MANUAL

Resource Conservation and Recovery Act

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N ORIENTATION

United States

Environmental Protection 

Agency
RCRA Orientation

Manual

January 2003

EPA530-R-02-016
TABLE OF CONTENTS

Use of the Manual ........................................................................................................................... v

Foreword ......................................................................................................................................... vii

Executive Summary ........................................................................................................................ ES-1

Section I: Introduction to the Resource Conservation and Recovery Act ................................. I-1

Section II: Managing Solid Waste — RCRA Subtitle D ............................................................ II-1

Section III: Managing Hazardous Waste — RCRA Subtitle C .................................................... III-1

Overview .................................................................................................................................. III-1

Chapter 1: Hazardous Waste Identification........................................................................... III-3

Chapter 2: Hazardous Waste Recycling and Universal Wastes ............................................ III-29

Chapter 3: Regulations Governing Hazardous Waste Generators ........................................ III-39

Chapter 4: Regulations Governing Hazardous Waste Transporters ...................................... III-49

Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities .................. III-53

Chapter 6: Land Disposal Restrictions ................................................................................. III-89

Chapter 7: Hazardous Waste Combustion ............................................................................ III-99

Chapter 8: Permitting of Treatment, Storage, and Disposal Facilities ................................. III-109

Chapter 9: Corrective Action to Clean Up Hazardous Waste Contamination ...................... III-121

Chapter 10: Enforcement of Hazardous Waste Regulations ................................................... III-127

Chapter 11: Authorizing States to Implement RCRA ............................................................ III-137

Section IV: Managing Underground Storage Tanks — RCRA Subtitle I .................................... IV-1

Section V: Miscellaneous Statutory Provisions .......................................................................... V-1

Overview .................................................................................................................................. V-1

Chapter 1: Federal Procurement Requirements .................................................................... V-3

Chapter 2: Medical Waste Regulations ................................................................................. V-9

iii
Section VI: RCRA and Its Relationship to Other Environmental Statutes .................................. VI-1

Overview .................................................................................................................................. VI-1

Chapter 1: Legislative Framework for Addressing Hazardous Waste Problems .................. VI-3

Chapter 2: Superfund — The Hazardous Waste Cleanup Program ...................................... VI-9

Section VII: Public Participation .................................................................................................... VII-1

Appendix A: Hazardous Waste Manifest ....................................................................................... A-1

Appendix B: Land Disposal Restrictions Notification Requirements ........................................... B-1

Appendix C: Underground Storage Tank Notification Form ........................................................ C-1

Appendix D: Glossary ................................................................................................................... D-1

Appendix E: Acronyms and Abbreviations ................................................................................... E-1

Appendix F: OSW Organization Chart ......................................................................................... F-1

Appendix G: Environmental Contacts ........................................................................................... G-1

Table of Contents

iv
USE OF THE MANUAL

This document has been reviewed by the U.S. Environmental Protection Agency and has

been approved for publication. Mention of trade names, products, or services does not

convey, and should not be interpreted as conveying, official EPA approval, endorsement, or

recommendation.

This manual serves as an effective introduction to the various facets and basic structure of

the RCRA program designed to regulate solid waste, hazardous waste, and underground

storage tanks. In order to achieve this goal, the RCRA Orientation Manual is designed for

EPA and state staff, members of the regulated community, and the general public who wish to

better understand RCRA. While this manual constitutes a review of the RCRA program, it is

not a substitute for RCRA or its implementing regulations, nor is it a regulation itself. Thus,

it cannot impose legally binding requirements on EPA, states, or the regulated community. In

addition, the manual is not intended to modify or affect in any way existing statutory or

regulatory requirements or Agency policies; it is simply intended to briefly summarize those

requirements and policies. If there is any unintended variation between any statements in this

manual and existing requirements or policy statements, the requirements or policy statements

are controlling.

Further information is available over the Internet on the Office of Solid Waste and

Emergency Response’s Homepage at: http://www.epa.gov/oswer. For more detailed

information about hazardous and nonhazardous solid waste, please see the Office of Solid

Waste’s Homepage at: http://www.epa.gov/osw. Regulatory information and documents are

also available from the RCRA, Superfund & EPCRA Call Center at either (703) 412-9810 in

the Washington DC area or (800) 424-9346 toll-free elsewhere. TDD users should call either

(703) 412-3323 in the Washington DC area or (800) 553-7673 toll-free elsewhere. The Call

Center is accessible over the Internet at http://www/epa.gov/epaoswer/hotline. Many RCRA

guidance documents, publications, and other outreach materials are available on the Internet

at http://www.epa.gov/rcraonline.

v
FOREWORD

This manual updates the 2000 RCRA

Orientation Manual, which has proven to be a

popular and valuable resource for anyone working

with EPA’s solid and hazardous waste management

program or underground storage tank program.

Since the manual’s publication in 1990, the RCRA

program has evolved dramatically. As a result of

changes in the dynamics of solid and hazardous

waste management, as well as changes in the

regulatory expectations and demands of government,

public, and private entities, the RCRA program has

been steadily modified through new regulations,

policies, Agency-wide initiatives, and Congressional

mandates. The manual’s revision reflects the

progress that has been made in the program and

documents the changes in RCRA.

At this time, the RCRA Subtitle C hazardous

waste regulatory framework is completely in place,

and almost all states are implementing large portions

of the program. EPA has achieved significant

progress in establishing provisions to fully protect

both ground water and air resources. Under Subtitle

D, the establishment of municipal solid waste

landfill criteria ensures adequate protection of

human health and the environment from solid waste

disposal practices. In addition, the Agency has

significantly expanded initiatives aimed at reducing

the amount of waste generated, and in the event that

this cannot be achieved, making any resulting waste

management more efficient. Lastly, the Subtitle I

underground storage tank program is being fully

implemented, and tank owners and operators are

working towards upgrading their units to meet the

most current and environmentally protective

management standards.

As we move ahead in the continuing

implementation of RCRA, several priority initiatives

stand out. For example, EPA continues to encourage

waste minimization in order to reduce the quantities

of waste generated and the volume of waste that

needs to be handled by practices such as land

disposal and combustion. Also, the RCRA program

is advancing risk-based regulation by evaluating new

ways to regulate wastes based on the risk that they

might pose to human health and the environment.

Lastly, EPA is increasing the incorporation of states,

the regulated community, and the public into the

regulatory process in order to further a protective

environmental strategy that is easy to implement,

provides feasible compliance options, and takes into

account the interests of citizens.

The continued success of the RCRA program

rests on the involvement of all stakeholders. The

RCRA Orientation Manual provides a mechanism

through which affected parties can learn more about

the program, and it serves as an effective

introduction to the basic structure and various facets

of the RCRA program designed to regulate solid and

hazardous waste.

In addition to this manual, two new documents

provide an informative look back at the past and a

speculative look forward to the future of the RCRA

program. For a look back at past successes, the

report 25 Years of RCRA: Building on Our Past to

Protect Our Future commemorates RCRA’s 25th

Anniversary in October 2001 and highlights the

vii
viii

Forward

accomplishments of RCRA’s protective framework

to date. For a look ahead, the draft white paper

Beyond RCRA: Prospects for Waste and Materials

Management in the Year 2020 identifies trends that

could affect the future of waste management and

resource conservation and also suggests general

strategies that might be used to build a new vision

for the future of the program. For information

regarding document availability contact the RCRA,

Superfund & EPCRA Call Center (see section

entitled Use of the Manual).

The RCRA Orientation Manual was developed

by the Office of Solid Waste, Communications,

Information, and Resources Management Division.

Special thanks to the many individuals at EPA

Headquarters who reviewed the drafts and provided

comments.
ES-1

OVERVIEW

The Resource Conservation and Recovery Act

(RCRA) was enacted in 1976 to address the huge

volumes of municipal and industrial solid waste

generated nationwide. After several amendments,

the Act as it stands today governs the management

of solid and hazardous waste and underground

storage tanks (USTs).

The U.S. Environmental Protection Agency

(EPA) published the RCRA Orientation Manual in

order to educate and inform the public about the

broad requirements of RCRA’s regulatory program.

This manual has proven to be a popular and valuable

resource for anyone working with EPA’s solid and

hazardous waste management program or UST

program.

Since the manual’s initial publication in 1990,

the RCRA program has evolved dramatically. As a

result of changes in the dynamics of solid and

hazardous waste management, as well as changes in

the regulatory expectations and demands of

government, public, and private entities, the RCRA

program has been steadily modified through new

regulations, policies, Agency-wide initiatives, and

Congressional mandates. This revision reflects the

progress that has been made in the program and

documents the changes in RCRA that have occurred

since the last publication in 2000.

RCRA ORIENTATION

MANUAL

EXECUTIVE SUMMARY

FEATURES OF THIS MANUAL

Specifically, this manual outlines RCRA in

seven sections:

• Introduction to RCRA

• Managing Solid Waste — RCRA Subtitle D

• Managing Hazardous Waste — RCRA

Subtitle C

• Managing Underground Storage Tanks —

RCRA Subtitle I

• Miscellaneous Statutory Provisions

• RCRA and Its Relationship to Other

Environmental Statutes

• Public Participation in RCRA.

This manual also contains appendices that

present important RCRA forms and paperwork

requirements, a glossary, a list of acronyms and

abbreviations, an organization chart for EPA’s Office

of Solid Waste, and useful environmental contacts.

MANUAL HIGHLIGHTS

Each of the seven sections of the manual

discusses different aspects of the regulatory

program.
Executive Summary

ES-2

 Introduction to the Resource

Conservation and Recovery Act

• RCRA’s goals are to protect human health and

the environment from the hazards posed by

waste disposal; to conserve energy and natural

resources through waste recycling and recovery;

to reduce or eliminate the amount of waste

generated, including hazardous waste; and to

ensure that wastes are managed in an

environmentally safe manner.

• RCRA, enacted in 1976, is an amendment to the

Solid Waste Disposal Act of 1965. RCRA has

been amended several times, most significantly

by the Hazardous and Solid Waste Amendments

(HSWA) of 1984.

• Within this manual, the acronym RCRA refers

not only to the Statute itself, but also to

corresponding regulations codified in the Code

of Federal Regulations (CFR), guidance, and

policy.

• RCRA addresses three programs — solid waste,

hazardous waste, and USTs.

• RCRA involves several organizations and

entities, including Congress, EPA’s Office of

Solid Waste and Emergency Response

(OSWER), EPA Regions, states, the regulated

community, and the general public.

• Current program initiatives include encouraging

waste minimization, streamlining RCRA

regulations, fostering federal/state partnerships,

and enhancing public access to information.

 Managing Solid Waste — RCRA

Subtitle D

• RCRA’s solid waste management program,

Subtitle D, encourages environmentally sound

solid waste management practices that maximize

the reuse of recoverable material and foster

resource recovery.

• The term solid waste is very broad, including not

only the traditional nonhazardous solid wastes,

such as municipal garbage, but also some

hazardous wastes. RCRA Subtitle D addresses

solid wastes, including those hazardous wastes

that are excluded from the Subtitle C regulations

(e.g., household hazardous waste), and

hazardous waste generated by conditionally

exempt small quantity generators (CESQGs).

• The solid waste management program also

addresses municipal solid waste, which is

generated by businesses and households and is

typically collected and disposed in municipal

solid waste landfills (MSWLFs).

• EPA recommends an integrated, hierarchical

approach to managing municipal solid waste that

includes: source reduction, recycling,

combustion, and landfilling. Source reduction

and recycling are preferred elements of the

system.

• The Subtitle D

program includes

technical criteria for

MSWLFs to ensure

that such landfills

will be fully

protective of human

health and the

environment.

• EPA has a number of programs to encourage

sound waste management — Wastewise, the

Jobs Through Recycling program, unit pricing,

and full cost accounting for municipal solid

waste.

 Managing Hazardous Waste — RCRA

Subtitle C

• The hazardous waste management program,

Subtitle C, is intended to ensure that hazardous

waste is managed safely from the moment it is

generated to the moment it is finally disposed.

• The Subtitle C program includes procedures to

facilitate the proper identification and

classification of hazardous waste.

• While waste recycling and recovery are major

components of RCRA's goals, they must be

implemented consistently with proper hazardous

waste management. As a result, RCRA contains
Executive Summary

ES-3

provisions to ensure safe hazardous waste

recycling, and to facilitate the management of

commonly recycled wastestreams.

• The program also includes standards for those

facilities that generate (i.e., produce), transport,

treat, store, or dispose of hazardous waste.

These standards include requirements for

general facility management and specific

hazardous waste management units. The

provisions for treatment, storage, and disposal

facilities (TSDFs) include additional precautions

to protect ground water and air resources.

• The hazardous waste management program

includes safeguards to protect human health and

the environment from hazardous waste that is

disposed of on the land. These safeguards are

known as the land disposal restrictions (LDR).

RCRA also minimizes the hazards of burning

hazardous waste by imposing strict standards on

combustion units.

• Because EPA wants to limit hazardous waste

treatment, storage, or disposal only to facilities

that can adequately protect human health and the

environment, RCRA requires these facility

owners and operators to obtain a hazardous

waste permit from the Agency.

• Since hazardous waste management may result

in spills or releases into the environment, RCRA

Subtitle C also contains provisions governing

corrective action, or the cleanup of contaminated

air, ground water, and soil.

• The RCRA statute additionally grants EPA broad

enforcement authority to require all hazardous

waste management facilities to comply with the

regulations.

• The Subtitle C program also contains provisions

that allow EPA to authorize state governments to

implement and enforce the hazardous waste

regulatory program. State programs must be at

least as stringent as the federal program.

 Managing Underground Storage

Tanks (UST) — RCRA Subtitle I

• The RCRA Subtitle I UST regulatory program

regulates underground tanks storing petroleum

or hazardous substances.

• In order to protect human health and the

environment from threats posed by releases from

such tanks, the program governs tank design,

construction, installation, operation, release

detection, release

response, corrective

action, closure, and

financial

responsibility.

• Many UST owners

and operators must secure loans from financial

and other institutions to comply with

environmental regulations, such as UST

upgrading and maintenance requirements. The

Subtitle I program contains specific provisions

to protect lending institutions from liability that

they might incur from extending these loans.

• Similar to RCRA Subtitle C, Subtitle I contains

provisions that allow EPA to approve state

government implementation and enforcement of

the UST regulatory program.

• The expense and threats of contamination from

leaking USTs necessitate efficient, effective, and

thorough cleanups. To guarantee that such

cleanups will be conducted in an efficient and

protective manner, Subtitle I also established a

Leaking Underground Storage Tank (LUST)

Trust Fund. The Fund facilitates cleanup

oversight and guarantees cleanups when the

responsible owner and operator cannot take

action, or when the situation requires emergency

response.

 Miscellaneous Statutory Provisions

• Consistent with RCRA’s focus on recycling, the

Statute contains provisions for EPA to encourage

recycling and promote the development of

markets for items with recovered materials

content.
Executive Summary

ES-4

• To help achieve this goal, EPA publishes federal

procurement guidelines that set minimum

recovered materials content standards for certain

designated items. RCRA requires federal

procuring agencies to purchase items composed

of the highest percentage of recovered materials

practicable. These requirements are specified in

Comprehensive Procurement Guidelines (CPG)

and Recovered Materials Advisory Notices

(RMAN).

• RCRA’s focus is not limited to solid waste,

hazardous waste, or USTs. Medical waste can

pose similar threats to human health and the

environment. As a result, RCRA established a

medical waste tracking program to ensure that

such waste is properly handled from the moment

it is generated to the moment it is disposed. This

program was a demonstration program that

began June 22, 1989, and ended June 22, 1991.

At this time, the program has expired and no

federal EPA tracking requirements are currently

in effect, although some states have medical

waste requirements.

 RCRA and Its Relationship to Other

Environmental Statutes

• RCRA is only one of several regulatory

programs in place to protect the environment.

The RCRA regulations work closely with other

environmental statutes such as the Clean Air Act

(CAA); Clean Water Act (CWA); the Emergency

Planning and Community Right-to-Know Act

(EPCRA); the Federal Insecticide, Fungicide,

and Rodenticide Act (FIFRA); the Marine

Protection, Research, and Sanctuaries Act

(MPRSA); the Occupational Safety and Health

Act (OSHA); the Safe Drinking Water Act

(SDWA); and the Toxic Substances Control Act

(TSCA).

