IMPLEMENTING THE RCRA/CAA
AIR EMISSION CONTROLS
COMPLIANCE
EXEMPTION/ELECTION
PROVISIONS THROUGH RCRA
PERMITS
Office of Resource Conservation and
Recovery
Office of Land and Emergency Management
U.S. Environmental Protection Agency
October 2019
EPA530-R-19-006
SERA

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DISCLAIMER
This document describes existing statutory and regulatory requirements and current U.S. Environmental
Protection Agency's policy as of the date of issuance. The information in this document does not
represent final Agency action and cannot be relied upon to create any rights enforceable by any party.
NOTICE
This document was developed by the U.S. Environmental Protection Agency's Office of Resource
Conservation and Recovery and the Agency's RCRA Air Emission Standards Workgroup. EPA wishes to
acknowledge and thank the following EPA and state representatives for providing input into this
document:
Paula Bansch, Indiana DEM
Dave Bartus, EPA Region 10
Jim Blough, EPA Region 5
Grecia Castro, EPA/OAR/OAQPS
Patrick Chang, EPA/OGC
Lilybeth Colon, EPA/OLEM
Daniel Dailey, Michigan DEQ
Ted Dragovich, Illinois EPA
George Faison, EPA/OLEM
Sasha Gerhard, EPA/OLEM
Denise Housley, EPA Region 4
Sharon Lin, EPA Region 9
Thomas Martin, EPA Region 5
Martin Matlin, EPA Region 3
Rachel Mirro, EPA Region 3
Mi mi Newton, EPA Region 9
David Ogulei, EPA Region 5
David Panofsky, Wisconsin DNR
Harry Shah, EPA Region 6
Lon Stewart, Idaho DEQ
Laura Welles, EPA/OECA
Gary Westefer, EPA Region 5
Mike Zabaneh, EPA Region 9
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Table of Contents
Table of Contents	3
I.	Introduction and Purpose	5
II.	RCRA Air Emission Standards and their Relationship with CAA Requirements	6
III.	Summary of Relevant Regulations	7
A.	Subpart AA - Process Vents Associated with Certain Processes for Managing Hazardous Waste ..7
B.	Subpart BB - Equipment Leaks	8
C.	Subpart CC - Tanks, Surface Impoundments, and Containers	8
D.	Additional Requirements	9
IV.	Description of the RCRA/CAA Compliance Exemption/Election Provisions	9
A.	40 CFR Part 264/265, Subparts AA and CC Air Emission Controls Exemptions	10
B.	40 CFR Part 264/265, Subpart BB Compliance Election	10
V.	General Implementation Requirements	11
A.	Enforceable CAA Requirement	11
B.	Written Certification/Election Statement and Documentation of Compliance	13
VI.	Applying Air Emission Controls Exemption/Election Provisions	13
A.	Review Application/Documentation	14
B.	Draft the Permit	16
C.	Process and Issue the Permit, Renewal Permit, or Modification	16
VII.	Example Language Documenting Application of Exemption/Election in RCRA Permits	17
SECTION A: AIR EMISSION STANDARDS FOR PROCESS VENTS (40 CFR PART 264
SUBPART AA)	17
Statement of Basis/Fact Sheet	17
Permit Conditions	18
SECTION B: AIR EMISSION STANDARDS FOR EQUIPMENT LEAKS (40 CFR PART 264
SUBPART BB)	19
Statement of Basis/Fact Sheet	19
Permit Conditions	20
SECTION C: AIR EMISSION STANDARDS FOR TANKS, SURFACE IMPOUNDMENTS AND
CONTAINERS (40 CI R PART 264 SUBPART CC)	22
Statement of Basis/Fact Sheet	22
Permit Conditions	22
SECTION D: REQUIREMENT OF PIPING AND INSTRUMENT DIAGRAM	24
Appendix A: Permit Writers' Checklists for RCRA/CAA Air Emission Controls Compliance
Exemption/Election Provisions	26
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Subpart AA Checklist - Process Vents	27
Subpart BB Checklist - Equipment Leaks	28
Subpart CC Checklist - Tanks, Surface Impoundments, and Containers	29
Appendix B: Definitions	30
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Implementing the RCRA/CAA Air Emission Controls
Compliance Exemption/Election Provisions Through
RCRA Permits
I. Introduction and Purpose
Control of organic air emissions is important to reduce adverse impacts on human health and the
environment. Congress thus directed the U.S. Environmental protection Agency (EPA or Agency) to
develop standards to address organic air emissions under the Resource Conservation and Recovery Act
(RCRA), as well as organic and other air emissions under the Clean Air Act (CAA). To reduce any
potential regulatory overlap, Congress directed EPA to minimize, if not eliminate, any duplication to the
extent allowed under these different legislative acts. 1 Therefore, EPA intends both sets of standards to
work together to create a comprehensive air program for addressing organic air emissions from all waste
and related material recovery operations.
This document provides information and model	WHY REGLJLATE ORGANIC AIR EMISSIONS ?
permit language for RCRA permit writers
implementing the regulatory compliance
exemption/election provisions found in 40 CFR
part 264/265, subpart AA (applicable to certain
process vents), subpart BB (applicable to
equipment leaks), and subpart CC (applicable
to certain tanks, containers, surface
impoundments).2'3 Although it is mostly
intended for regional and state permit writers, it
also assists regulated entities in understanding the compliance exemption/election provisions and what
should be included in a permit application.
Sections II and III of this document address the relationship between the RCRA air emission standards
and CAA requirements, and provide a general regulatory overview. Next, Sections IV through VI
present a description of the RCRA air compliance exemption/election provisions, general
implementation requirements, and recommended process for applying these provisions. Lastly, Section
VII provides example permit language applying the exemption/election provisions in RCRA permits,
Appendix A provides a checklist for reviewing a facility's request for a compliance exemption or
election, and Appendix B provides some definitions.
Many volatile organic compounds may be
classified as air toxics, which are responsible for
adverse human health effects such as cancer. In
addition, volatile organic compounds are involved
in the formation of ozone, which has been shown
to have harmful effects on human health and
adversely affeci agricultural production
1	As applicable, Section 112(n)(7) of CAA directs EPA to ensure to the maximum extent practicable and consistent with CAA
112, consistency between the requirements of CAA section 112 and RCRA Subtitle C requirements for the source category.
Similarly, section 1006(b) of RCRA requires that RCRA provisions avoid duplication with CAA standards to the maximum
extent practicable.
2	In this document, process vents (subject to 40 CFR parts 264/265, subpart AA), equipment (subject to subpart BB), tanks,
surface impoundments, and/or containers (subject to subpart CC) are referred to as "the subject AA, BB, or CC units."
3	Certain miscellaneous units may also be subject to subparts AA, BB, and CC, see 40 CFR 264.601.
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II. RCRA Air Emission Standards and their Relationship with
CAA Requirements4
In 1990, amendments to section 112 of CAA changed the way EPA regulated hazardous air pollutants -
to be established by source categories rather than set by pollutant. The source categories identified per
CAA resulted in potential for RCRA/CAA overlap because many of the industrial sectors identified may
manage hazardous wastes (e.g., treatment, storage, and disposal facilities (TSDFs)). Under RCRA
authority, EPA established national standards to control volatile organic air emissions from certain
Large Quantity Generators (LQGs),5 and TSDFs that generate or manage hazardous wastes that contain
volatile organic chemicals (40 CFR parts 264/265, subparts AA, BB, CC). 6 Similarly, under CAA
authority, EPA promulgated national emission standards for hazardous air pollutants (NESHAP) that are
emitted from off-site waste and recovery operations (40 CFR part 63, subpart DD), benzene waste
operations (40 CFR part 61, subpart FF) and synthetic organic chemicals manufacturing industry sources
(40 CFR part 63, subparts F, G, H and I), as well as standards of performance for specific categories of
stationary sources, which are referred to as new source performance standards (NSPS, 40 CFR part 60).
Consequently, facilities at which hazardous waste are managed may be subject to both, NESHAP and
the RCRA air standards under 40 CFR parts 264 and 265. But because the standards are unit-specific, at
some of these facilities, specific waste management or recovery units/equipment used to manage
hazardous waste may be subject to either the NESHAP and the RCRA air emission control
requirements, but not both, while in certain situations, some other waste management or recovery
units/equipment may be subject to air emission control requirements under both set of rules. After
careful analysis, EPA determined that under some circumstances compliance with CAA requirements
(which are based on a technology-based standard) would be considered as protective as compliance
under the RCRA air standards by adequately controlling air emissions.7 EPA considers it unnecessary
for owners and operators of waste management or recovery units/equipment subject to air standards
under both sets of rules to perform duplicative testing and monitoring, keep duplicative sets of records,
or perform other duplicative actions. Thus, EPA amended the RCRA air emission regulations (Subpart
CC in 1996, and Subparts AA and BB in 1997) to provide a mechanism to address potential regulatory
overlap with CAA requirements, specifically 40 CFR parts 60, 61, and 63. Consequently, where facility
air emission units or equipment are subject to both CAA and RCRA requirements, an owner/operator
may take specified steps to comply with CAA requirements in place of the RCRA requirements under
certain conditions.
