U.S. Environmental Protection Agency
Office of Enforcement and Compliance Assurance
Compliance Monitoring Strategy
for the
Resource Conservation and Recovery Act
(RCRA)
Subtitle C Program
September 2015
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
Foreword
This document is a publication of the U.S. Environmental Protection Agency (EPA or Agency)
Office of Enforcement and Compliance Assurance (OECA). It was developed by OECA's
Office of Compliance, in consultation with OECA's Federal Facilities Enforcement Office,
Office of Civil Enforcement, and Office of Site Remediation Enforcement; EPA's Office of
Solid Waste and Emergency Response; EPA Regions; and state enforcement agencies authorized
to administer hazardous waste management programs pursuant to the U.S. Resource
Conservation and Recovery Act (RCRA).
This document provides guidance to employees of EPA and authorized states with respect to
administering and implementing an Agency program for RCRA compliance monitoring. Any
statutory and regulatory provisions cited in this document contain legally binding requirements.
This document does not substitute for those provisions, and is not a regulation itself. Thus, it
does not impose legally binding requirements on EPA, states, federally-recognized tribes, or the
regulated community; and does not create any rights or benefits enforceable by any person. EPA
may revise this policy at any time without public notice and after consultation with authorized
state agencies.
Revisions
September 2015 - The CMS was revised to clarify that state CEI inspections do count towards
the statutory inspection requirement for federally owned/operated TSDFs. Additionally the
National Areas of Focus for Federal Facilities was updated.
This Compliance Monitoring Strategy (CMS) cites a variety of Agency guidance documents.
Most of these are available via the Internet. Certain documents, however, were developed for
Agency personnel, and are posted only on EPA's Intranet. Where possible, Intranet
documents have been included in the Appendices to this CMS. For information in Intranet
documents not included in this CMS, authorized states may consult their respective Regional
RCRA contact persons.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
Contents
Foreword ii
Contents iii
I. Introduction 1
Terminology in this RCRA CMS 2
II. Background 3
B. Compliance Monitoring 3
C. The National RCRA Compliance Monitoring Program 6
1. Agency Leadership for RCRA Compliance Monitoring 7
2. Regional, State, and Tribal Roles in RCRA Compliance Monitoring 9
3. Mechanisms for Managing the National RCRA Compliance Monitoring Program.... 9
D. Scope of this Document 10
III. Core Program: 12
A. Background 12
1. Scope of the Subtitle C Compliance Monitoring Program 12
2. Rationale for Goals and Measures Minimum Requirements 13
B. Treatment, Storage and Disposal Facilities 14
1. Statutory Background 14
2. Goals and Measures (and ACS Codes) 14
3. Types of Inspections for TSDFs 16
4. Program Elements 17
C. Generators 17
1. Large Quantity Generators 18
2. Small Quantity Generators and Conditionally-Exempt Small Quantity Generators ..21
D. Transporters 21
1. Goals and Measures 21
2. Program Elements 22
E. Federal Facilities 22
1. Statutory Background 22
2. Goals and Measures (and ACS Code) 22
IV. National Areas of Focus: 23
A. Background 23
B. National Priorities 23
1. Federal - State Relations in National Priorities 23
2. Potential Interface Between Core Program and National Priorities 24
C. Issues and Emerging Areas of National Significance 25
D. Federal Facility Enforcement Priority Areas 25
V. Program Infrastructure: 26
A. Planning 26
1. Federal - State - Tribal Relations 26
2. Inspection Priorities 27
B. Inspections 28
1. Compliance Evaluation Inspections 28
2. "Exploratory" Inspections 30
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
3. Inspection of "Mixed Type" Facilities 30
C. Program Oversight 30
D. Reporting and Data Quality 32
VI. "Best Practices" for Subtitle C 34
A. Search for Significant Environmental Harm 34
B. RCRA Inspection Reports 34
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
I. Introduction
This document presents the national Compliance Monitoring Strategy (CMS) for Subtitle C of
the Resource Conservation and Recovery Act (RCRA).1 The U.S. Environmental Protection
Agency (EPA or Agency) Office of Enforcement and Compliance Assurance (OECA) has
developed this CMS to consolidate the various existing elements e.g., the principles, program
requirements, and activities of the national RCRA compliance monitoring program. These
elements are set forth in a variety of sources, including OECA's National Program Managers
Guidance (NPMG),= and other guidance and procedural directives.
OECA is revising the 2010 RCRA CMS as a result of the national dialogue on the expansion of
compliance monitoring activities that OECA conducted with regions and states during FY2013.
Based on the dialogue, the revised policy better reflects the range of important compliance
monitoring activities that are an integral part of our program today and helps to ensure consistent
national implementation and improved transparency. Additionally, the revised CMS reflects the
key concepts of Next Generation Compliance, including clarifying additional flexibilities to
states in determining the most effective use of limited compliance monitoring resources.
This CMS does not impose new or additional requirements, nor modify existing Regional
or state agreements or commitments.3 Rather, it synthesizes the existing program elements
into a unified conceptual framework to help Regions and RCRA-authorized states better
understand and implement the program. Specifically, this CMS is intended to:
Promote understanding of, and compliance with, minimum program requirements.
Clarify the respective roles and responsibilities of Regions and states.
Promote national consistency in program implementation, while allowing appropriate
flexibility to improve health and environmental outcomes.
Begin to shift the perspective of the national program from solely counting outputs (e.g.,
inspections) to encompass identifying environmental outcomes (e.g., increasing the degree to
which regulated waste is handled properly as a result of inspections and enforcement).4
1 42 U.S.C. §§ 6901 - 6992k. www.epa.gov/lawsregs/laws.
2 www.epa.gov/ocfo/npmguidance/index.htm.
3 This Compliance Monitoring Strategy (CMS) modifies current policy in one regard: it provides the option under
certain conditions to perform a Focused Compliance Inspection (FCI), rather than a Compliance Evaluation
Inspection (CEI), at a facility. See Sections V.B. 1 and V.C, below.
4 This CMS does not establish new outcome measures, nor impose additional data collection or reporting obligations
on states. Program outcome reports are already required of states using approved Alternative Plans (see Section
III.C.l(c), below). This (WIS. however, encourages all states to be cognizant of outcomes derived from their
compliance monitoring activities, and to provide OECA outcome information, if available, so that OECA can better
understand the state's performance under the State Review Framework (SRF). This CMS also encourages states that
already provide outcome information to the Region to continue to do so.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
Clarify the interface between compliance monitoring for the ongoing RCRA Core Program
versus for national areas of focus (e.g., OECA National Priorities) that periodically may
include RCRA.5
Clarify the Regions' responsibilities with respect to compliance monitoring for facilities in
Indian country.6
This CMS is effective immediately upon publication.
Terminology in this RCRA CMS
This CMS uses acronyms, which are defined in the CMS text and in Appendix A.
Also, this CMS uses the following generic terms, which are provided solely for the reader's
convenience and are not legally defined terms or official Agency nomenclature:
"Coverage " means how frequently Regions, or states, inspect the regulated universe.
"National areas offocus" or "national focus areas'' mean OECA National Priorities; other
emerging areas or issues of national significance warranting EPA response, direction, or
involvement; and Federal Facility Integrated Strategies (as distinguished from the ongoing
RCRA Core Program).
"Other RCRA Handlers" means Used Oil Facilities, Universal Waste Handlers, entities
involved in reclamation of Hazardous Secondary Materials, and any other type of facility,
operation, entity or handler subject to Subtitle C other than a Generator, Transporter, or
Treatment, Storage, and Disposal facility (TSDF).
"Universe " means the array of RCRA-regulated facilities, operations and handlers subject to
inspection.
Generally, except as noted, discussion of "requirements," "obligations," "expectations," or
"required" activities refer to OECA's expectations for Regions and states for the operation of
the RCRA compliance monitoring program, rather than to substantive legal requirements
imposed by the statute or regulations. See Foreword for further clarification regarding the
scope and limitations of this document.
5 See Section IV, below.
6 See e.g., Sections II.C.2, III.B.2, V.A.1, and V.C, below.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
II. Background
A. Resource Conservation and Recovery Act
RCRA was enacted to ensure that solid waste and hazardous waste are managed in a manner that
is protective of human health and the environment. EPA's RCRA authorities encompass:
The Subtitle C Hazardous Waste program,7 which regulates hazardous waste Generators;
Transporters; Treatment, Storage, and Disposal facilities (TSDFs); and other operations, such
as Used Oil Facilities, Universal Waste Handlers, and entities involved in reclamation of
Hazardous Secondary Materials (collectively herein, Other RCRA Handlers).
The Subtitle D non-hazardous waste program, which sets standards for solid waste
management.8
The Subtitle I Underground Storage Tank (UST) program.9
Section 7003 "imminent and substantial endangerment" authority.10
This document discusses the compliance monitoring programs under OECA's
purview. Thus, this document covers only the RCRA Subtitle C compliance
monitoring program.
B. Compliance Monitoring
Compliance monitoring encompasses all regulatory agency activities performed to determine
whether a facility (or group of facilities, such as plants related geographically, by sector, or
corporate structure) is in compliance with applicable law. The primary goals of compliance
monitoring include:
Assessing and documenting compliance with permits and regulations,
Supporting the enforcement process through evidence collection,
Monitoring compliance with enforcement orders and decrees,
Creating deterrence, and
Providing feedback on implementation challenges to permit and rule writers.
7 42 U.S.C. §§ 6921-6939e.
8 42 U.S.C. §§ 6941-6949a.
9 42 U.S.C. §§ 6991-6991m.
10 42 U.S.C. § 6973.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
Compliance monitoring includes:
Formulation and implementation of compliance monitoring strategies.
Compliance inspections, evaluations, and investigations (including review of permits, data,
and other documentation).
Data collection, review, and reporting.
Program coordination, review, oversight, and support.
Inspector training and support.11
Additionally, an expanded range of compliance monitoring activities that could be credited to a
state was developed by OECA in coordination with the regions, states and state associations.
Generally, compliance monitoring encompasses all of the means used to make a compliance
determination, ranging for example from off-site record reviews to an on-site compliance
evaluation.