• One statute in particular, the Comprehensive

Environmental Response, Compensation, and

Liability Act (CERCLA), or Superfund, is

closely tied to RCRA: both are designed to

protect human health and the environment from

the dangers of hazardous waste. While these

programs are similar, they do have different

regulatory focuses: RCRA regulates how wastes

should be managed to avoid potential threats to

human health and the environment; CERCLA

focuses on actual releases, or substantial threats

of a release in the environment of a hazardous

substance, pollutant, or contaminant, that present

an imminent and substantial threat to human

health.

 Public Involvement in RCRA

• RCRA contains extensive public participation

and involvement provisions to facilitate public

participation in the permitting, corrective action,

and state authorization processes.

• EPA, consistent with the requirements of the

Administrative Procedures Act (APA),

proactively involves the public every time the

Agency issues a rulemaking that establishes or

changes regulatory provisions.

• EPA is committed to equal protection of all

socioeconomic and racial groups in the

implementation and enforcement of the nation’s

environmental laws. Consequently, RCRA seeks

to ensure that all segments of the population

have an equal opportunity to participate in the

regulatory process and equal access to

regulatory information.

• Because the RCRA program as a whole is a

complex regulatory framework, EPA has

established several public outreach and

assistance mechanisms to foster public

involvement. These include access to

information through training grants; the

Freedom of Information Act (FOIA); EPA’s

Office of Ombudsman; the EPA Docket Center;

the EPA Dockets (EDOCKET) Web site; and the

RCRA, Superfund & EPCRA Call Center.
I-1

In this section...

Overview .............................................................. I-1

RCRA: What It Is .................................................. I-2

- The Act .............................................................. I-2

- Regulations ....................................................... I-3

- Guidance and Policy ......................................... I-4

RCRA: How It Works ........................................... I-5

- Subtitle D — Solid Waste .................................. I-5

- Subtitle C — Hazardous Waste ......................... I-5

- Subtitle I — Underground Storage Tanks .......... I-5

Who Is Involved in RCRA? ................................... I-5

RCRA Today ......................................................... I-6

- Waste Minimization ........................................... I-6

- Streamlining RCRA Regulation ......................... I-7

- Subtitle C Federal/State Partnership ................. I-7

- Demonstrating Results ...................................... I-8

Outline of the Manual ........................................... I-8

Summary .............................................................. I-8

OVERVIEW

The Resource Conservation and Recovery Act

(RCRA), an amendment to the Solid Waste Disposal

Act, was enacted in 1976 to address the huge

volumes of municipal and industrial solid waste

generated nationwide.

Once, the amount of waste produced in the

United States was small and its impact on the

environment was viewed as relatively minor. Times

have changed. With the industrial revolution in the

late 1800s, the country began to experience

unparalleled growth. New products were developed,

SECTION I

INTRODUCTION TO THE RESOURCE

CONSERVATION AND RECOVERY ACT

and the consumer was offered an ever-expanding

array of material goods.

This growth continued through the early 20th

Century and accelerated after World War II when

the nation’s industrial base, strengthened by war,

turned its energy toward domestic production. The

results of growth, however, were not all positive.

While the country produced more goods and

prospered economically, it also generated more

waste, both hazardous and nonhazardous. For

example, at the end of

World War II, U.S.

industry was generating

roughly 500,000 metric

tons of hazardous waste

per year. This amount

continued to increase

over the next 50 years. A

national survey conducted

by EPA in 1996 estimated

that 279 million metric tons of hazardous waste were

generated nationwide in 1995, more than a 500-fold

increase.

This phenomenal growth in waste production

was not mirrored by advancements in the field of

waste management. Much of the waste produced

entered the environment, where it often posed a

serious threat to ecological systems and public

health.

In the mid-1970s, it became clear to Congress

and the American people that action had to be taken

to ensure that wastes were managed properly. This

realization began the process that resulted in the

passage of RCRA. The goals set by RCRA are:
Section I: Introduction to the Resource Conservation and Recovery Act

I-2

• To protect human health and the environment

from the hazards posed by waste disposal

• To conserve energy and natural resources

through waste recycling and recovery

• To reduce or eliminate, as expeditiously as

possible, the amount of waste generated,

including hazardous waste

• To ensure that wastes are managed in a manner

that is protective of human health and the

environment.

To achieve these goals, RCRA established three

distinct yet interrelated programs (see Figure I-1).

RCRA Subtitle D, the solid waste program,

encourages states to develop comprehensive plans to

manage nonhazardous industrial solid waste and

municipal solid waste, sets criteria for municipal

solid waste landfills (MSWLFs) and other solid

waste disposal facilities, and prohibits the open

dumping of solid waste. RCRA Subtitle C, the

hazardous waste program, establishes a system for

controlling hazardous waste from the time it is

generated until its ultimate disposal — in effect,

from cradle to grave. RCRA Subtitle I, the

underground storage tank (UST) program, regulates

underground tanks storing hazardous substances and

petroleum products.

Although RCRA creates the framework for the

proper management of hazardous and nonhazardous

solid waste, it does not address the problems of

hazardous waste found at inactive or abandoned

sites or those resulting from spills that require

emergency response. These problems are addressed

by a different act, the Comprehensive Environmental

Response, Compensation, and Liability Act

(CERCLA), commonly called Superfund, which was

enacted in 1980.

This section provides an overview of RCRA,

including the Act, regulations, guidance, and policy.

In addition, this section discusses the three major

programs that comprise RCRA and the

interrelationships between them. Finally, this

section details where RCRA is today, introduces

who is involved in RCRA, and outlines the

remainder of this manual.

RCRA: WHAT IT IS

Although RCRA is the acronym for the

Resource Conservation and Recovery Act, it is often

used interchangeably to refer to the law, the

regulations, and EPA policy and guidance. To avoid

confusion in this manual, the term “the Act” refers

to the public law and statutory requirements passed

by Congress. The term “regulations” is used

interchangeably with standards or regulatory

requirements, and means the rules developed by

EPA to implement the statute.

 The Act

The Act

provides, in broad

terms, general

guidelines for the

waste management

program envisioned

by Congress (e.g.,

EPA is directed to

develop and

promulgate criteria for identifying hazardous waste).

The Act also provides the EPA Administrator (or his

or her representative) with the necessary authority to

develop these broad standards into specific

requirements for the regulated community.

What we commonly know as RCRA, or the Act,

is actually a combination of the first federal solid

waste statutes and all subsequent amendments (see

Figure I-2). In 1965, Congress enacted the Solid

Waste Disposal Act, the first statute that specifically

focused on improving solid waste disposal methods.

The Solid Waste Disposal Act established economic

Figure I-1: RCRA's Three Interrelated Programs

SUBTITLE D

Solid

Waste

Program

SUBTITLE C

Hazardous

Waste

Program

SUBTITLE I

Underground

Storage Tank

Program

THE ACT

The law that describes the

kind of waste management

program that Congress wants

to establish. The Act also

provides the Administrator of

EPA (or his or her designee)

with the authority to

implement the program.
Section I: Introduction to the Resource Conservation and Recovery Act

I-3

incentives for states to

develop planning,

training, research, and

demonstration

projects for the

management of solid

waste. The Act was

amended in 1976 by

RCRA, which

substantially

remodeled the

nation’s solid waste

management system

and laid out the basic

framework of the

current hazardous

waste management

program.

The Act, which

has been amended

several times since

1976, continues to evolve as Congress alters it to

reflect changing waste management needs. The Act

was amended significantly on November 8, 1984, by

the Hazardous and Solid Waste Amendments

(HSWA), which expanded the scope and

requirements of RCRA. HSWA was created largely

in response to citizen concerns that existing methods

of hazardous waste disposal, particularly land

disposal, were not safe. Because of their

significance and differences in their implementation,

HSWA provisions are emphasized throughout this

manual. Congress also revised RCRA in 1992 by

passing the Federal Facility Compliance Act, which

strengthened the authority to enforce RCRA at

federal facilities. In addition, the Land Disposal

Program Flexibility Act of 1996 amended RCRA to

provide regulatory flexibility for the land disposal of

certain wastes.

Today, the Act consists of 10 subtitles (see

Figure I-3). Subtitles A, B, E, F, G, H, and J outline

general provisions; authorities of the Administrator;

duties of the Secretary of Commerce; federal

responsibilities; miscellaneous provisions; research,

development, demonstration, and information

requirements; and medical waste tracking. Other

subtitles lay out the framework for the three major

programs that comprise RCRA Subtitle C (the

hazardous waste management program), Subtitle D

(the solid waste program), and Subtitle I (the UST

program).

The text of the Act can be found at

www.epa.gov/epahome/laws.htm.

 Regulations

The Act includes a Congressional mandate

directing EPA to develop a comprehensive set of

regulations. Regulations, or rulemakings, are

issued by an agency, such as EPA, that translate the

general mandate of a statute into a set of

requirements for the Agency and the regulated

community.

Regulations are developed by EPA in an open

and public manner according to an established

process. When a regulation is formally proposed, it

is published in an official government document

called the Federal Register to notify the public of

EPA’s intent to create new regulations or modify

existing ones. EPA provides the public, which

includes the potentially regulated community, with

an opportunity to submit comments. Following an

established comment period, EPA may revise the

Figure I-2: The Evolution

of Significant RCRA

Legislation

SOLID WASTE DISPOSAL

ACT OF 1965



RESOURCE

CONSERVATION AND

RECOVERY ACT OF 1976



HAZARDOUS AND SOLID

WASTE AMENDMENTS

OF 1984



FEDERAL FACILITIES

COMPLIANCE ACT OF 1992



LAND DISPOSAL PROGRAM

FLEXIBILITY ACT OF 1996

Figure I-3: Outline of the Act

Subtitle Provisions

A General Provisions

B Office of Solid Waste; Authorities of the

Administrator and Interagency Coordinating

Committee

C Hazardous Waste Management

D State or Regional Solid Waste Plans

E Duties of the Secretary of Commerce in Resource

and Recovery

F Federal Responsibilities

G Miscellaneous Provisions

H Research, Development, Demonstration, and

Information

I Regulation of Underground Storage Tanks

J Standards for the Tracking and Management

of Medical Waste
Section I: Introduction to the Resource Conservation and Recovery Act

I-4

proposed rule based on both an

internal review process and

public comments.

The final regulation is

published, or promulgated, in the

Federal Register. Included with

the regulation is discussion of the

Agency’s rationale for the

regulatory approach, known as

preamble language. Final regulations are compiled

annually and incorporated in the Code of Federal

Regulations (CFR) according to a highly structured

format based on the topic of the regulation. This

latter process is called codification, and each CFR

title corresponds to a different

regulatory authority. For

example, EPA’s regulations are

in Title 40 of the CFR. The

codified RCRA regulations can

be found in Title 40 of the

CFR, Parts 240-282. These

regulations are often cited as

40 CFR, with the part listed

afterward (e.g., 40 CFR Part

264), or the part and section (e.g., 40 CFR §264.10).

Although this relationship between an Act and

the regulations is the norm, the relationship between

HSWA and its regulations differs slightly. Congress,

through HSWA, not only provided EPA with a

general mandate to promulgate regulations, but also

placed explicit instructions in the Statute to develop

certain regulations. Many of these requirements are

so specific that EPA incorporated them directly into

the regulations. HSWA is all the more significant

because of the ambitious schedules that Congress

established for implementation of the Act’s

provisions. Another unique aspect of HSWA is that

it established hammer provisions, or statutory

requirements that would go

into effect automatically (with

the force of regulations) if EPA

failed to issue regulations by

certain dates.

The interpretation of

statutory language does not

end with the codification of

regulations. EPA further

clarifies the requirements of the Act and

its regulations through guidance

documents and policy.

The RCRA regulations can be found

at hww.epa.gov/docs/epacfr40/chaptI.info/subch-I.htm.

 Guidance and Policy

Guidance documents are issued by EPA

primarily to provide direction for implementing and

complying with regulations. They are essentially

“how to” documents. For example, the regulations

in 40 CFR Part 270 detail what is required in a

permit application for a

hazardous waste

management facility,

while the guidance for this

Part suggests how to

evaluate a permit

application to ensure that

all information has been

included. Guidance

documents also elaborate

on the Agency’s interpretation of the requirements of

the Act.

Policy statements, on the other hand, specify

operating procedures that should generally be

followed. They are mechanisms used by EPA

program offices to outline the manner in which the

RCRA program are implemented. For example,

EPA’s Office of Solid Waste (OSW) may issue a

policy outlining what

actions should generally

be taken to achieve RCRA

corrective action cleanup

goals. In many cases,

policy statements are

addressed to the staff

working on

implementation, but they

may also be addressed to the regulated community.

REGULATIONS

Legal mechanisms that

establish standards or impose

requirements as mandated by

the Act. RCRA regulations are

promulgated by EPA,

published in the Federal

Register, and codified in the

Code of Federal Regulations.

GUIDANCE = How To

Documents developed

and issued by EPA to

provide instructions on

how to implement the

requirements of either

the Act or regulations.

POLICY = Should Do

Statements developed

by EPA outlining a

position on a topic or

giving instructions on

how a procedure

should be conducted.

Protection of 

Environment

40

PARTS 260 TO 299

Revised as of July 1, 1996
Section I: Introduction to the Resource Conservation and Recovery Act

I-5

RCRA: HOW IT WORKS

The three programs established under RCRA —

solid waste, hazardous waste, and USTs — are

described in detail in the following chapters. To

provide an overall perspective of how RCRA works,

each of these programs and their interrelationships

are briefly summarized here. In this manual, the

Subtitle D (solid waste) program is discussed before

the Subtitle C (hazardous waste) program. Although

this is alphabetically out of order, the structure is

designed for better understanding by the reader.

 Subtitle D — Solid Waste

RCRA Subtitle D focuses on state and local

governments as the primary planning, regulating,

and implementing entities for the management of

nonhazardous solid waste, such as household

garbage and nonhazardous industrial solid waste.

EPA provides these state and local agencies with

information, guidance, policy and regulations

through workshops and publications to help states

and the regulated community make better decisions

in dealing with waste issues, to reap the

environmental and economic benefits of source

reduction and recycling of solid wastes, and to

require upgrading or closure of all environmentally

unsound disposal units. In order to promote the use

of safer units for solid waste disposal, EPA

developed federal criteria for the proper design and

operation of MSWLFs and other solid waste

disposal facilities. Many states have adopted these

criteria into their state solid waste programs.

 Subtitle C — Hazardous Waste

RCRA Subtitle C establishes a federal program

to manage hazardous wastes from cradle to grave.

The objective of the Subtitle C program is to ensure

that hazardous waste is handled in a manner that

protects human health and the environment. To this

end, there are Subtitle C regulations for the

generation, transportation, and treatment, storage, or

disposal of hazardous wastes. In practical terms, this

means regulating a large number of hazardous waste

handlers. As of 1999, EPA had on record 1,575

treatment, storage, and disposal facilities (TSDFs);

17,000 transporters; and about 20,000 large quantity

generators (LQGs).

The Subtitle C program has resulted in perhaps

the most comprehensive regulations EPA has ever

developed. The regulations first identify the criteria

to determine which solid wastes are hazardous, and

then establish various requirements for the three

categories of hazardous waste handlers: generators,

transporters, and TSDFs. In addition, the Subtitle C

regulations set technical standards for the design and

safe operation of TSDFs. These standards are

designed to minimize the release of hazardous waste

into the environment. Furthermore, the regulations

for TSDFs serve as the basis for developing and

issuing the permits required by the Act for each

facility. Permits are essential to making the Subtitle

C regulatory program work, since it is through the

permitting process that EPA or a state applies the

technical standards to TSDFs.

One of the primary differences between Subtitle

C and Subtitle D is the type of waste each regulates.

Subtitle C regulates only hazardous waste, a subset

of solid waste, whereas Subtitle D primarily

manages nonhazardous solid waste.

 Subtitle I — Underground Storage

Tanks

RCRA Subtitle I regulates underground storage

tanks (USTs) that contain petroleum or hazardous

substances (as defined under CERCLA). A major

objective of Subtitle I is to prevent and clean up

releases from tanks. Under Subtitle I, EPA has

developed performance standards for new tanks,

upgrading requirements for existing tanks, and

regulations to prevent, detect, and clean up releases

at all UST sites. State UST programs may be

approved to operate in lieu of the federal program.