4	For more information about the interrelationship of the National Emission Standards for Hazardous Air Pollutants from Off-
Site Waste and Recovery Operations with the RCRA air emission standards, see Implementation Guidance for Off-Site Waste
and Recovery Operations (OSWRO) NESHAP - Interrelationships with Other Related EPA Air Rules. EPA-305-00-006,
September 2000.
5	The RCRA air emission standards apply to both TSDFs and large quantity hazardous waste generator facilities that have on-
site tanks and containers. LQGs can accumulate hazardous waste for up to 90 days without a RCRA permit, provided certain
conditions are met, including compliance with the RCRA air emission standards in 40 CFR part 264/265 subparts AA, BB,
and CC applicable to tanks and containers (40 CFR 262.17(a)(l)(i) and (a)(2)).
6	The solvent re manufacturing exclusion found at 40 CFR 261.4(a)(27) requires solvent re manufacturers operating under the
exclusion to either operate their equipment under CAA regulations per 40 CFR parts 60, 61 or 63, or comply with appropriate
standards in 40 CFR part 261 subparts AA, BB, and CC, which are equivalent to the technical standards found in 40 CFR
part 264/265 subparts AA, BB, CC.
7	61 Fed. Reg. 59938-9 (1996)
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In addition, EPA also developed integrated and consistent sets of standards that work together to create a
comprehensive air program for addressing organic air emissions from all waste and related material
recovery operations. For instance, EPA included applicability provisions in the off-site waste and
recovery operationsNESHAP (40 CFR 63.680) to control the air emissions from facilities managing
hazardous waste but which were exempted from the RCRA air standards. An example of consistency is
the Agency's coordination of testing, recordkeeping, reporting, and other implementation requirements
under both sets of standards.8
111.
Summary of Relevant Regulations
This document focuses on the RCRA air emission standards established under three subparts in both 40
CFR parts 264 (permitted facilities) and 265 (interim status facilities). Subpart AA controls air
emissions from certain process vents,
Subpart BB controls air emissions from	CRITERIA UNDER RCRA AND CAA
specified equipment leaks, while Subpart
CC controls air emissions from certain
tanks, containers, and surface
impoundments. Air emissions from
miscellaneous units may be subject to
Subparts AA, BB and CC as necessary to
protect human health and the environment,
40 CFR 264.601. These air emission
standards are briefly summarized below.
A. Subpart AA - Process Vents
Associated with Certain
Processes for Managing
Hazardous Waste
Section 3004(n) of RCRA directs EPA to establish
standards for the monitoring and control of emissions from
hazardous waste facilities, as necessary to protect human
health and the environment (i.e.. risk-based standard).
Section 111 of CAA directs EPA to develop new source
performance standards that are generally technology-based
(i.e.. new- source performance standards).
Similarly-, section 112 of CAA directs EPA to regulate the
emissions of hazardous air pollutants from a published list
of stationary source categories by establishing national
emission standards for major sources of listed hazardous
air pollutants (i.e.. NESHAP) primari.lv based on the
application of Maximum Achievable Control Technology
(MACT) (i.e.. generally technology-based).
Subpart AA applies to process vents
associated with distillation, fractionation,
thin-film evaporation, solvent extraction,
or air/steam stripping operations that
manage hazardous wastes with organic
concentrations of at least 10 parts per
million by weight (ppmw), if these
operations are conducted at the following
types of units: (1) units subject to the
permitting requirements of 40 CFR part 270 (i.e., permitted or interim-status), (2) hazardous waste
recycling units that are located at hazardous waste management facilities that store hazardous waste
prior to recycling or are otherwise subject to the permitting requirements of Part 270 (i.e., the facility has
a RCRA permit or is in interim status), and (3) "90-day" LQG accumulation tanks or container units.
Hazardous waste recycling units at facilities that do not store hazardous waste prior to recycling and are
Section 112 of CAA also requires EPA to assess the risk to
public health remaining after the implementation of
NESHAP. If the "residual risk" for a source category does
not protect public health with "an ample margin of safety."
EPA must promulgate health-based standards for that
source category to further reduce hazardous air pollutant
(HAP) emissions.
8 59 Fed. Reg. 62906-7 (1994).
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not otherwise subject to the permitting requirements of Part 270 are not subject to the standards. The
owner/operator must reduce total organic emissions released from all affected process vents either to a
level below 3 pounds/hour and 3.1 tons/year, or by use of a control device that reduces total organic
emissions by 95 percent by weight. Additionally, units exempt under §§264/265.1 are not subject to the
Subpart AA air emission control requirements.
B.	Subpart BB - Equipment Leaks
The emission control requirements of Subpart BB apply to owners/operators of facilities that handle
hazardous wastes with an organic concentration of at least 10 percent by weight and that are contained
in or in contact with equipment (e.g., valves, pumps, pressure relief devices, connectors) for 300 or more
hours per calendar year, if they are managed at the following types of units: (1) units subject to the
permitting requirements of 40 CFR part 270 (i.e., permitted or interim-status), (2) hazardous waste
recycling units that are located at hazardous waste management facilities that store hazardous waste
prior to recycling or are otherwise subject to the permitting requirements of Part 270 (i.e., the facility has
a RCRA permit or is in interim status), (3) "90-day" LQG accumulation tanks or container units.
Hazardous waste recycling units at facilities that do not store hazardous waste prior to recycling and are
not otherwise subject to the permitting requirements of Part 270 are not subject to the standards.
Additionally, units exempt under §§264/265.1 are not subject to the Subpart BB air emission control
requirements.
The requirements of this regulation are dependent on the type of equipment in use (e.g., pressure relief
devices in gas/vapor service, sampling connection systems, compressors), but can include, among other
things:
•	monitoring for and repairing leaking equipment (i.e., implementing a leak detection and repair
(LDAR) program),9 or
•	capturing the emissions in a closed-purge, closed-loop, closed vent system that routes the
emissions to a control device (e.g., vapor recovery device, combustion device, flare).
Each piece of equipment regulated under this subpart must be marked so it can be easily distinguished
from other pieces of equipment and monitored. 10
C.	Subpart CC - Tanks, Surface Impoundments, and Containers
Subpart CC requires owners/operators of facilities to control emissions of volatile organic hazardous
waste that is managed in tanks, containers, and surface impoundments if the waste has a volatile organic
concentration of at least 500 parts per million by weight (ppmw) at the point of generation unless an
exemption applies. Subpart CC also applies to LQGs accumulating waste in tanks and containers. Units
exempt under §§264/265.1 are not subj ect to these air emission control requirements. In addition,
various other units are specifically exempt from the air emissions control standards, including the
following: (1) a waste management unit into which hazardous waste was placed before December 6,
1996, as long as no hazardous waste is added to the units after December 6, 1996, (2) a container with a
capacity of less than or equal to 0.1 m3 (approximately 26 gallons), (3) a tank or surface impoundment in
9	For more information on LDAR, see the LDAR Best Practices Guide.
10	The requirements in 40 CFR 264.1064(b)(1), including assigning and recording an individual ID number to each piece of
equipment, as well as developing/maintaining a list of the equipment ID numbers with a plot diagram illustrating the location
of the equipment, is an effective means to easily distinguish regulated equipment from other pieces of equipment.
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which the owner or operator has stopped adding hazardous waste and the owner or operator has begun
implementing or completed closure pursuant to an approved closure plan, (4) a waste management unit
used solely to manage hazardous waste generated under corrective action, CERCLA, or another federal
or state remediation authority, (5) a waste management unit used solely to manage radioactive mixed
waste in accordance with the Atomic Energy Act and Nuclear Waste Policy Act, (6) a hazardous waste
management unit operating with controls in compliance with a CAA standard under 40 CFR parts 60,
61, or 63, an (7) a tank with process vent, as defined in §264/265.1031. The specific control
requirements depend on factors such as the size of the unit and maximum organic vapor pressure of the
waste.
D. Additional Requirements
In addition to control requirements, Subparts AA, BB, and CC also include inspection and monitoring
requirements to ensure proper operation and maintenance. These requirements vary depending on type
of equipment, waste management unit, and air emission controls used. For example, Subpart BB
generally requires Method 21 using monitoring equipment such as Photo Ionization Detectors (PID) and
Flame Ionization Detectors (FID) to detect air emissions. Some tanks subject to Subpart CC may require
visual inspections while others may require Method 21. Recordkeeping and reporting requirements may
also be required to demonstrate compliance with the standards.