On-site activities may include either compliance evaluations designed to assess compliance
of the facility as a whole, or those targeted to focus on only a portion of the facility such as a
specific process, pollutant, or regulatory requirement. The on-site evaluations may include
any of the following activities:
o Review of facility reports or other documents;
(e.g., review of waste manifests, wastes analysis plans, air emissions standards reporting
under Subparts AA, BB and or CC, etc.);
o Review of facility records, including underlying testing/sampling plans and data, and
monitoring data;
o Review of relevant process, emissions, and inventory information
o Conduct sampling, and monitoring; and
o Conduct facility-specific monitoring utilizing advanced monitoring technologies (e.g.,
ground water monitoring, FLIR infrared cameras, fenceline monitors, etc.) to detect and
document emissions and record ambient conditions).
It is generally expected that on-site activities will be reported in RCRAInfo as CEIs or FCIs.
See Appendix D for a complete list of the RCRA inspection types.
Off-site activities also may include compliance evaluations designed to assess compliance of
the facility as a whole, but generally will be targeted to focus on only a portion of the facility
such as a specific process, pollutant, or regulatory requirement. The off-site evaluations may
include any of the following activities:
o Review of facility reports or other documents;
o Review of facility records, including underlying testing/sampling plans and data, and
monitoring data;
o Review of agency-gathered testing, sampling and monitoring data;
o Review of relevant process, emissions, and inventory information;
o Review of facility-specific fenceline and ambient monitoring;
o Evaluation of responses to formal information requests (e.g., RCRA § 3007 information
requests); and
11 See Appendix C for details.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
o Conduct of ambient environmental screening using advanced monitoring technologies for
a group of facilities or geographic area of interest for use in subsequent compliance
evaluations and determinations.
It is generally expected that off-site activities will be reported in RCRAInfo as NRRs. See
Appendix D for a complete list of the RCRA inspection types.
The decision to utilize the new categories included in the expanded range of compliance
monitoring activities is optional and voluntary for a state/local agency. Because of statutory
inspection requirements at TSDFs, a state/local agency will not receive any credit under the
Annual Commitment System (ACS) for the use of expanded compliance monitoring activities.
Additionally, because of policy requirements for large quantity generators (LQGs), a state/local
agency will not receive credit under the ACS for meeting the requirement to inspect 20% of the
LQG universe annually unless the state/local agency is operating under an approved alternative
plan which includes details about the numbers, types and frequency of those activities. The
expanded range of compliance monitoring activities highlighted earlier can be an important
element in states' alternative plans, and/or part of their programs that go beyond the
requirements tracked by EPA. The expanded range of compliance monitoring activities can help
states reach more regulated entities effectively and efficiently. States should also consider
conducting additional activities that support the concepts of OECA's Next Generation
Compliance when developing alternative plans or developing the portions of their RCRA
program that are not specifically part of their commitments with EPA. Through Next Generation
Compliance, we are promoting the use of advanced monitoring and electronic reporting,
designing rules that are easier to implement, expanding transparency and sharing of data, and
using innovative enforcement approaches to increase compliance and reduce pollution.
EPA's and states' investment in a new paradigm called "Next Generation Compliance" will
improve compliance and reduce pollution. Next Generation Compliance will achieve better
compliance results by taking advantage of new information and monitoring technologies.
Advanced pollution monitoring technologies allow us to identify pollution issues, and can be
used by both government and industry to find and fix pollution and violation problems. Next
Generation Compliance supports EPA's new E-Enterprise initiative by promoting electronic
reporting, advanced monitoring, and transparency. Electronic reporting allows for more accurate
and timely information on pollution sources, as well as public access to pollution and compliance
information.
However, if a state/local agency decides to utilize the expanded range of activities and wants to
receive credit for the activity from EPA for use under an alternative CMS (inspections at small
quantity generators (SQGs), transporters, etc.), the following conditions apply:
The activity must be conducted for the purpose of making a compliance determination;
"On-site activities" must be conducted by an authorized inspector12 (consistent with
appropriate federal, state, or tribal authority); and
12 Authorized inspector could include an approved 3rd party.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
"Off-site activities" must be conducted by an authorized inspector (consistent with
appropriate federal, state or tribal authority) or other credible regulator (e.g., an individual
with sufficient knowledge, training, or experience to assess compliance); and
The activity must be documented in an alternative compliance monitoring plan as defined in
this compliance monitoring strategy, and reported to EPA's RCRAInfo data system to ensure
transparency, accountability, and appropriate follow-up. Reporting includes:
o Facility-specific information and compliance evaluation actions consistent with
RCRAInfo13; and
o Results of activities consistent with the RCRA program (e.g., violations, SNC).
o Compliance monitoring is one dimension of OECA's Compliance Assurance program.
Compliance monitoring does not include (and this document does not cover) the other
components of compliance assurance, i.e:
Compliance assistance;14
Compliance incentives, such as Compliance Assistance Program (CAP) initiatives; or
Case Development and Enforcement (e.g., preparing notices of violation, warning letters, or
formal complaints; or developing evidence where an area of concern or potential violation
has been identified).
C. The National RCRA Compliance Monitoring Program
The RCRA compliance monitoring program is designed to attain and maintain a high level of
compliance throughout the regulated community with statutory requirements, and applicable
RCRA regulations, permits, orders, and settlement agreements.
A seminal objective of RCRA Subtitle C compliance monitoring
should be to determine whether facilities:
Have identified all of their regulated waste streams;
Have properly characterized each waste stream; and
Are properly handling each waste stream.15
OECA's national RCRA compliance monitoring program encompasses the Core Program, and
any designated national areas of focus that may include RCRA.
13 Please note: the ambient environmental screening activities not associated with a specific facility will
need to be reported manually.
14 Agency policy limits the extent to which an inspector may provide compliance assistance in connection with an
inspection. See National Policy: Role of the EPA Inspector in Providing Compliance Assistance During Inspections
(June 25, 2003), http://kodiak.r07.epa.gov/intranet/enviroprograms/role of inspector.pdf.
15 This principle is discussed in Section V.B. 1 and elsewhere in this document.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
The Core Program encompasses ongoing compliance monitoring activities performed to
achieve and maintain compliance with all RCRA requirements, by all types of regulated
operations (e.g., TSDFs, LQGs, etc.), across all sectors subject to Subtitle C.
National focus areas OECA National Priorities and Federal Facility Integrated Strategies
are designated for a finite number of fiscal years (FYs), to address specific patterns of non-
compliance that have not been sufficiently addressed by the Core Program. National
Priorities and Federal Facility Integrated Strategies may or may not include a RCRA
component. Periodically, EPA also may identify other emerging areas or issues of national
significance warranting EPA response, direction, or involvement. A national focus could be
designated for RCRA to respond to non-compliance with a specific RCRA requirement (e.g.,
financial responsibility), among particular types of operations/handlers (e.g., TSDFs), and/or
by a particular sector of the regulated universe (e.g., mineral processing industry).
Figure 1 summarizes these constituents of OECA's national RCRA compliance monitoring
program. Section IV, below, discusses the strategic and operational interface between the Core
Program and national focus areas.
Fig. 1. National RCRA Subtitle C Compliance Monitoring Program
Core Program
National Ar
National Priorities and
Other Issues of
National Significance
C/jf designated for RCRA)
eas of Focus
Federal Facility Priority
Areas
(//'designated for RCRA)
Duration
Ongoing
Designated Periodically
Designated Periodically
Regulated
Operations
- TSDFs
- Generators
- Transporters
- Other RCRA Handlers
- TSDFs
- Generators
- Transporters
- Other RCRA Handlers
- TSDFs
- Generators
- Transporters
- Other RCRA Handlers
Sector
(Owners /
Operators)
- State/local/tribal
governments
- Private entities
- Federal facilities
- State/local/ tribal
governments
- Private entities
- Federal facilities
Federal entities (agencies,
departments, etc.)
Objective
Ensure compliance ...
- With all requirements,
- By the regulated
universe, and
- At all types of operations
Focus on compliance ...
- With specific
requirements,1'
- By a subset of the regulated
universe,2/ and/or
- At particular types of
operations.
Focus on compliance by
federal entities ...
- With specific requirements,
and/or
- At particular types of
operations.3/
Examples:
v RCRA Financial Responsibility National Priority (FY2008-2010)
2/ RCRA Mineral Processing National Priority (FY2008-2010)
3/ Federal Underground Storage Tank Integrated Strategy (FY2006-2010)
1. Agency Leadership for RCRA Compliance Monitoring
Readers new to the RCRA program may be unaware of the multiple aspects of EPA's
responsibility for RCRA, and of the several headquarters offices that administer (or oversee)
RCRA compliance monitoring programs and activities. This information, however, may be
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
important because coordination with, and collaboration among, the various offices often is
required.
OECA's Office of Compliance (OC) has primary responsibility for the compliance
monitoring and compliance assistance for non-federal facilities subject to Subtitle C.
OECA's Office of Civil Enforcement (OCE) is responsible for civil enforcement for non-
federal facilities subject to Subtitle C. OCE and OC work cooperatively and through
complementary efforts on compliance monitoring for such facilities.
OECA's Federal Facilities Enforcement Office (FFEO) has authority for compliance
assistance, monitoring, and enforcement, for federal facilities subject to Subtitle C.
OECA's Office of Site Remediation Enforcement (OSRE) has purview for the compliance
assistance, monitoring and enforcement aspects of the RCRA corrective action program. 16
EPA's Office of Solid Waste and Emergency Response's Office of Underground Storage
Tanks (OSWER/OUST)17 administers the compliance monitoring program for Subtitle I
USTs.
OSWER's Office of Resource Conservation and Recovery (OSWER/ORCR) oversees
Subtitle D (non-hazardous waste) activities, which are almost exclusively the responsibility
of the states. EPA has issued standards for solid waste landfills (40 C.F.R. Parts 257 and
258). Implementation of these standards generally is left to states, however, states generally
do not have authority in Indian country.18
Figure 2 summarizes the alignment of responsibility among EPA headquarters offices for
compliance monitoring programs under these various RCRA authorities.
