United States

Environmental Protection

Agency

Solid Waste and

Emergency Response

(5305W)

RCRA, Superfund & EPCRA

Call Center Training Module

Introduction to:

RCRA State Programs

Updated October 2001

EPA530-K-02-020I

October 2001
DISCLAIMER

This document was developed by Booz Allen Hamilton Inc. under contract 68-W-01-020 to EPA. 

It is intended to be used as a training tool for Call Center specialists and does not represent a 

statement of EPA policy. 

The information in this document is not by any means a complete representation of EPA s 

regulations or policies. This document is used only in the capacity of the Call Center training and 

is not used as a reference tool on Call Center calls. The Call Center revises and updates this 

document as regulatory program areas change.

The information in this document may not necessarily reflect the current position of the Agency. 

This document is not intended and cannot be relied upon to create any rights, substantive or 

procedural, enforceable by any party in litigation with the United States. 

RCRA, Superfund & EPCRA Call Center Phone Numbers:

National toll-free (outside of DC area) (800) 424-9346

Local number (within DC area) (703) 412-9810

National toll-free for the hearing impaired (TDD) (800) 553-7672

The Call Center is open from 9 am to 5 pm Eastern Time, 

Monday through Friday, except for federal holidays.
STATE PROGRAMS

Contents

1. Introduction............................................................................................................................. 1

2. Elements of State Authorization Process................................................................................ 2

2.1 State Authorization Authority ........................................................................................ 2

2.2 State Authorization Applications.................................................................................... 2

2.3 EPA Approval Process.................................................................................................... 4

2.4 Subsequent Program Revisions........................................................................................ 7

3. State Authorization and Effective Dates................................................................................. 10

3.1 Effect of RCRA/HSWA Authority ................................................................................. 10

3.2 Less Stringent Provisions................................................................................................. 11

4. Withdrawal of Authorization.................................................................................................. 12
.
State Programs - 1

The information in this document is not by any means a complete representation of EPA’s regulations or policies,

but is an introduction to the topic used for Call Center training purposes.

1. INTRODUCTION

The Resource Conservation and Recovery Act (RCRA) addresses an enormous problem - how to

safely manage the huge volumes of solid and hazardous waste generated in this country. In the

Statute, Congress established the framework for a program that would address this problem by

establishing regulations for identifying and managing hazardous waste.

Congress delegated the responsibility to develop and oversee the implementation of these

regulations to EPA. However, Congress intended that states would assume the responsibility for

day-to-day implementation of the regulations and that EPA s role would be to provide federal

oversight for such state programs. The rationale was that states are more familiar with the

regulated community and are therefore able to administer the programs in a way that responds to

specific state and local needs.

In order to ensure that state programs are at least equivalent to and consistent with the federal

regulations, RCRA requires states to become authorized to meet minimum federal standards. 

Once a state has met the federal standards and gone through the authorization process, the state

implements and enforces its program in lieu of the federal government. This prevents

overlapping or duplicative state and federal regulations.

This module outlines the requirements and procedures for a state to become authorized to manage

and oversee its own RCRA program. It also describes how the state authorization system can

affect the applicability of certain rules. When you have completed this module you will be

familiar with the state authorization process for hazardous waste management programs. 

Specifically, you will be able to:

• Specify why states are authorized by EPA and list the elements of an authorized state

program

• Identify components of an authorization application and outline the stages of EPA s

approval process

• Specify the applicability of Hazardous and Solid Waste Amendments (HSWA) and nonHSWA provisions in authorized and unauthorized states

• Define the effect of the "cluster rule."

Use this list of objectives to check your knowledge after you complete the training session.
2 — State Programs

The information in this document is not by any means a complete representation of EPA’s regulations or policies,

but is an introduction to the topic used for Call Center training purposes.

2. ELEMENTS OF STATE AUTHORIZATION PROCESS

To become authorized to implement the hazardous waste regulations found in Subtitle C, states

must develop their own hazardous waste program and receive EPA approval for it. Initially, a

state typically adopts the federal rules in some manner. The state can write federal rules into the

state regulations or simply incorporate them by reference. The state may then submit an

application for final authorization to the EPA Administrator. The application must contain

certain elements that are described in 40 CFR Part 271. These elements are discussed below.