Subpart CC does not apply to recycling units because the emission mechanisms for hazardous waste
storage tanks differ significantly from the emission mechanism of the distillation-type unit used for
recycling and certain treatment operations (e.g. air strippers and thin- film evaporators) regulated under
subpart AA. Recycling units typically emit air pollutants through some type of process vent, and
consequently are controlled under the subpart AA process vent standards(61 FR59931, 59935;
November 25, 1996). Units storing hazardous waste before it is recycled are subject to all applicable
provisions of 40 CFR parts 264 and 265, including Subpart CC (40 CFR 261.6(c)(1)).
IV. Description of the RCRA/CAA Compliance
Exemption/Election Provisions11
Where CAA and RCRA requirements would both apply to the same unit(s) or equipment, the RCRA
regulations allow for a compliance exemption/election from the RCRA organic air standards, referred to
in this document as the "RCRA/CAA Air Emission Controls Compliance Exemption/Election
Provisions."
Specifically, for Subparts AA and CC, the RCRA air emission standards exempt all process vents
subject to AA12 and hazardous waste management units subject to CC13 that the facility owner or
operator certifies as being equipped with and operating air emission controls in accordance with an
11	More information about the RCRA/CAA air emission control compliance exemption/election provisions can be found in
EPA Region 4's guidance entitled CAA and RCRA Overlay Provisions in Subparts AA, BB, and CC of 40 CFR Parts 264 and
265, EPA Region 4 (Oct. 2000).
12	See 40 CFR 264.1030(e)/265.1030(d)
13	See 40 CFR 264/265.1080(b)(7)
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applicable CAA regulation codified under 40 CFR parts 60, 61, or 63.14 For Subpart BB, the facility
owner or operator may elect to determine compliance by documentation in accordance with an
applicable CAA regulation codified under 40 CFR parts 60, 61, or 63.15
In understanding the RCRA/CAA compliance exemption/election provisions, it is important to
distinguish that only Subparts AA and CC provide "exemptions" from RCRA air emission controls, and
that Subpart BB does not. Rather, Subpart BB allows the facility's owner/operator to elect to
demonstrate compliance with Subpart BB either via § 264/265.1064 or the facility's corresponding CAA
requirements, and thus this is referred to as a "compliance election" provision. A facility choosing
compliance election continues to be subject to Subpart BB, which means the RCRA program still issues
a permit (for TSDFs), and determines compliance by evaluating the CAA records that the owner or
operator elects to maintain under § 264/265.1064(m) (for both TSDFs and LQGs).
See below for a closer look at the regulations pertaining to the compliance election and the exemption
provisions.
A.	40 CFR Part 264/265, Subparts A A and CC Air Emission Controls Exemptions
The RCRA/CAA air emission controls exemption provisions apply to process vents subject to Subpart
AA and tanks, surface impoundments, and containers subject to Subpart CC, where the facility owner or
operator certifies that all of the process vents and units that would otherwise be subject to Subpart AA or
Subpart CC are "equipped with and operating air emission controls [emphasis added] in accordance
with the . . . requirements of an applicable Clean Air Act regulation codified under 40 CFR part 60, part
61, or part 63." Both exemption provisions state that relevant portions of Subpart AA and Subpart CC
"do not apply" if the owner or operator certifies compliance with the applicable CAA requirements. See
40 CFR 264.1030(e)/265.1030(d) for Subpart AA and 264/265.1080(b)(7) for Subpart CC.
Note, units exempt from Subpart CC under 40 CFR 264/265.1080(b)(7) must still comply with a limited
set of requirements of Subpart CC. For example, recordkeeping requirements to demonstrate compliance
in 264.1089(j)/265.1090(j) continue to apply pursuant to 40 CFR 264.1089(a). Also, there is an
exception to the section 264/265.1080(b)(7) exemption for tanks controlled through the use of an
enclosure rather than a cover.
B.	40 CFR Part 264/265, Subpart BB Compliance Election
The RCRA compliance election provision for equipment leaks from specific equipment (e.g., pumps,
valves, compressors) subject to Subpart BB allows owners or operators to "elect [emphasis added] to
determine compliance with this subpart [Subpart BB] either by documentation pursuant to
§ 264/265.1064 of this subpart, or by documentation of compliance with the regulations at 40 CFR part
60, part 61, or part 63 pursuant to the relevant provisions of the regulations at 40 [CFR] part 60, part 61
or part 63." See 40 CFR 264/265.1064(m). Unlike Subparts AA and CC above, under this election
14	40 CFR part 60 contains CAA standards for new sources (NSPS); part 61, CAA national emission standards for hazardous
air pollutants (NESHAP), and part 63, the national emission standards for hazardous air pollutants for source categories.
15	See 40 CFR 264/265.1064(m).
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provision, Subpart BB requirements are still enforceable under the RCRA permit, even if the facility
elects to show compliance with Subpart BB through CAA documentation requirements.
V. General Implementation Requirements
To obtain an exemption or election in a RCRA permit, the following criteria must be met:
A. Enforceable CAA Requirement
The RCRA permit fact sheet/administrative record should identify the enforceable CAA requirement
that applies to the unit and supports granting the exemption/compliance election. Similarly, the permit
fact sheet/administrative record should explain why there is no applicable or enforceable RCRA
requirement for a unit. For the Subparts AA and CC exemptions to apply, the subject units must be
"equipped with and operating air emission controls [emphasis added] in accordance with" CAA
requirements.16'17 For an exemption to apply, the regulations make clear that each process vent subject
to Subpart AA and unit subject to CC (tanks, surface impoundments, and containers) must be equipped
with and operating air emission controls in accordance with applicable requirements under 40 CFR parts
60, 61, or 63 of the CAA regulations. This also means that any units complying with CAA requirements
through "emission averaging," 18 or pursuant to a facility-wide emissions threshold determination, rather
than by using air emission control requirements applicable under those CAA regulations, does not
qualify for the exemptions listed at 40 CFR 264.1030(e), 265.1030(d), and 264/265.1080(b)(7). The
most common example of a regulation that allows emissions averaging is the boiler MACT (40 CFR
part 63, subpart DDDDD). Other such regulations include: 40 CFR part 63, subpart G-National
Emission Standards for Organic Hazardous Air Pollutants from the Synthetic Organic Chemical
Manufacturing Industry for Process Vents, Storage Vessels, Transfer Operations, and Wastewater; and
40 CFR part 63, subpart U-National Emission Standards for Hazardous Air Pollutant Emissions: Group I
Polymers and Resins. Similarly, facilities exempted from the requirements of 40 CFR parts 60, 61, or 63
of the CAA regulations do not qualify for the exemption or election from RCRA requirements.
Examples of these facilities include certain areas sources avoiding a major source NESHAP relevant to
16	40 CFR 264.1030(e), 265.1030(d), and 264/265.1080(b)(7).
17	The 1996 final regulation titled "Hazardous Waste Treatment, Storage, and Disposal Facilities and Hazardous Waste
Generators; Organic Air Emission Standards for Tanks, Surface Impoundments, and Containers" discussing the Subpart CC
provision, states: "The EPA has decided that the best way to eliminate any regulatory overlap is to amend the RCRA rules to
exempt units that are using air emission controls in accordance with the requirements of applicable Clean Air Act NESHAP
or NSPS regulations.. .It is important to note that this exemption [to Subpart CC] only applies to those units using organic air
emission controls... A unit that does not use the required air emission controls but is in compliance with a NESHAP through
an 'emission averaging' or 'bubbling' provision does not qualify for the exemption since EPA lacks assurance that emissions
from the unit are controlled to the extent necessary to protect human health and the environment. Similarly, if the Clean Air
Act standard for the particular unit is no control (for example, because the MACT floor for the source category is no control
and the Agency decided not to apply controls more stringent than the floor), the exemption from the RCRA standards would
not apply since the unit would not actually be controlled under provisions of the MACT standard." 61 Fed. Reg. 59932,
59938-9 (1996) (footnote omitted). Although RCRA section 1006(b) requires some accommodation with certain other
regulatory standards, including standards under CAA, it "does not permit the substantive standards of RCRA to be
compromised." Chemical Waste Management v. EPA, 976 F.2d 2, 23 (D.C. Cir 1992).
18	40 CFR 63.2 defines "emissions averaging" as "a way to comply with the emission limitations specified in a relevant
standard, whereby an affected source, if allowed under a subpart of this part, may create emission credits by reducing
emissions from specific points to a level below that required by the relevant standard, and those credits are used to offset
emissions from points that are not controlled to the level required by the relevant standard." (The term "bubbling" was used
interchangeably with emissions averaging in the past but is now in disuse.)
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the RCRA emissions unit by complying with a facility-wide potential to emit limit for HAP/HAPs, also,
low emitting facilities exempted from the requirements of 40 CFR 63.682 through 63.699 under the
facility-wide exemption provision in 40 CFR 63.680(d), as well as those subject to the exemptions found
in 40 CFR 60.480(d) and 60.660(c).