Fig. 2: EPA Headquarters Responsibility for RCRA Compliance Monitoring and Enforcement
OECA
OSWER
OC OCE FFEO OSRE
OUST ORCR
Subtitle C Core Program
(TSDFs. Generators. Transporters. Other RCRA Handlers)
Non-Federal facilities (compliance monitoring)
V
Non-Federal facilities (enforcement)
V
Federal facilities
V
Corrective Action (Non-Federal facilities)
V
Subtitle D (Non-hazardous waste)
V
Subtitle I (USTs)
V
§ 7003 (No compliance monitoring requirements)
16 RCRA corrective action applies to Subtitle C facilities at which releases have been identified. This document
does not address compliance monitoring requirements for the corrective action program but does encourage
programmatic coordination to promote facility compliance with corrective action requirements. See Sections II.D
and III.B.3, below. Information about corrective action is available from OSRE, http://intranet.epa.gov/oeca/osre/.
See also OSRE's guidance. National Enforcement Strategy for Corrective Action, set for publication early FY2010.
17 www.epa.gov/swerustl/.
18 See http://radiation.custhelp.com/cgi-bin/radiation.cfg/php/enduser/std adp.php?p faaid=1273. General
information about Subtitle D is available at www.epa.gov/epawaste/nonliaz/index.htm.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
2. Regional, State, and Tribal Roles in RCRA Compliance Monitoring
Implementation of RCRA compliance monitoring activities is a collaborative effort between
Regions and authorized states. Since RCRA does not provide for Tribes to obtain Subtitle C
authorization, EPA has a direct implementation role in Indian country.19 State and Regional
compliance monitoring programs, however, serve slightly different functions. Figure 4 (Section
V.A.I, below) summarizes the distinctions between Regional and state compliance monitoring
programs.
States determine facility compliance, and have primary responsibility for ensuring adequate
inspection coverage of the regulated universe for its general deterrent effect. (The federal
government, however, is responsible for ensuring compliance by facilities in Indian country.) As
of June 2009, 48 states are authorized to administer and enforce RCRA Subtitle C. Thus, states
conduct the majority of Subtitle C inspections. States also play a vital role in alerting EPA to
regulatory implementation issues on-the-ground by, for example, identifying problems among
the regulated community concerning regulatory interpretation or proper application of
exemptions.
Regions also ensure coverage through compliance monitoring, but focus primarily on state
program oversight and capacity-building. Also, Regions provide leadership and support to states
where federal intervention is needed to address complex or multi-state compliance issues.
Furthermore, Regions consult with states to identify new and emerging issues that may warrant
areas of national focus. Section V, below, discusses Regional and state planning, and program
oversight.
3. Mechanisms for Managing the National RCRA Compliance Monitoring
Program
OECA employs a variety of mechanisms to administer the RCRA compliance monitoring
program. OECA's NPMG20 sets forth and explains annual Regional and state compliance
monitoring obligations (e.g., goals, measures, reporting codes) for RCRA. Also, OECA and
Regions negotiate - and each Region commits to - annual compliance monitoring measures
(commitments/obligations) and goals (projections/targets) through OECA's Annual Commitment
System (ACS). In addition, Regions memorialize their respective inspection commitments (and
state projections) in ACS's Budget Automated System (BAS) database - and report their
fulfillment of those commitments through BAS. Furthermore, Regions report facility-specific
compliance monitoring information and compliance determinations in RCRAInfo, the official
data system for RCRA inspections.21 Also, Regions and states generally use the Biennial
19 For more information, see http://www.epa. gov/lawsregs/laws/rcra.html and http://www.epa. gov/indian.
20 www.epa.gov/ocfo/npmguidance/index.htm.
21 This document uses the inspection titles and acronyms established in RCRAInfo (2009). See also Appendix D.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
Report (BR)22 to determine the universe of regulated facilities, the amount of hazardous waste
generated in a state, and other RCRA-related information. Moreover, each Region also
negotiates inspection goals with each of its respective RCRA-authorized states. The agreed-
upon goals are memorialized in documents, such as state Performance Partnership Agreements
(PPAs), and Performance Partnership Grants (PPGs) where EPA grants are involved.
Certain expected compliance monitoring activities, however, are not captured by the ACS
process, such as:
Review and resolution of facilities on EPA's Watch List;
Data and permit reviews; and
States' implementation of their own priorities.
D. Scope of this Document
This document discusses compliance monitoring principles, goals and measures, activities, and
"best practices" for the Core Program of RCRA Subtitle C. While this document focuses largely
on the Core Program, it also discusses compliance monitoring for national focus areas that
involve RCRA Subtitle C.
This document covers compliance monitoring conducted:
By authorized states (known as "state-only activities");
Solely by EPA ("federal-only activities") of facilities that are owned and/or operated by the
federal government, state or local governments, tribes, or non-governmental entities; and of
any facilities located in Indian country; and
By both EPA and authorized states ("combined federal/state activities") of federal
government and non-government facilities.
States may conduct compliance monitoring activities beyond those required by EPA under the
ACS process or PPAs/PPGs.23 For example, while EPA does not impose inspection
requirements on the states for SQGs through the ACS commitment process, states are required
by regulation to be able to comprehensively inspect all regulated facilities and have a program
for periodically inspecting those facilities. In order to meet those requirements, EPA encourages
the use of the flexibilities offered in the CMS as appropriate and encourages the use of
Next Generation Compliance tools in implementation of the state's RCRA program. Through
these efforts, states may design the compliance programs of the future and work to improve
compliance even in a time of declining resources. EPA, states, tribes, and other partner agencies
are beginning to invest in this transformation together-and anticipate realizing both efficiencies
and cost savings while protecting human health and the environment.
The RCRA program encompasses an array of compliance monitoring programs and functions
performed by OECA, other EPA headquarters offices, Regions, and states. This document,
22 http://www.epa.gov/osw/inforesources/data/bieimialrepoit/index.htm.
23 EPA has not established the number or type of RCRA inspections a state should conduct if a state elects to
undertake inspections in addition to those required by the Agency.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
however, examines only the Subtitle C Core Program and, specifically, those aspects of Subtitle
C for which OECA has established a national compliance monitoring program. Thus, this
document does not examine the full array of compliance monitoring activities that Regions or
states may perform.24
24 For clarification, and since there may be a need to coordinate inspections, the reader should be aware that other
compliance monitoring activities pursuant to Subtitle C (or at facilities subject to Subtitle C) include the following
types of inspections.
(1) Inspections of RCRA-regulated facilities for compliance with other legal authorities, such as the Clean Air Act
or Clean Water Act.
(2) Inspections pursuant to other RCRA compliance authorities. For example, under RCRA Section 3013, EPA may
conduct (or order) monitoring, testing, or analyses where the presence (or release) of hazardous waste may present a
substantial hazard to human health or the environment. 42 U.S.C. § 6934.
(3) RCRA Section 7003. EPA encourages Regions to use Section 7003 where appropriate, in accordance with
applicable Agency policies and guidance. See e.g., Guidance on the Use of Section 7003 of RCRA (Oct. 12, 1997)
http://intranet.epa.gov/oeca/ore/rcra/ise/documents/tab5.pdf. or
http://www.epa.gov/compliance/resources/policies/cleanup/rcra/971020.pdf. States should use their comparable
authorities as appropriate.
(4) RCRA corrective action. The Agency, however, strongly encourages inspectors of RCRA facilities that are
subject to corrective action requirements to coordinate with other EPA or state personnel who also have
responsibility for corrective action at such facilities (e.g., project managers, permit writers) to monitor compliance
with corrective action requirements while conducting inspections, as appropriate. Because post-closure and
corrective action requirements often overlap, similar coordination may be appropriate to ensure compliance with
post-closure care requirements. To ensure the protectiveness and long-term stewardship of environmental
control(s), OECA encourages inspectors evaluating facilities in the post-closure category to focus on the
requirements of RCRA Sections 264/265.117-120. Particular attention should be focused on the requirements in
both Section 264/265.117(c) to ensure that post-closure uses do not disturb the integrity of the environmental
controls, and Section 264/265.119 to monitor the continued effectiveness of required notices. In addition, OECA
encourages inspectors to evaluate the effectiveness of the recorded notices and, as appropriate, consider additional
layers of institutional controls (ICs). For guidance on the selection, implementation, monitoring and enforcement
of ICs, including links to information on ICs at RCRA corrective action facilities, see
http://www.epa.gov/superfund/policv/ic/index.htm.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
III. Core Program:
Goals and Measures, Program Elements
A. Background
1. Scope of the Subtitle C Compliance Monitoring Program
The RCRA Subtitle C program encompasses compliance monitoring for a variety of hazardous
waste operations, i.e:
Treatment, Storage, and Disposal Facilities;
Generators Large Quantity Generators (LQGs), Small Quantity Generators (SQGs), and
Conditionally-Exempt Small Quantity Generators (CESQGs);
Transporters; and
Other RCRA Handlers.
As explained fully in the sections below, RCRA imposes inspection requirements for TSDFs -
and OECA's NPMG states corresponding expectations for those, and other, facilities. In
summary:
The statute mandates minimum inspection frequencies for TSDFs: annually for government-
owned or operated TSDFs, and biennially for non-government TSDFs. OECA has
established corresponding annual commitments.25
OECA has set minimum annual inspection expectations for LQGs: at least 20 percent of the
universe.26
States may elect to inspect SQG, CESQG, Transporter, Non-notifier, and/or Other RCRA
Handler facilities, in lieu of inspecting 20 percent of their LQG universe, under OECA's
policy for State Alternative Plans (or "State Flexibility Plans").27- 28
The foregoing inspections are covered by OECA's ACS process,29 and most of these inspection
expectations have a dedicated BAS reporting code (e.g., RCRA01).
25 See Section III.B, below.
26 See Section III.C, below.
27 See Section III.C. 1(c), below. See also Appendix H, Guidance for State Alternative Plans (Flexibility Plans) for
RCRA LOG Compliance Monitoring.