2.1 STATE AUTHORIZATION AUTHORITY

RCRA ⁄3006 gives EPA the authority to authorize qualified states to administer and enforce the

RCRA hazardous waste program within the state. Following authorization, state regulations

operate in lieu of the federal regulations in that state (with some limits). In order to receive

authorization, a state’s statute(s) and regulations must be equivalent to federal authorities,

consistent with the federal program, and at least as stringent as the federal program. The state

program must address requirements for permitting, compliance evaluation, enforcement, public

participation, and sharing of information. As part of the consistency requirement, state programs

may not restrict the free movement of hazardous waste across state borders to or from treatment,

storage, or disposal facilities (TSDFs) permitted to operate under RCRA or any approved state

program. Although many of the state programs closely parallel the federal program, some states

do adopt requirements more stringent or broader in scope for generators, transporters, or other

facilities handling hazardous waste.

While authorized states have primary enforcement responsibility under state law, EPA retains

enforcement authority under RCRA ⁄⁄3007, 3008, 3013, and 7003. When EPA does enforce in

authorized states (called "overfiling"), it enforces the authorized state programs where

appropriate.

2.2 STATE AUTHORIZATION APPLICATIONS

Any state that seeks authorization for its hazardous waste program must submit an application

to EPA for review and approval. The state program application must include the following

items: 

• Letter from the governor

• Description of the state s program

• Statement from the state attorney general

• Memorandum of agreement between state and Region

• Provisions for public involvement for initial program authorization.
State Programs - 3

The information in this document is not by any means a complete representation of EPA’s regulations or policies,

but is an introduction to the topic used for Call Center training purposes.

GOVERNOR’S LETTER

In order to become authorized, a state must indicate a desire to implement its own RCRA

program. The state does this by submitting a letter from the governor of the state requesting

program approval (⁄271.5(a)(1)). The governor’s letter transmits the state’s application and is

the formal request for program approval.

PROGRAM DESCRIPTION

The state must demonstrate to EPA that its program meets minimum federal requirements. To

become authorized, the state must submit a copy of the state statutes and regulations that will

act in place of the federal RCRA regulations. A document is often included with the application

highlighting where federal requirements are incorporated in the state code (⁄271.5(a)(5)). Any

state that seeks approval to administer its own RCRA program must also submit a description of

the proposed program (⁄271.5(a)(2)). Pursuant to ⁄271.6, the program description must include:

• Scope, structure, coverage, and processes of the state program

• Description of the organization or state agency that will manage the program

• Estimate of the cost of administering the program, as well as sources and amounts of

funding available

• Description of the applicable state procedures, such as procedures for permitting or

judicial review

• Copies of any forms used to administer the program under state law

• Description of the state’s compliance tracking and enforcement program

• Description of the state’s manifest tracking system

• Estimation of the size of the regulated community in the state (i.e., number of generators,

transporters, and TSDFs)

• Estimate of the annual quantities of hazardous waste generated, transported, stored,

treated, or disposed of within the state, if available.

ATTORNEY GENERAL’S STATEMENT

Before EPA can grant authorization to a state, it must be clear that the state has the necessary

legal authority to be able to implement and enforce the regulations. This is demonstrated by a
4 — State Programs

The information in this document is not by any means a complete representation of EPA’s regulations or policies,

but is an introduction to the topic used for Call Center training purposes.

statement, signed by the state attorney general, certifying that the state has the legal authority to

implement and enforce the regulations submitted in the application and that the submitted

regulations are adequate to meet authorization standards (⁄271.7). 

MEMORANDUM OF AGREEMENT

A memorandum of agreement (MOA) serves as a contract between the state and the Regional

Administrator. This agreement identifies each party’s roles and responsibilities and how the state

and Region plan to measure achievements. According to ⁄271.8, the MOA must address:

• Cooperative activities in areas for which the state is not authorized (e.g., joint permitting)

• Transitional activities (e.g., transfer of permit or delisting applications)

• Enforcement and oversight authorities that EPA retains after authorization (e.g., routine

and emergency inspections by EPA)

• Administrative procedures (e.g., sharing information between state and EPA)

• Any state commitments to carry out administrative procedures or variances and waivers

to ensure state’s adherence to authorization standards.

PUBLIC INVOLVEMENT

A state must demonstrate that the public was allowed to participate in the state s decision to

seek final authorization. Prior to submitting the application to EPA, a state seeking program

approval must give public notice across the state (e.g., by publication in major newspaper). The

notice must allow for a 30-day public comment period, as well as a public hearing if comments

are extensive. The state must document public involvement by compiling copies of comments

submitted as well as transcripts, recordings, or summaries of any public hearings held by the

state on program approval. The state must also address the comments received from the public

in the application (⁄271.20).

2.3EPA APPROVAL PROCESS

Once the state has followed the regulatory procedures for submitting an application for

authorization, EPA begins a process to determine whether or not authorization should be granted.