Facilities handling hazardous waste may have a Title V operating permit. This type of permit is intended
to incorporate all CAA applicable requirements, including NSPSs and NESHAPs, and specifies the
origin of and authority for each term, condition, or requirement, including reference to the underlying
federal regulations (see 40 CFR 70.6(a)(l)(i)). Infrequently, some state Title V permits may only
reference the state regulation in the delegated state program from which the applicable federal
requirement may not be readily discernible. In this case, the RCRA permit writer should confirm the
corresponding federal CAA provision supporting the exemption/compliance election. Generally, this
information is included in the Title V Permit's Statement of Basis. EPA encourages RCRA and CAA
permit writers to work together to assure alignment of permit conditions in both the RCRA and Title V
permits.
Note that a Title V permit may continue to cover a facility beyond its specified expiration date - i.e., no
longer than five years from the permit effective date. Unlike a construction permit (sometimes called a
permit-to-install or a Title 1 permit), a Title V operating permit must be timely renewed or revised, as
necessary, according to regulatory deadlines. In the case of renewals, if the applicant submits a timely
and complete renewal application before the existing permit expires, and the permitting authority has not
yet issued a renewed permit, the permit continues to cover the source beyond the expiration date. If a
Title V permit is revoked or allowed to expire, because the source no longer has a need for it, any
monitoring, recordkeeping and reporting terms and conditions that were established in the Title V permit
independently of an applicable requirement no longer apply. However, any applicable NSPS, NESHAP,
or construction permit requirements continue to apply. Permit writers should be aware that state, local,
or tribal permitting authorities implement CAA requirements applicable to stationary sources through
conditions in "operating"19 and/or "construction" permits, but that CAA regulatory requirements may
apply directly to emissions units, absent a permit, by virtue of the CAA and the implementing
regulations themselves. 20 If relying on a CAA requirement applicable only to major sources, which is
included in a Title V permit, for purposes of the compliance exemption/election, the permit writer and
applicant should discuss the need for a reporting condition when circumstances have changed (e.g.,
facility is no longer subject to the major source requirement) since the RCRA permit would need
updating.
Generally, a Title V operating permit for the facility would incorporate all applicable CAA requirements
and include relevant information as part of the permit record. Occasionally, a facility may not yet be
covered by a permit or the permit may not be current. However, the absence of an operating or
19	A less common type of federally-enforceable operating permit for TSDFs, which states might use to establish CAA
requirements, is called a Federally Enforceable State Operating Permit (FESOP). A FESOP is used to limit a facility's
potential emissions to levels that ensure the facility is not subject to major source requirement(s) under a NESHAP or does
not require a Title V or CAA Prevention of Significant Deterioration (PSD) permit. The expiration date for a FESOP varies
by permitting authority.
20	States can implement 40 CFR parts 60, 61, or 63 of the CAA regulations under state rules approved by the EPA, which
may allow for implementation through preconstruction programs, and operating permits programs.
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construction permit or a permit condition does not necessarily preclude application of a RCRA/CAA air
emission control exemption or compliance election, provided the relevant CAA provision applies to the
source independent of its inclusion in a permit.21
B. Written Certification/Election Statement and Documentation of
Compliance
For the Subpart AA exemption, the regulations in 40 CFR 264.1030(e)/265.1030(d) require the facility
owner or operator to certify the subject unit is equipped with and operating air emission controls in
compliance with CAA requirements (see paragraph (IV)(A) above). Once the Subparts AA exemption is
applied, the facility must ensure that documentation of compliance under the regulations at 40 CFR parts
60, 61, or 63 is kept with or made readily available with the facility operating record.
For the Subpart BB election provision, under 40 CFR 264/265.1064(m), the owner or operator shall
elect to determine compliance either by documentation with 40 CFR 264.1064 or by documentation of
compliance with 40 CFR parts 60, 61, or part 63.
For the Subpart CC exemption, the regulations in 40 CFR 264.1080(b)(7) and 1089(j) require the facility
owner and operator to (1) certify that the waste management unit is equipped with and operating air
emission controls in compliance with CAA requirements, and (2) record and maintain the certification
as well as identification of the specific CAA requirements with which the waste management unit is in
compliance. 40 CFR 264.1089(a) requires this information to be maintained in the operating record for
as long as the waste management unit is not using air emission controls specified in 40 CFR 264.1084
through 264.1087.
VI. Applying Air Emission Controls Exemption/Election Provisions
The owner or operator may request to employ the air emission exemption/election provisions upon
issuance of a RCRA permit; upon reissuance (or renewal) of a RCRA permit; or via modification of an
existing RCRA permit. In each of these situations, the application review and implementation process
will be the same.
21 A facility that is subject to a newly promulgated NESHAP or NSPS must comply with that rule by the compliance date in
those regulations regardless of whether it has an operating or construction permit that includes such requirement and
regardless of whether the permit has been updated to include the requirement for permitted facilities. For example, in the case
of facilities that become newly subject to Title V as a result of requirements issued in those regulations (e.g., NESHAP
Subpart EEE for hazardous waste combustors), it can still take years before the Title V permit is issued. Additionally,
although Title V permits (once issued) have "permit shields" that "shield" the source from allegations of noncompliance with
the regulations if it is in compliance with the permit, the permit shield does not extend to requirements that have not
specifically been identified in the permit (such as any requirements omitted).
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A. Review Application/Documentation
40 CFR 270.13 through 270.27 sets forth the required contents of the RCRA permit application.22 For
the air emission controls exemption/election provisions, the permit application must identify what CAA
requirements apply to what units at the facility, the units' associated emission control equipment or
program and operation, and information relating to the monitoring, testing and compliance status of the
control equipment or program.23
40 CFR 270.10(c) states that the Regional Administrator or State Director shall not issue a permit before
receiving a "complete application [emphasis added]. " Further, an application is not complete until the
Regional Administrator or State Director receives "an application form and any supplemental
information which are completed to his satisfaction. " Id. See also 40 CFR 270.42(b)(iv), (c)(iv)
(detailing required submissions for permit modifications). Thus, EPA and the states have ample
authority under the existing regulations to require all information necessary to determine whether a
compliance exemption or election can be documented in the permit.
Per these regulations, a certain minimum set of information is needed to document an
exemption/election. In other words, if any of this information is missing, the permit writer may be
unable to apply the exemption/election and thus RCRA air emissions standards would continue to apply
to the units.
A summary of the minimum information needed to apply RCRA air emission controls compliance
exemption/election is listed below.
• For Subparts AA and CC:
22	Some states have put together checklists listing subject matter and information requirements that need to be addressed for
the Part B permit application to be "complete." For example, Illinois EPA's "RCRA Part B Hazardous Waste Permit
Application Completeness and Technical Evaluation Checklist" is available online and upon request (page 45 addresses
"Exemption from Part CC"). EPA recommends that such checklists address both the Subparts AA/CC compliance exemption
and the Subpart BB compliance election.
23	The owner or operator of the facility is required to provide all the documentation referenced in the text above in its permit
application. See 40 CFR 270.13, 14, 15, 16, 17, 24, 25, and 27. Under 40 CFR 270.13(k), the contents of the Part A permit
application shall include a listing of all permits or construction approvals received under other programs, including but not
limited to the CAA Prevention of Significant Deterioration (PSD) program, the nonattainment program, and the NESHAPS
preconstruction approval program, as well as state CAA permits. Under 40 CFR 270.14(b)(8)(vi), the contents of the Part B
permit application shall include "[a] description of procedures, structures, or equipment used at the facility to ... [p]revent
releases to atmosphere." 40 CFR 270.15, 16, and 17 require owners and operators of containers, tank systems, and surface
impoundments subject to Subpart CC to submit design and operation information of the unit as well as detailed information
on compliance with air emission control requirements as set forth in 40 CFR 270.27. 40 CFR 270.24 requires, among other
things, documentation of compliance with process vent standards and design analysis addressing control device operation
parameters, as well as specifications, drawings, schematics, and piping and instrumentation diagrams. 40 CFR 270.25
requires, among other things, a detailed description of and locations for equipment subject to Subpart BB, as well as
documentation for and the method of compliance with Subpart BB standards. The RCRA regulations also make it clear that
owners/operators must generate, for purposes of the Part B application and thereafter, and keep detailed records concerning
pollution control system design documentation, monitoring, operating, inspection, and testing information providing proof of
compliance with RCRA requirements. See 40 CFR 270.24 and 264.1035 (Part B application documentation and
recordkeeping requirements for Subpart AA process vents); 40 CFR 270.25 and 264.1064 (Part B application documentation
and recordkeeping requirements for Subpart BB equipment); and 40 CFR 270.27 and 264.1089 (Part B application
documentation and recordkeeping requirements for Subpart CC tanks, surface impoundments, and containers).
