorporate changes in
federal regulations is an ongoing activity
that has to be maintained so the State has
a high level of EPA authorization.
Another important ongoing activity is to
promulgate regulations incorporating
reforms resulting from the evaluation of
areas where current state regulations are
more stringent than their EPA
counterpart. In addition, efforts are
necessary to facilitate the better
management of small volumes of
hazardous waste from numerous small
commercial, retail, and industrial sources
by expanding the availability of the
universal waste rule to add additional
categories of hazardous waste.
As the corrective action program matures
over the next three years, there will be a
gradual shift in emphasis away from site
investigation and remedial system
development toward measuring the
effectiveness of remedies, and where
necessary, enhancing existing remedial
systems. Following remedy
implementation, many sites will require
institutional care for decades or longer. It
will be necessary for staff to monitor
closed sites to be sure that the original
remedies remain protective of public
health and the environment. Finally,
insuring that formerly contaminated sites
are capable of productive use in the future
will continue to be an important outcome
of the RCRA-C corrective action program.
Page 21
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Appendix A
New York State
RCRA-C
Time Line
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RCRA-C In New York State: Managing Hazardous Waste
RCRA-C Time Line
1965 Federal Solid Waste Disposal Act: This is the first federal statute to specifically
focus on improving solid waste disposal methods. It established economic incentives
for states to develop planning, training, research, and demonstration projects for
management of solid waste.
1976 Resource Conservation Recovery Act (RCRA) (October 31): RCRA
amended the Solid Waste Disposal Act addressing the following major issues:
substantial remodeling of the nation's solid waste management system through
Subtitle D; initiation of the regulation of underground storage tanks through
Subtitle I; and the basic framework of the current hazardous waste management
program through Subtitle C. RCRA also provides EPA with the authority to
enforce these provisions of the Act.
1978 State Industrial Hazardous Waste Management Act (IHWMA): Established
New York State hazardous waste management program by providing regulatory
authority to control the transfer, storage and disposal of hazardous wastes.
1980 RCRA-C Federal Regulations (40 CFR Parts 260, 261, 262, 263, 264 & 265)
(November 19): Pursuant to RCRA Subtitle C, EPA issued these first hazardous
waste regulations to provide a system of permits and manifests, and to define
procedures to facilitate the proper identification and classification of hazardous waste
as follows:
- Part 260: provides general information on the hazardous waste system,
including definitions.
- Part 261: identifies and lists hazardous wastes.
- Part 262: imposes standards on generators of hazardous waste.
- Part 263: governs the transport of hazardous wastes.
- Part 264: contains standards for managing hazardous waste at permitted
treatment, storage and disposal facilities (TSDFs).
- Part 265: contains standards for managing hazardous waste at interim
status TSDFs. Interim status was granted to a facility in
operation or under construction on November 19, 1980 that
notified EPA of its hazardous waste operations by filing a RCRA
Part A permit application. A facility with RCRA-C interim status
was treated as permitted until EPA made a final determination
on its Part B permit application.
Page A-1
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1982 Federal Regulations (Amended 40 CFR 264 and 265) Quly 26): Pursuant to
RCRA Subtitle C, EPA amends its regulations adding specific groundwater detection,
contaminant characterizing, and corrective action monitoring requirements for releases
of hazardous constituents from hazardous waste land disposal units. Landfills, surface
impoundments, waste piles, and land treatment units that receive hazardous waste
after this date are known as "regulated units"and must comply with these monitoring
requirements.
State Regulations (6 NYCRR Parts 360, 365 & 366) (March 9):
- Part 360: treatment, storage or disposal facilities.
- Part 365: manifest.
- Part 366: identification and listing of hazardous wastes.
USEPA Delegates Interim Authorization to New York State to Manage the Base
RCRA-C Program (July 26): The Base RCRA-C Program reflects federal RCRA-C
regulations promulgated through July 26, 1982.
Hazardous Waste Special Assessment Fees (ECL 27-0923) (July 27): Established
special assessment fees on all facilities in the State that generate hazardous waste, and
all treatment, storage and disposal facilities (TSDFs) receiving hazardous waste from
out-of-state generators based on the amount of waste generated or received and the
method of waste disposal. These fees were amended in 1985.
1983 Federal Regulation (40 CFR Part 270) (April 1): Pursuant to RCRA Subtitle C,
EPA issued these regulations to provide for the administration of RCRA-C permitting
by setting forth the following:
- general and specific permit application requirements.
- conditions that must appear in permits.
- procedures for handling revisions to permits.
- special types of permits.
- guidance on determining interim status and duration and continuance of
permits.
Regulatory Program Hazardous Waste Fees (ECL 72-0201) (April 1): Authorized
the DEC to collect regulatory fees and penalties from certain public and private
facilities and sources required to have air, water (SPDES), hazardous waste and waste
transporter permits.
1984 Hazardous and Solid Waste Amendment of 1984 (HSWA) (November 8):
Amended RCRA to expand the scope of Subtitle C by adding new corrective action
requirements, land disposal restrictions, and technical requirements.
Page A-2
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1985 Federal Regulations (40 CFR Part 266) Qanuary 4): Pursuant to HSWA, EPA
issued regulations to provide regulatory standards for materials being recycled/reused.
Federal Regulations (Amended 40 CFR Parts 260, 261, 264, 265, 266 & 270)
(July 15): Pursuant to HSWA, EPA issued regulations as follows:
- Part 260: revisions to conform with HSWA.
- Part 261: requirements for hazardous waste generated by small
quantity generators.
- Part 264: added RCRA-C permit requirements: corrective action;
financial assurance; compliance schedule (within facility
boundary).
- Part 264/265: expanded technological standards for hazardous waste.
- Part 266: added prohibition and labeling regulations for fuels
containing hazardous waste.
- Part 270: revisions to conform with HSWA.
State Regulations* (6 NYCRR Parts 370, 371, 372, Subparts 373-1, 373-2 &
373-3) State Regulatory Adoption of the RCRA-C Program Quly 14): Moved
hazardous waste regulations from the Part 360 series and expanded the regulations to
include federal amendments to RCRA-C.
- Part 370: hazardous waste management system: general.
- Part 371: identification and listing of hazardous waste.
- Part 372: standards applicable to generators and transporters of
hazardous waste.
- Subpart 373-1: hazardous waste permit program.
- Subpart 373-2: first permit standards for owners and operators of
hazardous waste treatment, storage and disposal facilities.
- Subpart 373-3: interim status standards for owners and operators of
hazardous waste treatment, storage and disposal facilities.
1986 USEPA Delegates Final Authorization to New York State for the RCRA-C Base
Program. (May 29): Authorizes NYSDEC to implement federal RCRA-C regulations
promulgated by EPA through July 26, 1982.
Proposed Federal Regulations (Amended 40 CFR 264) (October 24): Pursuant to
HSWA, EPA proposed regulations for demonstrating financial assurance for
completing corrective action at facilities seeking a permit. Such assurances would be
limited to covering the costs associated with the design, construction and operation of
the final remedy. The regulations have not been finalized, but serve as guidance.
State Regulations* (6 NYCRR Subpart 374-1) Quly 1): Established Standards for
the Management of Specific Hazardous Wastes and Specific Types of Hazardous
Waste Management Facilities.
Page A-3
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1987 Federal Regulations (Amended 40 CFR Part 264 and 270): Pursuant to HSWA,
EPA issued regulations as follows:
- Part 264: added RCRA-C permit requirements: corrective action; financial
assurance; compliance schedule (for releases beyond facility
boundary).
- Part 270: added descriptive and release information requirements for all
solid waste management units for Part B applications.
1988 RCRA Corrective Action Plan (CAP) Qune): Interim USEPA guidance for
implementing RCRA corrective action. See final CAP (1994) below.
1989 USEPA Delegates the First Revised Authorization to New York State (July 3):
This authorization reflects State incorporation of 16 federal regulatory revisions
including but not limited to the following components: biennial reporting;
manifesting; household hazardous waste; satellite accumulation; and TSDF interim
status standards.
1990 USEPA Delegates the Second Revised Authorization to New York State (May 7):
This authorization reflects State incorporation of eight federal regulatory revisions
including but not limited to the following components: radioactive mixed waste;
liability coverage; tank systems; groundwater monitoring constituents; container and
inner liner residues.
Proposed Federal Regulations (Amended 40 CFR 264) (July 27): Pursuant to
HSWA, EPA proposed additional regulatory requirements for implementing corrective
action for releases of hazardous waste and constituents from solid waste management
units (SWMUs) at facilities seeking a RCRA permit. It addresses requirements for
conducting remedial investigations, evaluating potential remedies, and selecting and
implementing remedies. The proposed regulatory requirements follow the guidance set
forth in the interim RCRA CAP. To date, most of the regulations except those
pertaining to corrective action management units (CAMUs) and the definition for
"facility" subject to corrective action have not been finalized, but serve as guidance.
State Hazardous Waste Reduction Act: Requires hazardous waste generators to
prepare hazardous waste reduction plans that evaluate the volume and types of waste
generated and the processes responsible for that generation. The plan must also
provide an implementation plan to reduce or eliminate the hazardous waste generated.
1991 USEPA Delegates the Third Revised Authorization to New York State (October
29): This authorization reflects State incorporation of one federal revision addressing
inclusion of research, development and demonstration permits.
1992 State Regulations* (6 NYCRR Part 376) Qanuary 31): Established Land Disposal
Restrictions.
Page A-4
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USEPA Delegates the Fourth Revised Authorization to New York State (May
22): This authorization reflects State incorporation of 58 federal regulatory revisions
including but not limited to the following components: land disposal restrictions;
miscellaneous units; waste minimization; and corrective action.
1993 Federal Regulations (Amended 40 CFR Part 264) (February 16): Pursuant to
HSWA, EPA amended this regulation to, during corrective action of remediation
hazardous waste, allow for the creation and subsequent closing of corrective action
management units (CAMUs) and temporary units which must be designated in a
permit or in an order for interim status facilities. Placement of remediation hazardous
waste in a CAMU does not constitute land disposal and does not trigger land disposal
requirements (LDRs) or minimum regulatory technological requirements for hazardous
waste land disposal units. Temporary tanks and containers used to store or treat
remediation hazardous waste may have their regulatory design, operating and closure
requirements substituted with alternatives protective of public health and the
environment.
1994 RCRA Final Corrective Action Plan-CAP (May 31): The CAP provides a
framework for developing a site-specific schedule of compliance to be included in a
RCRA permit or corrective action order. It does so by laying out scopes of work for the
four main components of a corrective action program. These components and their
objectives are as follows:
- Interim Corrective Measures (ICMs) - to control or abate hazardous waste
releases and prevent or minimize further spread of contamination.
- RCRA Facility Investigation (RFI) - to evaluate the nature and extent of the
releases of hazardous waste and constituents.
- Corrective Measures Study (CMS) - to develop and evaluate alternative
corrective measures and recommend the final measure (s).
- Corrective Measures Implementation (CMI) - to design, construct, operate,
maintain and monitor the performance of the corrective measure (s) selected.
1995 USEPA Delegates the Fifth Revised Authorization to New York State (August
28): This authorization reflects State incorporation of 13 federal regulatory revisions
including but not limited to the following components: land disposal restrictions;
miscellaneous units; waste minimization; and corrective action.
State Regulations* (6 NYCRR Subparts 373-4 & 374-2) (January 14):
- Subpart 373-4: facility standards for the collection of household hazardous
waste and hazardous waste from conditionally exempt
small quantity generators.
- Subpart 374-2: standards for the management of used oil.
Page A-5
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1996 Corrective Action Advanced Notice of Proposed Rulemaking (May 1): This notice
served three purposes:
- introduced EPA's strategy for promulgating regulations governing corrective
action for releases from SWMUs at hazardous waste facilities under RCRA
and requested information to assist in the identification and development of
potential improvements to the protectiveness, responsiveness, speed, or
efficiency of corrective actions.
- provided a status report on the corrective action program including its
evolution, and further guidance on the July 1990 proposal.
- emphasized areas of flexibility within the current program and described
program improvements currently underway or under consideration.
1997 USEPA Delegates the Sixth Revised Authorization to New York State (October
14): This authorization reflects State incorporation of 54 federal regulatory revisions.
1998 Federal Regulations (Amended 40 CFR Parts 264 and 270) (November 30):
Pursuant to HSWA, EPA amended Parts 264 and 270 as follows:
- Part 264: during corrective action of remediation waste, allows for the design,
operation and subsequent closing of a staging pile which must be
designated in a permit or in an order or closure plan for interim
status facilities. Staging piles are temporary and do not trigger land
disposal restrictions or regulatory technological requirements for
containment buildings used for storing piles of hazardous waste.
- Part 270: allows a RCRA facility to apply for and be issued a special form of
permit called a Remediation Action Plan (RAP). The RAP could
authorize treatment, storage, or disposal of hazardous remediation
waste at a specific remediation management site and not require site-
wide corrective action. Also, many traditional RCRA permit
requirements considered unnecessary would not be in a RAP. A RAP
may be issued to an interim status facility or, through a major
permit modification, to a facility with a RCRA permit.
State Regulations* (Amended 6 NYCRR Part 374 to add Subpart 374-3)
(November 28): Established Standards for Universal Waste Management.
State Submits Draft Package for Authorization (December 11): State incorporation
of 51 federal regulatory revisions.
* State regulations are continually revised in response to revisions to federal regulations.
Authorization amendments address these revisions.
Page A-6
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Appendix B
Hazardous Waste
Fee Schedules
Special Assessment Fee Schedule
Regulatory Fee Schedule
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APPENDIX B-l
Special Assessment Fee Schedule
Category
Hazardous Waste Generators
Treatment, Storage and
Disposal Facilities (TSDFs) for
Waste Received from Out-of-
State
Handling Disposition
Shipped to off-site Landfill
Shipped to off-site Treatment
Shipped to off-site Incineration
Incinerated on-site
Landfilled
Treated
Incinerated
Rate
(per ton)
$27
$16
$ 9
$ 2
$27
$16
$9
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APPENDIX B-2
Annual Regulatory Fee Schedule
Category
Hazardous Wastewater Generators
Hazardous Waste (Non- Wastewater)
Generators
Treatment, Storage and Disposal
Facilities (TSDFs)
Amount Generated
At least 15 tons of wastewater
Less than 1 5 tons
15-100 tons per year
100-500 tons per year
500-1,000 tons per year
More than 1,000 tons per year
1,000 tons per year or less**
More than 1,000 tons per year
Annual Fee
$ 3,000*
No fee
$ 1,000
$ 6,000
$ 20,000
$ 40,000
$ 12,000
$ 30,000
In addition, annual fees are charged for the following:
Surface Impoundment
Incinerator (each)
Incinerator for energy recovery
Permit post-closure care period
Landfill used only for own generated waste
Landfill accepting other generators' waste
$ 24,000
$ 10,000
$ 10,000
$ 3,000
$100,000
$100,000-
300,000 ***
* There are approximately 250 facilities in this category.
** A TSDF required to obtain a hazardous waste permit or certificate is still subject to the annual
fee even if no waste is received in a particular year.
*** Effective 4/1/98, a landfill disposal fee is based on gross receipts tax per facility as follows:
Gross receipts tax < $3.3M $100,000
Gross receipts tax > $3.3M but < $4.4M 200,000
Gross receipts tax > $4.4M 300,000
Currently, there is only one commercial hazardous waste landfill in New York State accepting
waste from other generators and subject to the above schedule.
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Appendix C
New York State
RCRA-C
Permit Process
Flowchart
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New York State RCRA-C Permit Process
Applicant holds informal preapplication meeting with the public before applicant submits
permit application for a new hazardous waste facility or for a permit renewal to DEC.
Applicant submits permit application to DEC which includes a description of the facility; how the
facility will be designed, constructed, maintained and operated to be protective of human health
and the environment; how emergencies and spills will be handled; how the facility will clean up
and finance any environmental contamination; and how the facility will close and clean up once it
is no longer operational.
The DEC announces the receipt of the application, makes it available for public
review and comment, and reviews the application to verify completeness.
If the application is incomplete, DEC issues
a notice(s) of incomplete application (NIA)
until the application is complete.
When the application is complete,
DEC makes a preliminary decision to
issue or deny the permit.
If decision is to deny permit,
DEC prepares a draft
permit denial.
If decision is to issue permit,
DEC issues a draft permit
containing design and
operating conditions.
DEC announces decision and issues a fact sheet explaining decision. Once
notice is issued, the public has 45 days to comment on the draft permit.
n
Citizens or applicant may request a public hearing or DEC may hold a hearing
subsequent to a 30-day public notice. Citizens or applicant also have the right to
contest the tentative decision or specific permit conditions in an adjudicatory hearing.
1
After reviewing public comments, DEC reconsiders draft permit or draft permit denial and
issues a response to public comments. DEC then issues the final permit or final denial. If an
adjudicatory hearing is required, it is held and the commissioner makes a final determination
based on the hearing record and the hearing officer's report.
Note: This process is consistent with and supplements the State Environmental Quality Review Act.
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Appendix D
New York State
RCRA-C
Closure Process
Flowchart
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RCRA-C Closure Process
Facility Submittal
of Closure Plan.
DEC reviews plan for
completeness and appropriateness.
Plan approvable?
No
\ Yes
DEC public notices plan; public
hearing conducted if requested.
Plan
revised
by
facility.
Recommended changes as
a result of public hearing.
\ No
DEC approves plan.
Yes
Yes
Closure implemented, and certified by
independent, professional engineer (P.E.).
Plan
revised
by
facility.
DEC inspection.
DEC accepts closure and certification.
Note: The above is the process for facilities that do not have a Part 373 permit. Permitted
facilities must close in accordance with the closure plan included in their Part 373 permit.
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Appendix E
New York State
RCRA-C
Corrective Action
Process
Flowchart
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New York State RCRA-C Corrective Action Process
RCRA Facility Assessments
RFAs compile existing information on environmental
conditions at a given facility, including information on
actual or potential releases.
RCRA Facility Investigations
RFIs ascertain the nature and extent
of contamination of releases
identified during the RFA.
Interim Measures
Interim measures are short-term
actions to control ongoing risks
while site characterization is
under way or before a final
remedy is selected.
Corrective Measures Study
CMS identifies and evaluates
different alternatives to remediate.
Corrective Measures
Implementation
CMI includes detailed design,
construction, operation,
maintenance, and monitoring
of the chosen remedy.
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INTRODUCTION
Under Section 261 of Title 40 of the Code of Federal Regulations, EPA lists certain
wastes as hazardous because they are known to be harmful to human health and the
environment when not managed properly, regardless of their concentrations. Pbase note
that other non-listed wastes may be hazardous if they are found to be ignitable, reactive,
corrosive, or toxic either through testing or generator knowledge. Also, some states may
list more wastes as hazardous than EPA. Visit www.hercenter.orgto locate state-listed
wastes.
In any case, healthcare facilities generate many EPA-listed hazardous wastes. These
listed wastes are further divided into the following four types:
F-listed wastes. These are non-specific-source wastes generated by several
different industries. Examples of healthcare facility wastes that fit this category
are solvents often used in research laboratories, pharmacies, and morgues (e.g.,
methanol, acetone, and methylene chloride.)
K-listed wastes. These are wastes generated from specifically-identified
industries. Healthcare facilities typically do not produce K-listed wastes.
U-listed wastes. These are discarded commercial chemical products, off-
specification products, container residuals, spill residue runoff, or active
ingredients that have spilled, or are unused and that have been, or are intended to
be, discarded. To meet the criteria for a U-listed waste, the chemical in the waste
must be unused and be of technical (commercial) grade, 100% pure, and the only
active ingredient in the formulation.
P-listed wastes. Like U-listed wastes, these are discarded commercial chemical
products, off-specification products, container residuals, spill residue runoff, or
active ingredients that have spilled, or are unused and that have been, or are
intended to be, discarded. Also, like U-listed wastes, to meet the criteria for a P-
listed waste, the chemical in the waste must be unused and be of technical
(commercial) grade, 100% pure, and the only active ingredient in the formulation.
The only difference is that P-listed wastes are considered acutely hazardous
wastes and only 1 kg or 2.2 Ibs of a P-listed waste generated in a calendar month
will make a healthcare facility a large quantity generator of hazardous waste and
subject to the full set of hazardous waste regulations under the Resource
Conservation and Recovery Act.
The next few pages list some of the common P and U-listed wastes found at hospitals.
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DISCLAIMER
The information provided in this document is intended solely to provide compliance
assistance to healthcare facilities located in EPA Region 2. Please note that the
following table of P and U-listed wastes found at healthcare facilities may not be
complete and should be relied upon only as general guidance. The table should be
used in conjunction with the regulations, not in place of them. This document should
not be considered Agency guidance, policy, or any part of any rule-making effort, but
is provided for informational and discussion purposes only. It is not intended, nor can
it be relied upon, to create any rights enforceable by any party in litigation with the
United States. It is also important to note that this document is based on the federal
definition of hazardous waste and many states have developed their own hazardous
waste regulatory programs. It is always advisable to check with your local regulatory
authority to insure compliance.
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Healthcare Related P and U-Listed Wastes
Chemical Name
Acetone
Acetyl Chloride
Acrylonitrile
Alkeran
Aniline
Arsenic
Arsenic Trioxide
Azaserine
3-Benzyl Chloride
Bromoform
N-butyl alcohol
Carbon Tetrachloride
Cacodylic Acid
Cerubidine,
Chloral Hydrate
Chlorambucil
Chlornaphazin
2-Chloroethyl Vinyl Ether
Chloroform
p-Chloro-m-Cresol
Chloropropionitrile
Waste Code
U002
U006
U009
U150
U012
P012
P012
U015
P028
U225
U031
U211
U136
U059
U034
U035
U026
U042
U044
U039
P027
Uses in a Healthcare Facility
Used as a solvent in various pharmaceutical
formulations
Used in testing for cholesterol
Used in pharmaceutical manufacturing
Used in chemotherapy
Used in pharmaceutical manufacturing
Used in veterinary medicine and to treat severe
parasitic diseases
Used in chemotherapy
Used is an antifungal and an antineoplastic
Used in pharmaceutical manufacturing
Used as a sedative, a hypnotic, and an antitussive
Used as a bactericide, in the manufacture of
Pharmaceuticals, as an anti-hemorrhagic in those with
far advanced cancer and for the control of
postoperative pain in otolaryngeal surgery
Used as an anthelmintic and as a solvent in
pharmaceutical formulations
Used as an dermatologic
Used in chemotherapy
Used in cough syrups and in sleeping pills
Used in chemotherapy
Used as an antineoplastic
Used in manufacture of anesthetics and sedatives
Used as an anesthetic
Used as an antiseptic
Used in pharmaceutical synthesis
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Chemical Name
Creosote
Cresols
CTX
Cyanide Salts
Cyclophosphamide
Cytoxan
Daunomycin
Daunorubicin
DaunoXome,
Dichlorobenzenes
Dichlorodifluoromethane
Diethylstilbesterol
Epinephrine
Ethyl Acetate
Ethyl Carbamate
Ethyl Ether
Ethylene Oxide
Formaldehyde
Formic Acid and its salts
Hexachloroethane
Hexachlorophene
Lindane
Leukeran
Liposomal
Waste Code
U051
U052
U058
P030
U058
U058
U059
U059
U059
U070, U071,
U072
U075
U089
P042
U112
U238
U117
U115
U122
U123
U131
U132
U129
U035
U059
Uses in a Healthcare Facility
Used as an antiseptic and an expectorant
Used as an antiseptic and a disinfectant
Used in chemotherapy
Used in the laboratory
Used in chemotherapy
Used in chemotherapy
Used in chemotherapy
Used in chemotherapy
Used in chemotherapy
Used as germicides and in pharmaceutical
manufacturing
Used as refrigerant
Used as an anticancer agent and morning after pill
Used in emergency allergy kits, to treat certain types of
glaucoma, in eye surgery and to treat patients suffering
cardiac arrest while in the hospital
Used as a flavoring agent in pharmaceuticals
Used as an antineoplastic
Used as a disinfectant and an anesthetic
Used as a sterilizer of surgical instruments
Used as an antiseptic, a disinfectant, and as a
preservative
Used internally as diuretics and in convalescence and
debilitated conditions to help muscle tone such as in
cardiac weakness and muscular rheumatism
Used as an anthelmintic (destroys parasitic intestinal
worms)
Used as an active ingredient in Phisohex
Used as a scabicide
Used in chemotherapy
Used in chemotherapy
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Chemical Name
L-PAM
Maleic Anhydride
Melphalan
Mercury
Methanol
3-Methylchloranthrene
Methylpyrilene
Methylthiouracil
Mitomycin
Mitomycin C
Mutamycin)
Naphthalene
Neosar
Nicotine
Nitroglycerin
Paraldehyde
Phenacetin
Phenylmercuric Acetate
Phenol
Phentermine
Physotigmine
Physotigmine Salicylate
Potassium Silver Cyanide
Waste Code
U150
U147
U150
U151
U154
U157
U155
U164
U010
U010
U010
U165
U058
P075
P081
U182
U187
P092
U188
P046
P204
P188
P099
Uses in a Healthcare Facility
Used in chemotherapy
Used in the manufacture of Pharmaceuticals
Used in chemotherapy
Used in preservatives (Thimerosal), thermometers,
sphygmomanometers, and antiseptics (mercurochrome)
Used as a solvent in the manufacture of Pharmaceuticals
Used experimentally in cancer research
Used as an antihistaminic
Used as a thyroid inhibitor
Used in chemotherapy
Used in chemotherapy
Used in chemotherapy
Used as an antiseptic and an anthelmintic
Used in chemotherapy
Used to help smokers quit
Used as a coronary vasodilator in the treatment of
angina
Used as a sedative and a hypnotic
Used as an analgesic and an antipyretic drug
Used as a bactericide and a pharmaceutic aid in contact
lens solution and nasal sprays
Used as an antiseptic, an anesthetic, and an
antipruritic (relieves itching)
Used as an appetite suppressant
Used as cholinergics (liberates or acts like acetylcholine)
Used as cholinergics (liberates or acts like acetylcholine)
Used as a bactericide
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Chemical Name
Procytox
Reserpine
Resorcinol
Rubidomycin
Saccharin
Selenium Sulfide
Sodium Azide
Streptozocin
Streptozotocin
Strychnine
Uracil Mustard
Tetrachloroethylene
Thiram
Trichloroethylene
Trichloromonofluoromethane
Trisenox
Warfarin <0.3%
Warfarin>0.3%
Zanosar
Waste Code
U058
U200
U201
U059
U202
U205
P105
U206
U206
P108
U237
U210
U244
U228
U121
P012
U248
P001
U206
Uses in a Healthcare Facility
Used in chemotherapy
Used to treat hypertension, insanity, snakebite, and
cholera in humans and as a long acting tranquilizer in
horses
Used as a pharmaceutical to treat acne, as an anti-
dandruff agent in shampoo, and as a chemical
intermediate to synthesize Pharmaceuticals
Used in chemotherapy
Used as a sugar substitute
Used as an ingredient in shampoos
Used as a chemical preservative in hospitals and
laboratories
Used in chemotherapy
Used in chemotherapy
Used as a veterinary tonic and stimulant
Used in chemotherapy
Used as an anthelmintic
Used as an antiseptic
Used as an inhalation anesthetic and in the
manufacture of Pharmaceuticals
Used as refrigerant
Used in chemotherapy
Used as an anticoagulant
Used as an anticoagulant
Used in chemotherapy
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Part 261 Appendix VH
EPA hazardous
Waste No.
F001
F002
F003
F004
F005
F006
F007
F008
F009
F010
F011
F012
F019
F020
F021
F022
Hazardous constituents for which listed
Tetrachloroethylene, methylene chloride trichloroethylene, 1,1,1-
trichloroethane, carbon tetrachloride, chlorinated fluorocarbons.
Tetrachloroethylene, methylene chloride, trichloroethylene, 1,1,1-
trichloroethane, 1 , 1 ,2-trichloroethane, chlorobenzene, 1 , 1 ,2-trichloro- 1 ,2,2-
trifluoroethane, ortho-dichlorobenzene, trichlorofluoromethane.
N.A.
Cresols and cresylic acid, nitrobenzene.
Toluene, methyl ethyl ketone, carbon disulfide, isobutanol, pyridine, 2-
ethoxyethanol, benzene, 2-nitropropane.
Cadmium, hexavalent chromium, nickel, cyanide (complexed).
Cyanide (salts).
Cyanide (salts).
Cyanide (salts).
Cyanide (salts).
Cyanide (salts).
Cyanide (complexed).
Hexavalent chromium, cyanide (complexed).
Tetra- and pentachlorodibenzo-p-dioxins; tetra and pentachlorodi-benzofurans;
tri- and tetrachlorophenols and their chlorophenoxy derivative acids, esters,
ethers, amine and other salts.
Penta- and hexachlorodibenzo-p-dioxins; penta- and hexachlorodibenzofurans;
pentachlorophenol and its derivatives.
Tetra-, penta-, and hexachlorodibenzo-p-dioxins; tetra-, penta-, and
hexachlorodibenzofurans.
FOOTNOTE: N.A. Waste is hazardous because it fails the test for the characteristic of
ignitability, corrosivity, or reactivity
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Part 261 Appendix VH
EPA hazardous
Waste No.
Hazardous constituents for which listed
F023
Tetra-, and pentachlorodibenzo-p-dioxins; tetra- and
pentachlorodibenzofurans; tri- and tetrachlorophenols and their chlorophenoxy
derivative acids, esters, ethers, amine and other salts.
F024
Chloromethane, dichloromethane, trichloromethane, carbon tetrachloride,
chloroethylene, 1,1-dichloroethane, 1,2-dichloroethane, trans-1-2-
dichloroethylene, 1,1-di chloroethylene, 1,1,1-trichloroethane, 1,1,2-
trichloroethane, tri chloroethylene, 1,1,1,2-tetra-chloroethane, 1,1,2,2-
tetrachloroethane, tetrachloroethylene, pentachloroethane, hexachloroethane,
allyl chloride (3-chloropropene), dichloropropane, dichloropropene, 2- chloro-
1,3 -butadiene, hexachloro-1,3 -butadiene, hexachlorocyclopentadiene,
hexachlorocyclohexane, benzene, chlorbenzene, dichlorobenzenes, 1,2,4-
trichlorobenzene, tetrachlorobenzene, pentachlorobenzene, hexachlorobenzene,
toluene, naphthalene.
F025
Chloromethane; Dichloromethane; Trichloromethane; Carbon tetrachloride;
Chloroethylene; 1,1-Dichloroethane; 1,2-Dichloroethane; trans-1,2-
Di chloroethylene; 1,1-Dichloroethylene; 1,1,1-Tri chloroethane; 1,1,2-
Trichloroethane; Tri chloroethylene; 1,1,1,2-Tetrachloroethane; 1,1,2,2-
Tetrachloroethane; Tetrachloroethylene; Pentachloroethane; Hexachloroethane;
Allyl chloride (3-Chloropropene); Dichloropropane; Dichloropropene; 2-
Chloro-l,3-butadiene; Hexachloro-l,3-butadiene; Hexachlorocyclopentadiene;
Benzene; Chlorobenzene; Dichlorobenzene; 1,2,4-Trichlorobenzene;
Tetrachlorobenzene; Pentachlorobenzene; Hexachlorobenzene; Toluene;
Naphthalene.
F026
Tetra-, penta-, and hexachlorodibenzo-p-dioxins; tetra-, penta-, and
hexachlorodibenzofurans.
F027
Tetra-, penta-, and hexachlorodibenzo-p-dioxins; tetra-, penta-, and
hexachlorodibenzofurans; tri-, tetra-, and pentachlorophenols and their
chlorophenoxy derivative acids, esters, ethers, amine and other salts.
F028
Tetra-, penta-, and hexachlorodibenzo-p-dioxins; tetra-, penta-, and
hexachlorodibenzofurans; tri-, tetra-, and pentachlorophenols and their
chlorophenoxy derivative acids, esters, ethers, amine and other salts.
FOOTNOTE: N.A. Waste is hazardous because it fails the test for the characteristic of
ignitability, corrosivity, or reactivity
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Part 261 Appendix VH
EPA hazardous
Waste No.
F032
F034
F035
F037
F038
F039
K001
K002
K003
K004
K005
K006
K007
K008
K009
Hazardous constituents for which listed
Benz(a)anthracene, benzo(a)pyrene, dibenz(a,h)-anthracene,indeno(l,2,3-
cd)pyrene, pentachlorophenol, arsenic, chromium, tetra-, penta-, hexa-,
heptachlorodibenzo-p-dioxins, tetra-, penta-, hexa-, heptachlorodibenzofurans.
Benz(a)anthracene, benzo(k)fluoranthene, benzo(a)pyrene,
dibenz(a,h)anthracene, indeno(l,2,3-cd)pyrene, naphthalene, arsenic,
chromium.
Arsenic, chromium, lead.
Benzene, benzo(a)pyrene, chrysene, lead, chromium.
Benzene, benzo(a)pyrene, chrysene, lead, chromium.
All constituents for which treatment standards are specified for multi-source
leachate (wastewaters and nonwastewaters) under 40 CFR 268. 43 (a), Table
ccw.
Pentachlorophenol, phenol, 2-chlorophenol, p-chloro-m-cresol, 2,4-
dimethylphenyl, 2,4-dinitrophenol, trichlorophenols, tetrachlorophenols, 2,4-
dinitrophenol, cresosote, chrysene, naphthalene, fluoranthene,
benzo(b)fluoranthene, benzo(a)pyrene, indeno(l,2,3-cd)pyrene,
benz(a)anthracene, dibenz(a)anthracene, acenaphthalene.
Hexavalent chromium, lead
Hexavalent chromium, lead.
Hexavalent chromium.
Hexavalent chromium, lead.
Hexavalent chromium.
Cyanide (complexed), hexavalent chromium.
Hexavalent chromium.
Chloroform, formaldehyde, methylene chloride, methyl chloride, paraldehyde,
formic acid.
FOOTNOTE: N.A. Waste is hazardous because it fails the test for the characteristic of
ignitability, corrosivity, or reactivity
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Part 261 Appendix VH
EPA hazardous
Waste No.
K010
K011
K013
K014
K015
K016
K017
K018
K019
K020
K021
K022
K023
K024
K025
K026
Hazardous constituents for which listed
Chloroform, formaldehyde, methylene chloride, methyl chloride, paraldehyde,
formic acid, chloroacetaldehyde.
Acrylonitrile, acetonitrile, hydrocyanic acid.
Hydrocyanic acid, acrylonitrile, acetonitrile.
Acetonitrile, acrylamide.
Benzyl chloride, chlorobenzene, toluene, benzotrichloride.
Hexachlorobenzene, hexachlorobutadiene, carbon tetrachloride,
hexachloroethane, perchloroethylene.
Epichlorohydrin, chloroethers [bis(chloromethyl) ether and bis (2-chloroethyl)
ethers], trichloropropane, dichloropropanols.
1,2-dichloroethane, trichloroethylene, hexachlorobutadiene, hexachlorobenzene.
Ethyl ene di chloride, 1,1,1-trichloroethane, 1,1,2-trichloroethane,
tetrachloroethanes (1,1,2,2-tetrachloroethane and 1,1,1,2-tetrachloroethane),
trichloroethylene, tetrachloroethylene, carbon tetrachloride, chloroform, vinyl
chloride, vinylidene chloride.
Ethyl ene di chloride, 1,1,1-trichloroethane, 1,1,2-trichloroethane,
tetrachloroethanes (1,1,2,2-tetrachloroethane and 1,1,1,2-tetrachloroethane),
trichloroethylene, tetrachloroethylene, carbon tetrachloride, chloroform, vinyl
chloride, vinylidene chloride.
Antimony, carbon tetrachloride, chloroform.
Phenol, tars (polycyclic aromatic hydrocarbons).
Phthalic anhydride, maleic anhydride.
Phthalic anhydride, 1,4-naphthoquinone.
Meta-dinitrobenzene, 2,4-dinitrotoluene.
Paraldehyde, pyridines, 2-picoline.
FOOTNOTE: N.A. Waste is hazardous because it fails the test for the characteristic of
ignitability, corrosivity, or reactivity
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Part 261 Appendix VH
EPA hazardous
Waste No.
K027
K028
K029
K030
K031
K032
K033
K034
K035
K036
K037
K038
K039
K040
K041
K042
K043
K044
K045
K046
Hazardous constituents for which listed
Toluene diisocyanate, toluene-2, 4-diamine.
1,1,1-trichloroethane, vinyl chloride.
1,2-dichloroethane, 1,1,1-trichloroethane, vinyl chloride, vinylidene chloride,
chloroform.
Hexachlorobenzene, hexachlorobutadiene, hexachloroethane, 1,1,1,2-
tetrachloroethane, 1,1,2,2-tetrachloroethane, ethyl ene di chloride.
Arsenic.
Hexachlorocyclopentadiene.
Hexachlorocyclopentadiene.
Hexachlorocyclopentadiene.
Creosote, chrysene, naphthalene, fluoranthene benzo(b) fluoranthene,
benzo(a)pyrene, indeno(l,2,3-cd) pyrene, benzo(a)anthracene,
dibenzo(a)anthracene, acenaphthalene.
Toluene, phosphorodithioic and phosphorothioic acid esters.
Toluene, phosphorodithioic and phosphorothioic acid esters.
Phorate, formaldehyde, phosphorodithioic and phosphorothioic acid esters.
Phosphorodithioic and phosphorothioic acid esters.
Phorate, formaldehyde, phosphorodithioic and phosphorothioic acid esters.
Toxaphene.
Hexachlorobenzene, ortho-dichlorobenzene.
2,4-dichlorophenol, 2,6-dichlorophenol, 2,4,6-trichlorophenol.
N.A.
N.A.
Lead.
FOOTNOTE: N.A. Waste is hazardous because it fails the test for the characteristic of
ignitability, corrosivity, or reactivity
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Part 261 Appendix VH
EPA hazardous
Waste No.
K047
K048
K049
K050
K051
K052
K060
K061
K062
K064
K065
K066
K069
K071
K073
K083
K084
K085
K086
K087
K088
Hazardous constituents for which listed
N.A
Hexavalent chromium, lead.
Hexavalent chromium, lead.
Hexavalent chromium.
Hexavalent chromium, lead.
Lead.
Cyanide, napthalene, phenolic compounds, arsenic.
Hexavalent chromium, lead, cadmium.
Hexavalent chromium, lead.
Lead, cadmium.
Do.
Do.
Hexavalent chromium, lead, cadmium.
Mercury.
Chloroform, carbon tetrachloride, hexacholroethane, trichloroethane,
tetrachloroethylene, dichloroethylene, 1,1,2,2-tetrachloroethane.
Aniline, diphenylamine, nitrobenzene, phenylenediamine
Arsenic.
Benzene, dichlorobenzenes, trichlorobenzenes, tetrachlorobenzenes,
pentachlorobenzene, hexachlorobenzene, benzyl chloride.
Lead, hexavalent chromium.
Phenol, naphthalene.
Cyanide (complexes).
FOOTNOTE: N.A. Waste is hazardous because it fails the test for the characteristic of
ignitability, corrosivity, or reactivity
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Part 261 Appendix VH
EPA hazardous
Waste No.
K090
K091
K093
K094
K095
K096
K097
K098
K099
K100
K101
K102
K103
K104
K105
K106
K107
K108
K109
K110
Kill
K112
Hazardous constituents for which listed
Chromium.
Do.
Phthalic anhydride, maleic anhydride.
Phthalic anhydride.
1 , 1 ,2-trichloroethane, 1,1,1 ,2-tetrachloroethane, 1 , 1 ,2,2-tetrachloroethane.
1,2-dichloroethane, 1,1,1-trichloroethane, 1,1,2-trichloroethane.
Chlordane, heptachlor.
Toxaphene.
2,4-dichlorophenol, 2,4,6-trichlorophenol.
Hexavalent chromium, lead, cadmium.
Arsenic.
Arsenic.
Aniline, nitrobenzene, phenylenediamine.
Aniline, benzene, diphenylamine, nitrobenzene, phenylenediamine.
Benzene, monochlorobenzene, dichlorobenzenes, 2,4,6-trichlorophenol.
Mercury.
1 , 1 -Dimethylhydrazine (UDMH).
1 , 1 -Dimethylhydrazine (UDMH).
1 , 1 -Dimethylhydrazine (UDMH).
1 , 1 -Dimethylhydrazine (UDMH).
2,4-Dinitrotoluene.
2,4-Toluenediamine, o-toluidine, p-toluidine, aniline.
FOOTNOTE: N.A. Waste is hazardous because it fails the test for the characteristic of
ignitability, corrosivity, or reactivity
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Part 261 Appendix VH
EPA hazardous
Waste No.
K113
K114
K115
K116
K117
K118
K123
K124
K125
K126
K131
K132
K136
K141
K142
K143
K144
K145
K147
Hazardous constituents for which listed
2,4-Toluenediamine, o-toluidine, p-toluidine, aniline.
2,4-Toluenediamine, o-toluidine, p-toluidine.
2,4-Toluenediamine.
Carbon tetrachloride, tetrachloroethylene, chloroform, phosgene.
Ethylene dibromide.
Ethylene dibromide.
Ethylene thiourea.
Ethylene thiourea.
Ethylene thiourea.
Ethylene thiourea.
Dimethyl sulfate, methyl bromide
Methyl bromide.
Ethylene dibromide.
Benzene, benz(a)anthracene, benzo(a)pyrene,
benzo(k)fluoranthene, dibenz(a,h)anthracene,
Benzene, benz(a)anthracene, benzo(a)pyrene,
benzo(k)fluoranthene, dibenz(a,h)anthracene,
benzo(b)fluoranthene,
indeno(l,2,3-cd)pyrene.
benzo(b)fluoranthene,
indeno(l,2,3-cd)pyrene.
Benzene, benz(a)anthracene, benzo(b)fluoranthene, benzo(k)fluoranthene.
Benzene, benz(a)anthracene, benzo(a)pyrene,
benzo(k)fluoranthene, dibenz(a,h)anthracene.
Benzene, benz(a)anthracene, benzo(a)pyrene,
naphthalene.
Benzene, benz(a)anthracene, benzo(a)pyrene,
benzo(k)fluoranthene, dibenz(a,h)anthracene,
benzo(b)fluoranthene,
dibenz(a,h)anthracene,
benzo(b)fluoranthene,
indeno(l,2,3-cd)pyrene.
FOOTNOTE: N.A. Waste is hazardous because it fails the test for the characteristic of
ignitability, corrosivity, or reactivity
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Part 261 Appendix VH
EPA hazardous
Waste No.
K148
K149
K150
K151
K156
K157
K158
K159
K161
K169
K170
K171
K172
Hazardous constituents for which listed
Benz(a)anthracene, benzo(a)pyrene, benzo(b)fluoranthene,
benzo(k)fluoranthene, dibenz(a,h)anthracene, indeno(l,2,3-cd)pyrene.
Benzotrichloride, benzyl chloride, chloroform, chloromethane, chlorobenzene,
1,4-dichlorobenzene, hexachlorobenzene, pentachlorobenzene, 1,2,4,5-
tetrachlorobenzene, toluene
Carbon tetrachloride, chloroform, chloromethane, 1,4-dichlorobenzene,
hexachlorobenzene, pentachlorobenzene, 1,2,4,5-tetrachlorobenzene, 1,1,2,2-
tetrachloroethane, tetrachloroethylene, 1,2,4- tri chlorobenzene.
Benzene, carbon tetrachloride, chloroform, hexachlorobenzene,
pentachlorobenzene, toluene, 1,2,4,5- tetrachlorobenzene, tetrachloroethylene.
Benomyl, carbaryl, carbendazim, carbofuran, carbosulfan, formaldehyde,
methylene chloride, triethylamine.
Carbon tetrachloride, formaldehyde, methyl chloride, methylene chloride,
pyridine, triethylamine.
Benomyl, carbendazim, carbofuran, carbosulfan, chloroform, methylene
chloride.
Benzene, butylate, eptc, molinate, pebulate, vernolate.
Antimony, arsenic, metam-sodium, ziram.
Benzene.
Benzo(a)pyrene, dibenz(a,h)anthracene, benzo(a)anthracene,
benzo(b)fluoranthene, benzo(k)fluoranthene, 3-methylcholanthrene, 7,12-
dimethylbenz(a)anthracene.
Benzene, arsenic.
Benzene, arsenic.
FOOTNOTE: N.A. Waste is hazardous because it fails the test for the characteristic of
ignitability, corrosivity, or reactivity
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Part 261 Appendix VH
EPA hazardous
Waste No.
K174
K175
K176
K177
K178
K901
K902
Hazardous constituents for which listed
l,2,3,4,6,7,8-Heptachlorodibenzo-p-dioxin(l,2,3,4,6,7,8-HpCDD),
l,2,3,4,6,7,8-Heptachlorodibenzofuran(l,2,3,4,6,7,8-HpCDF),
1,2,3,4,7,8,9-Heptachlorodibenzofuran (1,2,3,6,7,8,9-HpCDF), HxCDDs (All
Hexachlorodibenzo-p-dioxins), HxCDFs (All Hexachlorodibenzofurans),
PeCDDs (All Pentachlorodibenzo- p-dioxins), OCDD (1,2,3,4,6,7,8,9-
Octachlorodibenzo-p-dioxin), OCDF (1,2,3,4,6,7,8,9-
Octachlorodibenzofuran), PeCDFs (All Pentachlorodibenzofurans), TCDDs
(All Tetrachlorodibenzo- p-dioxins), TCDFs (All Tetrachlorodibenzofurans).
Mercury
Arsenic, Lead.
Antimony.
Thallium.
0-isopropyl methylphosphonofluoridate (Sarin, GB), bis(2-chloroethyl)sulfide
(Mustard, Mustard Agent, Mustard Gas, H, HD), bis(2-chloroethylthio)ethyl
ether (Mustard T)
0-isopropyl methylphosphonofluoridate (Sarin, GB), bis(2-chloroethyl)sulfide
(Mustard, Mustard Agent, Mustard Gas, H, HD), bis(2-chloroethylthio)ethyl
ether (Mustard T)
FOOTNOTE: N.A. Waste is hazardous because it fails the test for the characteristic of
ignitability, corrosivity, or reactivity
-------
United States
Environmental Protection
Agency
Solid Waste and
Emergency Response
(5305W)
EPA530-R-97-063
PB98-108 186
November 1997
&EPA
RCRA, Superfund & EPCRA
Hotline Training Module
Introduction to:
Petitions, Delistings, and
Variances
Updated July 1997
-------
DISCLAIMER
This document was developed by Booz-Allen & Hamilton Inc. under contract 68-WO-0039 to EPA. It is
intended to be used as a training tool for Hotline specialists and does not represent a statement of EPA
policy.
The information in this document is not by any means a complete representation of EPA's regulations or
policies. This document is used only in the capacity of the Hotline training and is not used as a reference
tool on Hotline calls. The Hotline revises and updates this document as regulatory program areas change.
The information in this document may not necessarily reflect the current position of the Agency. This
document is not intended and cannot be relied upon to create any rights, substantive or procedural,
enforceable by any party in litigation with the United States.
RCRA, Superfund & EPCRA Hotline Phone Numbers:
National toll-free (outside of DC area) (800) 424-9346
Local number (within DC area) (703) 412-9810
National toll-free for the hearing impaired (TDD) (800) 553-7672
The Hotline is open from 9 am to 6 pm Eastern Time,
Monday through Friday, except for federal holidays.
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PETITIONS, DELISTINGS, AND VARIANCES
CONTENTS
1. Introduction 1
2. Regulatory Summary 3
2.1 General Petitions 3
2.2 Equivalent Testing or Analytical Methods 3
2.3 Delisting Petitions 5
2.4 Variances 13
2.5 Summary 14
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Petitions, Delistings, and Variances -1
1. INTRODUCTION
This module reviews the regulations found in 40 CFR Part 260, Subpart C,
governing rulemaking petitions. A person can petition EPA to change almost any
provision of the hazardous waste regulations. EPA is obligated to examine and
address the petitions, but an actual change in the regulations is not common. Most
successful petitions seek to add an analytical method or to delist a waste from a
particular facility. Individuals may also apply for variances from classification as a
solid waste or for classification as a boiler. The requirements for variances are also
outlined in this module.
After finishing this module, you will be able to define petitions and variances and
distinguish between the different types. You will also be able to explain how
petitions and variances are used, by whom, and for what purposes. Specifically, you
will be able to:
Specify who may petition EPA to modify or revoke any provision in 40
CFR Parts 260 through 265 and 268, and what may be changed through the
petition process
List the different components of a petition, and the steps in the
petitioning, review, and decision processes
Specify the applicability of "equivalent methods" and state the
information needed for this type of petition
Describe the process in petitioning for a new or equivalent method
Specify the purpose of delisting, what can be delisted, and the implications
of a delisting petition
Outline the delisting procedures and provide citations for them
Cite the Federal Registers that describe the EPA's Composite Model for
Landfills (EPACML) which EPA currently uses as a tool in evaluating
delisting petitions
Identify the types of variances granted.
Use these objectives to check your understanding of the topic when you complete
the module.
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes.
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2 - Petitions, Delistings, and Variances
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes.
-------
Petitions, Delistings, and Variances - 3
2. REGULATORY SUMMARY
The following is a summary of the regulations governing the process of requesting
and awarding petitions, delistings, and variances. These regulations are found in 40
CFR Part 260, Subpart C. Using the procedures in ง260.20, anyone may petition EPA
to modify or revoke any provision of 40 CFR Parts 260-266 and 268. For example, a
person may petition to delist a listed waste from Subpart D of Part 261 (the F, K, P,
and U lists). The petitioner must follow the general requirements that apply to all
rulemaking petitions in ง260.20, as well as the specific requirements for delisting
petitions in ง260.22. Other types of petitions include petitions for obtaining a
variance from classification as a solid waste (งง260.30, 260.31, and 260.33) and
petitions to be classified as a boiler (งง260.32 and 260.33).
2.1 GENERAL PETITIONS
Section 7004 of RCRA states that any person may petition EPA for the promulgation,
amendment, or repeal of any regulation under RCRA. EPA promulgated
regulations pursuant to ง7004 that outline the procedures for filing this type of
petition. According to ง260.20, each petition must include:
The petitioner's name and address
A statement of the petitioner's interest in the proposed action
A description of the proposed action
A statement of the need and justification for the proposed action
(including any supporting tests, studies, or other information).
Upon submission, EPA reviews the petition and publishes a tentative decision in
the Federal Register to grant or deny it. After a public comment period, EPA
evaluates all timely comments and publishes the final decision in the Federal
Register. Figure 1 illustrates the steps of the petition process.
2.2 EQUIVALENT TESTING OR ANALYTICAL METHODS
Anyone may petition to add a testing or analytical method to Parts 261, 264, or 265
(ง260.21). This provision is used in cases where the regulations prescribe the use of a
specific test method (e.g., to determine if a waste exhibits the characteristic of
corrosivity), and a member of the regulated community wants to use an alternative
test method that is less costly or more accurate. The petitioner must demonstrate
that the method he or she is proposing is equivalent or superior to the existing
method in terms of its sensitivity, accuracy, and precision. The content of the
petition and process for its approval are outlined below.
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes.
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4 - Petitions, Delistings, and Variances
Figure 1
PETITION REVIEW PROCESS
Letter Acknowledgm
Petition Receipt Sent
Notify Region of
Petition Receipt
Petition Receipt/
Reviewer Assigned
Petition Completeness
Review
etition Responds
Within Time Limit
Petition
Seriously
Deficient?
Petition Dismissed
Preliminary Technical
Assessment: Can
Petition Be Denied?
Denial/Withdrawal
Option Offered
Six-Month
Time Limit
To Respond
Additional
Information
Required1;
Petition
Withdrawn?
Letter Sent Requesting
Additional Information
Yes
Recommendation Made to Grant or Deny Petition
and Preparation of Proposed Decision for Federal
Register
Preparation of Final Notice
and Associated
Documentation
Federal Register Notice
Publication
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes.
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Petitions, Delistings, and Variances - 5
COMPONENTS OF THE PETITION
A petition to add a testing or analytical method must include all information
required by ง260.20 as well as the following:
A full description of the proposed method
A description of the types of wastes or waste matrices for which the
proposed method may be used
The results obtained from using the proposed methods compared to the
results from the relevant or corresponding approved methods
An assessment of any factors which may interfere with, or limit the use of,
the proposed method
A description of quality control methods necessary to ensure sensitivity,
accuracy, and precision of the proposed method
Any additional information which may be reasonably required to evaluate
the method as requested by the Administrator.
THE APPROVAL PROCESS
After EPA receives a specific petition, it must be evaluated to determine if it is valid
and should be granted. EPA must then officially approve any test method as
equivalent before it can be used when the regulations require use of a specific test
method. The steps in the approval process are the same as those in งง260.20(c), (d),
and (e) and are reflected in Figure 1. If EPA amends the regulations to permit the
use of a new test method, the method will be incorporated into Test Methods for
Evaluating Solid Waste: Physical / Chemical Methods, also known as SW-846.
2.3 DELISTING PETITIONS
EPA recognizes that certain listed wastes generated at a facility may not meet the
criteria for which they were originally listed. This could occur, for example, when a
treatment process removes, destroys, or immobilizes hazardous constituents that
were present in the listed waste. Because a waste listed in Part 261, Subpart D, may
not always contain the hazardous constituents for which it was listed, one of the
specific petitions that may be submitted to EPA is a delisting petition. This is
designed for persons who want to exclude or "delist" a listed hazardous waste
generated at a particular facility from งง261.31-33. In general, the effect of granting a
delisting petition is to allow management of the excluded waste as nonhazardous
(i.e., excluded from regulation under Subtitle C). A delisted waste, however, must
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes.
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) - Petitions, Delistings, and Variances
still be managed in accordance with applicable federal, state, and local regulations for
municipal or industrial solid waste (i.e., RCRA Subtitle D).
This section discusses the regulatory basis for and intent of delisting, the regulatory
impact of a delisting petition, the elements of evaluation, and petition information.
This section also explains what criteria must be met for approval of delisting
petitions, the types of exclusions that are granted, the conditions that might apply,
the process EPA uses to evaluate a petition, and the information that must be
submitted.
REGULATORY BASIS AND INTENT OF DELISTING
Under the RCRA regulations, there are two ways solid wastes can be classified as
hazardous: (1) solid wastes that exhibit a characteristic of a hazardous waste
(ignitability, corrosivity, reactivity, or toxicity) identified in งง261.21-261.24; and (2)
solid waste that are specifically listed ( F, K, P, U) in งง261.31-261.33. Delisting
petitions, as the name implies, are for listed wastes. To be eligible for an exclusion
under a delisting petition, a listed waste must not:
Meet the criteria for which it was listed (งง260.22(c)(l), (d)(l), and (e)(l))
Exhibit any of the hazardous waste characteristics (งง260.22(c)(l), (d)(3), and
Be hazardous for any other reason (e.g., contain additional constituents
that could cause the waste to pose a threat to human health and
environment) (งง260.22(c)(2), (d)(2), and (e)(2)).
A listed waste that also exhibits a characteristic of a hazardous waste is not eligible
for delisting under this provision. For example, if a wastewater treatment sludge
from electroplating operations (F006) exhibits the toxicity characteristic for lead, it
would not be eligible for a delisting petition.
The delisting regulations are intended to ease the regulatory burden for listed wastes
that are captured by the broad listing description but are not actually hazardous. 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, so the waste may not contain the contaminants for which it was listed.
Delistings are also used for listed wastes that have been treated and no longer pose a
threat to human health or the environment.
REGULATORY IMPACT OF A DELISTING DECISION
The intent behind delisting is to allow the delisted waste to be managed as a
nonhazardous waste. Submitting a petition does not automatically exempt a waste
from RCRA Subtitle C regulation. Until a delisting petition becomes effective, the
waste is still considered a listed waste and is subject to all applicable regulations. If
the petition is denied, the waste will remain fully regulated under Subtitle C. If the
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes.
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Petitions, Delistings, and Variances - 7
petition is granted, the waste would receive one of three types of exclusions: a
standard exclusion, a conditional exclusion, or an upfront exclusion.
Standard Exclusions
One type of exclusion or delisting granted under ง260.22 is known as a standard
exclusion. Typically, once a listed waste has been granted a standard exclusion, no
further testing of the waste is required, except as necessary to check for characteristics.
There are two categories of standard exclusions:
A standard exclusion for "source waste" that is currently generated and
will be generated in the future (these exclusions generally will apply only
to waste generated after the effective date of the exclusion)
A "one-time" standard exclusion may be granted for discrete volumes of
waste, typically generated in the past, such as waste contained in a surface
impoundment.
Conditional Exclusions
Another type of exclusion that may be granted through the delisting process is a
conditional exclusion, in which EPA may approve a delisting petition contingent
upon the waste meeting certain requirements. If the waste is highly variable in
composition, EPA will impose certain testing requirements that the petitioner must
meet before disposal. Such exclusions typically establish delisting levels for key
waste constituents. Only those batches of waste that pass the testing requirements
are considered delisted; waste which fails testing remains subject to Subtitle C
regulation.
Upfront Exclusions
The third type of exclusion is known as an upfront exclusion. Facilities can petition
to delist waste that has not yet been generated (e.g., residue that will be generated
from a planned incinerator or other treatment process). To support the petition,
petitioners may submit bench- or pilot-scale data, characterization data for the
untreated waste, and detailed descriptions of the treatment processes. Once the full-
scale treatment process is on-line, the petitioner then conducts extensive testing to
verify that the system is operating as described in the petition and that the delisting
levels established for the petitioned waste are met. An upfront delisting is therefore
a special form of a conditional exclusion.
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes.
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8 - Petitions, Delistings, and Variances
ELEMENTS OF EVALUATION
As with petitions previously discussed, there are four major steps in the delisting
petition evaluation process: (1) submitting the petition; (2) completeness review by
EPA; (3) technical review; and (4) promulgation of the decision. The entire review
process is outlined in Figure 1. Delisting is a formal rulemaking process and
typically takes about two years. The evaluation is subject to review within EPA and,
when published as a proposed rule, public comment is requested prior to EPA's final
decision. EPA suggests that petitioners submit sampling and analysis plans
(discussed later in this section) for review prior to committing time and resources to
the preparation of a formal petition preparation.
Submitting the Petition
Anyone may submit a petition to delist a waste generated at a particular facility.
Separate petitions must be submitted for wastes generated at different facilities, even
if the contributing processes and raw materials are similar. When petitioning to
delist a waste, a petitioner should consider whether the petition should be
submitted to the state, EPA Region, or both. Delisting petitions are submitted to
EPA Regional Administrator unless the state is specifically authorized for delisting.