28 Many states choose to conduct such inspections in addition to, rather than in lieu of, inspecting 20 percent of their
respective LQG universes.
29 See Section II.C.3, above. Certain other compliance monitoring activities are not within the ACS process. See id.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
2. Rationale for Goals and Measures Minimum Requirements
OECA formulated the minimum goals and measures for the RCRA Subtitle C Core Program
based upon the statutory mandate (for TSDFs), as well as the Agency's obligation to ensure
effective oversight of state programs and a federal presence throughout the regulated community.
The annual goals and measures are summarized in Figure 3, and detailed in the following
sections.
ACS Nomenclature
ACS codes without ".s" are federal inspections, whereas codes with ".s" are state inspections.
ACS distinguishes between inspection "commitments" (measures based on statutory requirements and
minimum program expectations) versus "projections" (goals or targets).
Fig. 3: Summary: Annual Goals and Measures for RCRA Subtitle C Core Program
ACS#
Regulated Entity
Annual Goal/Measure/ Targets
EPA Region Goals/Measures
State Goals
TSDFs
(None)
Federal
Government
TSDF
Inspect each TSDF owned or operated by a
department, agency or instrumentality of
the United States. States may also conduct
federal facility TSDF inspections.
RCRA03
State/local/
tribal TSDF
Inspect each TSDF operated by a state,
local or tribal government.
RCRA01
Non-
government
TSDF
Commit to inspect at least two (2) TSDFs
in each state " - and project by state the
number of TSDFs to be inspected by the
Region.
RCRAOl.s
Non-
government
TSDF
Project by state the number of TSDFs to be
inspected by the state.
Inspect at least 50%
of the universe
LQGs
RCRA02
LQG
Commit to inspect at least 6 LQGs in each
state 2/ - and project by state the number of
LQGs to be inspected by the Region.
RCRA02.S
LQG
Project by state the number of LQGs to be
inspected under state authority.
Inspect at least 20%
of the universe (unless
otherwise approved3)
Others
Operations
(None)
-SQG
-CESQG
-Transporter
-Other RCRA
Handlers
States may substitute inspections of SQGs,
CESQGs, Non-notifies, and/or Other
RCRA Handlers (in lieu of LQG
inspections) under an approved Alternate
Plan.v
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
Conduct ten (10) federal facility
inspections. These inspections may be done
in federal facility enforcement priority
areas, national areas of focus, national
enforcement initiatives, regional priority
areas, priorities established in federal
facility regional enforcement enhancement
plans, or as otherwise deemed necessary by
the region. These 10 inspection
commitments can be achieved through any
combination of single media or multimedia
inspections. FFEO will be as flexible as
possible in assisting the regions in meeting
this vital federal facility
commitment. These inspections may
include RCRA Subtitle C or other media
programs.
A
fa
FED-FAC05
Federal
Facilities
" OECA may approve a deviation from this obligation. See Section III.B.2(c), below.
2/ OECA may approve a deviation from this obligation. See Section III.C. 1(a), below.
3/ Under an approved Alternative Plan, OECA (or the Region) may modify the 20 percent LQG requirement (RCRA02.S)
to allow a state flexibility to inspect other RCRA facilities. See Section III.C.1(c).
The specific goals and measures in this CMS are taken from OECA's NPMG for FY2010.30
B. Treatment Storage and Disposal Facilities
1. Statutory Background
Section 3007 of RCRA requires that:
EPA annually undertake "a thorough inspection" of every TSDF "which is owned or
operated by a department, agency, or instrumentality of the United States"
(§ 3007(c)). An authorized state also may conduct inspections.
EPA annually "undertake a thorough inspection" of every TSDF "which is operated by a
State or local government" (§ 3007(d)).
EPA or an authorized state conduct a program to "thoroughly inspect" every TSDF "no less
often than every two years" (§ 3007(e)).31
2. Goals and Measures (and ACS Codes)
a. Federal Government TSDFs
Pursuant to RCRA Section 3007(c), EPA must annually inspect each TSDF owned or operated
by a department, agency or instrumentality of the United States. (There is no ACS measure for
this requirement.) An authorized state also may conduct an inspection.
311 www.epa.gov/ocfo/npmguidance/index.htm. The NMPG is updated annually. Any changes to goals and
measures for the RCRA compliance monitoring program would be announced in the NPMG.
31 42 U.S.C. § 6927(c)-(e).
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
b. State-, Local-, and Triballv-Operated TSDFs
Pursuant to RCRA Section 3007(d), the Region must annually inspect each TSDF operated by a
state or local government. (ACS Commitment RCRA03)
This Regional obligation includes inspecting TSDFs operated by Tribes.32'33 (States generally
are not authorized to carry out RCRA programs within Indian country absent an express EPA
finding.34) An authorized state also may inspect a state or local TSDF, although this is not
required by the statute and does not help EPA meet its compliance monitoring obligation.35
RCRA03 pertains to TSDFs that are operated by state, local or tribal governments.36 A TSDF
that is owned - but not operated - by such a government is subject to inspection as a non-
government TSDF (RCRAOl/Ol.s), as discussed immediately below.
c. Non-government TSDFs
Consistent with RCRA Section 3007(e), the Region is to annually:
Commit to inspect at least two (2) TSDFs in each state, unless OECA approves a deviation
from this obligation.37
(ACS Commitment RCRA01)
Project by state the number of TSDFs to be inspected by the Region during the year. (ACS
Commitment RCRA01)
This information should be recorded in the Comment field of BAS.38
Project by state the number of TSDFs to be inspected by the state during the year.
(AC S Commitment RCRAO1. s)
Inspection targets should be identified by the inspecting agency.
Since a TSDF must be inspected at least once every two (2) years,39 generally 50 percent (50%)
of the TSDF universe should be inspected annually.40 Also, because this is a coverage
32 The statute omits Tribes from its definition of "state," 42 U.S.C. § 6903(31), and includes Tribes in its list of local
governmental entities, 42 U.S.C. § 6903(13)("municipality" means city, town, county, parish, district, or "an Indian
tribe or authorized tribal organization or Alaska Native village").
33 According to EPA's national Online Tracking Information System (OTIS), as of September 2009, one (1) TSDF
was located in Indian country. Section V. A. 1, below, discusses Regional compliance monitoring activities in Indian
country.
34 See also Section II.C.2, above, and references therein.
35 Similarly, federally-recognized Tribes may conduct compliance monitoring activities in Indian country under
tribal environmental laws, but such inspections do not help EPA meet any of its compliance monitoring obligations.
36 42 U.S.C. § 6927(d).
37 Generally, a reduced commitment is allowed only where the TSDF universe in the state is small, since a minimum
number of Regional inspections is necessary for effective program oversight. See Section V.C.
38 The comment is to clarify whether the Region is fulfilling the standard obligation for two (2) inspections per state,
or is committing to an OECA-approved alternative.
39 RCRA § 3007(e), 42 U.S.C. § 6927(e). At the level of inspection activity required under RCRAOl/Ol.s, Regions
and states should be able to fulfill the statutory mandate to inspect each TSDF biennially.
40 A Region/state, however, may elect to divide the universe otherwise (e.g., 55 % the first year - 45 % the second
year), but must satisfy the statutory mandate to inspect each TSDF every two years.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
commitment, multiple inspections at the same facility count as only one (1) inspection. The
Region and state together provide the required coverage, although the state has primary
responsibility for this obligation (excluding TSDFs in Indian country). Regions help ensure
coverage of the total TSDF universe since, in accordance with the statute, EPA must inspect
federal, state, and local government TSDFs, and all TSDFs in Indian country.
For ACS Commitment RCRA01 and RCRAOl.s (TSDFs), commitment levels are based on the
RCRAInfo operating universe for TSDFs. The same RCRAInfo inspection types will be counted
for inspections under RCRA01 (non-government TSDFs) and RCRA03 (state/local/tribal
TSDFs). See Appendix D.
3. Types of Inspections for TSDFs
RCRA mandates "thorough" inspections for TSDFs. Therefore, for purposes of this CMS,
Compliance Evaluation Inspections (CEIs) generally are expected for operating TSDFs. A CEI
encompasses pre-inspection preparation; field inspection; possible follow-up activities, such as
re-visits to sample; and information requests. See Appendix D for more information on the
elements of a CEI.
Ensuring that facilities maintain adequate financial responsibility is an important aspect of the
RCRA compliance monitoring program.41 Typically financial assurance reviews are not a field
inspection activity nor conducted by field inspectors, or may follow a different regulatory
schedule than field inspections. At a minimum, however, determining whether a facility is in
compliance with requirements to keep financial assurance records on-site is an appropriate part
of any CEI. Some states address compliance monitoring for financial responsibility by
conducting Financial Record Reviews at least annually for each facility. Where this is not the
case, it is beneficial for field inspectors to have financial records information prior to visiting the
facility (or at least before the CEI is concluded) to have a complete picture of the facility's
compliance status. Ultimately, the expectation is that financial record reviews (FRRs) will be
conducted, as required, for TSDFs that have a CEI conducted in accordance with the ACS
commitments. This FRR need not occur at the same time or be conducted by the same people
who conduct the CEI.
OECA encourages states and Regions to coordinate their respective technical and financial
reviews, and to include closure/post-closure and corrective action financial assurance compliance
determinations for TSDFs, to the extent this can be accomplished within the current program
framework.42 For example, pre-inspection activities for a CEI could include intra-agency
coordination, so that the financial reviewer is aware of the pending CEI - and the field inspector
is aware of the facility's financial responsibility compliance status, such as any recent or pending
41 OECA's FY2010 NPMG states explicitly that, consistent with RCRA Section 3004(a), TSDF inspections include
RCRA financial responsibility. FY2010 NPMG, at 41-42. www.epa.gov/ocfo.
42 Financial assurance reviews continue to be important even if RCRA financial assurance is not an OECA National
Priority. Therefore, OECA will work with states to determine how this objective can best be addressed over the
long term.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
compliance determination or whether the facility has submitted up-to-date financial
documentation as required. Appendix D (Types of RCRA Inspections) explains the basic
function and scope of RCRA CEIs. Section V.B.I, below, discusses qualitative standards for
CEIs.