WHO IS INVOLVED IN RCRA?

The RCRA program involves many people and

organizations, all with varying roles. Congress and

the President set overall national direction for the

RCRA program through amendments to the Act.

EPA, through its Office of Solid Waste and

Emergency Response (OSWER), translates this
Section I: Introduction to the Resource Conservation and Recovery Act

I-6

direction into operating programs by developing

regulations, guidance, and policy.

Site-specific implementation of the RCRA

program is the responsibility of the EPA Regions and

states. All three RCRA programs — hazardous

waste, solid waste, and USTs — have mechanisms

through which states can exercise key program

responsibilities. Initial federal responsibilities vary

among the different programs.

Under Subtitle D, EPA established minimum

criteria for MSWLFs and required each state to gain

approval for their MSWLF permitting program

through an approval process which ensures that the

state's program meets minimum federal criteria.

Most of the Subtitle D solid waste program is

overseen by the states and compliance is assured

through state-issued permits.

State involvement in the Subtitle C program is

similar to involvement in the Subtitle D program.

Under Subtitle C, in the authorization process, EPA

reviews a state’s hazardous waste program and, if it

is at least as stringent as the federal program, grants

the state authority to implement its own program in

lieu of the federal program. These states are known

as authorized states.

Under Subtitle I, EPA also allows state UST

programs to operate in lieu of the federal program

provided that a state’s regulatory provisions are at

least as stringent as the federal provisions.

The regulated community that must understand

and comply with RCRA and its

regulations is a large, diverse

group. It includes not only

facilities typically thought of as

hazardous waste generators, such

as industrial manufacturers, but

also government agencies and

small businesses, such as a local

dry cleaner generating small

amounts of hazardous solvents,

or a gas station with underground

petroleum tanks.

Lastly, the general public

plays a key role in RCRA by

providing input and comments

during almost every stage of the program’s

development and implementation, through

rulemaking participation and comments on TSDF

permits.

RCRA TODAY

When RCRA was first enacted in 1976, EPA was

faced with a huge implementation task. The bulk of

the activity during the first few years focused on

developing basic regulations for the management of

both hazardous and nonhazardous solid waste in

order to provide adequate protection of human

health and the environment. Although most of these

elementary standards are now in place, the RCRA

program has not remained stagnant. EPA continues

to measure and analyze the program’s results to help

identify ways to make the RCRA program more

efficient and achieve better, more cost-effective

protection of public health and the environment.

 Waste Minimization

EPA has devoted much of its efforts in the past

to the treatment and cleanup of pollutants after they

are generated. In fact, great strides have been made

in environmental protection over the past 20 years.

EPA realizes, however, that there are environmental

and economic incentives to reducing or eliminating

waste before it is even generated. Consequently,

both the RCRA solid and hazardous waste programs

have adopted waste minimization elements. EPA

uses the term waste minimization to mean the

reduction, to the extent feasible,

of solid and hazardous waste.

Both programs emphasize source

reduction (reducing waste at its

source, before it is even

generated) and environmentally

sound recycling.

In the text of HSWA,

Congress specifically declared

that the reduction or elimination

of hazardous waste generation at

the source should be a priority of

the RCRA hazardous waste

program. To encourage

hazardous waste minimization
Section I: Introduction to the Resource Conservation and Recovery Act

I-7

nationwide, EPA

developed the Waste

Minimization National

Plan. This initiative

promotes a long-term

national effort to

minimize the generation

of hazardous chemicals

in wastes. The goals of

the National Plan include:

• Reducing the presence of the most persistent,

bioaccumulative, and toxic (PBT) chemicals in

hazardous wastes 50% by the year 2005

• Emphasizing source reduction and

environmental source recycling over treatment

and disposal

• Preventing transfers of chemical releases from

one medium (air, water, land) to another.

EPA has also developed strategies and priorities

for encouraging source reduction and recycling of

nonhazardous solid waste streams regulated by

RCRA Subtitle D. EPA envisions a flexible

integrated waste management hierarchy where

source reduction, recycling, waste combustion, and

landfilling all play a part in the successful

management of solid waste at the local level. Source

reduction and recycling are preferred approaches and

are at the top of the management hierarchy. Waste

combustion and landfilling are less emphasized. In

addition, to expand the use of recovered materials,

EPA has developed the procurement program, which

establishes guidelines recommending that federal

agencies purchase products containing recycled

materials.

 Streamlining RCRA Regulation

EPA is currently identifying options to reinvent

the RCRA program by streamlining compliance

requirements. EPA’s reinvention philosophy

includes providing flexibility in how results are

achieved, sharing information and decision-making

with all stakeholders, creating incentives for

compliance with environmental requirements,

lessening the burden of complying with

environmental requirements, and seeking a better

interface with other environmental regulations.

EPA is also placing an increasing emphasis on

making the RCRA hazardous waste program more

risk-based and results-based (i.e., ensuring that the

regulations correspond to the level of risk posed by

the hazardous waste being regulated and that

technicalities will not interfere with the ultimate

goals for a site). This approach is particularly

valuable for the cleanup of contaminated sites.

Placing excessive regulation on sites whose

contamination poses low risks to human health and

the environment may create disincentives for

cleanup. Focusing regulations on risk and results

would allow states greater flexibility in determining

the appropriate way to clean up sites contaminated

with relatively small quantities of hazardous waste.

 Subtitle C Federal/State Partnership

RCRA, like most federal environmental

legislation, encourages states to develop their own

hazardous waste programs as an alternative to direct

implementation of the federal program. At the

inception of RCRA, Congress envisioned that a

successful national program would be put in place

through joint action of the federal and state

governments—EPA would set national goals and

standards based on the Agency’s technical expertise,

and the states would be responsible for

implementing those policies.

Because EPA’s hazardous waste regulations are

developed in stages, over time, the Agency has a

phased approach to approving state programs. Each

state must either adopt the new regulations or

upgrade those elements of its program that do not

meet federal standards. The authorization process is

often long and cumbersome. EPA has developed

streamlined procedures for these state revisions to

make the process quicker and more efficient. These

procedures help reduce the amount of resources

needed for preparing and processing authorization

applications and speed up state implementation of

additional parts of the RCRA program.

WASTE MINIMIZATION

Waste minimization is

the reduction, to the

extent feasible, of

hazardous waste

generated prior to any

treatment, storage, or

disposal of the waste.
Section I: Introduction to the Resource Conservation and Recovery Act

I-8

 Demonstrating Results

As important it is for EPA to develop protective

environmental goals, it is as important to determine

if these goals are actually being achieved.

Recognizing this, Congress enacted the Government

Performance and Results Act (GPRA) of 1993 to

provide for the establishment of strategic planning

and performance measurements throughout the

federal government. The intent of GPRA is to

improve public confidence in federal agencies by

holding agencies accountable for achieving program

results.

EPA adopted the GPRA framework by

developing an Agency-wide strategic plan that

encompasses all EPA offices and program areas.

The strategic plan contains several goals specific to

RCRA, such as preventing pollution, reducing risk

to humans and the environment, better waste

management, and restoration of contaminated waste

sites. As part of the requirements of GPRA, EPA

has also developed specific, quantifiable objectives

for each of these goals. Progress toward these target

objectives are measured and evaluated annually.

This framework ensures that EPA can evaluate the

success of its different programs and can

demonstrate tangible results to the general public.

OUTLINE OF THE MANUAL

The remainder of this manual details the three

RCRA programs briefly discussed in this

introduction. The manual also describes two other

components of RCRA: the federal procurement and

medical waste tracking programs. In addition, the

manual discusses the interrelationships between

RCRA’s Subtitle C program and other

environmental statutes, as well as RCRA’s public

participation provisions. To supplement this

technical description of the RCRA regulatory

program, the manual also contains appendices that

present important RCRA forms and paperwork

requirements, a glossary (for the reader’s

convenience, the terms that appear in this glossary

have been bolded throughout the text), a list of

acronyms and abbreviations, an OSW organization

chart, useful environmental contacts, and a keyword

index.

SUMMARY

RCRA was passed in 1976, as an amendment to

the Solid Waste Disposal Act of 1965, to ensure that

solid wastes are managed in an environmentally

sound manner. The broad goals set by RCRA are:

• To protect human health and the environment

from the hazards posed by waste disposal

• To conserve energy and natural resources

through waste recycling and recovery

• To reduce or eliminate, as expeditiously as

possible, the amount of waste generated,

including hazardous waste

• To ensure that wastes are managed in a manner

that is protective of human health and the

environment.

To achieve the goals, three distinct yet

interrelated programs exist under RCRA:

• Subtitle D – The solid waste program promotes

and encourages the environmentally sound

management of solid waste. It includes

minimum federal technical standards and

guidelines for state solid waste plans.

• Subtitle C – The hazardous waste program

establishes a management system that regulates

hazardous waste from the time it is generated

until its ultimate disposal, in effect, from cradle

to grave.

• Subtitle I – The UST program regulates

underground tanks that contain petroleum or

hazardous substances (as defined under

CERCLA).

There are several components of RCRA:

• Act – The law that describes the kind of waste

management program that Congress wants to

establish. The Act also provides the

Administrator of EPA (or his or her designee)

with the authority to implement the Act.

• Regulations – The legal mechanism that

establishes standards or imposes requirements as

mandated by the Act. RCRA regulations are
Section I: Introduction to the Resource Conservation and Recovery Act

I-9

promulgated by EPA, published in the Federal

Register, and codified in the CFR.

• Guidance – Documents developed and issued by

EPA to provide instructions on how to

implement requirements of either the Act or

regulations.

• Policy – Statements developed by EPA outlining

a position on a topic or giving instructions on

how a procedure should be conducted.

RCRA continues to change with amendments to

the Statute. HSWA, in particular, significantly

expanded both the scope and detailed requirements

of the Act, especially in the context of the land

disposal of hazardous wastes. Congress, EPA,

states, regulated entities, and the general public are

involved in developing and implementing the RCRA

program.

EPA continues to improve the RCRA program

by using measurable results to identify and promote

new initiatives, such as encouraging waste

minimization, improving the federal/state

partnership in the hazardous waste program, and

aiding state and local governments in reaping the

environmental and economic benefits of source

reduction and recycling.
II-1

In this section...

Overview........................................................... II-1

Definition of Solid Waste .................................. II-2

Municipal Solid Waste ...................................... II-2

- Source Reduction ......................................... II-3

- Recycling ...................................................... II-3

- Combustion ................................................... II-4

- Landfilling ...................................................... II-4

Criteria for Solid Waste Disposal Facilities ....... II-5

- Criteria for Classification of Solid Waste

Disposal Facilities and Practices .................. II-5

- Technical Criteria for Solid Waste Disposal

Facilities ........................................................ II-5

- Technical Criteria for Municipal Solid Waste

Landfills ......................................................... II-6

- Conditionally Exempt Small Quantity

Generator Waste Disposal Facilities ............. II-7

- Bioreactor Landfills ....................................... II-8

Assistance to Native American Tribes .............. II-8

Solid Waste Management Initiatives ................ II-9

- WasteWise .................................................... II-9

- Jobs Through Recycling Program................. II-9

- Unit Pricing.................................................... II-10

- Full Cost Accounting for Municipal Solid

Waste ............................................................ II-10

- Extended Product Responsibility .................. II-10

- Green Buildings ............................................ II-10

- Industrial Ecology ......................................... II-11

Summary .......................................................... II-11

Additional Resources ....................................... II-11

OVERVIEW

Since the 1960s, Americans have sought to

provide efficient and favorable methods of waste

management. Congress enacted the Solid Waste

Disposal Act of 1965 to address the growing

quantity of waste generated in the United States and

to ensure its proper management. Subsequent

amendments to the Solid Waste Disposal Act, such

as RCRA, have substantially increased the federal

government’s involvement in solid waste

management.

During the 1980s, solid waste management

issues rose to new heights of public concern in

many areas of the United States because of

increasing solid waste generation, shrinking landfill

capacity, rising disposal costs, and public opposition

to the siting of new landfills. These solid waste

management challenges continue today, as many

communities are struggling to develop costeffective, environmentally protective solutions. The

growing amount of waste generated has made it

SECTION II

MANAGING SOLID WASTE – RCRA SUBTITLE D

WHAT IS A SOLID WASTE?

• Garbage

• Refuse

• Sludges from waste treatment plants, water supply

treatment plants, or pollution control facilities

• Nonhazardous industrial wastes

• Other discarded materials, including solid,

semisolid, liquid, or contained gaseous materials

resulting from industrial, commercial, mining,

agricultural, and community activities.
Section II: Managing Solid Waste – RCRA Subtitle D

II-2

increasingly important for solid waste management

officials to develop strategies to manage wastes

safely and cost-effectively.

 RCRA Subtitle D encourages environmentally

sound solid waste management practices that

maximize the reuse of recoverable material and

foster resource recovery. Solid waste is

predominately regulated by state and local

governments. EPA has, however, promulgated some

regulations pertaining to solid waste, predominately

addressing how disposal facilities should be

designed and operated. EPA’s primary role in solid

waste management includes setting national goals,

providing leadership and technical assistance, and

developing guidance and educational materials. The

Agency has played a major role in this program by

developing tools and information through policy and

guidance to empower local governments, business,

industry, federal agencies, and individuals to make

better decisions in dealing with solid waste issues.

The Agency’s involvement is intended to create

incentives to motivate behavioral change in

reference to solid waste management through a

nonregulatory approach.

This section presents an outline of the Subtitle D

program. In doing so, it defines the terms solid

waste and municipal solid waste, and it describes the

role EPA plays in assisting waste officials in dealing

with solid waste management problems. The section

will provide an overview of the criteria that EPA has

developed for solid waste landfills, and will

introduce some Agency initiatives designed to

promote proper and efficient solid waste

management.

DEFINITION OF SOLID WASTE

RCRA defines the term solid waste as:

• Garbage (e.g., milk cartons and coffee grounds)

• Refuse (e.g., metal scrap, wall board, and empty

containers)

• Sludges from waste treatment plants, water

supply treatment plants, or pollution control

facilities (e.g., scrubber slags)

• Nonhazardous industrial wastes (e.g.,

manufacturing process wastewaters and

nonwastewater sludges and solids)

• Other discarded materials, including solid,

semisolid, liquid, or contained gaseous materials

resulting from industrial, commercial, mining,

agricultural, and community activities (e.g.,

boiler slags).

The term solid waste is very broad, including not

only the traditional nonhazardous solid wastes, such

as municipal garbage, but also some hazardous

wastes. Hazardous waste, a subset of solid waste, is

regulated under RCRA Subtitle C. (Hazardous

waste is fully discussed in Section III.) RCRA

Subtitle D addresses solid wastes, including those

hazardous wastes that are excluded from the Subtitle

C regulations (e.g., household hazardous waste), and

hazardous waste generated by conditionally exempt

small quantity generators (CESQGs).

The definition of solid waste is not limited to

wastes that are physically solid. As noted above,

many solid wastes are liquid, while others are

semisolid or gaseous.

MUNICIPAL SOLID WASTE

Municipal solid waste is a subset of solid waste

and is defined as durable goods (e.g., appliances,

tires, batteries), nondurable goods (e.g., newspapers,

books, magazines), containers and packaging, food

wastes, yard trimmings, and miscellaneous organic

wastes from residential, commercial, and industrial

nonprocess sources (see Figure II-1).

Figure II-I: Products Generated in MSW by

Weight, 2000 (total weight - 232 million tons)

Food waste 11.2%

26 million tons

Yard Trimmings 12 %

28 million tons

Containers and

packaging 32.2%

75 million tons

Nondurable goods 27.5%

64 million tons

Durable goods 15.7%

36.3 million tons

Other 1.5%

3.5 million tons
Section II: Managing Solid Waste – RCRA Subtitle D

II-3

Municipal solid waste generation has grown

steadily over the past 35 years from 88 million tons

per year (2.7 pounds per person per day) in 1960, to

232 million tons per year (4.5 pounds per person per

day) in 2000. While generation of waste has grown

steadily, recycling has also greatly increased. In

1960, only about 7 percent of municipal solid waste

was recycled. By 2000, this figure had increased to

30 percent.