If a waste is managed in a state that is authorized for delisting, the petition should be
submitted to the authorized state rather than the EPA Region. If the waste is
transported to another state, a delisting granted by the state in which it was
generated does not exempt the waste from regulation under Subtitle C in the state to
which it is shipped. In this case a petitioner would need to submit a petition to both
the authorized state for management of the waste in the state and the EPA Region
(or the destination state if it is authorized for delisting) for management of the waste
in the destination state. EPA recommends that petitioners contact relevant state and
EPA regional offices to determine where the petition should be submitted. After
EPA receives a petition, it is assigned a petition log number for administrative
purposes. The petitioner will be notified by mail to acknowledge EPA's receipt of
the petition.
Completeness Review by EPA
When a petition is submitted, EPA will first confirm whether the petitioned waste is
listed as a hazardous waste, and therefore eligible for an exclusion. If the waste is
listed, EPA then conducts a completeness review to determine whether the petition
is seriously deficient. Generally, a seriously deficient petition lacks the necessary
information and the additional information would take more than six months to
collect (53 FR 6822; March 3, 1988). If a petition is seriously deficient it may be
immediately dismissed. If the petition is not seriously deficient EPA will determine
whether any additional information is necessary to conduct a technical review. If
more information is needed EPA will send a letter requesting the information. A
petitioner will have up to six months to submit the additional information. EPA
may establish a shorter time frame if the information can be obtained and submitted
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes.
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Petitions, Delistings, and Variances - 9
in less than six months. If the additional information requested is not submitted
within the specified time frame, the petition may be dismissed. EPA recommends
that a petitioner submit the additional information as soon as it is available. EPA
performs a technical review of all submitted information once a petition is
complete.
Technical Review
In the technical review stage, EPA first determines whether the waste meets all of
the required criteria. Specifically, the waste must not:
Meet the criteria for which it was listed
Exhibit any of the hazardous waste characteristics
Be hazardous for any other reason (e.g., contain additional constituents
that could cause the waste to pose a threat to human health and the
environment).
The petition is then evaluated on a waste-specific basis. Because a delisted waste is
not subject to hazardous waste regulation and EPA is unable to control further
management of the waste, EPA feels it is generally inappropriate to consider
extensive factors pertaining to how a delisted waste will be managed or disposed.
In the technical review stage EPA will often use, as appropriate, fate and transport
models that rely on waste-specific information to predict the potential
environmental impact of the petitioned waste. EPA currently uses EPA's
Composite Model for Landfills (EPACML), as appropriate, in the evaluation of
delisting petitions. The EPACML is used as a tool for predicting the transport of
hazardous constituents through soil and groundwater. Specifically, EPA uses
annual waste volume and waste testing data (e.g., the Toxicity Characteristic
Leaching Procedure (TCLP)) as inputs to the EPACML to project the concentration of
hazardous constituents that could migrate to a downgradient drinking water well.
These projected concentrations may then be compared to health-based levels used in
delisting (e.g., Maximum Contaminant Levels (MCLs)) to determine if the
constituents are of concern. For more information on the model and its use in
delisting, petitioners should be referred to the July 18, 1991, Federal Register (56 FR
32993) for background information. Before the EPACML was developed, EPA used
the Vertical and Horizontal Spread (VHS) model and Organic Leaching Model
(OLM), as appropriate, as tools for evaluating delisting petitions.
In some cases, EPA also will consider groundwater monitoring data during the
technical evaluation (54 FR 41930; October 12, 1989). In cases where a waste was
managed in a land-based unit, EPA will assess data collected from monitoring the
uppermost aquifer beneath the facility to determine whether the petitioned waste has
adversely impacted the environment.
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes.
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10 - Petitions, Delistings, and Variances
Once the technical review phase is completed EPA will decide whether to grant or
deny the petition. If EPA decides that the waste is still hazardous and intends to deny
the petition, the petitioner will be sent a letter notifying him or her of EPA's intent.
In this letter, EPA will offer the petitioner the option to withdraw the petition to
avoid a negative finding in the Federal Register. If the petitioner refuses to withdraw
the petition, or EPA decides to grant the petition, the review process moves on to the
promulgation of decision stage.
Promulgation of Decision
EPA must publish decisions on delisting petitions in the Federal Register. Upon
completion of the technical review, a draft Federal Register proposal is reviewed
internally. The proposed rule is then published in the Federal Register, and a
complete copy of the petition and the supporting information is placed in the RCRA
docket. The review period provides opportunity for public comment on the
proposed decision (usually 45 days). Once all timely public comments on the
proposed rule are addressed, a final notice is published in the Federal Register. Final
delisting decisions become effective on the date of publication in the Federal
Register.
DELISTING PETITION INFORMATION
The information that must be submitted for delisting petitions is found in งง260.20
and 260.22. Section 260.20 contains the general petition information that is required of
any regulatory petition, and ง260.22 contains the information specifically required of a
delisting petition. EPA may request any other additional information reasonably
required to evaluate a petition (ง260.22(j)). This section of the module breaks down
the specific components of a delisting petition and gives a basic outline of each part.
More specifics on each component can be found in EPA's Petitions to Delist Hazardous
Waste: A Guidance Manual, which was updated in March 1993.
Administrative Information
The basic administrative information requirements are found in งง260.20 and
260.22. This administrative information should include the following:
Name and address of the individual or firm submitting the petition
(ง260.20(b)(l))
Contact person for additional information that may be required (this is not a
regulatory requirement, but EPA recommends that this information be
provided)
Name and address of the facility where the waste is generated, facility EPA
identification number, and the location of the waste if it is different than the
facility (ง260.22(i)(4))
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes.
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Petitions, Delistings, and Variances -11
General description of the requested delisting action (ง260.20(b)(3))
Statement of interest in the proposed delisting action (ง260.20(b)(2))/ and a
statement of the need and justification for the proposed action (ง260.20(b)(4))
Certification statement as required in ง260.22(i)(12).
Waste and Waste Management Information
Petitioners must provide specific information about their waste and the history of
how the waste was managed in the past. The petition should describe the basis for the
hazardous waste listing, the EPA hazardous waste number found in งง261.31-261.33,
and the listing description. This section should indicate whether the waste was
generated in the past, is presently being generated, or if the waste will be generated in
the future. EPA also requires that a petitioner estimate the amount of waste to be
excluded. This estimate should include the average amount of waste generated on a
monthly and yearly basis, an estimate of the maximum monthly and yearly
generation, and the waste management history (ง260.22(i)(6)).
Process and Waste Management Information
The petitioner must provide information on all processes and raw materials
contributing to the petitioned waste (ง260.22(i)(5)). This information enables EPA to
determine whether the petitioned waste was characterized with respect to all
delisting constituents of concern potentially present due to the contributing
processes. The two components of this section are the general information
requirements and the special information required for certain situations. The
general information requirement includes a description of the general operations,
the manufacturing processes, waste treatment processes, process materials, and
waste management operations. The special information requirements are for those
petitioners requesting an upfront delisting for a waste that is not currently being
generated, or for exclusion of a waste that is generated by a facility that treats
multiple wastestreams (a multiple waste treatment facility).
Analytical Plan Development
In preparing an analytical plan, the petitioner should develop a complete list of the
hazardous constituents of concern in the waste. The list should be drawn from the
full universe of Part 261, Appendix VIII, constituents, as well as the following
constituents not found in Appendix VIII: acetone, ethylbenzene, isophorone, 4-
methyl-2-pentanone, styrene, and xylenes (total). These constituents are known as
the delisting constituents of concern. The list should also address any constituents
of concern for special waste categories (i.e., petroleum industry wastes, stabilized
wastes, and dioxin wastes). A complete engineering analysis should be conducted to
determine if there are other constituents of concern in the waste (งง260.22(c), (d),
and (e)). The petition should demonstrate that these delisting constituents of
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes.
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12 - Petitions, Delistings, and Variances
concern are not present in the waste at hazardous levels based on analytical data,
mass balance demonstrations, or other appropriate information. This list of
constituents of concern can be submitted to EPA (in conjunction with the sampling
plan) for a completeness evaluation prior to sampling, analysis, and final petition
preparation.
Sampling Plan Development
Data presented in a delisting petition must be based on an analysis of a
representative sample of the waste. The analytical data collected must be from a
sufficient number of representative samples, but in no case less than four, collected
over a period of time sufficient to represent the variability and uniformity of the
petitioned waste (ง260.22(h)). Guidance on sampling plan development may be
found in EPA publications, or other standard reference sources, such as documents
published by the American Society for Testing and Materials (ASTM). The sampling
plan, as stated above, may be submitted to EPA for evaluation prior to sampling.
Waste Sampling and Analysis Information
In accordance with งง260.22(i)(8)-(ll), the petitioner must collect analytical data on
the makeup of the waste. The petitioner should submit a comprehensive plan of
how samples were actually taken. A formal written sampling and analysis plan is
not a necessary part of a delisting petition. Nevertheless, EPA encourages
petitioners to submit a draft plan for review before sample collection and submittal
of a formal delisting petition.
The sampling and analysis data are analyzed by EPA to ensure proper procedures
and methods have been followed. The testing protocols should follow the
procedures in SW-846. More detail on the criteria involved in this review process is
found in the updated version of EPA's Petitions to Delist Hazardous Waste: A
Guidance Manual.
Groundwater Monitoring Information
In general, groundwater monitoring information should be submitted if the waste is
currently managed, or has ever been managed, in a land-based unit for which a
groundwater monitoring system is required under 40 CFR Parts 264 or 265, or other
federal, state, or local requirements; or if such information is otherwise collected for
the unit. EPA's authority to consider groundwater monitoring data in evaluating
delisting petitions is clarified in the October 12, 1989, Federal Register (54 FR 41930).
Groundwater data can help characterize the actual impact of the waste and
compliment the predictions from the fate and transport models used as tools in the
evaluation of a petition. For example, groundwater monitoring data from a unit
containing the waste may indicate that the waste has contributed to groundwater
contamination. This might suggest that the waste poses a hazard at one location,
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes.
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Petitions, Delistings, and Variances -13
and would potentially pose a hazard if disposed of at other locations. The petitioner
may submit groundwater monitoring information and data, or a reference to
previously submitted data. EPA usually would not require that groundwater data be
submitted if the waste was never managed in a land-based unit.
2.4 VARIANCES
Sections 260.30-260.33 contain the procedures which allow the Regional Administrator
to grant variances for certain materials and devices. On a case-by-case basis, the
following recyclable materials may be granted a variance from classification as a solid
waste:
Materials that are accumulated speculatively without sufficient amounts being
reclaimed (งง260.30(a) and 260.31(a))
Materials that are reclaimed and then reused within the original primary
production in which they were generated (งง260.30(b) and 260.31(b))
Materials that have been reclaimed but must be reclaimed further before the
materials are completely recovered (งง260.30(c) and 260.31(c)).
EPA believes that the length of time materials are accumulated before being recycled
is an important indicator of whether or not the materials are wastes. Under
ง261.2(c)(4)/ materials that are accumulated speculatively (defined in ง261.1(c)(8)) are
normally considered solid wastes (see the module entitled Definition of Solid Waste
and Hazardous Waste Recycling for further discussion of speculative accumulation).
A case-by-case variance (งง260.30(a) and 260.31 (a)) can be granted by the Regional
Administrator allowing recyclable materials that are accumulated speculatively to be
excluded from classification as a solid waste and therefore as a hazardous waste. The
burden of proof, however, lies with the accumulator to show that, despite an
increase in the storage time and volume, sufficient amounts of the materials are
being recycled.
Under ง261.2(e)(l)(i), materials that are reclaimed and then reused are also
considered solid wastes. EPA, nevertheless, believes that there may be some
situations where a material can be reclaimed before being reused and not be a solid
waste. This type of recycling can be considered an adjunct to the original primary
process; therefore, a case-by-case variance (งง260. 30(b) and 260.31(b)) can be granted
by the Regional Administrator allowing recyclable materials that are reclaimed prior
to reuse to be excluded from classification as a solid waste.
Under ง261.2(e)(l)(iii), materials that are reclaimed and need to be further reclaimed
are also considered solid wastes. In some situations, more than one reclamation
step may be necessary before a usable end-product of the reclamation process is
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes.
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14 - Petitions, Delistings, and Variances
recovered. A case-by-case variance (งง260.30(c) and 260.31(c)) allows recyclable
materials that are reclaimed, but must be reclaimed further, to be excluded from
classification as a solid waste, provided that the intermediate material is more
commodity-like than waste-like even though it has not been completely recovered.
With all three variances from classification as a solid waste, EPA is encouraging
recycling by providing an avenue for a reduction in the amount of regulation.
Variances may also be granted for certain enclosed devices which use controlled flame
combustion. This variance allows certain devices burning used oil for energy recovery
or hazardous waste as fuel to be classified as boilers even though they do not meet the
technical definition of "boiler" in ง260.10 (ง260.32). Originally, classification as a boiler
meant very few regulations for the combustion unit because hazardous waste boilers
were exempt from regulation as recycling units. Once EPA established permitting
standards for hazardous waste boilers and industrial furnaces, the implications of being
classified as a boiler were not as significant for burners of hazardous waste fuel. A
variance to be classified as a boiler is still relevant to owners or operators of
nonindustrial boilers who wish to burn off-specification used oil for energy recovery.
A detailed discussion of boilers and industrial furnaces (BIFs) can be found in the
modules "Used Oil" and "Boilers and Industrial Furnaces."
Case-by-case variances can also be used by EPA to increase the regulation of some
hazardous waste recycling activities. Normally, precious metals that are reclaimed
(ง261.6(a)(2)(iv)) are only regulated under Part 266, Subpart F. If these recyclable
materials are not being accumulated or stored in a manner that protects human health
and the environment, the Regional Administrator, in accordance with งง260.40-260.41,
may decide on a case-by-case basis that the materials should be regulated more
stringently under งง261.6(b) and (c). This would subject the recycler to applicable
generator, transporter, and general TSDF standards. These regulations (งง260.30-260.42)
were published in the January 4, 1985, Federal Register (50 FR 614).
2.5 SUMMARY
Anyone may petition EPA to modify or revoke any provision of 40 CFR Parts 260-265
and 268. Petitioners may request that the Regional Administrator grant variances for
certain materials from classification as solid wastes or for devices to be classified as
boilers. The most common petitions are for allowing the use of equivalent test
methods and for delisting hazardous wastes The regulations covering the various
types of petitions and variances, as well as the petition process itself, are found in Part
260, Subpart C.
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes.
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Solid Waste and Emergency Response
(5305W)
EPA530-K-05-016
Introduction to
Permits and Interim Status
(40 CFR Part 270)
United States
Environmental Protection
Agency
September 2005
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PERMITS AND INTERIM STATUS
CONTENTS
1. Introduction 1
2. Regulatory Summary 2
2.1 Applicability 2
2.2 Permitting Process 3
2.3 Permit Conditions 8
2.4 Changes to Permits 9
2.5 Post-Closure Permits 12
2.6 Special Forms of RCRA Permits 14
2.7 Interim Status Requirements 16
3. Special Issues 19
4. Regulatory Developments 20
4.1 Standardized Permit 20
4.2 Permitting Cement Kiln Dust Facilities 20
4.3 Burden Reduction Initiative 20
4.4e-PermittingProject 21
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Permits and Interim Status - 1
1. INTRODUCTION
Owners and operators of facilities that treat, store, or dispose of hazardous waste must obtain an
operating permit, as required by Subtitle C of the Resource Conservation and Recovery Act
(RCRA). Permits are an essential part of the RCRA Subtitle C hazardous waste program. They
define the conditions and requirements that apply to treatment, storage, and disposal facilities
(TSDFs), ensuring that hazardous waste is handled safely and in a controlled manner. This
training module presents an overview of the RCRA permitting process and the requirements that
apply to TSDFs operating under interim status until a permit is issued. The regulations
governing the permitting process are found in 40 CFR Parts 124 and 270.
When you have completed this module, you will be able to describe the RCRA permitting
process. Specifically, you will be able to:
list the types of waste management activities that require a permit
define "existing hazardous waste facility" and "new hazardous waste facility"
identify the CFR sections relevant to Part A and Part B permit application requirements
and briefly describe the difference between the two parts
outline the steps in the permitting process from interim status to receipt of a permit
cite the CFR sections pertaining to permit duration and modifications
identify the differences among permit modification classes
list the special forms of permits
list the types of facilities that may qualify for a permit-by-rule
state the eligibility requirements for interim status and the conditions for termination of
interim status
list the conditions for changes during interim status
ป describe various regulatory developments and current EPA initiatives to improve the
permitting program.
Use this list of objectives to check your knowledge of this topic after you complete the training
session.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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2 - Permits and Interim Status
2. REGULATORY SUMMARY
RCRA ง3005 authorizes and creates the foundation for issuing RCRA permits to TSDFs. The
regulations implementing this statutory section are found in Part 270. Permits are issued by
EPA, authorized states, or both. In this module, "EPA" should be read to include both EPA
Regional Offices and states authorized for purposes of granting permits. Permits give owners
and operators of TSDFs legal authority to treat, store, or dispose of hazardous waste. A RCRA
permit is site-specific and can cover one or more units. The operating requirements for TSDFs
are found in Parts 264, 265, and 266. Parts 264 and 266 apply to facilities that have received
permits. Facilities that have not yet received a permit to operate must comply with the self-
implementing interim status standards of Part 265. The administrative procedures that apply to
the permitting process, including procedures for issuing, modifying, revoking, reissuing, or
terminating permits, are found in Part 124.
2.1 APPLICABILITY
A RCRA permit is required for facilities conducting treatment, storage, and/or disposal of
hazardous waste. A permit defines operating requirements and various provisions specific to the
needs of the permit applicant depending on the treatment, storage, or disposal activities being
conducted at the facility.
Certain hazardous waste treatment, storage, or disposal activities and facilities do not require a
permit. The following discussion addresses the activities that do not require a permit and
specific exclusions from permit requirements.
SPECIFIC EXCLUSIONS FROM PERMIT REQUIREMENTS
In a few narrowly defined cases, a facility that would otherwise be considered to be treating,
storing, or disposing of hazardous waste is not required to obtain a RCRA permit. These
exceptions are listed in ง270.1(c)(2) and include:
generators who accumulate hazardous waste on site for less than the time periods
provided in ง262.34
farmers who dispose of pesticide hazardous waste from their own use as provided in
ง262.70
persons who own or operate facilities solely for the treatment, storage, or disposal of
hazardous waste excluded by ง261.4 or ง261.5
owners and operators of totally enclosed treatment facilities as defined in ง260.10
owners and operators of elementary neutralization units or wastewater treatment units as
defined in ง260.10
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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Permits and Interim Status - 3
transporters storing manifested shipments of hazardous waste in containers meeting the
requirements of ง262.30 at a transfer facility for a period of 10 days or less
persons adding absorbent material to hazardous waste in a container (as defined in
ง260.10) and persons adding waste to absorbent material in a container (provided that
these actions occur at the time the waste is first placed in the container and comply with
งง264.17(b), 264.171, and 264.172)
universal waste handlers and transporters managing wastes subject to regulation under
Part 273
owners and operators performing treatment or containment activities taken during
immediate response to a discharge of a hazardous waste, an imminent and substantial
threat of a discharge of a hazardous waste, or a discharge of a material which when
discharged becomes a hazardous waste.
For more details about TSDFs, see the module entitled Introduction to Treatment, Storage, and
Disposal Facilities.
2.2 PERMITTING PROCESS
A permit establishes the site-specific administrative and technical standards to which a TSDF
must adhere in order to legally manage hazardous waste. A lengthy permit application and
review process ensures that each site receives specific analysis concerning hazardous waste
management at that location.
PERMIT APPLICATION
Owners and operators of facilities that fall under the permitting regulations are required to
submit a comprehensive permit application covering all aspects of the design, operation, and
maintenance of the facility. The application provides EPA valuable information which will
ensure compliance with Subtitle C regulations through the development of a facility-specific
permit. Permits are written to address the specific geography of the facility, the types of
hazardous waste management units, and the specific wastestreams that will be managed at the
facility. The permit application consists of two parts, Part A and Part B.
Part A
Part A of the permit application is submitted on a designated form, Form 8700-23. The basic
Part A information requirements are presented in ง270.13.
Examples of Part A information include:
activities conducted by the applicant that require the owner/operator to obtain a permit
under RCRA
name, mailing address, and location of the facility
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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4 - Permits and Interim Status
up to four North American Industry Classification System (NAICS) codes that best
describe facility activities
descriptions of the processes to be used for treating, storing, and/or disposing of
hazardous waste and the design capacity of these items or units
identification of the hazardous wastes to be managed at the facility
list of all permits received or applied for under other regulatory programs
topographic map of the facility.
PartB
Part B information is submitted in narrative form. It includes general information requirements
for all hazardous waste management facilities, as well as unit-specific information. The Part B
information requirements presented in งง270.14 through 270.27 reflect the standards
promulgated in Parts 264 and 266. Section 270.14(b) lists the general information requirements
that all hazardous waste management facilities must submit in Part B of the permit application,
including:
general description of the facility
chemical and physical analyses of the wastes to be handled at the facility
copy of the waste analysis plan
description of the security procedures and copy of the inspection schedule
copy of the contingency plan
description of procedures, structures, or equipment used at the facility to prevent releases
to the environment
description of precautions to prevent accidental ignition or reaction of ignitable, reactive,
or incompatible waste
facility location information such as proximity to a seismic area or a 100-year floodplain.
Owners and operators are required to provide information regarding the placement of hazardous
waste and any resultant releases (ง270.14(c) and (d)). These regulations are designed to prevent
or remediate releases into the environment from land-based hazardous waste management units
and solid waste management units (SWMUs). This information is then used as part of the
corrective action process. Details of this process are provided in the module entitled RCRA
Corrective Action.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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Permits and Interim Status - 5
Owners and operators must also submit unit-specific information for each hazardous waste
management unit at the facility. Sections 270.15 through 270.27 correspond to Part 264,
Subparts I through X, AA, BB, CC, and DD, as well as Part 266, Subpart H. For example, if a
TSDF manages hazardous waste in containers, the owner and operator must provide a
description of the container storage containment design and sketches to demonstrate compliance
with the 50-foot buffer zone requirement (ง264.176). Owners and operators may be required to
submit additional information pursuant to ง270.10(k) for the purpose of establishing permit
conditions under the omnibus provision in RCRA ง3005(c)(3) (งง270.32(b)(2) and 270.50(d)).
The omnibus provision allows the Agency to establish conditions not specified in Part 264 or
266 in a permit that are necessary to protect human health and the environment.
TIME FRAME FOR PERMIT APPLICATION SUBMISSION
Owners and operators of facilities who wish to begin managing hazardous waste for the first time
(i.e., new hazardous waste management facilities) must receive a RCRA permit before the
facility is allowed to treat, store, or dispose of hazardous waste. Owners and operators of new
hazardous waste management facilities must submit Parts A and B of the permit application at
least 180 days before physical construction of the facility is expected to commence (ง270. l(b)).
However, it typically takes several years for EPA to issue a permit. Owners and operators
should apply for a permit early in their planning process because physical construction cannot
commence until the permit is issued (ง270.10(f)).
PERMIT APPLICATION PROCEDURES
EPA has the authority to issue or deny permits subject to the permit application process (Figure
1). Members of the public and other interested parties can contribute valuable information and
ideas that improve the quality of both agency decisions and permit applications. EPA believes
that public participation is a vital component of the permitting process. The regulations
governing the administrative procedures for permitting, including public participation, are found
in Part 124.
PUBLIC PARTICIPATION
EPA has integrated public involvement in all stages of the permitting process, including the pre-
application meeting, public comment and response periods, and public hearings. Through all of
these steps, the public can engage facility owners and operators and regulators in a dialogue to
become educated about the facility and express their concerns. EPA also encourages public
participation activities that occur outside the formal permitting process. Citizens can contact
environmental, public interest, and civic and community groups that have an interest in the
facility and become involved in their activities. The permit applicant may also create informal
opportunities for public input and dialogue.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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6 - Permits and Interim Status
Figure 1
MAJOR STEPS IN THE PERMIT PROCESS
EXISTING FACILITY
NEW FACILITY
Applicant submits its Part A
application and notification:
Interim Status ง270.10(e)
Facility seeking a permit must hold a
pre-application meeting, providing a
minimum of 30 days notice prior to the
meeting ง124.31
Interim status facilities that have not
yet submitted their Part B must hold a
pre-application meeting ง124.31
Applicant submits Part A and
Part B application ง270.10(f)
Applicant submits Part B application
EPA publishes notice that a Part B permit application has been submitted ง124.32
EPA determines application is complete ง124.3(c)
EPA issues Draft Permit or Notice of Intent to Deny Permit ง124.6
Public notice; 45 days for comments ง124.10(b)
Public hearing if any adverse comments, or if specifically requested งง124.11,124.12
Final decision ง124.15(a) and response to comments ง124.17
Appeals may be filed within 30 days of the final decision ง124.19
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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Permits and Interim Status - 7
PRE-APPLICATION MEETING
The public participation provisions require prospective applicants to hold an informal public
meeting before submitting a RCRA permit application. The permit applicant should select a
meeting time, date, and location that are convenient to the public. The permit applicant must
provide notice of the pre-application meeting at least 30 days prior to the meeting in a manner
that is likely to reach all members of the affected community. The applicant must advertise the
meeting in the newspaper, through a broadcast announcement, and on a sign posted at or near the
property. At the meeting, the owner and operator must describe the facility in a level of detail
that is practical at the time of the meeting to give the public enough information to understand
the facility operations and potential impacts to human health and the environment. The permit
applicant must submit with the permit application, details of the meeting and a list of all
attendees, which is used as the facility mailing list. Upon receipt of the permit application, EPA
must send a notice to everyone on the facility mailing list specifying where the public can
examine the application.
THE DRAFT PERMIT, PUBLIC COMMENT PERIOD, AND PUBLIC HEARING
Once EPA has received a complete permit application, they will decide whether to issue a draft
permit or a notice of intent to deny. In either case, they must notify the public of their decision
and announce the opening of a minimum 45-day public comment period. EPA must print the
notice in a local paper, broadcast the notice over a local radio station, and send a copy to the
mailing list recipients and relevant agencies. EPA must also prepare a fact sheet or statement of
basis regarding its decision. The fact sheet must explain the factual, legal, methodological, and
policy issues considered in making the decision to issue or deny the permit.
Any person may request a public hearing during the comment period. EPA must hold a hearing
if someone submits a written notice of opposition to the draft permit and a request for a hearing,
or if the public demonstrates a significant degree of interest in the draft permit. EPA may also
hold a public hearing at its own discretion. The Agency must notify the public at least 30 days
prior to the hearing.
The comment period on the draft permit allows public submission of written concerns and
suggestions to EPA. EPA must consider all comments when making the final decision.
Furthermore, the Agency must describe and respond to all significant comments raised during
the comment period.
After the public comment period closes, EPA will review and evaluate all comments and issue a
final permit decision. The Agency must send a notice of decision to the facility owner and
operator and any person who submitted comments or requested notice on the final permit
decision.
In certain instances, RCRA permits can be the subject of intense debate. The public
participation requirements allow EPA to require a facility owner and operator to set up an
information repository at any time during the permitting process or the life of the permit. The
repository will hold all information and documents that EPA decides are necessary to adequately
inform and educate the public. EPA intended to use the information repository requirement
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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! - Permits and Interim Status
sparingly on a case-by-case basis when a significant amount of public concern has surfaced or
where the community has unique information needs (60 FR 63417, 63425; December 11, 1995).
UNIT AND FACILITY PERMITS
EPA may issue or deny a permit for one or more units at a facility without simultaneously
issuing or denying a permit to all units at the facility (งง270. l(c)(4) and 270.29). This means
that a facility may be permitted on a unit-specific basis, rather than as a whole facility.
PERMIT-AS-A-SHIELD
Compliance with a RCRA permit during its term is considered compliance, for purposes of
RCRA enforcement, with Subtitle C of RCRA (ง270.4(a)). This provision means that an owner
and operator complies with the requirements specified in the permit, rather than with the
corresponding regulations as promulgated in Parts 264 and 266. This is referred to as the
"permit-as-a-shield" provision. A permittee must still comply with requirements that are
imposed by the statute itself, the land disposal restrictions promulgated under Part 268, and the
liner and leak detection requirements for certain land disposal units (57 FR 3462; January 29,
1992). In addition, the definition of permit-as-a-shield was amended to require facilities to
comply with Subparts AA, BB, and CC of Part 265 (59 FR 62952; December 6, 1994).
2.3 PERMIT CONDITIONS
Part 270, Subpart C, defines the conditions that apply to all RCRA permits. These conditions are
either incorporated expressly into the permit or are included by regulatory citations. Section
270.30 lists the conditions that apply to all RCRA permits:
The permittee must comply with all conditions of the permit, except when an emergency
permit issued under ง270.61 authorizes noncompliance.
The permittee must reapply if he or she is to continue a regulated activity after the
existing permit expires.
The permittee may not use as a defense in an enforcement action that the only way to
maintain compliance with the permit was to halt or reduce the permitted activity.
The permittee must take all reasonable steps to minimize adverse impacts on human
health and the environment.
The permittee must ensure proper operation and maintenance of the facility.
The permit may be modified, revoked and reissued, or terminated for cause.
The permit does not convey any property rights to the permittee.
The permittee must provide any relevant information requested.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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Permits and Interim Status - 9
The permittee must allow the facility to be inspected.
The permittee must conduct appropriate sampling procedures, and retain results of all
monitoring.
The permittee must comply with the reporting requirements of ง270.30(1).
The permittee, when required by EPA, must establish and maintain an information
repository that contains all documents, reports, and data important for public
understanding.
The permittee must sign and certify applications, reports, or information submitted.
The Agency can also establish conditions not specified in Part 264 or 266 through use of the
omnibus authority (RCRA ง3005(c)(3)).
COMPLIANCE SCHEDULES
EPA can issue permits to interim status facilities that will not initially be in compliance with the
Part 264 standards through the use of schedules of compliance. In general, compliance
schedules in permits should be used to allow the construction or installation of equipment that is
not required under Part 265, but is required to comply with Part 264. Compliance schedules
must be specific, enforceable, allow for public notice and comment, and allow the applicant
additional time only where it is legitimately needed. The schedules should include design and
construction specifications, interim milestones, and a date for completion. For facilities that
must conduct corrective action, EPA is required to develop schedules of compliance where the
cleanup cannot be completed prior to permit issuance (ง264.101(b)).
2.4 CHANGES TO PERMITS
Part 270, Subpart D, establishes the steps necessary to make changes to a permit. The
procedures for making changes to a permit will vary depending on whether EPA or the
owner/operator is initiating the change. The three basic situations for changing a permit after
issuance are:
permit modification at the request of the permittee
permit modification at the request of EPA
modification of the permit
revocation and reissuance of the permit
termination of the permit.
The procedures for each of these actions are discussed below.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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10 - Permits and Interim Status
FACILITY-INITIATED PERMIT MODIFICATIONS
Section 270.42 contains the regulations that apply to the modification of a permit at the request
of the permittee. There are three classifications of permit modifications Classes 1, 2, and 3
that correspond to the degree the permit will be modified. Appendix I to ง270.42, entitled
Classification of Permit Modification, describes the type of permit modification necessary to
change a permit provision when there is a transfer of a permit (i.e., change in ownership) or the
permittee requests a permit modification. For all modifications, the permittee submits
information to EPA that describes the exact change to be made to the permit conditions,
identifies whether the modification is Class 1, 2, or 3, and provides the applicable permit
application information. Class 1 and 2 modifications do not substantially alter existing permit
conditions or significantly affect the overall operation of a facility. Class 1 covers routine
changes, such as changing typographical errors, upgrading plans and records maintained by the
facility, or replacing equipment. Class 2 modifications address common operating changes
needed to maintain a facility's ability to manage a waste safely or to conform with new
regulatory requirements. Class 3 changes cover major modifications that substantially alter the
facility or its operations, such as significantly increasing the facility's capacity to treat, store, or
dispose of hazardous waste.
Prior approval of the Agency is not required for most Class 1 modifications, although an asterisk
in the Appendix I table indicates a Class 1 change that does require prior Agency approval (see
ง270.42(a)). For both Class 2 and Class 3 modifications, prior Agency approval is required, and
a procedure similar to the permitting process is followed.
For a modification not explicitly listed in Appendix I, the permittee may submit a Class 3
modification or request a determination by EPA that the modification be reviewed and approved
as a Class 1 or 2 modification (ง270.42(d)).
According to ง270.42(g), fully permitted facilities managing newly regulated hazardous wastes
or hazardous wastes in newly regulated units must submit a Class 1 modification by the date on
which the waste or unit becomes subject to the new requirements. The permittee must also be in
compliance with the applicable standards of Parts 265 and 266. If a Class 2 or 3 modification is
required, the permittee must also submit a complete permit modification request within 180 days
after the effective date of the rule that subjected the waste or unit to Subtitle C regulation.
Finally, for all land disposal units that are newly regulated, the permittee must certify that the
unit is in compliance with all applicable requirements of Part 265 for groundwater monitoring
and financial responsibility 12 months after the effective date of the rule.
Public Participation
As with the initial permit process, permit modifications can raise public concerns that must be
addressed through public participation. Public participation responsibilities and activities vary
depending on who initiated the modification and the degree to which the modification changes
the facility permit. When a modification is proposed, only the permit conditions subject to
modification are reopened for public comment.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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Permits and Interim Status - 11
The only public involvement requirement for Class 1 modifications is that within 90 days of
implementing a change the facility must send a notice to all parties on the facility mailing list.
Class 2 modifications involve public notice in a local newspaper, a 60-day comment period, and
a public meeting held no earlier than 15 days into the comment period and no later than 15 days
before it ends. At any time during the Class 2 procedures, EPA may reclassify the request as a
Class 3 modification if there is significant public concern or if EPA determines the modification
is too complex for the Class 2 procedures. Class 3 modifications are subject to all public
participation provisions, including the pre-application meeting requirement.
AGENCY-INITIATED PERMIT MODIFICATIONS
There are two types of EPA-initiated changes to permits: permit modification or revocation and
reissuance of a permit (ง270.41). When a permit is modified, only the conditions subject to
modification are reopened. If a permit is revoked and reissued, the entire permit is reopened and
can be revised, and the permit is reissued for a new term. The Agency may modify a permit, or
revoke and reissue if the permittee agrees, for the following reasons: if there have been
alterations or additions to the facility; there is new information that was not available at the time
of permit issuance; new statutory or regulatory requirements were promulgated; or the Agency
has cause to initiate a compliance schedule under ง270.33. The Agency may also modify a land
disposal facility's permit during the permit's five-year review. EPA may either modify a permit
or revoke and reissue a permit if cause for termination of the permit exists pursuant to ง270.43 or
if the permit is transferred (ง270.4 l(b)).
TERMINATION OF PERMITS
EPA can terminate a permit during its term or deny a permit renewal application if any of the
following causes occur (ง270.43):
noncompliance by the permittee with any condition of the permit
failure to disclose all relevant facts or misrepresentation of any relevant facts
determination that a permitted activity endangers human health and the environment.
EPA must follow the applicable Part 124 administrative procedures or state procedures when
terminating a permit.
EXPIRATION AND CONTINUATION OF PERMITS
Part 270, Subpart E, specifies the requirements for the duration of permits and the conditions
under which an expiring permit can continue. RCRA permits are effective for a fixed term that
is not to exceed 10 years (ง270.50(a)). EPA, however, can issue a permit for less than the
allowable term. Section 270.50(d) requires EPA to review permits for land disposal facilities
five years after the date of permit issue or reissue.
Section 270.51 lists the conditions under which EPA can extend an expiring or expired permit.
An expired permit can be continued when the permittee has submitted a timely application for a
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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12 - Permits and Interim Status
new permit before the expiration date of the previous permit, provided the delay of the reissue
was through no fault of the permittee. Permits that are continued remain fully effective and
enforceable (ง270.5l(b)).
2.5 POST-CLOSURE PERMITS
Owners and operators of surface impoundments, landfills, land treatment units, and waste pile
units that received wastes after July 26, 1982, or that certified closure (according to ง265.115)
after January 26, 1983, must receive post-closure permits, unless the owner and operator
demonstrates closure by removal and decontamination as provided under ง270.1(c)(5) and (6).
Additionally, a post-closure permit is not required if the owner and operator obtain an
enforceable document in lieu of a post-closure permit under ง270. l(c)(7). The denial of a permit
for the active life of a hazardous waste management facility does not affect the requirement to
obtain a post-closure permit under this section. If a post-closure permit is required, the permit
must address applicable Part 264 groundwater monitoring, unsaturated zone monitoring,
corrective action, and post-closure care requirements.
On October 22, 1998, EPA established information submission requirements for post-closure
permits at ง270.28 (63 FR 56710). Prior to this rule, the information submission requirements of
Part 270 did not differentiate between operating permits and post-closure permits. EPA
recognized that certain aspects of the Part 270 information are important for ensuring proper
post-closure care, while others are generally less relevant. As a result, an owner and operator
seeking a post-closure permit must only submit the information required under ง270.28, unless
otherwise specified by EPA. The specific items required in post-closure permit applications are
as follows:
a general description of the facility
a description of security procedures and equipment
a copy of the general inspection schedule
justification for any request for waiver of preparedness and prevention requirements
facility location information
a copy of the post-closure plan
documentation that required post-closure notices have been filed
the post-closure cost estimate for the facility
proof of financial assurance
a topographic map
information regarding protection of groundwater
information regarding SWMUs at the facility.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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Permits and Interim Status - 13
Owners and operators who obtain an enforceable document in lieu of a post-closure permit also
have to submit only the information required by ง270.28, unless otherwise specified by EPA
(ง265.121(a)(l)).
ENFORCEABLE DOCUMENTS IN LIEU OF POST-CLOSURE PERMITS
If an alternative enforcement mechanism is used in lieu of a post-closure permit, the regulated
units must still meet the same substantive requirements that apply to units receiving post-closure
permits. Specifically, the enforceable document must impose the requirements for submission of
information relevant to closing facilities that need permits only for post-closure care
(ง265.121(a)(l)); Part 264, Subpart F, requirements for groundwater monitoring and corrective
action for releases to groundwater (ง265.121(a)(3)); and facility-wide corrective action
requirements for releases from SWMUs under ง264.101 (ง265.121(a)(2)). The requirements
relating to the maintenance of the closed unit and financial responsibility need not be addressed
in the enforceable document. Rather, the relevant portions of Part 265, Subparts G and H will
continue to apply.
The term enforceable document includes federal enforcement orders issued under RCRA
งง3008(a) and 3008(h), post-closure plans issued by EPA which are enforceable under ง3008(a),
orders issued under CERCLA ง106, and decision documents describing Fund-financed response
actions under CERCLA ง104.
The use of an enforceable document provides opportunities for public participation that differ
from those established in the permit issuance procedures. The new procedures reflect the
Agency's efforts to provide as much public participation as possible, but also represent the
awareness that most of the alternate mechanisms used to address corrective action will be
enforcement orders.
EPA did not establish detailed procedural requirements, including minimum comment period
times, for public involvement associated with the use of enforceable documents. EPA used this
approach because it did not wish to restrict existing state or federal approaches that have proven
to be successful.
When using an enforceable document, EPA requires that meaningful opportunity for public
involvement occurs at three key stages: when EPA first becomes involved in the cleanup process
as a regulatory or enforcement matter, when EPA is ready to approve a remedy for the site, and
when EPA is ready to decide that remedial action is complete at the site. The Agency does not
limit public involvement to these stages of cleanup; rather, it encourages early, open, and
continuous public participation as is provided by the permitting process.
EPA requires that all public involvement be meaningful. Meaningful public participation is
achieved when all impacted parties have ample time to participate in the facility cleanup
decisions and have adequate access to information. Meaningful public participation may require
bilingual notifications or publication of legal notices in city or community newspapers. EPA
recommends that parties responsible for involving the public update the community regularly on
the progress made at cleaning up the facility through community meetings or the use of
electronic bulletin board systems.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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14 - Permits and Interim Status
EPA can delay or waive the public participation requirements when using an enforceable
document in lieu of a permit if even a short delay in the implementation of the remedy would
adversely affect human health and the environment.
2.6 SPECIAL FORMS OF RCRA PERMITS
Part 270, Subpart F, contains the regulations that apply to special forms of permits. Special
forms of permits under Subpart F include: permits-by-rule; emergency permits; permits for land
treatment demonstrations; interim permits for underground injection control (UIC) wells;
research, development, and demonstration (RD&D) permits; and hazardous waste combustion
permits. See the module entitled Hazardous Waste Combustion for a discussion on the
permitting of hazardous waste combustion units.
PERMITS-BY-RULE
Certain types of facilities managing hazardous waste may qualify for a RCRA permit without
submitting a permit application. This is known as "permit-by-rule." Having a permit-by-rule
means that by following certain portions of the regulations promulgated under other
environmental statutes and a portion of the RCRA regulations, a facility is deemed to have the
equivalent of a RCRA permit. The owner and operator must follow the conditions listed in
ง270.60 for a permit-by-rule. Permits-by-rule are available for:
ocean disposal vessels and barges
UIC wells
publicly owned treatment works (POTW).
In all three of these cases, specific provisions of other environmental regulatory programs must
be met in order to operate under a permit-by-rule. Ocean disposal vessels and barges must have
a permit issued under Part 220, underground injection wells must have a permit issued under Part
144 or 145, and POTWs must have a National Pollution Discharge Elimination System (NPDES)
permit under Part 122.
EMERGENCY PERMITS
Pursuant to ง270.61, emergency permits are temporarily issued when EPA determines that a
situation presents an imminent and substantial endangerment to human health or the
environment. These permits may be issued to a nonpermitted facility to allow treatment, storage,
or disposal of hazardous waste, or to a permitted facility to allow treatment, storage, or disposal
of a hazardous waste not covered by an effective permit. The duration of an emergency permit
cannot exceed 90 days.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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Permits and Interim Status - 15
PERMITS FOR LAND TREATMENT DEMONSTRATIONS
Before a land treatment facility can obtain a final permit, the owner and operator must
demonstrate that hazardous constituents in a waste can be completely degraded, transformed, or
immobilized in the treatment zone (ง264.272). The purpose of land treatment demonstrations
using field tests or laboratory analyses is to allow an owner and operator to meet the treatment
demonstration requirements in ง264.272 so that a final permit may be obtained. The land
treatment demonstration permit may be issued as a treatment or a disposal permit. It may cover
only the field tests or laboratory analyses, or it may also include conditions pertaining to unit
design, construction, operation, and maintenance.
UIC WELLS
Pursuant to ง270.64, EPA may issue an interim UIC permit to any owner and operator of Class I
injection wells injecting hazardous waste in a state in which no UIC program has been approved
or promulgated. The term of the permit is limited to two years. Owners and operators of Class I
injection wells must also follow applicable requirements of the Safe Drinking Water Act
(SDWA).
RESEARCH, DEVELOPMENT, AND DEMONSTRATION PERMITS
Section 270.65 contains special permitting requirements for RD&D permits for hazardous waste
treatment facilities using innovative and experimental treatment technologies for which no
standards exist in Part 264 or 265. These permits are issued for a period of up to one year, and
may be renewed up to three times, with each renewal not exceeding one year.
REMEDIAL ACTION PLANS (RAPs)
In ง270.68, EPA refers to the requirements in Part 270, Subpart H, for a special form of RCRA
permit called a remedial action plan or RAP. A RAP is a permit that can be obtained instead of a
traditional permit issued pursuant to งง270.3 through 270.66. This type of permit authorizes
owners and operators to treat, store, or dispose of hazardous remediation waste at a remediation
waste management site. A RAP may be a stand-alone document or may be submitted as part of
another document such as remedy decision documents utilized in the cleanup process.
RAPs cannot be used for treatment activities that use combustion of remediation waste at the
remediation waste site. Also, permitted facilities may use the RAP format for remediation
activities; however, the RAP is incorporated into the facility's permit as a permit modification.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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16 - Permits and Interim Status
2.7 INTERIM STATUS REQUIREMENTS
EPA recognized that it would be impossible for the Agency and authorized states to issue
permits to all hazardous waste management facilities before the RCRA Subtitle C program
became effective in November 1980. In RCRA ง3005(e), Congress established provisions to
treat certain facilities as though they had been issued a permit until final administrative action
was taken on their permit applications. This statutory grant of a permit is referred to as "interim
status." Interim status regulations are found in Part 270, Subpart G, and Part 265.
QUALIFYING FOR INTERIM STATUS
Hazardous waste management facilities that are already operating on the effective date of the
statutory or regulatory amendments that cause the facility or unit to become subject to regulation
are considered to be existing facilities. Existing facilities satisfy the requirement to apply for a
permit by submitting only Part A of the permit application (ง270. l(b)). The timely submission
of a RCRA ง3010 notification (EPA Form 8700-12) and Part A of the permit application
qualifies owners and operators of existing facilities for interim status.
Land disposal facilities qualifying for interim status must submit Part B of the permit application
and certify compliance with all applicable groundwater monitoring and financial responsibility
requirements within 12 months of the date the facility first becomes subject to regulation
(ง270.73(d)). Other types of facilities qualifying for interim status should submit the Part B
permit application in accordance with ง270.73(c) through (g) or when requested by EPA. EPA
must give at least six months notice when requesting a Part B permit application (ง270.10(e)(4)).
Applicants may submit Part B of the permit application voluntarily at any time. An interim
status facility must comply with Part 265 and the conditions described in its Part A until the final
permit determination is made (ง270.71).
CHANGES DURING INTERIM STATUS
The owner and operator of an interim status facility must follow the procedures in ง270.72 in
order to make any changes to the facility. Section 270.72(a)(l) through (6) establishes the types
of changes that can be made, as well as the criteria under which the changes may occur. An
interim status facility may make the following changes, provided the owner and operator submits
a revised Part A that includes justification for the proposed changes before they are made:
manage hazardous wastes not specified in the Part A
increase design capacity
change or add processes
change the owner and operator
make changes to comply with a ง3008(h) corrective action order
add newly regulated units.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
-------
Permits and Interim Status - 17
Reconstruction
Section 270.72(b) placed certain limitations on the extent of any changes that can be made under
ง270.72(a). Changes to an interim status facility may not be made if they amount to
reconstruction of the facility. Reconstruction is defined as occurring when:
Capital Investment in changes to the facility
> 50%
Capital Cost of a comparable new facility
Any changes to an interim status facility that require a capital expenditure exceeding 50 percent
of the cost of construction of a comparable new facility is considered reconstruction.
Exceptions
In certain circumstances, EPA has exempted interim status changes from the reconstruction
prohibition. The Agency promulgated two exemptions prior to March 1989:
changes necessary to comply with the land disposal restrictions
changes necessary to comply with hazardous waste tank regulations.
In the March 7, 1989, Federal Register, EPA added the following exemptions from the
reconstruction limit (54 FR 9596):
changes that EPA determines are necessary to comply with federal, state, or local
requirements
changes that are necessary to allow a facility to continue to manage newly listed or
identified wastes
changes made during closure in accordance with an approved closure plan
changes made to comply with an interim status corrective action order
addition of newly regulated units (e.g., boilers or industrial furnaces).
In addition, on June 19, 1998, EPA added changes necessary to comply with the National
Emission Standards for Hazardous Air Pollutants from Hazardous Waste Combustors under 40
CFR Part 63, Subpart EEE, as an activity reconstruction limit exemption (63 FR 33782).
All of these exemptions from the reconstruction limit are still considered changes during interim
status and require the facility to submit a revised Part A.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
-------
18 - Permits and Interim Status
LOSS OF INTERIM STATUS
Pursuant to ง270.73, interim status is terminated when EPA makes a final determination on Part
B of the permit application (i.e., issue or denial) or when the facility fails to furnish Part B of the
permit application on time or in full (ง270.10(e)(5)).
Due to the small number of permits issued for interim status facilities prior to passage of the
Hazardous and Solid Waste Amendments (HSWA) in 1984, Congress implemented a statutory
timetable for submission of Part B permit applications. Those facilities that failed to meet this
"call-in deadline" lost their interim status and had to close. These deadlines are found in
ง270.73(c) through (g) and include submittal of a Part B and demonstration of compliance with
the groundwater monitoring and financial assurance requirements. The only facilities not
covered by the HSWA-mandated schedule are facilities that became newly regulated as a result
of a statutory or regulatory change after November 8, 1984 (other than land disposal facilities).
These facilities are required to submit their Part B when requested by EPA (at least six months
notice must be given).
EPA has also clarified that interim status facilities that have clean closed retain interim status
until a final decision is made on the facility's Part B application (63 FR 56710, 56716; October
22, 1998). Issuance of an enforceable document in lieu of a post-closure permit also does not
terminate interim status.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
-------
Permits and Interim Status - 19
3. SPECIAL ISSUES
Mobile treatment units (MTUs) are designed to move from facility to facility treating waste on
site. These units must comply with the applicable unit standards for interim status (Part 265 or
266) or permitted facilities (Part 264 or 266). RCRA permits are site-specific; thus, a MTU
alone (i.e., the unit itself) cannot receive a permit (or interim status) but must be permitted (or
receive interim status) for use at each location.
MTUs, like other treatment units, may qualify for an exemption from permitting requirements.
If a MTU meets the requirements for a wastewater treatment unit, elementary neutralization unit,
generator accumulation tank, or any other RCRA permit exemption, the facility would not be
required to obtain a permit for that unit.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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20 - Permits and Interim Status
4. REGULATORY DEVELOPMENTS
In order to improve the permitting process, EPA continues to develop ways to increase the
efficiency and effectiveness of environmental permitting programs.
4.1 STANDARDIZED PERMITS
The RCRA Standardized Permit final rule was published in the Federal Register in Fall 2005.
The rule standardizes the federal hazardous waste permitting process by simplifying certain
administrative procedures, and the permit renewal and modification processes. The new
streamlined system is expected to reduce paperwork and save states and industry more than $3
million a year while maintaining stringent hazardous waste management requirements.
Facilities that are eligible to apply for a standardized permit include: RCRA treatment, storage,
and disposal facilities (TSDFs) that generate and then store or non-thermally treat hazardous
waste on site in tanks, containers, or containment buildings; and TSDFs that receive hazardous
waste generated off site by a facility under the same ownership as the receiving facility, and then
manage that waste in tanks, containers, or containment buildings.
4.2 PERMITTING CEMENT KILN DUST FACILITIES
On August 20, 1999, EPA proposed management standards for cement kiln dust (CKD) designed
to protect groundwater and control releases of fugitive dust (64 FR 45632). EPA proposed to
modify the requirements in Part 270 by adding regulations (i.e., proposed ง270.69) specific to
the permitting of cement manufacturing facilities that manage CKD. Only those facilities that do
not comply with the proposed CKD management standards will be required to obtain a CKD
permit pursuant to ง270.69. A CKD permit will require a facility to comply with the proposed
CKD standards and any additional requirements specified by EPA that are necessary to protect
human health and the environment. However, permits issued pursuant to ง270.69 are different
from other Part 270 permits because they do not impose facility-wide corrective action, and EPA
can modify or waive the permit application and issuance requirements in Parts 124 and 270,
except for the public participation procedures.
4.3 BURDEN REDUCTION INITIATIVE
On January 17, 2002, EPA proposed to reduce the recordkeeping and reporting burden imposed
by RCRA on the states, the public, and the regulated community to meet the federal government-
wide goal established by the Paperwork Reduction Act (PRA) (67 FR 2518). The PRA
establishes a federal government-wide goal of reducing burden 40 percent from the total burden
imposed annually on September 30, 1995. If finalized, the Burden Reduction Initiative will
reduce the reporting requirements for generators and TSDFs by eliminating or modifying non-
essential paperwork.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
-------
Permits and Interim Status - 21
EPA proposes to reduce the self-inspection frequency for hazardous waste tanks from daily to
weekly and to eliminate the RCRA overlap with Occupational Safety and Health Administration
(OSHA) training requirements. Additionally, EPA proposes to change the land disposal
restriction (LDR) paperwork requirements by eliminating the need for generators to conduct the
waste determination required in ง268.7(a)(l) and eliminating the need for treatment and
recycling facilities to send notifications and certifications required in ง268.7(b)(6) to EPA,
provided the information is kept in facility records.
4.4 E-PERMITTING PROJECT
EPA is examining e-Permitting, or electronic permitting, for the RCRA program. The e-
Permitting Project will improve the effectiveness and efficiency of the RCRA permitting
program by assisting states that are investing in e-Permitting systems, working with states to
pilot RCRA e-Permitting approaches, developing RCRA e-Permitting tools, and facilitating the
sharing of permit information with the public. This project covers permitting activities from
providing guidance and preparing applications to issuing permits and compliance reporting. As
part of the project, EPA will be evaluating existing state e-Permitting systems to better
understand system capabilities. They will also be talking to state permit applicants and software
vendors to get input on parts of the RCRA permitting process (e.g., permit modifications) that
might best lend themselves to electronic processing.
RCRA regulated entities will be able to request a RCRA EPA identification number for new
facilities or supply revisions to their Notification of Regulated Waste Activity submissions
through EPA's Central Data Exchange (CDX) Web site. Additionally, EPA is evaluating the use
of CDX to allow facilities to file their RCRA Part A permit applications. Numerous benefits
could come from e-Permitting, such as: reduced paperwork, improved public participation,
improved efficiency, better permit status tracking, improved compliance reporting, better data
accuracy, improved technical assistance, and a more transparent permitting process.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
-------
Pesticides
t and Food
What you
and your family
need to know
CDA '-J"'U'J s>:*11 ^ Erivir:lrlllrt'111^1 Prutซ:iliuii AjjL-ru y
Offic*
U.S. Fr :irl m
U.S. Department o
-------
Pesticides are used to protect food from pests, such as
insects, rodents, weeds, mold, and bacteria. While
pesticides have important uses, studies show that some pes-
ticides cause health problems at certain levels of exposure.
To protect your health, the Environmental Protection
Agency (EPA) sets standards on the amount of pesticides
that may remain on food, if pesticides are applied.
The Food Quality Protection Act, signed into law by
President Clinton in 1996, now sets a tougher standard for
pesticide use on food. EPA will consider the public's overall
exposure to pesticides (through food, water, and in home
environments) when making decisions to set standards for
pesticide use on food.
Infants and children may be more
vulnerable to pesticide exposure
Most importantly, each of these decisions must protect
infants and children, whose developing bodies may be espe-
cially vulnerable to pesticide exposure.
> Since their internal organs are still developing and
maturing, infants and children may be more vulnerable
to health risks posed by pesticides.
> In relation to their body weight, infants and children eat
and drink more than adults, which may increase their
exposure to pesticides in food and water.
^ Certain behaviorssuch as playing on floors or lawns or
putting objects in their mouthsincrease a child's expo-
sure to pesticides used in homes and yards.
By 2006, EPA must review all old pesticides to make
sure that their use on food meets the new, tougher safety
standard. At the same time, the federal government is
encouraging the innovation of safer pesticides that are less
likely to cause health problems.
You and your family have a right to know under the law
that in certain cases, such as significant disruption of U.S.
food production, a pesticide not meeting the safety standard
may be authorized. If this happens, EPA will work with
grocery stores to inform you of such pesticides, foods that
might contain them, and equally nutritious alternatives.
-------
Healthy, Sensible Food
Practices
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Health professionals recommend that
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and vegetables every day along with
a variety of other foods.
What about organic
or IPM-grown food?
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-------
How can I find more
information?
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Ef*A"s HtsiiciEk Righl-toKrow Wc'toile ha* irftimwiion on;
I How the government j
regulates pesticides
I What the pesticide residue j
limits are on food
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to pesticides
What Integrated Pert
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To ciซkT tree aipks d ihis hfuthuft: call (BOD) 190-919*.
-------
B-Post Test Identification and Management of Hazardous Waste Quiz
1. A hospital normally operates as a small quantity generator (SQG). Every three years, this hospital
generates more than 1000 kg of hazardous waste in a month when it conducts a facility-wide clean-out.
Is the hospital subject to all the 40 CFR 262.34 generator requirements every year.
Yes No
2. A listed hazardous waste is mixed with other solid wastes, the mixture is always considered a listed
hazardous waste, and regulated under RCRA.
Yes No
3. A small hospital generates less than 100 kg of hazardous waste a month (20 kg of a F-listed waste,
and 2 kg of a P-listed waste), the hospital would be considered a large quantity generator.
Yes No
4. A hospital is a small quantity generator. As part of their mercury elimination program, a hospital
replaces all of its mercury containing thermostats, vapor lamps, and fluorescent light bulbs with non-
mercury alternatives in the month of October. In doing so, they generate over 1000 kg of such waste.
If the hospital treats these hazardous wastes as universal wastes, do they need to comply with the LQG
requirements during that month.
Yes No
5. A 55-gallon drum contains a mixture of 90% Formaldehyde (U122) and 10% methanol (U154), the
drum should be manifested as a U122 waste since it contains more than 50% formaldehyde.
Yes No
6. A hospital is allowed to collect mercury waste and send it off-site using the scrap metal exemption
under RCRA.
Yes No
-------
7. The federal regulations allow mercury thermometers to be treated as universal waste.
Yes No
8. A hospital determines that a spent solvent is ignitable and thus, a hazardous waste. The sludge
(which is also ignitable) that is formed from the distillation of this spent solvent would be considered a
hazardous waste when sent for reclamation.
Yes No
-------
A-Pre-Test Identification and Management of Hazardous Waste Quiz
Please Identify Yourself by Marking the Appropriate Box
Are you a hospital employee? D
Environmental health and safety n
Security D
Facilities management D
Legal D
Purchasing D
Administration D
Housekeeping D
Other Employee D
Are you an engineering consultant? n
Are you a legal consultant? D
Are you a trade group? D
Are you a product or marketing firm? D
Are you a government employee? D
Federal D
State D
Local D
Tribal D
Other D
1. A hospital normally operates as a small quantity generator (SQG). Every three years, this hospital
generates more than 1000 kg of hazardous waste in a month when it conducts a facility-wide clean-out.
Is the hospital subject to all the 40 CFR 262.34 generator requirements every year.
Yes No
-------
2. A listed hazardous waste is mixed with other solid wastes, the mixture is always considered a listed
hazardous waste, and regulated under RCRA.
Yes No
3. A small hospital generates less than 100 kg of hazardous waste a month (20 kg of a F-listed waste,
and 2 kg of a P-listed waste), the hospital would be considered a large quantity generator.
Yes No
4. A hospital is a small quantity generator. As part of their mercury elimination program, a hospital
replaces all of its mercury containing thermostats, vapor lamps, and fluorescent light bulbs with non-
mercury alternatives in the month of October. In doing so, they generate over 1000 kg of such waste.