For non-operating TSDFs that have not completed clean closure, other types of RCRA
inspections may be appropriate, in place of CEIs, under certain circumstances. For example,
Groundwater Monitoring Evaluations (GMEs) should be conducted at any new or newly-
regulated land disposal facility, as defined under RCRA Section 3004(k).43 Once it is
determined that the groundwater monitoring system is adequately designed and installed, an
Operation and Maintenance (OAM44) inspection may become the appropriate inspection for
groundwater monitoring. More frequent GMEs should be conducted in certain situations, such
as those involving complex compliance or corrective action requirements, inadequate
groundwater monitoring systems, significant changes to groundwater monitoring systems, or
actual or suspected changes in local groundwater regimes. Regions and states are expected to
inspect at least every three (3) years TSDFs that are no longer in the operating universe but still
have compliance requirements (e.g., via a CEI, GME and/or OAM).45 Section V.B.I, below,
also discusses inspections at TSDFs that are no longer accepting waste.
4. Program Elements
In accordance with the statute and NPMG, 46 TSDF inspections should verify compliance with at
least the following requirements:
Maintaining records of all hazardous waste that is treated, stored, or disposed, and the
manner in which all such waste is treated, stored, or disposed.
Satisfactory reporting and compliance with the manifest system.
Proper treatment, storage, or disposal of all waste received by the facility.
Establishing contingency plans for effective action to minimize unanticipated damage from
any treatment, storage, or disposal of hazardous waste.
Submission of Biennial Reports.
General inspection requirements, security, and preparedness and prevention.
Personnel training.
Financial responsibility.47
C. Generators
Although RCRA imposes different inspection frequency requirements for non-government
TSDFs versus government owned/operated TSDFs,48 there is no such distinction for Generators.
43 42 USC § 6924(k).
44 Formerly referred to as "O&M."
45 See e.g., FY2010 NPMG, at 44, www.epa.gov/ocfo.
46 See RCRA § 3004(a); 42 USC § 6924(a); FY2010 NPMG, at 41-42, www.epa.gov/ocfo.
47 FY2010 NPMG, at 42. www, epa. gov/ocfo.
48 RCRA § 3007, 42 U.S.C. § 6927.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
Thus, all federal, state, tribal, and local government Generators are included within the Generator
universes discussed below.
1. Large Quantity Generators
a. Goals and Measures (and ACS Codes)
The Region and state together must annually inspect at least 20 percent (20%) of the LQG
universe, so that the entire universe is inspected every five (5) years, unless the state obtains
approval to deviate from this requirement under an approved Alternative Plan.49 This is a
coverage commitment, so multiple inspections at the same facility count as only one (1)
inspection. LQG inspections, whether conducted by the Region or state, should be CEIs.50
The Region is to:
Commit to inspect at least six (6) LQGs in each state, unless OECA approves a deviation
from this obligation.51
(ACS Commitment RCRA02)
Project by state the number of LQGs to be inspected by the Region during the year.
(ACS Commitment RCRA02)
This information should be recorded in the Comment field of BAS.52 To ensure a level of
protectiveness in Indian country comparable to that afforded other areas in a state, OECA
expects Regions to annually inspect at least 20 percent of the LQGs in Indian country.53
Project by state the number of LQGs to be inspected by the state during the year.
(ACS Commitment RCRA02.s)
Inspection targets should be identified by the inspecting agency.
Regions are encouraged to perform inspections in any of the following areas, in the following
order of priority:
National Priority sectors.
In environmentally sensitive areas.
In Indian country.
Emerging sectors.
Entities with violations in more than one state, and particularly recalcitrant violators.
To support state referrals, or address illegal recycling.
Areas with environmental justice concerns.
49 Section III. 1(c), below.
50 See e.g., Section V.B.I and citations therein.
51 Generally, a reduced commitment is allowed only where the Generator universe in the state is small, since a
minimum number of Regional inspections is necessary for effective program oversight. See Section V.C.
52 The comment is to clarify whether the Region is fulfilling the standard expectation for six (6) inspections per
state, or committing to an OECA-approved alternative.
53 According to OTIS, as of September 2009, approximately 30 LQGs were located in Indian country. Section
V.A.I, below, discusses Regional compliance monitoring activities in Indian country.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
The state is to:
Inspect at least 20 percent (20%) of its LQG universe each year.
(ACS Commitment RCRA02.s)
An appropriate portion of the Region's six (6) required LQG inspections (RCRA02), may be
counted toward the state's 20 percent coverage obligation (RCRA02.s). To avoid shifting the
Region's focus and resources from program oversight to a "work-sharing" arrangement (which is
not contemplated by the national program), the Region's contribution should constitute only a
small portion of the state's 20 percent obligation (e.g., less than ten percent).54
The LQG universe is the total number of Generators in the most recent Biennial Report.55 A
state, however, may derive an alternative universe number from another reliable data source,
provided the Region and state agree to, and document, the alternative number. If the Region
accepts an alternative universe number for any state, then the Region should record for that state
both the alternative universe number and the data source in the "Comment" field of BAS.
b. Program Elements
In accordance with the statute and NPMG,56 inspections of LQGs generally should be CEIs, and
should verify compliance with at least the following requirements:
Identification of all hazardous waste streams, and proper characterization of all hazardous
waste.
Provision of information on the general chemical composition of hazardous waste to persons
transporting, treating, storing and disposing such waste.
Recordkeeping on the management and disposition of waste.
Proper labeling and identification of waste for storage, transport, and disposal.
Proper handling of hazardous waste on-site, including use of a containment building, proper
containers, and tanks and drip pads.
Use of the manifest system and all other means necessary to ensure that hazardous waste is
sent to the appropriate TSDF.
Submission of Biennial Reports reporting the waste generated.
Contingency plan, general inspection requirements, security, and preparedness and
prevention.
Personnel training.
54 For example, given a universe of 100 LQGs, the state annually must conduct 20 LQG inspections (usually, CEIs).
The Region's contribution to the state's coverage requirement should not exceed two (2) inspections (i.e., 10% of
the required 20 inspections). The Region, however, can do more inspections, but such additional inspections will
not count toward the state's coverage requirement.
55 http://www.epa.gov/osw/inforesources/data/biennialrepoit/index.htm.
56 See RCRA § 3002(a); 42 USC § 6922(a); FY2010 NPMG, at 42, www.epa.gov/ocfo.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
c. Alternative Plans (State Flexibility Plans)
To improve environmental outcomes from its compliance assurance activities, a state may seek
approval of an alternative inspection plan that allows flexibility from the obligation to inspect at
least 20 percent of its LQG universe (RCRA02.s). The state may use this flexibility to provide
for compliance monitoring of SQGs, CESQGs, Transporters, Non-notifiers, and/or Other RCRA
Handlers.
For any proposed alternative approach, this policy dictates that the level of inspection resources
will remain the same. Inspection resources should not decrease, although they may be directed
to different targets and may be coordinated more closely with other resources such as compliance
assistance or compliance incentives.
Information on Alternative Plans is provided in OECA's Guidance for State Alternative Plans
(Flexibility Plans) for RCRA LQG Compliance Monitoring 51 In short, a state seeking flexibility
must present a written plan to the Region. The state may adopt one of three (3) pre-approved
alternative approaches,58 or may design its own flexibility alternative. If the state uses one of the
pre-approved approaches, then the Region will approve, seek modifications, or deny approval of
the state's plan under the Region's own authority. If, however, the state devises its own
alternative approach, then the state must submit its written plan in accordance with the SRF
(Element 13), and the Region must consult with OECA before approving the plan.
In brief, the state's written plan must include, at a minimum:
A description of the overall level of effort (number of inspections), and how it will deviate
from the standard 20 percent LQG obligation.
The scope of the inspections proposed under the alternative approach (e.g., number of each
type of Generator to be inspected, industrial sectors to be focused upon, etc.). Additionally,
the type of monitoring activities to be used should be addressed (this includes the use of an
expanded range of compliance monitoring activities and Next Generation Compliance
activities).
The outcomes expected from the alternative approach.
A strategy to measure actual outcomes to demonstrate whether the alternative approach
achieved the anticipated outcomes.
The Region should identify in the "Comment" field of BAS any state that is following an
approved Alternative Plan.
57 See Appendix H. An earlier version of this document, which is substantively identical to Appendix H, is OECA's
Guidance for RCRA Core LQG Pilot Projects (2007),
http://www.epa.gov/compliance/resources/policies/monitoring/rcra/fV08rcraguidancelqgproiect.pdf.
58 The pre-approved flexibility alternatives allow for an "80 Percent," "Greater than 5 Ton," or "Straight Trade-off'
approach.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
2. Small Quantity Generators and Conditionally-Exempt Small Quantity
Generators
a. Goals and Measures
EPA has not established requirements concerning the type, or minimum number, of inspections
for SQGs or CESQGs. A state, however, may elect to inspect these facilities in lieu of inspecting
20 percent of its LQG universe under an approved Alternative Plan (above), or in addition to
inspections called for by EPA.
Additionally, while EPA does not impose specific inspection requirements on the states for
SQGs and CESQGs through the ACS commitment process, states are required by regulation to
be able to comprehensively inspect all regulated facilities (including SQGs and CESQGs) and
have a program for periodically inspecting those facilities. In order to meet those requirements,
EPA encourages the use of the flexibilities offered in the CMS as appropriate and encourages the
use of Next Generation Compliance tools in implementation of the state's RCRA program.
Through these efforts, states may design the compliance programs of the future and work to
improve compliance even in a time of declining resources. EPA, states, tribes, and other partner
agencies are beginning to invest in this transformation together-and anticipate realizing both
efficiencies and cost savings while protecting human health and the environment.
b. Program Elements
See the Program Elements for LQGs, above.
D. Transporters
1. Goals and Measures
EPA has not established requirements concerning the type, or minimum number, of inspections
for Transporters. A state, however, may elect to inspect these facilities in lieu of inspecting 20
percent of its LQG universe under an approved Alternative Plan (above), or in addition to
inspections called for by EPA.