To address the increasing volumes of municipal

solid waste that are generated on a daily basis, EPA

recommends using an integrated, hierarchical

approach to waste management with four

components: source reduction, recycling,

combustion, and landfilling. The hierarchy favors

source reduction to reduce both the volume and

toxicity of waste and to increase the useful life of

manufactured products. Next preferred is recycling,

including composting of yard and food wastes,

because it diverts waste from combustion facilities

and landfills and has positive impacts on both the

environment and the economy. The goal of EPA’s

approach is to use a combination of all these

methods to safely and effectively manage municipal

solid waste. EPA recommends that communities

tailor systems from the four components to meet

their individual needs, looking first to source

reduction, and second to recycling as preferences to

combustion and landfilling (see Figure II-2).

 Source

Reduction

Rather than managing

waste after it is generated,

source reduction is

designed to change the

way products are made

and used in order to

minimize waste

generation. Source

reduction, also called

waste prevention, is

defined as the design,

manufacture, and use of

products in a way that

reduces the quantity and

toxicity of waste

produced when the products reach the end of their

useful lives. The ultimate goal of source reduction is

to decrease the amount and the toxicity of waste

generated. Businesses, households, and state and

local governments can all play an active role in

source reduction. Businesses can manufacture

products with packaging that is reduced in both

volume and toxicity. They can also reduce waste by

altering their business practices (e.g., reusing

packaging for shipping, making double-sided copies,

maintaining equipment to extend its useful life,

using reusable envelopes). Community residents

can help reduce waste by leaving grass clippings on

the lawn or composting them with other yard waste

in their backyards, instead of bagging such materials

for eventual disposal. Consumers play a crucial role

in an effective source reduction program by

purchasing products having reduced packaging or

that contain reduced amounts of toxic constituents.

This purchasing subsequently increases the demand

for products with these attributes. State and local

governments include source reduction in their longterm planning for solid waste management in order

to ensure its effectiveness.

 Recycling

Municipal solid waste recycling refers to the

separation and collection of wastes, their subsequent

transformation or remanufacture into usable or

marketable products or materials, and the purchase

Figure II-2: The Solid Waste Management Hierarchy

Recycling

Source 

Reduction

Combustion

Landfilling

INTEGRATED 

SOLID WASTE 

MANAGEMENT 

SYSTEM

Source reduction, landfilling, recycling, and combustion are all pieces of the solid 

waste management puzzle. Source reduction and recycling are preferred elements of 

the system.

=
Section II: Managing Solid Waste – RCRA Subtitle D

II-4

of products made from recyclable materials. In

2000, 30 percent (70 million tons), of the municipal

solid waste generated in the United States was

recycled (see Figure II-3). Solid waste recycling:

• Preserves raw materials and natural resources

• Reduces the amount of waste that requires

disposal

• Reduces energy use and associated pollution

• Provides business and job opportunities

• Reduces greenhouse gas emissions

• Reduces pollution associated with use of virgin

materials.

Communities can offer a wide range of recycling

programs to their residents, such as drop-off centers,

curbside collection, and centralized composting of

yard and food wastes.

Composting processes are designed to optimize

the natural decomposition or decay of organic

matter, such as leaves and food. Compost, the end

product of composting, is a humus-like material that

can be added to soils to increase soil fertility,

aeration, and nutrient retention. Composting can

serve as a key component of municipal solid waste

recycling activities, considering that food and yard

wastes accounted for 23 percent of the total amount

of municipal solid waste generated in 2000. Some

communities are implementing large-scale

composting programs in an effort to conserve

landfill capacity.

The key to a successful recycling program is to

ensure that the recovered material is actually

reprocessed or remanufactured, and that the products

are bought and used by consumers. Recycling

programs will become more effective as markets

increase for products made from recycled material.

The federal government has developed several

initiatives in order to bolster the use of recycled

products. The federal procurement guidelines,

authorized by RCRA Subtitle F, are designed to

bolster the market for products manufactured from

recycled materials. The procurement program uses

government purchasing to spur recycling and

markets for recovered materials. (This program is

fully discussed in Section V.)

 Combustion

For centuries, burning has been a popular

method of reducing the volume of solid waste.

Before the Clean Air Act (CAA) of 1970 essentially

banned it, the burning of waste was rampant and

uncontrolled. While uncontrolled burning of solid

waste can be detrimental to health and the

environment, confined and controlled burning,

known as combustion, can not only decrease the

volume of solid waste destined for landfills, but can

also recover energy from the waste-burning process.

Modern waste-to-energy facilities use energy

recovered from the burning of solid waste to produce

steam and electricity. In 2000, combustion facilities

handled 15 percent (34 million tons) of the

municipal solid waste generated (see Figure II-3).

Used in conjunction with source reduction and

recycling, combustion can recover resources and

materials and greatly reduce the volume of wastes

entering landfills.

 Landfilling

Despite the effectiveness of source reduction,

recycling, and combustion, there will always be

waste that cannot be diverted from landfills. In fact,

landfilling of solid waste still remains the most

widely used waste management method as

Figure II-3: Management of MSW in the U.S., 2000

(total weight = 232 million tons)

Recycling (including composting) 30%

70 million tons

Land disposal 55%

128 million tons

70 million tons

Combustion 15%

34 million tons
Section II: Managing Solid Waste – RCRA Subtitle D

II-5

Americans landfilled approximately 55 percent (128

million tons) of municipal solid waste in 2000 (see

Figure II-3). Many communities are having

difficulties siting new landfills largely as a result of

increased citizen and local government concerns

about the potential risks and aesthetics associated

with having a landfill in their neighborhoods. To

reduce risks to health and the environment, EPA

developed minimum criteria that solid waste

landfills must meet in order to alleviate some of the

concern raised over landfill siting and health

concerns.

CRITERIA FOR SOLID WASTE

DISPOSAL FACILITIES

One of the initial focuses of the Solid Waste

Disposal Act (as amended by RCRA) was to require

EPA to study the risks associated with solid waste

disposal and to develop management standards and

criteria for solid waste disposal units (including

landfills) in order to protect human health and the

environment. This study resulted in the

development of criteria for classifying solid waste

disposal facilities and practices.

 Criteria for Classification of Solid

Waste Disposal Facilities and

Practices

On September 13, 1979, EPA promulgated

criteria to designate conditions under which solid

waste disposal facilities and practices would not

pose adverse effects to human health and the

environment (Part 257 Subpart A). Facilities failing

to satisfy the criteria were considered open dumps

requiring attention by state solid waste programs.

As a result, open dumps had to either be closed or

upgraded to meet the criteria for sanitary landfills.

States were also required to incorporate provisions

into their solid waste programs to prohibit the

establishment of new open dumps.

 Technical Criteria for Solid Waste

Disposal Facilities

The Part 257, Subpart A regulatory criteria used

to classify solid waste disposal facilities and

practices consist of general environmental

performance standards. The criteria contain

provisions designed to ensure that wastes disposed

of in solid waste disposal units will not threaten

endangered species, surface water, ground water, or

flood plains. Further, owners and operators of

disposal units are required to implement public

health and safety precautions such as disease vector

(e.g., rodents, flies, mosquitoes) controls to prevent

the spread of disease and restrictions on the open

burning of solid waste. In addition, facilities are

required to install safety measures to control

explosive gases generated by the decomposition of

waste, minimize the number of birds attracted to the

waste disposed of in the unit, and restrict public

access to the facility. The criteria also restrict the

land spreading of wastes with high levels of

cadmium and polychlorinated biphenyls (PCBs) in

order to adequately protect ground water from these

dangerous contaminants.

WHAT IS AN OPEN DUMP?

An open dump is defined as a disposal facility that

does not comply with one or more of the Part 257 or

Part 258 Subtitle D criteria. Using the Part 257,

Subpart A criteria as a benchmark, each state

evaluated the solid waste disposal facilities within its

borders to determine which facilities were open dumps

that needed to be closed or upgraded. For each open

dump, the state completed an Open Dump Inventory

Report form that was sent to the Bureau of the

Census. At the end of fiscal years 1981 through 1985,

the Bureau compiled all of the report forms and sent

them to EPA, where they were summarized and

published annually.
Section II: Managing Solid Waste – RCRA Subtitle D

II-6

These criteria serve as minimum technical

standards for solid waste disposal facilities. As a

result, facilities must meet the Part 257 standards to

ensure that ongoing waste management operations

adequately protect human health and the

environment. If they fail to do so, the facility is

classified as an open dump and must upgrade its

operations or close. States have the option of

developing standards more stringent than the Part

257, Subpart A criteria.

 Technical Criteria for Municipal Solid

Waste Landfills

Protection of human health and the environment

from the risks posed by solid waste disposal

facilities was an ongoing concern of Congress after

RCRA was passed in 1976. As a result, HSWA

required EPA to report on the adequacy of existing

solid waste disposal facility criteria and gather

detailed data on the characteristics and quantities of

nonhazardous solid wastes.

Report to Congress on Solid Waste Disposal

In October 1988, EPA submitted a Report to

Congress indicating that the United States was

generating an increasing amount of municipal solid

waste. The Report revealed that approximately 160

million tons of municipal solid waste were generated

each year, 131 million tons of which were landfilled

in just over 6,500 MSWLFs. EPA also reported that

although these landfills used a wide variety of

environmental controls, they may pose significant

threats to ground water and surface water resources.

For instance, rain water percolating through the

landfills can dissolve harmful constituents in the

waste and can eventually seep into the ground,

potentially contaminating ground water. In addition,

improperly maintained landfills can pose other

health risks due to airborne contaminants, or the

threat of fire or explosion.

To address these environmental and health

concerns, and to standardize the technical

requirements for these landfills, EPA promulgated

revised minimum federal criteria in Part 258 for

MSWLFs on October 9, 1991. The criteria were

designed to ensure that MSWLFs receiving solid

waste would be protective of human health and the

environment. All landfills that were not MSWLFs

remained subject to the Part 257, Subpart A criteria.

Criteria for Municipal Solid Waste Landfills

A municipal solid waste landfill is defined as a

discrete area of land or excavation that receives

household waste. A MSWLF may also receive other

types of RCRA Subtitle D wastes, such as

commercial solid waste, nonhazardous sludge,

CESQG waste, and industrial nonhazardous solid

waste. In 2000, there were approximately 2,000

MSWLFs in the United States.

The revised criteria address seven major aspects

of MSWLFs (see Figure II-4):

• Location

• Operation

• Design

• Ground water monitoring

• Corrective action

• Closure and post-closure

• Financial assurance (i.e., responsibility).

Figure II-4: Cross-Section of a Municipal Solid Waste Landfill

Ground Water 

Monitoring Well

Liner Explosive Gas 

Monitoring Well

Leachate Collection 

System
Section II: Managing Solid Waste – RCRA Subtitle D

II-7

The first set of criteria restrict where a MSWLF

may be located. New landfills must meet minimum

standards for placement in or near flood plains,

wetlands, fault areas, seismic impact zones, and

other unstable areas. Because some bird species are

attracted to landfills, the criteria also restrict the

placement of landfills near airports to reduce the bird

hazards (i.e., collisions between birds and aircraft

that may cause damage to the aircraft or injury to the

passengers).

The operating criteria establish daily operating

standards for running and maintaining a landfill.

The standards dictate sound management practices

that ensure protection of human health and the

environment. The provisions require covering the

landfill daily, controlling disease vectors, and

controlling explosive gases. They also prohibit the

open burning of solid waste and require the owner

and operator of the landfill to control unauthorized

access to the unit.

The design criteria require each new landfill to

have a liner consisting of a flexible membrane and a

minimum of two feet of compacted soil, as well as a

leachate collection system. Leachate is formed

when rain water filters through wastes placed in a

landfill. When this liquid comes in contact with

buried wastes, it leaches, or draws out, chemicals or

constituents from those wastes. States with

approved MSWLF permit programs can allow the

use of an alternative liner design that controls

ground water contamination. The liner and

collection system prevent the potentially harmful

leachate from contaminating the soil and ground

water below the landfill.

In order to ensure that the liner and leachate

collection system are working properly and that the

landfill is not contaminating surrounding ground

water resources, MSWLF owners and operators

must also establish a ground water monitoring

program. Through a series of monitoring wells, the

facility owner and operator is alerted if the landfill is

leaking and causing contamination. If contamination

is detected, the owner and operator of the landfill

must perform corrective action (i.e., clean up the

contamination caused by the landfill).

When landfills reach their capacity and can no

longer accept additional waste, the criteria stipulate

procedures for properly closing the facility to ensure

that the landfill does not present any danger to

human health and the environment in the future.

The closure activities at the end of a facility’s use

are often expensive and the owner and operator must

have the ability to pay for them. As a result, the

criteria require each owner and operator to prove

that they have the financial resources to perform

these closure and post-closure activities, as well as

any necessary corrective action.

Most of the solid waste program is overseen by

the states, and compliance is assured through stateissued permits. Each state is to obtain EPA approval

for their MSWLF permitting program. This

approval process assesses whether a state’s program

is sufficient to ensure each landfill’s compliance

with the criteria. In addition to the minimum federal

criteria, states may impose requirements that are

more stringent than the federal requirements.

 Conditionally Exempt Small Quantity

Generator Waste Disposal Facilities

Businesses that produce small amounts of

hazardous waste, known as conditionally exempt

small quantity generators, need not manage their

hazardous waste under the Subtitle C program. This

means that CESQG waste can be disposed of in solid

waste landfills. However, HSWA required EPA to

establish standards to ensure that CESQG waste

disposal in solid waste disposal units did not pose

threats to human health and the environment. As a

result, on July 1, 1996, EPA revised the Part 257,

Subpart B criteria to contain standards for

nonmunicipal, nonhazardous waste disposal units

that receive CESQG hazardous waste. These

revisions addressed location restrictions,

requirements for monitoring for ground water

contamination, and corrective action provisions to

clean up any contamination. (CESQGs are fully

discussed in Section III, Chapter 3.)
Section II: Managing Solid Waste – RCRA Subtitle D

II-8

 Bioreactor Landfills

A bioreactor landfill operates to rapidly

transform and degrade organic waste. The increase

in waste degradation and stabilization is

accomplished through the addition of liquid and air

to enhance microbial processes. This bioreactor

concept differs from the traditional “dry tomb”

municipal landfill approach. thus, decomposition

and biological stabilization of the waste in a

bioreactor landfill can occur in a much shorter time

frame than occurs in a traditional landfill providing a

potential decrease in long-term environmental risks

and landfill operating and post-closure costs. EPA is

currently collection information on the advantages

and disadvantages of bioreactor landfills through

case studies of existing landfills and additional data

so that EPA can identify specific bioreactor

standards or recommend operating parameters.

Additional information about bioreactor landfills

can be found at www.epa.gov/epaoswer/non-hw/

muncpl/landfill/bioreactors.htm.

ASSISTANCE TO NATIVE

AMERICAN TRIBES

EPA developed a municipal solid waste strategy

to assist Native American tribes in the establishment

of healthy, environmentally protective, integrated

solid waste management practices on tribal lands.

The strategy is based on input from tribal focus

groups convened by the National Tribal

Environmental Council and discussions with tribal

organizations, EPA Regional Indian Program

coordinators, other EPA offices, and other federal

agencies with trust responsibilities on Native

American lands. The strategy emphasizes building

tribal municipal solid waste management capacity,

developing tribal organizational infrastructure, and

building partnerships among tribes, states, and local

governments. Direct EPA support of these goals

includes technical assistance, grant funding,

education, and outreach.

Solid waste managers on Native American lands

face unique challenges. To address issues such as

jurisdiction, funding, and staffing, EPA offers

several resource guides featuring in-depth

information specific to Native American lands. The

Agency recognizes that every solid waste

management program needs funding to survive and

that, in an era of tightening budgets, it may be

difficult to find necessary resources. One of EPA’s

ongoing priorities is to make current information

available to help tribes locate the funding they need

to develop and implement safe and effective solid

waste programs.

One such initiative is the Tribal Waste Journal.

The journal contains in-depth information on a

variety of solid and hazardous waste topics including

interviews with representatives from Native

American Tribes and Alaskan Native Villages. Each

issue focuses on a single topic and presents ideas,

approaches, and activities that other Native

American Tribes and Alaskan Native Villages have

successfully employed.