If the hospital treats these hazardous wastes as universal wastes, do they need to comply with the LQG
requirements during that month.
Yes No
5. A 55-gallon drum contains a mixture of 90% Formaldehyde (U122) and 10% methanol (U154), the
drum should be manifested as a U122 waste since it contains more than 50% formaldehyde.
Yes No
6. A hospital is allowed to collect mercury waste and send it off-site using the scrap metal exemption
under RCRA.
Yes No
7. The federal regulations allow mercury thermometers to be treated as universal waste.
Yes No
8. A hospital determines that a spent solvent is ignitable and thus, a hazardous waste. The sludge
(which is also ignitable) that is formed from the distillation of this spent solvent would be considered a
hazardous waste when sent for reclamation.
Yes No
-------
-------
Identification and Management of Hazardous Waste
Pre/Post Test
Answer Sheet
1. A hospital normally operates as a small quantity generator (SQG). Every three years, this hospital
generates more than 1000 kg of hazardous waste in a month when it conducts a facility-wide clean-out.
Is the hospital subject to all the 40 CFR 262.34 generator requirements every year.
Yes No
No; a facility only needs to comply with all the 40 CFR ง 262.34 generator requirements during the
month in which it exceeds the 1000 kg threshold which in this case occurs every three years.
2. A listed hazardous waste is mixed with other solid wastes, the mixture is always considered a listed
hazardous waste, and regulated under RCRA.
Yes No
No. Whether or not the mixture is a hazardous waste, depends on whether or not the listed hazardous
waste was listed solely because it exhibited a characteristic and whether the mixture still exhibits a
characteristic.
3. A small hospital generates less than 100 kg of hazardous waste a month (20 kg of a F-listed waste,
and 2 kg of a P-listed waste), the hospital would be considered a large quantity generator.
Yes No
Yes; hospitals that generate more than 1 kg of a P-listed waste are regulated as large quantity
generators since it is acutely toxic.
4. A hospital is a small quantity generator. As part of their mercury elimination program, a hospital
replaces all of its mercury containing thermostats, vapor lamps, and fluorescent light bulbs with non-
mercury alternatives in the month of October. In doing so, they generate over 1000 kg of such waste.
If the hospital treats these hazardous wastes as universal wastes, do they need to comply with the LQG
requirements during that month.
Yes No
No. If the hospital treats these mercury-containing equipment as universal wastes, they would not be
counted in the hospital's hazardous waste stream.
-------
5. A 55-gallon drum contains a mixture of 90% Formaldehyde (U122) and 10% methanol (U154), the
drum should be manifested as a U122 waste since it contains more than 50% formaldehyde.
Yes No
No. It should be manifested as a U122 and a U154 waste. All applicable listings must be included
when identifying mixtures.
6. A hospital is allowed to collect mercury waste and send it off-site using the scrap metal exemption
under RCRA.
Yes No
No. Mercury does not meet the definition of scrap metal under RCRA.
7. The federal regulations allow mercury thermometers to be treated as universal waste.
Yes No
No. Mercury thermostats and lamps only.
8. A hospital determines that a spent solvent is ignitable and thus, a hazardous waste. The sludge
(which is also ignitable) that is formed from the distillation of this spent solvent would be considered a
hazardous waste when sent for reclamation.
Yes No
No. Sludges exhibiting a characteristic of hazardous waste are not solid wastes if reclaimed. Thus, they
cannot be hazardous wastes.
-------
United States
Environmental Protection
Agency
Enforcement and
Compliance Assurance
(2221-A)
EPA 300-B-00-006
March 2000
Protocol for Conducting
Environmental Compliance
Audits of Storage Tanks
under the Resource
Conservation and
Recovery Act
EPA Office of Compliance
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
PS
Tnpipna's!fyr.na"i^ni,T!;!!W
!IT1lilHII!|ii|E"!tl
The statements in this document are intended solely as guidance to aid regulated entities in complying with the
regulations. The guidance is not a substitute for reading the regulations and understanding all the requirements as it
applies to your facility. This guidance does not constitute rulemaking by the U.S. EPA and may not be relied on to
create a substantive or procedural right or benefit enforceable, at law or in equity, by any person. U.S. EPA may
decide to update this guide without public notice to reflect changes in U.S. EPA's approach to implementing the
regulations or to clarify and update,text. To determine whether U.S. EPA has revised this document and/or to obtain
copies, contact U.S. EPA's Center for Environmental Publications at 1(800) 490-9198. Additional information
regarding U.S. EPA Hotlines and further assistance pertaining to the specific rules discussed in this document can be
found at the end of the Key Compliance Requirements located in Section II. The contents of this document reflect
regulations issued as of March 12, 2000.
U.S. EPA would tike to gratefully acknowledge the support of the U.S. Army Corps of Engineers Construction
Engineering Research Laboratory (CERL) for providing suggestions for overall format of this document. The Office
of Compliance at U.S. EPA gratefully acknowledges the contribution of U.S. EPA's program offices and the U.S.
EPA's Office of General Counsel in reviewing and providing comment on this document.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
f,^f pq^^iasp?^^ f Ofi'Sfl'"! f fi fifl i f!1 i H \l fiTfDF 1'lRli ,: rn|!CR?4>;Jrpi;pllillI"*jPl[f
^plgjffltiifepllIgiVts.'' jl!l^''"1j,lff'!i'y9Ji!'p^
Notice [[[ inside cover
Acknowledgement [[[ inside cover
Section 1: Introduction
Background .......................................... .\ ............... . ................................... . [[[ ii
Who Should Use These Protocols? [[[ n
U.S. EPA's Public Policies that Support Environmental Auditing [[[ iii
How To Use the Protocols [[[ iv
The Relationship of Auditing to Environmental Management Systems [[[ vi
Section II: Audit Protocol
Applicability ............................ . [[[ 1
Review of Federal Legislation [[[ . [[[ 1
State and Local Regulations [[[ 2
Key Compliance Requirements for Underground Storage Tanks (USTs) .................................. .. ................................. 2
Key Compliance Requirements for Hazardous Waste Tanks [[[ . ..................... 8
Key Terms and Definitions: Underground Storage Tanks ............................. ." [[[ 10
Key Terms and Definitions: Hazardous Waste and Used-Oil Tanks [[[ 17
Typical Records to Review [[[ . ................... 23
Typical Physical Features to Inspect [[[ ." [[[ 23
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under. RCRA
Section I
Introduction
RKfTwaimwraii'ijTT ,r
[Background H |
The Environmental Protection Agency (U.S. EPA) is responsible for ensuring that businesses and organizations
comply with federal laws that protect the public health and the environment. U.S. EPA's Office of Enforcement and
Compliance Assurance (OECA) has begun combining traditional enforcement activities with more innovative
compliance approaches including the provision of compliance assistance to the general public. U.S. EPA's Office of
Compliance Assistance was established in 1994 to focus on compliance assistance-related activities. U.S. EPA is
also encouraging the development of self-assessment programs at individual facilities. Voluntary audit programs
play an important role in helping companies meet their obligation to comply with environmental requirements. Such
assessments can be a critical link, not only to improved compliance, but also to improvements in other aspects of an
organization's performance. For example, environmental audits may identify pollution prevention opportunities that
can substantially reduce an organization's operating costs. Environmental audits can also serve as an important
diagnostic tool in evaluating a facility's overall environmental management system or EMS.
U.S. EPA is developing 13 multi-media Environmental Audit Protocols to assist and encourage businesses and
organizations to perform environmental audits and disclose violations in accordance with OECA's Audit and Small
Business Policies. The audit protocols are also intended to promote consistency among regulated entities when
conducting environmental audits and to ensure that audits are conducted in a thorough and comprehensive manner.
The protocols provide detailed regulatory checklists that can be customized to meet specific needs under the
following primary environmental management areas:
Generation of RCRA
Hazardous Waste
Treatment Storage and
Disposal of RCRA
Hazardous Waste
EPCRA
CERCLA
Safe Drinking Water Act
Managing Nonhazardous
Solid Waste
Clean Air Act
TSCA
Pesticides Management
(FIFRA)
RCRA Regulated Storage
Tanks
Clean Water Act
Universal Waste and Used Oil
Management of Toxic
Substances (e.g., PCBs,
lead-based paint,
and asbestos)
I.
'mm wซ^^n miMyij
U.S. EPA has developed these audit protocols to provide regulated entities with specific guidance in periodically
evaluating their compliance with federal environmental requirements. The specific application of this particular
protocol, in terms of which media or functional area it applies to, is described in Section II under "Applicability".
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
The Audit Protocols are designed for use by individuals who are already familiar with the federal regulations but
require an updated comprehensive regulatory checklist to conduct environmental compliance audits at regulated
facilities. Typically, compliance audits are performed by persons who are not necessarily media or legal experts but
instead possess a working knowledge of the regulations and a familiarity with the operations and practices of the-
facility to be audited. These two basic skills are a prerequisite for adequately identifying areas at the facility
subject to environmental regulations and potential regulatory violations that subtract from the organizations
environmental performance. With these basic skills, audits can be successfully conducted by persons with various
educational backgrounds' (e.g., engineers, scientists, lawyers, business owners or operators). These protocols are not
intended to be a substitute for the regulations nor are they intended to be instructional to an audience seeking a
primer on the requirements under Title 40, however, they are designed to be sufficiently detailed to support the
auditor's efforts.
The term "Protocol" has evolved over the years as a term of art among the professional practices of auditing and
refers to the actual working document used by auditors to evaluate facility conditions against a given set of criteria
(in this case the federal regulations). Therefore these documents describe "what" to audit a facility for rather than
"how" to conduct an audit. To optimize the effective use of these documents, you should become familiar with basic
environmental auditing practices. For more guidance on how to conduct environmental audits, U.S. EPA refers
interested parties to two well known organizations: The Environmental Auditing Roundtable.(EAR) and the Institute
for Environmental Auditing (IEA).
Environmental Health and Safety Auditing Roundtable The Institute for Environmental Auditing
35888 Mildred Avenue ' Box 23686
North Ridgeville, Ohio 44039 L'Enfant Plaza Station
(216) 327-6605 Washington, DC 20026-3 686
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In 1986, in an effort to encourage the use of environmental auditing, U.S. EPA published its "Environmental
Auditing Policy Statement" (see 51 FR 25004). The 1986 audit policy states that "it is U.S. EPA policy to
encourage the use of environmental auditing by regulated industries to help achieve and maintain compliance with
environmental laws and regulation, as well as to help identify and correct unregulated environmental hazards." In
addition, U.S. EPA defined environmental auditing as "a systematic, documented, periodic, and objective review of
facility operations and practices related to meeting environmental requirements." The policy also identified several
objectives for environmental audits:
verifying compliance with environmental requirements,
evaluating the effectiveness of in-place environmental management systems, and
assessing risks from regulated and unregulated materials and practices.
In 1995, U.S. EPA published "Incentives for Self-Policing: Discovery, Disclosure, Correction and Prevention of
Violations" which both reaffirmed and expanded its 1986 audit policy. The 1995 audit policy offers major
incentives for entities to discover, disclose and correct environmental violations. Under the 1995 policy, U.S. EPA
will not seek gravity-based penalties or recommend criminal charges be brought for violations that are discovered
through an "environmental audit" (as defined in the 1986 audit policy) or a management system reflecting "due
diligence" and that are promptly disclosed and corrected, provided that other important safeguards are met. These
safeguards protect health and the environment by precluding policy relief for violations that cause serious
environmental harm or may have presented an imminent and substantial endangerment.
This document is intended solely for guidance. No statutory or regulatory iii
requirements are in any way altered by any statement(s) contained herein. '
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
In 1996, U.S. EPA issued its "Final Policy on Compliance Incentives for Small Businesses". The policy is intended
to promote environmental compliance among small businesses by providing them with special incentives to
participate in U.S. EPA compliance assistance programs. Similar to the U.S. EPA Audit Policies, the Small Business
Policy also encourages small businesses to conduct environmental audits, and then to promptly disclose and correct
violations.
More information on U.S. EPA's Small Business and Audit/Self-Disclosure Policies are available by contacting U.S.
EPA's Enforcement and Compliance Docket and Information Center at (202) 564-2614 or visiting the U.S. EPA web
site at: http://es.EPA.gov/oeca/Dolguid/polguid 1 .html
Each protocol provides guidance on key requirements, defines regulatory terms, and gives an overview of the federal
laws affecting a particular environmental management area. They also include a checklist containing detailed
procedures for conducting a review of facility conditions. The audit protocols are designed to support a wide range
of environmental auditing needs; therefore several of the protocols in this set or sections of an individual protocol
may not be applicable to a particular facility. To provide greater flexibility, each audit protocol can be obtained
electronically from the U.S. EPA Website (www.EPA.gov/oeca/ccsmd/profile.html). The U.S. EPA Website offers
the protocols in a word processing format which allows the user to custom-tailor the checklists to more specific
environmental aspects associated with the facility to be audited.
The protocols are not intended to be an exhaustive set of procedures; rather they are meant to inform the auditor,
about the degree and quality of evaluation essential to a thorough environmental audit. U.S. EPA is aware that other
audit approaches may also provide an effective means of identifying and assessing facility environmental status and
in developing corrective actions.
It is important to understand that there can be significant overlap within the realm of the federal regulations. For
example, the Department of Transportation (DOT) has established regulations governing the transportation of
hazardous materials. Similarly, the Occupational Safety and Health Administration (OSHA) under the U.S.
Department of Labor has promulgated regulations governing the protection of workers who are exposed to hazardous
chemicals. There can also be significant overlap between federal and state environmental regulations. In fact, state
programs that implement federally mandated programs may contain more stringent requirements that are not
included in these protocols. There can also be multiple state agencies regulating the areas covered in these
protocols. The auditor also should determine which regulatory agency has authority for implementing an
environmental program so that the proper set of regulations is consulted. Prior to conducting the audit, the auditor
should review federal, state and local environmental requirements and expand the protocol, as required, to include
other applicable requirements not included in these documents.
Review of Federal Legislation and Key Compliance Requirements:
These sections are intended to provide only supplementary information or a "thumbnail sketch" of the regulations
and statutes. These sections are not intended to function as the main tool of the protocol (this is the purpose of the
checklist). Instead, they serve to remind the auditor of the general thrust of the regulation and to scope out facility
requirements covered by that particular regulation. For example, a brief paragraph describing record keeping and
reporting requirements and the associated subpart citations will identify and remind the auditor of a specific area of
focus at the facility. This allows the auditor to plan the audit properly and to identify key areas and documents
requiring review and analysis.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
State and Local Regulations:
Each U.S. EPA Audit Protocol contains a section alerting the auditor to typical issues addressed in state and local
regulations concerning a given topic area (e.g., RCRA and used oil). From a practical standpoint, U.S. EPA cannot
present individual state and local requirements in the protocols. However, this section does provide general
guidance to the auditor regarding the division of statutory authority between U.S. EPA and the states over a specific
media. This section also describes circumstances where states and local governments may enact more stringent
requirements that go beyond the federal requirements.
U.S. EPA cannot overemphasize how important it is for the auditor to take under consideration the impact of state
and local regulations on facility compliance. U.S. EPA has delegated various levels of authority to a majority of the
states for most of the federal regulatory programs including enforcement. For example, most facilities regulated
under RCRA, and/or CWA have been issued permits written by the states to ensure compliance with federal and
slate regulations. In turn, many states may have delegated various levels of authority to local jurisdictions.
Similarly, local governments (e.g., counties, townships) may issue permits for air emissions from the facility,
Therefore, auditors are advised to review local and state regulations in addition to the federal regulations in order to
perform a comprehensive audit.
Key Terms and Definitions:
This section of the protocol identifies terms of art used in the regulations and the checklists that are listed in the
"Definitions" sections of the Code of Federal Regulations (CFR).' It is important to note that not aJLLdefinitions from
the CFR may be contained in this section, however; those definitions which are commonly repeated in the checklists
or are otherwise critical to an audit process are included. Wherever possible, we have attempted to list these
definitions as they are written in the CFR and not to interpret their meaning outside of the regulations.
The Checklists:
The checklists delineate what should be evaluated during an audit. The left column states either a requirement
mandated by regulation or a good management practice that exceeds the requirements of the federal regulations.
The right column gives instructions to help conduct the evaluation. These instructions are performance objectives
that should be accomplished by the auditor. Some of 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. The
checklists contained in these protocols are (and must be) sufficiently detailed to identify any area of the company or
organization that would potentially receive a notice of violation if compliance is not achieved. For this reason, the
checklists often get to a level of detail such that a specific paragraph of the subpart (e.g., 40 CFR 262.34(a)(l)(i))
contained in the CFR is identified for verification by the auditor. The checklists contain the following components:
"Regulatory Requirement or Management Practice Column"
The "Regulatory Requirement or Management Practice Column" states either a requirement mandated by
regulation or a good management practice that exceeds the requirements of the Federal regulations. The
regulatory citation is given in parentheses after the stated requirement. Good management practices are -
distinguished from regulatory requirements in the checklist by the acronym (MP) and are printed in italics.
ป "Reviewer Checks" Column:
The items under the "Reviewer Checks:" column identify requirements that must be verified to accomplish
the auditor's performance objectives. {The key to successful compliance auditing is to verify and document
site observations and other data.) The checklists follow very closely with the text in the CFR in order to
provide the service they are intended to fulfill (i.e., to be used for compliance auditing). However, they are
not a direct recitation of the CFR. Instead they are organized into more of a functional arrangement (e.g.,
recordkeeping and reporting requirements vs. technical controls) to accommodate an auditor's likely
sequence of review during the site visit. Wherever possible, the statements or items under the "Reviewer
This document is intended solely for guidance. No statutory or regulatory v
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Checks" column, will follow the same sequence or order of the citations listed at the end of the statement in
the "Regulatory Requirement" column.
"NOTE:" Statements
"Note:" statements contained in the checklists serve several purposes. They usually are distinguished from
"Verify" statements to alert the auditor to exceptions or conditions that may affect requirements or to
referenced standards that are not part of Title 40 (e.g., American Society for Testing and Materials (ASTM)
standards). They also may be used to identify options that the regulatory agency may choose in interacting
with the facility (e.g., permit reviews) or options the facility may employ to comply with a given
requirement.
Checklist Numbering System;
The checklists also have a unique numbering system that allows the protocols to be more easily updated by
topic area (e.g., RCRA Small Quantity Generator). Each topic area in turn is divided into control breaks to
allo%v the protocol to be divided and assigned to different teams during the audit. This is why blank pages
may appear in the middle of the checklists. Because of these control breaks, there is intentional repetition
of text (particularly "Note" Statements) under the "Reviewer Checks" column to prevent oversight of key
items by the audit team members who may be using only a portion of the checklist for their assigned area.
Environmental regulations are continually changing both at the federal and state level. For this reason, it is
important for environmental auditors to determine if any new regulations have been issued since the publication of
each protocol document and, if so, amend the checklists to reflect the new regulations. Auditors may become aware
of new federal regulations through periodic review of Federal Register notices as well as public information bulletins
from trade associations and other compliance assistance providers. In addition, U.S. EPA offers information on new
regulations, policies and" compliance incentives through several Agency Websites. Each protocol provides specific
information regarding U.S. EPA program office websites and hotlines that can be accessed for regulatory and policy
. updates.
U.S. EPA will periodically update these audit protocols to ensure their accuracy and quality. Future updates of the
protocols will reflect not only the changes in federal regulations but also public opinion regarding the usefulness of
these documents. Accordingly, the Agency would like to obtain feedback from the public regarding the format, style
and general approach used for the audit protocols. The last appendix in each protocol document contains a user
satisfaction survey and comment form. This form is to be used by U.S. EPA to measure the success of this tool and
future needs for regulatory checklists and auditing materials.
TWSH'iW^^fnirr'^TSSi^
An environmental auditing program is an integral pan of any organization's environmental management system
(EMS). Audit findings generated from the use of these protocols can be used as a basis to implement, upgrade, or
benchmark environmental management systems. Regular environmental auditing can be the key element to a high
quality environmental management program and will function best when an organization identifies the "root causes"
of each audit finding. Root causes are the primary factors that lead to noncornpliance events.' For example a
violation of a facility's wastewater discharge permit may be traced back to breakdowns in management oversight,
information exchange, or inadequate evaluations by untrained facility personnel.
As shown in Figure 1, a typical approach to auditing involves three basic steps: conducting the audit, identifying
problems (audit findings), and fixing identified deficiencies. When the audit process is expanded, to identify and
correct root causes to noncornpliance, the organization's corrective action part of its EMS becomes more effective.
In the expanded model, audit findings (exceptions) undergo a root cause analysis to identify underlying causes to
noncompliance events. Management actions arc then taken to correct the underlying causes behind the audit findings
and improvements are made to the organizations overall EMS before another audit is conducted on the facility.
Expanding the audit process allows the organization to successfully correct problems, sustain compliance, and
This document is intended solely for guidance. No statutory or regulatory vi
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
prevent discovery of the same findings again during subsequent audits. Furthermore, identifying the root cause of
an audit finding can mean identifying not only the failures that require correction but also successful practices that
promote compliance and prevent violations. In each case a root cause analysis should uncover the failures while
promoting the successes so that an organization can make continual progress toward environmental excellence.
!, Figure ?ls,.,-; "Expanded .Gorrectn
:' ' '' J!L;;!!: ':^f f t;'^!:^: -'J!:"'3H|!
Audit
*S
Improve
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Effectiveness
t-
N^
!
**
s
Identify
Problems
PiPl
iv'aiY
Fix
Problems
Develop Actions
to Correct
Underlying
Causes
Analyze
Exceptions
for
Cause/Effect
*
Group Findings
for Common
Causes
+
Examine each
Group for
Underlying
Causes
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
vu
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
This Page Intentionally Left Blank
This document is intended solely For guidance. No statutory or regulatory vin
requirements arc in any way altered by any stalement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Section II
Audit Protocols
EjBpfisaBuifrfmiL^
This audit protocol applies to facilities that store and manage petroleum, hazardous substances, and hazardous waste
in underground and/or aboveground storage tanks regulated under the Resource Conservation and Recovery Act
(RCRA). U.S. EPA has developed separate audit protocol documents that pertain to generators of hazardous waste
and treatment storage and disposal facilities (TSDFs). Information is provided below for obtaining copies of these
documents and other compliance assistance materials available from U.S. EPA.
Not all checklist items will be applicable to a particular facility. Guidance is provided on the checklists to direct the
auditor to the regulations typically applicable to the type of storage tanks managed on the site. In addition to the
regulations contained in this document, auditors should also be aware of two additional tank related requirements
under the federal Clean Air Act:
1, 40 CFR 60, Subpart Kb: Standards of Performance for Volatile Organic Liquid Storage Vessels (Including
Petroleum Liquid Storage Vessels) for Which Construction, Reconstruction or Modifications Commenced After
July 23, 1984.
2. 40 CFR 63, Subpart OO: National Emission Standards for Tanks-Level 1.
Audit guidance and technical information regarding the federal Clean Air Act is provided in a separate series of
documents titled Protocol for Conducting Environmental Audits under the Clean Air Act (Volumes I and II) and is
expected to be available in the year 2000.
There are numerous environmental regulatory requirements administered by federal, state and local government.
Each level of government may have a major impact on areas at the facility that are subject to the audit. Therefore
auditors are advised to review federal, state, and local regulations in order to perform a comprehensive audit.
Sฃg&MStift. UBEFb iPlfeF?
The Resource Conservation and Recovery Act, Subtitle C (1976)
The Resource, Conservation and Recovery Act (RCRA) of 1976, which amended the Solid Waste Disposal Act of
1965, addresses hazardous (Subtitle C) and solid (Subtitle D) waste management activities. Subtitle C of RCRA, 42
U.S. Code (USC) sections 6921-6939b, establishes standards and procedures for the handling, storage, treatment,
and disposal of hazardous waste. For example, RCRA prohibits the placement of bulk or noncontainerized liquid
hazardous waste or free liquids containing hazardous waste into a landfill. It also prohibits the "land disposal" of
specified wastes and disposal of hazardous waste through underground injection within 1/4 mile (0.40 km) of an
underground source of drinking water. Pursuant to Subtitle C of RCRA, the Environmental Protection Agency (U.S.
EPA) promulgated regulations at 40 CFR 260 through 299, establishing a "cradle-to-grave" system that governs
hazardous waste from the point of generation to its treatment or disposal.
The 1984 Hazardous and Solid Wastes Amendments (HSWA) greatly expanded the requirements and coverage of
RCRA. Perhaps the most significant provision of HSWA is the prohibition on the land disposal of hazardous waste.
The land disposal restrictions (LDRs) promulgated by U.S. EPA essentially ban the disposal of untreated liquid
hazardous waste or hazardous waste containing free liquids in landfills and establish treatment standards for these
wastes. In addition to the new statutory and regulatory requirements imposed by HSWA, a new subtitle to the act was
created to govern underground storage tanks (USTs). In response to this act, U.S. EPA has promulgated regulations
imposing technical standards for tank performance and management, including closure and site cleanup, and
establishing financial responsibility for tank owners and operators.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statemcnt(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
After assessing air emissions at TSDFs, the U.S. EPA ascertained that volatile organic chemicals (VOCs) adversely
affect human health and welfare. In response, U.S. EPA promulgated three subparts of RCRA rules designed to
control VOCs. In 1990, U.S. EPA issued'Subparts AA and BB, which amended 40 CFR 264 and 265. Subpart AA
governs organic chemical emissions from certain hazardous waste treatment processes, while Subpart BB governs
equipment that contains or contacts hazardous waste with at least 10% organic chemicals by weight. Subpart CC
includes requirements for controlling VOC emissions from tanks, surface impoundments, containers, and certain
miscellaneous "Subpart X" units. The Subpart CC Final Rule was signed on December 6, 1994, and the Final Rule
Amendments were signed on October 4, 1996.
RCRA encourages states to develop their own parallel regulatory programs for hazardous waste management. This
includes enacting statutory authority and operating hazardous waste regulatory programs. Many states have met the
requirements established by U.S. EPA in 40 CFR 27 1 (Requirements for Authorization of state Hazardous Waste
Programs) and have been approved to manage their own state programs. Many states have adopted the U.S. EPA
regulations by reference or have promulgated regulations that are identical to the U.S. -EPA regulations, while other
states have promulgated regulations stricter than the federal RCRA. These differences between individual state
regulations and the federal program require that auditors check the status of their state's authorization and then
determine which regulations apply. For example, many state UST programs also regulate heating oil tanks or other
types of tanks not regulated by the federal requirements. Since the section checklists are based exclusively on the
requirements of the federal RCRA program, the auditor should determine in what ways the applicable state program
differs from the federal program,
ir^gT H"-.'-;, n ';:vT.r^7^"T^:rnnm:YrpF^^
tKeyjG^jnpliMo^
UST Definition and Applicability
(40 CFR 280. 10 through 40 CFR 280. 12)
An UST:
1 . is a tank and any underground piping connected to the tank that has at least- 1 0 percent of its combined volume
underground, and
2, is used to store petroleum or certain hazardous substances. UST regulations apply to the several hundred
hazardous substances identified by Section 101(14) of the Comprehensive Environmental Response,
Compensation, and Liability Act of 1980 (CERCLA).
The federal UST regulations do not apply to the following:
1. tanks with a capacity of 1 1 0 gal or less;
2. farm and residential tanks holding 1 ,1 00 gal or less of motor fuel used for noncommercial purposes;
3. tanks storing heating oil used on the premises where it is stored;
4. tanks on or above the floor of underground areas;
5. septic tanks and systems for collecting storm water and wastewater;
6. wastewater treatment tank systems (including oil-water separators) regulated by section 307(b) or 402 of the
Clean Water Act;
7. any UST, system holding hazardous wastes listed or identified under Subtitle C of the Solid Waste Disposal Act,
or a mixture of such hazardous waste and other regulated substances;
8. surface impoundments, pits, ponds, or lagoons;
9. liquid trap or associated gathering lines directly related to oil or gas production and gathering operations;
10. flow-through process tanks;
1 1 . emergency spill and overfill tanks;
12. equipment or machinery that contains regulated substances for operational purposes such as hydraulic lift tanks
and electrical equipment tanks;
13. pipelines regulated under the Natural Gas Pipeline Safety Act of 1968 or the Hazardous Liquid Pipeline Safety
This document is intended solely for guidance. No statutory or regulatory ' 2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Act of 1979 or which is an intrastate pipeline facility regulated under state laws comparable to the provisions of
these two Safety Acts; and
14. any UST system that contains a de minimis concentration of regulated substances.
The USTs listed below must comply only with interim prohibition requirements to prevent releases from deferred
UST systems (see 40 CFR 280.11) and corrective action requirements (see 40 CFR 280.60 through 40 CFR 280.67):
1. wastewater treatment tank systems (including oil-water separators) that are not regulated by section 307(b) or
402 of the Clean Water Act;
2. UST systems containing radioactive material that are regulated under the Atomic Energy Act of 1954;
3. UST systems part of an emergency generator system at nuclear power generation facilities regulated by the
Nuclear Regulatory Commission under 10 CFR 50, Appendix A;
4. airport hydrant fuel distribution systems; and
5. UST systems with field-constructed tanks.
Also, USTs storing fuel solely for use by emergency power generators do not need to meet the leak detection
requirements but must comply with all other UST requirements (see 40 CFR 280.40 through 280.45).
Leak Detection Requirements for USTs
(40 CFR 280.41 through 280.43)
Federal UST regulations require that owners and operators of all UST systems provide a method, or combination of
methods, of release detection that:
1. can detect a release from any portion of the UST and the connected piping that routinely contains stored
product;
2. is installed, calibrated, operated, and maintained in accordance with the manufacturer's instructions; and
3. meets the specific performance requirements for each release detection method.
USTs installed after December 22, 1988 must meet leak detection requirements when they are installed. USTs
installed on or before December 22, 1988 had a phased-in schedule for compliance as shown in the table belownote
that the last deadline occurred in December 1993,
Schedule for Phase-in of Release Detection
(40 CFR 280.40(c))
..
Before 1965 or date unknown
RD
1965-69
P/RD
1970-74
RD
1975-79
RD
1980-88
RD
RD = must begin release detection for tanks and suction piping in accordance to 40 CFR 280.41 (a), 40 CFR
280.4 l(b) (2) and , 40 CFR 280.42.
USTs must be checked at least once a month to see if they are leaking. Owners and operators of UST systems have
several options for performing monthly monitoring of the UST using one (or a combination) of the following
monthly monitoring leak detection methods:
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
1. Secondary Containment With Interstitial Monitoring (see 40 CFR 280.43(g))
Secondary containment often uses a barrier, an outer wall, a vault, or a liner around the UST or piping.
Tanks can be equipped with inner bladders that provide secondary containment. Leaked product from the
inner tank or piping is directed towards an "interstitial" monitor located between the inner tank or piping
and the outer barrier. Interstitial monitoring methods range from a simple dipstick to a continuous,
automated vapor or liquid sensor permanently installed in the system.
2. Automatic Tank Gauging Systems (see 40 CFR 280.43(d))
A probe permanently installed in the tank is wired to a monitor to provide information on product level and
temperature. These systems automatically calculate the changes in product volume that can indicate a
leaking tank..
3. Vapor Monitoring (see 40 CFR 280.43(e))
Vapor monitoring measures product "fumes" in the soil around the UST to check for a leak. This method
requires installation of carefully placed monitoring wells. Vapor monitoring can be performed manually on
a periodic basis or continuously using permanently installed equipment.
4. Groundwater Monitoring (see 40 CFR 280.43(f))
Groundwater monitoring senses the presence of liquid product floating on the groundwater, This method
requires installation of monitoring wells at strategic locations in the ground near the tank and along the
piping runs. To discover if leaked product has reached groundwater, these wells can be checked
periodically by hand or continuously with permanently installed equipment. This method cannot be used at
sites where groundwater is more than 20 feet below the surface.
5. Other Methods Meeting Performance Standards (see 40 CFR 280.43(h))
Any technology can be used if it meets a performance standard of detecting a leak of 0.2 gallons per hour
with a probability of detection of at least 95 percent and a probability of false alarm of no more than 5
percent. Regulatory authorities can approve another method if the UST owner and operator demonstrate
that it works as well as one of the methods above and they comply with any condition the authority imposes.
There are a few additional leak detection choices with the restrictions described below: ,
1. Tank Tightness Testing With Inventory Control ( see 40 CFR 280.43(a) and 280.43(e))
This method combines periodic tank tightness testing with monthly inventory control. Inventory control
involves taking measurements of tank contents and recording amount pumped each operating day, as well as
reconciling all this data at least once a month. This combined method must also include tightness tests,
which are sophisticated tests performed by trained professionals. This combined method can be used only
temporarily (usually for 10 years or less).
2. Statistical Inventory Reconciliation
Statistical Inventory Reconciliation (SIR), when performed according to the vendor's specifications, meets
federal leak detection requirements for USTs as follows. SIR with 0.2 gallon per hour leak detection
capability meets the federal requirements for monthly monitoring for the life of the tank and piping. SIR
with a 0.1 gallon per hour leak detection capability meets the federal requirements as an equivalent to tank
tightness testing. SIR can, if it has the capability of detecting even smaller leaks, meet the federal
requirements for line tightness testing as well.
3, Manual Tank Gauging (see 40 CFR 280.43(b))
Manual tank gauging can be used only for tanks of 2,000 gal or less capacity. This method requires keeping
the tank undisturbed for at least 36 h each week, during which the contents of the tank are measured twice at
the beginning and twice at the end of the test period. At the end of each week the results are compared to a
set of standards to determine if the tank may be leaking (see 40 CFR 280.43(b)(4)). Only tanks of 550 gal
or less nominal capacity may use this method as the sole method of release detection. Tanks of 551 to
2,000 gal may use this method in place of manual inventory control. Tanks of greater than 2,000 gal
nominal capacity may not use this method to meet the requirements of 40 CFR 280.43.
This document is intended solely for guidance. No statutory or regulatory 4
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Required "Probabilities" For Leak Detection
(40 CFR 280.40(a)(3))
The regulations require not only that leak detection methods be able to detect certain leak rates, but that they also
give the correct answer consistently. In general, methods must detect the specified leak rate with a probability of
detection of at least 95 percent and a probability of false alarm of no more than 5 percent. Simply stated, this means
that, of 100 tests of USTs leaking at the specified rate, at least 95 of them must be correctly detected. It also means
that, of 100 tests of non-leaking USTs, no more than 5 can be incorrectly called leaking.
Additional Leak Detection For Piping
(40 CFR 280.4 l(b) and 280.44)
Regulatory requirements for pressurized piping include the following:
1, Each pressurized piping run must have one leak detection method from'eaeh set below (see 40 CFR
280.4 l(b)(l)):
i) An Automatic Line Leak Detector: Automatic flow restrictor ; or
ii) Automatic flow shutoff; or
iii) Continuous alarm system.
b) And One Other Method:
i) Annual line tightness test; or
ii) Monthly interstitial monitoring; or .
iii) Monthly vapor monitoring; or
iv) Monthly groundwaler monitoring; or
v) Other monthly monitoring that meets performance standards:
2. The automatic line leak detector (LLD) must be designed to detect a leak at least as small as 3 gallons per hour
at a line pressure of 10 pounds per square inch within 1 hour by shutting off the product flow, restricting the
product flow, or triggering an audible or visual alarm.
3. The line tightness test must be able to detect a leak at least as small as 0.1 gallon per hour when the line pressure
is 1.5 times its normal operating pressure. The test must be conducted each year, if the test is performed at
pressures lower than 1.5 times operating pressure, the leak rate to be detected must be correspondingly lower.
4. Automatic LLDs and line tightness tests must also be able to meet the federal regulatory requirements regarding
probabilities of detection and false alarm.
5. Interstitial monitoring, vapor monitoring, groundwater monitoring, and other allowable methods have the same
regulatory requirements for piping as they do for tanks.
Leak detection requirements for USTs equipped with suction piping vary depending on the type of suction piping
installed (see 40 CFR 280.4 l(b)(2). One type of suction piping does not require leak detection if it has the following
characteristics:
1. below-grade piping operating at less than atmospheric pressure is sloped so that the piping's contents will drain
back into the storage tank if the suction is released;
2. only one check valve is included in each suction line and is located directly below the suction pump.
Suction piping that does not exactly match the characteristics noted above must have leak detection, either monthly
monitoring (using one of the monthly methods noted above for use on pressurized piping) or tightness testing of the
piping every 3 yr.
Hazardous Substance USTs
(40 CFR 280.42)
Hazardous substance USTs installed after December 22, 1988 must use secondary containment and interstitial
monitoring to provide leak detection compliance. Hazardous substance USTs installed on or before December 22,
1988 must have secondary containment and interstitial monitoring by December 22, 1998.
This document is intended solely for guidance. No statutory or regulatory 5
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Concluding Environmental Compliance Audits of Storage Tanks under RCRA
Spill and Overfill Protection and Control
(40 CFR 280.20(c) and 280.30)
Owners and operators must ensure that there is room in the UST for the delivery before the delivery occurs, and the
transfer operation must be monitored constantly to prevent overfilling and spilling. If an UST never receives more
than 25 gallons at a time, the UST does not have to meet the spill protection requirements. When a tank is overfilled,
large volumes can be released at the fill pipe and through loose fittings on the top of the tank or a loose vent pipe.
The tightness of these fittings normally would not be a problem if the tank were not filled beyond its capacity. Many
of these problems can be prevented by using overfill protection devices, such as automatic shutoff devices, overfill
alarms, and ball float valves. If in the case of "pumped delivery" where fuel is delivered under pressure, the overfill
protection device must work compatibly with pumped deliveries, Also, overfill protection devices are effective only
when combined with careful filling practices.
USTs must be equipped to prevent spills from reaching the environment, such as the use of catchment basins, also
called "spill containment manholes" or "spill buckets." Basically, a catchment basin is a bucket sealed around the fill
pipe that traps spilled product and keeps it from reaching the environment.
Corrosion Protection
(40 CFR 280.20(a) and {b) and 280.31)
Federal rules require corrosion protection for USTs because unprotected steel USTs corrode and release product
through corrosion holes. New USTs need to match one of the following performance standards:
1. Tank and piping completely made of noncorrodible material, such as fiberglass. Corrosion protection is also
provided if tank and piping are completely isolated from contact with the surrounding soil by being enclosed in
or "jacketed" in noncorrodible material.
2, Tank and piping made of steel having a corrosion-resistant coating AND having cathodic protection. A
corrosion-resistant coating electrically isolates the coated metal from the surrounding environment to help
protect against corrosion. Asphaltic coating does not qualify as a corrosion-resistant coating. Methods of
cathodic protection include:
a) Sacrificial Anode System: Sacrificial anodes can be attached to the UST for corrosion protection.
Sacrificial anodes are pieces of metal more electrically active than the steel UST. Because these anodes are
more active, the corrosive current will exit from them rather than the UST. Thus, the UST is protected
while the attached anode is "sacrificed."
b) Impressed Current System: An impressed current system uses a rectifier to convert alternating current to
direct current. This current is sent through an insulated wire to the-anodes, which are special metal bars
buried in the soil near the UST. The current then flows through the soil to the UST system, and returns to
the rectifier through an insulated wire attached to the UST. The UST system is protected because the
current going to the UST system overcomes the corrosion-causing current normally flowing away from it.
c) Tank made of steel clad with a thick layer of noncorrodible material. This option does not apply to piping.
Galvanized steel is not a noncorrodible material.
UST Requirements for Closure and Change-in-Service
{40 CFR 280.70 - 280.74)
USTs may be closed temporarily or permanently in accordance with the requirements specified below.
Closing Temporarily
USTs may be closed temporarily for up to 12 mo if the following requirements are met:
1. Owners and operators must continue to monitor for leaks by maintaining the UST's leak detection. (Empty
USTs do not require leak detection),
2. Owners and operators of USTs must continue to monitor and maintain any corrosion protection systems.
3. In the event of a detected releases from USTs, owners and operators must take immediate action to prevent any
further releases of the regulated substance into the environment, notify the regulatory authority, and take
appropriate action to clean up the site.
This document is intended solely for guidance. No statutory or regulatory 6
requirements are in any way altered by any statemcnt(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
4. If the UST remains temporarily closed for more than 3 months, owners and operators must leave vent lines open,
but cap and secure all other lines, pumps, manways, and ancillary equipment.
Closing Permanently
USTs may be closed permanently if the following requirements are met:
1, Owners and operators must notify the regulatory authority at least thirty days before closure.
2. Owners and operators must determine if contamination from the UST is present in the surrounding environment.
If contamination is discovered, the owner and operator must begin corrective action in accordance to 40 CFR
280.60. Owners and operators must also maintain, for a period of at least three years, a record of the actions
taken to determine the presence of contamination. As an option, these records may be mailed to the regulatory
authority in lieu of maintaining them on site where the tank was closed.
3. The UST must be either excavated and removed or left in the ground providing that the tank is filled with an
inert solid material. In both cases the tank must be emptied and cleaned by removing all liquids, dangerous
vapor levels, and accumulated sludge.
Financial Responsibility Requirements
{40 CFR 280.90 through 280.116)
The financial responsibility requirements are designed to make sure that someone can pay the costs of cleaning up
leaks and compensating third-parties for bodily injury and property damage caused by leaking USTs. Either the
owner or the operator of the UST must demonstrate financial responsibility, if the owner and operator are different
individuals or firms. It is the responsibility of the owner and operator to decide which one will demonstrate financial
responsibility.
Federal and state governments and their agencies that own USTs are not required to demonstrate financial
responsibility. Local governments, however, must comply with the financial responsibility requirements.
Both the amount of financial responsibility coverage needed and the date by which it is needed are determined by the
type of operation at the facility, the amount of throughput of the lank, and the number of tanks at the facility.
Appendix A of this document contains a table which displays five groups of UST owners and operators, compliance
deadlines for each group, and required coverage amounts.
Options for demonstrating financial responsibility include:
1. Use state financial assurance funds: The state in which the facility is located may pay for some cleanup and
third-party liability costs.
2. Obtain insurance coverage: Insurance may be available from a private insurer or a risk retention group.
3. Obtain a guarantee: A guarantee may be secured for the coverage amount from another firm with whom the
owner or operator have a substantial business relationship. The provider of the guarantee has to pass a financial
test.
4. Obtain a surety bond: A surety bond is a guarantee by a surety company that it will meet the financial
responsibility obligations.
5. Obtain a letter of credit: A letter of credit is a contract involving the owner or operator, an issuer (usually a
bank), and a third party (such as the implementing agency) that obligates the issuer to help demonstrate financial
responsibility.
6. Pass a financial test: If the owner or operator has a tangible net worth of at least $10 million, they can prove
their financial responsibility by passing one of the two financial tests.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
7, Set up a trust fund: The owner or operator may set up a fully-funded trust fund administered by a third party to
demonstrate financial responsibility.
8. Use other state methods: The owner or operator may also use any additional methods of coverage approved by
their state.
Local governments have four additional compliance methods tailored to their special characteristics: a bond rating
test, a financial test, a guarantee, and a dedicated fund (all fully described in 40 CFR 280).
Most states have established programs that can help pay for cleanup and third-party liability costs. Owners and
operators may be able to use a state financial assurance fund to demonstrate financial responsibility.
[key'^ComplianceiReiguirehients for,.Hazardbus,;>Vastep^
Hazardous Waste Generator Requirements,
(40 CFR 262)
The responsibilities of any particular facility are based on the amount of hazardous waste being generated in one
calendar month. Typical hazardous wastes include solvents, paint, contaminated antifreeze or oil, and sludges. In
some states, waste oil and other substances have been classified as a hazardous waste and therefore need to be
included in the total amount of waste generated.
Under federal regulations there are three classifications of generators:
1. A Conditionally Exempt Small Quantity Generator (CESQG) generates no more than 100 kg (220.46 Ib.) of
hazardous waste or 1 kg (2.20 Ib.) of acutely hazardous waste in a calendar month. A CESQG also may not
accumulate on-site more than 1,000 kg (2,204.62 Ib.) of hazardous waste at any one time. When either the
volume of hazardous waste produced in one calendar month exceeds 100 kg (220.46 Ib.) or more than 1,000 kg
(2,204.62 Ib.) of hazardous waste have accumulated on-site, the facility is required to comply with the more
stringent standards applicable to a Small Quantity Generator (SQG). When the volume of acutely hazardous
waste exceeds 1 kg of spill residue, contaminated soil, waste or other debris exceeds 100 kg, then the waste is
subject to standards applicable to large quantity generators (LQGs);
2. An SQG generates between 100 kg (220.46 Ib.) and 1,000 kg (2,204.62 Ib.) of hazardous waste in a calendar
month. The hazardous waste cannot accumulate on-site for more than 180 days unless the waste is transported
more than 200 miles (321.87 km) to a treatment, storage and disposal facility (TSDF). If me hazardous waste
must be transported more than 200 miles, it can accumulate for up to 270 days. At no time is there to be more
than 6,000 kg (13,227.73 Ib.) of hazardous waste accumulated at the facility. When the volume of hazardous
waste generated in one month exceeds 1,000 kg (2,204.62 Ib.) of nonacutely hazardous waste or 1 kg (2.20 Ib.)
of acutely hazardous waste or the accumulation time limit is exceeded, the facility is required to comply with the
standards for an LQG. When more than 6,000 kg (13,227.73 Ib.) of hazardous waste is stored on-site, the SQG
is required to obtain a storage permit and comply with the requirements of 40 CFR 264 and 40 CFR 265;
3. An LQG generates more than 1,000 kg (2,204.62 Ib.) of hazardous waste in a calendar month. (NOTE: Using
water, which weighs approximately 8.34 Ibs./gal (3,78 kg/gal or 1 kg/L) as a basis of measurement, 100 kg
(220.46 Ib.) would equal about 26.4 gal (100 L) (almost one-half of a 55-gal. (208.2 L) drum); 1,000 kg
(2,204.62 Ib.) would equal about 264 gal (1000 L) (almost five 55-gal. drums)).
Whether the facility is a CESQG, SQG, or a LQG determines whether and how the RCRA regulations apply to that
facility. Storage areas connected with generation points are often referred to as 90 day storage areas. Regardless of
the amount of hazardous waste generated, the regulations require every facility to test or use knowledge of materials
or processes used to determine if its waste is a listed hazardous waste or exhibits one of four hazardous
characteristics (ignitability, corrosivity, toxicity, reactivity).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
TSDF Requirements
(40 CFR 264 and 265)
The operation of a TSDF is subject to regulation and permitting under federal and state regulations. These
regulations are both administrative as well as technical in nature. The administrative standards require that various
plans be developed to ensure that emergencies can be dealt with, waste received is properly identified, and operating
personnel are adequately trained to operate the TSDF and respond to emergencies. These administrative standards
also include requirements that the TSDF be inspected routinely, records of operations be compiled and maintained,
and reports of both routine and contingency operations be made to the applicable regulatory agency. The
administrative standards also require that a plan for ceasing operations and closing the TSDF be developed, kept on-
hand, and updated frequently.
The technical standards which are applicable to TSDFs fall into two classes: general standards which apply to all
TSDFs, and specific standards which apply to various types of facilities (e.g., container storage areas, tanks,
containment buildings, surface impoundments, waste piles, land treatment facilities, incinerators, landfills, thermal
treatment facilities, and chemical, physical, biological treatment facilities).
Administrative and technical standards are applied to a particular facility through a RCRA permit issued to a facility.
New TSDFs requiring a permit must submit a two part permit application. Part A is a short, standard form that
collects general information about the facility, while Part B of the application is much more extensive and requires
the facility to supply detailed and highly technical information. This submission must be made at least 180 days
prior to the date on which physical construction is expected to start. Once issued, RCRA permits are valid up to 10
years.
TSDFs fall into two categories: interim status facilities and permitted facilities. Interim status regulations (40 CFR
265) apply to facilities that are eligible to operate under a Part A permit while their Part B permit application is
being reviewed. Any facility that is in existence on the effective date of the statutory or regulatory amendments that
render the facility subject to permitting requirements is eligible for interim status, provided that the facility notifies
U.S. EPA of hazardous waste activity and complies with application requirements under 40 CFR 270.10. Interim
status standards are "good housekeeping" types of requirements that must be addressed until a permit is issued.
TSDF permit standards (40 CFR 264) are facility-specific requirements that are incorporated into a TSDF permit.
Hazardous Waste Storage Tanks
(40 CFR 264.190 through 264.200, 40 CFR 265.190 through 265.200,40 CFR 264.1085,40 CFR 265.1085)
Hazardous waste storage tank requirements are dependent upon the RCRA classification of the facility (e.g., SQG,
LQG or TSDF). Tanks at all three types of facilities are required to meet basic requirements including:
1. a hazardous waste may not be placed into a lank if it will cause the tank or its secondary containment system to
rupture, leak, corrode, or fail;
2. special precautions are taken' for ignilable, incompatible or reactive wastes;
3. the tank is operated using appropriate controls and practices to prevent spills and overflows;
4. periodic inspections are conducted to detect spills, corrosion, leaks, and operator error.
5. at closure, all hazardous waste and residues must be removed from the tank, peripheral equipment and
foundation structure.
Tank systems at LQG facilities and TSDFs that store hazardous waste with a high volatile organic concentration
must meet emission standards specified under Subpart CC and BB of 40 CFR 264 and 265. These regulations also
require generators to test the waste to determine the concentration of the waste, to satisfy tank and container
emissions standards, and to inspect and monitor regulated units.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
TSDF Requirements - Subpart CC
(40 CFR 264.1080 -1091 and 40 CFR 265,1089-1091)
Subpart CC applies to tanks, surface impoundments, containers, and certain miscellaneous units that:
1, are not expressly exempted from the rule;
2, are subject to permit standards (40 CFR 264), interim status standards (40 CFR 265), or less-than 90-day LQG
standards (40 CFR 262.34 (a)(l)(i) or (ii) for tanks and containers); and
3. manage hazardous waste that have an average volatile organic concentration at the point of waste origination
equal to or greater than 500 parts per million by weight (ppmw).
For further information regarding the RCRA regulations, contact U.S. EPA's RCRA/UST, Superfund and EPCRA
Hotline at 800-424-9346 (or 703-412-9810 in the D.C. area) from 9 a.m. to 6 p.m., Monday through Friday. A list
of other UST documents and publications available from U.S. EPA is presented in Appendix B of this document.
This U.S. EPA hotline provides up-to-date information on regulations developed under RCRA, CERCLA
(Superfund), and the Oil Pollution Act. The hotline can assist with Section 112(r) of the Clean Air Act (CAA) and
Spill Prevention, Control and Countermeasures (SPCC) regulations. The hotline also responds to requests for
relevant documents and can direct the caller to additional tools that provide a more detailed discussion of specific
regulatory requirements.
Aboveground Release
Any release to the surface of the land or to surface water. This includes, but is not limited to, releases from the
above-ground portion of an UST system and aboveground releases associated with overfills and transfer operations
as the regulated substance moves to or from an UST system (40 CFR 280.12).
Accidental Release
Any sudden or nonsudden release of petroleum from an underground storage tank that results in a need for corrective
action and/or compensation for bodily injury or property damage neither expected nor intended by the tank owner or
operator (40 CFR 280.92).
Ancillary Equipment
Any devices including, but not limited to, such devices as piping, fittings, flanges, valves, and pumps used to
distribute, meter, or control the flow of regulated substances to and from the UST (40 CFR 280.12).
Belowground Release
Any release to the subsurface of the land and to groundwater. This includes, but is not limited to, releases from the
below ground portion of an UST system and belowground releases associated with overfills and transfer operations
as the regulated substance moves to or from an UST (40 CFR 280.12).
Beneath The Surface of The Ground
Beneath the ground surface or otherwise covered with earthen materials (40 CFR 280,12).
Bodily Injury
This shall have the meaning given to this term by applicable state law; however, this term shall not include those
liabilities which, consistent with standard insurance industry practices, are excluded from coverage in liability
insurance policies for bodily injury (40 CFR 280.92).
Cathodic Protection
A technique to prevent corrosion of a metal surface by making that surface the cathode of an electrochemical cell.
For example, a tank system can be cathodically protected through the application of either galvanic anodes or
impressed current (40 CFR 280.12).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Cathodic Protection Tester
A person who can demonstrate understanding of the principles and measurements of all common types of cathodic
protection systems as applied to buried or submerged metal piping and tank systems. At a minimum, such persons
must have education and experience in soil resistivity, stray current, structure-to-soil potential, and component
electrical isolation measurements of buried metal piping and tank systems (40 CFR 280,12).
CERCLA
Comprehensive Environmental Response Compensation and Liability Act of!980 as amended (40 CFR 280.12).
Chief Financial Officer
In the case of local government owners and operators, means the individual with the overall authority and
responsibility for the collection, disbursement, and use of funds by the local government (40 CFR 280.92).
Compatible
The ability of two or more substances to maintain their respective physical and chemical properties upon contact
with one another for the design life of the tank system under conditions likely to be encountered in the UST (40 CFR
280.12).
Connected Piping
All underground piping including valves, elbows, joints, flanges, and flexible connectors attached to a tank system
through which regulated substances flow. For the purpose of determining how much piping is connected to any
individual UST system, the piping that joins two UST systems should be allocated equally between them (40 CFR
280,12).
Consumptive Use
With respect to heating oil, means consumed on the premises (40 CFR 280.12).
Controlling Interest
Direct ownership of at least 50 percent of the voting stock of another entity (40 CFR 280.92).
Corrosion Expert
A person who, by reason of thorough knowledge of the physical sciences and the principles of engineering and
mathematics acquired by a professional education and related practical experience, is qualified to engage in the
practice of corrosion control on buried or submerged metal piping systems and metal tanks. Such a person must be
accredited or certified as being qualified by the National Association of Corrosion Engineers or be a registered
professional engineer who has certification or licensing that includes education and experience in-corrbsion control
of buried or submerged metal piping systems and metal tanks (40 CFR 280,12).
Deferred USTs
USTs which are exempt from meeting the requirements in 40 CFR 280 except those concerning release response and
corrective action for UST systems containing petroleum or hazardous substances in 40 CFR 280.60 through 280.67.
These tanks include (40 CFR 280.lO(c):
1. wastewater treatment tank systems
2. any UST systems containing radioactive material that are regulated under the Atomic Energy Act of 1954
3. any UST system that is a part of an emergency generator system at nuclear power generation facilities regulated
by the Nuclear Regulatory Commission under 10 CFR 50, Appendix A
4. airport hydrant fuel distribution systems
5. UST systems with field-constructed tanks.
(NOTE: See also the UST Definition and Applicability under Key Compliance Requirements for underground
storage tanks and the definition for Underground Storage Tank.)
Dielectric Material
A material that docs not conduct direct electrical current. Dielectric coatings are used to electrically isolate UST
systems from the surrounding soils. Dielectric bushings are used to electrically isolate portions of the UST system
(e.g., tank from piping) (40 CFR 280.12).
This document is intended solely for guidance. No statutory or regulatory j ]
requirements are in any way altered by any staternent(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Director of the Implementing Agency
The U.S. EPA Regional Administrator, or, in the case of a state with a program approved under section 9004, the'
Director of the designated state or local agency responsible for carrying out an approved UST program (40 CFR
280,92).
Electrical Equipment
Any underground equipment that contains dielectric fluid that is necessary for the operation of equipment such as
transformers and buried electric cable (40 CFR 280.12).
Excavation Zone
The volume containing the tank system and backfill material bounded by the ground surface, walls, and floor of the
pit and trenches into which the UST system is placed at the time of installation (40 CFR 280.12).
Existing Tank System
A tank system used to contain an accumulation of regulated substances or for which installation has commenced on
or before December 22, 1988, Installation is considered to have commenced if (40 CFR 280.12):
1. the owner or operator has obtained all federal, state, and local approvals or permits necessary to begin physical
construction of the site or installation of the tank system
2. either a continuous on-site physical construction or installation program has begun, or the owner or operator has
entered into any contractual obligations which cannot be canceled or modified without substantial loss for
physical construction at the site or installation of the tank system to be completed within a reasonable time.
Farm Tank
A tank located on a tract of land devoted to the production of crops or raising animals, including fish, and associated
residences and improvements. A farm tank must be located on the farm property. Farm includes fish hatcheries,
rangeland, and nurseries with growing operations (40 CFR 280.12).
Financial Reporting Year
The latest consecutive 12-mo period for which any of the following reports used to support a financial test is
prepared (40 CFR 280.92):
1. a 10-K report submitted to the SEC;
2. an annual report of tangible net worth submitted to Dun and Bradstreet; or
3. annual reports submitted to the Energy Information Administration or the Rural Electrification Administration.
"Financial reporting year" may thus comprise a fiscal or a calendar year period.
Flow-Through Process Tank
A tank that forms an integral part of a production process through which there is a steady, variable, recurring, or
intermittent flow of materials during the operation of the process. Flow-through process tanks do not include tanks
used for the storage of material prior to their introduction into the production process or for the storage of finished
products or byproducts from the production process (40 CFR 280.12).
Free-Product
A regulated substance that is present as a nonaqueous phase liquid (e.g., liquid not dissolved in water) (40 CFR
280.12).
Gathering Lines
Any pipeline, equipment, facility, or building used in the transportation of oil or gas during oil or gas production or
gathering operations (40 CFR 280.12).
Hazardous Substance LIST System
Any UST system that contains a hazardous substance defined in section 101(14) of the Comprehensive
Environmental Response, Compensation, and Liability Act of 1980 (but not including any substance regulated as a
hazardous waste under subtitle C) or any mixture of such substances and petroleum, and which is not a petroleum
UST system (40 CFR 280.12).
This document is intended solely for guidance. No statutory or regulatory 12
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Heating Oil
Petroleum that is No, 1, No. 2, No. 4-light, No. 4-heavy, No. 5--light, No. 5--heavy, and No, 6 technical grades of
fuel oil; other residual fuel oils (including Navy Special Fuel Oil and Bunker C); and other fuels when used as
substitutes for one of these fuel oils. Heating oil is typically used in the operation of heating equipment, boilers, or
furnaces (40 CFR 280.12).
Hydraulic Lift Tank
A tank holding hydraulic fluid for a closed-loop mechanical system that uses compressed air or hydraulic fluid to
operate lifts, elevators, and other similar devices (40 CFR 280.12).
Implementing Agency
U.S. EPA, or,.in the case of a state with a program approved under section 9004 (or pursuant to a memorandum of
agreement with U.S. EPA), the designated state or local agency responsible for carrying out an approved UST
program (40 CFR 280.12),
Legal Defense Cost
Any expense that an owner or operator or provider of financial assurance incurs in defending against claims or
actions brought (40 CFR 280.92):
1. by U.S. EPA or a state to require corrective action or to recover the costs of corrective action;
2. by or on behalf of a third party for bodily injury or property damage caused by an accidental release; or
3. by any person to enforce the terms of a financial assurance mechanism.