 Some states are not able to receive final authorization immediately because their programs do not

meet minimum federal requirements. As a result, these states can obtain interim authorization. 

Other states with programs that are fully equivalent to the federal program receive final

authorization directly.
State Programs - 5

The information in this document is not by any means a complete representation of EPA’s regulations or policies,

but is an introduction to the topic used for Call Center training purposes.

INTERIM AUTHORZATION

To provide for smoother transitions from federal to state implementation, Congress allowed

interim authorization under both RCRA (⁄3006(c)) and HSWA (⁄3006(g)) statutory provisions

(⁄271.24(a)). Interim authorization was established to allow states to continue operating their

own hazardous waste programs while striving to achieve the requirements for final authorization.

 This provides states with a transition period to adopt all the changes necessary to implement

programs equivalent to the federal requirements. A state with interim authorization can

temporarily implement the state hazardous waste program in lieu of the federal program. 

Although RCRA program interim authorization expired on January 31, 1986, interim

authorization still exists for HSWA provisions. Interim authorization for the HSWA provisions

expires January 1, 2003 (⁄271.24(c)). Any state with HSWA interim authorization must obtain

final authorization by this date or the HSWA program will revert to EPA.

FINAL AUTHORIZATION PROCESS

In order to grant final authorization to a state, the EPA Regional Administrator (RA) must

determine whether or not the state s program meets the federal requirements (See Figure 1). The

RA will review the application and must be satisfied that the program is consistent with and at

least as stringent as the federal program before approval. After receipt of the state program

application, the RA has 90 days to make a tentative determination in the Federal Register (then

there is an additional 30-day public comment period). Within 90 days of the tentative

determination, the RA must make a final determination and publish a notice in the Federal

Register and major newspapers within the state. The notice must include the reasons for making

any determination and responses to significant comments received (⁄271.20(e)).
6 — State Programs

The information in this document is not by any means a complete representation of EPA’s regulations or policies,

but is an introduction to the topic used for Call Center training purposes.

Figure 1

Initial Program Applications

State Program Approval Process

State issues public notice of intent to seek approval

(⁄2 71.20(a))

30-day coment period (⁄2 71.20(a)(4))

Sufficient public interest

State submits proposed program to EPA for

approval (⁄2 71.20(c))

Within 90 days the Administrator gives notice

of tentative determination in the Federal Register

(⁄2 71.20(d))

Sufficient public interest

(⁄2 71.20(d)(1)?

Public hearinh no earlier than 30 days

after tentative determination (⁄27 1.20(d)(1))

30-day comment period (⁄ 271.20(d)(2))

Within 90 days the Administrator makes a final

determination (⁄2 71.20(e))

The Administrator publishes notices in

the Federal Register and newspapers

addressing reasons for determination

and responding to comments

Public hearing 30 days after

notice (⁄27 1.20(a)(6)

Substantial modification to

program (⁄ 271.20(b))

Further opportunity for

comment

May not require

sufficient public hearing

NO

YES

YES

YES

NO

NO
State Programs - 7

The information in this document is not by any means a complete representation of EPA’s regulations or policies,

but is an introduction to the topic used for Call Center training purposes.

2.4 SUBSEQUENT PROGRAM REVISIONS

Once a state has gained final authorization, it must continually amend and revise its program to

reflect changes in the federal regulations and maintain its authorization status. To revise its

authorized program, a state must submit documentation similar to the documents used in the

initial authorization applications discussed above. The actual documentation required will vary,

depending on the scope of the state modifications and previously submitted application

materials. EPA generally uses a streamlined process for issuing an immediate final rule for

subsequent revision approvals. This means that authorization is automatically effective in 60

days unless adverse comment is received within 30 days (⁄271.21(b)(3)(iii)).

THE CLUSTER RULE

The federal RCRA program is constantly evolving. If states were required to adopt every federal

change into their program as soon as it occurred, they would be continually changing their

requirements. To avoid the burden this would place on state lawmakers and the regulated

community, RCRA only requires that states modify their programs on a yearly basis. Therefore,

a state can incorporate all of the changes of a year into the program at one time. EPA groups new

federal rules into annual clusters (See Figure 2). A state may revise its program by adopting and

becoming authorized for the entire cluster, or may request authorization for parts of a cluster,

provided the state eventually adopts all of the required provisions.