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Identification of and description for each process vent and unit subject to the request
for exemption, and its location.
A description of the pollution control equipment installed at each subject AA or CC
unit or emission control program being implemented at the facility.
Identification of the current CAA requirement applicable to each subject AA or CC
unit or equipment, and the source of the requirement (e.g., construction permit, permit
to install, regulations).
A written statement that the owner/operator certifies all subject units are "operating
air emission controls in accordance with the requirements of an applicable Clean Air
Act regulation codified under 40 CFR parts 60, 61, or 63."24 This certified written
statement, accompanied by the specific information listed above, must state that all
subject units are in compliance with applicable CAA requirements and that no unit
for which the RCRA exemption is being claimed is currently exempted or will be
exempted in the future from operating air emission controls because of emission
averaging across the facility, via emission threshold determination, or for other
reasons.
• For Subpart BB:
o Identification and description of all equipment subject to Subpart BB and how the
equipment is controlled by application of an emission control program under CAA
(such as an LDAR program).
o Identification of the current CAA requirement applicable to each subj ect BB
equipment, and the source of the requirement (e.g., construction permit, permit to
install, regulations).
o A written statement that the owner/operator elects to determine compliance of all
subject equipment under the identified CAA requirements, and that such
documentation is kept with or made readily available with the facility operating
record.
Appendix A contains a checklist which references information and documentation that the regulations
require to document the exemption/election provisions in the permit.
In addition to reviewing the above information, the RCRA permit writer should consult with the
applicable CAA permitting authority (the state or EPA), where the facility's certification of compliance
may be reviewed. These offices have access to the facility's CAA compliance certifications, annual
reports, and other documentation/reporting requirements set forth at 40 CFR 60.19 (for facilities subject
to theNSPS), or 40 CFR 61.10 and 63.10 (for facilities subject to theNESHAPS), which may be
o
o
24 Subpart AA is 40 CFR 264.1030(e); Subpart CC is 40 CFR 264.1080(b)(7).
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reviewed to assess the facility's certification. Discovery of an on-going CAA enforcement action
involving subject AA or CC units could provide grounds for denial of the exemption.
B.	Draft the Permit
The permit should identify the process vents, equipment, and units that are subject to Subparts AA, BB,
CC, and whether an applicable exemption or election is being applied. The permit should also set forth
the applicable CAA requirements that apply to each subject unit and make clear that the Subparts AA
and CC exemptions are automatically suspended if CAA requirements no longer require, on an on-going
basis, operation of air emission controls on each subject AA or CC unit to achieve or maintain
compliance with applicable limits (e.g., because of emission averaging, or due to a threshold
determination).25 Under the Subpart BB compliance election, although compliance is demonstrated
under specific CAA requirements, the Subpart BB provisions remain an enforceable part of the RCRA
permit.
The example permit language in Section VII below provides an optional guide for use in drafting a
permit section which incorporates a Subpart AA or Subpart CC air emission controls exemption or a
Subpart BB election.
C.	Process and Issue the Permit, Renewal Permit, or Modification
During the processing of the permit, re-issued permit, or modification, the owner or operator's CAA
certification of compliance, and/or other relevant supporting records, should be attached or referenced as
a part of the RCRA permit fact sheet and administrative record. If the action is taken under RCRA
modification procedures, EPA expects that in most situations, Subparts AA and CC air emission control
exemptions or Subpart BB elections will not involve physical changes to the units involved or their
capacity and/or operation, and so could generally be accomplished through Class 2 permit modification
procedures; however, the appropriate procedures will be determined on a case-by-case basis.26 See 40
CFR 270.42(d).
25	In the case where NESHAPs and MACTs include requirements to operate air emission controls only some of the time or
under certain conditions (due to emission averaging, etc.), it may be appropriate to anticipate this scenario and draft a permit
provision that states that during conditions where the CAA provision does not require air emission controls, then the units
shall be subject to specified RCRA Subparts AA or CC requirements. This approach ensures that operation of air emission
controls is always required and may obviate the need for a permit modification, in some cases. (In practice, this should not be
challenging for a facility to implement since the Agency took care to be consistent in testing, recordkeeping, reporting, and
other implementation requirements for both CAA and RCRA standards.) In another possible scenario, a previously applicable
NESHAP or MACT standard may no longer apply to the facility, e.g., the facility may have changed its process and may
qualify for an exemption due to its total potential to emit HAP emissions below 25 tons/year facility-wide (or below 10
tons/year for a single HAP), or may have obtained area source status by limiting their potential to emit HAPs below major
source thresholds. A NESHAP standard may or may not apply to an area source, depending on the source category. In these
cases, the example permit language requires the permittee to report this change, which could in turn require a permit
modification or revised certification.
26	The changes resulting from application of the compliance election under Subpart BB or exemption under Subparts AA and
CC generally appear to fall within the following Class 2 Modification categories set forth at 40 CFR 270.42: "other changes"
in frequency of or procedures for monitoring, reporting, sampling or maintenance (see 40 CFR 270.42 app. I at A.4.b); "other
changes" in waste sampling or analysis methods (see 40 CFR 270.42 app. I at B. 1 .d); or frequency of or content of inspection
schedules (see 40 CFR 270.42 app. I at B.4).
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VII. Example Language Documenting Application of
Exemption/Election in RCRA Permits
The language below provides an example of how to document the appropriate site-specific application
of the air emission controls exemption or compliance election. Applying the exemption under Subparts
AA and CC involves documenting in the RCRA permit the applicability of specific C AA requirements
in lieu of Subparts AA or CC. Under the Subpart BB compliance election, it should be noted that since
Subpart BB still applies (with compliance shown under specific CAA requirements documented in the
permit), the Subpart BB provisions remain an enforceable part of the RCRA permit.
The example language is organized into two categories: (1) example language for the statement of basis
or fact sheet, and (2) example permit language. The statement of basis/fact sheet language provides
background or the basis for permit requirements and does not establish an obligation on the part of the
permittee. The example permit language provides conditions that establish an affirmative obligation to
act on the part of the permittee.
Example language is provided for Subparts AA (Section A), BB (Section B) and CC (Section C). The
examples also include a requirement that the permittee keep and maintain in the Operating Record file
the facility's Piping and Instrument Diagram (Section D) which contains reference to labels or tags
showing the locations of the facility's Hazardous Waste Fugitive Emissions Points and designating each
point with a number or letter.27
The example permit language is for demonstrative purposes only. The case-specific facts concerning the
subject AA, BB, or CC units included in the language below [within brackets] should correspond to the
individual situation. Other provisions relating to application of the compliance exemption or election
(for example, more detail on the application of CAA requirements) should be added as necessary. EPA
encourages RCRA and CAA permit writers to work together to ensure alignment between permit
conditions in the RCRA and Title V permits.
The example language below presumes that a federally-enforceable CAA permit exists. Cite the
applicable CAA regulations if there are no permit-implementing CAA requirements.
SECTION A: AIR EMISSION STANDARDS FOR PROCESS VENTS (40 CFR PART 264
SUBPART AA)
Statement of Basis/Fact Sheet
The Permittee's Part B Permit Application states that [company name] is operating a total of [### (#)
process vents associated with [distillation, fractionation, thin-film evaporation, solvent extraction, or
air/steam stripping operations] that manage hazardous wastes with organic concentrations of at least 10
parts per million by weight (ppmw). The ### (#) process vents include ### (#) thin film evaporator(s),
### (#) safety-thermal drier(s), ### (#) washex still unit(s), and ### (#) distillation column unit(s). Each
27 RCRA permitting regulations and subparts AA, BB, and CC require the facility to provide the Piping and Instrumentation
Diagram as part of the part B permit application. See 40 CFR 270.24(d)(3) for Subpart AA, 40 CFR 270.25(e)(3) for Subpart
BB, and 40 CFR 270.27(a)(5) for Subpart CC (which references 40 CFR 270.24(d)).
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process vent is routed through a closed-vent system to an air emission control device, i.e., the
Regenerative Fume Oxidizer.]
The air emission standards for process vents, 40 CFR part 264, subpart AA (Subpart AA), at 40 CFR
264.1030(e) provide:
The requirements of this subpart do not apply to the process vents at a facility where the facility
owner or operator certifies that all of the process vents that would otherwise be subject to this
subpart are equipped with and operating air emission controls in accordance with the process
vent requirements of an applicable Clean Air Act regulation codified under 40 CFR part 60, part
61, or part 63. The documentation of compliance under regulations at 40 CFR part 60, part 61,
or part 63 shall be kept with, or made readily available with, the facility operating record.