Liquid Trap
Sumps, well cellars, and other traps used in association with oil and gas production, gathering, and extraction
operations (including gas production plants), for the purpose of collecting oil, water, and other liquids. These liquid
traps may temporarily collect liquids for subsequent disposition or reinjectipn into a production or pipeline stream,
or may,collect and separate liquids from a gas stream (40 CFR 280.12).
Local Government *
This shall have the meaning given this term by applicable state law and includes Indian tribes. The term is generally
intended to include (40 CFR 280.92):
1. counties, municipalities, townships, separately chartered and operated special districts (including local
government public transit systems and redevelopment authorities), and independent school districts authorized
as governmental bodies by state charter or constitution; and
2. special districts and independent school districts established by counties, municipalities, townships, and other
general purpose governments to provide essential services:
Maintenance,
The normal operational upkeep to prevent an UST system from releasing product (40 CFR 280.12).
Motor Fuel
Petroleum or a petroleum-based substance that is motor gasoline, aviation gasoline, No. 1 or No. 2 diesel fuel, or any
grade of gasohol, and is typically used in the operation of a motor engine (40 CFR 280.12).
New Tank System
For USTs, a tank system that will be used to contain an accumulation of regulated substances and for which
installation has commenced after December 22, 1988 (40 CFR 280.12),
Noncommercial Purposes
With respect to motor fuel means not for resale (40 CFR 280.12).
Occurrence
An accident, including continuous or repeated exposure to conditions, which results in a release from an
underground storage tank. NOTE: This definition is intended to assist in the understanding of these regulations and
This document is intended solely for guidance. No statutory or regulatory 13
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
is not intended either to limit the meaning of "occurrence"' in a way that conflicts with standard insurance usage or
to preyent the use of other standard insurance terms in place of "occurrence" (40 CFR 280,92).
On the Premises Where Stored (heating oil)
UST systems located on the same property where the stored heating oil is used (40 CFR 280.12).
Operational Life
The period beginning when installation of the tank system has commenced until the time the tank system is properly
closed under Subpart G of 40 CFR 280 (40 CFR 280.12).
Operator
Any person in control of, or having responsibility for the daily operation of the UST system (40 CFR 280.12),
Overfill Release
A release that occurs when a tank is filled beyond its capacity, resulting in a discharge of the regulated substance to
the environment (40 CFR 280.12).
Owner
1, In the case of an UST system in use on November 8,1984, or brought into use after that date, any person who
.owns an UST system used for storage, use, or dispensing of regulated substances; and
2. In the case of any UST system in use before November 8, 1984, but no longer in use on that date, any person
who owned such UST immediately before the discontinuation of its use (40 CFR 280.12).
Owner or Operator
When the owner or operator are'Separate parties, refers to the party that is obtaining or has obtained financial
assurances (40 CFR 280.92). ' ' "
Person
An individual, trust, firm, joint stock company, federal agency, corporation, state, municipality, commission,
political subdivision of a state, or any interstate body. Person also includes a consortium, a joint venture, a
commercial entity, and the U.S. Government (40 CFR 280.12).
Petroleum Marketing Facilities
This include all facilities at which petroleum is produced or refined and all facilities from which petroleum is sold or
transferred to other petroleum marketers or to the public-(40 CFR 280.92).
Petroleum Marketing Firms
All firms owning petroleum marketing facilities. Firms owning other types of facilities with USTs as well as
petroleum marketing facilities are considered to be petroleum marketing firms (40 CFR 280.92).
Petroleum UST System
A UST system that contains petroleum or a mixture of petroleum with de minimis quantities of other regulated
substances.. Such systems include those containing motor fuels, jet fuels, distillate fuel oils, residual fuel oils,
lubricants, petroleum solvents, and used oils (40 CFR 280.12).
Pipe or Piping
A hollow cylinder or tubular conduit that is constructed of non-earthen materials (40 CFR 280.12).*
Pipeline Facilities
(Including gathering lines) are new and existing pipe rights-of-way and any associated equipment, facilities, or
buildings (40 CFR 280.12).
Property Damage
This shall have the meaning given this term by applicable state law. This term shall not include those liabilities
which, consistent with standard insurance industry practices, are excluded from coverage in liability insurance
This document is intended solely for guidance. No statutory or regulatory 14
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
policies for property damage. However, such exclusions for property damage shall not include corrective action
associated with releases from tanks which are covered by the policy (40 CFR 280.92),
Provider of Financial Assurance
An entity that provides financial assurance to an owner or operator of an underground storage tank through one of
the mechanisms listed in 40 CFR 280.95-280.103, including a guarantor, insurer, risk retention group, surety, issuer
of a letter of credit, issuer of a state-required mechanism, or a state (40 CFR 280.92).
Regulated Substance
This includes (40 CFR 280.12):
1. any substance defined in section 101(14) of the CERCLA of 1980 (but not including any substance regulated as
a hazardous waste under subtitle C) .
2. petroleum, including crude oil or any fraction thereof that is liquid at standard conditions of temperature and
pressure (60 ฐF and 14.7 Ib/psia).
(NOTE: The term regulated substance includes, but is not limited to, petroleum and petroleum based substances
comprised of a complex blend of hydrocarbons derived from crude oil though processes of separation, conversion,
upgrading, and finishing, such as motor fuels, jet fuels, distillate fuel oils, residual fuel oils, lubricants, petroleum
solvents, and used oils.)
Release
Any spilling, leaking, emitting, discharging, escaping, leaching, or disposing from an LIST into groundwater, surface
water, or subsurface soils (40 CFR 280.12).
Release Detection
Determining whether a release of a regulated substance has occurred from the UST system into the environment or.
into the interstitial space between the UST system and its secondary barrier or secondary containment around it (40
CFR 280.12).
Repair
To restore a tank or UST system component that has caused a release of product from the UST system (40 CFR
280.12).
Residential Tank
A tank located on property used primarily for dwelling purposes (40 CFR 280.12).
SARA
Superfund Amendments and Reauthorization Act of 1986 (40 CFR 280.12).
Septic Tank
A water-tight covered receptacle designed to receive or process, through liquid separation or biological digestion, the
sewage discharged from a building sewer. The effluent from such receptacle is distributed through the soil and
settled solids and scum from the tank are pumped out periodically and hauled to a treatment facility (40 CFR
280.12).
Stormwater or Wastewater Collection System
Piping, pumps, conduits, and any other equipment necessary to collect and transport the flow of surface water run-off
resulting from precipitation, or domestic, commercial, or industrial wastewater to and from retention areas or any
areas where treatment is designated to occur. The collection of storrnwater and wastewater does not include
treatment except where incidental to conveyance (40 CFR 280.12), .
Substantial Business Relationship
The extent of a business relationship necessary under applicable state law to make a guarantee contract issued
incident to that relationship valid and enforceable. A guarantee contract is issued "incident to that relationship" if it
arises from and depends on existing economic transactions between the
guarantor and the owner or operator (40 CFR 280.92).
This document is intended solely for guidance. No statutory or regulatory 15
requirements are in any way altered by any staternent(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Substantial Governmental Relationship
The extent of a governmental relationship necessary under applicable state law to make an added guarantee contract
issued incident to that relationship valid and enforceable. A guarantee contract is issued "incident to that
relationship" if it arises from a clear commonality of interest in the event of an UST release such as coterminous
boundaries, overlapping constituencies, common ground-water aquifer, or other relationship other than monetary
compensation that provides a motivation for the guarantor to provide a guarantee {40 CFR 280,92).
Surface Impoundment
A natural topographic depression, man-made excavation, or diked area formed primarily of earthen materials
(although it may be lined with man-made materials) that is not an injection well (40 CFR 280.12).
Tangible Net Worth
The tangible assets that remain after deducting liabilities; such assets do not include intangibles such as goodwill and
rights to patents or royalties. For purposes of this definition, "assets" means all existing and all probable future
economic benefits obtained or controlled by a particular entity as a result of past transactions (40 CFR 280.92).
Tank
A stationary device designed to contain an accumulation of regulated substances and constructed of non-earthen
materials (e.g., concrete, steel, plastic) that provide structural support (40 CFR 280.12),
Underground Area
An underground room such as a basement, cellar, shaft, or vault, providing enough space for physical inspection of
the exterior of the tank situated on or above the surface of the floor (40 CFR 280.12).
Underground Release
Any below ground release (40 CFR 280.12).
Underground Storage Tank (UST)
Any one or a combination of tanks (including underground pipes connected thereto) that is used to contain an
accumulation of regulated substances, and the volume of which (including the volume of underground pipes
connected thereto) is 10 percent or more beneath me surface of the ground. This term does not include any (40 CFR
280.12):
1. farm or residential tank of 1100 gal or less capacity used for storing motor fuel for noncommercial purposes
2. tank used for storing heating oil for consumptive use on the premises where stored
3. septic tanks
4. pipeline facility (including gathering lines) that is regulated under:
a) the Natural Gas Pipeline Safety Act of 1968 (49 U.S.C.A. pp.1671, et, seq.), or'
b) the Hazardous Liquid Pipeline Safety Act of 1979 (49 U.S.C.A. pp. 2001, et. seq.), or
c) which is an intrastate pipeline facility regulated under state laws comparable to the provisions of the law
previously referred to in a) and b) of this definition
5. surface impoundment, pit, pond, or lagoon
6. stormwater or waste water collection system
7. flow-through process tank
8. liquid trap or associated gathering lines directly related to oil or gas production and gathering operations
9. storage tank situated in an underground area (such as a basement, cellar, mineworking, drift, shaft, or tunnel) if
the storage tank is situated upon or above the surface of the floor.
(NOTE: The definition of UST does not include any pipes connected to any tank which is described in paragraphs 1
through 9 of this definition.)
(NOTE: See also UST Definition and Applicability under Key Compliance Requirements for Underground Storage
Tanks.)
This document is intended solely for guidance. No statutory or regulatory 16
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Upgrade
The addition or retrofit of some systems such as cathodic protection, lining, or spill and overfill controls to improve
the ability of an UST system to prevent the release of product (40 CFR 280.12).
UST System or Tank System
UST, connected underground piping, underground ancillary equipment, and containment system, if any (40 CFR
280.12).
Wastewater Treatment Tank
A tank that is designed to receive and treat influent wastewater through physical, chemical, or biological methods (40
CFR 280.12).
Aboveground Storage Tank (AST)
In relation to hazardous waste, a device that meets the definition of tank in 40 CFR 260.10 and that is situated in
such a way that the entire surface area of the tank is completely above the plane of the adjacent surrounding surface
and the entire surface area of the tank (including the tank bottom) is able to be visually inspected (40 CFR 260.10).
Aboveground Tank
A tank used to store or process used oil that is not an UST as defined in 40 CFR 280.12 (40 CFR 279.1)
Administrator
The Administrator of the Environmental Protection Agency (U.S. EPA), or his designee (40 CFR 260.10).
Average Volatile Organic (VO) Concentration
The mass-weighted average VO concentration of a hazardous waste as determined in accordance with the
requirements of 40 CFR 265.1084 (40 CFR 265.1081).
Closure Device
A cap, hatch, lid, plug, seal, valve, or other type of fitting that blocks an opening in a cover such that when the
device is secured in the closed position it prevents or reduces air pollutant emissions to the atmosphere. Closure
devices include devices that are detachable from the cover (e.g., a sampling port cap), manually operated (e.g.,
hinged access lid or hatch), or automatically operated (e.g., a spring loaded pressure relief valve) (40 CFR
265.1081).
Continuous Seal
A seal that forms a continuous closure that completely covers the space between the edge of the floating roof and the
wall of a tank (40 CFR 265.1081).
Cover
A device that provides a continuous barrier over the hazardous waste managed in a unit to prevent or reduce air
pollutant emissions to the atmosphere. A cover may have openings (such as access hatches, sampling ports, gauge
wells) that are necessary for operation, inspection, maintenance, and repair of the unit on which the cover is used. A
cover may be a separate piece of equipment which can be detached and removed from the unit or a cover may be
formed by structural features permanently integrated into the design of the unit (40 CFR 265.1081).
Do-It-Yourself (D1Y) Used Oil Collection Center
Any site or facility that accepts, aggregates, and stores used oil collected only from household DIYs (40 CFR 279,1).
Enclosure
A structure that surrounds a tank or container, captures organic vapors emitted from the tank or container, and vents
the captured vapors through a closed-vent system to a control device (40 CFR 265.1081).
This document is intended solely for guidance. No statutory or regulatory 17
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Exempted Hazardous Waste Management Unit
In relation to air emissions standards, this is (40 CFR 264.1080(b) and 265,1080(b): -
1. a waste management unit that holds hazardous waste placed in the unit before December 6, 1996, and in which
no hazardous waste is added to the unit on or after December 6, 1996
2. a container that has a design capacity less than or equal to 0.1 m3
3. a tank in which an owner or operator has stopped adding hazardous waste and the owner or operator has begun
implementing or completed closure pursuant to an approved closure plan
4. a surface impoundment in which an owner or operator has stopped adding hazardous waste (except to implement
an approved closure plan) and the owner or operator has begun implementing or completed closure pursuant to
an approved closure plan
5, a waste management unit that is used solely for the on-site treatment or storage of hazardous waste that is
generated as the result of implementing remedial activities required under corrective action authorities of RCRA
sections 3004(u), 3004(v), or 3008(h); CERCLA authorities; or similar federal or state authorities
6. a waste management unit that is used solely for the management of radioactive mixed waste in accordance with
all applicable regulations under the Atomic Energy Act and the Nuclear Waste Policy Act
7, a hazardous waste management'unit that the owner or operator certifies is equipped with and operating air
emissions controls in accordance with regulations promulgated as a result of the CAA
8, a tank that has a process vent as defined in 40 CFR 264.1031.
Exempted Hazardous Waste Storage Tanks
Storage tanks arc exempt from these air emission requirements if the waste management unit is one of the following
(40 CFR 264,1082(c) and 265.1083(c)):
1. tanks for which all hazardous wastes entering the unit has an average VO concentration at the point of waste
origination is less than 500 ppmw. This determination is updated at least every 12 mo.
2. tanks for which the organic content of all hazardous wastes entering the unit has been reduced by an organic
destruction or removal process that achieves any of the following conditions:
a) a process that removes or destroys the organics to a level such that the average VO concentration of the
hazardous waste at the point of waste treatment is less than the exit concentration limit established for the
process
b) a process that removes or destroys the organics contained in the hazardous waste to such a level that the
organic reduction efficiency for the process is equal to or greater than 95 percent, and the average VO
concentration of the hazardous waste at the point of waste treatment is less than 100 ppmw
c) a process that removes or destroys the organics contained in the hazardous waste to such a level that the
actual organic mass removal rate for the process is equal to or greater than the required organic mass
removal rate established for the process
d) a biological process that destroys or degrades the organics contained in the hazardous waste such that either
of the following is met:
i) the organic reduction efficiency for the process is equal to or greater than 95 percent and the organic
biodegradation efficiency for the process is equal to or greater than 95 percent
ii) the total actual organic mass biodegradation rate for all hazardous waste treated by the process is equal
to or greater than the required organic mass removal rate
e) a process that removes or destroys the organics contained in the hazardous waste and meets all the
following conditions:
i) from the point of waste origination through the point where the hazardous waste enters the process, the
hazardous waste is continuously managed in waste management units which use air emissions controls
as applicable to the waste management unit
ii) from the point of waste origination through the point where the hazardous waste enters the process, any
transfer of the hazardous waste is accomplished through continuous hard-piping or other closed system
transfer that does not allow exposure of the waste to the atmosphere
iii) the average VO concentration of the hazardous waste at the point of waste treatment is less than the
lowest average VO concentration at the point of waste origination determined for each of the individual
hazardous waste streams entering the process or 500 ppmw, whichever value is lower
f) a process that removes or destroys the organics contained in the hazardous waste to a level such that the
organic reduction efficiency for the process is equal to or greater than 95 percent and the owner or operator
This document is intended solely for guidance. No statutory or regulatory |g
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
certifies that the average VO concentration at the point of waste origination for each of the individual waste
streams entering the process is less than 10,000 ppmw
g) a hazardous waste incinerator for which the owner or operator has either been issued a final permit under 40
CFR 270 or has certified compliance with the requirements of 40 CFR 265, Subpart O
h) a boiler or industrial furnace for which the owner or operator has been issued a final permit under 40 CFR
270 or has certified compliance with the requirements of 40 CFR 266, Subpart H.
3. a tank used for biological treatment of hazardous waste such that it degrades or destroys the organics contained
in the hazardous waste such that either of the following conditions is met:
a) organic reduction efficiency for the process is equal to or greater than 95 percent and the organic
biodegradation efficiency for the process is equal to or greater than 95 percent
b) the total actual organic mass biodegradation rate for all hazardous waste treated by the process is equal to or
greater than the required organic mass removal rate
.4. tanks for which all hazardous waste placed in the unit either:
a) meets the numerical concentrations limits for organic hazardous constituents as specified in 40 CFR 280
b) has been treated by the treatment technology established by the U.S. EPA in 40 CFR 268.42 or have been
removed or destroyed by an equivalent method of treatment approved by U.S. EPA under 40 CFR
. 268.42(b),
Existing Tank
A tank that is used for the storage or processing of used oil and that is in operation, or for which installation has
commenced on or prior to the effective date of the authorized used oil program for the state in which the tank is
located. Installation will be considered to have commenced if the owner or operator has obtained all federal, state,
and local approvals or permits necessary to begin installation of the tank and if either (1) A continuous on-site
installation program has begun, or (2) The owner or operator has entered into contractual obligations (which cannot
be canceled or modified without substantial loss) for installation of the tank to be completed within a reasonable time
40 CFR 279.1). >
External Floating Roof
A pontoon or double-deck type cover that rests on the surface of the material being managed in a tank that has no
'fixedroof (40 CFR 265.1081). '.
Fixed Roof
A cover that is mounted on a unit in a stationary position and does not move with fluctuations in the level of the
material managed in the unit (40 CFR 265.1081).
Floating Membrane Cover
A cover consisting of a synthetic flexible membrane material that rests upon and is supported by the hazardous waste
being managed in a surface impoundment (40 CFR 265.1081).
Floating Roof
A cover consisting of a double deck, pontoon single deck, or internal floating cover which rests upon and is
supported by the material being contained, and is equipped with a continuous seal (40 CFR 265.1081).
Generator
Any person, by site, whose act or process produces hazardous waste identified or listed in 40 CFR 261, or whose act
first causes a hazardous waste to become subject to regulation (40 CFR 260.10).
Household Do-It-Yourselfer Used Oil
Oil that is derived from households, such as used oil generated by individuals who generate used oil through the
maintenance of their personal vehicles (40 CFR 279.1).
Household "Do-It-Yourselfer" Used Oil Generator
An individual who generates household "do-it-yourselfer" used oil (40 CFR 279.1).
This document is intended solely for guidance. No statutory or regulatory . 19
requirements are in any way altered by any statement(s) contained herein. .
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
In-Ground Tank
A device meeting the definition of tank in 40 CFR 260.10 whereby a portion of the tank is situated to any degree
within the ground, thereby preventing visual inspection of the external surface of that tank that is in the ground (40
CFR 260.10),
Internal Floating Roof
A cover that rests or floats on the material surface (but not necessarily in complete contact within) inside a tank that
has a fixed roof (40 CFR 265.1081),
Malfunction
Any sudden, infrequent, and not reasonably preventable failure of air pollution control equipment, process
equipment, or a process to operate in a normal or usual manner. Failures that are caused in part by poor maintenance
or careless operations are not malfunctions (40 CFR 265.1081).
Maximum Organic Vapor Pressure
The sum of the individual organic constituent partial pressures exerted by the material contained in a tank, at the
maximum vapor pressure causing conditions (i.e. temperature, agitation, pH.effects of combining wastes, etc.)
reasonably expected to occur in the tank (40 CFR 265.1081).
Metallic Shoe Seal
A continuous seal that is constructed of metal sheets which are held'vertically against the well of the tank by springs,
weighted levels, or other mechanisms and is connected to the floating roof by braces or other means. A flexible
coated fabric spans the annular space between the metal sheet and the floating roof (40 CFR 265.1081).
New Tank
A tank that will be used to store or process used oil and for which installation has commenced after the effective date
of the authorized used oil program for the state in which the tank is located (40 CFR 279.1).
New Tank System or New Component System
in relation to hazardous waste, a tank system or component that will be used for the storage and treatment of
hazardous waste and for which installation has commenced after July 14,1986, except however, for purposes of 40
CFR264.193(g)(2) and 265.193(g)(2), a new tank system is one for which construction commenced after July 14,
1986 (40 CFR 260.10).
No Detectable Organic Emissions
No escape of organics to the atmosphere as determined using the procedure specified in 40 CFR 265.1084(d) (40
CFR 265.1081).
Off-Specification Oil
Used oil burned for energy recovery and any fuel produced from used oil by processing, blending, or other treatment,
is subject to 40 CFR 279 requirements unless it is shown not to exceed the following allowable limits (40 CFR
279.11):
Arsenic
Cadmium
Chromium
Lead
Flash point
Total halogens
5 ppm maximum
2 ppm maximum
10 ppm maximum
100 ppm maximum
100 ฐF minimum
4000 ppm maximum
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
20
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
On ground Tank . . .
In relation to hazardous waste, a device meeting the definition of tank in 40 CFR 260,10 and that is situated in such a
way that the bottom of the tank is on the same level as the adjacent surrounding surface so that the external tank
bottom cannot be visibly inspected (40 CFR 260.10), ' .
Petroleum Refining Facility J
An establishment primarily engaged in producing gasoline, kerosene, distillate fuel oils, residual fuel oils, and
lubricants, through fractionation, straight distillation of crude oil, redistillation of unfinished petroleum derivatives,
cracking or other processes (i.e., facilities classified as SIC 2911) (40 CFR 279.1),
Point of Waste Treatment
The point'where a hazardous waste to be treated in accordance with 40 CFR 265.1083(c)(2) exists the treatment
process, Any waste determination shall be made before the waste is conveyed, handled, or otherwise managed in a
manner that allows the waste to volatilize to the atmosphere (40 CFR 265.1081).
Processing
Chemical or physical operations designed to produce from used oil, or to make used oil more amenable for
production of fuel'oils, lubricants, or other used oil-derived product. Processing includes, but is not limited to:
blending used oil with virgin petroleum products, blending used oils to meet the fuel specification, filtration, simple
distillation, chemical or physical separation, and re-refining (40 CFR 279.1).
Re-Refining Distillation Bottoms
The heavy fraction produced by vacuum distillation of filtered and dehydrated used oil. The composition of still
bottoms varies with column operation and feedstock (40 CFR 279.1).
Single Seal System
A floating roof having one continuous seal. This seal may be vapor-mounted, liquid mounted or a metallic shoe seal
(40 CFR 265:1081).
Small Quantity Generator
A generator who generates less than 1000 kg of hazardous waste in a calendar month (40 CFR 260,10).
Tank
In relation to hazardous waste, a stationary device designed to contain an accumulation of hazardous waste that is
constructed primarily of non-earthen materials (e.g., wood, concrete, steel, plastic) which provide structural support
(40 CFR 260.10).
Tank
Any stationary device, designed to contain an accumulation of used oil which is constructed primarily of non-earthen
materials, (e.g., wood, concrete, steel, plastic) which provides structural support (40 CFR 279.1).
Tank System
A hazardous waste storage or treatment tank and its associated ancillary equipment and containment system (40 CFR
260.10).
Underground Tank
In relation to hazardous waste, a device meeting the definition of tank in 40 CFR 260.10 whose entire surface area is
totally below the surface and covered by the ground (40 CFR 260.10).
Unfit-for-Use Tank System
A tank system that has been determined "through an integrity assessment or other inspection to be no longer capable
of storing or treating hazardous waste without posing a threat of release of hazardous waste to the environment (40
CFR 260.10).
This document is intended solely for guidance. No statutory or regulatory 21
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Used Oil
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 (40 CFR 279.1).
Used Oil Aggregation Point
Any site or facility that accepts, aggregates, and/or stores used oil collected only from other used oil generation sites
owned or operated by the owner or operator of the aggregation point, from which used oil is transported to the
aggregation point in shipments of no more than 55 gal. Used oil aggregation points may also accept used oil from
household DIYs (40 CFR 279.1).
Used Oil Burner
A facility where used oil-not meeting the specification requirements in 40 CFR 279.11 is burned for energy recovery
in devices identified in 40 CFR 279.61 (a) (40 CFR 279.1).
Used Oil Collection Center
Any site or facility that is registered/licensed/ permitted/recognized by a state/county/municipal government to
manage used oil and accepts/aggregates and stores used oil collected from used oil generators who bring used oil to
the collection centers in shipments of no more than 55 gal. Used oil collection centers may accept used oil from
household DIYs (40 CFR 279.1).
Used Oil Fuel Marketer
Any person who conducts either of the following activities (40 CFR 279.1):
1. directs a shipment of off-specification used oil from their facility to a used oil burner,
2. first claims that used oil that is to be burned for energy recovery meets used oil fuel specifications in 40 CFR
279.11.
Used Oil Generator
Any person, by site, whose act or process produces used oil or whose act first causes used oil to become subject to
regulation (40 CFR 279.1) .
Used Oil Processor/Re-Refiner
A facility that processes used oil (40 CFR 279.1).
Used Oil Transfer Facility
Any transportation-related facility, including loading docks, parking areas, storage areas, and other areas where
shipments of used oil are held for more than 24 h and not longer than 35 days during the normal course of trans-
portation (40 CFR 279.1).
Used Oil Transporter
Any person who transports used oil, any person who collects used oil from more-than one generator and transports
the collected oil, and owners and operators of used oil transfer facilities. Used oil transporters may consolidate or
aggregate loads of used oil for purposes of transportation, but, with the following exception, may not process used
oil. Transporters may conduct incidental processing operations that occur in the normal course of used oil
transportation (e.g., settling and water separation), but that are not designed to produce or make more amenable for
production of used oil derived products or used oil fuel (40 CFR 279.1).
Vapor Mounted Seal
A continuous seal that is mounted such that there is a vapor space between the hazardous waste in the unit and the
bottom of the seal (40 CFR 265,1081)..
Volatile Organic (VO) Concentration
The fraction by weight of the volatile organic compounds in a hazardous waste expressed in terms of ppmw as
determined by direct measurement or by knowledge of the waste in accordance with the requirements of 40 CFR
265.1084 (40 CFR265.1081).
This document is intended solely for guidance. No statutory or regulatory 22
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Waste Stabilization Process
Any physical or chemical process used to either reduce the mobility of hazardous constituents in a hazardous waste
or eliminate free liquids (40 CFR 265.1081).
UST records regarding leak detection performance and maintenance including:
- monitoring results over the last 12 months
- most recent tank tightness test(s)
- manual tank gauging records
- copies of performance claims provided by leak detection equipment manufacturers
- records of recent maintenance, repair and calibration of on-site leak detection equipment
Records of required inspections and test of corrosion protection systems
Records of repairs or upgrades to UST systems
Site assessment results of closed USTs
Spill Prevention Control and Countermeasure (SPCC) Plans
Spill Response Plans
Results of AST integrity assessments, sampling, monitoring, inspection and repair work
Notification forms and registration records for all in-service, temporarily out-of-service, and permanently closed
tanks
Financial responsibility documentation
^PMYWCTK7^lln^WFT;T^inซi:inii!ii!^ 1 " *" "" """ .'JTOl
Tffpicali'Fhysicallffiatur.^ ^ ,:'_: ^.^Jj
Bulk storage tank farms
Transfer terminals
* Secondary confainment structures
Tank peripheral piping, manifolds, filling and dispensing areas
Dispenser pumps and check valves
Tank sumps, manway areas
Leak detection equipment
Overflow alarms or other audible and visual alarms, sight gauges
Fill ports, catchment basins
Oil/water separators
Cleanup equipment (e.g. absorbent materials, fuel recovery pumps, personal protective gear)
This document is intended solely for guidance. No statutory or regulatory 23
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
AST
ASTM
BOP
C
CAA
CERL
CESQG
CFC
CFR
cm
cm2
CWA
D1Y
DOT
EO
EPA
F
FR
ft
ft2
ft3
gal
h
in.
kg
km
Kpa
L
LQG
Ib
m
m2
m3
jig
mg
min
mL
jim
mo
MW
NFPA's
NOV
NRC
OSC
ppm
ppmw
PFA
PREP
RCRA
SQG
SPCC
aboveground storage tanks
American Society for Testing and Materials
blowout prevention
celcius
Clean Air Act
U.S. Army Corps of Engineers Construction Engineering Reasearch Laboratory
conditionally exempt small quantity generator
chlorofluorocarbons
Code of Federal Regulations
centimeter
square centimeter
Clean Water Act
do-it-yourself
Department of Transportation
Executive Order
Environmental Protection Agency
fahrenheit
Federal Register
foot/feet
square feet '
cubic feet
gallon
hour
inch
kilogram
kilometer
kilopascal
liter
large quantity generator
pound
meter
square meter
cubic meter
microgram
milligram
minute
milliliter
micrometer
month
mega watts
National Fire Protection Association's
Notice of Violation
National Response Center
On-Scene Coordinator
part per million
part per million by weight
probability of false alarm
preparedness for response exercise program
Resource Conservation and Recovery Act
small quantity generator
Spill Prevention Control and Countermeasure Plan
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
24
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
TSDF treatment, storage, and disposal facility
USC U.S. Code
U.S. EPA U.S. Environmental Protection Agency
UST underground storage tanks
VO volatile organic
yd2 , square yard
yr year
This document is intended solely for guidance. No statutory or regulatory 25
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory 26
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
c-^MBBJ
llillll'iilli ;.!' Hi M iJllMHHill
General
Underground Storage Tank Installation and
Upgrading
Underground Storage Tank Filling
Underground Storage Tank Repairs and Corrosion
Protection
Release Detection for Underground Storage Tanks
Underground Storage Tank Releases
Out-of-Service Underground Storage Tanks and
Closure of Underground Storage Tanks
Underground Storage Tank Documentation
Underground Storage Tank Financial Responsibility
Hazardous Waste Storage Tanks
Small Quantity Generators
Large Quantity Generators
Treatment, Storage and Disposal Facilities
Used Oil Storage Tanks
lij 1 IP 1 fe''> 'l * * ^Refer|Tb: j
lllS^'1^!
ST.l.l through ST, 1.3
ST.300.1 through ST.300.6
ST.320.1andST.320.2
ST.350.1 andST.350.2
ST.370.1 through ST.370.4
ST.380.1 through ST.380.7
ST.390.1 through ST.390.6
ST.400.1 through ST.400,5
ST.430.1 through ST.430.18
ST.500.1 through ST.500.3
ST.540.1 through ST.540. 17
ST.560.1 through ST.560. 18
ST.600.1 through ST.600.7
H si 'lipfi
Jili iliiil
PUSE'lM
'Page Number:
29
31
37
39
41
45
51
55
59
75
77
95
113
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
27
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Protocol for Conducting Environmental.Compliance Audits of Storage Tanks under RCRA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory ' 28
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
: mis J4 KttiE lil&M ^liC-v^f JiLfcl E2S 1
ST.l
ST. 1.1. The current status of
any ongoing or unresolved
consent orders, compliance
agreements, notice of
violations (NOVs), inter-
agency agreements, or
equivalent state enforcement
actions should be examined.
Determine if noncompliance issues have been resolved by reviewing a copy of the
previous report, consent orders, compliance agreements, NOVs, interagency
agreements, or equivalent state enforcement actions.
(NOTE: For those open items, indicate what corrective action is planned and
milestones established to correct problems.)
ST.1.2. 'Facilities are required
to comply with all applicable
federal regulatory
requirements not contained in
this checklist.
Determine if any new regulations have been issued since the finalization of this
document. If so, annotate checklist to include new standards.
Determine if the facility has activities or facilities which are regulated, but not
.addressed in this checklist.
Verify that the facility is in compliance with all applicable and newly issued
regulations.
ST.l.3. Facilities are required
to comply with state and local
regulations concerning spitl
plan arid storage tanks
management.
Verify that the facility is complying with state and local requirements.
Verify that the facility is operating according to permits issued by the state or local
agencies.'
(NOTE: Issues typically regulated by state and local agencies include:
operational standards
- permitting requirements
- replacement and removal schedules
- cathodic protection requirements
alarm system requirements.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
29
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory . 30
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
BE? \ \ i mm - "H
K"-~
r\t*
E ฃ-f
Ni
5T.300
UNDERGROUND
STORAGE TANK
INSTALLATION AND
UPGRADING
r'
ST.300.1. Existing UST
systems were required meet
.he standards for new USTs,
jc upgraded, or closed by
December 22, 1998 (40 CFR
280.10(c) and 280.21 (a)
ihrough 280.2 l(d)).
(NOTE: An existing UST system is; one used to contain an accumulation ol
regulated substances on or before December 22, 1988 or one for which installation
commenced on or before December 22, 1998.)
Verify that existing USTs meet one of the following standards:
-the performance standards for new USTs in 40 CFR 280.20 (see checklisl
items ST.300.2 through ST.300.4)
-upgrading requirements outlined in 40 CFR 280.2l(b) through 40 CFR
280.2 l(d) (see checklist items ST. 300.1)
-closed according to 40 CFR 280.70 through 280.74 (see checklist items
ST.390,1 through ST.390.6 and ST.400.4).
Verify that, if upgrading is the chosen option, the upgrading of steel USTs
includes one of the following methods in accordance with a code of practice
developed by a nationally recognized association or independent testing
laboratory:
internal lining according to the following requirements:
-lining is installed according to 40 CFR 280.33 (see checklist item
ST.350.2)
-within 10 yr after lining, and every 5 yr thereafter, the lined tank is
inspected internally and found to be structurally sound, with the lining
still performing in accordance with original design specifications
-cathodic protection with fie id-installed systems designed by a corrosion
expert, impressed current systems designed to allow determination of the
. current operating status, or an approved equivalent system and the integrity is
assured by one of the following:
tank is internally inspected and assessed to ensure that the tank is
structurally sound and free of corrosion holes prior to installing the
cathodic protection system
-the tank has been installed for less than 10 yr and is monitored monthly
for releases (see Appendix C of this document) in accordance with 40
CFR 280,43(d) through (h)
-the tank has been installed for less than 10 yr and is assessed for
corrosion holes by conducting two tightness tests, one before and one 3
to 6 mo after first operation of the cathodic protection system
-tank is assessed for corrosion holes by a method that is determined to
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
31
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
be equally protective by the implementing agency
- internal lining combined with cathodic protection:
- if lining is installed according to requirements in 40 CFR 280.33
-if the cathodic protection system meets the following:
field-installed systems are designed by a corrosion expert
impressed current systems are designed to allow determination of
the current operating status
-cathodic protection systems are maintained and operated in
accordance with 40 CFR 280.31 (see checklist item ST.350.1).
Verify that metal piping that routinely contains regulated substances and is in
contact with the ground.is cathodically protected in accordance with a code of
practice developed by a nationally recognized association or independent testing
laboratory meets the following:
- field-installed systems are designed by a corrosion expert
-impressed current systems are designed to allow determination of the current
operating status
- cathodic protection systems are maintained and operated in accordance with
40 CFR 280.31 (see checklist item ST.350,1).
Verify that when spill and overfill equipment is added, it meets the standards in 40
CFR 280.20(c) (see checklist item ST.300.2) for new USTs.
[NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
-any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
-any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
- airport hydrant fuel distribution systems
- UST system with field-constructed tanks.)
^NOTE: A new UST system is one that will be used to contain an accumulation of
egulated substances and for which installation has commenced after December
12, 1988.)
IT.300.2. New UST systems
nust be constructed in such a
nanner that they will remain
tructurally sound for their
Derating life (40 CFR
;80.10(c), 280.20(a), and
80.20(b)).
Verify that each UST is properly designed and constructed, and any portion
jnderground that routinely contains product is protected from corrosion in
iccordance with a code of practice developed by a nationally recognized
issociation or independent testing laboratory and the tank is constructed of one of
he following materials:
fiberglass-reinforced plastic
- steel which has cathodic protection in the following manner:
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
32
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
I'M" iIt nwt.im'iiiJiiiii iiiiEi sii-liiilimimH 'f p
V'i:' REQUIREMENTi'OR|f'!
M ) > h i, < "til!*; ?P!S) -M '!<>nui]ii,u!r"<|s.jjE'lii ' iri ']' 1'
!
"STO
EPi;I:K
II
I
Sit
Sffip
ill
'
lilPi
coated with a suitable dielectric material
field installed cathodic protection designed by a corrosion expert
impressed current systems which allow determination of current
operating status as required in 40 CFR 280.31(c) (see checklist item
ST.350.1)
-cathodic protection systems are operated and maintained in accordance
with 40 CFR 280,31 or according to a guideline established by the
implementing agency (see checklist item ST.350.1) .
steel-fiberglass-reinforced-plastic composite
, -metal without additional corrosion protection provided that:
-the tank is installed at a site that has been determined by a corrosion
expert not to.be corrosive enough to cause it to have a release due to
corrosion during the operating life of the tank
-records are maintained for the operating life of the tank that it is in a
corrosion free environment
-tank construction and corrosion protection are determined by the
implementing agency to be designed to prevent the release or
threatened release of any stored regulated substance in a manner that is
as protective of human health and the environment as the above criteria.
'NOTE: Piping must also meet the same criteria above. However, piping cannot
je constructed of steel-fiberglass-reinforced-plastic composite.)
^NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
-any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
airport hydrant fuel distribution systems
UST system with field-constructed tanks.)
iT.300.3, New UST systems
re required to be fitted with
pill and overfill prevention
quipment (40 CFR 280.10(c)
nd 280.20(c)).
Verify that spill prevention equipment will prevent a release of product to the
mvironment when the transfer hose is detached from the fill pipe.
/erify that overfill prevention equipment does one of the following:
- automatically shuts ofT flow into the tank when the tank is no more than 95
percent full
-alerts, the transfer operator when the tank is no more than 90 percent full by
restricting the flow into the tank or triggering a high-level alarm
restrict flow 30 min prior to overfilling, alert the operator with a high-level
akrm 1 min before overfilling, or automatically shut off flow into the tank so
that none of the fittings are exposed to product due to overfilling.
This document is intended solely for guidance. Np statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
33
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
(NOTE: This spill and overfill equipment is not required if approved equivalent
equipment is used or the UST system is filled by transfers of no more than 25 gal
at one time.)
(NOTE: All existing tanks were to be upgraded by 1998. The state may have had
an earlier deadline.)
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
-any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
-any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by. the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
- airport hydrant fuel distribution systems
- UST system with field-constructed tanks.)
ST.300.4. Installation of new
UST systems must be certified
and done according to
standard practices (40 CFR
280.10(c), 280.20(d), and
280.20(e)).
Determine if new UST systems have been properly installed by reviewing records
for certification.
Verify that installation of tanks and piping is done in accordance with a code of
practice developed by a nationally recognized association or independent testing
laboratory and in accordance with the manufacturer's instructions.
Verify that one or more of the following methods of certification, testing, or
inspection is used to demonstrate compliance:
-the installer has been certified by the tank and piping manufacturer
the installer has been certified or licensed by the implementing agency
the installation has been inspected and certified by a registered professional
engineer with education and experience in UST system installation
. - the installation has been inspected and approved by the implementing agency
-all work listed in the manufacturer's installation checklists has been
completed
the owner and operator have complied with another method for ensuring
compliance that is determined by the implementing agency to be no less
protective of human health and the environment..
(NOTE: The following types of USTs are not subject to these requirements:
wastewater treatment tank systems
any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
- any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
34
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
I I
v-
^.==
vi '
is- t"i- si
RI VIF
under 10 CFR 50, Appendix A
-airport hydrant fuel distribution systems
-UST system with field-constructed tanks.)
ST.300.5. UST systems must
be made of or lined with
materials compatible with the
substance stored (40 CFR
280.10(c) and 280.32).
Verify that the UST system is made or lined with materials that are compatible
with the substances stored in it.
Determine which USTs are being used to store a substance other than that for
which it was originally intended.
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
-any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
-any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
- airport hydrant fuel distribution systems
-UST system with field-constructed tanks.)
ST.300.6. Deferred UST
systems are required to meet
specific standards (40 CFR
280.10(c)and280.11)
Verify that no one installs a deferred UST for storing regulated substance unless
the UST system (whether of single- or double-wall construction):
-will prevent releases due to corrosion or structural failure for the operational
life of the system
-is cathodically protected against corrosion, constructed of noncorrodible
materials, steel clad with noncorrodible material, or designed in a manner to
prevent the release or any threatened release of any stored substance
.-is constructed or lined with material that is compatible with the stored
substance.
(NOTE: UST systems without corrosion protection may be installed at a site that
is determined by a corrosion expert not to be corrosive enough to cause it to have
a release due to corrosion during its operating life. Records, documenting
compliance with this installation requirement, must be kept for the life of the tank.)
Verify that deferred systems meet the standards concerning release response and
action for USTs containing petroleum or a hazardous substance found in 40 CFR
280.60 through 280.67 (see checklist items ST.380.3 through ST.380.7 and
ST.400.5).
(NOTE: The following types of USTs are deferred USTs:
- wastewater treatment tank systems
-any UST systems containing radioactive material that are regulated under the
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
35
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
r no--?. I
r r \~
any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
-airport hydrant fuel distribution systems
- UST system with field-constructed tanks.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
36
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
tH. -..-...-.!. !, J...:-.!
. . f_ ft-vi f1 i. s \ vc I. C A1E-CTJH V
* r; r T- -s. ,s r& t, r -s. N .-,?.; E M fc VI
'sj?r: & ::-:
-:*ji K r E; si E_4ฅ= J K sr:.~ =" jj ft
"
UNDERGROUND
STORAGE TANK
FILLING
f :: M^.
.-. Vr. :
" * . i'rriii .;!*;!:.;._;;___ f "
ST.320.1. The filling of an
UST must include the
prevention of overfilling and
spilling of the regulated
substance (40 CFR 280,10(c)
and 280,30(a)).
Determine if there is a problem with overfilling of USTs or spills by observing the
filling operations, reviewing records, and checking the ground around the fill-lines
for visible or odorous indications of contamination,
Verify that the level of the UST is checked before a transfer is made and that the
volume available in the tank is greater than the volume of the product.to be
transferred to the tank.
Verify that the transfer operation is monitored constantly.
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
-any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
-any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
airport hydrant fuel distribution systems
UST system with field-constructed tanks.)
ST.320.2. Spills or overfills
from UST systems are
required to be contained,
cleaned up, and reported to
the implementing agency
within 24 h in specific
situations (40 CFR 280.10(c),
280.30(b), and 280.53).
Verify that any and all spills or overfills which meet the following criteria have
been contained, cleaned up, and reported to the implementing agency within 24 h,
or another reasonable time period specified by the implementing agency, and
corrective actions started:
spills or overfills of petroleum that result in a release to the environment of
more than 25 gal, or another reasonable amount specified by the
implementing agency, or that caused a sheen on nearby surface water
spills or overfills of hazardous substances that result in a release to the
environment in excess of the reportable quantity under CERCLA.
(NOTE: Spills or overfills of hazardous substances to the environment equal to or
greater than the reportable quantity must be immediately reported to the National
Response Center (NRC).)
Verify that a spill or overfill of petroleum that is less than 25 gal, or another
reasonable amount specified by the implementing agency, and a spill or overfill of
a hazardous substance that is less than the reportable quantity is contained and
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
37
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
; .......................!..!...!.B!!!!:^^^
' . . ; ' . , ' i ; , 1 1 : -: : : : - : : ; f 1 '> r - : . ai Cw*l P ItAMTE C ?, M-GOR V-.Y..: T i i ; ;
*:.:.*: :***:.*.:*: *. .*:.:. t : **. : :'ttซ:
!!;!'!.! .!! :.: i " . '!-...ป! !\;s H*m.
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: ft : hi i : :Vt AA >". E i liClM! i:.^! T, ?-.. '..
;p;||i' i;-!tSi^CJfcC'JL ".:'!".?: f*
* ... ..-.._ * * 1 1 1** 1 1 ' t * : ' . : i ..::
iijlifi=i|.!Nrrt>p.1vf.;r;.1V!!^a H.-^i'iftlMEfKT!'; r, .!Mi
. : ' :'::"::" : i .- " : ' .'. ! : '
.. .- :..:.="!":ฃ! . . :.. :.': ;!^:i!'''.ii ,.":,;-, >' 31. .'ป:
; '.' i
i.-ii:H Is i!ซ!i riJ !tl-s:il-i':r:"'v v.~' ' ' rvrf W- ? ' = ^ ซ &-' t rl sl.>L-..kS
irimM liabM-ii I;.: .,:;=.*.... -.:> j.~:.fi -i ' ! 1 . . : k. '. ...: :;:. .. J ! t ' t
li%l aa :|ss=y tltซ*-'ซ:-ฅ-~vk:- *: . !' 'M :- - ' . v ' : 1 i .
i.u .. is.:^... ปป.:...ป .. - ...........: '. '. :.:... ป. ;.;... . ::.
8ft1i$i&tฃiPiliPฃSL!ii$i33i3f!i'ฃJ!^ut
s.:.: ' . ,~:"-': 'B.a::a;..a.!S:!!.-'S: TsUOa KiMasju
,":,!ซ.:. ...lijrt ....:.ป: "i.w :j:. :':" : i,i ::^t.:t i ^.j1!.: .
,,- iij-:-ซ- ': #:::ซ.; &#: ซฃ== ซ- i>ซ =v
Verify that, if the cleanup of these lesser quantities above cannot be accomplished
within 24 h, or another reasonable time period established by the implementing
agency, the implementing agency is notified.
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
-any UST systems containing radioactive material
Atomic Energy Act of 1 954
-any UST system that is a part of an emergency
that are regulated under the
generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
- airport hydrant fuel distribution systems
-UST system with field-constructed tanks.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
38
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
COMPLIANCE CATEGORY i
STORAGE TANK MANAGEMENT '
,l_ 1 if- *
i IE r * -
K "c
US'ซ111^ I i' c _-ti i
ST.350
UNDERGROUND
STORAGE TANK
REPAIRS AND
CORROSION
PROTECTION
ST.350.I. Steel UST systems
with corrosion protection must
meet specific requirements
(40 CFR 280,10(c) and
280.31).
Determine which steel UST systems have corrosion protection.
Verify that the corrosion protection systems are operated and maintained to
continuously provide corrosion protection to the metal components of that portion
of the tank and piping that routinely contain regulated substances and are in
contact with the ground.
Verify that all UST systems equipped with cathodic protection systems are
inspected for proper operation by a qualified cathodic protection tester in
accordance with the following:
-all cathodic protection systems are tested within 6 mo of installation and at
least every 3 yr thereafter or according to another reasonable time frame
established by the implementing agency
-criteria used to determine cathodic protection is adequate is in accordance
with a code of practice developed by a nationally recognized association.
Verify that UST systems with impressed current cathodic protection are inspected
every 60 days to ensure the equipment is running properly
Verify that inspection records are. maintained of the last three inspections for
systems with impressed current cathodic protection and of the last two inspections
for all other cathodic protection systems.
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
- any UST systems containing radioactive material that are regulated under the
A tomic Energy Act of 1954
-any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
- airport hydrant fuel distribution systems
-UST system with field-constructed tanks.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
i
REQUIREMENT|ORซ
"''''MifYcIiyi
5T.350.2. Repairs to USTs
must be performed according
,o industry code (40 CFR
280.10(c) and 280.33).
hlr
ฑ -_>.-. s ":=_ - -_*- : -_,, _
Determine if there have been any repairs by reviewing the records and
interviewing personnel. f
Verify that repairs to UST systems are properly conducted in accordance with a
code of practice developed by a nationally recognized association or an
independent testing laboratory.
Determine who does repairs to USTs and that the following procedures are used to
repair USTs:
-fiberglass reinforced plastic tanks may be repaired by the manufacturer's
authorized representative or in accordance with a code of practice developed
by a nationally recognized association or an independent testing laboratory
-metal pipe fittings and sections that have leaked due to corrosion must be
replaced,,whereas fiberglass pipes and fittings may be repaired according to
manufacturer's specifications.
Verify that tanks and piping that have been replaced or repaired undergo tightness
testing within 30 days following the date of completion of the repair.
(NOTE: Tanks and piping need not be tested if one of the following is met:
-repairs are internally inspected in'accordance with a code of practice
developed by a nationally recognized association or an independent testing
laboratory
the repaired portion is already monitored monthly for releases
an equally protective test as determined by the implementing agency is used.)
Verify that within 6 mo of repair, tanks with cathodic protection systems are tested
as follows:
- every 3 yr thereafter for all cathodic protection systems
- every 60 days for impressed current cathodic protection systems.
Verify that records of repairs that demonstrate compliance with these requirements
are maintained for the operating life of the tank.
(NOTE: The following types of USTs are not subject to these requirements:
wastewater treatment tank systems
any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A '
- airport hydrant fuel distribution systems
-UST system with field-constructed tanks.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
40
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
mKi-^i r .^fe. *ป* -A M.I t4 i ^ r
RELEASE DETECTION
FOR UNDERGROUND
STORAGE TANKS
ST.370.1. New and existing
USTs are required to provide
a method, or combination of
methods of release detection
(40 CFR 280.10(c),
280.10(d), 280.40(a), and
280.40(d)).
Verify that owners and operators of new and existing UST systems provide a
method, or combination of methods, of release detection that:
-can detect a release from any portion of the tank and the connected
underground piping that routinely contains product
-is installed, calibrated, operated, and maintained in accordance with the
manufacturer's instructions, including routine maintenance and service
checks for operability or running condition, and
-meets the performance requirements in 40 CFR 280.43 or 280.44, with any
performance claims and their manner of determination described in writing
by the equipment manufacturer or installer {see Appendix C of this
document).
Verify that methods used 'are capable of detecting the leak rate or quantity
specified for that method with a probability of detection (Pd) of 0.95 and a
probability of false alarm (PFA) of 0.05.
Verify that existing UST systems that cannot apply'a compliant method of release
detection are closed in accordance with 40 CFR 280.70 -through 280.74 (see
checklist item ST.390.1 through ST.390.6 and ST.400.4).
(NOTE: The following types of USTs are not subject to these requirements:
wastewater treatment tank systems
any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
any UST system that is a part of an emergency generator system at nuclear
power'generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
- airport hydrant fuel distribution systems
-UST system with field-constructed tanks
UST system that stores fuel solely for use by emergency power generators.)
ST.370.2. UST systems
containing petroleum must
meet specific release detection
system requirements (40 CFR
280.10(c), 280.10(d), 280.41,
280.43, and 280.44).
Verify that tanks are monitored every 30 days using one of the following methods
(details of methods are provided in Appendix C of this document):
- automatic tank gauging
- vapor monitoring
- groundwater monitoring
- interstitial monitoring
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
41
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
::ii|ii*P> f yฃsM&i.\iA& C rC:.?
'"" 'ฅ,!
iffrH.: ฃ
|.;.;::,,.;.:;
pl|gll!|Pli=51|l"y;?:'": "i '/''"{ ii f.v s r w wm '^riff^e^s^^^^^^SW^Mm^?'. ''
other acceptable methods,
(NOTE: The following are exceptions:
-UST systems that meet performance standards for new or upgraded systems
(40 CFR 280.20 and 280.21, see checklist items ST.300.1 through ST.300.4)
and monthly inventory requirements may use tank tightness testing at least
every 5 yr until December 22, 1998 or until 10 yr after the tank is upgraded
or installed, whichever is later
-UST systems that do not meet performance standards for new or upgraded
systems (40 CFR 280.20 and 280.21, see checklist items ST.300.1 through
ST.300.4), may use monthly inventory controls and annual tank tightness
testing until December 22, 1998, at which time the tank must be upgraded or
permanently closed
-tanks that hold less than 550 gal or less may use weekly tank gauging.)
(NOTE: See Appendix B of this document for a description of monthly
monitoring requirements and tank tightness testing requirements.)
Verify that underground piping which routinely contains a regulated substance is
monitored for releases in a manner that meets one of the following requirements:
-pressurized piping:
equipped with automatic line leak detector
- annual tightness testing or 'monthly monitoring.
- suction piping:
- line tightness testing every 3 yr or acceptable monthly monitoring
no release detection system is needed for suction piping which is below
grade and meets all of the following standards:
- operates at less than atmospheric pressure
- is sloped so that contents of pipe will roll back to tank when
suction is released
- only one check valve is included in each suction line
-the check valve is located directly below and as close as practical
to the suction pump,
(NOTE: The following types of USTs are not subject to these requirements:
wastewater treatment tank systems
-any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
airport hydrant fuel distribution systems
- UST system with field-constructed tanks
- UST system that stores fuel solely for use by emergency power generators.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
42
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
iซ}i!:l'fll'i
M'i| (REGULATORY,!! |'ii j]
i . 1 l,i HH in mi! in !|inii UPII jiMI'ilh
! 1 1 REQIJ1 REM ENT, OR )' i| i
f ' 1 1 IV^A NI!A!^'|*' M FNfTi' ' ^ ill
, ! i ;$ lifRiA^f ICE! ji A\i 'i Ji
is !'*]! !('l< ซ'!''! t'l 1!U!1 !!l !'"![' li'l' ' I'l , H [i I
i,'1, ซ! inililiitriHiriiMi i! i! .m1".
T.370.3. Hazardous
ibstance USTs must meet
jecific release detection
:andards (40 CFR 280.10(c),
80.10(d), 280.42(b)).
.r^;;^^;^t"Ui:/-.-: -'-?'-' _.-:-~3
= -= -. - -"- : - - _ " " _ E - I
- - ~_ - _- _~_ ----- ""- .-"- _-_. - -_"= " " -"- -""-_" =j
- ~ " Crl-Ttl"- VK B-iKK-tq-liflfia'-~ -~c ~-
= ":;"--_ - '--_,'_ """_V-""t~= ]f - "" --"-=i
: "-." ."-J:S:>iA;~ :Bi:>":r=.-=.i :--.!=-.-"="- -=-"E,
Verify that release detection at new hazardous substance UST systems meets all of
the following requirements:
- secondary containment systems are designed, constructed and installed to:
contain regulated substances released from the tank system until they
are detected and removed >
- prevent the release of regulated substances to the environment at any
time during the operational life of the UST system
be checked for evidence of a release at least every 30 days.
- double- walled tanks are designed, constructed, and installed to:
contain a release from any portion of the inner tank within the outer
wall
detect the failure of the inner wall
-external liners (including vaults) are designed, constructed, and installed to:
contain 100 percent of the capacity of the largest tank within its
boundary
prevent the interference of precipitation or ground-water intrusion with
the ability to contain or detect a release of regulated substances
-surround the tank completely (i.e., it is capable of preventing lateral as
well as vertical migration of regulated substances)
underground piping is equipped with secondary containment systems that are
designed, constructed and installed to:
- contain regulated substances released from the tank system until they
are detected and removed
-prevent the release of regulated substances to the environment at any
time during the operational life of the UST system
be checked for evidence of a release at least every 30 days.
underground piping that conveys regulated substances under pressure is
equipped with an automatic line leak detector.
^NOTE: The provisions of 40 CFR 265.193 Containment and Detection of
Releases may be used to comply with these requirements (see checklist item
5T.540. 1 through ST.540.2 and ST.560. 1 through ST.560.2).)
TJOTE: Other methods of release detection may be used if owners and operators
serform all of the following:
- demonstrate to the implementing agency that an alternate method can detect a
release of the stored substance as effectively as any of the methods allowed
in 40 CFR 280.43(b) through (h) can detect a release of petroleum (see
Appendix C of this document)
-provide information to the implementing agency on effective corrective
action technologies, health risks, and chemical and physical properties of the
stored substance, and the characteristics of the UST site
obtain approval from the implementing agency to use the alternate release
detection method before the installation and operation of the new UST
system,)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
43
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
: i: bA ThLKEty.:::w'L .::! !
is
ffcJLj^UJftEPHENTiDftl
iti*;:. * *" "' .v*""
P:
-*i: "'..t.*-!;:;.;" :! * * i r. if f i i;:;.." n1^ St{ i syajai i^ ts- r" ฃ: ::'";, v*"j\r, r?j s
.!""::"it' t.;:ri"':ii % ' % ! t i: . i: t j fti i.FLL F .LE^TF st. PL L. ELiL:L...?L"-:' .' ซซ:" J" :." - : * ",*:; ':::! .i:::: i
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
- any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
- any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
airport hydrant fuel distribution systems
UST system with field-constructed tanks
-UST system that stores fuel solely for use by emergency power generators.)
ST.370.4. Existing hazardous
substance USTs must have
met specific release detection
standards by December 22,
1998 (40 CFR 280.10(c),
280.10(d),280.42(a)).
Verify that existing hazardous substance USTs meet the release detection
requirements for new hazardous substance USTs by December 22, 1998 (see
checklist item ST.370.3).
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
-any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
-any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
- airport hydrant fuel distribution systems
- UST system with field-constructed tanks
-UST system that stores-fuel solely for use by emergency power generators.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any staternent(s) contained herein.
44
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
:\-. ;: '=;?:.:,=!L:jj;p^"_|^j|^gDMJyjyj3igE.^A;T|;|=^Lfr|
1 * 1-'^^yf^lJ^iS.J*3!!^H Hi iriliffi
S i;i;| is lp|iฅSl^ฃ^^ fflil IMKS; Wf
: j; ? Jia^SEi^SpHl I
. .* : " .: C!~ฃ|* Js'a"*"":" I e" SI*'l. I ^i"*^ **" Ji : * j i*j, {j: *" 5;i
: * . t; .! E E'l.rL';.. :: ! !.* K. .. K x .j-*:. -.; i: lii'j: ::';:;
s Y.;:: J4 VI4-- 'RiV^l-'sfi5^ฎ! iii
UNDERGROUND
STORAGE TANK
RELEASES
ST.380.1. Releases from UST
systems are required to be
reported under specific
conditions (40 CFR
280.10(c), 280.40(b), and
280.50).
Verify that, when a release detection method operated in accordance with the
performance standards in 40 CFR 280.43 and 280.44 (see Appendix C in this
document) indicates a release may have occurred, the implementing agency is
notified in accordance with 40 CFR 280.50 through 280.53 (see checklist items
ST.320.2, ST.380.1 and ST.380.2).