Additionally, while EPA does not impose specific inspection requirements on the states for
transporters through the ACS commitment process, states are required by regulation to be able to
comprehensively inspect all regulated facilities (including transporters) and have a program for
periodically inspecting those facilities. In order to meet those requirements, EPA encourages the
use of the flexibilities offered in the CMS as appropriate and encourages the use of Next
Generation Compliance tools in implementation of the state's RCRA program. Through these
efforts, states may design the compliance programs of the future and work to improve
compliance even in a time of declining resources. EPA, states, tribes, and other partner agencies
are beginning to invest in this transformation together-and anticipate realizing both efficiencies
and cost savings while protecting human health and the environment.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
2. Program Elements
In accordance with the statute and NPMG,59 Transporter inspections should verify compliance
with at least the following requirements:
Recordkeeping.
Properly labeled waste.
Use of the manifest system.
Proper management of hazardous waste during transportation.
Hazardous waste delivered to TSDFs that are permitted by law to take such waste.
E. Federal Facilities
Compliance monitoring for federal facilities under RCRA (and other statutes) occurs largely, but
not exclusively,60 in the context of national enforcement initiatives (NEIs), federal facility
priority areas and regional federal facility enforcement enhancement plans which change over
time and, thus, are described in the annual OECA NPMG. For further information concerning
current and proposed federal facility priority areas as well as federal facility inspections, consult
the NPMG and FFEO guidance currently in effect.
1. Statutory Background
Section 3007(c)61 of RCRA requires that EPA annually undertake "a thorough inspection" of
each TSDF owned or operated by a federal department, agency or instrumentality. Furthermore,
Section 3007(c) provides that authorized states "also may conduct an inspection" of such TSDFs.
2. Goals and Measures (and ACS Code)
The Federal Facilities Core Program section in OECA's yearly NPMG outlines annual goals and
measures for EPA's federal facilities enforcement and compliance program. These are often
focused on particular federal facility priority areas and regional enforcement priorities which
focus on compliance monitoring and enforcement activities.
FFEO asks Regions to commit to conduct ten (10) inspections to support NEIs, federal facility
priority areas, and regional enforcement priorities (ACS Commitment FED-FAC05). Depending
on the particular years' NEIs and federal and regional priorities, these inspections could include
RCRA Subtitle C and other media programs. Inspections identified for federal facilities are
unique to the Federal Facilities program, and are in addition to inspections outlined for other
OECA Core Programs.
59 See RCRA §3003(a); 42 U.S.C. § 6923(a); FY2010 NPMG, at 42. www.epa.gov/ocfo.
60 Federal facilities are a part of the Core Program (e.g., the statutory mandate to inspect each federal TSDF
annually), and may be included in OECA National Priorities.
61 42 U.S.C. § 6927(c).
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
IV. National Areas of Focus:
National Priorities,
Issues and Emerging Areas of National Significance,
Federal Facility Enforcement priority Areas
A. Background
RCRA compliance monitoring occurs in the context of both the Core Program and any national
focus areas - National Priorities, issues of national significance, or Federal Facility Integrated
Strategies - that include RCRA. If a national focus area includes RCRA, then compliance
monitoring for the Core Program and focus area should be complementary, and not mutually
exclusive. Generally, Regions and states should be able to fulfill their compliance monitoring
obligations for the Core Program and national focus area concurrently, by directing an
appropriate portion of their ACS-required inspections to facilities targeted under the national
focus area.
B. National Priorities
OECA periodically selects National Priorities from among its various media programs to address
significant and/or national patterns of non-compliance that have been under- or unaddressed by
the Core Program.62 National Priorities may affect a single media program or multiple
programs. For example, for FY2008-2010, OECA designated two National Priorities that
included a Subtitle C component: Financial Responsibility, and Mineral processing.63
1. Federal - State Relations in National Priorities
Traditionally, Regions conduct National Priority inspections, with limited state involvement.
OECA, however, encourages Regions to appropriately coordinate with their states. States may
play an important role in addressing the issues targeted in a priority, particularly if the
compliance problem is pervasive and will need to be addressed after the priority ends. For
example, a priority which involves surface impoundments that improperly accept hazardous
waste could affect over 7,000 facilities, and it would be impracticable for the Region to cover
them all. In such a case, both the Region and state would need to conduct compliance
monitoring: the Region, to determine facility compliance under the priority, and to build the
62 For general information about OECA National Priorities, see
http://epa.gOv/compliance/data/planning/priorities/index.html#priorities.
63 See http://intranet.epa.gov/oeca/oc/npmas/priorities/index.html.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
state's capacity to adequately address the issue in its Core Program; and the state, to help the
Region with the priority, and to focus more on the issue in its Core Program while, and after, the
priority is in effect.
2. Potential Interface Between Core Program and National Priorities
When OECA designates a National Priority/ies for RCRA Subtitle C, it is important to ensure
coordination, and an appropriate allocation of resources, between the Core Program and National
Priority. The Core Program depends on an adequate, sustained commitment to achieve and
maintain compliance with all RCRA requirements by all types of operations/handlers throughout
all sectors of the regulated community. Similarly, an appropriate level of effort is needed for any
RCRA National Priority, to ensure that EPA can successfully address important national
environmental problems associated with a particular regulatory obligation, industry sector,
and/or type of operation (e.g., TSDFs versus LQGs).
Compliance issues that become RCRA Subtitle C National Priorities may or may not impact
compliance monitoring for the Core Program. Whether such impact occurs depends, for
example, on which type of RCRA operations/handlers are subject to the National Priority, and
the Region/state's previous practice in conducting inspections. For example, a RCRA financial
assurance priority that involves TSDFs should not adversely affect Core Program resources
because the Core Program already accounts for these inspections. That is, the Core Program
already requires Regions and states to conduct annual and biennial CEI inspections at TSDFs
(RCRA01, RCRAOl.s, RCRA03 64) - and the NPMG already provides that TSDF inspections
include determining compliance with financial assurance requirements.65
Similarly, a National Priority that involves LQGs should have no impact on a state's Core
Program because states are already required to conduct CEI inspections at 20 percent of their
LQG universe (RCRA02.s).66 On the other hand, a state may observe an effect if its CEI
inspections typically had been less extensive than ordinarily expected for a qualitative CEI and
the state must now meet a higher standard for purposes of the National Priority. Sections V.B. 1
and V.C, below, discuss qualitative standards for CEIs.
Conversely, a National Priority might impact a state's Core Program if it imposes an additional
burden on resources by calling for inspections not already mandated, such as at SQG, CESQG,
Transporter, Non-notifier, and/or Other RCRA Handler facilities. In such an event, OECA
would clarify what trade-offs it may permit in the Core Program to help accommodate the
National Priority.
64 See Section III.B, above.
65 FY2010 NPMG, at 42. www.epa.gov/ocfo. See also Section III.B.3-4, above.
66 See Section III. C. 1(a), above.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
C. Issues and Emerging Areas of National Significance
Periodically, EPA may identify issues or emerging areas of national significance that warrant a
coordinated EPA response, but which may not rise to an OECA National Priority or for which it
would be untimely to await the next OECA priority selection cycle. Similar to National
Priorities, these issues and areas may be sector-based or problem- based, or may be limited to
one corporate entity operating in multiple states or Regions. Recent examples of these efforts
which involved RCRA Subtitle C, include EPA investigations of polyvinyl chloride facilities,
electronic waste recyclers, and power plants. EPA attempts to coordinate these activities with
the states but sometimes these types of investigations will impact the Core Program by directing
federal inspection resources to areas outside the LQG and TSDF universe.
D. Federal Facility Enforcement Priority Areas
Throughout FY 2014 and FY 2015, EPA's federal facilities enforcement and compliance
program, in conjunction with the regions, has reassessed its national Program Agenda, its
traditional Integrated Strategies and other program components in an effort to "right-size" its
activities in the face of recent resource reductions. In FY 2015, FFEO sought to more closely
align its various federal facility sector activities, including its Annual Commitment System
(ACS) obligations, with EPA's National Enforcement Initiatives (NEIs) and other Agency-wide
and regional environmental enforcement priorities whenever possible. As FFEO completes its
"right-sizing" efforts, the EPA, in addition to increased emphasis on the NEIs and other Agency
and regional environmental enforcement priorities, will continue its focus on identified federal
facility enforcement priority areas as set forth in the NPMG and FFEO guidance currently in
effect.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
V. Program Infrastructure:
Planning, Inspections, Oversight, Reporting
A. Planning
1. Federal - State - Tribal Relations
Federal compliance monitoring activities should complement and provide appropriate oversight
of state activities. Regions and states should work together to determine the appropriate mix of
federal and state compliance monitoring activities to meet Subtitle C Core Program expectations
consistent with ACS obligations,67 including compliance monitoring activities in Indian country
(for which the Region generally is responsible68). In making such determinations, each Region
should examine the compliance status of facilities within the Region. Figure 4 summarizes the
respective program objectives and requirements for Regional and state compliance monitoring
programs.
Federal compliance monitoring also should include adequate coverage in Indian country. Since
RCRA does not provide for Tribes to obtain RCRA Subtitle C authorization, EPA has a direct
implementation role in Indian country. The Region should provide a federal presence in Indian
country comparable to the level of coverage provided outside of Indian country by the Region
and state together. This helps ensure that the level of protection in Indian country is no less
robust than elsewhere in the state. Adequate coverage in Indian country means, at a minimum,
annually inspecting each tribally-operated TSDF (RCRA03),69 and at least 20 percent of the
LQGs in Indian country in each state (RCRA02).70 Furthermore, federal compliance monitoring
should complement tribal environmental programs implemented under tribal laws.71
67 See Section III, above.
68 States generally are not authorized to conduct RCRA compliance monitoring activities in Indian country. See
Section II.C.2, above, and citations therein.
69 See Sections III.B, above. The Region should inspect a TSDF that is located in Indian country - but not operated
by a Tribe - every two years (RCRA01).
711 See Section IILC.l(a), above. This level of coverage is equivalent to the OECA requirement for a state to
annually inspect at least 20 percent of its LQG universe (RCRA02.S).