The Permittee's Part B Permit Application contains a written certified statement from a responsible
company official that each hazardous waste process vent permitted under the [state or federal] RCRA
permit is equipped with and operating air emission controls according to [cite applicable regulation, e.g.,
40 CFR 63.690 (Subpart DD - National Emission Standards for Hazardous Pollutants from Off-Site
Waste and Recovery Operations)]. For purposes of this permit, [EPA or the state] considers this a
certification pursuant to 40 CFR 264.1030(e) with respect to those hazardous waste process vents
(Subpart AA Certification). Therefore, according to 40 CFR 264.1030(e), the air emission control
requirements of Subpart AA do not apply to the process vents listed below at the facility. Rather, the
process vents specified in the Permittee's Part B Permit Application are subject to the CAA and must be
equipped with and operate air emission controls in accordance with the requirements of [cite applicable
regulation, e.g., 40 CFR part 63, subpart DD] at all times hazardous waste is managed in the unit(s).
Permit Conditions
Units Exempted from Subpart AA
The process vents identified in Table X below are exempted from the requirements of 40 CFR part 264,
subpart AA, as indicated.
Table X: Process Vents Exempted from Subpart AA28 (filled with example information)
Process Vent
Exemption Claimed
Alternate Requirements or
Standards
PV1
40 CFR 264.1030(e)
40 CFR 63.693
PV9
40 CFR 264.1030(e)
40 CFR 63.983
Documentation of Compliance with CAA Requirements
As set forth at 40 CFR 264.1030(e), documentation of compliance under the regulations at [cite
applicable regulation, e.g., 40 CFR 63.696] shall be kept with or made readily available with the facility
28 If an exemption is not being claimed, permit writers should also identify process vents that are subject to Subpart AA in the
RCRA permit.
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operating record. [Company name] must inform [EPA or the state], in writing, about any local, state, or
federal findings or notice of alleged noncompliance with CAA requirements at the subject process vents,
at least [##] days after [company name]'s receipt of such notice of such noncompliance.
Changes to Air Emission Controls
If [company name] anticipates changing the installed air emission control equipment, including any
changes in the use or operation of such equipment, from that described in [facility name] Subpart AA
Exemption Certification or permit application, the facility owner or operator must inform [EPA or the
state], in writing, about the changes within seven (7) calendar days after the change is put into effect for
Class 1 modifications, and within [##] days after implementing any such changes which were approved
by [EPA or the state] for Class 2 and Class 3 modifications.29
In the event that any of the process vents specified in Table X are no longer equipped with and/or
operating air emission controls because the alternative requirement or standard specified in Table X no
longer requires, on an on-going basis, operation of such equipment to achieve or maintain compliance
with the CAA (because of emission averaging or threshold determination, etc.), the Subpart AA
exemption shall be suspended and such process vents shall be immediately subject to and comply with
all applicable requirements of 40 CFR part 264, subpart AA. In this event, the Permittee must report this
change to [EPA or the state] and may also be required to submit to [EPA or the state] a Class 2 permit
modification request providing for the revision of this permit to apply 40 CFR part 264, subpart AA
requirements to those process vents.
Addition of New Units
Prior to installing a unit subject to Subpart AA or modifying an existing unit such that the unit(s) will
become subject to 40 CFR part 264 subpart AA, the Permittee must apply for and be granted approval
by [EPA or state] for a permit modification under 40 CFR 270.42. The Permittee must provide specific
PartB application information required under 40 CFR 270.14-17 and 270.27, as applicable with the
modification request.
SECTION B: AIR EMISSION STANDARDS FOR EQUIPMENT LEAKS (40 CFR PART 264
SUBPART BB)
Statement of Basis/Fact Sheet
The Permittee's Part B Permit Application states that [company name] is operating equipment subject to
40 CFR part 264, subpart BB. Such equipment includes [pumps, valves, pressure relief valves, flanges,
and open-ended connectors] that contain or contact hazardous waste that have an organic concentration
of at least ten (10) percent by weight for 300 or more hours per calendar year.
The air emission standards for equipment leaks, 40 CFR part 264, subpart BB (Subpart BB), at 40 CFR
264.1064(m) provide:
29 The Permittee can put into effect Class 1 modifications without prior approval from EPA or the state RCRA program but
must notify EPA or the RCRA program within seven calendar days after the change is put into effect. See 40 CFR 270.42(a)
for detailed information regarding Class 1 modifications. Class 2 and Class 3 modifications must first be approved by EPA or
the state RCRA program before they can be put into effect, see 40 CFR 270.42(b) and (c).
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The owner or operator of a facility with equipment that is subject to this subpart and to
regulations at 40 CFR part 60, part 61, or part 63 may elect to determine compliance with this
subpart either by documentation pursuant to § 264.1064 of this subpart, or by documentation of
compliance with the regulations at 40 CFR part 60, part 61, or part 63 pursuant to the relevant
provisions of the regulations at 40 [CFR] part 60, part 61, or part 63. The documentation of
compliance under the regulations at 40 CFR part 60, part 61, or part 63 shall be kept with or
made readily available with the facility operating record.
The Permittee's Part B Application provides that, in accordance with 40 CFR 264.1064(m), [company
name] has elected to determine compliance with Subpart BB by documenting compliance with [cite
applicable regulation, e.g., 40 CFR 63.691 (Subpart DD - National Emission Standards for Hazardous
Pollutants from Off-Site Waste and Recovery Operations)].
For purposes of this permit, [EPA or the state] considers the written statement from a responsible
company official in the Part B Application as [company name]'s election to determine compliance with
Subpart BB by documenting compliance with [cite applicable regulation, e.g., 40 CFR part 63, subpart
DD] (Subpart BB Determination of Compliance).
Permit Conditions
Equipment Subject to Subpart BB
All equipment listed in Table XX below must be operated in compliance with the air emission standards
for equipment leaks at 40 CFR part 264 subpart BB. [Company] has elected, per 40 CFR 264.1064(m),
to determine compliance with Subpart BB by documentation of compliance with [40 CFR part 60, 61, or
63], Demonstrating compliance via documentation of compliance with CAA regulations does not
exempt [company name] from the applicability of the Subpart BB standards.
[Table XX - Equipment Leaks for all valves, pumps, compressors, pressure relief devices, sampling
connection systems, and open-ended valves or lines that contain or contact hazardous waste streams
with organic concentrations of 10% by weight or greater. Equipment in vacuum service is not subject to
control if identified in the facility operating record.]
Table XX - Equipment Leaks (filled with example information)
Equipment ID
Equipment
Type
Waste
Management
Unit No
Waste
Management
Unit Name
% Weight
Total Organics
in Haz. Waste
Stream
Waste
State
Method of
Compliance/
Regulation
V12
Valve
Oil
Unit A
100%
Light
Liquid
40 CFR-Subpart H,
Method 21 of 40
CFR part 60,
appendix A-7,
40 CFR 63.694
or
Optical Gas Imaging
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Instrument, 40 CFR
63.11(c) and 40 CFR
60.18(g)
P34
Pump
022
Unit B
100%
Heavy
Liquid
40 CFR-Subpart H,
Method 21 of 40
CFR part 60,
appendix A-7, 40
CFR 63.694
or
Optical Gas Imaging
Instrument, 40 CFR
63.11(c) and 40 CFR
60.18(g)
Documentation of Compliance with CAA Requirements
As set forth at 40 CFR 264.1064(m), the documentation of compliance with the regulations at [cite
applicable regulation, e.g., 40 CFR part 63, subpart DD] must be kept with or made readily available
with the facility operating record for a period of not less than three (3) years, including all records
necessary for demonstrating compliance.
[Company name] must submit a Class 1 or Class 2 permit modification notification/request, per 40 CFR
270.42(d), for changes to the election, per 40 CFR 264.1064(m), to determine compliance with Subpart
BB by documentation of compliance with [40 CFR part 60, 61, or 63],
Addition of New Equipment
Prior to introducing additional volatile organic waste streams into existing piping and/or equipment that
subjects existing equipment to Subpart BB, or installing additional equipment subject to Subpart BB
regulation, the Permittee must apply for and be granted approval by [EPA or the state] for a permit
modification under 40 CFR part 270.42, and provide specific Part B application information required
under 40 CFR 270.14-17 and 270.27, as applicable, with the modification request.
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SECTION C: AIR EMISSION STANDARDS FOR TANKS, SURFACE IMPOUNDMENTS
AND CONTAINERS (40 CFR PART 264 SUBPART CC)
Statement of Basis/Fact Sheet
The Permittee's Part B Permit Application states that there are [#### (##) tanks which store hazardous
waste with a volatile organic concentration of at least 500 parts per million by weight (ppmw) at the
point of generation with total capacity of ###### gallons. Out of these ###### tanks, ###### (##) tanks,
with capacity of ######## gallons, have capability for stabilizing waste in the tanks. The Part B Permit
Application states that all of these ##### tanks are determined as qualifying for Level 1 controls (i.e., a
fixed roof). All these tanks, have a conservation vent. #### (#) of these tanks vent their emissions into
the Regenerative Fume Oxidizer.]