Determine if any and all releases that meet any of the following conditions were
reported;
-released regulated substances found at the UST site or in the surrounding
area (such as the presence of free product or vapors in soils, basements,
sewer and utility lines, and nearby surface waters)
-unusual operating conditions observed such as the erratic behavior of
dispensing equipment or a sudden loss of product unless it is determined the
problem lies in the equipment but it is not leaking and is immediately
repaired or replaced
-monitoring results from a release detection method operated in accordance
with the performance standards in 40 CFR 280.41 and 280.42 (see Appendix
C of this document) indicates a possible release, unless one of the following
occurs:
-the monitoring device is found to be defective, and is immediately
repaired, recalibrated, or replaced, and additional monitoring does not
confirm the initial result
-in the case of inventory control, a second month of data does not
confirm the initial result.
Verify that the implementing agency was notified within 24 h (or another
reasonable time period specified by the implementing agency) of the release.
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
-any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
airport hydrant fuel distribution systems
UST system with field-constructed tanks.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
45
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
ST.380.2. All suspected
releases of a regulated
substances requiring reporting
within 7 days must be
investigated and confirmed
unless a corrective action is
started immediately as
detailed in 40 CFR 280.60
-through 280,67 (40 CFR
280.10(c) and 280.52).
Verify that all suspected releases of a regulated substances'-requiring reporting
within 7 days, or another reasonable time period specified by the implementing.
agency, are investigated and confirmed unless a corrective action is started
immediately as detailed in 40 CFR 280.60 through 280.67
Verify that confirmation is done using tightness testing to determine whether a
leak is in the tank, the delivery piping, or both.
(NOTE: If the test results for the system, tank or delivery piping indicate that a
leak has occurred, repair, replacement, or upgrade actions, and corrective actions
must be started.)
(NOTE: If the test results, for the system, tank or delivery piping do not indicate a
leak and environmental contamination is not the basis for suspecting a release, ho
further investigation is needed.)
Verify that, if environmental contamination is the basis for suspecting a leak, and
the tightness test does not indicate a leak exists, a site check is done which
measures for the presence of a release in the areas where contamination is most
likely to be present.
Verify that, when selecting sample types, sample locations, and measurement
methods for a site check, owners and operators consider the nature of the stored
substance, the type of initial alarm or cause for suspicion, the type of backfill, the
depth of groundwater, and other factors appropriate for identifying the presence
and source of the release.
(NOTE:-If the test results or excavation zone or UST site indicate that a release
has occurred, owners and operators must begin corrective action in accordance
with 40 CFR 280.60 through 280.67 (see checklist items ST.380.2 through
ST.380.7, and ST.400.5).)
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
- any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
- airport hydrant fuel distribution systems
UST system with field-constructed tanks.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statemcnt(s) contained herein.
46
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
j! .HP |l- tMPi p!HI!ilf>ll!,pl|llf]iinMl!l|MIIip!Jt!i!!!ffiMl!!!i!il
I i' GOMPiiiANGE'CATERY
1 IB
'.TA\KIM!ANXGEMENTil
vr
i r;
frtaEL v..-iik_- i-iird
response actions must be
performed within 24 h of a
;onfirmed release from
petroleum or hazardous
substance USTs (40 CFR
280.60 and 280.61).
/erify that all of the following initial response actions are performed within 24 h
)f a release from petroleum or hazardous substance USTs, or within another
easonable period of time determined by the implementing agency:
- report the release to the implementing agency
-take immediate action to prevent any further release of the regulated
substance into the environment
- identify and mitigate fire, explosion, and vapor hazards.
NOTE: These requirements do not apply to excluded USTs under 40 CFR
!80.10(b) (see the definitions) or USTs exempted under the RCRA Subtitle C
section 3Q04(u) corrective action requirements.)
NOTE: A RCRA Subtitle C, Section 3004(u) UST is a UST containing a
lazardous waste at a RCRA Subtitle C permitted facility. A release from such a
JST would be handled as required under the RCRA permit's corrective action
ST.380,4. Specific initial
ibatement measures and site
:hecks must be performed
when there is a confirmed
release from petroleum or
lazardous substance USTs
jnless directed to do
Dtherwise by the
implementing agency (40
2FR 280.60 and 280.62).
/erify that all of the following abatement actions are performed, unless the facility
s directed to do otherwise by the implementing agency,
-removal of as much of the substance as is necessary to prevent further release
from the UST system
visual inspection of aboveground releases or exposed belowground releases
is done and further migration of the released substance into surrounding soils
and groundwaters is prevented
-continued monitoring and mitigation of any fire and safety hazards caused by
vapors or free product that may have migrated from the UST excavation zone
and entered into subsurface structures (such as sewers or basements)
remedy hazards from contaminated soils that are excavated or exposed as a
result of release confirmation, site investigation, abatement, or corrective
action
measurements are done for the presence of a release where the contamination
is most likely to be present unless the presence and source of the release has
previously been confirmed
-an investigation is done for the presence of free product and the removal of
free product is done as soon as possible.
/erify that within 20 days after release confirmation, or within another reasonable
leriod of time determined by the implementing agency, a report is submitted to the
mplementing agency summarizing the initial abatement steps and any resulting
nformation or data.
NOTE: These requirements do not apply to excluded USTs under 40 CFR
80.10(b) or USTs exempted under the RCRA Subtitle C Section 3004(u)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any stalement(s) contained herein.
47
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
corrective action requirements.)
(NOTE: A RCRA Subtitle C, Section 3004(u) UST is a UST containing a
hazardous waste at a RCRA Subtitle C permitted facility. A release from such a
UST would be handled as required under the RCRA permit's corrective action
plan.)
ST.380.5. When there is a
confirmed release from
petroleum or hazardous
substance UST, information
about the site and nature of
the release unless must be
assembled unless directed to
do otherwise by the
implementing agency (40
CFR 280.60 and 280.63).
Verify that, unless otherwise directed to do so by the implementing agency,
owners and operators assemble information about the site and the nature of the
release, including information gained while confirming the release or completing
initial abatement measures,
Verify that, specifically, this information includes but is not limited to:
data on the nature and estimated quantities of the release
- data from available sources and/or site investigations concerning surrounding
populations, water quality, use and approximate locations of wells potentially
affected, subsurface soil conditions, locations of subsurface sewers,
climatological conditions, and land use
-results of site check
- results of free product investigation.
Verify that within 45 days of the release confirmation, ors another reasonable
period of time determined by the implementing agency, this information is
submitted to the implementing agency in a manner which demonstrates its
applicability and technical adequacy, or in a format required by the implementing
agency,
(NOTE: These requirements do not apply to excluded under 40 CFR 280.10(b)
USTs or USTs exempted under the RCRA Subtitle C Section 3004(u) corrective
action requirements.)
(NOTE: A RCRA Subtitle C, Section 3004(u) UST is a UST containing a
hazardous waste at a RCRA Subtitle C permitted facility. A release from such a
UST would be handled as required under the RCRA permit's corrective action
plan.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
48
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Confirmed release from a
jetroleum or hazardous
.ubstance UST and site
.nvestigations have indicated
Free product, the free product
nust be. removed to the
"naximum extent practicable
is determined by the
mplementing agency (40
3FR 280.60 and 280.64).'
Determine if there are any release sites where free product has .been confirmed.
Verify that the free product is removed to the maximum extent practicable as
determined by the implementing agency while continuing initial response
measures, initial abatement measures and site checks, site investigations, and
preparing for investigations for soil and groundwater cleanup and the developmenl
of the corrective action plan.
Verify that free product removal is done so that the spread of contamination into
previously uncontaminated zones is minimized by using recovery and disposal
techniques appropriate to the hydrogeologic conditions at the site, and thai
properly treats, discharges, or disposes of recovery byproducts in compliance with
applicable regulations.
Verify that the abatement of free product migrations is used as a minimum
objective for the design of the free product removal system and any flammable
products are handled in a safe and competent manner to prevent fires or
explosions.
Verify that, unless directed otherwise by the implementing agency, within 45 days
after confirming a release, a free product removal report is submitted to the
implementing agency that includes at least the following:
-the name of the person responsible for implementing the free producl
removal measures
-the estimated quantity, type, and thickness of free product observed ot
measured in wells,, boreholes, and excavations
the type of free product recovery system used
-whether there will be any on-site or off-site discharges during the recovery
operation and where this discharge will be located
the type of treatment applied to, and the effluent quality exempted from, any
discharge
the steps that have been or are being taken to obtain any required permits for
any discharge
-the disposition of the recovered free product.
(NOTE: These requirements do not apply to excluded USTs under 40 CFR
280.10(b) or USTs exempted under the RCRA Subtitle C Section 3004(u)
corrective action requirements.)
(NOTE: A RCRA Subtitle C, Section 3004(u) UST is a UST containing a
hazardous waste at a RCRA Subtitle C permitted facility. A release from such a
UST would be handled as required under the RCRA permit's corrective action
plan.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
49
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
-=:
k 1*11. k fc ir V ซs. a. ^
a: - [ "i.vs t" tc s % T. - 6. -K * r a. s ..s I-STF ^ ~
____ ^- K 9 t -E. ""t _ "s, sr^ K J. Jr" K% K E
- : ~s r Pr5\ r. t I "* ^ & *- C^-V". E "^ 11 * .
i .=>:
-B -- ~-
E~ t. t.
: . *" _ _" -~
~ K ~
" " " I" -"_"- ~ -~ "_K
K ~ K ~ "* 'SE " *~
K _-
r -ฃ ~ -_.
"
K **
confirmed release . from
petroleum or hazardous
substance USTs, an
investigation for soil and
groundwater contamination is
required to be performed (40
CFR 280.60 and 280,65).
a .. -~ ^ M ,^ _ .. ^ _ _
surrounding areas has been done and identified if any of the following conditions
exists:
- evidence that groundwater wells have been affected by the release
- free product is found to need recovery
-evidence that contaminated soil is in contact with groundwater
-the implementing agency requests an investigation based on the potential
effects of contaminated soil or groundwater on nearby surface water and
groundwater resources.
Verify that the results of the investigation are submitted to the implementing
agency as soon as practicable, or according to a time schedule defined by the
implementing agency.
(NOTE: These requirements do not apply to excluded USTs under 40 CFR
280.10(b) or USTs exempted under the RCRA Subtitle C Section 3004(u)
corrective action requirements.)
(NOTE: A RCRA Subtitle C, Section 3004(u) UST is a UST containing a
hazardous waste at a RCRA Subtitle C permitted facility. A release from such a
UST would be handled as required under the RCRA permit's corrective action
plan.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
50
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
ri r*-rwn
"* sT%T ซKE -.EKKK .. jป
- "~~~ _ csli
frj f i
:t- ill-
r.ปI>l
r r r
ft I viปtt 1.1? i .-I t.i k s. :=:- == S i="!y
OUT-OF-SERVICE
UNDERGROUND
STORAGE TANKS AND
CLOSURE OF
UNDERGROUND
STORAGE TANKS
ST.390.1. USTs which are
temporarily closed must have
continued maintenance (40
CFR 280.10(c) and 280,70).
Determine if there are any temporarily closed USTs.
Verify that proper operation and maintenance is being performed for the
following:
-corrosion protection in accordance with 40 CFR 280.31 (see checklist iterr
ST.350.1)
-release detection in accordance with 40 CFR 280.40 through 280.45 (see
checklist items ST.370.1 through ST.370.3, ST.380.1, and ST.400.3).
(NOTE: 40 CFR 280.50 through 280.53 (see checklist items ST.320.2, ST.380.L
and ST.380.2) and 40 CFR 280.60 through 280.67 (see checklist items ST.380.2
through ST.280.7, and ST.400.5) must be complied with if a release is suspected
or confirmed.)
(NOTE: If the UST is empty, release detection is not required.)
(NOTE: An empty UST is one which has no more than 2.5 cm (1 in.) of residue
or less than 0.3 percent by weight of total capacity of the UST system.)
Verify that, if a UST system is temporarily closed for 3 mo or more, the vent lines
are open and functioning and all other, lines, pumps, manways, and ancillary
equipment are capped and secured.
Verify that, if the UST has been temporarily closed for more than 12 rno, the UST
must be permanently closed if the UST does not meet the standards for a new UST
in 40 CFR 280.20, or an upgraded UST in 40 CFR 280.21 (see checklist item;
ST.300.1 through ST.300.4) except that spill and overfill requirements do noi
have to be met.
Verify that, if the UST has been temporarily closed for more than 12 mo and does
not meet the standards for new or upgraded USTs, it is permanently closed at thซ
end of this 12 mo period in accordance with 40 CFR 280.71 through 280.74 (see
checklist items ST.390.1 through ST.390.6 and ST.400.4) unless the
implementing agency has provided an extension of the 12 mo temporary closurt
period.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
51
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
.'JulLO-L'i. t
- VI 's.
s : VI F V|V .-
~~ .""-I -
- - =~ -
~
M "I. B
"
ป
i k
(NOTE: A site assessment has to be done before applying for an extension.)
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
-any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
-any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
- airport hydrant fuel distribution systems
- UST system with field-constructed tanks.)
ST.390.2. Notification must
be given to the implementing
agency for any permanent
closure or change in service
30 days in advance or within a
reasonable time frame as
determined by the
implementing agency (40
CFR 280.10(c) and
280.71 (a)).
Determine if there are plans to permanently close or make a change in service to
any USTs.
Verify that the implementing agency was notified of intent to permanently closure
or make the change-in-service at least 30 days, or within a reasonable time frame
as determined by the implementing agency, before start of the activity unless the
activity is in response to corrective action.
Verify that the required assessment of the excavation zone is done after notifying
the implementing agency but before completion of the permanent closure or
change-in-service.
(NOTE: The following types of USTs are not subject to these requirements:
wastewater treatment tank systems
-any UST systems containing radioactive material that are regulated under the
. Atomic Energy Act of 1954
- any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
- airport hydrant fuel distribution systems
-UST system with field-constructed tanks.)
ST.390.3. UST closure must
be done according to specific
requirements (40 CFR
280.10(c) and 280.7l(b)).
Verify that tanks being permanently closed are emptied and cleaned by removing
all liquids and accumulated sludges.
Verify that, if USTs have been, or are being, permanently closed, one of the
following methods is used:
- it is removed from the ground
-it is left in place with the contents removed, and filled with an inert solid
material.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
52
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
r *. I ~ -T _P R V
Determine if there are any possible abandoned USTs, and if there are plans to
:lose the UST in an appropriate manner.
^NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
airport hydrant fuel distribution systems
- UST system with field-constructed tanks.)
iT.390.4. Prior to a change-
n-service, tanks must be
mptied and cleaned and a site
ssessment conducted (40
:FR 280.10(c) and
180.7 l(c)).
'NOTE: Continued use of an UST system to store a non-regulated substances is
;onsidered a change-in-service.)
Verify that, prior to the change, the tank was emptied and cleaned by removing all
iquid and accumulated sludge.
Verify that, prior to the change, a site assessment in accordance with 40 CFR
'80.72 (see checklist item ST.390.5) was done.
'NOTE: The following types of USTs are not subject to these requirements:
wastewater treatment tank systems
-any UST systems containing radioactive material that are regulated under the
A lomic Energy Actof\954
-any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
airport hydrant fuel distribution systems
UST system with field-constructed tanks.)
IT.390.5. Prior to permanent
losure or change in service,
neasurements must be made
or the presence of a release
/here contamination is most
ikely to be present at the site
40 'CFR 280.10(c) and
80.72).
Verify that prior to permanent closure or change in service, measurements for the
jresence of a release are done where contamination is most likely to be present at
he UST site.
Verify that in selecting sample types, sample locations, and measurement methods,
)wners and operators have considered the method of closure, the nature of the
;tored substances, the type of backfill, the depth to groundwater, and other
ippropriate factors for identifying the presence of a release.
NOTE: These requirements are met if one of the leak detection methods outlined
n 40 CFR 280.43 (e) (vapor monitoring) and 280.43(f) (groundwater monitoring)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
53
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
. < A s tr,
^Ui. i A"-.*.
',-fiWV
ik. 1* tK =. Ktt
rrtt I ft fc
' * .1 ra"
.... !.fa-> - . {_'.- I' -. .= .
is no indication of release.)
Verify that in the event contaminated soils, contaminated groundwater or free
product is discovered, corrective action is undertaken in accordance with 40 CFR
280.60 through 280.67 (see checklist items ST.380.3 through 380.7).
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
- any UST systems containing radioactive material that are regulated under the
A tomic Energy Act of 1954
-any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
- airport hydrant fuel distribution systems
-UST system with field-constructed tanks.)
ST.390.6. When directed by
Ihe implementing agency, the
excavation zone of UST
systems permanently closed
prior to December 22, 1988
must be assessed and the UST
closed according to current
standards (40 CFR 280.10(c)
and 280.73).
Determine if there are any USTs which were permanently closed prior to
December 22, 1988.
Verify that the excavation zone of these USTs has been assessed and cleanup done
as needed when directed to do so by the implementing agency.
(NOTE: The following types of USTs are not subject to these requirements:
wastewater treatment tank systems
-any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
-airport hydrant fuel distribution systems
- UST system with field-constructed tanks.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statements) contained herein.
54
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
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UNDERGROUND
STORAGE TANK
DOCUMENTATION
ST.400.1. Notice must be
given within 30 days when a
UST system is brought into
service after May 8, 1986, (40
CFR280,10(c)and280.22(a)
through 280.22(f)).
Determine if any UST was brought into service after May 8,1986.
Verify that the appropriate notification was issued to the state or local agency or
department designated to receive the notice.
(NOTE: If a state requires use of a state form that differs from a U.S. EPA form
7530, a state form may be used for notification in lieu of a U.S. EPA form 7530 if
the form meets the requirements of RCRA Section 9002. These notices must be
sent to the appropriate agency. See Appendices I and II of 40 CFR 280 for details
on the contents of the U.S. EPA forms.)
Verify that owners and operators of new UST systems certify in the notification
form compliance with the following:
- installation of tanks and piping under 40 CFR 280.20(a)
-cathodic protection or steel tanks and piping under 40 CFR 280.20(a) and (b)
financial responsibility under 40 CFR 280 Subpart H
-release detection under 40 CFR 280.41 and 280.42.
Verify that all owners of new USTs ensure that the installer certifies in the
notification form that appropriate methods were used to install the tank and piping
in compliance with the requirements of 40 CFR 280.20(d). '
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
any UST systems containing radioactive material that are regulated under the
A tornic Energy Act of 1954
- any UST' system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A .
airport hydrant fuel distribution systems
- UST system with field-constructed tanks.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
55
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
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ST.400.2. Specific reporting
requirements are required to
be met in relation to USTs (40
CFR 280.10(c) and
280.34(a)).
Verify that the following has been submitted to the implementing agency when
applicable:
-notifications of new USTs, including certification of installation
-release reports, including suspected releases, spills and overfills
-planned or complete corrective actions, including: initial abatemeni
measures, initial site characterization, free product removal, investigation ol
soil and groundwater cleanup, and the corrective action plan
-notice of permanent closure or change in service.
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
-any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
-any UST system that is a part of an emergency generator system at nucleat
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
-airport hydrant fuel distribution systems
- UST system with field-constructed tanks.)
ST.400.3. Specific
recordkeeping requirements
must be met in relation to
USTs (40 CFR 280.10(c),
280.34(b), 280.34(c), 280.45,
and 280.74).
Verify that records are kept of the following:
-a corrosion expert's analysis of site corrosion potential if corrosion
protection equipment is not used
-documentation of operation of corrosion protection equipment
-documentation of UST system repairs
- recent compliance with release detection requirements
-results of any site investigations at permanent closure
-demonstration of compliance with closure requirements.
Verify that records are available at one of the following:
- at the UST site and immediately available for inspection
-at a readily available alternative site and provided for inspection upon
request.
(NOTE: in relation to permanent closure records, owners and operators have the
additional alternative of mailing closure records to the implementing agency il
they cannot be kept at the site or an alternative site.)
Verify that records relating to release detection are kept as follows:
all written performance claims pertaining to any release detection system
used, and the manner in which these claims have been justified or tested by
the equipment manufacturer or installer, for 5 yr, or another reasonable
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
56
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
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period of time determined by the implementing agency, from the date of
installation
-the results of any sampling, testing, or monitoring for 1 yr, or another
reasonable period of time determined by the implementing agency, except the
tank tightness results conducted in accordance with 40 CFR 280,43(c) are
kept until the next tank tightness test
written documentation of all calibration, maintenance, repair of release
detection equipment permanently located on-site at least 1 yr after the
servicing work is done, or another reasonable period of time determined by
the implementing agency,
- schedules of required calibration and maintenance provided by the release
detection equipment manufacturer, for 5 yr after the date of installation.
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
- any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
- airport hydrant fuel distribution systems
-UST system with field-constructed tanks.)
5T.400.4. Records
Jemonstraling compliance
vith closure requirements are
equired to be maintained (40
:FR 280.10(c) and 280.74).
Verify that records demonstrating compliance with closure requirements are
maintained
Verify that results of excavation zone assessments are maintained for at least 3 yr
after completion of permanent closure or change-in-service in one of the following
ways:
-by the owners and operators who took the UST our of service
-by the current owners and operators of the UST system site
-by mailing the records to the implementing agency if they cannot be
maintained at the closed facility.
(NOTE: The following types of USTs are not subject to these requirements:
wastewater treatment tank systems
-any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
- any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
airport hydrant fuel distribution systems
- UST system with field-constructed tanks.)
.This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
vi
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ST.400.5.
In soecific
ituations, a facility will be
equired to have a corrective
iction plan (40 CFR 280.66
ind 280.67).
Determine if, arter reviewing the information submitted for site
free product removal, and soil/ground water cleanup, the implementing agency has
required the owner and operators to submit additional information or to develop
and submit a corrective action plan for responding to contaminated soils and
ground water.
Verify that, if a plan is required, it is submitted according to a schedule and format
established by the implementing agency.
(NOTE: Alternatively, owners and operators may, after fulfilling the requirements
for site characterization, free product removal, and soil/groundwater cleanup,
choose to submit a corrective action plan for responding to contaminated soil and
ground water.)
Verify that the plan provides for adequate protection of human health and the
environment as determined by the implementing agency.
(NOTE: The implementing agency will approve the corrective action plan only
after ensuring that implementation of the plan will adequately protect human
health, safety, and the environment.)
Verify that the approved plan is implemented, and the owners and operators
monitor, evaluate, and report the results of implementing the plan in accordance
with a schedule and in a format established by the implementing agency.
(NOTE: Owners and operators may, in the interest of minimizing environmental
contamination and promoting more effective cleanup, begin cleanup of soil and
ground water before the corrective action plan is approved provided that they do
all of the following:
-notify the implementing agency of their intention to begin cleanup
-comply with any conditions imposed by the implementing agency, including
halting cleanup or mitigating adverse consequences from cleanup activities
-incorporate these self-initiated cleanup measures in the corrective action plan
that is submitted to the implementing agency for approval.)
(NOTE: For each confirmed release that requires a corrective action plan, the
implementing agency must provide notice to the public by means designed to
reach those members of the public directly affected by the release and the planned
corrective action. This notice may include, but is not limited to, public notice in
local newspapers, block advertisements, public service announcements,
publication in a state register, letters to individual households, or personal contacts
by field staff. The implementing agency must ensure that site release information
and decisions concerning the corrective action plan are made available to the
public for inspection upon request.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
COMPLIANCE CATEGORY
STORAGE TANK MANAGEMENT
\^"^^~-^r:^-.^^^^^^'^
ST.430 ,
UNDERGROUND
STORAGE TANK
FINANCIAL
RESPONSIBILITY
(NOTIi: The financial responsibility requirements apply to owners and operators
of all petroleum USTs except as otherwise provided below (40CFR 280.90):
owners and operators of petroleum UST systems are subject to these
requirements if they are in operation on or after the date for required
compliance in 40 CFR 280.91 (All dates for required compliance have
passed.)
- State and federal government entities whose debts and liabilities are the debts
and liabilities of a state or the United States are exempt from these
requirements.
-these requirements do not apply to owners and operators of any excluded
USTs or deferred USTs (see definitions)
-if the owner and operator of a petroleum underground storage tank are
separate persons, only one person is required to demonstrate financial
responsibility; however, both parties are liable in event of noncompliance.)
ST.430.1. Owners or
operators of petroleum USTs
must demonstrate financial
responsibility for taking
corrective action and for
compensating third parties for
bodily injury and property
damage caused by accidental
releases arising from the
operation of petroleum UST
(40 CFR 280.93, 280.95,
280.100(a), 280.101(a),
280.113).
(NOTE: An owner or operator is no longer required to maintain financial
responsibility for a UST after the tank has been properly closed or, if corrective
action is required, after corrective action has been completed and the tank has
been properly closed as required by 40 CFR 280, subpart G.)
Verify that owners or operators of petroleum underground storage tanks
demonstrate financial responsibility for taking corrective action and for
compensating third parties for bodily injury and property damage caused by
accidental releases arising from the operation of petroleum USTs in at least the
fol lowing per-occurrence amo unts:
- for owners or operators of petroleum USTs located at petroleum marketing
facilities, or that handle an average of more than 10,000 gal/mo of petroleum
based on annual throughput for the previous calendar year; $1 million
for all other owners or operators of petroleum USTs; $500,000.
Verify that owners or operators of petroleum USTs demonstrate financial
responsibility for taking corrective action and for compensating third parties for
bodily injury and property damage caused by accidental releases arising from the
operation of petroleum USTs in at least the following annual aggregate
amounts:
- for owners or operators of 1 to 100 petroleum USTs, $ 1 million
for owners or operators of 101 or more petroleum USTs, $2 million
(NOTE: In relation to the annual aggregate amounts, "petroleum UST" means a
single containment unit and does not mean combinations of single containment
units.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
V| \\ M
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V
Verift that, the amount of assurance proudcd by each mechanism or combination
of mechanisms is in the full amount specified if the owner or operator uses
separate mechanisms or separate combinations of mechanisms to demonstrate
financial responsibility for:
- taking corrective action
-compensating third parties for bodily injury and property damage caused by
sudden accidental releases
-compensating third parties for bodily injury and property damage caused by
nonsudden accidental releases.
(NOTE: If an owner or operator uses separate mechanisms or separate
combinations of mechanisms to demonstrate financial responsibility for different
petroleum USTs, the annual aggregate required shall be based on the number of
tanks covered by each such separate mechanism or combination of mechanisms.)
Verify that owners or operators review the amount of aggregate assurance
provided whenever additional petroleum USTs are acquired or installed.
Verify that, if the number of petroleum USTs for which assurance must be
provided exceeds 100, the owner or operator demonstrates financial responsibility
in the amount of at least $2 million of annual aggregate assurance by the
anniversary of the date on which the mechanism demonstrating financial
responsibility became effective.
Verify that, if assurance is being demonstrated by a combination of mechanisms,
the owner or operator demonstrates financial responsibility in the amount of at
least $2 million of annual aggregate assurance by the first-occurring effective date
anniversary of any one of the mechanisms combined (other than a financial test or
guarantee) to provide assurance.
(NOTE: The amounts of assurance required under this section exclude legal
defense costs. The required per-occurrence and annual aggregate coverage
amounts do not in any way limit the liability of the owner or operator.)
( (NOTE: For USTs located in a state that does not have an approved program,
and where the state requires owners or operators of underground storage tanks to
demonstrate financial responsibility for taking corrective action and/or for
compensating third parties for bodily injury and property damage, an owner or
operator may use a state-required financial mechanism to meet the demonstration
of financial responsibility requirements if the U.S. EPA Regional Administrator
determines that the state mechanism is at least equivalent to the federally-specified
financial mechanisms,)
(NOTE: An owner or operator may satisfy, the requirements for demonstration of
financial responsibility for USTs located in a state where U.S. EPA is
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
llflPt1'! COMPLIANCE CATEGORY
I""' STORAGE TANK MANAGEMENT
I
Ml W.iMIIIIIItltilllllHIl'illM!! I'11'l I I ii I'll liWH 1C i, IV i HI, 1,1ซ'" IK if.lJUilltfll'iil'lIlfMif
REVIEWER CHECKS
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administering the requirements of this subpart that assures that monies will be
available from a state fund or state assurance program to cover costs up to the
specified limits or otherwise assures that such costs will be paid if the U.S. EPA
Regional Administrator determines that the state's assurance is at least equivalent
to the federally-specified financial mechanisms.)
ST.430.2. Certain
mechanisms and combination
of mechanisms can be used to
demonstrate financial
responsibility (40 CFR
280.94).
Verify that appropriate financial mechanisms, or combination of mechanisms are
used to demonstrate compliance.
(NOTE: An owner or operator, including a local government owner .or operator,
may use any one or combination of the mechanisms listed in 40 CFR 280.95
through 280.103 to demonstrate financial responsibility for one or more UST.)
(NOTE: A local government owner or operator may use any one or combination
of the mechanisms listed in 40 CFR 280.104 through 280.107 to demonstrate
financial responsibility for one or more USTs.)
Verify that, if an owner or operator uses a guarantee or surety bond to establish
financial responsibility, the attorney general of the state in which the USTs are
located has submitted a written statement to the implementing agency that a
guarantee or surety bond appropriately executed is a legally valid and enforceable
obligation in that state.
Verify that, if an owner or operator uses self-insurance in combination with a
guarantee for the purpose of meeting the requirements of the financial test, the
financial statements of the owner or operator are not consolidated with the
financial statements of the guarantor.
ST.430.3. When an owner or
operator chooses to use a
financial test to provide
financial assurance, certain
requirements must be met (40
CFR 280.95).
(NOTE: An owner or operator, and/or guarantor, may satisfy the requirements of
280.93 by passing a financial test. See Appendix D of this document for more
details on the financial test.)
Verify that, if an owner or operator using the test to provide financial assurance
finds that he/she no longer meets the requirements of the financial test based on
the year-end financial statements, the owner or operator obtains alternative
coverage within 150 days of the end of the year for which financial statements
have been prepared.
(NOTE: If the owner or operator fails to obtain alternate assurance, within'150
days of finding that he or she no longermeets the requirements of the financial test
based on the year-end financial statements, or within 30 days of notification by the
Director of the implementing agency that he or she no longer meets the
requirements of the financial test, the owner or operator must notify the Director of
such failure within 10 days.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
4 tXSC H I
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ST.430.4. When using a
guarantee to satisfy financial
responsibility demonstration
requirements, certain
parameters must be met (40
CFR 280.96).
Verify that the guarantor is:
- a firm that does one of the following:
- possesses a controlling interest in the owner or operator
possesses a controlling interest in a firm that posses a controlling
interest in the owner or operator
-is controlled through stock ownership by a common parent firm that
possesses a controlling interest in the owner or operator; or,
a firm engaged in a substantial business relationship with the owner or
operator and issuing the guarantee as an act incident to that-business
relationship.
Verify that, within 120 days of the close of each financial reporting year, the
guarantor demonstrates that it meets the financial test criteria in 40 CFR 280.95
(see Appendix D of this document) based on year-end financial statements for the
latest completed financial reporting year by completing the letter from the chief
financial officer described in 40 CFR 280.95(d) and delivers the letter to the
owner or operator.
Verify that, if the guarantor fails to meet the requirements of the financial test at
the end of any financial reporting year, within 120 days of the end of that financial
reporting year the guarantor sends by certified mail, before cancellation or
nonrenewal of the guarantee, notice to the owner or operator.
Verify that, if the Director of the implementing agency notifies the guarantor that
he no longer meets the requirements of the financial test, the guarantor notifies the
owner or operator within 10 days of receiving such notification from the Director.
(NOTE: The guarantee will terminate no less than 120 days after the date the
owner or operator receives the notification, as evidenced by the return receipt. The
owner or operator must obtain alternative coverage.)
(NOTE: See 40 CFR 280.96(c) for the specific wording of the guarantee.)
Verify that an owner or operator who uses a guarantee establishes a standby trust
fund when the guarantee is obtained.
(NOTE: Under the terms of the guarantee, all amounts paid by the guarantor
under the guarantee will be deposited directly into the standby trust fund in
accordance with instructions from the Director of the implementing agency. This
standby trust fund must meet the requirements specified in 40 CFR 280.103.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
I!1
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liability insurance to satisfy
financial responsibility
demonstration requirements,
certain parameters must be
met (40 CFR 280.97).
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Verify that the liability insurance is obtained from a qualified insurer or risk
etention group.
'NOTE: Such insurance may be in the form of a separate insurance policy or an
endorsement to an existing insurance policy.)
Verify that each insurance policy is amended by an endorsement or evidenced by a
:ertification of insurance.
>JOTE: See 40 CFR 280.97(b)(l) and 280.97(b)(2) for the exact language
-equired in the endorsement or certification.)
Verify that each insurance policy is issued by an insurer or a risk retention group
hat, at a minimum, is licensed to transact the business of insurance or eligible to
jrovide insurance as an excess or surplus lines insurer in one or more states.
ST.430.6. When using a
surety bond to satisfy financial
responsibility demonstration
requirements, certain
parameters must be met (40
CFR 280.98).
Verify that the surety company issuing the bond is among those listed as
acceptable sureties on federal bonds in the latest Circular 570 of the U.S.
Department of the Treasury.
>JOTE: See the text of 40 CFR 280.98(b) for the exact wording of the surety
jond.)
Verify that, under the terms of the bond, the surety will become liable on the bond
jbligation when the owner or operator fails to perform as guaranteed by the bond.
>JOTE: In all cases, the surety's liability is limited to the per-occurrence and
innual aggregate penal sums.)
Verify that, an owner or operator who uses a surety bond to satisfy the financial
esponsibility requirements, establishes a standby trust fund when the
surety bond is acquired,
>JOTE: Under the terms of the bond, all amounts paid by the surety under the
jond will be deposited directly into the standby trust fund in accordance with
nstructions from the Director.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
A '.I
H Eiffel
-si
3T.430.7. When using an
[revocable standby letter of
:redit to satisfy financial
esponsibility demonstration
equirements, certain
)arameters must be met (40
:FR 280.99).
"k It1* UK 4 JUiX
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Verify that the issuing institution is an entity that has the authority to issue letters
of credit in each state where used and whose letter-oif-credit operations are
regulated and examined by a federal or state agency.
(NOTE: See the text of 40 CFR 280.99(b) for exact wording of the irrevocable
standby letter of credit.)
Verify that an owner or operator who uses a letter of credit to satisfy the financial
responsibility demonstration requirements also establishes a standby trust fund
when the letter of credit is acquired.
(NOTE: Under the terms of the letter of credit, all amounts paid pursuant to a
draft by the Director of the implementing agency will be deposited by the issuing
institution directly into the standby trust fund in accordance with instructions
from the Director.)
Verify that the letter of credit:
-is irrevocable with a term specified by the issuing institution
-provides that credit be automatically renewed for the same term as the
original term, unless, at least 120 days before the current expiration date, the
issuing institution notifies the owner or operator by certified mail of its
decision not to renew the letter of credit.
(NOTE: Under the terms of the letter of credit, the 120 days will begin on the date
when the owner or operator receives the notice, as evidenced by the return
receipt.)
iT.430.8. When using a trust
und to satisfy financial
esponsibility demonstration
equirements, certain
>arameters must be met (40
:FR280.102).
Verify that the trustee is an entity that has the authority to act as a trustee and
whose trust operations are regulated and examined by a federal agency or an
agency of the state in which the fund is established.
Verify that the trust fund is accompanied by a formal .certification of
acknowledgment.
(NOTE: See 40 CFR 280.103(b)(l) and 280.103(b)(2) for exact wording of the
trust fund and the certification.)
Verify that the trust fund, when established, is funded for the full required amount
of coverage, or funded for part of the required amount of coverage and used in
combination with other mechanisms that provide the remaining required coverage.
(NOTE: If the value of the trust fund is greater than the required amount of
coverage, the owner or operator may submit a written request to the Director of the
implementing agency for release of the excess. If other acceptable financial
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
64
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
L fc. t A.
.-4==! s._ vi',
MANAGEMENTfiiK: .'.
PRACTICE'
,,,,,1'j REVIEWER CHECKS
assurance is substituted for all or part of the trust fund, the owner or operator may
submit a written request to the Director of the implementing agency for release of
the excess within 60 days of receiving such a request from the owner or operator,
the Director of the implementing agency will instruct the trustee to release to the
owner or operator such funds as the Director specifies in writing.)
ST.430.9. When using a
guarantee, a surety bond, or
an irrevocable standby letter
of credit to satisfy financial
responsibility demonstration
requirements, a standby trust
fund must be established (40
CFR280.103).
Verify that the trustee of the standby trust fund is an entity that has the authority to
act as a trustee and whose trust operations are regulated and examined by a federal
agency or an agency of the state in which the fund is established.
(NOTE: See 40 CFR 280.103(b)(l) and 280.103(b)(2) for exact wording of the
standby trust fund and the certification.)
(NOTE: The Director of the implementing agency will instruct the trustee to
refund the balance of the standby trust fund to the provider of financial assurance
if the Director determines that no additional corrective action costs or third-party
liability claims will occur as a result of a release covered by the financial
assurance mechanism for which the standby trust fund was established.)
(NOTE: An owner or operator may establish one trust fund as the depository
mechanism for all funds.)
ST.430.10. A general purpose
local government owner or
operator and/or local
government serving as a
guarantor must satisfy the
requirements for
demonstrating financial
responsibility according to
specific requirements (40
CFR 280.104).
Verify that, when a general purpose local government owner or operator and/or
local government serving as a guarantor satisfies the demonstration of financial
responsibility requirements by having a currently outstanding issue or issues of
general obligation bonds of $1 million or more, excluding refunded obligations,
the bonds have a Moody's rating of Aaa, Aa, A, or Baa, or a Standard & Poor's
rating of AAA, AA, A, or BBB.
(NOTE: Where, a local government has multiple outstanding issues, or where a
local government's bonds are rated by both Moody's and Standard and Poor's, the
lowest rating must be used to determine eligibility. Bonds that are backed by credit
enhancement other than municipal bond insurance may not be considered in
determining the amount of applicable bonds outstanding.)
Verify that, if a local government owner or operator or local government serving
as a guarantor is not a general-purpose local government and does not have the
legal authority to issue general obligation bonds, they satisfy the demonstration of
financial responsibility requirements by having a currently outstanding issue or
issues of revenue bonds of $1 million or more, excluding refunded issues and by
also having a Moody's rating of Aaa, A, A, or Baa, or a Standard & Poor's rating
of AAA, AA, A, or BBB as the lowest rating for any rated revenue bond issued by
the local government.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
65
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
t LilH*- LAM r t * -I fri:
fc.fr C ItS
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lower rating for each bond must be used to determine eligibility. Bonds that are
backed by credit enhancement may not be considered in determining the amount
of applicable bonds outstanding.) ,
Verify that the local government owner or operator and/or guarantor maintains a
copy of its bond rating published within the last 12 mo by Moody's or Standard &
Poor's.
Verify that, in order to demonstrate that it meets the local government bond rating
test, the chief financial officer of a general purpose local government owner or
operator and/or guarantor signs a letter.
(NOTE: The exact wording of the letter can be found in 40 CFR280.104(d).)
Verify that, in order to demonstrate that it meets the local government bond rating
test, the chief financial officer of local government owner or operator and/or
guarantor other than a general purpose government signs a letter.
(NOTE: The exact wording of the letter can be found in 40 CFR 280.104(e).)
(NOTE: The Director of the implementing agency may require reports of financial
condition at any time from the local government owner or operator, and/or local
government guarantor. If the Director finds, on the basis of such reports or other
information, that the local government owner or operator, andVor guarantor, no
longer meets the local government bond rating test requirements of 40 CFR
280.104, the local government owner or operator must obtain alternative coverage
within 30 days after notification of such a finding.)
Verify that, if a local government owner or operator using the bond rating test to
provide financial assurance finds that it no longer meets the bond rating test
requirements, the local government owner or operator obtains alternative coverage
within 150 days of the change in status.
ST.430.11. When using a
local government financial
test to satisfy the requirements
for demonstrating financial
responsibility, certain
parameters must be met (40
CFR 280.105).
(NOTE: To be eligible to use the financial test, the local government owner or
operator must have the ability and authority to assess and levy taxes or to freely
establish fees and charges.)
Verify that the local government owner or operator has the following information
available, as shown in the year-end financial statements for the latest completed
fiscal year:
-total revenues: Consists of the sum of general fund operating and non-
operating revenues including net local taxes, licenses and permits, fines and
forfeitures, revenues from use of money and property, charges for services,
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
66
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
t U'mF-.lAM i I \:ki
V-fr \J
e.l I VTIRl
H3UJI I B? 1ฃt-S
" HEtK*.
investment earnings, sales (property, publications, etc.), intergovernmental
revenues (restricted and unrestricted), and total revenues from all other
governmental funds'including enterprise, debt service, capital projects, and
special revenues, but excluding revenues to funds held in a trust or agency
capacity. For purposes of this test, the calculation of total revenues shall
exclude all transfers between funds under the direct control of the local
government using the financial test (interfund transfers), liquidation of
investments, and issuance of debt.
-total expenditures: Consists of the sum of general fund operating and non-
operating expenditures including public safety, public utilities,
transportation, public works, environmental protection, cultural and
recreational, community development, revenue sharing, employee benefits
and compensation, office management, planning and zoning, capital projects,
interest payments on debt, payments' for retirement of debt principal, and
total expenditures from all other governmental funds including enterprise,
debt service, capital projects, and special revenues. For purposes of this test,
the calculation of total expenditures shall exclude all transfers between funds
under the direct control of the local government using the financial test
(interfund transfers).
-local revenues: Consists of total revenues minus the sum of all transfers from
other governmental entities, including all monies received from federal, state,
or local government sources.
-debt service: Consists of the sum of all interest and principal payments on all
long-term credit obligations and all interest-bearing short-term credit
obligations. Includes interest and principal payments on general obligation
bonds, revenue bonds, notes, mortgages, judgments, and interest bearing
warrants. Excludes payments on non-interest-bearing short-term obligations,
interfund obligations, amounts owed in a trust or agency capacity, and
advances and contingent loans from other governments.
- total funds: Consists of the sum of cash and investment securities from all
funds, including general, enterprise, debt service, capital projects, and special
revenue funds, but excluding employee retirement funds, at the end of the
local government's financial reporting year. Includes federal securities,
federal agency securities, state and local government securities, and other
securities such as bonds, notes and mortgages. For purposes of this test, the
calculation of total funds shall exclude agency funds, private trust funds,
accounts receivable, value of real property, and other non-security assets.
-population: Consists of the number of people in the area served by the local
government.
(NOTE: The local government's year-end financial statements, if independently
audited, cannot include an adverse auditor's opinion or a disclaimer of opinion.
The local government cannot have outstanding issues of general obligation or
revenue bonds that are rated as less than investment grade.)
Verify that the local government owner or operator has a letter signed by the chief
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any staterhent(s) contained herein.
67
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
't J14'REGIJIMTOR Yj|ij1|riM*
M ป1 ] i ttlilillillilti* I JH!J l^lUlllll jtlUl)ll,l!l,lT}{ Hi 3
V '.-REQUIREMENT OR J,i
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financial officer within 120 davs of the close of each lin.ini.ial reporting year, as
defined by the twelve-month period for which financial statements used to support
the financial test are prepared.
(NOTE: See the text of 40 CFR 280.105(c) for the exact wording of the required
letter.)
(NOTE: If a local government owner or .operator using the test to provide
financial assurance finds that it no longer, meets the requirements of the financial
test based on the year-end financial statements, the owner or operator must obtain
alternative coverage within 150 days of the end of the year for which financial
statements have been prepared.)
(NOTE: The Director of the implementing agency may require reports of financial
condition at any time from the local government owner or operator. If the Director
finds, on the basis of such reports or other information, that the local government
owner or operator no longer meets the financial test requirements, the owner
or operator must obtain alternate coverage within 30 days after notification of such
a finding.)
Verify that, within 10 days, the local government owner or operator notifies the
Director if they fail to obtain alternate assurance:
within 150 days of finding that it no longer meets the requirements of the
financial test based on the year-end financial statements
within 30 days of notification by the Director of the implementing agency
that it no longer meets the requirements of the financial test.
5T.430.12. When the local
;overnment owner or operator
ises a local government
guarantee to satisfy the
lemonstration of financial
esponsibility requirements,
:ertain parameters must be
net (40 CFR 280.106).
Verify that the guarantor is either the state in which the local government owner or
Dperator is located or a local government having a "substantial governmental
relationship" with the owner and operator and issuing the guarantee as an act
incident to that relationship.
Verify that the local government acting as the guarantor does one of the following:
-demonstrates that it meets the bond rating test requirement and delivers a
copy of the chief financial officer's letter to the local government owner or
operator
-demonstrates that it meets the worksheet, test requirements and delivers a
copy of the chief financial officer's letter to the local government owner or
operator
demonstrates that it meets the local government fund requirements and
delivers a copy of the chief financial officer's letter to the local government
owner or operator.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
68
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Ti'Mla'Ll^Vfl I 4 Ffc l&
Jft.Vl*S. ~l"iS-k. M\\A
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assurance at the end of the financial reporting year, the guarantor sends by
certified mail, before cancellation or non-renewal of the guarantee, notice to the
owner or operator.
Verify that, the guarantee will terminate no less than 120 days after the date the
owner or operator receives the notification, as evidenced by the return receipt.
Verify that the owner or operator obtains alternative coverage as specified in 40
CFR 280.114(c) (see checklist item ST.430.17) if the local government guarantor
is unable to demonstrate financial assurance at the end of the financial reporting
year.
(NOTE: See the text of 40 CFR 280.106(d) or 280.106(e) for exact wording of
the guarantee agreement, depending on which guarantee arrangement is selected in
40CFR280.106(c).)
ST.430.13. When the local
government owner or operator
ises a dedicated fund account
:o satisfy the demonstration of
inancial responsibility
equirements, certain
jarameters must be met (40
:FR280.107).
Verify that a dedicated fund is not commingled with other funds or otherwise used
in normal operations.
Verify that a dedicated fund meets one of the following requirements:
-the fund is dedicated by state constitutional provision, or local government
statute, charter, ordinance, or order to pay for taking corrective action and for
compensating third parties for bodily injury and property damage caused by
accidental releases arising from the operation of petroleum USTs and is
funded for the full amount of coverage required under 40 CFR 280.93, or
funded for part of the required amount of coverage and used in combination
with other mechanisms that provide the remaining coverage
-the fund is dedicated by state constitutional provision, or local government
statute, charter, ordinance, or order as a contingency fund for general
emergencies, including taking corrective action and compensating third
parties for bodily injury and property damage caused by accidental releases
arising from the operation of petroleum USTs, and is funded for five times
the full amount of coverage required under 40 CFR 280.93, or funded for
part of the required amount of coverage and used in combination with other
mechanisms that provide the remaining coverage (NOTE: If the fund is
funded for less than1 five times the amount of coverage required under 40
CFR 280.93, the amount of financial responsibility demonstrated by the fund
may not exceed one-fifth the amount in the fund.)
-the fund is dedicated by state constitutional provision, or local government
statute, charter, ordinance or order to pay for taking corrective action and for
compensating third parties for bodily injury and property damage caused by
accidental releases arising from the operation of petroleum USTs (NOTE: A
payment is made to the fund once every year for 7 yr until the fund is fully-
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
69
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
i. r.S
--=-="-s-
ง K~ K ~S~~~ = IT
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(NOTE: In addition to this payment, one of the following requirements must be
met:
- the local government owner or operator has available bonding authority for
an amount equal to the difference between the required amount of coverage
and the amount held in the dedicated fund, or
- the local government owner or operator has a letter signed by the appropriate
state attorney general stating that the use of bond authority will not increase
the local government's debt beyond the legal debt ceiling established by the
relevant state laws and that prior voter approval is not necessary.)
(NOTE: See the text of 40 CFR 280.107(c) for the formula used to calculate the
amount of payment to be made in the pay-in-period.)
Verify that the chief financial officer of the local government owner or operator
and/or guarantor signs a letter supporting the use of the local government fund
mechanism,
(NOTE: See 40 CFR 180.107(d) for the exact wording of this letter.)
ST.430.14. Substitution of
alternate financial assurance
mechanisms is acceptable if
done according to specific
provisions (40 CFR 280.108).
Verify that, if the owner or operator substitutes any alternate financial assurance
mechanisms, an effective financial assurance mechanism or combination of
mechanisms that satisfies the requirements of 40 CFR 280.93 is maintained at all
times.
(NOTE: After obtaining alternate financial assurance, an owner or operator may
cancel a financial assurance mechanism by providing notice to the provider of
financial assurance.)
ST.430.I5. The cancellation
or nonrenewal by a provider
of financial assurance must
meet specific requirements
(40 CFR 280.109)
Verify that, if a provider of financial assurance cancels or fails to renew an
assurance mechanism, the provider sends a notice of termination is sent by
certified mail to the owner or operator.
(NOTE: Termination of a local government guarantee, a guarantee, a surety bond,
or a letter of credit may not occur until 120 days after the date on which the owner
or operator receives the notice of termination, as evidenced by the return receipt.)
(NOTE: Termination of insurance or risk retention coverage, except for non-
payment or misrepresentation by the insured, or state-funded assurance may not
occur until 60 days after the date on which the owner or operator receives the
notice of termination, as evidenced by the return receipt. Termination for non-
payment of premium or misrepresentation by the insured may not occur until a
minimum of 10 days after the date on which the owner or operator receives the
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
70
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
- . [ ซii-vL L r \ ** fe-
* t -M I -
, f Jil'lREGUltATORY ..|rl
i' j, iRE(QUJRER!lEtVITfi(p'R'! |!l
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=."=:
notice of termination, as evidenced by the return receipt.)
Verify that, if a provider of financial responsibility cancels or fails to renew for
-easons other than incapacity of the provider, the owner or operator obtains
ST.430.16. Owners 01
operators are required to meei
reporting and recordkeepinj
requirements in relation tc
documentation of financial
responsibility (40 CFR
280. 110 and 280. 111).
ilternate coverage within 60 days after receipt of the notice of termination.
Verify that, if the owner or operator fails to obtain alternate coverage within 60
days after receipt of the notice of termination, the owner or operator notifies the
Director of the implementing agency of such failure and submits all of the
"ollowing:
-the name and address of the provider of financial assurance
- the effective date of termination
the evidence of the financial assistance mechanism subject to the termination.
/erify that the owner or operator submits the forms documenting current evidence
>f financial responsibility to the Director of the implementing agency:
-within 30 days after the owner or operator identifies a release from an UST
required to be reported under 40 CFR 280.53 or 40 CFR 28.0.61
- if the owner or operator fails to obtain alternate coverage, within 30 days
after the owner or operator receives notice of:
-commencement of a voluntary or involuntary proceeding under Title 1 1
(Bankruptcy), U.S. Code, naming a provider of financial assurance as a
debtor
, -suspension or revocation of the authority of a provider of financial
assurance to issue a financial assurance mechanism
- failure of a guarantor to meet the requirements of the financial test
-other incapacity of a provider of financial assurance
-as required by 40 CFR 280.95(g) (see checklist item number ST.430.1) if an
owner or operator using the test to provide financial assurance finds that
he/she no longer meets the requirements of the financial test based on the
year-end financial statements
-as required 40 CFR 280.109(b) (see checklist item ST.430.1 5) if a provider
of financial responsibility cancels or fails to renew for reasons other than
incapacity of the provider.
/erify that the owner or operator certifies compliance with the financial
esponsibiliry requirements in the new tank notification form when notifying the
ippropriate state or local agency of the installation of a hew UST under 40 CFR
!80.22 (see checklist item ST.400.1).
/erify that owners or operators maintain evidence of all financial assurance
lechanisms used to demonstrate financial responsibility for a UST until released
rom the requirements through tank closure and/or completion of corrective
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
71
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
j^^^fjiijtlf
*i Ite tj! / * '*itH(iilhll i!i It!!ซ 'i| hi null nil'
i i
i[ hi 'iHilHIMi.!!'!1 5IMI iJltMHl'Klil JIUIiifl ^E'Hf^
,1 !i|-REpUlREM EN^',0R||j! |
i ;'i> J'PRACTICE'I,^'',;>:ซ'',
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actions.
Verify that owners or operators maintain such evidence at the UST site or the
owner's or operator's place of work,
(NOTE: Records maintained off-site must be made available upon request of the
implementing agency.)
Verify that the following types of evidence of financial responsibility are
maintained:
a copy of the instrument worded as specified when the owner or operator is
using the financial test of self-insurance, a guarantee, insurance and risk
retention group coverage, a surety bond, a letter of credit, a trust fund, local
government bond rating test, local government financial test, local
government guarantee, or local government fund
-a copy of the chief financial officer's letter based on year-end financial
statements for the most recent completed financial reporting year when using
a financial test or guarantee, or a local government financial test or a local
government guarantee supported by the local government financial test
-a copy of the signed standby trust fund agreement and copies of any
amendments to the agreement when the owner or operator is using a
guarantee, surety bond, or letter of credit
-a copy of the signed standby trust fund agreement and copies of any
amendments to the agreement when a local government owner or operator is
using a local government guarantee
-a copy of its bond rating published within the last 12 mo by Moody's or
Standard & Poor's when a local government owner or operator is using the
local government bond rating test
a copy of the guarantor's bond rating published within the last 12 mo by
Moody's or Standard & Poor's when a local government owner or operator is
using the local government guarantee, where the guarantor's demonstration of
financial responsibility relies on the bond rating test
-a copy of the signed insurance policy or risk retention group coverage policy,
with the endorsement or certificate of insurance and any amendments to the
agreements when an owner or operator is using an insurance policy or risk
retention group coverage
- a copy of any evidence of coverage supplied by or required by the state when
an owner or operator is covered by a state fund or other state assurance
-copies of the following when an owner or operator is using a local
government fund:
-a copy of the state constitutional provision or local government statute,
charter, ordinance, or order dedicating the fund
year-end financial statements for the most recent completed financial
reporting year showing the amount in the fund
if the fund is established using incremental funding backed by bonding
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
LMt r---
.l i
authority: the financial statements showing the previous year's balance,
the amount of funding during the year, and the closing balance in the
fund
if the fund is established using incremental funding backed by bonding
authority: documentation of the required bonding authority, including
either the results of a voter referendum, or attestation by the State
Attorney General
-a copy of the guarantor's year-end financial statements for the most recent
completed financial reporting year showing the amount of the fund when the
local government owner or operator is using the local government guarantee
supported by the local government fund
an updated copy of a certification of financial responsibility when an owner
or operator is using the financial test of self-insurance, a guarantee, insurance
and risk retention group coverage, a surety bond, a letter of credit, a state-
required mechanism, a state fund or other state assurance, a trust fund, a
standby trust fund, local government bond rating test, local government
financial test, local government financial test, local government guarantee, or
local government fund.
;NOTE: See 40 CFR 280.11 l(b)(l) for exact wording of the certification of
financial responsibility.)
Verify that the certification of financial responsibility is updated whenever the
financial assurance mechanism used to demonstrate financial responsibility
:hanges.
Verify that the copies of the chief financial officer's letter based on year-end
financial statements for the most recent completed financial reporting year when
jsing a financial test or guarantee, or a local government financial test or a local
government guarantee supported by the local government financial test are on file
10 later than 120 days after the close of the financial reporting year.
ST.430.17. When an owner or
operator or provider of
financial assurance undergoes
bankruptcy or other
incapacity, specific
requirements must be met (40
CFR 280.114).
Verify that, within 10 days after commencement of a voluntary or involuntary
jroceeding under Title 11 (Bankruptcy), U.S. Code, naming an owner or operator
is debtor,.the owner or operator notifies the Director of the implementing agency
jy certified mail of such commencement and submits the appropriate forms
iocumenting current financial responsibility.
Verify that, within 10 days after commencement of a voluntary or involuntary
sroceeding under Title 11 (Bankruptcy), U.S. Code, naming a guarantor providing
'mancial assurance as debtor, such guarantor notifies the owner or operator by
;ertified mail of such commencement as required under the terms of the guarantee.
Verify that, within 10 days after commencement of a voluntary or involuntary
proceeding under Title 11 (Bankruptcy), U.S. Code, naming a local government
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
73
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
"31 t.xi r
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owner or operator as debtor, the local government owner or operator notifies the
Director of the implementing agency by certified mail of such commencement and
submit the appropriate forms documenting current financial responsibility.
Verify that, within 10 days after commencement of a voluntary or involuntary
proceeding under Title 11 (Bankruptcy), U.S. Code, naming a guarantor providing
a local government financial assurance as debtor, such guarantor notifies the local
government owner or operator by certified mail of such commencement as
required under the terms of the guarantee.
(NOTE: An owner or operator who obtains financial assurance by a mechanism
other than the financial test of self-insurance will be deemed to be without the
required financial assurance in the event of a bankruptcy or incapacity of its
provider of financial assurance, or a suspension or revocation of the authority of
the provider of financial assurance to issue a guarantee, insurance policy, risk
retention group coverage policy, surety bond, letter of credit, or state-required
mechanism.)
Verify that the owner or operator obtains alternate financial assurance within 30
days after receiving notice of bankruptcy or incapacity.
Verify that, if the owner or operator does not obtain alternate coverage within 30
days after such notification, he notifies the Director of the implementing agency.
Verify that, within 30 days after receipt of notification that a state fund or other
state assurance has become incapable of paying for assured corrective action or
third-party compensation costs, the owner or operator obtains alternate financial
assurance.
a standby
upon the
ST.430.18. When
trust. is funded
instruction of the Director of
the implementing agency with
funds drawn from a guarantee,
local government guarantee
with standby trust, letter of
credit, or surety bond, and the
amount in the standby trust is
reduced below the full amount
of coverage required, certain
actions are required (40 CFR
280.115).
.Verify that, at any time after a standby trust is funded upon the instruction of the
Director of the implementing agency with funds drawn from a guarantee, local
government guarantee with standby trust, letter of credit, or surety bond, and the
amount in the standby trust is reduced below the full amount of coverage required,
the owner or operator, by the anniversary date of the financial mechanism from
which the funds were drawn, does one of the following:
-replenishes the value of financial assurance to equal the full amount of
coverage required
-acquires another financial assurance mechanism for the amount by which
funds in the standby trust have been reduced
(NOTE: The full amount of coverage required is the amount of coverage to be
provided by 40 CFR 280.93. If a combination of mechanisms was used to provide
the assurance funds which were drawn upon, replenishment shall occur by the
earliest anniversary date among the mechanisms.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
74
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
-ซ- '.A
ri. klAstUC! L,.fe I* AA - i.
STORAGE TANKS
ST.500
Small Quantity Generators
(SQGs)
ST.500.1. SQGs accumulating
hazardous waste on-site in
tanks must comply with
certain tank requirements (40
CFR 262.34(d)(3) and
265.20 l(a) through
265.201(c)).