71 Tribes may develop hazardous waste management programs under tribal law, distinct from the federal RCRA
program. A Tribe's hazardous waste program can include compliance monitoring and enforcement activities.
Regions should, therefore, consult with Tribes to identify ongoing, new and emerging issues that may warrant the
attention of the federal RCRA program.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
Fig. 4. Regional and State Core Program Compliance Monitoring Objectives & Goals/Measures'
Regions
States
Program
Objectives
- Federal presence among regulated universe
- Determine facility compliance
- State program oversight & capacity-building
- Leadership/support to states on complex issues
- Compliance monitoring in Indian country
- Primary responsibility for coverage of regulated universe
- Determine facility compliance
- Alert EPA to regulatory implementation issues
Annual
Goals /
Measures
(ACS)
- Ensure inspection of each federal TSDF by EPA or
State (No ACS Code)
- Inspect >2 non-government TSDFs per state
(RCRA01)2'
- Inspect >6 LQGs per state (RCRA02)2/
- Inspect each state/local/tribal government TSDF
(RCRA03)
- Inspect >50 % of non-government TSDF universe
(RCRAOl.s)
- Inspect >20 % of LQG universe3' ( RCRA02.S)
" See also discussion in Section II.C.2.
2/ OECA may approve a deviation from this commitment. See Sections III.B.2(c)(TSDFs), and III.C.l(a)(LQGs), above.
3/ Unless using approved Alternative Plan. See Section III. 1 .C(c).
2. Inspection Priorities
In light of continuing concerns regarding threats to human health and the environment posed by
improper management of hazardous waste, Regions and states should focus compliance
monitoring efforts on facilities that pose the greatest risk to human health or the environment,
particularly:
OECA National Priorities.72
Never-inspected LQGs (Section III.C. 1(a), above, also discusses LQG inspection priorities.)
Non-notifier facilities believed to generate hazardous waste in quantities that would require
notification.
Persons that generate, transport, treat, store, or dispose of significant quantities of hazardous
waste, particularly those in proximity to population centers, areas with environmental justice
concerns, or environmentally sensitive areas.
Repeat violators.
Facilities with complex operations or processes that increase the likelihood of missing waste
streams or making improper exemption determinations.
Facilities that are the subject of citizen complaints. (Regions and states should perform an
appropriate level of follow-up to citizen complaints. Regions/states should determine
whether such follow-up necessitates an on-site inspection or an alternative action based upon
the circumstances, such as the nature of the complaint, or the Region's knowledge about past
violations or risks associated with the facility.)
Regions and states, however, should address all identified non-compliance with RCRA Subtitle
C, in accordance with applicable policies. Regions are expected to capture and report all
compliance monitoring outcomes, and states are encouraged to do so as well.
72 See Section IV.B, above.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
B. Inspections
1. Compliance Evaluation Inspections
There are many types of RCRA inspections, the applicability of which varies based upon the
facility status; and the intended purpose, focus, scope, and anticipated use of the inspection
results. Appendix D identifies the various types of inspections defined in RCRAInfo. Consistent with
EPA policy, the CEI is the primary mechanism for monitoring compliance with Subtitle C
requirements, and is the standard for inspections of LQGs and operating TSDFs.73 When a
TSDF is no longer accepting waste, then an OAM or GME inspection may be appropriate as a
substitute for a CEI. Also, if a closed facility has a post-closure permit, then the inspection
should include determining compliance with the terms of that permit. Section III.B.3, above,
also discusses inspections at non-operating TSDFs that have not completed clean closure.
EPA policy also has established that a CEI is intended to be a comprehensive evaluation of the
compliance status of a facility under all applicable RCRA regulations and permits.74 Thus, upon
completion of a CEI, the Region or state should fully understand not only the plant's permit
compliance status, but also the breadth of the facility's operations related to hazardous waste, for
example:
What the plant manufactures, and how all major processes operate;
Whether all waste streams have been identified, including those generated during start-up,
shut-down, turnaround, and malfunction;
Whether proper hazardous waste determinations have been made for all waste streams
generated by those processes; and
Whether waste is being handled properly.
Regions and states should be prepared to conduct sampling in appropriate circumstances, such
as where a waste stream has been: (a) missed and, therefore, not characterized; (b) characterized,
but based only on process knowledge rather than sampling; or (c) sampled, but the sampling did
not represent all potential operating parameters and conditions (e.g., chemical and process
changes, start-up, shut-down, upset, malfunction).75
After the Region/state has become adequately familiar with a facility (a TSDF or LQG) that has
a good track record of compliance, then a Focused Compliance Inspection (FCI) or other less
73 See e.g., RCRA Inspection Manual (Rev., Nov. 1998), at 1-8,
http://www.epa.gov/compliance/resources/policies/civil/rcra/rcrarevinspman-rpt.pdf.
74 See e.g., Appendix D (RCRAInfo definition of CEI inspections). See also generally, RCRA Inspection Manual
(Rev., Nov. 1998), http://www.epa.gov/compliance/resources/policies/civil/rcra/rcrarevinspman-rpt.pdf.
75 As a tool in determining that the facility has made adequate hazardous waste determinations or handled waste
properly, the Region or state should collect, or require the facility to collect, samples of the waste in question and the
environmental media in which it is placed. To support enforcement actions, it is important to ensure that sampling
methodology follows appropriate EPA guidance or standard operating procedures for quality assurance and quality
control. Use of this tool should be evaluated during the pre-inspection file and background data review, so that the
inspector will have appropriate resources available during the inspection.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
extensive review may be the appropriate compliance evaluation tool.76 The Region/state would
acquire such familiarity after conducting a sufficient number of inspections that verify that all
waste streams have been identified and properly characterized, and that such waste is being
handled properly. Although state inspections need not strictly follow EPA's guidance and may
differ in form or be more stringent than EPA's protocol, the Agency views its inspection
guidance as the benchmark for the minimum qualitative aspects of a RCRA inspection. Section
V.C discusses oversight inspections, and the conditions under which it may be appropriate for a
Region to allow a state to conduct an FCI, rather than a CEI, at a facility with a good compliance
history.
OECA has reviewed various data entries and reports of RCRA inspections conducted by Regions
and states. This review indicates that some inspections may not have been conducted in
accordance with applicable inspection protocol, and/or may have been mischaracterized. For
instance, OECA found several instances reporting that two or three "CEIs" had been conducted
at a single plant within one year - and one state reported conducting 250 "CEIs" at a single
facility within a nine (9) month period. When a CEI is conducted, ordinarily a Region/state need
conduct only a single CEI at a facility within that year for purposes of RCRA requirements.77
Furthermore, for coverage purposes multiple inspections at the same facility count as only one
(1) inspection (RCRAOl/Ol.s for TSDF inspections; RCRA02/02.S for LQG inspections).78
Nonetheless, a state may have an appropriate reason for visiting a facility several times within a
year (although the number of visits should not be excessive). For example, because of the time
required to perform a thorough analysis of a facility or to have a regular field presence at a
facility, a state may spread out the visits necessary to complete a CEI over several months.
When such multiple visits over an extended period of time are appropriate, the first day of the
final inspection (known as Day Zero79) should be recorded as the date of the CEI - and the
previous visits (which may have occurred months prior) should be recorded as FCIs or another
type of RCRA inspection as appropriate for the activities conducted during those visits.
Appendix D defines the types of RCRA inspections recognized by RCRAInfo. Guidance on
RCRA inspections is available in the Revised RCRA Inspection Manual (Nov. 1998).80
76 The state may designate "hazardous waste determination" as the focus of such an FCI. Also, to ensure the state
receives credit for a Region-approved FCI performed instead of a CEI, the state may either: (a) when reporting the
FCI in RCRAInfo, note in the Comment field that the inspection was performed in lieu of a CEI per the Region's
approval, consistent with this CMS"; and/or (b) when reviewing its SRF data report, confirm that the report accurately
reflects (or correct the report to reflect) the state's agreement with the Region to perform the FCI in lieu of a CEI.
(The state may also take such an opportunity to ensure the SRF report reflects any Regional approval to use an
alternative facility universe, if applicable.)
77 Some states, however, have laws or policies that require more frequent inspections, or CEIs twice a year at
facilities that receive CERCLA wastes.
78 See Sections III.B and C, respectively, above.
79 See e.g., generally, Hazardous Waste Civil Enforcement Response Policy (2003), at Appendix H or
http://www.epa.gov/compliance/resources/policies/civil/rcra/finalerpl203.pdf.
80 http://www.epa.gov/compliance/resources/policies/civil/rcra/rcrarevinspman-rpt.pdf.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
2. "Exploratory" Inspections
EPA encourages the appropriate use of "exploratory" inspections to identify potentially
significant non-compliance issues. For example, OECA investigated the extent to which
facilities with surface impoundments may be receiving hazardous waste in violation of Subtitle
C. OECA examined this issue because hazardous waste in unregulated surface impoundments
can cause significant harm to human health and a variety of environmental media, and anecdotal
evidence indicated widespread non-compliance with applicable regulations. This investigation
entailed a preliminary database screening to identify potential inspection targets, followed by on-
site inspections. 81 The inspections confirmed that a high percent of the targeted facilities are
using non-RCRA-permitted surface impoundments to handle Subtitle C hazardous waste.
3. Inspection of "Mixed Type" Facilities
For "mixed type" facilities (e.g., a facility that is a TSDF, Generator, and/or Transporter), a CEI
is deemed to be complete only when full inspections of all aspects of that facility have been
completed. Additionally, if a facility is a TSDF as well as a Generator and/or Transporter, then it
is counted as a TSDF for purposes of universe coverage.
C. Program Oversight
To ensure a level playing field and adequate oversight of state compliance monitoring activities,
Regions should use a variety of available mechanisms, including:
Implementation of the State Review Framework (SRF).82
The Watch List.83
Annual Commitment System grant reviews.
Oversight inspections, alone or in collaboration with state inspectors.
OECA uses the SRF as the primary tool for evaluating states' performance of compliance
monitoring programs. OECA also uses the activities and results reported to RCRAInfo and the
Integrated Compliance Information System (ICIS) to conduct Regional and state reviews.