States that have adopted the basic cluster of RCRA regulations, those promulgated before

January 26, 1983, are considered to be base authorized. Rules issued after January 26, 1983,

are each assigned a checklist number, and are grouped into clusters based on the period of time in

which they were promulgated. Each cluster has a name as well as due dates by which authorized

states must submit applications to revise their program to include that group of rules

(⁄271.21(e)). See Appendix G of the State Authorization Manual for a complete list of all

clusters.

To become authorized for new regulations, a state must adopt those regulations in its state

program before applying for authorization. Usually the state needs only to amend its regulations

to reflect the new rules. When this is the case, states have one year from the closing date of the

cluster in which the rule was placed to apply for revisions. Sometimes, however, the

implementing agency lacks the statutory authority from the state legislature to write certain

regulations. If a state statutory change is required before regulations can be issued, a second year

is allowed (⁄271.21(e)(2)(v)).
8 — State Programs

The information in this document is not by any means a complete representation of EPA’s regulations or policies,

but is an introduction to the topic used for Call Center training purposes.

Figure 2

The Cluster System

Cluster

Number*

Cluster

Period

State

Modification

Deadline**

State Revision

Application Deadline

Program Areas

Affected

I July 1, 1984, to

June 30, 1985

July 1, 1986 September 1, 1986 Non-HSWA Rules and

HSWA ⁄3006(f)

NonHSWA

II July 1, 1985, to

June 30, 1986

July 1, 1987 September 1, 1987 Non-HSWA Rules

Clusters

III . . . V July 1, 1986, to

June 30, 1987, etc.

July 1, 1988, etc. September 1, 1988, etc. Non-HSWA Rules

VI July 1, 1989, to

June 30, 1990, etc.

July 1, 1991 September 1, 1991 Non-HSWA Rules

HSWA

I November 8, 1984, to

June 30, 1987

July 1, 1989 September 1, 1989 HSWA Provisions

Clusters

II July 1, 1987, to

June 30, 1990

July 1, 1991 September 1, 1991 HSWA Provisions

I July 1, 1990, to

June 30, 1991

July 1, 1992 September 1, 1992 All HSWA and

Non-HSWA Provisions

II July 1, 1991, to

June 30, 1992

July 1, 1993 September 1, 1993 All HSWA and

Non-HSWA Provisions

RCRA

Clusters

III . . . VII July 1, 1992, to

June 30, 1993, etc.

July 1, 1994, etc. September 1, 1994, etc. All HSWA and

Non-HSWA Provisions

VIII July 1, 1997, to

June 30, 1998

July 1, 1999 September 1, 1999 All HSWA and

Non-HSWA Provisions

IX July 1, 1998, to

June 30, 1999

July 1, 2000 September 1, 2000 All HSWA and

Non-HSWA Provisions

* Checklists 1-8 were issued prior to establishment of the cluster system. State modification deadlines for these

rules are one year from the promulgation date of each rule, or two years if a statutory change is required.

** One additional year provided if statutory change is needed. Can be extended by up to 18 months (see

⁄⁄271.21(e) and (g)).
State Programs - 9

The information in this document is not by any means a complete representation of EPA’s regulations or policies,

but is an introduction to the topic used for Call Center training purposes.

ABBREVIATED REVISION PROCESS

On November 30, 1998, EPA promulgated an abbreviated program revision process in ⁄271.21(h)

(63 FR 65874). EPA believes it is appropriate to have an abbreviated authorization process for

minor or routine rules to be used by states that have already received authorization for the

significant parts of the RCRA program that are being revised. In the future, as EPA proposes

rulemakings, the Agency will also propose to list additional minor or routine rules in Table 1 to

⁄271.21(h). EPA is developing guidance to enable states and Regions to make proper decisions

regarding which previously promulgated rules should be included in an authorization application

that uses the abbreviated procedures (63 FR 65929; November 30, 1998).
10 — State Programs

The information in this document is not by any means a complete representation of EPA’s regulations or policies,

but is an introduction to the topic used for Call Center training purposes.

3. STATE AUTHORIZATION AND EFFECTIVE DATES

The state authorization process and the effective dates of rules depend upon whether EPA

promulgated a rule pursuant to HSWA or RCRA authority, and whether the rule is less stringent

or more stringent than current regulations. 

3.1 EFFECT OF RCRA/HSWA AUTHORITY

Prior to the enactment of HSWA, a state with final authorization administered its hazardous

waste program entirely in lieu of the federal program. This meant the federal requirements no

longer applied in an "authorized" state. When a new, more stringent, federal requirement was

enacted, the state was obligated to enact equivalent authorities within specified time frames, but

the new federal requirements were not effective in the authorized state until the state adopted the

new requirements as state law and received authorization for them. Some federal rules are still

issued based on the original pre-HSWA authority and become effective in authorized states only

when the state adopts the provisions as state law. These rules are known as "non-HSWA"

rulemakings.