Verify that:
- when used to treat or store ignitable or reactive wastes, the tank prevents:
generation of extreme heat or pressure, fire or explosions, or violent
reactions
-production of uncontrolled toxic mists, fumes, dusts, or gases in
quantities that would threaten human health or the environment
, -production of uncontrolled flammable fumes or gases in quantities that
would pose a risk of fire or explosion
-damage to structural integrity of the device or facility
- threats to human health or the environment through other means
no treatment reagent or hazardous wastes are placed in the tank that would
cause it to rupture, leak, corrode, or otherwise fail before the end of its
intended life
-uncovered tanks have at least 60 cm (2 ft) of freeboard unless the tank has a
containment structure, drainage control system, or a diversion structure with
a volume that equals or exceeds the capacity of the top 60 cm (2 ft) of the
tank
-continuous feed tanks have a wastefeed cutoff or other stop/bypass system.
Verify that the following are inspected at the indicated times:
- discharge control equipment at least once each operating day
- monitoring equipment (pressure and temperature gauges) at least once each
operating day
- waste level in tank at least once each operating day
-construction material of the tank for corrosion or leakage weekly
- surrounding area for erosion, leakage and/or contamination at least weekly.
(NOTE: Both small quantity and large quantity generators that accumulate
hazardous waste in tanks must also comply with other requirements specified
under 40 CFR 262. Auditors should pay particular attention to the requirements
under 40 CFR 262.34(a)(2), (a)(3), and (a)(4). These requirements and related
audit guidance are further outlined in separate U.S. EPA audit protocols titled:
Protocol for Conducting Environmental Compliance Audits of Hazardous Waste
Generators under RCRA (U.S. EPA Document No. EPA-305-B-98-005) and
Protocol for Conducting Environmental Compliance Audits of TSDFs under
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
75
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Ii
COMPLIANCEIIJATEGORY
4s
F ''-REQUIREMENT* OR,
'
,'
1% |i
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
ftV? F *. I i rrf IK'S - - -
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HAZARDOUS WASTE
TANKS
5T.540
.arge Quantity Generators
(NOTE: See Appendix E of this document for guidance on the schedule for
implementation of air emissions standards in 40 CFR 265.1080 through 265.1091.
Also, in relation to the requirements for air emissions standard, see the definition
of Exempted Hazardous Waste Management Units.)
5T.540.1. Secondary
:ontainment is required for
ipecific types of tank systems
ised to accumulate or treat
lazardous waste by large
juantity hazardous waste
generators (40 CFR
ป62.34(a)(l)(ii), 265.190(a),
ป65.190(b), and 265.193(a)).
Verify that tanks that accumulate or treat material that becomes hazardous waste
have secondary containment as follows:
- for all new tank systems or components, prior to their being put into service
for those existing tank systems of known and documentable age, within 2 yr
after January 12, 1987, or when the tank systems have reached 15 yr of age,
whichever comes later
for those existing tank systems for which the age cannot be documented,
within 8 yr of January 12, 1987; but if the age of the facility is greater then 7
yr by the time the facility reaches 15 yr of age or within 2 yr of January 12,
1987, whichever comes later.
(NOTE: The following are exempt from these requirements:
- tank systems that are used to store or treat hazardous waste which contains no
free liquids that are situated inside a building with an impermeable floor
- tank systems, including sumps, that serve as part of a secondary containment
system to collect or contain releases of hazardous wastes.)
(NOTE: Both small quantity and large quantity generators that accumulate
hazardous waste in tanks must also comply with other requirements specified
under 40 CFR 262. Auditors should pay particular attention to the requirements
under 40 CFR 262.34(a)(2), 262.34(a)(3), and 262.34 (a)(4). These requirements
and related audit guidance are further outlined in separate U.S. EPA audit
protocols titled: Protocol for Conducting Environmental Compliance Audits oj
Hazardous Waste Generators under RCRA (U.S. EPA Document No. EPA-305-B-
98-005) and Protocol for Conducting Environmental Compliance Audits oj
TSDFs under RCRA (U.S. EPA Document No. EPA-305-B-006.)
iT.540.2, Secondary
:ontainment on tank systems
ised by large quantity
lazardous waste generators
nust meet specific
equirements (40 CFR
:62.34(a)(l)(ii), 265.190(a),
,nd 265.193(b) through
!65.193(d)).
Verify that secondary containment meets the following criteria:
- it is designed, installed, and operated to prevent the migration of liquid out of
the system
it is capable of detecting and collecting releases and accumulated liquids
until removal
it is constructed of or lined with materials compatible with the wastes
-it is strong enough and of sufficient thickness to prevent failure due to
pressure gradients, climatic conditions, stress of installation and daily
operation
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
77
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
HE C K3
prevent failure due to settlement, compression, or upset
-a leak-detection system is'present that is designed and operated to detect the
failure of either the primary or secondary containment structure or the release
of any hazardous waste within 24 h or the earliest practicable time
-it is sloped or designed to drain and remove liquids from leaks, spills, or
precipitation.
Verify that spilled or leaked wastes are removed from secondary containment
within 24 h or as timely as possible.
Verify that secondary containment for tanks includes one or more of the following:
- a liner (external to the tank)
a vault
a double-walled tank
-an equivalent approved device.
(NOTE: Tank systems that are used to accumulate or treat hazardous waste that
contains no free liquids and are situated inside a building with an impermeable
floor are exempt from these requirements.)
ST.540.3. External liners,
vaults, and double-walled
tanks used by large quantity
generators are required to
meet specific standards (40
CFR 262.34(a)(l)(ii),
265.190(a), and 265.193(e)).
Verify that external liner systems meet the following requirements:
-they are designed and operated so that 100 percent of the capacity of the
largest tank within the boundary would be contained
-they prevent run-on and infiltration of precipitation into the secondary
containment unless the collection system has sufficient capacity to handle
run-on or infiltration
- it is free of cracks or gaps
it surrounds the tank completely and covers all surrounding earth likely to
come into contact with the waste if there is a release
-capacity is sufficient to contain precipitation from a 25-yr, 24-h rainfall
event.
Verify that vault systems meet the following criteria:
- it will contain 100 percent of the capacity of the largest tank within its
boundary
it prevents run-on and infiltration of precipitation unless there is sufficient
excess capacity, including capacity to contain precipitation from a 25-yr, 24-
h rainfall event
- it is constructed with chemical-resistant water stops at all joints
- it has an impermeable interior coating that is compatible with the wastes it
contains
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
78
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
.ป ซ*ซซ*ซ ซB*
R .R -_- B-
i irrrav. ._
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,. -.-FIOU. ik-ii.*""
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-- R. R. --.; R -- RR..-..R.-R.-R ~;R - - - B
i E w. F ft i i-i E. c us - :
:--EI
- BBS
-has a means to protect against the formation and ignition of vapors within the
vault if the waste is ignitable or reactive
-it has an exterior moisture barrier or otherwise operated to prevent migration
of moisture into the vault.
Verify that double-walled tanks meet the following criteria:
it is designed as an integral structure so that any release is contained by the
outer shell
- it is protected from both corrosion of the primary tank and the external
surface of the outer shell if constructed of metal
-it has a built-in continuous leak detection system capable of detecting a
release within 24 h.
(NOTE: Tank systems that are used to store or treat hazardous waste that contains
no free liquids and are situated inside a building with an impermeable floor are
exempt from these requirements.)
ST.540.4. Tank ancillary
;quipment used by large
quantity hazardous waste
jenerators must also be
srovided with secondary
;ontainment (40 CFR
>62.34(a)(l)(ii), 265.190(a),
md 265.193(0).
Verify that ancillary equipment, .except for the following, has secondary
containment:
- aboveground piping that is visually inspected for leaks on a daily basis
-welded flanges, welded joints, and welded connections that are visually
inspected for leaks on a daily basis
-sealless or magnetic coupling pumps and seallcss valves, that are visually
inspected for leaks on a daily basis
-pressurized aboveground piping systems with automatic shutoff valves that
are visually inspected for leaks on a daily basis.
(NOTE: Tank systems that are used to store or treat hazardous waste that contains
no free liquids and are situated inside a building with an impermeable floor are
exempt from these requirements.)
5T.540.5. Existing tank
lystems that do not have
jecondary containment are
equired to meet specific
equirements 40 CFR
!62.34(a)(!)(ii), 265.190(a),
!65.191(a) through
!65.19l(c), and 265.193(i)).
Verify that existing tank systems without secondary containment meet the
following:
- for nonenterable underground tanks, a leak test is conducted annually
-for other than nonenterable underground tanks, either a leak test is done
annually, or an annual schedule and procedure is developed for an
assessment of the overall condition by an independent, qualified, registered,
professional engineer.
Verify that a record is maintained of the results of testing and assessments
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
79
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
-
Ml'llV',1,1"! , O,lihUl'K''' f'
jhUREGUL'ATORYi !>',
Ij i lllllluซ|i!l i HI IIMllll! Mini, |IJ ' ,
ill
"kf b if U F la -_ s-lf r_ K!?C--" --
Verify that tank systems which store or treat materials that become hazardous
waste after July 14, 1986 are assessed within 12 mo after the waste becomes
! hazardous.
(NOTE: Tank systems that are used to store or treat hazardous waste that contains
no free liquids and are situated inside a building with an impermeable floor are
exempt from these requirements.)
5T.540.6. Large quantity
generators with new tank
systems must submit to the
U.S. EPA Regional
Administrator or the
iuthorized regulatory agency
j written assessment review
:ertified by an independent,
qualified, registered
jrofessional engineer to
:ertify that the tank was
nstalled according to specific
standards (40 CFR
262.34(a)(l)(ii) . and
265.192).
Determine if there are any new tank systems.
Verify that, when the tanks are installed they are handled so as to prevent damage
to the tank and any backfill material that is used is a noncorrosive, porous,
homogeneous substance.
Verify that ancillary equipment is supported and protected against damage and
stress.
Verify that the written assessments from the individuals required to certify the tank
and supervise the installation of the tank is kept on file.
ST.540.7. Tanks used for
lazardous waste treatment or
iccumulation by large
quantity generators must
"ollow certain operating
equirernents (40 CFR
262.34(a)(l)(ii)and265.194).
Verify that hazardous wastes or treatment reagents are not placed in tanks if they
could cause the tank system (including ancillary equipment, or containment
system) to fail.
Verify that appropriate measures are taken to prevent overfill, including:
- spill prevention controls
- overfill prevention controls
-maintenance of sufficient freeboard to prevent overtopping by wave, wind
action or precipitation for uncovered tanks.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
80
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
- ." \ t & I n. sA& 111 i
f -"TMKiiJ. F^k V!4.VAGE*llt^T.- - / -.-:*-
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- fel (J >. l ft I. M .=> -f =..' & _ -
'
Ta: S-r -fe" J
ST.540.8, Tank systems used
by large quantity generators
must comply with
requirements for ignitable,
reactive, or incompatible
wastes (40 CFR
262.34(a)(l)(ii), 265.198, and
265.199).
^"ฐ "
_ -12-
Verify that ignitable or reactive wastes are not placed in a tank system, unless one
of the following is met:
the waste is treated, rendered, or mixed before or immediately after
placement in the tank system so that it is no longer reactive or ignitable and
the minimum requirements for reactive and ignitable wastes are met
the waste is treated or stored in such a way that it is protected from any
material or conditions that may cause the waste to ignite or react
the tank system is used solely for emergencies.
Verify that the minimum protective distances between waste management areas
and any public ways, streets, alleys, or an adjoining property line that can be built
upon as required in Tables 2-1 through 2-6 of the NFPA's Flammable and
Combustible Liquids Code are maintained.
Verify that incompatible waste, or incompatible wastes and materials, are not
placed in the same tank system unless minimum safety requirements are met.
Verify that hazardous waste is not placed in a tank system that has not been
decontaminated and that previously held an incompatible waste or material unless
mini mum safety requirements are met.
ST.540.9. Large quantity
generators must conduct
inspections of tank -systems
and associated equipment (40
CFR 262.34(a)(l)(ii) and
265.195).
Verify that a schedule and procedure have been developed and are followed to
inspect overfill controls.
Determine if the following inspections are conducted at least once a day:
overfill/spill control equipment facilities to ensure it is in good working order
- aboveground portions of the tank to detect corrosion or releases
-data gathered from tank monitoring equipment and leak detection equipment
'(e.g., pressure and temperature gauges and monitoring wells)
- construction materials and the area surrounding tank including the secondary
containment system for signs of erosion or leakage (wet spots, dead
vegetation).
Verify that the proper operation of cathodic protection systems are inspected
within 6 mo after initial installation and annually thereafter.
Verify that all sources of impressed current are inspected and/or tested every other
month.
Verify that inspections are documented.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
81
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
" V. Ll 7,'\ ฃ"11. I All* r t t" -i. ,i! jh CAM
"i's'-:'! If A =!'!. T i'T ."i V k'- >= _*i Vi'fLif U
ST.540.10. Tank systems or
secondary containment
systems used by large quantity
generators from which there
has been a leak or spill or
which have been declared
unfit for use must be removed
from service immediately and
meet specific requirements
(40 CFR 262.34(a)(l)(ii) and
265.196).
Verify that the following steps are taken:
the flow or addition of hazardous wastes to the tank is stopped
- the hazardous waste is removed from the tank:
-within 24 h of leak detection (or at the earliest practicable time as
demonstrated by the owner/operator) remove as much waste form the
tank as necessary to prevent further release and allow inspection and
repair
- within 24 h (or in as timely a manner as is possible to prevent harm to
human health and the environment) remove waste released to secondary
containment system
-a visual inspection of the release is done and:
-action is taken to prevent further migration to soils or surface or ground
water
-visible contamination of soil and surface water is removed and
disposed.
Verify that notification is made within 24 h for any release to the environment to
the regional administrator except for releases of 0.45 kg (1 Ib) or less that are
immediately contained and cleaned up.
Verify that a report is submitted within 30 'days containing the following
information:
-likely route of migration
-characteristics of the surrounding soil
- results of any monitoring or sampling
proximity to downgradient drinking water, surface water, and population
areas
-description of response actions taken or planned.
Verify that the tank and/or secondary containment is repaired prior to its return to
service and that extensive repairs are certified by an independent, qualified,
registered, professional engineer.
Verify that, when the release was from a component that was without secondary
containment, secondary containment .features were installed before the tank was
returned to service.
Verify that, if leaking components are replaced, the replacement complies with the
relevant requirements for new tank systems.
(NOTE: Reports of hazardous waste releases made pursuant to 40 CFR 302 will
satisfy the reporting requirements of this part.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
82
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
- ฃ L.i'Mj'iJA<: *.J. A11."LrOj! k
5; r tYpEVr s I f\ < \ " l\ s YT, i vi
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ST.540,11. Large quantity
hazardous waste generators
are required to follow specific
procedures when closing a
tank system (40 CFR
262.34(a)(l)(ii), 265.197(a),
and265.197(b)).
Determine if any tank systems have been closed.
Verify that all waste residues, contaminated containment system components,
contaminated soils, and structures and equipment contaminated with waste have
been removed or decontaminated.
Verify that, if it is not possible and/or practicable to remove or decontaminate all
soils, the tank is closed and postclosure care performed as required for landfills.
ST.540.12. Certain tanks used
for the accumulation of
hazardous waste are required
to meet Level 1 control
standards for air emissions
control (40 CFR
262.34(a)(l)(ii), 265.202, and
265.1085(a) through
265.1085(c)(3).
(NOTE: See the definition of Exempted Waste Management Unit and Exempted
Hazardous Waste Storage Tanks for exemptions to these requirements.)
Verify that the following tanks meet the requirements for Tank Level 1 controls:
-the hazardous waste in the tank has a maximum organic vapor pressure which
is less than the maximum organic vapor pressure for the tank's design
capacity category as follows:
- for a tank design capacity equal to or greater than 151 m , the maximum
organic vapor pressure limit for the tank is 5.2 kPa
- for a tank design capacity equal to or greater than 75 m but less than
151 m3, the maximum organic vapor pressure limits for the tank is 27.6
kPa
- for a tank design capacity less than 75 m , the maximum organic vapor
pressure limit for the tank is 76.6 kPa
- the hazardous waste in the .tank is not heated to a temperature that is greater
than the temperature at which the maximum organic vapor pressure of the
hazardous waste is determined
-the hazardous waste in the tank is not treated using a waste stabilization
process.
Verify that tanks not required to meet the requirements for Level 1 controls meet
the requirements for Level 2 controls.
Verify that, when required, the following Level 1 controls are met:
-the maximum organic vapor pressure for a hazardous waste is determined
before the first time the waste is placed in the tank
'-new maximum organic vapor pressure determinations are made each time
there are changes to the hazardous waste which could cause the maximum
organic vapor pressure to increase to a level that is equal to or greater than
the maximum organic vapor pressure limit for the tank capacity.
Verify that tanks requiring Level 1 control are equipped with a fixed roof designed
as follows:
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statemenl(s) contained herein.
83
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
iLrAJ-DjtlL; ? . ' ' '
iTr.r-vir^r
-the roof and its closure devices are designed to form a continuous barrio
over the entire surface area of the hazardous waste in the tank
-the fixed roof is installed so that there are no visible cracks, holes, gaps, o
other open spaces between roof section joints or between the interface of thi
roof edge and the tank wall
-each opening in the fixed roof, and any manifold system associated with thi
fixed roof,.meets one of the following:
-it is equipped with a closure device designed to operate so that whei
the closure device is secured in the closed position there are no visibli
cracks, holes, gaps, or other open spaces in the closure device o
between the perimeter of the opening and the closure device ^
-connected by a closed vent system that is vented to a control devio
which removes or destroys organics in the vent stream and operate
whenever hazardous waste is managed in the tank except during period
when access is necessary
-the fixed roof and closure devices are made of suitable materials tha
minimize exposure of the hazardous waste to the atmosphere to the exten
practical and maintain the integrity of the fixed roof and closure device
throughout their intended service life.
Verify that, for tanks requiring Level 1 control, whenever hazardous waste is in th<
tank, a fixed roof is installed with each closure device secured in the close*
position except as follows:
- opening of the closure devices or removal of the fixed roof is allowed ii
order to:
-provide access to the tank for performing routine inspections
maintenance, or other activities needed for normal operations
remove accumulated sludge or other residues at the bottom of the tank
open ing of spring loaded pressure vacuum relief valveSj conservation vent, o
similar type of pressure relief devices is allowed during normal operations ii
order to maintain the tanks internal pressure in accordance with desigi
standards
opening of a safety device in order to avoid unsafe conditions.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
84
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
: s.v- F r -L r = ri
i
i ^ t
''"I ',; (PRACTICE1 < W'rt
It ' I',. I Hi] " ' H "|! I, ||l J II )
u, II, ,! <$ "' ' ' " , li'l I 'I! !lj
ST.540.13. Certain tanks are
required to use Level 2
control standards for air
emissions control (40 CFR
262.34(a)(l)(ii), 265.202,
265.1085(b)(2), 265.1085(d)
through 265.1085(e)(2),
265.1085(f)(l) and
265.1085(f)(2),
265.1085(g)(l),
265.1085(g)(2), 265.1085(h),
and 265.1085 (i)(l) through
265.1085(i)(3)).
~ ~ r~ " -t.ซ"" ^df"8" ~ """-1- _-_-_=__---
(NOTE: See the definition of Exempted Waste Management Unit and Exempted
Hazardous Waste Storage Tanks for exemptions to these requirements.)
Verify that tanks not required to meet the requirements for Level 1 controls meet
the requirements for Level 2 controls.
Verify that, when using Level 2 controls, the following types of tanks are used:
- a fixed roof tank equipped with an internal floating roof
- a tank equipped with an external floating roof
- a tank vented through a closed vent system to a control device
- a pressure tank
-a tank located inside an enclosure that is vented through a closed vent system
to an enclosed combustion control device,
Verify that, when a fixed roof with an internal floating roof is used, the following
requirements are met:
-the internal floating roof is designed to float on the liquid surface except
when the floating roof is supported by the leg supports
-the internal floating roof is equipped with a continuous seal between the wall
of the tank and the floating roof edge that meets one of the following
requirements:
- a single continuous seal that is either a liquid mounted seal or a metallic
shoe seal
two continuous seals mounted one above the other
the internal floating roof meets the following specifications:
-each opening in a noncontact internal floating roof, except for
automatic bleeder vents and rim space vents, provides a projection
below the liquid surface
-each opening in the internal floating roof is equipped with a gasketed
cover or a gasketed lid except for leg sleeves, automatic bleeder vents,
rim space vents, column wells, ladder wells, sample wells, and stub
drains .
-each penetration of the internal floating roof for sampling has a slit
fabric cover that covers at least 90 percent of the opening
- each automatic bleeder vent and rim space vent is gasketed
-each penetration of the internal floating roof that allows for passage of a
ladder has a gasketed sliding cover
-each penetration of the internal floating roof that allows for passage of a
column supporting the fixed roof has a flexible fabric sleeve seal or a
gasketed sliding cover
- the tank is operated such that; when the floating roof is resting on the leg
supports, the process of filling, emptying, or refilling is continuous and is
completed as soon as practical
-automatic bleeder vents are set at "closed" at all times when the roof is
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
85
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
ซ. i: 1 a. I -C
i i
t-MS-f d- f_r-r-_ "I
leg supports
-before filling the tank, each cover, access hatch, gauge float well, or lid on
any opening in their internal floating roof is bolted or fastened closed
- rim space vents are set to "open" only when the internal floating roof is not
floating or when the pressure beneath the rim exceeds recommended settings.
Verify that, when an external floating roof is used to control air emissions, the
following requirements are met:
-the external floating roof is designed to float on the liquid surface except
when the floating roof is supported by leg supports
- the floating roof is equipped with two continuous seals, one above the other,
between the wall of the tank and the roof edge
-the primary seal is a liquid mounted seal or a metallic shoe seal and the total
area of the gaps between the tank wall and the primary seal do not exceed
21.2 cm2/m of tank diameter and the width of any portion of these gaps does
not exceed 3.8 cm
-if a metallic shoe seal is used for the primary seal, it is designed so that one
end extends into the liquid in the tank and the other end extends a vertical
distance of at least 61 cm above the liquid surface
- the secondary seal is mounted above the primary seal and covers the annular
space between the floating roof and the wall of the tank, and the total area of
the gaps between'the tank wall and,the secondary seal do not exceed 21.2
cm /m of tank diameter, and the width of any portion of these gaps does not
exceed 1.3 cm .
-the external floating roof meets the following:
-each opening in a noncontact external floating roof provides a
projection below the liquid surface except for automatic bleeder vents
and rim space vents
- each opening is equipped with a gasketed cover, seal, or lid except for
automatic bleeder vents, rim space vents, roof drains, and leg sleeves
-each access hatch and each gauge float is equipped with a cover
designed to be bolted or fastened when the cover is secured in the
closed position
- each automatic bleeder vent and each rim space vent is equipped with a
gasket
-each roof drain that empties into the liquid managed in the tank is
equipped with a slotted membrane fabric cover that covers at least 90
percent of the area of the opening
-each unslotted and slotted guide pole well is equipped with a gasketed
sliding cover or a flexible fabric sleeve seal
-each unslotted guide pole is equipped with a gasketed cap on the end of
the pole
-each slotted guide pole is equipped with a gasketed float or other device
to close off the liquid surface from the atmosphere
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
86
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
* 'i, :* ,i" ''>(i '''''''iii '"
i 'I., f i i"i IMI, nili'ซ'
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
r rv-i-= i ^r r r i. ~ro>g-" ^.^ ,
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PfxAx.
to remove accumulated sludge or other residues from the bottom of the
tank
-opening of safety devices to avoid an unsafe condition.
Verify that, when a pressure tank is used to control emissions, the following
requirements are met:
-the tank is designed not to vent to the atmosphere as a result of compression
of the vapor headspace in the tank during the filling of the tank to capacity
-all tank openings are equipped with closure devices designed to operate with
no detectable organic emissions
whenever a hazardous waste is in the tank, it is operated as a closed system
that does not vent to the atmosphere except when a safety device is opened to
avoid an unsafe condition or when purging inerts from the tank is required
and the purge stream is routed to a closed-vent system and there is an
appropriate control device.
Verify that, if air emissions are being controlled by using an enclosure vented
through a closed vent system to an enclosed combustion control device, the
following are met:
the tank is located inside an enclosure designed and operated according to
the criteria for a permanent total enclosure as specified in 40 CFR 52.741,
Appendix B
-the enclosure is vented through a closed vent system to an enclosed,
combustion control device that is designed and operated according to the
standards in 40 CFR 265.1088.
ST.540.14. Closed vent
systems are required to be
designed according to specific
standards (40 CFR
262.34(a)(l)(ii), 265.202, and
265.1088).
"NOTE: See the definition of Exempted Waste Management Unit for exemptions
o these requirements.)
Verify that closed vent systems:
- route the gases, vapors, and fumes emitted from the hazardous waste to a
control device
-are designed according to 40 CFR265.1033(j)
-meet the following if they contain bypass devices, except for low leg drains,
high point bleeds, analyzer vents, open ended valves or lines, spring loaded
pressure relief valves, and other fittings used for safety devices, that could be
used to divert the gas or vapor stream before entering the control device:
- it is equipped with a flow indicator installed at the inlet to the bypass
line used to divert gases and vapors from the closed vent system to the
atmosphere at a point upstream of the control device inlet
it is equipped with a seal or locking device placed on the mechanism by
which the bypass device is in the closed position so that the bypass
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
88
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
..-a V-;
. i --_\\ s. *, i\-ป r .
; =- - - B. _ _
H i ,
, it REQUIREMENT, OR
'I 1 .ftutf ,t'lMHMl| ^!JHI1!,INII< ll)lll. l< r '
.. i! Jr.**f* MU/Tfcsirn.r'T',; i.f
a- = -
device cannot be opened without breaking the sea! or removing the lock
- seals or closure mechanism are inspected at least once a month,
Verify that the control device is one of the following:
-a control device designed and operated to reduce the total organic content of
the inlet vapor stream vented to the control device by at least 95 percent
weight
-an enclosed combustion device
a flare,
Verify that, when using a closed vent system and control device, periods of
planned routine maintenance to the control device during which the control device
does not meet specifications do not exceed 240 h/yr.
Verify that the following are met when using a carbon adsorption system:
-all activated carbon in the control device is replaced on a regular basis after
start-up if carbon adsorption is used
-all carbon that is a hazardous.waste and that is removed from the control
device is managed according to 40 CFR 265,1033(m) regardless of the
average volatile organic concentration
operation and maintenance is done in accordance with 40 CFR 265.1033(j)
or 40 CFR 265.1033(j) if a control device is used other than a thermal vapor
incinerator, flare, boiler, process heater, condenser, or carbon adsorption
system
-achievement of control device performance requirements is done by a
performance test or design analysis for each control device except for the
following:
- a flare
a boiler or process heater with a design heat input capacity of 44 MW
or greater
a boiler or process heater into which the vent stream is introduced with
the primary fuel
- a boiler or industrial furnace burning hazardous waste for which a final
permit has been issued and the unit is designed and operated in
accordance with 40 CFR 266
-a boiler or process heater for which the owner/operator has certified
compliance
carbon adsorption systems demonstrate achievement of performance
requirements based on the total quantity of organics vented to the atmosphere
from all carbon adsorption equipment that is used for organic adsorption,
organic desorptions or carbon regeneration, organic recovery, and carbon
disposal.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
89
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
PH.AI.
.- .ub.- .: ..-..-. L
. . s K* - r ^ %
oviri LL^r E f. ATEdli&Y1-
ST.540.15. When transferring
hazardous waste to a tank,
specific requirements must be
met (40 CFR 262.34(a)(l)(ii),
265.202, and 265,1085(j)).
Verify that transfer of hazardous wasic to the tank from another tank or from a
surface impoundment is done using continuous hard piping or another closed
system that does not allow exposure of the hazardous waste to the atmosphere.
(NOTE: These requirements do not apply when transferring a hazardous waste to
a tank under the following conditions:
-the hazardous waste meets the average VO concentration of less than 500
ppm at the point of waste origination
-the hazardous waste has been treated by an organic destruction or removal
process
the hazardous waste meets the numerical concentrations limits for organic
hazardous constituents as specified in 40 CFR 280
-the hazardous waste has been treated by the treatment technology established
by the U.S. EPA or has been removed or destroyed by an equivalent method
oftreatment.)
ST.540.16. Facilities are
required to meet inspection
and repair requirements for
tanks (40 CFR
262.34(a)(l)(ii), 265.202, and
265.1085(c)(4),
265.1085(c)(3),
265.1085(f)(3),
265,1085(g)(3), 265.1085(k)
and 265.1085(1)).
Verify that fixed roofs and closure devices are inspected and managed as follows:
-visually inspected for defects that could result in air pollutant emissions
initial inspection is on or before the date that the tank becomes subject to
these requirements
- inspected annually after the initial inspection.
Verify that internal floating roofs are inspected and managed as follows:
-visually inspected for defects that could result in air pollutant emissions
-inspected through the openings in the fixed roof at least once every 12 mo
- when the tank is emptied and degassed, inspected at least every 10 yr.
(NOTE: As an alternative to the requirements for inspecting the internal floating
roof, if an internal floating roof is equipped with two continuous seals, one above
the other, visual inspection may be done of the internal floating roof, primary and
secondary seals, gaskets, slotted membranes, and sleeve seals each time the tank is
emptied and degassed and at least every 5 yr.)
Verify that inspection of external floating roofs are done and managed as follows:
-measurement of the gaps between the tank wall and the primary seal are done
within 60 calendar days after initial operation of the tank following
installation of the floating roof and thereafter at least once every 5 yr
measurement of gaps between the tank wall and the secondary seal are done
within 60 calendar day after initial operation of the tank following
installation of the floating roof and thereafter at least once every year
the floating roof and closure devices are visually inspected for defects that
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
90
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
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could result in air pollutant emissions initially on or before the date that the
tank becomes subject to this regulation and thereafter annually.
'NOTE: If a tank ceases to hold hazardous waste for a period of 1 yr or more.
subsequent introduction of hazardous waste into the tank will be considered ar
nitial operation for inspection purposes.)
Verify that the U.S. EPA Regional Administrator is notified prior to each of the
nspections of the internal floating or the external floating roof as follows:
-prior to each visual inspection of the internal floating roof or the external
floating roof in a tank that has been emptied and degassed, written
notification is sent so that it is received by the U.S. EPA Regional
Administrator at least 30 calendar days before refilling the tank except when
an inspection is not planned
prior to each inspection to measure external floating roof seal gaps, written
notification is sent so that it is received by the U.S. EPA Regional
Administrator at least 30 calendar days before the date the measurements are
scheduled to be performed
-when a visual inspection is not planned and could not have been known
about, the U.S. EPA Regional Administrator is notified as soon as possible
but no later than 7 calendar days before refilling the tank.
Verify that, for fixed roofs and associated closure devices, the air emission control
iquipment is visually inspected for defects that could result in air pollutant
missions initially before the tank becomes subject to these requirements and
hereafter annually.
/erify that defects detected during inspections are repaired as follows:
- first efforts at repair are made no later than 5 calendar days after detection
-repair is completed no later than 45 days after detection unless it is
determined that the repair requires emptying or temporary removal from
service .of the tank and no alternative capacity is available to accept the
hazardous waste managed in the tank.
NOTE: After the initial inspections of the cover, following inspections may be
lerformed at intervals longer than 1 yr under the following conditions:
-when inspecting or monitoring the cover would expose a worker to
dangerous, hazardous, or other unsafe conditions and the cover is designated
as unsafe to inspect
-when the tank is buried partially or entirely underground, only those portions
aboveground are monitored annually.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
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ST.540.17. Facilities are
required to meet
documentation requirements
for tanks (40 CFR
262.34(a)(l)(ii), 265.202,
265.1090(a), 265.1090(b),
and 265.1090(e) through
265.1090(i)).
Verity that the following records are kept for tanks using atr emissions control:
a tank identification number or other unique identifying description
-a record for each required inspection that includes the following:
- date the inspection was done
-location and description of defects
-date of detection and corrective action to repair.
Verify that, for tanks using fixed roofs to meet Level 1 control standards, records
are kept for each determination of the maximum organic vapor pressure of the
hazardous waste, including the date and time the samples were collected, analysis
method used, and analysis results.
Verify that, for tanks using internal floating roofs to meet Level 2 control
standards, documentation is maintained describing the floating roof design.
Verify that, for tanks using external floating roofs to comply with Level 2 control
standards, the following records are maintained:
-documentation describing the floating roof design and the dimensions of the
tank
records for each seal gap inspection, including the date, results, and
calculations.
Verify that, for situations where an enclosure is being used to comply with Level 2
control requirements, the following are maintained:
- records for the most recent set of calculations and measurements performed
by the owner or operator to verify that the enclosure meets the criteria for a
permanent total enclosure
- all records required for closed vent systems and control devices.
Verify that, if using a closed-vent system and control device, the following records
are maintained:
- certification that is signed and dated by the owner/operator stating that the
control device is designed to operate at the performance level documented by
a design analysis or by performance tests when the tank is operating at
capacity or the highest level reasonably expected to occur
-design documents if design analysis is used, including information describing
the control device design and certification that the equipment meets the
applicable specification
a performance test plan if performance tests are used
description and date of each modification, as applicable
- identification of operating parameters, description of monitoring devices, and
diagrams of monitoring sensor locations, as applicable
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
92
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
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- semiannual records of the following for those planned routine maintenance
operations that would require the control device to exceed limitations:
a description of the planned routine maintenance that is anticipated to
be performed for the control device during the next 6-mo period,
including the type of maintenance needed, planned frequency, and
lengths of maintenance periods
a description of the planned routine maintenance that was performed for
the control device during the previous 6-mo period, including the type
of maintenance performed and the total number of hours during those 6
mo that the control device did not meet applicable requirements
records of the following for those unexpected control device system
malfunctions that would cause the control device to not meet specifications:
-the occurrence and duration of each malfunction of the control device
system
the duration of each period during a malfunction when gases, vapors, or
fumes are vented from the waste management unit through the closed
vent system to the control device while the control device is not
properly functioning
actions taken during periods of malfunction to restore a malfunctioning
control device to its normal or usual manner of operation
- records of the management of the carbon removed from a carbon adsorption
system.
Verify that, for exempted tanks (see the definition of Exempted Hazardous Waste
Storage Tanks), the following records are prepared and maintained as applicable:
-if exempted under the hazardous waste concentration conditions, information
used for; the waste determination in the facility operating log and/or the date,
time, and location of each waste sample if analysis results for samples are
used
if exempted under incineration use or process destruction use, the
identification number for the incinerator, boiler, or industrial furnace in
which the hazardous waste is treated.
Verify that the covers which are designated as unsafe to monitor, are listed in a log
kept in the facility operating record with an explanation of why they are unsafe to
inspect and monitor and a plan and schedule of inspection and monitoring is
recorded.
Verify that, for tanks not using the air emissions controls specified in 40 CFR
265.1085 through 265.1088, the following information is maintained:
-a,list of the individual organic peroxide compounds manufactured at the
facility if it produces more than one functional family of organic peroxides or
multiple organic peroxides within one functional family, and one or more of
these organic peroxides could potentially undergo self-accelerating thermal
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
93
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
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decomposition at or below ambient temperatures
- a description of how the hazardous waste containing the organic peroxide
compounds identified in the above list are managed, including:
- a facility identification number for the tank or group of tanks
-the purpose and placement of this tank or group of tanks in the
management train of this hazardous waste
-the procedures used to ultimately dispose of the hazardous waste
handled in the tanks
- an explanation why managing these tanks would be an undue safety hazard
- certification that the tank is not using inappropriate emissions control devices
- identification of the requirements in 40 CFR 60, 61, or 63 that the tank is in
compliance with.
Verify that all records, except design information records, are kept for at least 3 yr.
Verify that design information records are maintained in the operating record until
the air emissions control equipment is replaced or otherwise no longer in service.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
94
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
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STORAGE TANKS
ST.560
Treatment, Storage, and
Disposal Facilities
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implementation of air emissions standards in 40 CFR 265.1080 through 265.1091
Also, in relation to the requirements for air emissions standards, see the definition
of Exempted Hazardous Waste Management Units.)
ST.560.1. Secondary
containment is required for
specific types of tank systems
used to store or treat
hazardous waste at TSDFs (40
CFR 264.190(a), 264,190(b),
264.193(a), 265.190(a),
265.190(b),and265.193(a)).
Verify that tanks that accumulate or treat material that becomes hazardous waste
have secondary containment as follows:
for all new tank systems or components, prior to their being put into service
for those existing tank systems of known and documentable age, within 2 yr
after January 12, 1987, or when the tank systems have reached 15 yr of age,
whichever comes later
-for those existing tank systems for which the age cannot be documented,
within 8 yr of January 12, 1987; but if the age of the facility is greater then 7
yr by the time the facility reaches 15 yr of age or within 2 yr of January 12,
1987, whichever comes later.
(NOTE: The following are exempt from these requirements:
-tank systems that are used to store or treat hazardous waste that contains no
free liquids and that are situated inside a building with an impermeable floor
- tank systems, including sumps, that serve as part of a secondary containment
system to collect or contain releases of hazardous wastes.)
ST.560.2. Secondary
containment on tank systems
at TSDFs must meet specific
requirements (40 .CFR
264.190(a), 264.193(b)
through 264.193(d),
265.190(a), and 265.193(b)
through 265.193(d)). '
Verify that secondary containment meets the following criteria:
- it is designed, installed, and operated to prevent the migration of liquid out of
the system
- it is capable of detecting and collecting releases and accumulated liquids
until removal
-it is constructed of or lined with materials compatible with the wastes
-it is strong enough and of sufficient thickness to prevent failure due to
pressure gradients, climatic conditions, stress of installation and daily
operation
- it is placed on a foundation or base that can provide appropriate support and
prevent failure due to settlement, compression, or upset
- a leak-detection system is present that is designed and operated to detect the
failure of either the primary or secondary containment structure or the release
of any hazardous waste within 24 h or the earliest practicable time
-it is sloped or designed to drain and remove liquids from leaks, spills, or
precipitation.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
ril! = ซr =4- oar
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ST.560,3. External liners,
vaults and double- walled
tanks at TSDFs are required to
meet specific standards (40
CFR 264.190(a), 264.193(e),
265.190(a), and 265.193(e)).
Verify that spilled or leaked wastes are removed from secondary containment
within 24 h or as timely as possible.
Verify that secondary containment for tanks includes one or more of the following:
- a liner (external to the tank)
- a vault
- a double-walled tank
an equivalent approved device.
(NOTE: Tank systems that are used to store or treat hazardous waste that contains
no free liquids and are situated inside a building with an impermeable floor are
exempt from these requirements.)
Verify that external liner systems meet the following requirements:
it is designed and operated so that 100 percent of the capacity of the largest
tank within the boundary would be contained .
it prevents run-on and infiltration of precipitation into the secondary
containment unless the collection system has sufficient capacity to handle
run-on or infiltration
it is free of cracks or gaps
- it surrounds the tank completely and covers all surrounding earth likely to
come into contact with the waste if there is a release
-capacity is sufficient to contain precipitation from a 24-h, 25-yr rainfall
event.
Verify that vault systems meet the following criteria:
-it will contain 100 percent of the capacity of the largest tank within its
boundary
- it prevents run-on and infiltration of precipitation unless there is sufficient
excess capacity including capacity to contain precipitation from a 25-yr, 24-h
rainfall event
it is constructed with chemical-resistant water stops at all joints
it has an impermeable interior coating that is compatible
-it has a means to protect against the formation of, and ignition of, vapors
within the vault if the waste is ignitable or reactive
- it has an exterior moisture barrier or otherwise operated to prevent migration
of moisture into the vault.
Verify that. double-walled tanks meet the following criteria:
- it is designed as an integral structure so that any release is contained by the
outer shell
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
96
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
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exempt from these requirements.)
ST.560.6. TSDFs with new
tank systems must submit to
the U.S. EPA Regional
Administrator or authorized
regulatory agency a written
assessment review certified by
an independent, qualified,
registered professional
engineer and install the tank
according to specific
standards (40 CFR 264.192
and 265.192).
Determine if the TSDF has any new tank systems.
Verify that, when the tanks are installed, they are handled so as to prevent damage
to the tank and any backfill material that is used is a noncorrosive, porous,
homogeneous substance.
Verify that ancillary equipment is supported and protected against damage and
stress.
Verify that the written assessments from the individuals required to certify the tank
and supervise the installation of the tank are kept on file.
ST.560.7. Tanks used for
hazardous waste treatment or
storage at TSDFs must follow
certain operating requirements
(40 CFR 264.194 and
265.194).
Verify that hazardous wastes or treatment reagents are not placed in tanks if they
could cause the tank system (including ancillary equipment or containment system)
to fail.
Verify that appropriate measures are taken to prevent overfill, including:
- spill prevention controls
overfill prevention controls
- maintenance of sufficient freeboard to prevent overtopping by wave, wind
action, or precipitation for uncovered tanks.
ST.560.8. Tank systems at
TSDFs must comply with
requirements for ignitable,
reactive, or incompatible
wastes (40 CFR 264.198,
264.199, 265.198, and
265.199).
Verify that ignitable or reactive wastes are not placed in a tank system, unless one
of the following is met:
-the waste is treated, rendered, or mixed before or immediately after
placement in the tank system so that it is no longer reactive or ignitable and
the minimum requirements for reactive and ignitable wastes are met
the waste is treated or stored in such a way that it is protected from any
material or conditions that may cause the waste to ignite or react
the tank system is used solely for emergencies. .
Verify that the minimum protective distances between waste management areas
and any public ways, streets, alleys, or an adjoining property line that can be built
upon as required in Tables 2-1 through 2-6 of the NFPA's Flammable and
Combustible Liquids Code are maintained.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
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Verify that incompatible waste, or incompatible wastes and materials, are not
placed in the same tank system unless minimum safety requirements are met.
Verify that hazardous waste is not placed in a tank system that has not been
decontaminated and that previously held an incompatible waste or material unless
minimum safety requirements are met. , .
ST.560.9. Personnel at TSDFs
must conduct inspections of
tank systems and associated
equipment (40 CFR 264.195
and 265.195).
Verify that a schedule and procedure has been developed and is followed to
inspect overfill controls.
Determine if the following inspections are conducted at least once a day:
overfill/spill control equipment to ensure it is in good working order
- aboveground portions of the tank to detect corrosion or releases
-data gathered from tank monitoring equipment (e.g., pressure and
temperature gauges)
- construction materials and the area immediately surrounding tank including
the secondary containment system to detect signs of erosion or signs of
leakage (wet spots, dead vegetation).
Verify that the proper operation of cathodic protection systems are inspected
.within 6 mo after initial installation and annually thereafter.
Verify that all sources of impressed current are inspected and/or tested every other
month.
Verify that inspections are documented
ST.560.IO. Tank systems or
secondary . containment
systems at TSDFs from which
there has been a leak or spill
or which have been declared
unfit for use must be removed
from service immediately and
specific requirements met (40
CFR 264.196 and 265.196).
Verify that the following steps are taken:
-the flow or addition of hazardous wastes to the tank is stopped
the hazardous waste is removed from the tank:
- within 24 h of detection (or at the earliest practicable time as
demonstrated by the owner or operator) remove as much waste from the
tank as necessary to prevent further release and allow, inspection and
repair
- within 24 h (or in as timely a manner as is possible to prevent harm to
human health and the environment) remove waste released to secondary
containment system
- a visual inspection of the release is done and:
action is taken to prevent further migration to soils.or surface or ground
water
any visible contamination of soil and surface water is removed and
disposed.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
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Verify that notification is made within 24 h for any release to the environment to
the regional administrator except for releases of 0.45 kg (1 Ib) or less that are
immediately contained and cleaned up.
Verify that a report is submitted within 30 days containing the following
information:
- likely route of migration
- characteristics of the surrounding soil
-results of any monitoring or sampling
-proximity to downgradient drinking water, surface water, and population
areas
-description of response actions taken or planned.
Verify that the tank and/or secondary containment is repaired prior to its return to
service and that extensive repairs are certified by an independent, qualified,
registered, professional engineer.
ST.560.11. TSDFs are
required to follow specific
procedures when closing a
tank system (40 CFR
264.197(a), 264.197(5),
265.197(a), and 265.197(b)).
Determine if the TSDF has closed any tank systems.
Verify that all waste residues, contaminated containment system components,
contaminated soils, and structures and equipment contaminated with waste have
been removed or decontaminated.
Verify that, if it is not possible and/or practicable to remove or decontaminate all
soils, the tank is closed and postclosure care is performed as is required. for
landfills.
ST.560.12. Certain tanks used
for the storage of hazardous
waste are required to meet
Level 1 control standards for
air emissions control (40 CFR
262.34(a)(l)(ii), 264.200,
264.1084(a) through
264.1084(c)(3), 265.202, and
265.1085(a) through
265.1085(c)(3)).
(NOTE: See the definition of Exempted Waste Management Unit and Exempted
Hazardous Waste Storage Tanks for exemptions to these requirements.)
Verify that the following tanks meet the requirements for Tank Level 1 controls:
the hazardous waste in the tank has a maximum organic vapor pressure which
is less than the maximum organic vapor pressure for the tank's design
capacity category as follows:
for a tank design capacity equal to or greater than 151m ,.the maximum
organic vapor pressure limit for the tank is 5.3 kPa
- for a tank design capacity equal to or greater than 75 m3 but less than
151 m3, the maximum organic vapor pressure limits for the tank is 27.6
kPa
- for a tank design capacity less than 75 m , the maximum organic vapor
pressure limit for the tank is 76.6 kPa
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
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-the hazardous waste in the tank is not heated to a temperature lhat is greater
than the temperature at which the maximum organic vapor pressure of the
hazardous waste is determined
-the hazardous waste in the tank is not treated using a waste stabilization
process.
/erify that tanks not required to meet the requirements for Level 1 controls meet
he requirements for Level 2 controls.
/erify that, when required, the following Level 1 controls are met:
-the maximum organic vapor pressure for a hazardous waste is determined
before the first time the waste is placed in the tank
-new maximum organic vapor pressure determinations are made each time
there are changes to. the hazardous waste which could cause the maximum
organic vapor pressure to increase to a level that is equal to or greater than
the maximum organic vapor pressure limit for the tank capacity.
/erify that tanks requiring Level 1 control are equipped with a fixed roof designed
is follows:
the roof and its closure devices are designed to form a continuous barrier
over the entire surface area of the hazardous waste in the tank
-the fixed roof is installed so that there are no visible cracks, holes, gaps, or
other open spaces between roof section joints or between the interface of the
roof edge and the tank wall
-each opening in the fixed roof, and any manifold system associated with the
fixed roof, meets one of the following:
-it is equipped with a closure device designed to operate so that when
the closure device is secured in the closed position there are no visible
cracks, holes, gaps, or other open spaces in the closure device or
between the perimeter of the opening and the closure device
-connected by a closed vent system that is vented to a control device
which removes or destroys organics in the vent stream and operates
whenever hazardous waste is in the tank except during periods of
required access to the tank
-the fixed roof and closure devices are made of suitable materials that
minimize exposure of the hazardous waste to the atmosphere to the extent
practical and maintain the integrity of the fixed roof and closure devices
throughout their intended service life.
/erify that, for tanks requiring Level 1 control, whenever hazardous waste is in the
ank, a fixed roof is installed with each closure device secured in the closed
)osition except as follows:
-opening of the closure devices or removal of the Fixed roof is allowed in
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
s- iซ: ปic\ i, *" r A Mh. i.tAV 4=u i. -M i>
order to:
-provide access to the tank for performing routine inspections,
maintenance, or other activities needed for normal operations
- remove accumulated sludge or other residues at the bottom of the tank
- opening of a spring-loaded pressure vacuum relief valve, conservation vent,
or similar type of pressure relief device is allowed during'normal operations
in order to maintain the tanks internal pressure in accordance with design
standards
-opening of a safety device in order to avoid unsafe conditions.
ST.560.13. Certain tanks are NOTE: See the definition of Exempted Waste Management Unit and Exempted
required to use Level 2 ; hazardous Waste Storage Tanks for exemptions to these requirements.)
:ontrol standards for air
emissions control (40 CFR
262.34(a)(l)(ii), 264.200,
264.1084(b)(2), 264.1084(d)
:hrough 264.1084(i){3)s
265.202, 265.1085(b)(2), and
265.108S(d) through
Z65.1085(i)(3)).
/erify that tanks not required to meet the requirements for Level 1 controls meet
he requirements for Level 2 controls.
/erify that, when using Level 2 controls, the following types of tanks are used:
- a fixed roof tank equipped with an internal floating roof
- a tank equipped with an external floating roof
- a tank vented through a closed vent system to a control device
a pressure tank
- a tank located inside an enclosure that is vented through a closed vent system
to an enclosed combustion device control device.
/erify that, when a fixed roof with an internal floating roof is used, the following
equirements are met:
-the internal floating roof is designed to float on the liquid surface except
when the floating roof is supported by the leg supports
- the internal floating roof is equipped with a continuous seal between the wall
of the tank and the floating roof edge that meets one of the following
requirements:
-a single continuous seal that is either a liquid mounted seal or a metallic
shoe seal
two continuous seals mounted one above the other
-the internal floating roof meets the following specifications:
-each opening in a noncontact internal floating roof, except for
automatic bleeder vents and rim space vents, provides a projection
below the liquid surface
- each opening in the internal floating roof is equipped with a gasketed
cover or a gasketed lid except for leg sleeves, automatic bleeder vents,
rim space vents, column wells, ladder wells, sample wells, and stub
drains
-each penetration of the internal floating roof for sampling has a slit
This document is intended solely for guidance. No 'statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
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each automatic bleeder vent and rim space vent is gasketed
-each penetration of the internal floating roof that allows for passage of a
ladder has a gasketed sliding cover
-each penetration of the internal floating roof that allows for passage of a
column supporting the fixed roof has a flexible fabric sleeve seal or a
gasketed sliding cover
- the tank is operated such that when the floating roof is resting on the leg
supports, the process of filling, emptying, or refilling is continuous and is
completed as soon as practical
-automatic bleeder vents are set at closed at all times when the roof is floating,
except when the roof is being floated off or is being landed on the leg
supports
-before filling the tank, each cover, access hatch, gauge float well, or lid on
any opening in their internal floating roof is bolted or fastened closed
rim space vents are set to open only when the internal floating roof is not
floating or when the pressure beneath the rim exceeds recommended settings.
Verify that, when an external floating roof is used to control air emissions, the
following requirements are met:
- the external floating roof is designed to float on the liquid surface except
when the floating roof is supported by leg supports
- the floating roof is equipped with two continuous seals, one above the other,
between the wall of the tank and the roof edge
- the primary seal is a liquid mounted seal or a metallic shoe seal and the total
area of the gaps between the tank wall and the primary seal do not exceed
212 cm /m of tank diameter and the width of any portion of these gaps does
exceed 3.8 cm
-if a metallic shoe seal is used for the primary seal, it is designed so that one
end extends into the liquid in the tank and the other end extends a vertical
distance of at least 61 cm above the liquid surface
-the secondary seal is mounted above the primary seal and covers the .annular
. space between the floating roof and the wall of the tank and the total area of
the gaps between the tank wall and the secondary seal do not exceed 21.2
cm2/m of tank diameter and the width of any portion of these gaps does not
exceed 1.3 cm
-the external floating roof meets the following:
each opening in a noncontact external floating roof provides a
projection below the liquid surface except for automatic bleeder vents
and rim space vents
- each opening is equipped with a gasketed cover, seal, or lid except for
automatic bleeder vents, rim space vents, roof drains, and leg sleeves
each access hatch and each gauge float is equipped with a cover
designed to be bolted or fastened when the cover is secured in the
closed position
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
103
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
ti il HH. ' '". -. k :': !H::M--i "-"riMi
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- each automatic bleeder vent and each rim space vent is equipped with i
gasket
-each roof drain that empties into the liquid managed in the tank is
equipped with a slotted membrane fabric cover that covers at least 9C
percent of the area of the opening
-each unslotted and slotted guide pole well is equipped with a gasketed
sliding cover or a flexible fabric sleeve seal
- each unslotted guide pole is equipped with a gasketed cap on the end oi
the pole
-each slotted guide pole is equipped with a gasketed float or other device
to close off the liquid surface from the atmosphere
- each gauge hatch and sample well is equipped with a gasketed cover.
Verify that, when an external floating roof is used, the tank is operated as follows:
-when the floating roof is resting on the leg supports, the process of filling,
emptying, or refilling is continuous and completed as soon as practical
-each opening in the roof/except for automatic bleeder vents, rim space vents,
roof drains, and leg sleeves, is secured and maintained in a closed position at
all times except when the closure device is opened for access
-covers on each access hatch and each gauge float well are bolted or fastened
when secured in the closed position
-automatic bleeder vents are set closed at all times when the roof is floating
except when the roof is 'being floated off or is being landed on the leg
supports
-rim space vents are set to open only at those times that the roof is being
floated off the roof leg supports or when the pressure beneath the rim seal
exceeds the manufacturer's setting
the cap on the end of each unslotted guide pole is secured in the closed
position at all times except when measuring the level or collecting samples oi
the liquid in the tank
-the cover on each gauge hatch or sample well is secured in the closed
position at all times except when the hatch or well must be opened for access
-both the primary seal and the secondary seal completely cover the annular
space between the external floating roof and the wall of the tank in a
continuous fashion except during inspection.
Verify that, when air emissions are controlled from a tank by venting the tank to a
control device, the following requirements are met:
the tank is covered by a fixed roof and vented directly through a closed vent
system to a control device as follows:
-the fixed roof and its closure devices form a continuous barrier over the
entire surface area of the liquid in the tank
-each opening in the fixed roof not vented to a control device is
equipped with a closure device
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
104
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
r >s. r
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- the fixed roof and the closure devices are made of suitable materials to
minimize exposure of the hazardous waste to the atmosphere, and
maintain the integrity of the fixed roof and closure devices throughout
their intended service life
the closed vent system is designed according to the requirements in 40
CFR 264/1087/265.1088
-whenever a hazardous waste is in the tank, the fixed roof is installed with
each closure device secured in the closed position and the vapor headspace
underneath the fixed roof is vented to the control device except as follows:
-to provide access to the tank for performing routine inspection,
maintenance, or other activities needed for normal operations
-to remove accumulated sludge or other residues from the bottom of the
tank
opening of safety devices to avoid an unsafe condition.
Verify that, when a pressure tank is used to control emissions, the following
requirements are met:
-the tank is designed not to vent to the atmosphere as a result of compression
of the vapor headspace in the tank during the filling of the tank to capacity
-all tank openings are equipped with closure devices designed to operate with
no detectable organic emissions
-whenever a hazardous waste is in the tank, it is operated as a closed system
that does not vent to the atmosphere except when a safety device is opened to
avoid an unsafe condition or when purging of inerts is required and the purge
stream is routed to a closed-vent system and appropriate control device.
Verify that, if air emissions are being controlled by using an enclosure vented
through a closed vent system to an enclosed combustion control device, the
following are met:
-the tank is located inside an enclosure that is designed and operated
according to the criteria for a permanent total enclosure as specified in 40
CFR 52.741, Appendix B
the enclosure is vented through a closed vent system to an enclosed,
combustion control device that is designed and operated according to the
standards in40 CFR264.1087/265.1088
- all safety devices, if present, remain in the closed position during normal
operations and are not used for venting of gases from the vapor headspace of
the tank during tank filling operations or as a means of adjusting pressure in
the tank.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
ST.560.14. Closed vent
systems are required' to be
.designed according to specific
standards (40 CFR
262.34(a)(l)(ii) 264.200,
264.1087, 265.202, and
265.1088).
'NOTE; See the definition of bxemptcJ Waste Management Unit for exemptions
o these requirements.)
/erify that closed-vent systems:
-route the gases, vapors, and fumes emitted from the hazardous waste to a
control device
-are designed according to40 CFR 264.1033(k)/265.1033(j)
-meet the following if they contain bypass devices, except for low leg drains,
high point bleeds, analyzer vents, open ended valves or lines, spring loaded
pressure relief valves, and other fittings used for safety devices, that could be
used to divert the gas or vapor stream before entering the control device:
it is equipped with a flow indicator installed at the inlet to the bypass
line used to divert gases and vapors from the closed vent system to the
atmosphere at a point upstream of the control device inlet
it is equipped with a seal or locking device placed on the mechanism by
which the bypass device is in the closed position so that the bypass
device cannot be opened without breaking the seal or removing the-lock
- seals or closure mechanism are inspected at least once a month.
/erify that the control device meets the following:
it is one of the following:
- a control device designed and operated to reduce the total organic content of
the inlet vapor stream vented to the control device by at least 95 percent
weight
-an enclosed combustion device
- a flare
- periods of planned routine maintenance to the control device during which
the control device does not meet specifications do not exceed 240 h/yr
-all activated carbon in the control device is replaced on a regular basis after
start-up if carbon adsorption is used
operation and maintenance is done in accordance with 40 CFR 264.1033(k)
or 40 CFR 265.1033(j) if a control device is used other than a thermal vapor
incinerator, flare, boiler, process heater, condenser, or carbon adsorption
system
achievement of control device performance requirements is done by a
performance test or design analysis for each control device except for the
following:
- a flare
a boiler or process heater with a design heat input capacity of .44 MW
orgreater
a boiler of process heater into which the vent stream is introduced with
the primary fuel
- a boiler or industrial furnace burning hazardous waste for which a final
permit has been issued and the unit is designed arid operated in
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
1 C 11 r": rlis v
**% .TH.. t, *!:
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it
accordance with 40 CFR 266
-a boiler or process heater for which the owner/operator has certified
compliance
carbon adsorption systems demonstrate achievement of performance
requirements based on the total quantity of organics vented to the atmosphere
from all carbon adsorption equipment that is used for organic adsorption,
organic desorptions or carbon regeneration, organic recovery, and carbon
disposal.
5T.560.15. When transferring
lazardous waste to a tank,
ipecific requirements must be
net(40CFR262.34(a)(l)(ii),
L64.200, 264.1084(j),
>65.202,and 265.1085(j)).
Verify that transfer of hazardous waste to the tank from another tank or from a
surface impoundment is done using continuous hard piping or another closed
system that does not allow exposure of the hazardous waste to the atmosphere.
[NOTE: These requirements do not apply when transferring a hazardous waste to
a tank under the following conditions:
the hazardous waste meet the average VO concentration of less than 500 ppm
at the point of waste origination
- the hazardous waste has been treated by an organic destruction or removal
process.)
5T.560.16. TSDFs are
equired to meet inspection
md repair requirements for
anks (40 CFR
!62.34(a)(l)(ii), 264.200,
!64.1084(c)(4),
>64.1084(e)(3),
!64.1084(f)(3),
!64.1084(g)(3), 264.1084(k),
64.1084(1), 265.202,
>65.1085(c)(4),
!65.1085(e)(3),
165.1085(0(3),
165.1085(g)(3), 265.1085 (k)
md 265.1085(1)).