Additionally, EPA has initiated the Tribal Open

Dump Cleanup Project to assist tribes with closure

or upgrade of open dump sites. The project is part of

a Tribal Solid Waste Interagency Workgroup, which

is working to coordinate federal assistance for tribal

solid waste management programs. The cleanup

project’s specific goals include assisting tribes with

1) completing and implementing comprehensive,

integrated waste management plans; 2) developing

realistic solid waste management alternatives; 3)

closing or upgrading existing open dumps; and 4)

developing post-closure programs.

Outreach and education materials are two other

tools EPA provides to tribes to support

environmentally sound integrated solid waste

management practices. The Agency’s outreach

support helps tribes connect and learn from each

other’s experiences. Educational resources help

tribal leadership as well as the general tribal

community understand the importance of good

municipal solid waste management. Better

understanding ensures that tribal municipal solid

waste programs are assigned a high priority and

facilitates the communities’ adoption of new and

improved waste disposal practices.
Section II: Managing Solid Waste – RCRA Subtitle D

II-9

SOLID WASTE MANAGEMENT

INITIATIVES

With the bulk of the RCRA Subtitle D program

already in place, EPA launched several new

initiatives to further the development of the solid

waste management program. These initiatives

promote proper waste management, and encourage

source reduction by both industry and the public.

 WasteWise

Many companies,

institutions, and governments

have demonstrated that they

can save money by reducing

waste and recycling material

that would otherwise be disposed.

The WasteWise program is designed to assist

companies, states, local governments, Native

American tribes, and other institutions in developing

cost-effective practices to reduce municipal solid

waste. These partners set and acheive certain goals

within three areas: waste prevention, recycling

collection, and buying or manufacturing recycled

products. Participation offers the partners several

advantages. EPA provides technical assistance,

publications, and program updates. Successful

waste reduction efforts are highlighted in EPA

documents, magazines, and trade publications.

Participating organizations can also use the

WasteWise logo to promote their participation.

These benefits along with the direct financial

savings that result from waste prevention and

recycling activities are helping to improve waste

management and resource efficiency. In 1999,

partners eliminated over 9 million tons of materials

through waste prevention, continuing the upward

trend in waste reduction. Partners also recycled over

8.4 million tons in 1999, avoiding approximately

$300 million in disposal costs. Since the program’s

inception in 1994, partners have reduced nearly 32

million tons of waste.

Additional information on the WasteWise

program is found at www.epa.gov/wastewise.

 Jobs Through Recycling Program

To support recycling markets, EPA launched the

Jobs Through Recycling program in 1994. The

goal of the program is to foster markets for recycled

goods by promoting and assisting the development

of businesses using recovered materials, creating

new recycling jobs, and spurring innovative

technologies. Under the program, EPA awards over

$1 million each year in grants to states and tribes.

Jobs Through Recycling funds programs that help

develop or retain intermediate processing and enduse manufacturing capacity for recyclables and

reusable materials. Jobs Through Recycling

supports the development and strengthening of state,

multi-state, and tribal market development and

economic development programs. The activities

funded thus far include the creation of Recycling

Economic Development Advocates (REDAs),

Recycling and Reuse Business Assistance Centers

(RBACs), and commodity-specific demonstration

projects. REDAs are staff in state or tribal economic

development agencies who pursue recycling

business growth, whereas RBACs are state fullservice centers providing business, technical, and

financing assistance to businesses using recovered

materials.

 Jobs Through Recycling bolsters the job market

by actively promoting the recycling industry.

Recycling is estimated to create nearly five times as

many jobs as landfilling. One 1994 study reported

that 103,000 jobs, or 2.7 percent of all

manufacturing jobs in the Northeast region of the

United States, are attributed to recycling. In

addition, the jobs created by recycling businesses

draw from the full spectrum of the labor market

(ranging from low- and semi-skilled jobs to highly

skilled jobs). Materials sorters, dispatchers, truck

drivers, brokers, sales representatives, process

engineers, and chemists are just some of the jobs

needed in the recycling industry.

 Since Jobs Through Recycling’s inception in

1994, $8 million in funding has been awarded to

numerous states, tribes, and multistate organizations.

This funding has helped create more than 8,500 jobs,

generate $640.5 million in capital investment, create

15.3 million tons of landfill capacity, and utilize 13.9

million tons of recovered materials. One job has
Section II: Managing Solid Waste – RCRA Subtitle D

II-10

been created for every $1,040 of Jobs Through

Recycling grant money invested.

Additional information about Jobs through

Recycling is available at www.epa.gov/jtr.

 Unit Pricing

Some communities are using economic

incentives to encourage the public to reduce solid

waste sent to landfills. One of the most successful

economic incentive programs used to achieve source

reduction and recycling is variable rate refuse

collection, or unit pricing. Unit pricing programs,

sometimes referred to as pay-as-you-throw systems,

have one primary goal: customers who dispose of

more waste pay more for the collection and disposal

service. There are a few different types of unit

pricing systems. Most require residents to pay a perbag fee for refuse collection, and require the

purchase of a special bag or tag to place on bags or

cans. Other systems allow customers to choose

between different size containers, and charge more

for collection of larger containers. EPA’s role in the

further development of unit pricing systems has been

to study effective systems in use and to disseminate

documentation to inform other communities about

the environmental and economic benefits that unit

pricing may have for their community. The number

of communities using unit pricing grew to more than

4,033 in 1999 and the population served has more

than tripled since 1990 to over 35 million today.

Additional information about unit pricing or

pay-as-you-throw programs is available at

www.epa.gov/payt.

 Full Cost Accounting for Municipal

Solid Waste

Full cost accounting is an additional financial

management tool that communities can use to

improve solid waste management. Full cost

accounting is an accounting approach that helps

local governments identify all direct and indirect

costs, as well as the past and future costs, of a MSW

management program. Full cost accounting helps

solid waste managers account for all monetary costs

of resources used or committed, thereby providing

the complete picture of solid waste management

costs on an ongoing basis. Full cost accounting can

help managers identify high-cost activities and

operations and seek ways to make them more costeffective.

EPA is continually studying these and other

programs in order to assist communities in deciding

whether one of these programs is right for them. In

addition to these initiatives, EPA has published

numerous guidance documents designed to educate

both industry and the public on the benefits of

source reduction, to guide communities in

developing recycling programs, and to educate

students on the benefits and elements of source

reduction and recycling.

Additional information about full cost

accounting can be found at www.epa.gov/fullcost.

 Extended Product Responsibility

Extended product responsibility, also known

as product stewardship, is a product-centered

approach to environmental protection. This

approach recognizes that lasting and substantial

environmental improvements in product systems can

only occur with the combined expertise, ingenuity,

cooperation, and commitment of each individual

involved in the product chain, from suppliers,

designers, manufacturers, and distributors, to

retailers, customers, recyclers, remanufacturers, and

disposers. Product manufacturers have the greatest

ability, and therefore must take on new

responsibilities to reduce the environmental impacts

of their products. Reducing use of toxic substances

and designing for reuse and recyclability are just a

few ways for companies to rethink their products in

order to provide more value at less environmental

impact.

Additional information about extended product

responsibility is available at www.epa.gov/epaoswer/

non-hw/reduce/epr/index.htm.

 Green Building

Buildings that are designed, constructed,

operated, and ultimately removed in such a way as to
Section II: Managing Solid Waste – RCRA Subtitle D

II-11

minimize their environmental impacts are referred to

as “green” buildings. Green buildings are

characterized by improved energy and water

efficiency, use of renewable sources of energy,

improved indoor air quality, and efficient use of

building materials. EPA supports projects to reduce,

reuse, and recycle waste generated from building

construction, renovation, deconstruction, and

demolition. Construction and demolition wastes

commonly include building materials, and products

such as concrete, asphalt, wood, glass, brick, metal,

insulation, and furniture. From incorporating used

or environmentally friendly materials into a

building’s construction or renovation to

disassembling structures for the reuse and recycling

of their components, each phase of a building’s life

cycle offers opportunities to reduce waste.

Additional information about green buildings is

available at www.epa.gov/greenbuilding.

 Industrial Ecology

The study of material and energy flows and their

transformations into products, byproducts, and waste

throughout industrial and ecological systems is the

primary concept of industrial ecology. This

initiative urges industry to seek opportunities for the

continual reuse and recycling of materials through a

system in which processes are designed to consume

only available waste streams and to produce only

usable waste. Wastes from producers and consumers

become input for other producers and consumers,

and resources are cycled through the system to

sustain future generations. Individual processes and

products become part of a n interconnected

industrial system in which new products or

processes evolve out of or consume available waste

streams, water, and energy; in turn, processes are

developed to produce usable resources.

SUMMARY

Subtitle D addresses primarily nonhazardous

solid waste. The term solid waste includes garbage,

refuse, sludges, nonhazardous industrial wastes, and

other discarded materials. Solid waste also includes

hazardous wastes that are excluded from Subtitle C

regulation (e.g., household hazardous waste).

Municipal solid waste, a subset of solid waste, is

waste generated by businesses and households. EPA

recommends an integrated, hierarchical approach to

managing municipal solid waste that includes, in

descending order of preference:

• Source reduction

• Recycling

• Combustion

• Landfilling.

As part of Subtitle D, EPA has developed

detailed technical criteria for solid waste disposal

facilities, including specific criteria for MSWLFs.

These criteria include specific provisions for

MSWLF:

• Location

• Operation

• Design

• Ground water monitoring

• Corrective action

• Closure and post-closure

• Financial assurance (i.e., responsibility).

EPA has helped develop and implement new

initiatives and programs that aid businesses, states,

local governments, and Native American tribes in

implementing effective solid waste management

programs. Focusing particularly on the

environmental and economic benefits of source

reduction and recycling, EPA fosters integrated solid

waste management in communities and businesses.

These initiatives include:

• WasteWi$e

• Jobs Through Recycling program

• Unit pricing

• Full cost accounting

• Extended product responsibility

• Green buildings

• Industrial ecology.

ADDITIONAL RESOURCES

Additional information about municipal

solid waste management can be found at

www.epa.gov/msw.
III-1

In this section...

Overview .......................................................... III-1

Chapter 1: Hazardous Waste Identification .. III-3

Chapter 2: Hazardous Waste Recycling and

Universal Wastes ........................ III-29

Chapter 3: Regulations Governing

Hazardous Waste Generators .... III-39

Chapter 4: Regulations Governing

Hazardous Waste Transporters .. III-49

Chapter 5: Regulations Governing Treatment,

Storage, and Disposal

Facilities ...................................... III-53

Chapter 6: Land Disposal Restrictions ......... III-89

Chapter 7: Hazardous Waste Combustion ... III-99

Chapter 8: Permitting of Treatment, Storage

and Disposal Facilities ................ III-109

Chapter 9: Corrective Action to Clean Up

Hazardous Waste

Contamination ............................. III-121

Chapter 10: Enforcement of Hazardous Waste

Regulations ................................. III-127

Chapter 11: Authorizing States to Implement

RCRA .......................................... III-137

OVERVIEW

The improper management of hazardous waste

poses a serious threat to the health of American

citizens and their environment. When EPA began

developing the hazardous waste management

regulations in the late 1970s, the Agency estimated

that only 10 percent of all hazardous waste was

managed in an environmentally sound manner.

SECTION III

 RCRA SUBTITLE C – 

MANAGING HAZARDOUS WASTE

Some threats posed by the mismanagement of

hazardous waste are obvious. Reports of chemical

accidents or spills of hazardous waste that close

highways, or illegal midnight dumping that

contaminates property, are familiar. Yet, even when

hazardous waste is managed or disposed of in a

careful manner, it may still pose a serious threat to

human health and the environment. For example,

toxic hazardous wastes can leak from a poorly

constructed or improperly maintained hazardous

waste landfill. Such waste contamination can

severely, and sometimes irreversibly, pollute ground

water, the primary source of drinking water for half

the nation.

Ground water pollution is not the only problem

posed by hazardous waste mismanagement. The

improper disposal of hazardous waste has polluted

streams, rivers, lakes, and other surface waters,

killing aquatic life, destroying wildlife, and stripping

areas of vegetation. In other cases, careless waste

disposal has been linked to respiratory illnesses, skin

diseases (including skin cancer), and elevated levels

of toxic materials in the blood and tissue of humans

and domestic livestock. In still other cases, the

mismanagement of hazardous waste has resulted in

fires, explosions, or the generation of toxic gases

that have killed or seriously injured workers and

firefighters.

Since 1980, under RCRA Subtitle C, EPA has

developed a comprehensive program to ensure that

hazardous waste is managed safely: from the

moment it is generated; while it is transported,

treated, or stored; until the moment it is finally

disposed (see Figure III-1). This cradle-to-grave

management system establishes requirements for

each of the following:
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-2

• Hazardous Waste Identification — To facilitate

the proper identification and classification of

hazardous waste, RCRA begins with hazardous

waste identification procedures.

• Hazardous Waste Recycling and Universal

Wastes — To provide for the safe recycling of

hazardous wastes, and facilitate the management

of commonly recycled materials, RCRA

includes provisions for hazardous waste

recycling and universal wastes.

• Hazardous Waste Generators — To ensure

proper and safe waste management, the RCRA

regulations provide management standards for

those facilities that produce hazardous waste,

and provide reduced regulations for facilities

that produce less waste.

• Hazardous Waste Transporters — To govern the

transport of hazardous waste between

management facilities, RCRA regulates

hazardous waste transporters.

• Treatment, Storage, and Disposal Facilities —

To fully protect human health and the

environment from hazardous waste treatment,

storage, and disposal, the TSDF requirements

establish generic facility management standards,

specific provisions governing hazardous waste

management units, and additional precautions

designed to protect soil, ground water, and air

resources.

• Land Disposal Restrictions (LDR) — To reduce

the hazards posed by permanently land disposed

waste, this program requires effective and

expeditious hazardous waste treatment.

• Combustion — To minimize the hazards posed

by the burning of hazardous waste, RCRA

imposes strict standards on units conducting

such combustion.

• Permitting — To ensure that only facilities

meeting the TSDF standards are treating,

storing, and disposing of hazardous waste, and

to provide each TSDF facility with a record of

the specific requirements applicable to each part

of its operation, RCRA requires owners and

operators of these facilities to obtain a permit.

• Corrective Action — Since hazardous waste

management may result in spills or releases into

the environment, the corrective action program

is designed to guide the cleanup of any

contaminated air, ground water, or soil resulting

from such management.

• Enforcement — To ensure that RCRA-regulated

facilities, from generators to TSDFs, comply

with these regulations, RCRA provides EPA

with the authority to enforce provisions of the

Act.

• State Authorization — To empower states and

make enforcement more efficient, RCRA also

allows EPA to authorize state governments to

administer various parts of the RCRA program.

Each of these aspects of the RCRA Subtitle C

program is carefully detailed in separate chapters in

this section.

Figure III-1: RCRA’s Cradle-to-Grave Hazardous Waste Management System

Hazardous Waste 

Generation

Hazardous Waste 

Transportation

 Hazardous Waste 

Disposal
III-3

In this chapter...

Overview........................................................... III-3

Hazardous Waste Identification Process .......... III-4

Is the Material a Solid Waste? .......................... III-4

- Recycled Materials ........................................ III-5

- Secondary Materials ..................................... III-7

- Sham Recycling ............................................ III-9

Is the Waste Excluded? .................................... III-9

- Solid Waste Exclusions ................................. III-10

- Hazardous Waste Exemptions ...................... III-13

- Raw Material, Product Storage, and Process

Unit Waste Exclusions .................................. III-16

- Sample and Treatability Study Exemptions ... III-16

- Dredge Materials Exclusion .......................... III-16

Is the Waste a Listed Hazardous Waste?......... III-17

- Listing Criteria ............................................... III-17

- Hazardous Waste Listings ............................. III-17

- Waste Listed Solely for Exhibiting the

 Characteristic of Ignitability, Corrosivity,

 and/or Radioactivity....................................... III-21

- Delistings ....................................................... III-21

Is the Waste a Characteristic Hazardous

Waste? ............................................................. III-21

- Ignitability...................................................... III-22

- Corrosivity..................................................... III-22

- Reactivity....................................................... III-23

- Toxicity........................................................... III-23

Special Regulatory Conventions ...................... III-24

- Mixture Rule .................................................. III-24

- Derived-From Rule ........................................ III-25

- Contained-In Policy....................................... III-26

Mixed Waste ..................................................... III-27

Summary.......................................................... III-27

OVERVIEW

What is a hazardous waste? Simply defined, a

hazardous waste is a waste with properties that

make it dangerous or capable of having a harmful

effect on human health or the environment.