There are also [#### (#) container storage areas that manage hazardous waste with a volatile organic
concentration of at least 500 parts per million by weight (ppmw) at the point of generation with a
capacity of ###### gallons. The Part B Permit Application states that all these containers are determined
as qualifying for Level 1 or Level 2 controls.]
The air emission standards for tanks and containers, 40 CFR part 264, subpart CC (Subpart CC) at 40
CFR 264.1080(b)(7) provide an exemption for:
(7) A hazardous waste management unit that the owner or operator certifies is equipped with
and operating air emission controls in accordance with the requirements of an applicable Clean
Air Act regulation codified under 40 CFR part 60, part 61, or part 63. For the purpose of
complying with this paragraph, a tank for which the air emission control includes an enclosure,
as opposed to a cover, must be in compliance with the enclosure and control device requirements
of § 264.1084(i), except as provided in § 264.1082(c)(5).
The Permittee's Part B Permit Application contains a written certified statement from a responsible
company official that each hazardous waste [tank and container] permitted under the [state or federal]
RCRA permit is equipped with and operating air emission controls operated according to [40 CFR
63.685, 687 and 688 (Subpart DD - National Emission Standards for Hazardous Pollutants from Off-Site
Waste and Recovery Operations)]. For purposes of this permit, [EPA or the state] considers this a
certification pursuant to 40 CFR 264.1080(b)(7), with respect to those hazardous waste units (Subpart
CC Certification). Therefore, according to 40 CFR 264.1080(b)(7), the air emission control requirements
of Subpart CC do not apply to the hazardous waste management tanks and containers listed below at the
facility. Rather, the [tanks and containers] described in the Permittee's Part B Permit Application are
subject to the CAA and must be equipped with and operate air emission controls in accordance with the
requirements of [40 CFR part 63, subpart DD] at all times hazardous waste is managed in the unit(s).
Permit Conditions
Units Exempted from Subpart CC

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The hazardous waste management units identified in Table XXX below are exempted from the
requirements of 40 CFR part 264, subpart CC, as indicated.
Table XXX: Hazardous Waste Management Units which are Exempted from Subpart CC30[filled
	 with example information)	
Hazardous Waste
Management Unit
Exemption Claimed
Alternate Requirements or
Standards
Blend Tanks
T-4101, T-4102, T-4103, and
T-4104
40 CFR 264.1080(b)(7)
40 CFR Part 60 - Subpart Ka
(specifically, 40 CFR 112(a)
or
40 CFR Part 60 - Subpart Kb
(specifically, 40 CFR 112(b)
40 CFR Part 61 - Subpart FF
(specifically, 40 CFR 61.343(a)(1))
Burn Tanks
T-4105 and T-4106
40 CFR 264.1080(b)(7)
40 CFR Part 60 - Subpart Kb
40 CFR Part 61 - Subpart FF
Tank Trucks
40 CFR 264.1080(b)(7)
40 CFR Part 63 - Subpart PP
(specifically, 40 CFR 63.922, 923 or
924)
40 CFR Part 63 - Subpart DD
(specifically, 40 CFR 63.688)
Railcars
40 CFR 264.1080(b)(7)
40 CFR Part 63 - Subpart PP
40 CFR Part 63 - Subpart DD
(specifically, 40 CFR 63.688)
Containers
(Drums, Totes, etc.)
40 CFR 264.1080(b)(7)
40 CFR Part 63 - Subpart PP
40 CFR Part 63 - Subpart DD
(specifically, 40 CFR 63.688)
Waste Stabilization
[The Permittee shall not conduct a waste stabilization process, as defined at 40 CFR 265.1081, in
containers and tanks.]
Documentation of Compliance with CAA Requirements
As set forth at 40 CFR 264.1089(a) and (j), [company name] must maintain in the operating record both:
1) a certification that each waste management unit is equipped with and operating air emission controls
in accordance with the requirements of the applicable Clean Air Act regulation codified under 40 CFR
parts 60, 61, or 63; and 2) identification of the specific requirements codified under 40 CFR parts 60, 61,
or 63 with which each waste management unit is in compliance.
Within [xx months of the effective date of this permit and annually thereafter], [company name] shall
update the Subpart CC Certification that all the tanks and containers subject to Subpart CC are equipped
with and operating air emission controls in accordance with [cite applicable regulation, e.g., 40 CFR part
311 If an exemption is not being claimed, permit writers should also identify hazardous waste management units that are
subject to Subpart CC in the RCRA permit.
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63, subpart DD], The Subpart CC Certification must be retained at the facility and be provided to [EPA
or the state], or their designees, upon request.
Notification of Non-compliance with CAA Requirements
[Company name] shall inform [EPA or the state], in writing, about any local, state, or federal findings or
notice of alleged noncompliance with CAA requirements at the subject tanks and containers, at least ##
days after [company name]'s receipt of such notice of noncompliance. Any written notice of
noncompliance shall contain the EPA identification number, facility name and address, a description of
the noncompliance event and the cause, the dates of the noncompliance, and the actions taken to correct
the noncompliance and prevent reoccurrence of the noncompliance, 40 CFR 264.1089 and 265.1090.
Changes to Air Emission Control s
If [company name] anticipates changing the installed air emissions control equipment, including any
changes to the use or operation of such equipment, from that described in [company name] Subpart CC
Exemption Certification or permit application, the facility owner or operator must inform [EPA or the
state], in writing, about the changes within seven (7) calendar days after the change is put into effect for
Class 1 modifications, and within ## days after implementing any such changes which were approved by
[EPA or the state] for Class 2 and Class 3 modifications.31
In the event that any of the [tanks and/or, containers] specified in Table XXX are no longer equipped
with and/or operating air emission controls because the alternative requirement or standard specified in
Table XXX no longer requires, on an on-going basis, operation of such equipment to achieve or
maintain compliance with CAA (because of emission averaging or threshold determination, etc.), the
Subpart CC exemption shall be suspended and such [tanks and/or containers] shall be immediately
subject to and comply with all applicable requirements of 40 CFR part 264, subpart CC. In this event,
the Permittee must report this change to [EPA or the state] and may also be required to submit to [EPA
or the state] a Class 2 permit modification request providing for the revision of this permit to apply 40
CFR part 264, subpart CC requirements to those hazardous waste [tanks and/or containers].
Addition of New Units
Prior to installing a tank, container, or surface impoundment subject to 40 CFR part 264, subpart CC, or
modifying an existing unit such that the unit(s) will become subject to 40 CFR part 264 subpart CC, the
Permittee must apply for and be granted approval by [EPA or the state] for a permit modification under
40 CFR 270.42. The Permittee must provide specific Part B application information required under 40
CFR 270.14-17 and 270.27, as applicable with the modification request.
SECTION D: REQUIREMENT OF PIPING AND INSTRUMENT DIAGRAM
31 Generally, the Permittee can put into effect Class 1 modifications without prior approval from EPA or the state RCRA
program but must notify EPA or the RCRA program within seven calendar days after the change is put into effect. See 40
CFR 270.42(a) for detailed information regarding Class 1 modifications. Class 2 and Class 3 modifications must first be
approved by EPA or the state RCRA program before they can be put into effect, see 40 CFR 270.42(b) and (c).
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The Permittee must keep and maintain in the Operating Record file (in a table or database) the facility's
Piping and Instrument Diagram which contains reference to labels or tags showing the locations of the
facility's Hazardous Waste Fugitive Emissions Points and designating each point with a number or
letter.32
32 For guidance, see Leak Detection and Repair: A Best Practices Guide, United States Environmental Protection Agency,
Office of Compliance, Office of Enforcement and Compliance Assurance.
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Appendix A: Permit Writers' Checklists for RCRA/CAA Air
Emission Controls Compliance Exemption/Election
Provisions
OBJECTIVE AND USE OF THE CHECKLISTS: This document presents three checklists of documentation and information that the
RCRA permit writer can review before exempting a process vent, tank, surface impoundment, or container under the 40 CFR part 264/265,
subparts AA and CC exemption provisions; or before acknowledging compliance with the equipment leak requirements under CAA regulations
pursuant to the compliance election in 40 CFR part 264/265, subpart BB. The documentation/information may be submitted as part of a new,
revised, or modified RCRA permit application, consisting of both Parts A and B. All documentation and information that is used as a basis for the
compliance exemption or election reflected in a RCRA permit must be maintained within the RCRA permit's administrative record. Although this
document is intended to be used for permitted facilities, it also provides relevant information for interim status facilities.
These checklists set forth a suggested format for documenting the legitimacy of a facility owner or operator's request for a compliance exemption
or election. If minimum documentation is not provided, the permit writer cannot acknowledge any compliance exemption/election in the RCRA
permit and the units would continue to be subject to the requirements of a RCRA permit and RCRA air emissions control requirements.