In contrast, HSWA amended RCRA by adding ⁄3006(g). Under this section, new requirements

and prohibitions imposed by HSWA take effect in authorized states at the same time that they

take effect in unauthorized states. These regulations are known as "HSWA" provisions. EPA

implements these requirements in authorized states until the state is granted authorization to

implement the new regulation(s). While states must still adopt HSWA provisions as state law to

maintain authorization, HSWA requirements are implemented by EPA in authorized states until

they do so. 

The underlying statutory authority is explained with each new rule in the Federal Register on the

first page under "Summary" and at the end of the preamble in a special section titled

"Applicability of Rules in Authorized States." Until authorized states obtain approval for

HSWA-based requirements, there will be joint state/EPA permitting of facilities in the authorized

state. The MOA must discuss joint permitting responsibilities and procedures.

One example of the applicability of HSWA provisions and non-HSWA provisions in authorized

and non-authorized states is illustrated by the rulemaking that promulgated the wood preserving

listings (F032, F034, and F035). These wood preserving wastes were promulgated pursuant to

both HSWA and non-HSWA authorities. The F032 listing is a HSWA provision, and is

applicable in all states, both authorized and non-authorized. The F034 and F035 listings are nonHSWA provisions. The F034 and F035 listings are effective only in states that are not

authorized for the RCRA program and in states that have incorporated the listings into their state

programs and have received EPA approval for their revised state programs. The F034 and F035
State Programs - 11

The information in this document is not by any means a complete representation of EPA’s regulations or policies,

but is an introduction to the topic used for Call Center training purposes.

listings are not applicable in authorized states that have not yet modified their state programs to

include the listings.

3.2 LESS STRINGENT PROVISIONS

In order to maintain the authority to administer the federal hazardous waste program, authorized

states are generally required to revise their state hazardous waste programs as new federal

regulations are promulgated. Sometimes, however, federal rulemakings are less stringent than the

existing federal standards. In such instances, authorized states are not required to incorporate the

less stringent standards into the state hazardous waste program, and they retain authorization for

the RCRA program. For example, if EPA were to promulgate an exemption for some forms of a

currently listed hazardous waste, authorized states would be under no obligation to adopt the

less stringent rule. The rule would be effective in the authorized state only if adopted by the

state.
12 — State Programs

The information in this document is not by any means a complete representation of EPA’s regulations or policies,

but is an introduction to the topic used for Call Center training purposes.

4. WITHDRAWAL OF AUTHORIZATION

Neither RCRA nor HSWA requires that states apply for initial authorization. Once a state has

been granted authorization, however, it must regularly modify its program to incorporate new

federal requirements in order to maintain full authorization (⁄271.21(e)(1)). An authorized state

must modify its program and submit authorization applications according to the schedule in the

cluster rule, described above. If a state falls behind the schedule set out by the cluster rule, the

Region may grant the state an extension or put it on a compliance schedule (⁄271.21(g)). An

important exception to this requirement is for changes in the federal program that are deemed less

stringent than previous requirements. States are not required to incorporate less stringent

provisions into their hazardous waste programs. 

The Administrator may withdraw program approval of any authorized state when the state no

longer complies with the requirements of Part 271. Withdrawal of program approval may occur

for the following reasons: the state’s legal authority no longer meets the requirements of Part 271,

the operation of the state program does not comply with the Part 271 requirements, the state’s

enforcement program fails to comply with Part 271, or the state program fails to comply with

the terms of the MOA (⁄271.22). The program withdrawal authority is discretionary, however,

and EPA encourages Regions to approve states’ authorization applications, even when there are

elements of a cluster that are incomplete or overdue.

If an authorized state determines that it can no longer comply with the requirements of Part 271,

the state may voluntarily transfer program responsibilities to EPA. In doing so, the state must

give the Administrator 180 days notice of the proposed transfer of all relevant program

information. At least 30 days before the approved transfer occurs, the Administrator must

publish notices of the transfer in the Federal Register and major newspapers within the state.

A transfer of program responsibilities may also occur after the Administrator orders withdrawal

proceedings to begin. Commencement of the proceedings may be under the Administrator’s own

initiative or in response to a petition from an interested person alleging failure of the state to

comply with the requirements of Part 271. A more detailed description of the procedures for

withdrawing approval of a state program is codified in ⁄271.23.