Verify that fixed roofs and closure devices are inspected and managed as follows:
-visually for defects that could result in air pollutant emissions
-initial inspection is on or before the date that the tank becomes subject to
these requirements
- annually after the initial inspection.
Verify that internal floating roofs are inspected and managed as follows:
- visually for defects that could result in air pollutant emissions
- inspect through the openings in the fixed roof at least once every 12 mo
- when the tank is emptied and degassed, at least every 10 yr.
As an alternative to the requirements for inspecting the internal floating
oof, if an internal floating roof is equipped with two continuous seals,' one above
he other, visual inspection may be done of the internal floating roof, primary and
secondary seals, gaskets, slotted membranes, and sleeve seals each time the tank is
;mptied and degassed and at least every 5 yr.)
Verify that inspection of external floating roofs are done and managed as follows:
-measurement of the gaps between the tank wall and the primary seal are done
within 60 calendar days after initial operation of the tank following
installation of the floating roof and thereafter at least once every 5 yr
- measurement of gaps between the tank wall and the secondary seal are done
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
107
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
r"i I'M ?!.! \\l'tr I Jitf iriJL>l4 i =1J ItAJU I.. r 4> K. .*> 141A L. ฃ.^ t> E. -I""-" " SC- ". -^s-
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within 6U calendar day alter initial operation of the tank follow ing
installation of the floating roof and thereafter at least once every year.
the floating roof and closure devices are visually inspected for defects that
could result in air pollutant emissions initially on or before the date that the
tank becomes subject to this regulation and thereafter annually.
(NOTE: If a tank ceases to hold hazardous waste for a period of 1 yr or more,
subsequent introduction of hazardous waste into the tank will be considered an
initial operation for inspection purposes.)
Verify that the U.S. EPA Regional Administrator is notified prior to each of the
inspections of the internal or external floating roof as follows:
prior to each visual inspection of the internal floating roof or the external
floating roof in a tank that has been emptied and degassed, written
notification is sent so that it is received by the U.S. EPA Regional
Administrator at least 30 calendar days before refilling the tank except when
an inspection is not planned
-prior to each inspection to measure external floating roof seal gaps written
notification is sent so that it is received by the U.S. EPA Regional
Administrator at.least 30 calendar days before the date the measurements are
scheduled to be performed
when a visual inspection is not planned and could not have been known
about, the U.S. EPA Regional Administrator is notified as soon as possible
but no later than 7 calendar days before refilling the tank.
Verify that, for fixed roofs and associated closure devices, the air emission control
equipment is visually inspected for defects that could result in air pollutant
emissions initially before the tank becomes subject to these requirements and
thereafter annually.
Verify that defects detected during inspections are repaired as follows:
- first efforts at repair are made no later than 5 calendar days after detection
-repair is completed no later than 45 days after detection unless it is
determined that the repair requires emptying or temporary removal from
service of the tank and no alternative capacity is available to accept the
hazardous waste managed in the tank.
(NOTE: After the initial inspections of the cover, following inspections may be
performed at intervals longer than 1 yr under the following conditions:
-when inspecting or monitoring the cover would expose a worker to
dangerous, hazardous, or other unsafe conditions and the cover is designated
as unsafe to inspect
when the tank is buried partially or entirely underground, only those portions
aboveground arc monitored annually.)
his document is intended solely for guidance. No statutory or regulatory
:quirements are in any way altered by any statement(s) contained herein.
108
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
" "
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ST.560.17. TSDFs are
required to meet
documentation requirements
for tanks (40 CFR
262.34(a)(l)(ii), 264.1089(a),
264.1089(b), and 264.1089(e)
through 264.1089(i); 265.202,
265.1090(a), 265.1090(b),
and 265,1090(e) through
265.1090(i)).
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Verify that the following records are kept for tanks using air emissions control:
- a tank identification number or other unique identifying description
. - a record for each required inspection that includes the following:
- date the inspection was done
location and description of defects
date of detection and corrective action to repair.
Verify that, for tanks using fixed roofs to meet Level 1 control standards, records
are kept for each determination of the maximum organic vapor pressure of the
hazardous waste, including the date and time the samples were collected, analysis
method used, and analysis results.
Verify that, for tanks using internal floating roofs to meet Level 2 control
standards, documentation is maintained describing the floating roof design.
Verify that, for tanks using external floating roofs to comply with Level 2 control
standards, the following records are maintained:
- documentation describing the floating roof design and the dimensions of the
tank
records for each seal gap inspection, including the date, results, and
calculations.
Verify that for situations where an enclosure is being used to comply with Level 2
control requirements, the following are maintained:
records for the most recent set of calculations and measurements performed
by the owner or operator to verify that the enclosure meets the criteria for a
permanent total enclosure
- all records required for closed vent systems and control devices.
Verify that, when measurements of seal gaps indicate nonconformance with
specifications, records are kept that include a description of repairs that were
made, date the repairs were made, and the date the tanks were emptied.
Verify that, if using a closed-vent system and control device, the following records
are maintained:
-certification that is signed and dated by the owner/operator stating that the
control device is designed to operate at the performance level documented b>
a design analysis or by performance tests when the tank is operating al
capacity or the highest level reasonably expected to occur
-design documents if design analysis is used, including information describing
the control device design and certification that the equipment meets the
applicable specification
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
109
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
VVl *! I kIK A.? = .
-a performance test plan if performance tests are used
-description and date of each modification, as applicable
-identification of operating parameters, description of monitoring devices, and
diagrams of monitoring sensor locations, as applicable
-semiannual records of the following for those planned routine maintenance
operations that would require the control device to exceed limitations:
-a description of the planned routine maintenance that is anticipated to
be performed for the control device during the next 6-mo period,
including the type of maintenance needed, planned frequency, and
lengths of maintenance periods
- a description of the planned routine maintenance that was performed for
the control device during the previous 6-mo period, including the type
of maintenance performed and the total number of hours during those 6
mo that the control device did not meet applicable requirements
-records of the following for those unexpected control device system
malfunctions that would cause the control device to not meet specifications:
-the occurrence and duration of each malfunction of the control device
system
the duration of each period during a malfunction when gases, vapors, or
fumes are vented from the waste management unit through the closed
vent system to the control device while the control device is not
properly functioning
-actions taken during periods of malfunction to restore a malfunctioning
control device to its normal or usual manner of operation
records of the management of the carbon removed from a carbon adsorption
system.
Verify that, for exempted tanks (see the definition of Exempted Hazardous Waste
Storage Tanks), the following records are prepared and maintained as applicable:
-if exempted under the hazardous waste concentration conditions, information
used for the waste determination in the facility operating log and/or the date,
time, and location of each waste sample if analysis results for samples are
used
if exempted under incineration use or process destruction use, the
identification number for the incinerator, boiler, or industrial furnace in
which the hazardous waste is treated.
Verify that the covers which are designated as unsafe to monitor, are listed in a log
tept in the facility operating record with an explanation of why they are unsafe to
nspect and monitor and a plan and schedule of inspection and monitoring is
recorded.
Verify that, for tanks not using the air emissions controls specified in 40 CFR
264.1084 through 264.1087 or 40 CFR 265.1085 through 265.1088. the following
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
110
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
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 are managed, including:
a facility identification number for the tank or group of tanks
-the purpose and placement of this tank or group of tanks in the
management train of this hazardous waste
the procedures used to ultimately dispose of the hazardous waste
handled in the tank
- an explanations why managing these tanks would be an undue safety hazard.
Verify that all records, except air emission control equipment design information
records, are kept for at least 3 yr.
Verify that air emission control equipment design information records are
maintained in the operating record until the air emissions control equipment is
replaced otherwise no longer in service.
iT.560.18. TSDFs are
equired to meet specific
eporting requirements as
elated to air emissions
ontrols (40 CFR
:64.1090(a), and
:64.!090(b)).
Verify that a written report is submitted to the U.S. EPA Regional Administrator
within 15 calendar days of becoming aware that hazardous waste is being managed
in an exempted tank in noncompliance with the applicable design and operating
requirements.
Verify that written reports for noncompliance using exempted tanks contain:
- U.S. EPA identification number
- facility name and address
description of the noncompliance event and the cause
- actions taken to correct noncompliance and prevent recurrence
- date and signature by the authorized agent of the facility.
Verify that the report contains an explanation of why the control device could not
be returned to compliance within 24 h and actions taken to correct noncompliance.
Verify that a written report is submitted to the U.S. EPA Regional Administrator
within 15 calendar days of becoming aware that hazardous waste is being managed
in a tank equipped with air emissions controls in noncompliance with the
applicable design and operating standards and the report contains:
U.S. EPA identification number
his document is intended solely for guidance. No statutory or regulatory
iquirements are in any way altered by any statement(s) contained herein.
Ill
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
- facility name and address
description of the noncompliance event and the cause
actions taken to correct noncompliance and prevent recurrence
date and signature by the authorized agent of the facility.
(NOTE: If the facility received its permit under RCRA Section 3005 prior to
December 6, 1995, these requirements will be incorporated in the permit when it is
reviewed. Until that time, the TSDF is required to comply with 40 CFR 265
Subpart CC (40 CFR 264.1080(c) and 265.1080(c)).)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
112
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
=_~i 3-Vi P | .4 S =- ? r '. It i" j:' ft't
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ST.600
USED OIL STORAGE
TANKS
ST.600.1. The label USEE
OIL must be clearly markec
on aboveground tanks usec
to store used oil and fill pipes
used to transfer used oil intc
underground storage
facilities at used oi
generators (40 CFR
279.22(c)).
Verify that containers, aboveground tanks, and fill pipes used to transfer used oil
arc clearly marked with the phrase USED OIL
(NOTE: See Appendix F of this document for guidance regarding regulatory
classifications of used oil.)
ST.600.2. Abovegrounc
tanks used to store used oil ai
used oil generators must bซ
in good condition and noi
leaking (40 CFR 279.22(b)).
Verify that tanks are not leaking, bulging, rusting, damaged, or dented.
(NOTE: See Appendix F of this document for guidance regarding regulatory
classifications of used oil.)
ST.600.3. Do-it-yourselfet Verify that DIY used oil collection centers meet the tank requirements outlined in
(DIY) used oil collection checklist items ST.600.1 and ST.600.2.
centers are required to meel i
the same tank standards as
used oil generators (40 CFR
279.30).
ST.600.4. When storing used
oil in tanks, transfer facilities
are required meet specific
requirements (40 CFR
279.45(b) through
279.45(g)):
Verify that used oil transfer facilities storing used oil in tanks, do not store used oil
in units other than those subject to regulation under 40 CFR 264 or 265.
Verify that aboveground tanks used to stored used oil at transfer facilities are in
good condition (no severe rusting, apparent structural defects or deterioration); and
not leaking.
Verify that ASTs used to store used oil at transfer facilities have secondary
containment that consists of the following minimum requirements:
dikes, berms, or retaining walls
- a floor that covers the entire area within the dikes, berms, or retaining walls
the system is impervious to prevent migration to the soil, groundwater, or
surface water.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
113
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
I It
RE(3UlREMErViiP|jORi
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= -_= ~-= - - - =--- ;
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kltSllilliillHiyiiilylfiiiBiii'J'uilu "ill I'liliiitSli!! li I =~ _~_~_-~=jJL.:=L --_-"" = _ a.8!"" n-:.iiir ~"o~ - 1-j. _-"----_-j, " -~ Z ---==- ": -~ a-
Veriiy that ASTs arc labeled with the phrase USED OIL
Verify that fill pipes used to transfer used oil into USTs at transfer facilities are
labeled USED.OIL.
iT.600.5. When storing used
iil in tanks, used oil burners
re required meet specific
equirements (40 CFR
!79.60(a), 279.60(c), and
I79.64(a) through 279.64(f)).
Verify that ASTs used to stored used oil at are in good condition (no severe rusting.
apparent structural defects or deterioration); and not leaking.
Verify that ASTs used to store used oil have secondary containment that consists ol
the following minimum requirements:
- dikes, berms, or retaining walls
- a floor that covers the entire area within the dikes, berms, or retaining walls
-the system is impervious to prevent migration to the soil, groundwater, 01
surface water.
Verify that ASTs are labeled with the phrase USED OIL.
Verify that fill pipes used to transfer used oil into. USTs at transfer facilities are
labeled USED OIL.
(NOTE: The requirements for used oil burners do not apply to the following:
-the used oil is burned by the generator in an on-site space heater under the
provisions of 40 CFR 279.23
-the used oil is burned by a processor/re-refiner for purposes of processing
used oil, which is considered burning incidentally to used oil processing
-persons burning used oil that meets the used oil fuel specification of 40 CFR
279.11 (see Appendix F of this document), if the burner complies with the
requirements for used oil fuel marketers.)
T.600.6. Used oil marketers
/ho generate used oil are
squired to also meet the
tandards for used oil
enerators (40 CFR
79.70(c)(l)).
Verify that used oil marketers who generate used oil also comply with checklist
items ST.600,1 and ST.600.2.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
114
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Verify that abovcground tanks used to stored used oil ai arc tn good condition (no
severe rusting, apparent structural defects or deterioration); and not leaking.
Verify that ASTs used to store used oil have secondary containment that consists of
the following minimum requirements:
-dikes, berms, or retaining walls
-a floor that covers the entire area within the dikes, berms, or retaining walls
-the system is impervious to prevent migration to the soil, groundwater, or
surface water,
Verify that ASTs are labeled with the phrase USED OIL.
Verify that fill pipes used to transfer used oil into USTs at transfer facilities are
labeled USED OIL.
(NOTE: These requirements do not apply to either of the following:
-transporters that conduct incidental processing operations that occur during
the normal course of transportation as provided in 40 CFR 279.41
-burners that conduct incidental processing operations that occur during the
normal course of used oil management prior to burning as provided in 40 CFR
279.61(b).)
ST.600.7. When used oil is
stored in a tank, used oil
processors/re-refiners are
required to meet specific
requirements (40 , CFR
279.50(a) and 40 CFR
279.54(a) through 279.54(f)).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
115
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This document is intended solely for guidance. No statutory or regulatory 11 g
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
Storage Tanks under RCRA
Appendix A:
Financial Responsibility Requirements And Deadlines For Various
Groups Of Underground Storage Tank Owners And Operators
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Financial Responsibility Requirements and Deadlines for Various Groups of
Underground Storage Tank Owners and Operators
j: " M,1 ,;:", '""-!l
'Group Of Underground Storage Tankjjj
ii in | Owners And Operators i
If - ';, "Vil|"':' i
GROUP 1:
Petroleum marketers with
1,000 or more tanks
OR
Nonmarketers with net worth of $20 million
or more
(for nonmarketers, the "per occurrence"
amount is the
same as Group 4-B below)
GROUP 2:
Petroleum marketers with
100-999 tanks
GROUP 3:
Petroleum marketers with
13-99 tanks
GROUP 4-A:
Petroleum marketers with
1-1 2 tanks
GROUP 4-B:
Nonmarketers with net worth of less than
$20 million
GROUP 4-C:
Local governments (including Indian tribes
not part of Group 5)
GROUP 5:
Indian tribes owning USTs on Indian lands
(USTs must be in compliance with UST
technical requirements )
I . ; !i
|jCompliance| |
\\ Deadline Jl
li Ill
.lanuarv 1989
October 1989
April
1991
December
1993
December
1993
February
1994
December
1998
! .,.,.,.,.,,,.. _,,,1(jp
II i PeriOccurrence "i il
l|| ' Coverage
$1 million
$500,000
if throughput is 10,000
gallons monthly or less
OR
$1 million
if throughput is more
than 10,000 gallons
monthly
fl ' " J
III-1' Ul Aggregate'1
Coverage i
$1 million
if you have
100 or
fewer tanks
OR
$2 million
if you have more than
100 tanks
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
Al
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This document is intended solely for guidance. No statutory or regulatory A2
requirements are in any way altered by any statements) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
Storage Tanks under
Appendix B:
Additional Underground Storage Tank Information
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Additional Underground Storage Tank Information
For information on USTs, you can go to U.S. EPA's Office of Underground Storage Tanks Web site at
http://www.epa.gov/OUST/ to download, order, or read documents online. You can call U.S. EPA's toll-free
RCRA/Superfund Hotline at 1-800 - 424-9346 and order copies. Or you can write and ask for titles by addressing
your request to NCEP, our publication distributor: NCBP, Box 42419, Cincinnati, OH 45242. Or you can make your
request by calling NCEP's toll-free number at 1-800- 490-9198. Or you can fax your order to NCEP at 513 - 891-
6685.
1. Publications About USTs:
Musts For USTs; A Summary Of Federal Regulations For USTs. Booklet clearly summarizes federal UST
requirements for installation, release detection, spill, overfill, and corrosion protection, corrective action, closure,
reporting and recordkecping. Updated & revised 1995. Normas y Procedimientos para T.S.A. Spanish translation
of 1988 edition of Musts For USTs. .
Catalog Of EPA Materials On USTs. This booklet provides an annotated list of UST materials and includes
ordering information. Many of the informational leaflets, booklets, videos, and software items listed are designed to
provide UST owners and operators with information to help them comply with the federal UST requirements.
Straight Talk On Tanks: Leak Detection Methods For Petroleum USTs. Booklet explains federal requirements
for leak detection and describes allowable leak detection methods. Updated & revised 1995.
Doing Inventory Control Right: For USTs. Booklet describes how owners/operators of USTs can use inventory
control and periodic tightness testing to meet federal leak detection requirements. Contains reporting forms.
Manual Tank Gauging: For Small USTs. Booklet provides simple, "step-by-step directions for conducting manual
tank gauging for tanks 2,000 gallons or smaller. Contains reporting forms.
Introduction To Statistical Inventory Reconciliation: For USTs. Booklet describes the use of Statistical
Inventory Reconciliation (SIR) to meet federal leak detection requirements.
Getting The Most Out Of Your Automatic Tank Gauging System. Trifold leaflet provides a basic checklist for
ensuring that this method'is used effectively by UST owners and operators to comply with leak detection
requirements.
Don't Wait Until 1998: Spill, Overfill, And Corrosion Protection For USTs. Information to help owners and
operators of USTs meet the 1998 deadline for compliance with requirements to upgrade, replace, or close USTs
installed before December 1988. Materials available as a 16-page booklet, a tri-fold leaflet, or Spanish translation of
the booklet (Wo Espere Hasta El1998!),
Dollars And Sense: Financial Responsibility Requirements For USTs. Booklet clearly summarizes the "financial
responsibility" required of UST owners/operators by federal UST regulations,
An Overview Of UST Remediation Options. Information about technologies that can be used to remediate
petroleum contamination in soil and groundwater.
Controlling UST Cleanup Costs. Fact sheet series on the cleanup process includes: Hiring a Contractor,
Negotiating the Contract, Interpreting the Bill, Managing the Process, and Understanding Contractor Code Words.
Pay-For-Performance Cleanups: Effectively Managing UST Cleanups. Booklet explores potential advantages of
using pay-for-performancc cleanup agreements to reduce the cost and time of cleanups and more effectively manage
cleanup resources.
This document is intended solely for guidance. No statutory or regulatory Bl
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
2. Industry Codes And Standards:
Inslallation
API Recommended Practice 1615 (1996), "Installation of Underground Petroleum Storage Systems"
PEI RP100-97 (1997), "Recommended Practices for Installation of Underground Liquid Storage Systems"
Tank Filling Practices
NFPA 385 (1990), "Standard for Tank Vehicles for Flammable and Combustible Liquids"
Closure
API Recommended Practice 1604 (1996), "Closure of Underground Petroleum Storage Tanks"
Assessing Tank Integrity, Repairing Tanks, and Interior Lining Of Tank
API Recommended Practice 1631 (1997), "Interior Lining of Underground Storage Tanks"
NLPA Standard 631 (1991), "Entry, Cleaning, Interior Inspection, Repair, and Lining of Underground Storage
Tanks"
. Corrosion Protection
API Recommended Practice 1632 (1996), "Cathodic Protection of Underground Petroleum Storage Tanks and
Piping Systems"
NACB RP-0169-96 (1996), "Standard Recommended Practice: Control of External Corrosion on Underground or
Submerged Metallic Piping Systems"
NACE RP-0285-95 (1995), "Standard Recommended Practice: Corrosion Control of Underground Storage Tank
Systems by Cathodic Protection"
STI R892-91 (1991), "Recommended Practice for Corrosion Protection of Underground Piping Networks
Associated with Liquid Storage and Dispensing Systems"
General (Repair, Spill and Overfill, Installation, Compatibility)
API Recommended Practice 1621 (1993), "Bulk Liquid Stock Control at Retail Outlets"
API Recommended Practice 1626 (1985), "Storing and Handling Ethanol and Oasoline-Ethanol Blends at
Distribution Terminals and Service Stations"
API Recommended Practice 1627 (1986), "Storage and Handling of Gasoiine-Methanol/Cosotvent Blends at
Distribution Terminals and Service Stations"
This document is intended solely for guidance. No statutory or regulatory Q2
requirements are in any way altered by any statements) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under KCKA
API Recommended Practice 1635 (1987), "Management of Underground Petroleum Storage Systems at Marketing
and Distribution Facilities"
NFPA 30 (1996), "Flammable and Combustible Liquids Code"
NFPA 30A (1996), "Automotive and Marine Service Station Code"
3. Organizations
API American Petroleum Institute
1220 L Street, N.W.
Washington, DC 20005
(202)682-8000
Fiberglass Petroleum Tank and
Pipe Institute
11150 South Wilcrest Dr., Suite 101
Houston, TX 77099-4343
(713)465-3310
NACE International (formerly the National Association of Corrosion Engineers)
Box 218340
Houston, TX 77218-8340
(713)492-0535
NFPA -- National Fire Protection Association
1 Batterymarch Park
Box 9101
Quincy, MA 02269-9101
(617)770-3000
NLPA National Leak Prevention Association
Route 2, Box 106A
Falmouth, KY 41040
(606) 654-8265
PEI Petroleum Equipment Institute
Box 2380
Tulsa, OK 74101-2380
(918)494-9696
Steel Tank Institute
570OakwoodRoad
Lake Zurich, IL 60047
(708) 438-TANK [8265]
This document is intended solely for guidance. No statutory or regulatory B3
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA_
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This document is intended solely for guidance. No statutory or regulatory B4
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
Storage Tanks under RCRA
Appendix C:
Release Detection Requirements for Underground Storage Tanks
and Underground Piping (40 CFR 280.43 and 280.44)
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Release Detection Requirements for Underground Storage Tanks and Underground Piping
(40 CFR 280.43 and 280.44)
A. UST Options (see Appendix B of this document for a list of additional guidance documents)
1. Inventory control: Product inventory control must be conducted monthly to detect a release of at least 1.0
percent of flow-through plus 130 gal on a monthly basis in the following manner;
inventory volume measurements for regulated substance inputs, withdrawals, and the amount still
remaining in the tank are recorded each operating day
the equipment used is capable of measuring the level of product over the full range of the tanks height to
the nearest 1/8 in.
-the regulated substance inputs are reconciled with delivery receipts by measurements of the tank inventory
volume before and after delivery
deliveries made through a drop tube that extends to within 1 ft of the tank bottom
- product dispensing is metered and recorded within the local standards for meter calibration or an accuracy
of 6 cubic inches for every 5 gallons of product withdrawn, and
the measurement of any water level in the bottom of the tank is made to the nearest 1/8 in, at least once a
month.
2. Manual gauging: manual tank gauging must meet the following requirements:
tank liquid level measurements are taken at the beginning and end of a period of at least 36 h during
which no liquid is added to or removed from the tank
level measurements are based on an average of two consecutive stick readings at both the beginning and
end of the period
-the equipment used is capable of measuring the level of product over the fullrange of the.tank's height to
the nearest 1/8 in.
-a leak is suspected and subject to the requirements of 40 CFR 280.50 through 280.53 if the variation
between beginning and ending measurements exceeds the weekly or monthly standards of Table A below .
-only tanks of 550 gal or less nominal capacity may use this as a sole method of-release detection. Tanks of
551 to 2000 gal may also use the inventory control method in paragraph 1 in this appendix. Tanks of
greater than 2000 gal nominal capacity may not use this method to meet release detection requirements.
Table A
Nominal Tank Capacity Weekly Standard (one test) Monthly Standard
(average of four)
550 gal or less
551-1000 gal
1 00 1-2000 gal
10 gal
13 gal
26 gal
5 gal
7 gal ,
13 gal
3. Tank tightness testing: Tank tightness testing must be capable of detecting a 0.1 gal/h leak rate from any portion
of the tank that routinely contains product while accounting for the effects of thermal expansion or contraction of
the product, vapor pockets, tank deformation, evaporation or condensation, and the location of the water table.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
4. Tank automatic gauging: Equipment for automatic tank gauging that tests For the loss of product and conducts
inventory control; must meet the following requirements:
- the automatic product level monitor test can detect a 0.2 gal/h leak rate from any portion of the tank that
routinely contains product, and
inventory control is conducted according to requirements (see para 1 above).
5, Vapor monitoring: Testing or monitoring for vapors within the soil gas of the excavation zone must meet the
following requirements: .
-the materials used as backfill are sufficiently porous (e.g., gravel, sand, crushed rock) to easily allow
diffusion of vapors from releases into the excavation area
-the stored regulated substance, or a tracer compound placed in the tank system, is sufficiently volatile (e.g.,
gasoline) to result in a vapor level that is detectable by the monitoring devices located in the excavation
zone in the event of a release from the tank
the measurement of vapors by the monitoring device is not rendered inoperative by the ground water,
rainfall, or soil moisture or other unknown interferences so that a release could go undetected for more than
30 days
- the level of background contamination in the excavation zone will not interfere with the method used to
detect releases from the tank
-the vapor monitors are designed and operated to detect any significant increase in concentration above
background of the regulated substance stored in the tank system, a component or components of that
substance, or a tracer compound placed in the tank system
-in the UST excavation zone, the site is assessed to ensure compliance with the requirements of paragraph 5
above and to establish the number and positioning of monitor wells that will detect any releases within the
excavation zone from any portion of the tank that routinely contains product, and
monitoring wells are clearly marked and secured to avoid unauthorized access and tampering.
6. Groundwater monitoring: Testing or monitoring for liquids in the ground water must meet the following
requirements:
-the regulated substance stored is immiscible in water and has a specific gravity of less than one
-groundwater is never more than 20 ft from the ground surface and the hydraulic conductivity of the soil(s)
between the UST system and the monitoring wells or devices is not less than 0.01 cm/s (e.g., the soil should
consist of gravels, coarse to medium sands, coarse silts or other permeable materials
the slotted portion of the monitoring well casing must be designed to prevent migration of natural soils or
filter pack into the well and to allow entry of regulated substance on the water table into the well under both
high and low ground water conditions
monitoring wells should be sealed from the ground surface to the top of the filter pack
monitoring wells or devices intercept the excavation zone or are as close to it as is technically feasible
-the continuous monitoring devices or manual methods used can detect the presence of at least 1/8 in. of free
product on tip of the ground water in the monitoring wells
- within and immediately below the UST system excavation zone, the site is assessed to ensure compliance
with the requirements of paragraph 6 above and to establish the number and positioning of monitoring wells
or devices that will detect releases from any portion of the tank that routinely contains product, and
- monitoring wells are clearly marked and secured to avoid unauthorized access and tampering.
7. Interstitial monitoring: Interstitial monitoring between the UST system and a secondary barrier immediately
around or beneath it may be used, but only if the system is designed, constructed and installed to detect a leak
from any portion of the tank that routinely contains product and also meets one of the following requirements:
- for double-walled systems, the sampling or testing method can detect a release through the inner wall in any
portion of the tank that routinely contains product
for UST systems with a secondary barrier within the excavation zone, the sampling or testing method used
can detect a release between the UST system and the secondary barrier
This document is intended solely for guidance. No statutory or regulatory C2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
=> the secondary barrier around or beneath the UST system consists of artificially constructed material
that is sufficiently thick and impermeable (at least 10" cm/s for the regulated substance stored) to
direct a release to the monitoring point and permit its detection
=> the barrier is compatible with the regulated substance stored so that a release from the UST system
will not cause a deterioration of the barrier allowing a release to pass through undetected
=> for cathodically protected tanks, the secondary barrier must be installed so that it does not interfere
with the proper operation of the cathodic protection system
=> the ground water, soil moisture, or rainfall will not render the testing or sampling method used
inoperative so that a release could go undetected for more than 30 days
=i> the site is assessed to ensure that the secondary barrier is always above the ground water and not in
a 25 yr flood plain, unless the barrier and monitoring designs are for use under such conditions, and
=i> monitoring wells are clearly marked and secured to avoid unauthorized access and tampering.
for tanks with an internally fitted liner, an automated device can detect a release between the inner wall of
the tank and the liner. The liner is compatible with the substance stored.
8. Other methods: Any other type of release detection method, or combination of methods, can be used if:
-it can detect a 0.2 gal/h leak rate or a release of 150 gal within a month with a probability of detection of
0.95 and a probability of false alarm of 0.05, or
-the implementing agency may approve another method, if it can be demonstrated that this method can detect
releases as effectively as the methods listed in this appendix.
B. Underground Piping Options
1 Automatic line detectors: Methods which alert the operator to the presence of a leak by restricting or shutting off
the flow of regulated substances-through piping, or triggering an audible or visual alarm may be used only if they
detect leaks of 3 gal/h at 10 Ib/in. line pressure within 1 h. An annual test of the operation of the leak detector
must be conducted in accordance with the manufacturer's requirements.
2. Line tightness testing: A periodic test of piping may be conducted only if it can detect a 0.1 gal/h leak one and
one-half times the operating pressure.-
3. Applicable tank methods: The methods outlined in A2 through A4 may be used if they are designed to detect a
release from any portion of the underground piping that routinely contains regulated substances.
This document is intended solely for guidance. No statutory or regulatory C3
requirements are in any way altered by any statcmcnt(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
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This document is intended solely for guidance. No statutory or regulatory C4
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
Storage Tanks under RCRA
Appendix D:
Financial Test of Self-Insurance
(40 CFR 280.95(a) through 280.95(d))
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Financial Test of Self-Insurance
(40 CFR 280.95(a) through 280.95(d))
To pass the financial test of self-insurance, the owner or operator, and/or guarantor must meet the criteria of option
(A) or (B) of this appendix based on year-end financial statements for the latest completed fiscal year.
Option A
Al. The owner or operator, and/or guarantor, must have a tangible net worth of at least ten limes:
-the total of the applicable aggregate amount required by 40 CFR 280.93, based on the number of USTs
for which a financial test is used to demonstrate financial responsibility to U.S. EPA or to a state
implementing agency under a state program approved by U.S. EPA under 40 CFR 281;
the sum of the corrective action cost estimates, the current closure and post-closure care cost estimates,
and amount of liability coverage for which a financial test is used to demonstrate financial responsibility
to U.S. EPA under 40 CFR 264.101, 264.143, 264.145, 265.143, 265.145, 264.147, and 265.147 or to a
state implementing agency under a state program authorized by U.S. EPA under 40 CFR 271; and
-the sum of current plugging and abandonment cost estimates for which a financial test is used to
demonstrate financial responsibility to U.S. EPA under 40 CFR 144,63 or to a state implementing agency
under a state program authorized by U.S. EPA under 40 CFR 145.
A2. The owner or operator, and/or guarantor, must have a tangible net worth of at least S10 million.
A3. The owner or operator, and/or guarantor, must have a letter signed by the chief financial officer worded as
specified below.
A4, The owner or operator, and/or guarantor, must either:
file financial statements annually with the U.S. Securities and Exchange Commission, the Energy
Information Administration, or the Rural Electrification Administration; or
repon annually the firm's tangible net worth to Dun and Bradstrect, and Dun and Bradstreet must have
assigned the firm a financial strength rating of 4A or 5 A.
A5. The firm's year-end financial statements, if independently audited, cannot include an adverse auditor's opinion, a
disclaimer of opinion, or a "going concern" qualification.
Option B"
Bl. The owner or operator, and/or guarantor must meet the financial test requirements of 40 CFR 264.147(f)(l),
substituting the appropriate amounts specified in 40 CFR 280.93 (b)(l) and (b)(2) for the "amount of liability
coverage" each time specified in that section.
B2. The fiscal year-end financial statements of the owner or operator, and/or guarantor, must be examined by an
independent certified public accountant and be accompanied by the accountant's report of the examination.
B3. The firm's year-end financial statements cannot include an adverse auditor's opinion, a disclaimer of opinion, or
a "going concern" qualification.
B4. The owner or operator, and/or guarantor, must have a letter signed by the chief financial officer, worded as
specified below.
B5. If the financial statements of the owner or operator, and/or guarantor, are not submitted annually to the U.S.
Securities and Exchange Commission, the Energy Information Administration or the Rural Electrification
Administration, the owner or Operator, and/or guarantor, must obtain a special report by an independent certified
public accountant stating that: .
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
he has compared the data that the letter form the chief financial officer specifies as having been derived
. from the latest year-end financial statements of the owner or operator, and/or guarantor, with the amounts
. in such financial statements; and
- in connection with that comparison, no matters came to his attention which caused him to believe that the
specified data should be adjusted.
Letter from Chief Financial Officer
To demonstrate that it meets the financial test, the chief financial officer of the owner or operator, or guarantor, must
sign, within 120 days of the close of each financial reporting year, as defined by the 12-mo period for
which financial statements used to support the financial test are prepared, a letter worded exactly as follows, except
that the instructions in brackets are to be replaced by the relevant information and the brackets deleted:
I am the chief financial officer of [insert: name and address of the owner or operator, or
guarantor]. This letter is in support of the use of [insert: "the financial test of self-insurance,"
and/or "guarantee"] to demonstrate financial responsibility for [insert: "taking corrective action"
and/or "compensating third parties for bodily injury and property damage"] caused by [insert:
"sudden accidental releases" and/or "nonsudden accidental releases"] in the amount of at least
[insert: dollar amount] per occurrence and [insert: dollar amount] annual aggregate arising from
operating (an) UST(s).
: USTs at the following facilities arc assured by this financial test or a financial test under an
authorized state program by this [insert: "owner or operator," and/or "guarantor"]: [List for each
facility: the name and address of the facility where tanks assured by this financial test are located,
and whether tanks are assured by this financial test or a financial test under a state program
approved under 40 CFR 281. If separate mechanisms or combinations of mechanisms are being
used to assure any of the tanks at this facility, list each tank assured by this financial test or a
financial test under a state program authorized under 40 CFR 281 by the tank identification
number provided in the notification submitted pursuant to 40 CFR 280.22 or the corresponding
state requirements.]
A [insert: "financial test," and/or "guarantee"] is also used by this [insert: "owner or operator," or
"guarantor"] to demonstrate evidence of financial responsibility in the following amounts under
other U.S. EPA regulations or state programs authorized by U.S. EPA under 40 CFRs 271 and
145:
U.S. EPA Regulations Amount
Closure (40 CFR 264.143 and 265.143) $.
Post-Closure Care (40 CFR 264,145 and 265.145) $
Liability Coverage (40 CFR 264.147 and 265.147) $
Corrective Action (40 CFR 264.101 (b)) S
Plugging and Abandonment (40 CFR 144.63) S
Closure $
Post-Closure Care S
Liability Coverage $
Corrective Action $
Plugging and Abandonment S
Total S
This [insert: "owner or operator," or "guarantor"] has not received an adverse opinion, a
disclaimer of opinion, or a "going concern" qualification from an independent auditor on his
financial statements for the latest completed fiscal year.
This document is intended solely for guidance. No statutory or regulatory D2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
[Fill in the information for Alternative I if the criteria of Option A are being used to demonstrate
compliance with the financial test requirements. Fill in the information for Alternative Jl if the
criteria of Option B arc being used to demonstrate compliance with the financial test
requirements.]
Alternative I
1. Amount of annual UST aggregate coverage being
assured by a financial test, and/or guarantee S
2. Amount of corrective action, closure and post-
closure care costs, liability coverage, and
plugging and abandonment costs covered by a
financial test, and/or guarantees S
3. Sum of lines 1 and 2 S
4. Total tangible assets S
5. Total liabilities [if any of the amount reported
on line 3 is included in total liabilities, you
may deduct that amount from this line and add
that amount to line 6] S
6. -Tangible net worth [subtract line 5 from line 4] S .
Yes No
7. Is line 6 at leastS 10 million? ' _
8. Is line 6 at least 10 times line 3? .
9. Have financial statements for the latest fiscal
year been filed with the Securities and Exchange
Commission? '
10. Have financial statements for the latest fiscal
year been filed with the Energy Information
Administration?
11. Have financial statements for the latest fiscal
year been filed with the Rural Electrification
Administration?
12. Has financial information been provided to Dun and
Bradstreet, and has Dun and Bradstreet provided a
financial strength rating of 4A or 5 A? [Answer
"Yes" only if both criteria have been met]
Alternative II
1. Amount of annual UST aggregate coverage being
assured by a test, and/or guarantee
2. Amount of corrective action, closure and post-
closure care costs, liability coverage, and
plugging and abandonment costs covered by a
financial test, and/or guarantee
3. Sumoflines 1 and 2
4. Total tangible assets
5. Total liabilities [if any of the amount reported
on line 3 is included in total liabilities, you "
may deduct that amount froim this line and add
' that amount to line 6]
6. Tangible net worth [subtract line 5 from line 4]
This document is intended solely for guidance. No statutory or regulatory [33
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under
7, Total assets in the U.S. [required only if less
than 90 percent of assets are located in the
U.S.]
Yes No
8. Is line 6 at least S10 million?
9. Is tine 6 at least 6 times line 3?
10. Are at least 90 percent of assets located in the
U.S.? [If "No," complete line 11.]
11. Is line 7 at least 6 times line 3? .
[Fill in either lines 12-15 or lines 16-18:]
12. Current assets S
13. Current liabilities
14. Net working capital [subtract line 13 from line
12] _
Yes No
15. Is line 14 at least 6 times line 3? .
16. Current bond rating of most recent bond issue
17. Name of rating service .
18. Date of maturity of bond
19: Have financial statements for the latest fiscal'
year been filed with the SEC, the Energy
Information Administration, or the Rural
Electrification Administration?
[If "No," please attach a report from an independent certified public accountant certifying that
there are no material differences between the data as reported in lines 4-18 above and the financial
statements for the latest fiscal year.]
[
For both Alternative I and Alternative II complete the certification with this statement.]
I hereby certify that the wording of this letter is identical to the wording specified in 40 CFR
280.95(d) as such regulations were constituted on the date shown immediately below.
[Signature]
. [Name]
[Title]
[Date]
This document is intended solely for guidance. No statutory or regulatory 04
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance
Audits of Storage Tanks under RCRA
Appendix E:
Schedule for Implementation of Air Emissions Standards
(40 CFR 265.1082)
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Schedule for Implementation of Air Emissions Standards
(40 CFR 265.1082)
Facilities existing on October 6, 1996, which are required to comply with 40 CFR 265, Subparfs I, J, and K, shall:
-install and begin operation of all required control equipment by October 6, 1996. If it cannot be installed and
operating by October 6, 1996, the owner and operator shall:
- install and begin operation as soon as possible but not later than December 8, 1997
-prepare an implementation schedule which is placed in the operating record by October 6, 1996.
Facilities which are required to comply with 40 CFR 265, Subparts I, J, and K due to a.statutory or regulatory
amendment shall:
-install and begin operation of all required control equipment by the effective date of the amendment. If it
cannot be installed and operating by the effective date of the amendment the owner and operator shall;
install and begin operation as soon as possible but not later than 30 mo after the amendment effective date
prepare an implementation schedule which is placed in the operating record no later than the effective-
date of the amendment.
(NOTE: The Regional Administrator may elect to extend the implementation date at a facility on a case- by-case
basis.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
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This document is intended solely for guidance. No statutory or regulatory E2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
Storage Tanks under RCRA
Appendix F:
Used Oil Classifications (40 CFR 279.10 and 279.11)
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Used Oil Classifications
(40 CFR 279,10 and 279.11)
Used Oils Which Are Required to be Handled According to the Requirements in 40 CFR 279 (40 CFR
279.10(b)(2)(ii), 279.10(b)(2)(iii), 279.10(b)(3), 279.10(c)(2), 279.10(d), 279.10(e)(2), and 279.1u(i))
1. Used oil containing more than 1000 ppm of total halogens but the generator has demonstrated that the
used oil does not contain hazardous waste.
2. Used metalworldng oils/fluids containing chlorinated-paraffins when they are recycled or disposed of
and the generator has demonstrated that the used oil does not contain hazardous waste.
3. Used oils contaminated with CFCs that have been mixed with used oil from sources other than refrigeration units
'(or from refrigeration units but the unit is destined for reclamation ) and the generator has demonstrated that the
used oil does not contain hazardous waste.
4. Materials produced from used oil that are burned for energy recovery.
5. Mixtures of used oil and a characteristic hazardous waste if the resultant mixture does not exhibit any
characteristics of hazardous waste,
6. Mixtures of used oil and a waste that is hazardous solely because it exhibits the characteristic of ignitability and is
not a listed waste, provided that the mixture does not exhibit the ignitability characteristic.
7. Mixtures of used oil and conditionally exempt small quantity generator (CESQG) hazardous waste.
8. Mixtures of used oil and fuels or other fuel products, except those mixed on-site by the generator for
use in the generators own vehicles if the used oil and the diesel fuel have been mixed.
9. Used oil bumed for energy recovery and any fuel produced from used oil that exceeds the following
allowable limits:
Arsenic
Cadmium
Chromium
Lead
Flash Point
Total halogens
5 ppm maximum
2 ppm maximum
10 ppm maximum
100 ppm maximum
100 ฐF minimum
4000 ppm maximum
10. Materials containing or otherwise contaminated with used oil that are burned for energy recovery.
11. Used oil drained or removed from materials containing or otherwise contaminated with used oil.
12. Used oil at marketers or burners with any quantifiable level of PCBs (the standards in 40 CFR 761.20(a) must
also be met for this type of oil).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any stalement(s) contained herein.
Fl
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Used Oil that is Required to be Handled as a Hazardous Waste (40 CFR 279.10(b)).
1. Mixtures of used oil and listed hazardous waste. ' -
2. Used oil containing more than 1000 ppm total halogens
3. Used metalworking oils/fluids containing chlorinated paraffins if processed through a tolling agreement,
4. Used oil contaminated with CFCs removed from refrigeration units where the CFCs are destined for reclamation.
5. Mixtures of used oil and hazardous waste if the resultant mixture exhibits characteristics of a hazardous waste.
Used Oil that is not Subject (o the Requirements of 40 CFR 279, Nor is it to be Handled as a Hazardous Waste
Unless Testing Indicates Hazardous Constituents (40 CFR 279.10(e)(l), 279.10(d)(2), 279.10(e)(l),
279.10(e)(3), 279.10(e)(4), and 279.10(0 through 279.10(h)).
1. Mixtures of used oil and diesel fuel mixed on-site by the generator of the used oil for use in the generator's own
vehicles.
2. Materials that are reclaimed from used oil that are used beneficially and are not burned for energy recovery or
used in a manner constituting disposal.
3. Materials derived from used oil that are disposed of or used in a manner constituting disposal.
4. Used oil re-refining distillation bottoms that are used as feedstock to manufacture asphalt products.
5. Wastewater discharges with de minimis quantities of used oil.
6. Used oil within a crude oil or natural gas pipeline.
7. Used oil on vessels.
8. Materials containing or otherwise contaminated with used oil from which the used oil has been properly
drained or removed so that no signs of visible free-flowing remains.
This document is intended solely for guidance. No statutory or regulatory F2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
Storage Tanks under RCRA
Appendix G:
User Satisfaction Questionnaire and Comment Form
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User Satisfaction Survey
(OMB Approval No. 1860,01)
Expires 9/30/2001
We would like to know if this Audit Protocol provides you with useful information. This information
will be used by EPA to measure the success of this tool in providing compliance assistance and to
determine future applications and needs for regulatory checklists and auditing materials.
1. Please indicate which Protocol(s) this survey applies to: '
Title: : ' .
EPA Document Number:
2. Overall, did you find the Protocol helpful for conducting audits:
Yes No
If not, what areas of the document are difficult to understand?
3. How would you rate the usefulness of the Protocol(s) for conducting compliance audits on a
scale of 1-5?
1 = not useful or effective, 3 = somewhat useful/effective, 5 = very useful/effective
Low Medium High
12345 Introduction Section
12345 Key Compliance Requirements
1 2 " 3 4 5 Key Terms and Definitions
1 ' 2 3 4 5 Checklist
4. What actions do you intend to take as a result of using the protocol and/or conducting the audit?
Please check all that apply.
; Contact a regulatory agency
Contact a compliance assisstance provider (e.g., trade association, state agency, EPA)
Contact a vendor
Disclose violations discovered during the audit under EPA's audit Policy
Disclose violations discovered under EPA's Small Business Policy
Obtain a permit or certification
. Change the handling of a waste, emission or pollutant
Change a process or practice
Purchase new process equipment
Install emission control equipment (e.g., scrubbers, waste water treatment)
Install waste treatment system (control technique)
. Implement or improve pollution prevention practices (e.g., source reduction, recycling)
Improve organizational auditing program
Institute an Environmental Management System
Improve the existing Environmental Management System (e.g., improve training, clarify standard
operating procedures, etc.)
Other :
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5, What, if any, environmental improvements will result from the actions to be taken (check all that
apply)?
reduced emissions
waste reduction
reduced risk to human health and the environment due to better management practices
reduced quantity and toxicity of raw materials
water conservation
energy conservation
conserved raw materials
conservation of habitat or other environmental stewardship practice:
other:
no environmental improvements are likely to result from the use of this document
6. How did you hear about this document?
trade association
state technical assistance provider
EPA internet homepage or website
document catalog
co-worker or business associate
EPA, state, or local regulator
other (please specify)
7. In order to understand your response, we would like to know what function you perform with respect
to environmental compliance and the size of your organization.
Company Personnel Trade Association Compliance Assistance
Environmental Auditor National Provider
Corporate Level . Regional EPA
Plant-level Local State .
Legal Manager State Small Business
Environmental Manager Information Specialist Assistance
Operator - (e.g., . Loca[
Pollution Control Other
Equipment
Other;
Regulatory Personnel Vendor/Consultant
State Environmental Auditor
Local Environmental
EPA Engineer/Scientist
Attorney
How many employees are located at your facility (including full-time contractors?)
0-9 10-49 50-100 101-500 More than 500
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Optional (Please Print)
Name: ' Address:_
Title: _City: State:.
Zip code: ^^_
Organization Name:^
Phone: ( ) , E-mail;_
Please return all pages (1 thru 3) of this survey by folding pages 1 and 2 into page 3 and using the preprinted, pre-
stamped address on the reverse side of page 3. If you have accessed this document electronically from one of EPA's
web sites, simply e-mail this questionnaire to: satterField.richard@epa.gQv.
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f/EPA
Region 2 (NJ, NY, PR, VI)
Updated: July 2006
*** ri'-i ***
Questions and Answers Regarding the Management of Waste Chemotherapy (Antineoplastic)
Drugs
DISCLAIMER
The information provided in this document is intended solely to provide compliance assistance
to healthcare facilities located in EPA Region 2. Please note that the following information for
healthcare facilities may not be complete and should be relied upon only as general guidance.
This information should be used in conjunction with the regulations, not in place of them. This
document should not be considered Agency guidance, policy, or any part of any rule-making
effort, but is provided for informational and discussion purposes only. It is not intended, nor can
it be relied upon, to create any rights enforceable by any party in litigation with the United
States. Any variation between applicable regulations and the information provided in this
manual is unintentional and, in the case of such variations, the requirements of the regulations
govern. It is also important to note that this document is based on the federal definition of
hazardous waste and many states have developed their own hazardous waste regulatory
programs. This manual does not contain an exhaustive list or description of all federal, state or
local requirements and other rules may apply. It is always advisable to check with your local
regulatory authority to ensure compliance.
Currently, the Food and Drug Administration (FDA) has listed over 100 oncology drugs with
approved indications. Less than half of these were approved prior to 1984, when federal
hazardous waste regulations for generators became effective. Of these 100 drugs, EPA currently
lists nine as potential hazardous wastes. Many of these drugs are known by trade names so in
order to determine if a particular drug may be a listed waste, Region 2 recommends that you
obtain the Chemical Abstracts Service (CAS) registry number and search for that chemical using
the List of Lists Consolidated List of Chemicals Subject to the Emergency Planning and
Community Risht-to-Know Act (EPCRA) and Section 112(r) of the Clean Air Act (EPA 550-B-
01-003) (http://www.epa.gov/ceppo/pubs/title3.pdf).
Please note that the following lists may not be complete and should be relied upon only as
general guidance.
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The nine oncology drugs that EPA currently lists as potential hazardous wastes are:
EPA
Waste
Code
Chemical
Trade Names & Synonyms
CAS
Registry
Number
P012
Arsenic Trioxide
Trisenox
Arsenic oxide (As2O3);
Arsenic trioxide (As2O3);
Arsenite;
Arsenous oxide;
Arsenic oxide;
Arsenious acid;
Arsenious oxide;
White arsenic;
Arsenic(III) oxide;
Arsenous acid;
Arsenic sesquioxide (As2O3);
Arsenic trioxide, solid;
Arsenicum album;
Arsenous acid anhydride;
Arsenous anhydride;
Diarsonic trioxide;
Arsenic(III) trioxide;
Arsenic(3) oxide
1327-53-3
U035
Chlorambucil
Leukeran,
Benzenebutanoic acid, 4-[bis (2-
chloroethyl)amino]-;
Benzenebutanoic acid, 4-[bis
(2- chloroethyl)amino]-;
Butanoic acid, 4-[bis(2-
chl oroethy l)amino)b enzene-;
4-[Bis(2-chloroethyl)amino] benzenbutanone
acid
305-03-3
U058
Cyclophosphamide
Cytoxan;
CTX;
Neosar;
Procytox;
2H-l,3,2-Oxazaphosphorin-2-amine, N,N-bis(2-
chloroethyl) tetrahydro-, 2-oxide;
2H-l,3,2-Oxazaphosphorine, 2-[bis(2-
chloroethyl)amino)
tetrahydro-, 2-oxide;
2-Oxide-N,N-bis(2-chloroethyl)tetrahydro-2H-
l,3,2-oxazaphosphorin-2-amine;
50-18-0
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2-(Bis(2-chloroethyl)aminotetrahydro-2H-l,3,2-
oxazaphosphorine, 2-Oxide;
N,N-Bis(2-chloroethyl)tetrahydro-2H-l,3,2-
oxazaphosphorin-2-amine 2-oxide
U059
Daunomycin
Daunorubicin;
Cerubidine;
DaunoXome;
Rubidomycin;
Liposomal Daunorubicin;
5,12-Naphthacenedione, 8-acetyl-10-[(3-amino-
2.3.6-trideoxv-.aloha.-L-lvay^
hexopyranosyl)oxy]-7,8,9,10-tetrahydro-6,8,11-
trihydroxy-1-methoxy-, (8S-cis)-;
5,12-Naphthacenedione, 8-acetyl-10-[(3-amino-
2,3,6-trideoxy)-.alpha.-L-lyxo-
hexopyranosyl)oxy]-7,8,9,10-tetrahydro-6,8,11-
trihydroxy-1-methoxy-, (8S-cis)-;
5,12-Naphthacenedione, 8-acetyl-10-[3-amino-
2,3,6-trideoxy-.alpha.-L-ly^
hexopyranosyl)oxy]-7,8,9,10-tetrahydro-6,8,11-
trihydroxy-1-methoxy-, (8S-cis)-;
(8S-cis)-8-Acetyl-10-[(3-amino-2,3,6-trideoxy-
. alpha. -L-lyxo-hexopyranosyl)oxy ] -7,8,9,10-
tetrahydro-6,8,ll-trihydroxy-l-methoxy-5,12-
naphthacenedine
20830-81-2
U089
Diethylstilbestrol
Diethylstilbesterol;
DBS;
Stilbestroll
Honvol;
Stilbesterol;
Phenol, 4,4'-[(IE)-1,2-diethyl-1,2-thenediyl]bis-;
Phenol, 4,4'-(l,2-diethyl-l,2-ethenediyl)bis, (E)-;
4,4'-(l,2-Diethyl-l,2-ethenediyl)bisphenol;
Phenol, 4,4'-(l,2-diethyl-l,2-ethenediyl)bis-, (E);
4, 4'-Stilbenediol, .alpha.,.alpha.'-diethyl-;
Diethylstilboestrol;
trans-Diethylstilbestrol;
(E)-4,4'-(l,2-Diethyl-l,2-ethenediyl)bisphenol;
56-53-1
U150
Melphalan
Alkeran;
L-PAM;
L-Phenylalanine, 4-[bis(2-chloroethyl)amino]-;
L-Phenylalanine, 4-[bis(2-chloroethyl)amino]-;
L-Phenylalanine, 4-[bis(2-chloroethyl) aminol];
Alanine, 3-[p-bis(2-chloroethyl)amino]phenyl-,
148-82-3
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L-;
L-Phenylalanine, 4-[bis(2-chloroethyl)aminol]-
U010
Mitomycin C
Mitomycin;
Mutamycin;
Mitocin-C;
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,8S,8aR,8bS)-;
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-(la.alpha., S.beta., 8a.alpha.,8b.alpha.)]-;
Azirino[2',3':3,4]pyrrolo[l,2-a]indole-4,7-dione,
6-amino-8-[[(aminocarbonylooxy]methyl]-
l,la,2,8,8a,8b-hexahydro-8a-methoxy-5-methyl-
, [laS-(la.alpha.,S.beta.,8a.alpha.,8b.alpha.)]-;
Ametycine;
MMC;
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-(la.alpha.,8.beta.,8a.alpha.,8b. alpha.)]-;
[laR-(la .alpha., 8 .beta., 8a .alpha., 8b .alpha.])-
6-Amino-8-[[(aminocarbonyl)oxy]methyl]-l,la,
2,8,8a,8b-hexahydro-8a-methoxy-5-
methylazirinol [2',3': 3,4]pyrrolo[ 1,2-a]indole-4,7-
dione
50-07-7
U206
Streptozotocin
Streptozocin;
Zanosar;
D-Glucose, 2-deoxy-2-
[[(methylnitrosoamino)carbonyl]amino]-;
D-Glucose, 2-deoxy-2-[[(methylnitrosoamino)-
carbonyl]amino]-;
Glucopyranose, 2-deoxy-2-(3-methyl-3-
nitrosoureido)-, D-;
D-Glucose, 2-deoxy-2-[[(methylnitrosoamino)-
carbonyl]amino];
Glucopyranose, 2-deoxy-2-(3-methyl-3-
nitrosoureido)-;
D-Glucopyranose, 2-deoxy-2-(3-methyl-3-
nitrosoamino)carbonyl)amino-
18883-66-4
U237
Uracil Mustard
2,4(lH,3H)-Pyrimidinedione, 5-[bis(2-
chloroethyl)amino]-;
66-75-1
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2,4-(lH,3H)-Pyrimidinedione, 5-[bis(2-
chloroethyl)amino]-;
Uracil, 5-[bis(2-chloroethyl)amino]-
Some of the above listed wastes may also exhibit a characteristic (ignitable, corrosive, reactive,
or toxicity characteristic).
There are also several other chemicals used in cancer research or treatment; but not FDA
approved as antineoplastics that may be hazardous wastes when disposed:
EPA
Waste
Code
Chemical
Trade Names & Synonyms
CAS
Registry
Number
U015
Azaserine
L-Azaserine;
Diazoacetate (ester) L-serine;
L-Diazoacetate (ester) serine;,
Diazoacetic acid ester with serine;
0-Diazoacetyl-L-serine
115-02-6
U026
Chlornaphazin
2-Naphthalenamine, N,N-bis(2-
chloroethyl)-;
Naphthalenamine,N,N'-bis(2-chloroethyl)-;
Chlornaphazine;
Chlornaphthazine;
2-Naphthylamine, N,N-bis(2-chloroethyl)-;
N,N-Bis(2-chloroethyl)-2-naphthylamine
494-03-1
U238
Ethyl Carbamate
Benzene, 2,4-dichloro-1 -(4-nitrophenoxy)-
Carbamic acid, ethyl ester;
Ethyl carbamate;
Urethane;
Carbamate, ethyl-;
Carbamic acid ethyl ester;
Nitrolen;
Ethyl carbamate chloride;
Ethyl carbamate (monomer);
Urethane (monomer);
Ethyl urethane;
Urethan
51-79-6
U157
3 -Methyl chol anthrene
Benz[j]aceanthrylene, l,2-dihydro-3-
methyl-;
3 -Methylcholanthrene;
Methylcholanthrene, 3-;
Benz[j]aceanthrylene,l,2-dihydro-3-
methyl-;
3-MC;
56-49-5
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20-Methylcholanthrene;
1 ,2-Dihydro-3 -methylbenz[j ]
Aceanthrylene
Drugs used in cancer treatment may also be regulated as hazardous wastes because they exhibit
one or more characteristics (ignitable, corrosive, reactive, or toxic (as determined by the toxicity
characteristic leaching procedure (TCLP)). Generator knowledge or laboratory testing can be
applied to determine whether any of these drugs are hazardous wastes when discarded (See 40
CFR261 SubpartC).
In addition to the federal requirements, some states may regulate additional chemotherapy drugs
as hazardous wastes or may also regulate certain chemotherapy wastes as regulated medical
wastes.
During inspections, industry conferences, and EPA-sponsored training, EPA has found that there
are frequently recurring questions regarding chemotherapy waste management. We have
provided the questions and answers below. Please note that these answers are interpretations
made by knowledgeable EPA Region 2 staff familiar with the federal RCRA regulations and the
unique situations sometimes encountered in waste identification and management of healthcare
wastes. For healthcare facilities located in other Regions and in states that are authorized to
implement the RCRA program (i.e., New York and New Jersey in Region 2), we strongly
suggest that you direct any questions to the proper regulatory authorities since reliance on
Region 2 interpretations may not result in full compliance if the regulatory authority in those
jurisdictions has arrived at a different interpretation.
Question 1: Some containers of chemotherapy drugs may expire or may no longer be of use at
a hospital. These unopened containers are sent back to the manufacturer or distributor in a
pharmacy take back program. Is a container of chemotherapy drug sent back to the manufacturer
or distributor for ultimate disposal considered a solid waste?
Answer: Yes. If the material is sent back for ultimate disposal, the material is a solid waste
and if it is listed or exhibits a characteristic, it is a hazardous waste.