DISCLAIMER: This checklist is based on existing statutory and regulatory requirements and current EPA policy
as of the date this checklist was published. This checklist neither modifies any existing legal obligations nor
binds EPA or any entity. Use of the words "should" or "ought" does not connote any legal obligation. EPA
may deviate from any practice discussed in this document or revise this document at any time without prior
public notice.
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Subpart AA Checklist - Process Vents33
The permit writer should verify the permittee's file contains information or documentation referenced in the checklist.
Site Name:
Date of Review:
EPA ID#:
Application/Modification Request Submission Date:
Facility Contact:

A. GENERAL
D Confirm receipt of a request for
AA compliance exemption with
clear description of process
vents subject to the request.
D Confirm receipt of number, ID and location of
process vent(s) with list and/or diagram of
the unit(s) subject to the request.
D Confirm that receipt of a written and signed
certification by facility owner or operator that the
unit(s) that would otherwise be subject to AA are
equipped with and operating air emission controls in
compliance with the applicable CAA requirements,
e.g., no emission controls for the unit(s) will be shut
down under or pursuant to emission averaging or an
emission threshold determination.
D Confirm documentation of
compliance under 40 CFR part 60,
61, or 63 is kept with or made
readily available with the facility on-
site operating record.
D Administratively
complete/technically adequate
D Date determined:	
D Comments:
D Administratively complete/technically adequate
D Date determined:	
D Comments:
D Administratively complete/technically adequate
D Date determined:	
D Comments:
D Administratively complete/technically
adequate
D Date determined:	
D Comments:
B. DESCRIPTION/REGULATION OF UNIT(S) SUBJECT TO REQUEST
C. DESCRIPTION OF AIR EMISSION POLLUTION CONTROLS
D Specifies ID number and
location of process
vent(s) subject to the
request for exemption.
dl Specifies the current CAA
requirement applicable to
process vent(s) associated
with operations that
manage hazardous wastes
with organic concentrations
of at least 10 ppmwand
where requirement is found
(e.g., CAA permit number
and section of permit,
citation to regulation with
specific CFR
section/subsection).	
D Contains date of CAA
Permit's number,
effective date and
expiration date (if
applicable).
D Describes the air
emission pollution
control equipment
installed at each unit.
dl Confirms that each process
vent subject to the AA
exemption request has its
own air emission control
through the physical
installation of a control
device. Confirms each
process vent is equipped
with and operating air
emission controls in
compliance with applicable
CAA standards under Part
60, 61,63.	
D Confirms that the process
vent(s) to be exempted from
AA is operating in
compliance with the
identified CAA requirements.
Confirms that emissions
from each process vent are
routed through a closed-vent
system to an air emissions
control device.
33 Miscellaneous units can also be subject to Subpart AA requirements, 40 CFR 264.601.
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Subpart BB Checklist - Equipment Leaks34
The permit writer should verify the permittee's file contains information or documentation referenced in the checklist.
Site Name:

Date of Review:
ission Date:
EPA ID#:
Application/Modification Request Subm
Facility Contact:

A. GENERAL
D Confirm receipt of a request for BB
compliance election with clear
description of equipment subject to the
request.
D Confirm receipt of number, ID and
location of equipment with list and/or
diagram of the equipment subject to the
request.
D Confirm receipt of a written statement
from owner or operator in the Part B
Application specifying election to
determine compliance with Subpart BB
by documenting compliance with the
applicable CAA regulatory requirements.
D Confirm documentation of compliance under
40 CFR part 60,61, or 63 is kept with or made
readily available with the facility on-site
operating record.
D Administratively complete/technically
adequate
D Date determined:
D Comments:
D Administratively complete/technically
adequate
D Date determined:
D Comments:
D Administratively complete/technically
adequate
D Date determined:
D Comments:
D Administratively complete/technically adequate
D Date determined:
D Comments:
B. DESCRIPTION/REGULATION C
>F UNIT(S) SUBJECT TO REQUEST
C. DESCRIPTION OF AIR EMISSION POLLUTION CONTROLS
D Specifies ID number of
equipment subject to the
request for compliance
election.
D Specifies type of
equipment (valves,
pumps, pressure relief
devices, compressors,
sampling connection
systems, and open-
ended valves or lines)
that contains or contacts
hazardous waste
streams with organic
concentrations of 10% by
weight or greater for 300
or more hours per
calendar year.
D Contains date of CAA
Permit's number,
effective date and
expiration date (if
applicable).
D Describes the air
emissions control
program (such as a leak
detection and repair
program) applied to
equipment.
D Specifies method of
compliance (e.g., Method
21 of 40 CFR part 60,
Appendix A-7, CAA 40
CFR 63.694).
D Confirms that for the
equipment identified the
owner or operator elects to
determine compliance with
Subpart BB requirements
under the identified CAA
requirements.












34 Miscellaneous units can also be subject to Subpart BB requirements, 40 CFR 264.601.
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Subpart CC Checklist - Tanks, Surface Impoundments, and Containers35
The permit writer should verify the permittee's file contains information or documentation referenced in the checklist.
Site Name:	
EPA ID#:	
Facility Contact:
Date of Review:	
Application/Modification Request Submission Date:
A. GENERAL
D Confirm receipt of a request for CC
compliance exemption with clear
description of unit(s) subject to the
request.
D Confirm receipt of number, ID and
location of tank(s), surface
impoundment(s), container(s) subject to
the request with list and/or diagram.
D Confirm that receipt of a written and signed
certification by facility owner or operator that the
unit(s) that would otherwise be subject to CC are
equipped with and operating air emission controls
in compliance with the applicable CAA
requirements, e.g., no emission controls for the
unit(s) will be shut down under or pursuant to
emission averaging or an emission threshold
determination.
D Confirm documentation of
compliance under 40 CFR part 60,
61, or 63 is kept with or made
readily available with the facility on-
site operating record.
D Administratively complete/technically
adequate
D Date determined:	
D Comments:
D Administratively complete/technically
adequate
D Date determined:	
D Comments:
D Administratively complete/technically adequate
D Date determined:	
D Comments:
D Administratively complete/technically
adequate
D Date determined:	
D Comments:
B. DESCRIPTION/REGULATION OF UNIT(S) SUBJECT TO REQUEST
C. DESCRIPTION OF AIR EMISSION POLLUTION CONTROLS
D Specifies ID number and
location of tank(s),
surface impoundment(s),
and/or container(s)
subject to the request for
exemption.
dl Specifies the current CAA
requirement applicable to
unit(s) managing hazardous
waste with a volatile organic
concentration of at least 500
ppmwat the point of
generation and where
requirement is found (e.g.,
CAA permit number and
section of permit, citation to
regulation with specific CFR
section/subsection).	
D Contains date of CAA
Permit's number,
effective date and
expiration date (if
applicable).
D Describes the air
emissions pollution
control equipment
installed at each unit.
D Confirms that each unit
subject to the CC
exemption request has
its own air emissions
control through the
physical installation of
air emission controls.
D Confirms that the unit(s) to
be exempted from CC is
operating in compliance with
the identified CAA
requirements.
35 Miscellaneous units can also be subject to Subpart CC requirements, 40 CFR 264.601.
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Appendix B: Definitions
Control device - means an enclosed combustion device, vapor recovery system, or flare. A device
whose primary function is the recovery or capture of solvents or other organics for use, reuse, or sale
(e.g., a primary condenser on a solvent recovery unit) is not a control device (40 CFR 264.1031)).
Container - means any portable device in which a material is stored, transported, treated, disposed of,
or otherwise handled. (40 CFR 260.10)
Equipment - means each valve, pump, compressor, pressure relief device, sampling connection system,
open-ended valve or line, or flange or other connector, and any control devices or systems required by
40 CFR part 264. (40 CFR 264.1031)
Process vent - means any open-ended pipe or stack that is vented to the atmosphere either directly,
through a vacuum-producing system, or through a tank (e.g., distillate receiver, condenser, bottoms
receiver, surge control tank, separator tank or hot well) associated with hazardous waste distillation,
fractionation, thin-film evaporation, solvent extraction, or air or steam stripping operations. (40 CFR
264.1031)
Surface impoundment - means a facility or part of a facility which is a natural topographic depression,
man-made excavation, or diked area formed primarily of earthen materials (although it may be lined
with man-made materials), which is designed to hold an accumulation of liquid wastes or wastes
containing free liquids, and which is not an injection well. Examples of surface impoundments are
holding, storage, settling, and aeration pits, ponds and lagoons. (40 CFR 260.10)
Tank - means a stationary device, designed to contain an accumulation of hazardous waste which is
constructed primarily of non-earthen materials (e.g., wood, concrete, steel, plastic) which provides
structural support. (40 CFR 260.10)
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