Therefore, timely reporting to these databases is critical. In particular, since EPA seeks to
quickly address violations that pose the greatest risk to human health or the environment, the
81 OECA identified potential inspection targets by cross-referencing two EPA databases to locate TSDFs that had
NPDES permits that indicated discharges to apparent surface impoundments, but lacked Subtitle C permits for those
impoundments. This cross-referencing resulted in hundreds of potential targets. Thereafter, each Region selected
several facilities to inspect to verify the conclusions drawn from the database screening.
82 www.epa-otis.gov/otis/stateframework.html.
83 www.epa-otis.gov/watchlist.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
Agency will look at the:
Number of inspections, investigations, and citizen complaints.
Number of facilities identified as being in Significant Non-Compliance (SNC), and the
percent of the universe these facilities comprise.
Number, and percent of the universe, addressed and resolved in a timely and appropriate
manner.
Watch List.84
OECA also will consider the types of outcomes the state is obtaining from its compliance
assurance program if this information is available, e.g., whether, as a result of inspections and
enforcement, facilities decrease the amount of hazardous waste they generate or handle
improperly, and increase process and operational improvements by substituting non-hazardous
materials or other means.
Regions should use oversight inspections to both maintain a credible federal presence, and
provide appropriate program oversight. Therefore, for example, Regions are expected to
annually inspect at least two (2) non-government TSDFs (RCRA0185) and six (6) LQGs
(RCRA0286) in each state, unless OECA approves a deviation. The Region's role, however, is
not limited to oversight, since the Agency is authorized to inspect any facility, in any state (and
in Indian country), at any time.
There are two primary purposes for federal inspection commitments (beyond meeting any
requirements imposed by the statute). First, Regions should maintain a federal presence in the
Subtitle C Core Program, including full program implementation in Indian country.87 Oversight
inspections help serve this purpose.
Second, oversight inspections enable Regions to assess and support state compliance monitoring
programs. For instance, as discussed above,88 although CEIs are the primary mechanism for
evaluating compliance at LQGs and operating TSDFs, in the appropriate circumstance, a Region
may allow a state to perform a less extensive evaluation at a facility, such as an FCI. A Region
should exercise its discretion to allow less extensive inspections only where the Region has
confirmed that both: (a) the particular facility has a track-record of compliance; and (b) the
state's CEI compliance monitoring activities meet minimum qualitative standards set by EPA's
inspection guidance (although the form of the state's inspections may differ).
For example, the Region should not be the first to identify an obvious, longstanding compliance
problem (e.g., unpermitted surface impoundment) that the state should have, but had not,
identified in a previous CEI. If, through an oversight inspection done after a state CEI, the
Region finds such a previously unidentified compliance problem, then the Region should not
relax the inspection requirements for that facility. Rather, finding such omissions by the state's
84 FY2010 NPMG, at 45-46, www.epa.gov/ocfo.
85 See Section III.B.2(c), above.
86 See Section III. C. 1(a), above.
87 See Section V.A.I, above.
88 Section V.B.I, above.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
compliance monitoring program indicates that the Region should: (a) expect a CEI, rather than a
less rigorous inspection, at the facility; (b) work with the state to analyze the situation concerning
the facility and/or the state's inspection capabilities if there is a pattern; and (c) increase training
and support to the state program. Conversely, if the Region finds that the state's CEI did not
miss compliance problems that probably existed at the time of the state's CEI, then it may be
appropriate for the Region to allow the state to conduct an FCI (or other less extensive
evaluation) at the facility. Section V.B.I, above, discusses apparent anomolies in reporting
CEIs. Appendix E identifies OECA-recommended "best practices" for oversight inspections.
D. Reporting and Data Quality
OECA issues an annual Enforcement and Compliance Reporting Plan each fiscal year that
provides Core Program and National Priority reporting expectations, measures pursuant to the
Government Performance Results Act (GPRA), schedules, and other information.89 That
memorandum is OECA's comprehensive guide to annual reporting obligations for compliance
monitoring (and other compliance tools) for RCRA and other media programs.
Reporting Reminders
Use the "Comment" field of BAS to report if:
A state:
o Uses a data source other than the Biennial Report to determine its LQG
universe. Record the alternative universe number and the data source.90
o Uses an Alternative Plan.91
A Region deviates from the expectation to inspect at least two (2) non-
government TSDFs (RCRA0192), or six (6) LQGs (RCRA0293) annually.
Properly characterize and record CEIs and other types of inspections in RCRAInfo.94
Regions and states are expected to report their number of inspections (outputs). Regions are
required to capture inspection outcomes using Inspection Conclusion Data Sheets (ICDS).
Regions also should encourage states to report their inspection outcomes in a data system (e.g.,
in the Comment field of RCRAInfo), or in an alternative report agreed upon by the Region and
state. Outcome reporting is required of states operating under approved Alternative Plans.95
Also, SRF reviews will consider state outcomes if that information is available.96
89 This CMS does not modify or replace any OECA data collection or reporting policies, guidance, or obligations.
90 See Section III.C. 1(a), above.
91 See Section III.C. 1(c), above.
92 See Section III.B.2(c), above.
93 See Section III.C. 1(a), above.
94 See Section V.B.I, above.
95 See Section III.C. 1(c), above, citing Guidance for State Alternative Plans (Flexibility Plans) for RCRA LQG
Compliance Monitoring, at Appendix H.
96 See Section V.C, above.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
Examples of reporting inspection outcomes include:
Recording the approximate quantities of waste confirmed as being handled in accordance
with applicable regulations.
Updating the Generator status of regulated facilities, as necessary (e.g., from SQG to LQG)
in RCRAInfo.
Reporting the quantities of waste not being handled properly at the time of inspection but,
thereafter, being handled properly because of complying actions taken by the facility as a
result of compliance assistance, enforcement (formal or informal), or other means.
Outcome reports should be brief and use data from the Biennial Report (or the agreed-upon
alternative data source). Examples of simple outcome reports are provided in Figure 5, below,
and in OECA's guidance for Alternative Plans.97 Appendix G also discusses how to calculate
outcome measures.
Fig. 5. Hypothetical State A's Hazardous Waste Outcome Report
State Inspection and Findings:
State A inspected four LQGs, which the latest BR reported as generating 707,692 tons of hazardous
waste. The state found that:
At three facilities, which the BR says generated 673,518 tons of waste, there were no significant
violations.
At one facility, which the BR says generated 34,174 tons of waste:
- three waste streams (which generated approx. 50 additional tons of unreported waste) were not
identified or handled properly;
- eight drums of reported waste (approx. 1.75 tons) were not properly marked and were at risk of
improper handling; and
- there were no additional violations concerning the remaining 34,172 tons of reported waste.
Outcome Report:
Of four LQGs accounting for 707,692 tons of reported waste, State A found no violations for
operations that account for approximately 707,690 tons. However, as a result of the State's actions:
One and three-quarter (1.75) tons of reported waste that were not being handled properly at
the time of inspection and, therefore, were at risk of improper treatment or disposal will now be
handled properly; and
Waste streams accounting for approx. 50 tons of previously unreported waste that had not
been identified are now identified and will be handled properly.
Data quality, accuracy and completeness are elements of the SRF. Therefore, Regions should
ensure that states enter all appropriate data into the state's respective data system in a timely
fashion, so that it can be uploaded to RCRAInfo, the national system of record.
97 Guidance for State Alternative Plans (Flexibility Plans) for RCRA LQG Compliance Monitoring, at Appendix H
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
VI. "Best Practices" for Subtitle C
Compliance Monitoring
A. Search for Significant Environmental Harm
EPA encourages Regions and states to strive to deploy their resources most effectively to locate
the most significant environmental risks. Inasmuch as RCRA's purview and EPA's compliance
determinations stem from the identification of hazardous waste, the seminal objective of
compliance monitoring for a RCRA Subtitle C operation should be to acquire sufficient
knowledge about all of the facility's activities associated with hazardous waste. Hence, as
discussed above,98 CEIs are required for LQGs and operating TSDFs, to provide a complete
picture of what the plant manufactures, how its processes operate, whether proper hazardous
waste determinations have been made for all waste streams, and whether hazardous waste is
being handled properly. Once this level of knowledge has been attained, as long as the facility
has a good compliance track record, future inspections can focus more on any changes to or
affecting the waste streams, such as new process units, operating parameters, or materials.
Sections V.B.I and C, above, discuss the qualitative standards for CEIs, and when it may be
appropriate to perform a limited inspection (e.g., FCI) in lieu of a CEI.
Furthermore, although the RCRA Core Program aims to address every potential violation, OECA
encourages Regions and states to develop strategies aimed at identifying the most significant
risks with the smallest reasonable investment of resources. Thus, for example, it generally is
more appropriate to focus on finding and addressing substantial potential risks, such as never-
inspected LQGs or large-volume unregulated hazardous waste streams, than to focus significant
attention on de minimis compliance errors and omissions.
Through these and other Next Generation Compliance efforts, EPA and states will design the
compliance programs of the future and work to improve compliance even in a time of declining
resources. EPA, states, tribes, and other partner agencies are beginning to invest in this
transformation together-and anticipate realizing both efficiencies and cost savings (particularly
through better targeting of limited resources) while protecting human health and the
environment.
B. RCRA Inspection Reports
Thorough and clear inspection reports provide vital support to potential enforcement actions, and
make it easier to measure compliance monitoring outcomes. OECA has analyzed over 120
Subtitle C inspection reports. Based on this review, in 2007 OECA issued a report entitled
98 See e.g.. Section V.B.I, above.
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Resource Conservation and Recovery Act (RCRA) Compliance Monitoring Strategy
Review of RCRA Inspection Report Practices," which identifies common problems inspectors
encounter in developing effective inspection reports, and recommends "best practices" for
formulating such reports. OECA encourages Regions and states to adopt these best practices.
OECA's report also includes details of its findings, excerpts from exemplary inspection reports,
a Model RCRA Inspection Report Outline, and other information.
99 Appendix F.
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