Unfortunately, in order to develop a regulatory

framework capable of ensuring adequate protection,

this simple narrative definition is not enough.

Determining what is a hazardous waste is

paramount, because only those wastes that have

specific attributes are subject to Subtitle C

regulation.

Making this determination is a complex task

which is a central component of the hazardous

waste management regulations. Hazardous waste is

generated from many sources, ranging from

industrial manufacturing process wastes, to

batteries, to fluorescent light bulbs. Hazardous

waste may come in many forms, including liquids,

solids, gases, and sludges. To cover this wide range,

EPA has developed a system to identify specific

substances known to be hazardous and provide

objective criteria for including other materials in

this universe. The regulations contain guidelines for

determining what exactly is a waste (called a solid

waste) and what is excluded from the hazardous

waste regulations, even though it otherwise is a

solid and hazardous waste. Finally, to promote

recycling and the reduction of the amount of waste

entering the RCRA system, EPA provides

exemptions for certain wastes when they are

recycled in certain ways.

CHAPTER 1

HAZARDOUS WASTE IDENTIFICATION
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-4

This chapter introduces the hazardous waste

identification process, describes how to determine if

a waste is a solid waste, and provides the regulatory

definition for hazardous waste. It also discusses

those wastes specifically excluded from Subtitle C

regulation, and those wastes exempted when

recycled.

HAZARDOUS WASTE

IDENTIFICATION PROCESS

Proper hazardous waste identification is

essential to the success of the RCRA program. This

identification process can be a very complex task.

Therefore, it is best to approach the issue by asking a

series of questions in a step-wise manner (see Figure

III-2). If facility owners and operators answer the

following questions, they can determine if they are

producing a hazardous waste:

1. Is the material in question a solid waste?

2. Is the material excluded from the definition of

solid waste or hazardous waste?

3. Is the waste a listed or characteristic hazardous

waste?

4. Is the waste delisted?

This chapter will examine these key questions.

IS THE MATERIAL A SOLID

WASTE?

The Subtitle C program uses the term solid

waste to denote something that is a waste. In order

for a material to be classified as a hazardous waste,

it must first be a solid waste. Therefore, the first

step in the hazardous waste identification process is

determining if a material is a solid waste.

The statutory definition points out that whether a

material is a solid waste is not based on the physical

form of the material (i.e., whether or not it is a solid

as opposed to a liquid or gas), but rather that the

material is a waste. The regulations further define

solid waste as any material that is discarded by

being either abandoned, inherently waste-like, a

certain military munition, or recycled (see Figure III3).

Figure III-2: Hazardous Waste Identification Process

1. 6Is material a 

solid waste?

WASTE IS SUBJECT TO RCRA 

SUBTITLE C REGULATION

Yes

2. 6Is waste excluded from 

the definition of solid or 

hazardous waste?

3. 6Is waste a listed or characteristic

hazardous waste?

MATERIAL IS NOT 

SUBJECT TO 

RCRA SUBTITLE C 

REGULATION

4. 6Is waste delisted?

No

Yes

Yes

No

No

Yes

No
Chapter 1: Hazardous Waste Identification

III-5

• Abandoned — The term abandoned simply

means thrown away. A material is abandoned if

it is disposed of, burned, or incinerated.

• Inherently Waste-Like — Some materials pose

such a threat to human health and the

environment that they are always considered

solid wastes; these materials are considered to be

inherently waste-like. Examples of inherently

waste-like materials include certain dioxincontaining wastes.

• Military Munition — Military munitions are all

ammunition products and components produced

for or used by the U.S. Department of Defense

(DOD) or U.S. Armed Services for national

defense and security. Unused or defective

munitions are solid wastes when abandoned (i.e.,

disposed of, burned, incinerated) or treated prior

to disposal; rendered nonrecyclable or

nonuseable through deterioration; or declared a

waste by an authorized military official. Used

(i.e., fired or detonated) munitions may also be

solid wastes if collected for storage, recycling,

treatment, or disposal.

• Recycled — A material is recycled if it is used

or reused (e.g., as an ingredient in a process),

reclaimed, or used in certain ways (used in a

manner constituting disposal, burned for energy

recovery, or accumulated speculatively).

(Recycled materials are fully discussed in

Section III, Chapter 2.)

 Recycled Materials

Materials that are recycled are a special subset

of the solid waste universe. When recycled, some

materials are not solid wastes, and therefore, not

hazardous wastes, while others are solid and

hazardous waste, but are subject to less-stringent

regulatory controls. The level of regulation that

applies to recycled materials depends on the material

and the type of recycling (see Figure

III-4). Because some types of recycling pose threats

to human health and the environment, RCRA does

not exempt all recycled materials from the definition

of solid waste. As a result, the manner in which a

material is recycled will determine whether or not

the material is a solid waste, and therefore

potentially regulated as a hazardous waste. In order

to encourage waste recycling, RCRA exempts three

types of wastes from the definition of solid waste:

• Wastes Used as an Ingredient — If a material is

directly used as an ingredient in a production

process without first being reclaimed, then that

material is not a solid waste.

• Wastes Used as a Product Substitute — If a

material is directly used as an effective

substitute for a commercial product (without

Figure III-3: Is It a Solid Waste?

Is material discarded by being either:

1) Abandoned;

2) Inherently waste-like;

3) A discarded military munition; or

4) Recycled?

MATERIAL IS A SOLID WASTE 

AND MAY BE A HAZARDOUS 

WASTE SUBJECT TO RCRA 

SUBTITLE C REGULATION

Yes

No

MATERIAL IS NOT A 

SOLID WASTE AND IS 

NOT SUBJECT TO 

RCRA SUBTITLE C 

REGULATION
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-6

first being reclaimed), it is exempt from the

definition of solid waste.

• Wastes Returned to the Production Process —

When a material is returned directly to the

production process (without first being

reclaimed) for use as a feedstock or raw

material, it is not a solid waste.

Conversely, materials are solid wastes, and are

not exempt, if they are recycled in certain ways. If

these materials are used in a manner constituting

disposal; burned for energy recovery, used to

produce a fuel, or contained in fuels; accumulated

speculatively; or are dioxin-containing wastes

considered inherently waste-like; then they are

defined as solid wastes.

• Used in a Manner Constituting Disposal — Use

constituting disposal is the direct placement of

wastes or products containing wastes (e.g.,

asphalt with petroleum-refining wastes as an

ingredient) on the land.

• Burned for Energy Recovery, Used to Produce a

Fuel, or Contained in Fuels — Burning

hazardous waste for fuel (e.g., burning for

energy recovery) and using wastes to produce

fuels are regulated activities. Conversely,

commercial products intended to be burned as

fuels are not considered solid wastes. For

example, off-specification jet fuel (e.g., a fuel

with minor chemical impurities) is not a solid

waste when it is burned for energy recovery,

because it is itself a fuel.

• Accumulated Speculatively — In order to

encourage recycling of wastes as well as ensure

that materials are actually recycled, and not

simply stored to avoid regulation, EPA

Figure III-4: Are All Recycled Wastes Hazardous Wastes?

Is waste recycled by being:

1) Used as an ingredient; 

2) Used as a product substitute; or

3) Returned to the production process?

Is recycled waste:

1) Used in a manner constituting disposal; 

2) Burned for energy recovery, used to 

 produce a fuel, or contained in fuels; 

3) Accumulated speculatively; or

4) A dioxin-containing waste considered

 inherently waste-like?

No

WASTE IS A SOLID WASTE

No

WASTE IS NOT A SOLID WASTE

Yes

Facility must determine if waste is a:

1) Spent material; 

2) Sludge; 

3) By-product;

4) Commercial chemical product; or

5) Scrap metal

Is waste reclaimed?

Yes

Yes
Chapter 1: Hazardous Waste Identification

III-7

established a provision to encourage facilities to

recycle sufficient amounts in a timely manner.

This provision designates as solid wastes those

materials that are accumulated speculatively. A

material is accumulated speculatively (e.g.,

stored in lieu of expeditious recycling) if it has

no viable market or if the person accumulating

the material cannot demonstrate that at least 75

percent of the material is recycled in a calendar

year, commencing on January 1 (see Figure

III-5).

• Dioxin-Containing Wastes Considered

Inherently Waste-Like — Dioxin-containing

wastes are considered inherently waste-like

because they pose significant threats to human

health and the environment if released or

mismanaged. As a result, RCRA does not

exempt such wastes from the definition of solid

waste even if they are recycled through direct

use or reuse without prior reclamation. This is

to ensure that such wastes are subject to the most

protective regulatory controls.

 Secondary Materials

Not all materials can be directly used or reused

without reclamation. A material is reclaimed if it is

processed to recover a usable product (e.g., smelting

a waste to recover valuable metal constituents), or if

it is regenerated through processing to remove

contaminants in a way that restores them to their

useable condition (e.g., distilling dirty spent solvents

to produce clean solvents). If secondary materials

are reclaimed before use, their regulatory status

depends on the type of material. For this solid waste

determination process, EPA groups all materials into

five categories. These secondary materials consist

of spent materials, sludges, by-products, commercial

chemical products (CCPs), and scrap metal.

Spent Materials

Spent materials are materials that have been

used and can no longer serve the purpose for which

they were produced without processing. For

example, a solvent used to degrease metal parts will

eventually become contaminated such that it cannot

be used as a solvent until it is regenerated. If a spent

material must be reclaimed, it is a solid waste and is

subject to hazardous waste regulation. Spent

materials are also regulated as solid wastes when

used in a manner constituting disposal; burned for

energy recovery, used to produce a fuel, or contained

in fuels; or accumulated speculatively (see Figure

III-6).

Figure III-5: Materials Accumulated Speculatively

1 2 567 3 4

29

1 2 567 3 4

29

1 2 567 3 4

29

1 2 567 3 4

29

1 2 567 3 4

29

1 2 567 3 4

29

1 2 567 3 4

29

1 2 567 3 4

29

1 2 567 3 4

December 2001

8 9 12 13 14 10 11

15 16 19 20 21 17 18

22 23 26 27 28 24 25

29 30 31

1 2 567 3 4

January 2001

8 9 12 13 14 10 11

15 16 19 20 21 17 18

22 23 26 27 28 24 25

29 30 31

200 lbs. of recyclable material in 

storage

150 lbs. of the same recyclable 

material still in storage

On January 1, 2001, a facility has 200 lbs. of a material that it wants to re-insert directly into its production process. Such a 

material is technically exempt from the definition of solid waste because it is being recycled through direct reuse without prior 

reclamation. However, by the end of the calendar year (December 31, 2001), less than 75 percent (i.e., less than 150 lbs.) of the 

material has been reclaimed or sent off site for reclamation. Therefore, the material has been speculatively accumulated and is 

no longer exempt from the definition of solid waste. The material may then be regulated as a hazardous waste.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-8

Sludges

Sludges are any solid, semisolid, or liquid

wastes generated from a wastewater treatment plant,

water supply treatment plant, or air pollution control

device (e.g., filters, baghouse dust). Sludges from

specific industrial processes or sources (known as

listed sludges) are solid wastes when reclaimed;

used in a manner constituting disposal; burned for

energy recovery, used to produce a fuel, or contained

in fuels; or accumulated speculatively. On the other

hand, characteristic sludges (which are sludges that

exhibit certain physical or chemical properties) are

not solid wastes when reclaimed, unless they are

used in a manner constituting disposal; burned for

energy recovery, used to produce a fuel, or contained

in fuels; or accumulated speculatively (see Figure

III-6). (Listings and characteristics are fully

discussed later in this chapter.)

By-Products

By-products are materials that are not one of

the intended products of a production process. An

example is the sediment remaining at the bottom of a

distillation column. By-product is a catch-all term

and includes most wastes that are not spent materials

or sludges. Listed by-products are solid wastes

when reclaimed; used in a manner constituting

disposal; burned for energy recovery, used to

produce a fuel, or contained in fuels; or accumulated

speculatively. On the other hand, characteristic byproducts are not solid wastes when reclaimed, unless

they are used in a manner constituting disposal;

burned for energy recovery, used to produce a fuel,

or contained in fuels; or accumulated speculatively

(see Figure III-6).

Figure III-6: Regulatory Status of Secondary Materials

These materials are solid wastes when...

Spent Materials

Reclaimed

Used in a manner 

constituting 

disposal

Burned for energy 

recovery, used to produce 

a fuel, or contained in fuels

Accumulated 

speculatively

Listed Sludges

Characteristic Sludges

Listed By-products

Commercial Chemical Products

* If such management is consistent with the product’s normal use, then commercial chemical products used in a 

manner constituting disposal or burned for energy recovery, used to produce a fuel, or contained in fuels are not 

solid wastes. 

√ Material is a solid waste

√

√

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√

√

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√

√

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√

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√

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* *

Characteristic By-products

Scrap Metal
Chapter 1: Hazardous Waste Identification

III-9

Commercial Chemical Products

Commercial chemical products are unused or

off-specification chemicals (e.g., chemicals that have

exceeded their shelf life), spill or container residues,

and other unused manufactured products that are not

typically considered chemicals. CCPs are not solid

wastes when reclaimed, unless they are used in a

manner constituting disposal; or burned for energy

recovery, used to produce a fuel, or contained in

fuels (see Figure III-6).

Scrap Metal

Scrap metal is worn or extra bits and pieces of

metal parts, such as scrap piping and wire, or worn

metal items, such as scrap automobile parts and

radiators. If scrap metal is reclaimed, it is a solid

waste and is subject to hazardous waste regulation

(see also Section III, Chapter 2). Scrap metal is also

regulated as a solid waste when used in a manner

constituting disposal; burned for energy recovery,

used to produce a fuel, or contained in fuels; or

accumulated speculatively. This does not apply to

processed scrap metal which is excluded from

hazardous waste generation entirely (as discussed

later in this chapter).

 Sham Recycling

For all recycling activities, the above rules are

based on the premise that legitimate reclamation or

reuse is taking place. EPA rewards facilities

recycling some wastes by exempting them from

regulation, or by subjecting them to lesser

regulation. Some facilities, however, may claim that

they are recycling a material in order to avoid being

subject to RCRA regulation, when in fact the activity

is not legitimate recycling. EPA has established

guidelines for what constitutes legitimate recycling

and has described activities it considers to be

illegitimate or sham recycling. Considerations in

making this determination include whether the

secondary material is effective for the claimed use, if

the secondary material is used in excess of the

amount necessary, and whether or not the facility has

maintained records of the recycling transactions.

IS THE WASTE EXCLUDED?

Not all RCRA solid wastes qualify as hazardous

wastes. Other factors must be considered before

deciding whether a solid waste should be regulated

as a hazardous waste. Regulation of certain wastes

may be impractical or otherwise undesirable,

regardless of the hazards that the waste might pose.

For instance, household waste can contain dangerous

chemicals, such as solvents and pesticides, but

subjecting households to the strict RCRA waste

management regulations would create a number of

practical problems. As a result, Congress and EPA

exempted or excluded certain wastes, such as

household wastes, from the hazardous waste

definition and regulations. Determining whether or

not a waste is excluded or exempted from hazardous

waste regulation is the second step in the RCRA

hazardous waste identification process. There are

five categories of exclusions:

• Exclusions from the definition of solid waste

• Exclusions from the definition of hazardous

waste

• Exclusions for waste generated in raw material,

product storage, or manufacturing units

• Exclusions for laboratory samples and waste

treatability studies

• Exclusions for dredged material regulated under

the Marine Protection Research and Sanctuaries

Act or the Clean Water Act.