Reverse distribution is a process under which pharmaceuticals (including chemotherapy drugs)
or other products may be returned to the manufacturer for potential reuse. Pharmaceutical
products may be returned for many reasons, including, among others: 1) an oversupply at the
dispenser, 2) expiration of the recommended shelf life, 3) a recall has been initiated by the
manufacturer, 4) the product was received as a result of a shipping error, and 5) the product has
been damaged. In general, the dispensers of the pharmaceutical products are not able to
determine whether these materials are solid wastes because they do not know whether the
returned products will be reused, reclaimed, sold overseas, or disposed. Because the dispensers
receive credit for the returned products (either because the products actually have real value to
manufacturer or because such credits are part of a competitive marketing approach), the products
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have a monetary value to the dispensers and they would not normally assume such materials to
be wastes.
Under the federal regulations, such returned products are not considered solid wastes until a
determination is made to discard these materials. The returned products themselves (being
"commercial chemical products" under our classification system) are considered more product-
like than waste-like (until a determination is made to dispose of them) because recycling by
use/reuse is generally a viable option. If the underlying assumption is that the returned products
will be reused, until the manufacturer or wholesaler determines otherwise (assuming that this
determination is beyond the ability of the dispenser), then those products managed within the
reverse distribution system are not solid wastes until the manufacturer or wholesaler makes the
determination to dispose of them. This view is based on our understanding that the system is
established as a means to facilitate the recycling of reusable pharmaceutical products, rather than
as a waste management system.
However, if the dispenser has already determined that the materials cannot be reused, then the
materials are a solid waste and, if they are listed or exhibit a characteristic, they are a hazardous
waste. This may occur if the materials are contaminated or severely damaged, they are a
controlled substance that cannot be transferred to another party or the reissuance is otherwise
prohibited by law, they are expired and the expiration date was determined through stability
studies such that they are no longer useable, or the generator has determined (through
investigation or based on past history) that the returned materials will be discarded by the
manufacturer.
EPA's position on reverse distribution of pharmaceuticals (see ReturnedPharmaceutical
Products, 05/16/1991, www.epa.gov/rcraonline, document no. 11606) made it clear that EPA did
not intend for any person to use a reverse distribution system to relieve generators of the
responsibility for making determinations about the discarding of materials as wastes. Rather, the
generator is responsible for properly identifying materials that are no longer usable. A reverse
distribution system cannot be used as a waste management service to customers/generators
without the applicable regulatory controls on waste management being in place.
Please also note that when shipping materials that qualify for reverse distribution, they must be
shipped in a manner appropriate to the material if it were new stock, including meeting relevant
OSHA and DOT requirements for hazardous materials management.
Question 2: A container of chemotherapy drug may be accessed in order to remove a portion
of the contents to prepare the correct dosage for administration to a patient. Some containers are
single dose containers and others are multiple dose containers. In either case, some unused
portion may remain in the container. Once the container has been accessed, it can no longer be
returned to the manufacturer/distributor. Is the unused portion of a chemotherapy drug in an
accessed non-returnable vial a hazardous waste?
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Answer: Yes. If the material is listed or exhibits a characteristic, it is a hazardous waste,
unless the container meets the definition of an empty container ( See 40 CFR 261.7). In an
April 25, 1988 letter from Devereaux Barnes, Director, Characterization and Assessment
Division, to Michael Geary of Bio-Ecological Services Inc. (RCRA Online Document #11343),
EPA stated that "the excess...undiluted amount to be discarded is unused commercial chemical
product. If the commercial chemical product is listed in 40 CFR 261.33, the material is a listed
hazardous waste..." In simpler terms, if the contents of the container are determined on-site to be
unusable, and the chemical is found on EPA's list of hazardous wastes, then they would be
considered hazardous waste from the point at which they are determined to be no longer usable.
Question 3: A syringe or other measuring instrument may be used to access the container of
chemotherapy drug to prepare it for administration to a patient. After the chemotherapy drug
solution has been prepared and is no longer needed, is the syringe and/or its contents a hazardous
waste? If only a portion has been administered, is the amount remaining in the syringe a
hazardous waste? Are unused chemotherapy drugs in larger dispensing systems, such as IV bags
and lines, a hazardous waste? Does it matter if the IV bag is full, half full, or contains whatever
is left after the required dosage has been dispensed?
Answer: The April 25, 1988 memo cited above, stated that "the excess diluted or undiluted
amount to be discarded is unused commercial chemical product. If the commercial chemical
product is listed in 40 CFR 261.33, the material is a listed hazardous waste regardless of dilution
with water or saline..." if the antineoplastic agent is the sole active ingredient. Accordingly, if a
chemotherapy agent diluted in water or saline in preparation for use is a sole active ingredient,
but is not actually used for its intended purpose, it is a hazardous waste when disposed if found
on the list at 40 CFR 261.33 or if it exhibits a characteristic. Even if the chemotherapy agent is
not the sole active ingredient, the waste may still be a hazardous waste if it exhibits a
characteristic. As such, the contents of unused syringes and IV bags could be hazardous waste.
The unused syringe or IV bag would also be considered hazardous waste unless all wastes have
been removed that can be removed using the practices commonly employed to remove materials
from that type of container (e.g., pouring, pumping, and aspirating) and no more than three
percent by weight of the total capacity of the dispenser remains (see 40 CFR 261.7.) If the
material in question was an acutely hazardous waste (i.e., P listed waste), then the container
would also have to meet the additional requirement of triple rinsing with an appropriate solvent
in order to meet the definition of an empty container. To minimize the exposure to these
chemicals, EPA recommends that the entire volume of the unused waste and dispenser be
managed as hazardous waste and that there be no attempt to remove any residue from the
dispenser or container before disposal.
For syringes containing epinephrine that have been used, the regulatory status is quite different.
The prevailing guidance comes from EPA's December 1994 RCRA Hotline Monthly Summary
(RCRA Online Document #9444.1994(10)) regarding excess epinephrine and epinephrine
residue remaining in a syringe after the proper dose is injected. Like some antineoplastic agents,
epinephrine is a listed commercial chemical product in 40 CFR 261.33 and is commonly used in
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the healthcare industry. The RCRA Hotline stated that "EPA considers such residues remaining
in a dispensing instrument to have been used for their intended purpose. The epinephrine
remaining in the syringe, therefore, is not a commercial chemical product and not a P042
hazardous waste." EPA is still evaluating this issue and has not yet made a final determination
regarding expanding this interpretation to include materials other than epinephrine or dispensing
devices other than syringes.
Question 4: EPA has listed only nine chemotherapy drugs as hazardous waste, but there are
many other chemotherapy drugs that are not required to be managed as hazardous waste. Can
EPA or states enforce the regulations against the non-listed chemotherapy drugs?
Answer: Only a small number of chemotherapy agents are listed as hazardous waste and are
required to be managed as such. While other chemotherapy drugs may be neither characteristic
nor listed hazardous wastes, and can be managed as non-hazardous solid waste (i.e., not subject
to RCRA Subtitle C management or disposal requirements), this does not mean that RCRA has
no authority over the disposal of the wastes. Chemotherapy agents, if managed improperly, meet
the statutory definition of hazardous waste (42 U.S.C. 6903), which defines the term "hazardous
waste" to mean a solid waste, or combination of solid wastes, which because of its quantity,
concentration, or physical, chemical, or infectious characteristics may: (1) cause, or significantly
contribute to an increase in mortality or an increase in serious irreversible, or incapacitating
reversible, illness; or, (2) pose a substantial present or potential hazard to human health or the
environment when improperly treated, stored, transported, or disposed of, or otherwise managed.
Chemotherapy drugs and other potentially harmful wastes, if disposed improperly, would be
subject to the imminent and substantial endangerment provisions of RCRA 7003, 42 U.S.C.
6973. Bearing all of this in mind, EPA would strongly suggest managing this waste as hazardous
and employing a permitted hazardous waste transporter and treatment or disposal facility to
ensure proper disposal, even for chemotherapy wastes that do not meet the regulatory definition
of hazardous waste. Because the waste would pose a potential harm, management as hazardous
waste would minimize the potential liability of such waste shipped and disposed under less
stringent methods. (See also answer to Question 5.)
Question 5: It is difficult to train hospital staff on the proper segregation, handling, and
storage of chemotherapy wastes because some must be handled as a hazardous waste, while
others must be handled as regulated medical waste. Does EPA have any guidance on how to
effectively ensure compliance of these materials?
Answer: EPA Region 2 recommends several practices and procedures as Best Management
Practices that healthcare facilities can use to ensure safe and proper handling of chemotherapy
waste streams.
First, we recommend that healthcare facilities handle all chemotherapy waste streams as a
hazardous waste, even though only a small number of chemotherapy agents are listed as
hazardous waste and are required to be managed as such. While other chemotherapy drugs may
-------
be neither characteristic nor listed hazardous wastes, and can be managed as non-hazardous solid
waste, this does not mean that RCRA has no authority over the disposal of the wastes.
Chemotherapy agents, if managed improperly, meet the statutory definition of hazardous waste,
which is much broader than the regulatory definition. Additionally, chemotherapy drugs, if
disposed improperly, would be subject to the imminent and substantial endangerment provisions
of RCRA 7003. Bearing all of this in mind, R2 recommends managing this waste as hazardous
and employing a permitted hazardous waste transporter and treatment or disposal facility to
ensure proper disposal, protect employees and trash haulers from exposure, and reduce your
liability. Also, many facilities find it difficult to train hospital staff on the proper segregation,
handling, and storage of chemotherapy wastes because some must be handled as a hazardous
waste, while others must be handled as regulated medical waste; reducing these to a single set of
waste management procedures may be easier to control. Although our recommendation may
result in increased disposal costs since hazardous waste disposal often costs more per volume
than regulated medical waste disposal, some healthcare facilities have found this to be more
efficient than trying to train all hospital staff potentially involved in handling chemotherapy
wastes on the proper identification and management of these waste streams and ensuring that the
proper chemical-specific procedures are followed. The increased costs for disposal may be
offset by the reduced training and oversight needed under this approach, as well as the greatly
reduced potential liability for improper handling of chemotherapy waste streams.
Reverse distribution is an appropriate product management strategy that can be used to return
many unused chemotherapy agents to the manufacturer. See discussion under Question 1 above
for a detailed discussion of this approach.
Another successful best management practice that we have seen is for the hospital to designate
the pharmacy as a 90/180-day storage area for hazardous wastes. This allows the return of
chemotherapy materials from any area of the hospital to the pharmacy, with pharmacy staff
determining whether each is one of the listed hazardous wastes. This requires that the pharmacy
personnel be properly trained and that the storage area be designed and operated such that it
complies with the storage requirements of 40 CFR Part 265. Please note that the pharmacy will
usually not qualify as a satellite accumulation area since it is not located at or near the point of
generation, except for the vials and syringes used in compounding the TVs in the pharmacy.
A simple procedure that can help staff to recognize which chemotherapy waste streams must be
handled as a hazardous waste is to put a bright blue dot or other marking on any container into
which one of the regulated chemotherapy drugs is dispensed. This visual marking alerts any
staff discarding that container that it must be handled differently than the other chemotherapy
waste streams.
We also recommend that facilities establish a standard practice for management of used gloves
and PPE. See discussion under Question 6 below for details of this approach.
(See also answer to Question 4.)
10
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Question 6: Personal protective equipment (PPE) is worn when preparing antineoplastic
drugs. The PPE is then discarded as regulated medical waste. Is the PPE a hazardous waste if it
is contaminated with chemotherapy drugs? More generally, are gloves and PPE used with listed
hazardous waste (i.e., F, K, U, or P-waste) considered to be hazardous waste? Could these
materials be handled as trace chemotherapy wastes?
Answer: The purpose of wearing personal protective equipment, such as gloves, is to protect
the user from unnecessary exposure to hazardous and toxic materials. The presumption is that
releases, and subsequent exposure, to such materials will be minimized to the extent possible
while working with these materials. In other words, systematic procedures should be in place
that do not require a person to have direct contact with a hazardous or toxic material with gloves
being the only barrier protecting the person. For example, if you need to mix something, you use
a stirrer, not your hand. Similarly, if you need to transfer a powder to another container, you use
a trowel or cup, not your hands. However, accidental releases may occur and result in the
contamination of the gloves.
In a laboratory or hospital setting in which listed hazardous waste is handled, gloves and PPE are
typically worn to protect staff in the event of a spill in a relatively dry environment, rather than
worn under an assumption that gloves and PPE will be contaminated under wet conditions. In
this case, the gloves and PPE are only considered hazardous waste if they are known to be or are
suspected of having been in contact with the waste. If the user suspects that a release may have
occurred and the gloves or PPE may have been contaminated, a hazardous waste determination
must be performed prior to disposal of the item(s) either through testing or the use of generator
knowledge. Indications of contaminated gloves may include, but are not limited to, a shiny
sheen, change in color, change in texture or feel of the gloves, or seeing the material on the
glove. Gloves or PPE which are known to be or suspected of being contaminated with a listed
hazardous waste must be managed as hazardous waste. If they do not come in contact with the
waste, it is acceptable, under RCRA for gloves or PPE to be discarded in the trash as solid
waste. However it should be noted that NIOSH (see NIOSH Publication No. 2004-165:
Preventing Occupational Exposure to Antineoplastic and Other Hazardous Drugs in Health
Care Settings (http://www.cdc.gov/niosh/docs/2004-165/)) and OSHA recommend placing all
PPE that may be contaminated with trace amounts of hazardous drugs in chemotherapy waste
containers for disposal by incineration, even if they are not known to be contaminated, in order
to avoid risks posed by minute contamination. Although EPA regulations would allow the
segregation of uncontaminated PPE from contaminated PPE, it may not be advisable.
Facilities are likely to prefer to establish a standard practice for management of used gloves and
PPE. In this case, the organization must observe and discuss the routine activities of staff. If it is
determined that staff tend to get gloves and/or PPE contaminated with hazardous waste on a
regular basis, it is recommended that all such equipment be either managed as hazardous waste
or that a determination be made by the user for a piece of equipment when it is taken off. If it is
determined that contamination of gloves or PPE is highly unlikely and occurs only on rare
11
-------
occasions, gloves or PPE can be treated as non-hazardous and discarded as trash, except when
contamination is specifically known or suspected.
In a related matter, gloves or PPE that are contaminated with characteristic wastes or listed
wastes that are listed solely for their characteristic are hazardous only if they display the
characteristic of the waste itself.
Although some state regulatory programs provide a distinction between bulk chemotherapy
wastes and trace chemotherapy wastes, the federal hazardous waste program does not recognize
those distinctions when dealing with listed hazardous wastes. There is no lower concentration
limit under which a listed hazardous waste can exit the regulatory system.
Question 7: What can I do with the container that chemotherapy waste came in? What can I
do with dispensers used to handle chemotherapy waste? What should I do with rinseate used to
rinse the containers?
Answer: For containers that held P-wastes, such as waste arsenic trioxide, any container which
held the waste must be either managed as hazardous waste or triple-rinsed with an appropriate
solvent, with the rinseate also managed as the corresponding P-listed hazardous waste (see 40
CFR 261.7). When the container is emptied after the third rinse, the container is now considered
"RCRA empty." Containers that held non-acute materials that meet the definition of an empty
container are no longer subject to the federal regulations and can be reused for any other
appropriate purpose (e.g., storing hazardous materials while accumulated on-site). Please note
that even though a container meets the RCRA definition of empty, liability still exists under the
Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) for any
contamination that results from such containers. Triple rinsing is often not practical since, in
many cases, triple rinsing just creates more waste that needs to be sent off-site. Disposal of a
container as a P-listed waste may be more cost effective than disposal of rinseate resulting from a
triple rinse of the container. Additionally, in order to avoid unnecessary exposures, NIOSH
recommends against triple rinsing containers that held chemotherapy waste, instead preferring
management of the containers as hazardous waste.
12
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OCr
9 /S96
Larry Nadler
New York^Slate Department of Environmental Conservation
50 Wolf Road
'.: New York, New York 12233
Re: Satellite Accumulation and Container Inspections
Dear Mr. Nadler:
As discussed, this letter is to request your comments on the two attached guidance documents
that I plan to distribute to EPA Region 2 RCRA Enforcement officers and Region 2 states. The
documents discuss our approach to certain issues as they pertain to satellite accumulation and to
container inspections. The satellite accumulation guidance discusses our approach towards
facilities that locate "satellite accumulation" waste containers at some distance away from the
process generating the waste. The container inspection guidance discusses our approach with
respect to the sufficiency of a facility's inspection procedure in accordance with 4.0 CFR
ง264.1 5(a) requirements.
Please forward any comments you may have to Leonard Voo of my staff at (212) 637-4135 or at
voo.leonard@.epamail. epa.gov.
Sincerely,
George Ci Meyer, P.E., Chief
RCRA Compliance Branch
Enclosures
cc: Ed Dassatti, w/ enclosure
New York State Department of Environmental Conservation
bcc: Lenny Voo
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SATELLITE ACCUMULATION AREA
In an effort to provide consistent interpretation and enforcement of RCRA regulations, the following
guidance is being provided to Region 2 RGB staff. .
Background:
A facility has several production units in a building. Each ofthe.se units generates the same type of
waste. The production processes in this case take place in clean rooms. The operator from each
production unit removes the daily accumulation of hazardous waste (placed in red 5 gallon containers in
the clean rooms) from the production area and places it in a 55-gallon container. To prevent
contamination of the production process, this 55-gallon container is located outside of the production
units in a common area of the building. Access to the common area is not restricted and the container is
not under lock and key. (See the attached drawing.)
40 CFR ง26234(c)(l) - "A generator may accumulate as much as 55 gallons of hazardous waste or one
quart of acutely hazardous waste listed in ง261.33(e) in containers at or near any point of generation
where wastes initially accumulate, which is under the control of the operator of the process generating
the waste ...."'
Question:
1) Is this 55-gallon container a satellite accumulation area?
2) If it is satellite accumulation, what are the regulatory requirements, if any, for containers initially
used to convey the wastes over to the container in the satellite accumulation area?
Answer:
1) The two main criteria for discerning whether this is satellite accumulation are the proximity of the
55-gallon container to the process generating the waste and the operator's control over the wastes. In
general, the satellite accumulation container in which waste is being accumulated should be as near as
practically possible to the process generating the waste. If the waste is accumulated in the common area
of the building rather than by the individual processes because of certain safety, production process or
quality control requirements, such an arrangement is acceptable. However, if the container is placed in
an area farther away than reasonably practical solely for the convenience of the facility, this would not
. be acceptable. In this scenario, the proximity requirement is met.
1 NYSDEC has interpreted this to mean 55 gallons per waste stream, not per satellite
accumulation area.. However, EPA's Permit Policy Compendium clearly states that "The 55
gallon limit applies to the total of all the non-acutely hazardous waste accumulated at a satellite
accumulation area," But"... EPA intentionally did not limit the total number of satellite areas
at a generator's facility nor specify the size of the containers to be used for accumulation. A case-
by-case analysis is necessary to determine whether a generator is accumulating more than 55
gallons of waste at one satellite area, or whether a generator has more than one satellite area."
-------
The satellite accumulation container must also be under the direct control of the operator or operators.
Since the waste container is in a common area, and therefore accessible to persons other than the
operators, this is not acceptable as a satellite accumulation area. In order for this to qualify as a satellite
accumulation area, the drum must be secured in a manner (a locked cabinet or shed, locked drum, etc.)
that would permit access solely to the process operators or other authorized personnel. The placement of
such signs as "Authorized Personnel Only" is not sufficient to limit access to the area.
2) The small containers used to convey wastes to such a satellite accumulation area may be deemed to be
conveyance vessels rather than storage containers2. Although not a regulatory requirement,.the
conveyance vessel should also be under the direct control of the operator of the process generating the
waste or must be identified as containing hazardous waste. IB other words, the operator must empty the
container prior to the end of the operating day. If it is not emptied by the operator prior to the end of the
operating dayYihe conveyance vessel must at a minimum be labeled with the words "Hazardous Waste" .
and be closed,
' -t , ,
If the facility claims that the satellite storage container must be stored outside of the production area for
safety, production process or quality control requirements, the removal of such wastes from the
generation area should be expected to occur on a regular and frequent basis. Storage of wastes in these
'containers for more than one or two days should cause the inspector to question the validity of any claim
that such wastes have to be stored outside of the area generating the wastes. Storage of wastes in these
smaller containers for more than one or two days may qualify these smaller containers as satellite
storage containers, making the 55-gallon container a 3ess-than-90-day accumulation area.. Similarly,
such a claim would be drawn into question if the conveyance vessel is not kept closed or is not vented
away from the production area.
Satellite Accumulation Area Location
Production
Area 1
/~
Production
Area 2
Front Office
\
/
Production
AreaS
Drum
Both NJDEP and NYSDEC have taken this position.
-------
CONTAINER INSPECTIONS
In an effort to provide consistent interpretation and enforcement of RCRA regulations, the following
guidance is being provided to Region 2 RGB staff.
Background:
A facility has a permitted container storage unit. The containers (55 gallon drums) are stored on shelves
with three levels. Each shelf is large enough to allow the drums to be placed into position with a
forklift. Once a container is sitting on the shelf there is approximately 12 inches between the top of the
drum and the bottom of the shelf above it. Each shelf is wide enough to hold two rows of containers.
Each rowx oiVontainers is visible from either side of the shelf (see the attached diagram). The facility
representative claims that container inspections are conducted by walking up and down the aisles and
".visually observing the drums, including those on the top shelf.
40 CFR ง264.15(a) - "The owner or operator must inspect his facility for malfunctions and deterioration,
operator errors, and discharges which may be causing - or may lead to - (1) release of hazardous waste
constituents to the environment or (2) a threat to human health."
Question:
Is the inspection procedure used by the facility to inspect the containers on the top shelf sufficient to ..
meet the "performance standards" stated in 40 CFR ง264.15'?
ซ
Answer:
While inspecting containers, the facility inspector must be able to observe the containers in a manner
that will allow an adequate determination of the" container's condition. Whether a facility inspector's
inspection is sufficient to meet the performance standard must be taken on a case by case basis.
In such a scenario, one would at most be able to observe only the front part of the drums on the top shetf.
Nevertheless, general container condition may be deduced from such an observation and labels could
conceivably be read if the drums are properly placed and positioned on the shelves. If the general
condition of the containers on all shelves appear to be in good condition (no visible rust, dents, bulges,
etc.) one may assume that the unobservable parts of the drums are also in good condition. However, if
the containers in general show deterioration one may assume that more rigorous container inspections
should be required.
1 At a large quantity generator, the storage area must be operated and maintained to
minimize unplanned releases that may threaten human health or the environment (40 CFR
ง265.31). In addition, weekly container inspections only require looking for actual leaks and
deterioration (40 CFR ง265.174); a less strict requirement. This assumes that the facility can
demonstrate that the wastes are removed within 90 days. The implication being that, in this case,
the accumulation start dates are legible from ground level.
-------
If the drams on the third, level contain liquid hazardous waste they would have a greater potential to leak
than they would if they contained only solid hazardous wastes, such as contaminated PPE. Hazardous
waste containers containing corrosives or organics with high vapor pressures would also pose a greater
hazard than if they contained non-corrosive liquids or low vapor pressure liquids. Nevertheless,.the
stated inspection procedure is still considered to be adequate to meet the regulatory standard.
However, certain site specific conditions may give reasonable, cause to consider this inspection
procedure to be inadequate. For example the overall quality of the facility's operations should be
evaluated. If the facility's operations appear to be sloppy for if'the facility's personnel fail to display full
competence, this would cast a shadow of doubt on the facility's ability to adequately and properly
implement the stated inspection scheme to meet the performance standard.
Sloppy handling of the drums may also result in dents or scratches allowing accelerated corrosion or
deterioration of the dram. It would also increase the likelihood of punctures or dropping of the drums.
Evidence of such poor container management may also indicate that inspections are not properly
conducted. In such cases training procedures may also require closer scrutiny. :.
Top V5eป of Drums Stored on Shelves Two Deep
Aisle Space
SIDE VIEW OF DRUMS
Shelf 3
Shelf 2
Shelf 1
-------
|e of pages
Form Approved OMB No. 2050-0072
Tier Two
EMERGENCY
AND
HAZARDOUS
CHEMICAL
INVENTORY
Facility Identification
Name
Street
City
SIC Code
Specific
Information
by Chemical
Important: Read all instructions before completing form
FOR
OFFICIAL
USE
ONLY
County State
Dun & Brad Number
Zip
ID#
Date Received
Re
Owner/Operator Name
Name
Mail Address
Emergency Contact
Phone
Name
Phone ( )
Name
Phone ( )
Title
24 Hr. Phone
Title
24 Hr. Phone
Chemical Description
CAS
Chem. Name
Check all [ ]
that apply Pure
EHS Name
CAS
Chem. Name
Check all [ ]
that apply Pure
EHS Name
CAS
Chem. Name
Check all [ ]
that apply Pure
EHS Name
[]
Mix
[]
Mix
[]
Mix
Trade
Secret
Solid Liquid Gas
Trade
Secret
Solid Liquid Gas
Trade
Secret
Solid Liquid Gas
Physical
and Health
Hazards
(check all that apply)
[] Fire
[ ] Sudden Release
of Pressure
[ ] [ ] Reactivity
EHS [ ] Immediate (acute)
[ ] Delayed (chronic)
[] Fire
[ ] Sudden Release
of Pressure
[ ] [ ] Reactivity
EHS [ ] Immediate (acute)
[ ] Delayed (chronic)
[] Fire
[ ] Sudden Release
of Pressure
[ ] [ ] Reactivity
EHS [ ] Immediate (acute)
[ ] Delayed (chronic)
Inventory || 1 ง
o!" ฃ ฃ
Max. Daily
(code)
On-site (days)
Max. Daily
(code)
On-site (days)
Max. Daily
(code)
On-site (days)
Amount (code)
Avg. Daily Amount
No. of Days
Amount (code)
Avg. Daily Amount
No. of Days
Amount (code)
Avg. Daily Amount
No. of Days
Certification (Read and sign after completing all sections)
I certify under penalty of law that I have personally examined and am familiar with the information submitted in pages one
through
on my inquiry of those individuals responsible for obtaining the information, I believe that the submitted information is true, accurate, and complete.
Storage Codes and Locations
(Non-Confidential)
Storage Locations
_
c
Name and official title of owner/operator OR owner/operator's
authorized representative
Signature
Optional Attachments
, and that based [] I have attached a site plan
[ ] I have attached a list of site coordinate abbreviations
[ ] I have attached a description of dikes and other
Date signed safeguards measures
-------
Solid Waste and Emergency Response
(5305W)
EPA530-K-05-007
Introduction to
ฃ Resource Conservation
Challenge
United States
Environmental Protection
Agency
September 2005
-------
-------
RESOURCE CONSERVATION CHALLENGE
CONTENTS
1. Introduction 1
2. National Priorities 2
2.1 Municipal Solid Waste Recycling 2
2.2 Beneficial Use of Materials 4
2.3 Priority and Toxic Chemical Reductions 4
2.4 Green Initiatives -Electronics 5
2.5 Relationship to GPRA Goals and EPA Strategic Plan 6
3. Partnerships 8
3.1 Becoming a Partner 8
3.2 Voluntary Partnership Programs 10
3.3 Education and Outreach Programs 13
3.4 Schools Chemical Cleanout Campaign 13
4. Program Developments 15
4.1 Strategic Plan 15
4.2 National Priority Areas 16
4.3 Action Plans 17
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-------
Resource Conservation Challenge - 1
1. INTRODUCTION
In late 2002, EPA created the Resource Conservation Challenge (RCC) as a major national effort
to find flexible, yet protective, ways to conserve our national resources. It challenges all
Americans - makers of goods, sellers of goods, and buyers of goods - to prevent pollution and
promote recycling and reuse of materials; reduce the use of toxic chemicals; and conserve energy
and materials.
To achieve these goals, the RCC has enlisted many partners and is always looking for more. The
RCC is comprised of voluntary programs and projects with a materials management and resource
conservation focus that produce results. Through education and outreach, the RCC asks
Americans to make smarter purchasing and disposal decisions that conserve our natural
resources, save energy, and preserve the environment for our children and future generations.
EPA is moving from a cradle-to-grave approach to waste management, where the cradle is the
generation of waste and the grave is the ultimate safe disposal of waste, to a cradle-to-cradle
approach through the RCC. The RCC is championing a system of efficient materials
management by identifying waste that can be safely recycled and reused as material inputs and
examining inputs to processes that create waste in an effort to eliminate inefficiencies and toxic
materials altogether.
When you have completed this module, you will be able to explain the purpose and goals of the
Resource Conservation Challenge. Specifically, you will be able to:
list and describe the goals of the RCC
explain the education and outreach programs and list the target groups
list the four national priorities of the RCC
describe how the goals of the RCC relate to the GPRA goals in EPA's Strategic Plan
explain the five steps to becoming an RCC partner
identify the voluntary partnerships of the RCC and explain how each program contributes
to the overall purpose of the RCC
describe the future direction and priorities of the RCC.
Use this list of objectives to check your knowledge of this topic after you complete the training
session.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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2 - Resource Conservation Challenge
2. NATIONAL PRIORITIES
In an effort to better focus its resources and make progress towards the goals of the RCC, EPA
has identified four national focus areas or priorities for the RCC:
municipal solid waste recycling
beneficial use of secondary materials
priority and toxic chemical reductions
green initiatives - electronics.
In selecting these areas, EPA considered several factors:
current and future Government Performance and Results Act (GPRA) goals in the EPA
Strategic Plan
areas of significant partnerships with non-governmental stakeholders
existing coordinated efforts by EPA regions and states.
From these criteria and based on current resources, EPA determined that the four areas would be
the national focus of the RCC. These areas are not the only activities going on within the RCC,
as much of the important on-going work being accomplished by the EPA and the states will
continue. However, the above four areas will be the RCC's core national priorities. As
described in Sections 5.1 and 5.2, the RCC Strategic Plan and Action Plan provide more
background on the development of the priority areas.
2.1 MUNICIPAL SOLID WASTE RECYCLING
Municipal solid waste recycling is the first national focus area of the RCC. The municipal solid
waste recycling initiative targets specific wastestreams based on generation and recovery rates
and the potential for increased recovery or diversion. Currently, this initiative encompasses the
following wastestreams: paper and paperboard, organic waste, and packaging/containers. The
goals for these wastestreams are represented in the Table 1.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
-------
Resource Conservation Challenge - 3
Table 1
2001 MSW
Generation Generation Recover.*
OfT) Rate ("ซ) (Ml)'
Recovery
Rate (ฐ-D)
Proposed
2008 Recovery Goals
D<
.' 0
MI '' MT
Increase Increase
Organic Wast*
Food Other 262 11.4 0.7
Yaid Waste 28.0 12.2 15.8
2.8
56.5
r.
60
1.28
16.8
2.2 0.58
3.5 1.0
Paper
Paper and 81.85 37.2 36.7
Paperboard.
Product?
(includes
folding
canons)
449
53.8
44.1
S.9 7.32
Packaging and Containers
Wood S.17 3.6 1.25
Packaging
Pla-dc Wraps 2.58 11 0.17
Total Beveraae 11.3 5.0 2.93
Ccn:amen
Total I5S.1 68.9 57.55
15
6.6
26
36.4
24
19
39
43.7
T
0.5
4.36
69.04
9.2 0.75
12.8 0.33
12.7 1.43
7.3 11.5
In the future, EPA will decide whether to target additional wastestreams or to increase goals and
targets for the three current streams based on the ability to meet current goals.
EPA has decided to focus the municipal solid waste recycling initiatives on a select group of
business sectors. These sectors were selected for inclusion because they generate more than one
of the targeted waste streams, present opportunities for recycling, and have the availability of
established partnerships or viable potential partners. Based on these criteria, EPA selected the
following focus sectors:
schools
office buildings
landscapers
food service industry
hospitality industry
recycling on the go venues (shopping centers, ball parks, special events, convenience
stores, health clubs, recreation centers, and parks)
tribally operated facilities
federal government facilities.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
-------
4 - Resource Conservation Challenge
More broadly, EPA will work at the national and regional level to enhance public commitment to
recycling, increase public access to recycling opportunities, and engage national stakeholders in
the national recycling goal. In doing so, the Agency will work closely with states and local
governments and strategically target efforts toward the community streams identified and the
commercial and municipal sectors that provide the greatest opportunities for success.
2.2 BENEFICIAL USE OF SECONDARY MATERIALS
The vision of beneficial use is a future where everyone generates less waste, recycles as much as
possible, and beneficially uses waste and materials through environmentally sound practices.
The objective is to achieve the economic and environmental benefits of using the by-products of
our lives as inputs to new products and to extend the useful life of landfills, conserve virgin
materials, and reduce energy use and associated greenhouse gas emissions.
The following materials have been targeted for inclusion:
coal combusion products (CCPs), including fly ash, bottom ash, flue gas desulfurization
(FGD) gypsum and wet and dry scrubber materials, boiler slag, and fluidized bed
combustion (FBC) ash
"green" foundry sand, a molding material by-product from the production of ferrous and
nonferrous metal castings, which uses clay as a binding material
construction and demolition debris (C&D Debris), including materials generated from the
construction, demolition, and renovation of buildings and infrastructure, including roads
and bridges, and from land clearing.
EPA is pursuing four broad strategies in increasing the beneficial reuse of these materials:
analyzing and characterizing the target materials; identifying environmentally safe and beneficial
practices; identifying incentives and barriers to beneficial reuse; and increasing outreach and
education on the benefits of source reduction, recycling, and beneficially using wastes/materials.
2.3 PRIORITY AND TOXIC CHEMICAL REDUCTIONS
The use of chemicals in industrialized nations has brought about tremendous advancements in
technology and improved virtually every aspect of society. Although useful, certain chemicals
in use today are highly toxic, do not break down when released into the environment, and can be
dangerous even in small quantities. EPA has identified thirty-one priority chemicals that meet
these criteria. While this list represents the EPA's priority for reduction, it is certainly not
exhaustive and other candidates for national attention are likely to be identified. Considerations
in selecting other toxic chemicals of national concern may include: increased or widespread use,
significant production volumes, availability of safer or greener alternatives, presence in common
products that contribute to the wastestreams, frequent findings that the substance has created
environmental cleanup problems, interest to more than one EPA program, existence of available
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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Resource Conservation Challenge - 5
or likely solutions, and other factors such as presence in humans or the environment indicating
potential significant exposure, release, or risk.
EPA plans to eliminate or reduce priority chemicals and other chemicals of national concern
from commercial products, wastestreams, and industrial releases through pollution prevention,
waste minimization, and recycling/reuse.
These chemical reduction goals have resulted in five basic operating principles:
substituting priority and other toxic chemicals with safer alternatives whenever possible
minimizing the amount of toxics used whenever substitution is not possible
maximizing recycling whenever minimization or substitution is not possible
emphasizing cradle-to-cradle chemical management
minimizing exposures to toxics and the volume and toxicity of waste through better
product and manufacturing process design.
EPA will establish a process with relevant manufacturers, processors, users, and other
stakeholders to identify, implement, and realize toxic chemical reduction opportunities.
le
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2.4 GREEN INITIATIVES - ELECTRONICS
Each year, approximately two million tons of used electronics are discarded. Additionally, an
estimated 128 million cell phones are retired from use each year. The RCC addresses
environmental concerns along the entire life cycle of electronics, including design, operation,
reuse, recycling, and disposal of equipment. The electronics initiatives will focus initially on
computers (PCs), televisions, and cell phones, but may add other electronic wastes in the future.
The RCC aims to meet three electronic waste objectives:
foster environmentally conscious design and manufacturing, including reducing or
eliminating higher-risk materials (e.g., priority and toxic chemicals of national concern)
in electronics products at the source
increase purchasing and use of more environmentally sustainable electronics
increase safe, environmentally sound reuse and recycling of used electronics.
These green initiatives depend on partnership programs, such as Design for the Environment, the
Federal Electronics Challenge (FEC), and Plug-in to eCycling, for success. In addition, EPA
plans to broaden the utilization of the Electronics Product Environmental Assessment Tool
(EPAT), an environmental procurement tool designed to help institutional purchasers in the
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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public and private sectors evaluate, compare, and select desktop computers, laptops, and
monitors based on environmental attributes.
2.5 RELATIONSHIP TO GPRA GOALS AND EPA STRATEGIC PLAN
The 1993 Government Performance and Results Act (GPRA) holds federal agencies accountable
for using resources wisely and achieving program results. GPRA requires agencies to develop
plans for what they intend to accomplish, measure how well they are doing, make appropriate
decisions based on the information they have gathered, and communicate information about their
performance to Congress and to the public.
GPRA requires agencies to develop a five-year Strategic Plan, which includes a mission
statement and sets out long-term goals and objectives; Annual Performance Plans, which provide
annual performance commitments toward achieving the goals and objectives presented in the
Strategic Plan; and Annual Performance Reports, which evaluate an agency's progress toward
achieving performance commitments.
GPRA requirements - a long-range Strategic Plan, Annual Performance Plans, and Annual
Performance Reports - forge links between several activities:
planning, to achieve goals and objectives
budgeting, to ensure that resources are available to carry out plans
measuring, to assess progress and link resources actually used to results achieved
reporting, to present progress achieved and impacts on future efforts.
To comply with certain GPRA requirements and further enable the Agency to manage for
results, EPA has built a framework that aligns planning, budgeting, and accountability in an
integrated system. EPA continues to look for ways to improve planning and priority-setting -
both in terms of annual planning and budgeting and longer-range strategic planning.
EPA's 2003 Strategic Plan serves as the road map for the next five years by establishing five
long-term goals. It also helps to establish annual goals, measure progress towards achieving
those goals, and recognize where approaches or directions need to be adjusted to achieve better
results. Finally, it will provide a basis from which EPA's managers can focus on the
environmental issues with the highest priority and ensure effective use of taxpayer dollars.
The Strategic Plan is built around five goals, centered on the themes of air and global climate
change, water, land, communities and ecosystems, and compliance and environmental
stewardship. These themes reflect EPA's mission, "To protect human health and the natural
environment." In addition, the Plan discusses strategies that EPA is applying across all five
goals, in areas such as science, human capital, innovation, information, homeland security,
partnerships, and economic and policy analysis.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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In selecting the National Priorities for the RCC, EPA considered current and future GPRA goals
in the Strategic Plan. More broadly, the RCC's three goals are also drawn from the EPA's
overall strategic goals and direction. Specific goals and strategies have been identified in the
action plans to support the goals and commitments of EPA's Strategic Plan.
The RCC is currently a part of both Goal 3 and Goal 5 of the Agency goals. Goal 3 relates to
land preservation and restoration, and Goal 5 relates to compliance and environmental
stewardship. The RCC is working on projects that also support EPA Goals 2 and 4. Goal 2
promotes clean and safe water, and Goal 4 addresses healthy communities and ecosystems.
During each cycle of the Agency's Annual Performance Plan, the RCC will add specific targets
and measures that support the goals established by EPA's Strategic Plan.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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3. PARTNERSHIPS
A discussion of becoming an RCC partner, voluntary partnership programs, and education and
outreach programs can be found below.
3.1 BECOMING A PARTNER
Currently, EPA has developed two ways that partnership projects can join the RCC. EPA may
select projects, or they may be nominated by industry, government agencies (local, state, other
federal), tribes, or any nongovernmental organizations. EPA will evaluate all nominated projects
on the scope of the problem identified; goals and measures expected; and methods used to
conserve resources and to address environmental problems.
Each partnership project is expected to be different, and many types of partnerships may be
formed. EPA's commitment level and response to a partnership challenge depends on the type
of
challenge the partnership is pursuing, and the partnership's degree of commitment to the project.
The more recognizable and proven the results of the challenge, the more EPA will express its
commitment and reward the participants. Therefore, entry into an RCC partnership depends on
the project identified and on discussions with EPA. It is also expected that projects may enter
the RCC at different points during the development process. Partners need to define and reach
specific RCC goals, and they must measure and promote their successes. Together, EPA and its
many partners can achieve the RCC goals and improve the environment.
The following sections describe the five steps to becoming an RCC partner.
STEP 1: IDENTIFY THE ENVIRONMENTAL PROBLEM AND DEFINE ITS
CHALLENGE
Potential partners should identify and define the environmental problem that they plan to
address, and specify activities that they will undertake to resolve the problem. The selected
challenge may address the entire environmental problem identified, or it may cover any portion
of it. EPA recommends that the challenge address one of the following:
a new problem or one that is not covered by current regulations
one or more of the three RCC goals
a problem of national importance.
STEP 2: IDENTIFY AND TALK WITH PARTNERS
Working with existing partners is essential for developing and implementing environmentally
beneficial solutions. These partnerships may include members of industry, trade associations,
universities, public interest groups, tribes, or state, local, or federal agencies, including both
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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Resource Conservation Challenge - 9
Regional and Headquarters EPA offices involved in all programs (waste, toxics, water, air, etc).
As part of the dialogue, the partners will likely discuss a number of areas that include: defining
roles and responsibilities; identifying and prioritizing projects; and working collaboratively on
results. Different partners may be identified for each project chosen for a specific challenge.
STEP 3: IDENTIFY AND DEVELOP SOLUTIONS, OBJECTIVES, TARGETS,
IMPLEMENTATION PLAN, AND TIME LINE
EPA is looking for environmentally sound solutions that improve public health or the
environment. The most desirable solutions will likely be flexible, non-regulatory, ambitious,
sustainable, and approached on a life cycle basis. Solutions that prevent the creation of
pollutants and waste, and produce durable, recyclable, and less hazardous goods are preferred.
The solutions also may be, or set the stage for, a national effort.
The partners should also identify and discuss the necessary tools, drivers, and incentives to
produce the desired change. Potential barriers should be identified and environmentally sound
remedies proposed. Together, partners must decide how success is to be determined and agree
on an overall measurable environmental objective, sub-objectives, and targets. Solutions should
measure the results achieved against a baseline and the set objectives and targets. Objectives
and targets should be linked to at least one of the RCC goals.
Finally, it is important for partnerships to develop a plan for implementing each solution in the
defined challenge, as well as an overall plan that describes how everything fits together. The
plan should describe the major events identified above, and may include a number of other
appropriate elements. If a Memorandum of Understanding (MOU) will be used, the
implementation plan may also identify the process of developing and signing an MOU as well as
the responsibilities of all parties. EPA also recommends that a time line be developed that
includes all important elements of the implementation plan.
STEP 4: ANNOUNCE PARTNERSHIP AND AGREEMENT
Elements of the agreements are expected to vary depending on the partnerships' solutions,
objectives, targets, and commitments. Consequently, the degree to which the partnership and
agreement will be publicized depends on the scope of the commitment attained. At the highest
level of commitment, the details of the agreement will be documented in an MOU that is signed
by all key partners. Therefore, partners should discuss the level of agreement while deciding
how best to announce the agreement.
STEP 5: PUBLICIZE REACHING MAJOR MILESTONES
EPA and its partners will announce significant progress toward reaching the defined objectives
or major milestones of the project. Partners should determine the best way to make this
announcement (e.g., press release, Web site, trade journals, or public service announcements).
Announcements can publicize progress towards the stated goals, pilot program successes, or
reaching the final outcome of the challenge. Finally, once the overall objective is met and the
success has been announced, the partnership determines what additional work can be done. A
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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successful pilot project might be ready to expand to the regional or national level, or a project
targeted at certain segments of the population might now focus on other segments.
3.2 VOLUNTARY PARTNERSHIP PROGRAMS
EPA is relying on voluntary partnerships and projects to meet the goals of the Resource
Conservation Challenge. EPA works collaboratively with industry, states, tribes, schools and
others to reduce the use of toxic chemicals and eliminate waste. These partnerships are designed
to provide smarter, faster, and acceptable solutions that safeguard our environment. A short
description for each of the existing partnerships follows.
Additional information on any of the partnership programs below can be found at
www.epa.gov/rcc/partners.htm
NATIONAL PARTNERSHIP FOR ENVIRONMENTAL PRIORITIES
In April 2004, the National Waste Minimization Partnership Program (NWMPP) became the
National Partnership for Environmental Priorities (NPEP). The name of the partnership was
changed to reflect the expanded scope of the program to focus on reducing or eliminating the use
or release and use of certain priority chemicals. The NPEP is working to find solutions that
prevent the formation of wastes containing these chemicals at the source of production, and by
recovering and/or recycling these chemicals where they cannot easily be eliminated or reduced at
the source. EPA encourages companies to form voluntary partnerships with EPA to find ways to
reduce one or more priority chemicals or other hazardous chemicals. Companies participating in
this partnership program receive public recognition for voluntary reductions of the priority
chemicals, as well as technical and training assistance.
The list of thirty-one priority chemicals was selected following an EPA review of scientific
information available on many chemicals. Based on its initial review, EPA concluded that
twenty-seven organic chemicals were persistent, bioaccumulative, and toxic (PBT), are
generated in industrial waste and can be found in soil, sediment, ground water, surface water, air,
and/or biota as a result of past and present releases. Even when released in very small amounts,
these chemicals accumulate and can be harmful to the environmental. Many of these organics
are also very difficult and costly to clean up once released into the environment. Polychlorinated
biphenyls (PCBs) were added in 2004 because of their chemical properties. The remaining three
chemicals in the list are metals: cadmium, lead, and mercury. These metals are known to occur
frequently in RCRA regulated industrial wastes, and often exhibit RCRA's toxicity characteristic
for these metals, which triggers the hazardous waste management requirements.
THE GREENSCAPES ALLIANCE
The GreenScapes Alliance Partnership Program is designed to help preserve natural resources
and prevent waste and pollution by encouraging companies, government agencies, and other
entities to make more holistic decisions regarding waste generation and disposal. This
partnership program provides cost-efficient and environmentally friendly solutions for large-
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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scale landscaping projects. An example of greenscaping is using recycled plastic lumber in
benches, tables, and other structures at parks and recreation areas.
The GreenScapes Alliance focuses on reducing, reusing, recycling, and repurchasing to improve
both a company's bottom line and the environment. In addition, it provides information about
the cost savings that can be achieved from reducing material use and waste, resource
conservation, and on the performance and durability of environmentally preferable products.
The GreenScapes Alliance will help educate land managers on how environmentally beneficial
landscaping efforts yield water and energy savings, conserves landfill space, and reduces
greenhouse gas emissions. Case studies will publicize success stories, and technical assistance
will help alleviate concerns regarding alternative practices and product. Organizations that
achieve environmental excellence in reduction, reuse, recycling, and repurchasing for waste
prevention and pollution prevention will be recognized by EPA.
THE PLUG-IN TO eCYCLING PROGRAM
In the past decade, our growing reliance on electronics has given rise to a new environmental
challenge - the safe and resource-wise management of electronic waste. In the next five years,
nearly 250 million computers will become obsolete. Currently, 2,054,800 tons of electronic
waste are disposed of in landfills each year. The Plug-In To eCycling Partnership Programs
aims to increase the safe recycling of used electronic products by providing recognition and
other incentives to partners. Plug-In To eCycling partners include manufacturers, retailers,
government agencies, or nonprofit businesses, all of which participate in the collection, reuse,
recycling, or refurbishing of old electronic equipment. Initiatives developed under the Plug-In
To eCycling Program are not exclusive to partners; EPA encourages everyone who handles used
electronic equipment to maximize reuse, refurbishment, and recycling activities.
PRODUCT STEWARDSHIP PARTNERSHIPS
Product Stewardship Partnerships involve efforts to reduce the life-cycle impacts of products
through voluntary product stewardship partnerships with manufacturers, retailers, other
governments, and non-government organizations. Product stewardship is a product-centered
approach to environmental protection. Also known as extended product responsibility, product
stewardship calls on those in the product life cycle, including manufacturers, retailers, users, and
disposers to share the responsibility for reducing the environmental impacts of products. For
example, the Federal Electronics Challenge is a new voluntary partnership program that
encourages federal agencies and facilities to purchase greener electronic products, reduce
impacts of electronic products during use, and manage obsolete electronics in an
environmentally safe way.
Product stewardship recognizes that product manufacturers can and must take on new
responsibilities to reduce the environmental impact of their products. Without serious producer
commitment, significant progress toward improved resource conservation and a sustainable
economy cannot be made. However, real change cannot always be achieved by producers acting
alone; retailers, consumers, and the existing waste management infrastructure must also pitch in
for product stewardship to be successful.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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THE WASTEWISE PARTNERSHIP PROGRAM
Many companies, institutions, and governments have demonstrated that they can save money by
reducing waste and recycling material that would otherwise be disposed. The Waste Wise
Partnership 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 achieve certain goals within three areas: waste prevention,
recycling collection, and buying or manufacturing recycled products. Participation as a
Waste Wise partner offers several advantages including 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. Since its inception in 1994, WasteWise has grown to include more than
1,300 corporations, government agencies, universities, hospitals, and other organizations
committed to cutting costs and conserving natural resources through solid waste reduction.
THE COAL COMBUSTION PRODUCTS PARTNERSHIP
The Coal Combustion Products Partnership (C2P2) Program is a cooperative effort between EPA
and the coal combustion products (CCPs) industry to help promote the beneficial use of CCPs
and the environmental benefits that can result from that beneficial use. CCPs are the by-products
generated from burning coal in coal-fired power plants. These by-products include fly ash,
bottom ash, boiler slag, and flue gas desulfurization gypsum.
There are significant environmental, economic, and performance benefits from using CCPs in a
number of applications, which is why EPA is sponsoring the C2P2 Program to further their
beneficial use. Environmental benefits can include reduced greenhouse gas emissions, reduced
land disposal requirements, and reduced utilization of virgin resources. Economic benefits can
include reduced costs associated with coal ash and slag disposal, increased revenue from the sale
of ash, and savings from using CCPs in place of other, more costly materials.
AMERICA'S MARKETPLACE RECYCLES!
EPA and the International Council of Shopping Centers have formed America's Marketplace
Recycles!, a partnership program aimed at shopping centers, their retail tenants and employees,
as well as the public. Shopping centers are in a unique position as they have the ability to reach
suppliers and consumers and can encourage a more recycling conscious mindset. The purpose of
America's Marketplace Recycles! is to promote recycling, energize the recycling message, and
encourage waste reduction in packaging. EPA hopes that encouraging more shopping centers to
recycle will increase the national recycling rate of thirty percent closer to the goal of thirty-five
percent.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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Resource Conservation Challenge - 13
3.3 EDUCATION AND OUTREACH PROGRAMS
EPA is not just focusing on industry, but is challenging everyone to improve their waste
management practices, and to accept responsibility for improving our environment. In order to
accomplish this goal, everyone needs to change his or her habits and processes. Businesses,
consumers, and governments must work together to make changes across the whole supply chain
to include better product designs and make products easier to reuse and recycle. Manufacturers
can make products less toxic and more recyclable; however, those products need to be purchased
by consumers and require that individuals and businesses change their buying and disposal
habits.
To facilitate better understanding of proper waste management, EPA has created programs under
the RCC that focus on particular groups of citizens. These programs include Hispanic Outreach,
Urban African American Outreach, Native Americans Outreach, Aging Americans Outreach,
and the Youth Outreach. All of the programs utilize tactics aimed at capturing the attention and
interest of the targeted group. For instance, outreach materials specific to solid waste
management on tribal lands were developed for the Native American Outreach efforts. Each
program's objective is to engage the targeted group, raise environmental awareness, and
encourage waste reduction, recycling, and neighborhood revitalization.
EPA provides general resources through the RCC for all citizens to learn how to reduce, reuse,
and recycle materials and how to get involved and make a difference in their community. The
RCC also provides a forum for sharing information and educating partners on various innovative
technologies and methods for efficient materials management.
Additional information on the above mentioned education and outreach programs can be found
at www.epa.gov/rcc/consumer.htm
3.3 SCHOOLS CHEMICAL CLEANOUT CAMPAIGN (SC3)
Every year, throughout the country, hundreds of thousands of dollars are spent on incidents in
schools such as chemical spills and fires. These incidents involve potentially dangerous
chemicals that had been unused for many years, more than thirty years in some cases. In
addition to financial costs, these spills may also cause school closures that result in a loss of
valuable education time. The Schools Chemical Cleanout Campaign (SC3) seeks to address this
issue by cleaning out excess, legacy, unused, and improperly stored chemicals, and also
implementing preventive mechanisms in schools.
In the summer of 2004, EPA provided initial funding to the ten regions to support SC3 programs.
Each region is using this money to fund former, current, or newly developed school cleanout
programs in schools with a self-identified need for assistance.
The goals of the campaign are to:
remove potentially harmful chemicals from schools
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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14 - Resource Conservation Challenge
emphasize the implementation of preventive programs such as chemical management
training for lab instructors and microscale techniques
raise national awareness of the issue of chemicals in schools.
The ultimate goal of SC3 is to create a safer environment in schools by ensuring that chemicals
are purchased wisely, stored safely, handled by trained personnel, used responsibly, and disposed
of properly.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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Resource Conservation Challenge - 15
4. PROGRAM DEVELOPMENTS
The RCC has made a lot of accomplishment towards its goals of preventing pollution, reducing
toxic chemical use, and conserving energy. However, there is still much work to be done. EPA
has begun integrated planning to determine the future direction of the RCC. The following
sections describe the RCC Strategic Plan, the national priority areas of the RCC, and the action
plans for each priority area.
4.1 STRATEGIC PLAN
In Beyond RCRA: Prospects for Waste and Materials Management in the Year 2020 (2020
Vision), EPA and state environmental officials initiated discussion on the direction of waste and
materials management in the United States over the next twenty years. The 2020 Vision
examines trends and future directions in materials use and technology use. It identifies three
overarching goals:
reduce waste and increase the efficient and sustainable use of resources
prevent exposures to humans and ecosystems from the use of hazardous chemicals
manage wastes and clean up chemical releases in a safe, environmentally sound manner.
Furthermore, EPA is developing a Pollution Prevention (P2) Vision to provide strategic focus
and identify current P2 priorities. The P2 Vision frames three broad strategic categories:
greening supply and demand
P2 integration
delivery of P2 services.
EPA is now charting its direction, building on the 2020 and P2 Visions. The RCC is a way to
achieve a future where waste is a concept of the past. When it is economically feasible, the
RCC's goals are to reduce what comes into the waste management cycle, using pollution
prevention, waste minimization, source reduction, and manufacturing process and/or product
design changes. Moving to an efficient and safe materials flow is central to the RCC. EPA
acknowledges industry's progress and willingness to move forward with this shift in focus
toward resource conservation. EPA also acknowledges that some waste disposal will always
continue to be a necessary, yet less desirable, option.
The Agency Strategic Plan and the 2020 and P2 Visions call for a transformation of the nation's
current waste-handling system to more of a materials management system. The RCC - in
partnership with the states - aims to achieve this transformation.
EPA has developed a strategic plan that describes the RCC's direction, focus, vision, and broad
goals for the next five to ten years. To complement the RCC Strategic Plan, EPA has identified
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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four key areas for national focus, which are described in the following section. EPA has
developed a national action plan for results in each of these four areas that describe specific
goals and actions needed to move toward the overall goals of the RCC. The action plans are
described in more detail below in Section 4.3.
This RCC Strategic Plan, with its focus on waste and toxics, aligns internal EPA and state
projects, goals, and strategies. In the short term, the RCC will focus primarily on solid waste
and pollution prevention. Ultimately, the RCC challenges us to put resource conservation and
recovery into the design and manufacturing of products or recycling options and purchasing
decisions.
To establish a strong foundation for the RCC, the program will harmonize the work of OSW and
the Office of Prevention, Pesticides, and Toxic Substances (OPPTS) to attain waste and toxic
substance reduction goals. The RCC Strategic Plan focuses on specific waste and toxic
reduction principles that will provide national coordination, while allowing the continuation of
work in other important environmental areas. The RCC program is working to enhance state
participation by working through various state organizations. EPA is also interested in reaching
out to states that are engaged in exploring materials management programs, projects, activities,
and resource conservation.
The RCC Strategic Plan is the key to establishing the path along which the RCC will continue to
grow. The RCC will grow from a collection of individual, ambitious projects and achievements
into a cohesive set of robust programs. These programs identify opportunities for, and ways to
achieve, pollution prevention, recycling, reuse, toxics reduction, and energy and materials
conservation. The strategy is dynamic, gaining greater specificity as the RCC identifies areas of
national focus, further identifies goals and measures specific to different areas, and develops
specific action plans. The goals of the RCC Strategy are to:
coordinate OSW and OPPTS waste and toxics reduction programs and projects
better align EPA and state focus to attain effective materials management
build on current partnerships and attract new partners
describe the measures used to track success for future projects.
The RCC Strategic Plan is available at www.epa.gov/rcc
4.2 NATIONAL PRIORITY AREAS
After completing the strategic plan development, EPA focused on the identification of national
priority areas and the development of accompanying action plans. This is a critical step because
all regions and EPA Headquarters offices are expected to commit resources to achieving the
stated objectives and targets for each area. Only by coordinating efforts across the country will
EPA begin to move forward in achieving effective materials management. To accomplish this
goal, EPA held a series of meetings with OPPT and regional P2/Toxics staff and discussed
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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Resource Conservation Challenge - 17
possible areas of national focus. At the conclusion of these meetings, four national priority areas
were selected:
achieving the national thirty-five percent recycling rate for municipal solid waste
beneficial use of secondary materials
priority and toxic chemical reductions
green initiatives - electronics.
These areas were initially identified as priorities in the RCC 2005 Action Plan, a living
document that will be amended as key milestones and targets are met. These priority areas may
be amended or changed as necessary to achieve the ultimate goals of the RCC. In addition, the
RCC continues to work in other key areas for resource conservation, such as energy conservation
and schools, that have existing champions in other program offices or within the Office of Solid
Waste (OSW).
4.3 ACTION PLANS
Once the national priority areas were identified, participants established workgroups to draft an
action plan for each area. Each workgroup consisted of a small number of headquarters and
regional RCRA and OPPT program experts with a focus on pollution prevention, risk reduction,
and resource conservation. For each plan, the groups were asked to identify the scope or breadth
of their area, key objectives to be achieved, measurable environmental targets or outcomes, and
the means and strategies that would lead to success.
From these drafts, EPA gathered input from a broad group of RCRA and P2/Toxics managers
and staff from EPA and states. This input brought a national perspective to the areas and helped
shape the action plans for successful implementation. The action plans identify specific on-
going and new activities, and associated means, benefits, measures, and outcomes, and outlines
the implementation priorities and responsibilities of participating EPA offices and key
stakeholders. These plans are consolidated in the RCC 2005 Action Plan. This document is a
living document that will be amended as the RCC reaches key milestones and identifies new
objectives and targets that will help to achieve the ultimate RCC goals.
The RCC 2005 Action Plan is available at www.epa.gov/rcc.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for training purposes.
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