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• Attachment D 

## Memorandum, Rule Interpretation and Policy Determination May3,1993

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### StateofOregon 

## Department ofEnvironmental Quality 

## Memorandum
Date: May 3, 1993 To: From: Subject: Hazardous Waste/Toxics Use Reduction Staff Roy W. Brower, Manager, Hazardous Waste Policy and Program Development Rule Interpretations and Policy Determinations 

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\ The purpose ofthis memorandum is to establish a general procedure and protocol for rule interpretations, policy development and resolution ofpolicy inconsistencies 

### in the hazardous waste or toxics use reductionprogram. This procedure was developed during discussions with the other HWITUR managers, Stephanie and Tom. There are generally four levels ofgraduated policy determinations (from simple to complex): o Rule orpolicy clarification o Rule or policy interpretation oDevelopment ofnew/interim policy or guidance o Development ofnew rule THE PROBLEM Under our current organization there is still confusion about the roles and responsibilities ofthe regions and headquarters as it relates to policy, interpretation and rules. This situation will only get worse as we reorganize. This guidance is intended to clarify responsibility for various aspects of policy and rule clarification/development for the hazardous waste/toxies use reductionprogram under the current organization and as we transition into the new organization. This guidance is intended to improve consistency, procedure, implementation and distribution ofpolicy.
. GENERAL RESPONSmILITY FOR POLICY DETERMINATION: It is the responsibility ofeach individual to fully research policy and regulatory questions to the extent possible. The Hazardous WasteIToxics Use Reduction Regulatory Handbook includes
.all known statutes, rules, rule interpretations, memoranda ofagreement with other

### .agencies, summary ofrule ",;:. adoptions and authorization status, and enforcement guidance directly related to the state program. The Handbookwill be updated periodically with relevant policy/rule changes.' 'Each regional office and headquarters has a set ofEPA's RCRA Permit Policy:CompeiJ.dium'·(OSWERDirectives System). Headquarters and the EPA Operations Office maintains a set ofbackground documents preambles 

### andFederalRegisters. Each regional office receives periodic updates ofthis information via the regional manager. Each office also receives' a Copyofthe COde ofFederal Regulations (40

.CFR 100 - 299). Each office also has copies ofpast and currentApplications for Authorization of

, Hazardous Waste 

### Program to EPA. Generally, these documents provide 

### all necessary background

material to researcha rule. .' ;-. .', ' , ,'S**:~** <:- :.' z Theheadquarters office ofHazardous Waste Policy and Program Development (HWPPD) is available to providematerial and information requestedby anyone on staff. HWPPD is also available to :::.,' ' .

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### , ." . , ., , Memo To: Hazardous Waste/Toxies Use Reduction Managers May 3, 1993 Page 2

-, provide clarification, research assistance, facilitate resolution of policy differences, and develop new policies/rules deemed necessary under the following scenarios. Discussed below are the procedures and protocol for eachofthese situations: RULE OR POLICY CLARIFICATIONS: Scenario: Rule or policy clarifications are generally handled through informal contact among staff when there is a relative misunderstanding on the agency's position on a rule. It may include simply referencing someone to a published guidance document, or explaining the situationby phone or e-mail (e.g. use of the HWINSPECT:HSW e-mail address). These are usually straight-forward and objectively answered questions that do not require a formal position or statement. Protocol: Rule or policy clarifications are generally answered within a regional or headquarters office by peer staff or elevated to a supervisor within that office. Occasionally a clarification raises issues that require a more formal determination that could move it to one of the other categories. RULE OR POLICY INTERPRETATION: Scenario: Rule or policy interpretations are created by situations where no guidance exists or new issues have been raised because of different situations. Rule interpretations may be general or specific to a site. An interpretation is intended to provide a formal explanation ofhow a rule is to be interpreted but does not establish or change policy. It is a formal clarification of an existing rule or policy. Protocol: Requests for formal rule interpretations should be made by the appropriate manager in writing to the manager of HWPPD. The written request should include a preferred recommendation; when possible, on how the situation should be resolved and any supporting documentation. A draft written response will be prepared by the HWPPD section, upon consultation with relevant regional and headquarters staff. The draft written response will be distributed to each appropriate 

### HWITURmanager for review and comment before finalizing the interpretation. A specific return date will be specified in the memo. Provided there is general consensus, the rule interpretation will be finalized, signed by the HWPPD manager, and distributed.in the next update to the Hazardous 

### Waste/Toxics Use 

### Reduction Regulatory 

### Handbook. If there is disagreement overthe rule interpretation, a general course ofresolution will include the 'following hierarchy: . -informal discussion aimed at resolving the disagreements; -discussion/resolution at a Quarterly Meeting (optional); -discussion/resolution at a

### HWITURManagers Meeting; or -elevating the issue to headquarter and regional Division Administrators for final resolution. 

### Ifa rule interpretation must involve two or more DA's in resolving the disagreement. the finalizedMemo To: Hazardous Waste/Toxies Use Reduction Managers May 3, 1993 Page 

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rule interpretation will be signed by the headquarter and regional DA's, and distributed in the next update to the Regulatory Handbook. DEVELOPMENT OF NEWIINTERIM POLICY OR GUIDANCE: Scenario: Development ofnew/interimpolicy or guidance is used to establish new policy or guidance on how to handle an issue or deal with a new situation. Policy shouldbe reserved for truly controversial and difficult situations. Guidance is intended to provide staffspecific instructions on the correct way to deal with a situation, where a rule interpretation is not appropriate. Development of a new/interimpolicy or guidance may result from a regulatory interpretation or an 'attempt to address a situation raised by enforcement staff, an inspection, or a hearings report. In general, the development ofnew policy or guidance should be rare and should lead to eventual rulemaking. Protocol: New/interimpolicy or guidance is generally developed by the HWPPD section as a result ofunresolved rule interpretations or to address an issue raised in a site or enforcement-specific situation. All policy and guidance must be signed by headquarter and regional DA's and distributed in the next update to the Regulatory Handbook. Policy changes that affect a sector of the regulated community must be communicated to that sector via factsheet or letter. DEvELOPMENT OF NEW RULE: Scenario: Development ofnew rules is the most formal process available and is generally facilitated by the HWPPD section, with input and involvement from 

### all affectedparts ofthe agency. Rules. shouldbe established to formally institutionalize policies, to change the way the program regulates its sources, or to adopt new federal rules. Protocol: New rules or rule amendments are developed by HWPPD to formally institutionalize policies, clarify issues raised by enforcement actions and decisions, to improve/simplify the implementation ofthe regulations in the field, or to adopt new federal rules. All state hazardous waste rules must be equivalent and consistent with EPA rules. Rulemaking will be conducted as one or two rulemakings peryear, unless an emergency rule is necessary. The rulemaking process will included representatives ofagency who would be affected by the rulemaking. The rulemaking process will follow procedure outlined for all EQC rulemakings. 

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### cc: Stephanie Hallock Tom Bispham Steve Greenwood Pete Dalke 

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