SHAM RECYCLING

Sham recycling may include situations when a

secondary material is:

• Ineffective or only marginally effective for the

claimed use (e.g., using certain heavy metal sludges

in concrete when such sludges do not contribute any

significant element to the concrete’s properties)

• Used in excess of the amount necessary (e.g., using

materials containing chlorine as an ingredient in a

process requiring chlorine, but in excess of the

required chlorine levels)

• Handled in a manner inconsistent with its use as a

raw material or commercial product substitute (e.g.,

storing materials in a leaking surface impoundment

as compared to a tank in good condition that is

intended for storing raw materials).
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-10

If the waste fits one of these categories, it is not

regulated as a RCRA hazardous waste, and the

hazardous waste requirements do not apply.

 Solid Waste Exclusions

A material cannot be a hazardous waste if it does

not meet the definition of a solid waste. Thus,

wastes that are excluded from the definition of solid

waste are not subject to RCRA Subtitle C hazardous

waste regulation. There are 19 exclusions from the

definition of solid waste.

Domestic Sewage and Mixtures of Domestic

Sewage

Domestic sewage, or sanitary waste, comes from

households, office buildings, factories, and any other

place where people live and work. These wastes are

carried by sewer to a municipal wastewater

treatment plant (called a publicly owned treatment

works (POTW)). The treatment of these wastes is

regulated under the Clean Water Act (CWA).

Mixtures of sanitary wastes and other wastes

(including hazardous industrial wastes) that pass

through a sewer system to a POTW are also

excluded from Subtitle C regulation once they enter

the sewer. In certain circumstances, this exclusion

may be applied to domestic sewage and mixtures of

domestic sewage that pass through a federally

owned treatment works (FOTW).

Industrial Wastewater Discharges (Point Source

Discharges)

Another exclusion from RCRA designed to

avoid overlap with CWA regulations applies to point

source discharges. Point source discharges are

discharges of pollutants (e.g., from a pipe, sewer, or

pond) directly into a lake, river, stream, or other

water body. CWA regulates such discharges under

the National Pollutant Discharge Elimination System

(NPDES) permitting program. Under this exclusion

from the definition of solid waste, wastewaters that

are subject to CWA regulations are exempt from

Subtitle C regulation at the point of discharge. Any

hazardous waste generation, treatment, or storage

prior to the discharge is subject to RCRA regulation.

Many industrial facilities that treat wastewater on

site utilize this point source discharge exclusion.

Irrigation Return Flows

When farmers irrigate agricultural land, water

not absorbed into the ground can flow into reservoirs

for reuse. This return flow often picks up pesticide

or fertilizer constituents, potentially rendering it

hazardous. Because this water may be reused on the

fields, it is excluded from the definition of solid

waste.

Radioactive Waste

Radioactive waste is regulated by either the

Nuclear Regulatory Commission or the U.S.

Department of Energy (DOE) under the Atomic

Energy Act (AEA). To avoid duplicative regulation

under RCRA and AEA, RCRA excludes certain

radioactive materials from the definition of solid
Chapter 1: Hazardous Waste Identification

III-11

waste. However, RCRA excludes only the

radioactive components of the waste. If a

radioactive waste is mixed with a hazardous waste,

the resultant mixture is regulated by both AEA and

RCRA as a mixed waste. Similarly, if a facility

generates a hazardous waste that is also radioactive,

the material is a mixed waste and is subject to

regulation under both RCRA and AEA (the

regulatory status of mixed waste is fully discussed

later in this chapter).

In-Situ Mining Waste

In-situ (in-place) mining of certain minerals may

involve the application of solvent solutions directly

to a mineral deposit in the ground. The solvent

passes through the ground, collecting the mineral as

it moves. The mineral and solvent mixtures are then

collected in underground wells where the solution is

removed. Such solvent-contaminated earth, or any

nonrecovered solvent, is excluded from the

definition of solid waste when left in place.

Pulping Liquors

Pulping liquor, also called black liquor, is a

corrosive material used to dissolve wood chips for

manufacturing of paper and other materials. To

promote waste minimization and recycling, EPA

excluded pulping liquors from the definition of solid

waste if they are reclaimed in a recovery furnace and

then reused in the pulping process. If the liquors are

recycled in another way, or are accumulated

speculatively, they are not excluded.

Spent Sulfuric Acid

Spent sulfuric acid may be recycled to produce

virgin sulfuric acid. To promote waste reduction and

recycling, such recycled spent sulfuric acid is

excluded from the definition of solid waste, unless

the facility accumulates the material speculatively.

Closed-Loop Recycling

To further promote waste reduction and

recycling, spent materials that are reclaimed and

returned to the original process in an enclosed

system of pipes and tanks are excluded from the

definition of solid waste, provided that:

• Only tank storage is involved, and the entire

process, through reclamation, is closed to the air

(i.e., enclosed)

• Reclamation does not involve controlled flame

combustion, such as that which occurs in boilers,

industrial furnaces, or incinerators

• Waste materials are never accumulated in tanks

for more than 12 months without being

reclaimed

• Reclaimed materials are not used to produce a

fuel, or used to produce products that are used in

a manner constituting disposal.

An example of such a closed-loop system might

include a closed solvent recovery system in which

the dirty solvents are piped from the degreasing unit

to a solvent still where the solvent is cleaned, and

then piped back to the degreasing unit.

Spent Wood Preservatives

Many wood preserving plants recycle their

wastewaters and spent wood preserving solutions.

These materials are collected on drip pads and

sumps, and are in many cases returned directly to the

beginning of the wood preserving process where

they are reused in the same manner. While the

process resembles a closed-loop recycling process,

the closed-loop recycling exclusion does not apply

because drip pads are open to the air. Consistent

with their objective to encourage recycling

hazardous waste, EPA developed two specific

exclusions for spent wood preserving solutions and

wastewaters containing spent preservatives,

provided that the materials have been reclaimed and

are reused for their original purpose. In addition,

wood preserving solutions and wastewaters are

excluded from the definition of solid waste prior to

reclamation. To use this exclusion, a facility is

required to reuse the materials for their intended

purpose and manage them in a way that prevents

releases to the environment.

Coke By-Product Wastes

Coke, used in the production of iron, is made by

heating coal in high temperature ovens. Throughout

the production process many by-products are
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-12

created. The refinement of these coke by-products

generates several listed and characteristic

wastestreams. However, to promote recycling of

these wastes, EPA provided an exclusion from the

definition of solid waste for certain coke by-product

wastes that are recycled into new products.

Splash Condenser Dross Residue

The treatment of steel production pollution

control sludge generates a zinc-laden residue, called

a dross. This material, generated from a splash

condenser in a high temperature metal recovery

process, is known as a splash condenser dross

residue. Because this material contains 50 to 60

percent zinc, it is often reclaimed, reused, or

processed as a valuable recyclable material. Since

facilities commonly handle this material as a

valuable commodity by managing it in a way that is

protective of human health and the environment,

EPA excluded this residue from the definition of

solid waste.

Hazardous Oil-bearing Secondary Materials and

Recovered Oil from Petroleum Refining

Operations

Petroleum refining facilities sometimes recover

oil from oily wastewaters and reuse this oil in the

refining process. In order to encourage waste

minimization and recycling, EPA excluded such

recovered oil from the definition of solid waste when

it is returned to the refinery. Oil-bearing hazardous

wastes which are recycled back into the petroleum

refining process are also excluded.

In 2002, EPA proposed to conditionally exclude

oil-bearing secondary materials that are processed in

a gasification system to produce synthesis gas fuel

and other non-fuel chemical by-products.

Condensates from Kraft Mill Steam Strippers

The Kraft process, the most commonly used

pulping process today, utilizes various chemicals to

break down wood into pulp. This process generates

overhead gases that are condensed and often

recycled as fuel. To encourage the recycling of these

condensates, EPA excluded them from the definition

of solid waste provided the condensate is combusted

at the mill that generated it.

Comparable Fuels

In order to promote the recycling of materials

with high fuel values, certain materials that are

burned as fuels are excluded from the definition of

solid waste, provided that they meet certain

specifications (i.e., are of a certain degree of purity).

This is to ensure that the material does not exceed

certain levels of toxic constituents and physical

properties that might impede burning. Materials that

meet this specification are considered comparable to

pure or virgin fuels.

Processed Scrap Metal

Scrap metal includes, but is not limited to, pipes,

containers, equipment, wire, and other metal items

that are no longer of use. To facilitate recycling,

scrap metal that has been processed to make it easier

to handle or transport and is sent for metals recovery

is excluded from the definition of solid waste.

Unprocessed scrap metal is still eligible for an

exemption from hazardous waste regulation when

recycled (as discussed in Section III, Chapter 2).

Shredded Circuit Boards

Circuit boards are metal boards that hold

computer chips, thermostats, batteries, and other

electronic components. Circuit boards can be found

in computers, televisions, radios, and other

electronic equipment. When this equipment is

thrown away, these boards can be removed and
Chapter 1: Hazardous Waste Identification

III-13

recycled. Whole circuit boards meet the definition

of scrap metal, and are therefore exempt from

hazardous waste regulation when recycled (as

discussed in Section III, Chapter 2).

On the other hand, some recycling processes

involve shredding the board. Such shredded boards

do not meet the exclusion for recycled scrap metal.

In order to facilitate the recycling of such materials,

EPA excluded recycled shredded circuit boards from

the definition of solid waste, provided that they are

stored in containers sufficient to prevent release to

the environment, and are free of potentially

dangerous components, such as mercury switches,

mercury relays, nickel-cadmium batteries, and

lithium batteries.

Mineral Processing Spent Materials

Mineral processing generates spent materials

that may exhibit hazardous waste characteristics.

Common industry practice is to recycle these

mineral processing wastes back into the processing

operations to recover mineral values. EPA created a

conditional exclusion from the definition of solid

waste for these spent materials when recycled in the

mineral processing industry, provided the materials

are stored in certain types of units and are not

accumulated speculatively.

Petrochemical Recovered Oil

Organic chemical manufacturing facilities

sometimes recover oil from their organic chemical

industry operations. EPA excluded petrochemical

recovered oil from the definition of solid waste when

the facility inserts the material into the petroleum

refining process of an associated or adjacent

petroleum refinery. Only petrochemical recovered

oil that is hazardous because it exhibits the

characteristic of ignitability or exhibits the toxicity

characteristic for benzene (or both) is eligible for the

exclusion.

Spent Caustic Solutions from Petroleum

Refining

Petrochemical refineries use caustics to remove

acidic compounds like mercaptans from liquid

petroleum streams to reduce produce odor and

corrosivity as well as to meet product sulfur

specifications. Spent liquid treating caustics from

petroleum refineries are excluded from the definition

of solid waste if they are used as a feedstock in the

manufacture of napthenic and cresylic acid products.

EPA believes that spent caustic, when used in this

manner, is a valuable commerical feedstock in the

production of these particular products, and is

therefore eligible for an exclusion.

Glass Frit and Fluoride-rich Baghouse Dust

Generated by the Vitrification of K088

In July 2000, EPA proposed that glass frit and

fluoride-rich baghouse dust generated by the

vitrification of K088 be classified as products and

excluded from the definition of solid waste. Glass

frit is usable as a commercial chemical product and

fluoride-rich baghouse dust can be recycled back

into the aluminum reduction pots as electrolyte or

sold as a product for other industrial uses such as

steel making.

Zinc Fertilizers Made from Recycled Hazardous

Secondary Materials

EPA promulgated a conditional exclusion from

the definition of solid waste for hazardous secondary

materials that are recycled to make zinc fertilizers or

zinc fertilizer ingredients. Zinc, an important

micronutrient for plants and animals, can be

removed from zinc-rich manufacturing residue and

used to produce zinc micronutrient fertilizer. A

second conditional exclusion applies to the zinc

fertilizer products made from these secondary

materials.

 Hazardous Waste Exemptions

EPA also exempts certain solid wastes from the

definition of hazardous waste. If a material meets an

exemption from the definition of hazardous waste, it

cannot be a hazardous waste, even if the material

technically meets a listing or exhibits a

characteristic. There are 17 exemptions from the

definition of hazardous waste.

Household Hazardous Waste

Households often generate solid wastes that

could technically be hazardous wastes (e.g., old
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-14

solvents, paints, pesticides, fertilizer, poisons).

However, it would be impossible to regulate every

house in the United States that occasionally threw

away a can of paint thinner or a bottle of rat poison.

Therefore, EPA developed the household waste

exemption. Under this exemption, wastes generated

by normal household activities (e.g., routine house

and yard maintenance) are exempt from the

definition of hazardous waste. EPA has expanded

the exemption to include household-like areas, such

as bunkhouses, ranger stations, crew quarters,

campgrounds, picnic grounds, and day-use

recreation areas. While household hazardous waste

is exempt from Subtitle C, it is regulated under

Subtitle D as a solid waste (as discussed in Section

II).

Agricultural Waste

To prevent overregulation of farms and promote

waste recycling, solid wastes generated by crop or

animal farming are excluded from the definition of

hazardous waste provided that the wastes are

returned to the ground as fertilizers or soil

conditioners. Examples of such wastes are crop

residues and manures.

Mining Overburden

After an area of a surface mine has been

depleted, it is common practice to return to the mine

the earth and rocks (overburden) that were removed

to gain access to ore deposits. When the material is

returned to the mine site, it is not a hazardous waste

under RCRA.

Bevill and Bentsen Wastes

In the Solid Waste Disposal Act Amendments of

1980, Congress amended RCRA by exempting oil,

gas, and geothermal exploration, development, and

production wastes (Bentsen wastes); fossil fuel

combustion wastes; mining and mineral processing

wastes; and cement kiln dust wastes (Bevill wastes)

from the definition of hazardous waste pending

further study by EPA. These wastes were

temporarily exempted because they were produced

in very large volumes, were thought to pose less of a

hazard than other wastes, and were generally not

amenable to the management practices required

under RCRA. The following paragraphs describe

these exemptions in detail.

Fossil Fuel Combustion Waste

In order to accommodate

effective study, fossil fuel

combustion wastes were

divided into two categories,

large-volume coal-fired utility

wastes and remaining wastes.

After studying these wastes,

in 1993, EPA decided to

permanently exempt largevolume coal-fired utility wastes,

including fly ash, bottom ash, boiler slag, and flue

gas emission control waste from the definition of

hazardous waste. Further study by EPA, in 2000,

indicated that all remaining fossil fuel combustion

wastes need not be regulated under RCRA Subtitle

C. However, EPA determined that national nonhazardous waste regulations under RCRA Subtitle D

are appropriate for coal combustion wastes disposed

in surface impoundments and landfills and used as

minefill. These regulations are expected to be

proposed in March of 2003.

Oil, Gas, and Geothermal Wastes

Certain wastes from the exploration and

production of oil, gas, and geothermal energy are

excluded from the definition of hazardous waste.

These wastes include those that have been brought to

the surface during oil and gas exploration and

production operations, and other wastes that have

come into contact with the oil and gas production

stream (e.g., during removal of waters injected into

the drill well to cool the drill bit).

Mining and Mineral Processing Wastes

 Certain wastes from the mining, refining, and

processing of ores and minerals are excluded from

the definition of hazardous waste.

Cement Kiln Dust

Cement kiln dust is a fine-grained solid byproduct generated during the cement manufacturing

process and captured in a facility’s air pollution

control system. After study, EPA decided to develop
Chapter 1: Hazardous Waste Identification

III-15

specific regulatory provisions for cement kiln dust.

Until EPA promulgates these new regulatory

controls, however, cement kiln dust will generally

remain exempt from the definition of hazardous

waste.

Trivalent Chromium Wastes

The element chromium exists in two forms,

hexavalent and trivalent. EPA determined that while

hexavalent chromium poses enough of a threat to

merit regulation as a characteristic hazardous waste,

trivalent chromium does not. Therefore, to prevent

unnecessary regulation, EPA excluded, from the

definition of hazardous waste, trivalent chromiumbearing hazardous wastes from certain leather

tanning, shoe manufacturing, and leather

manufacturing industries.

Arsenically Treated Wood

Discarded arsenically treated wood or wood

products that are hazardous only because they

exhibit certain toxic characteristics (e.g., contain

harmful concentrations of metal or pesticide

constituents), are excluded from the definition of

hazardous waste. Once such treated wood is used, it

may be disposed of by the user (commercial or

residential) without being subject to hazardous waste

regulation. This exclusion is based on the fact that

the use of such wood products on the land is similar

to the common disposal method, which is

landfilling. This exclusion applies only to end-users

and not to manufacturers.

Petroleum-Contaminated Media and Debris from

Underground Storage Tanks

USTs are used to store petroleum (e.g., oil) and

hazardous substances (e.g., ammonia). When these

tanks leak, the UST program under RCRA Subtitle I

provides requirements for cleaning up such spills

(the regulatory requirements for USTs are fully

discussed in Section IV). To facilitate the corrective

action process under the UST regulations,

contaminated media (soils and ground water) and

debris (tanks and equipment) at sites undergoing

UST cleanup that are hazardous only because they

exhibit certain toxic characteristics (e.g., contain a

harmful concentrations of leachable organic

constituents) are excluded from the definition of

hazardous waste.

Spent Chlorofluorocarbon Refrigerants

Chlorofluorocarbons (CFCs) released to the

atmosphere damage the stratospheric ozone layer.

To promote recycling and discourage the practice of

venting used CFCs to the atmosphere as a means of

avoiding Subtitle C regulation, EPA excluded

recycled CFCs from the definition of hazardous

waste since the refrigerants are generally reclaimed

for reuse.

Used Oil Filters

In order to promote the recycling and recovery

of metals and other products from used oil filters,

EPA exempted used oil filters that have been

properly drained to remove the used oil.

Used Oil Distillation Bottoms

When used oil is recycled, residues (called

distillation bottoms) form at the bottom of the

recycling unit. To promote used oil recycling and

the beneficial reuse of waste materials, EPA

excluded these residues from the definition of

hazardous waste when the bottoms are used as

ingredients in asphalt paving and roofing materials.

Landfill Leachate or Gas Condensate Derived

from K169, K171, and K172 Listings

Landfill leachate and landfill gas condensate

derived from previously disposed wastes that now

meet the listing description of one or more of the

petroleum refinery listed wastes K169, K170, K171,

and K172, would be regulated as a listed hazardous

waste. However, EPA temporarily deferred such

landfill leachate and gas condensate from the

definition of hazardous waste provided their

discharge is regulated under the Clean Water Act

(CWA). The exclusion will remain effective while

EPA studies how the landfill leachate and landfill

gas condensate are currently managed, and the effect

of future CWA effluent limitation guidelines for

landfill wastewaters.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-16

Project XL Pilot Project Exclusions

EPA has provided two facilities with sitespecific hazardous waste exclusions pursuant to the

Project XL pilot program. The waste generated from

the copper metalization process at the IBM Vermont

XL project is excluded from the F006 listing. Byproducts resulting from the production of automobile

air bag gas generants at the Autoliv ASP Inc. XL

project in Utah are exempt from regulation as D003

hazardous waste. In addition to these finalized

exclusions, in July of 2001, EPA proposed a sitespecific exclusion for mixed wastes generated at the

Ortho-McNeil Pharmaceutical, Inc. facility in Spring

House, Pennsylvania, under the Project XL program.

 Raw Material, Product Storage, and

Process Unit Waste Exclusions

Hazardous wastes generated in raw material,

product storage, or process (e.g., manufacturing)

units are exempt from Subtitle C hazardous waste

regulation while the waste remains in such units.

These units include tanks, pipelines, vehicles, and

vessels used either in the manufacturing process or

for storing raw materials or products, but specifically

do not include surface impoundments. Once the

waste is removed from the unit, or when a unit

temporarily or permanently ceases operation for 90

days, the waste is considered generated and is

subject to regulation.

 Sample and Treatability Study

Exclusions

Hazardous waste samples are small, discrete

amounts of hazardous waste that are essential to

ensure accurate characterization and proper

hazardous waste treatment. In order to facilitate the

analysis of these materials, RCRA exempts

characterization samples and treatability study

samples from Subtitle C hazardous waste regulation.

Waste Characterization Samples

Samples sent to a lab to determine whether or

not a waste is hazardous are exempt from regulation.

Such samples (typically less than one gallon of

waste) are excluded from Subtitle C regulation,

provided that

these samples are

collected and

shipped for the

sole purpose of

determining

hazardous waste

characteristics or

composition.

Storage, transportation, and testing of

the sample are excluded from RCRA regulation even

when the lab testing is complete, provided the

sample is returned to the generator, and other

specific provisions are met. When shipping the

sample to or from the laboratory, the sample

collector must comply with certain labeling

requirements, as well as any applicable U.S. Postal

Service (USPS) or U.S. Department of

Transportation (DOT) shipping requirements.

Treatability Study Samples

To determine if a particular treatment method

will be effective on a given waste or what types of

wastes remain after the treatment is complete,

facilities send samples of waste to a lab for testing.

EPA conditionally exempts those who generate or

collect samples for the sole purpose of conducting

treatability studies from the hazardous waste

regulations, provided that certain requirements,

including packaging, labeling, and recordkeeping

provisions, are met. In addition, under specific

conditions, laboratories conducting such treatability

studies may also be exempt from Subtitle C

regulation.

 Dredge Materials Exclusions

Dredge materials subject to the permitting

requirements of 404 of the Federal Water Pollution

Control Act of

Section 103 of

the Marine

Protection,

Research, and

Sanctuaries Act

of 1972 are not

considered

hazardous

wastes.
Chapter 1: Hazardous Waste Identification

III-17

IS THE WASTE A LISTED

HAZARDOUS WASTE?

After a facility determines that its waste is a

solid waste and is not either excluded from the

definitions of solid or hazardous waste or exempt

from Subtitle C hazardous waste regulation, the

owner and operator must determine if the waste is a

hazardous waste. The first step in this process is

determining if the waste is a listed hazardous waste.

The hazardous waste listings consist of four lists:

• The F list • The P list

• The K list • The U list.

Listed wastes are wastes from generic industrial

processes, wastes from certain sectors of industry,

and unused pure chemical products and

formulations. Because these wastes are dangerous

enough to warrant full Subtitle C regulation based on

their origin, any waste fitting a narrative listing

description is considered a listed hazardous waste.

 Listing Criteria

Before developing each hazardous waste listing,

EPA thoroughly studies a particular wastestream and

the threats that it can pose to human health and the

environment. If the waste poses sufficient threat,

EPA includes a precise description of that waste on

one of four hazardous waste lists within the

regulations.

In order to determine whether a waste should be

listed in the first place, the Agency developed a set

of criteria to use as a guide and a consistent frame of

reference when considering listing a wastestream.

These criteria were developed by EPA to use in

evaluating whether a waste warrented being listed as

a hazardous waste. These listing criteria cannot be

use by waste handlers for waste identification

purposes. Waste handlers must instead consult the

actual listings to determine if their waste is regulated

as a listed hazardous waste.

There are three different criteria EPA uses to

decide whether or not to list a waste as hazardous.

The three criteria are:

• The waste typically contains toxic chemicals at

levels that could pose a threat to human health

and the environment if improperly managed.

Such wastes are known as toxic listed wastes.

• The waste contains such dangerous chemicals

that it could pose a threat to human health and

the environment even when properly managed.

These wastes are fatal to humans and animals

even in low doses. Such wastes are known as

acute hazardous wastes.

• The waste typically exhibits one of the four

characteristics of hazardous waste: ignitability,

corrosivity, reactivity, and toxicity.

In addition, EPA may list a waste as hazardous, if

it has cause to believe that, for some other reason,

the waste typically fits within the statutory definition

of hazardous waste developed by Congress.

 Hazardous Waste Listings

EPA has applied the listing criteria to hundreds

of specific industrial wastestreams. These wastes

DEFINITION OF HAZARDOUS WASTE

In RCRA §1004(5), Congress defined hazardous waste

as a solid waste, or combination of solid wastes, which

because of its quantity, concentration, or physical,

chemical, or infectious characteristics may:

(a) Cause, or significantly contribute to, an increase in

mortality or an increase in serious irreversible, or

incapacitating reversible, illness; or

(b) Pose a substantial present or potential hazard to

human health or the environment when improperly

treated, stored, transported, or disposed of, or

otherwise managed.

Based on this broad definition, Congress instructed

EPA to develop more specific criteria for defining solid

and hazardous waste. Congress believed that EPA

should define hazardous waste using two different

mechanisms: by listing certain specific solid wastes as

hazardous (i.e., wastes from certain industrial

processes or sources), and by identifying

characteristics (i.e., physical or chemical properties)

which, when exhibited by a solid waste, make it

hazardous. Taking Congress’ lead, EPA proceeded to

develop an elaborate definition of hazardous waste

that included both of these mechanisms.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-18

are grouped into the four lists located at 40 CFR Part

261, Subpart D. Listed wastes are organized as

follows:

• The F list — The F list includes wastes from

certain common industrial and manufacturing

processes. Because the processes generating

these wastes can occur in different sectors of

industry, the F list wastes are known as wastes

from nonspecific sources. The F list is codified

in the regulations at 40 CFR §261.31.

• The K list — The K list includes wastes from

specific industries. As a result, K list wastes are

known as wastes from specific sources. The K

list is found at 40 CFR §261.32.

• The P list and the U list — These two lists

include pure or commercial grade formulations

of specific unused chemicals. Chemicals are

included on the P list if they are acutely toxic. A

chemical is acutely toxic if it is fatal to humans

in low doses, if scientific studies have shown

that it has lethal effects on experimental

organisms, or if it causes serious irreversible or

incapacitating illness. The U list is generally

comprised of chemicals that are toxic, but also

includes chemicals that display other

characteristics, such as ignitability or reactivity.

Both the P list and U list are codified at 40 CFR

§261.33.

Each list includes anywhere from 30 to a few

hundred listed hazardous wastestreams. All of the

wastes on these lists are assigned an identification

number (i.e., a waste code) consisting of the letter

associated with the list (i.e., F, K, P, or U) followed

by three numbers. For example, wastes on the F list

may be assigned a waste code ranging from F001 to

F039, while wastes on the K list may be assigned a

waste code ranging from K001 to K178. These

waste codes are an important part of the RCRA

regulatory system since waste code assignment has

important implications for the future management

standards that will apply to the waste.

The F List: Wastes From Nonspecific Sources

The F list designates hazardous wastes from

common industrial and manufacturing processes.

The F list wastes can be divided into seven groups,

depending on the type of manufacturing or industrial

operation that creates them:

• Spent solvent wastes (waste codes F001 through

F005)

• Electroplating and other metal finishing wastes

(F006 through F012 and F019)

• Dioxin-bearing wastes (F020 through F023 and

F026 through F028)

• Chlorinated aliphatic hydrocarbons production

wastes (F024 and F025)

• Wood preserving wastes (F032, F034, and F035)

• Petroleum refinery wastewater treatment sludges

(F037 and F038)

• Multisource leachate (F039).

Spent Solvent Wastes

The spent solvent waste listings (F001 through

F005) apply to wastestreams that are generated from

HAZARD CODES

To indicate its reason for listing a waste, EPA assigns a

hazard code to each waste listed on the F, K, P, and U

lists. The last four hazard codes in the table below

apply to wastes that have been listed because they

typically exhibit one of the four regulatory

characteristics of hazardous waste. The first two

hazard codes apply to listed wastes whose

constituents pose additional threats to human health

and the environment. The hazard codes indicating the

basis for listing a waste are:

Toxic Waste (T)

Acute Hazardous Waste (H)

Ignitable Waste (I)

Corrosive Waste (C)

Reactive Waste (R)

Toxicity Characteristic Waste (E)*

The hazard codes assigned to listed wastes affect the

regulations that apply to handling the waste. For

instance, acute hazardous wastes accompanied by the

hazard code (H) are subject to stricter management

standards than most other wastes.

*Currently, there are no hazardous wastes listed solely for

exhibiting the toxicity characteristic.
Chapter 1: Hazardous Waste Identification

III-19

the use of certain common organic solvents.

Solvents are commonly used in various industries,

such as mechanical repair, dry cleaning, and

electronics manufacturing, for degreasing and

cleaning in addition to other functions. While

solvents are chemicals with many uses, these listings

only apply to solvents that are used as solvents for

their solvent properties (e.g., to solubilize, dissolve,

or mobilize other constituents) and are spent (e.g.,

cannot be used further without reprocessing). In

addition, these listings only apply to solvents that

contain one or more of the specific organic solvent

constituents found in the F001-F005 narrative

descriptions. Lastly, these listings only cover

solvents that were above a certain concentration

before use.

Electroplating and Other Metal Finishing Wastes

The electroplating and other metal finishing

waste listings (F006 through F012 and F019) apply

to wastestreams that are commonly produced during

electroplating and other metal finishing operations.

Diverse industries use electroplating and other

methods to change the surface of metal objects in

order to enhance the appearance of the objects, make

them more resistant to corrosion, or impart some

other desirable property to them. Industries involved

in plating and metal finishing range from jewelry

manufacture to automobile production.

Dioxin-Bearing Wastes

The dioxin-bearing waste listings (F020 through

F023 and F026 through F028) describe a number of

wastestreams that EPA believes are likely to contain

dioxins, which are allegedly among the most

dangerous known chemical compounds. The dioxin

listings apply primarily to manufacturing process

wastes from the production of specific pesticides or

specific chemicals used in the production of

pesticides. With the exception of F028, all of the

dioxin-bearing wastes are considered acutely

hazardous wastes and are designated with the hazard

code (H). These wastes are therefore subject to

stricter management standards than other hazardous

wastes.

Chlorinated Aliphatic Hydrocarbon Production

Wastes

The chlorinated aliphatic hydrocarbons

production wastes (F024 and F025) list certain

wastestreams produced by the manufacture of

chlorinated aliphatic hydrocarbons. Chlorinated

aliphatic hydrocarbons are used in the manufacture

of certain pesticides and fire retardants. Many other

wastestreams from the manufacture of organic

chemicals are found within the K list, including two

waste codes for chlorinated aliphatic wastes, K174

and K175.

Wood Preserving Wastes

The wood preserving waste listings (F032, F034,

and F035) apply to certain wastes from wood

preserving operations. Most wood used for

construction or other nonfuel applications is

chemically treated to slow the deterioration caused

by decay and insects. For example, telephone poles,

railroad cross ties, and other wood products are

treated to withstand the rigors of outdoor use.

Wood preservation typically involves coating

lumber with pentachlorophenol, creosote, or

preservatives containing arsenic or chromium. The

wood preserving process creates wastestreams

containing these chemicals, such as excess

preservative solution that drips from wood products

after treatment. Waste from wood preservation

using pentachlorophenol is F032, waste from use of

creosote is F034, and waste from treating wood with

arsenic or chromium is F035.

These listings (as well as some K list waste

listings) also apply to a variety of other residues

from wood preserving.

Petroleum Refinery Wastewater Treatment

Sludges

The petroleum refinery wastewater treatment

sludge listings (F037 and F038) apply to specific

wastestreams from petroleum refineries. The

petroleum refining process typically creates large

quantities of contaminated wastewater. Before this

wastewater can be discharged to a river or sewer, it

must be treated to remove oil, solid material, and

chemical pollutants.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-20

To remove most of this oily waste from the

wastewater, refineries typically use two methods. In

the first step, gravity separates the pollutants from

the wastewater. The solids and heavier pollutants

sink to the bottom of a tank, forming a sludge, while

the lighter materials (called float) float to the surface

of the wastewater, where they can be skimmed off.

This sludge is F037. The second step uses physical

(stirring or agitating) and chemical means to

separate remaining pollutants from the wastewater

into sludge and float. This sludge and float are

F038. The K list also includes wastes codes for

certain petroleum wastestreams generated by the

petroleum refining industry. These waste codes are

K048 through K052 and K169 through K172.

Multisource Leachate

The F039 listing applies to multisource leachate,

the liquid material that accumulates at the bottom of

a hazardous waste landfill. The leachate that

percolates through landfills, particularly hazardous

waste landfills, usually contains high concentrations

of chemicals, and is often collected to minimize the

potential for it to enter and contaminate the soil or

ground water below the unit.

The K List: Wastes From Specific Sources

The K list designates hazardous wastes from

specific sectors of industry and manufacturing. Like

F list wastes, K list wastes are manufacturing

process wastes.

To determine whether a waste qualifies as Klisted, a facility must first determine whether the

waste fits within one of the 13 different industrial or

manufacturing categories on the list. Second, a

facility must determine if this waste matches one of

the detailed K list waste descriptions in 40 CFR

§261.32. The 13 industries that generate K list

wastes are:

• Wood preservation

• Organic chemicals manufacturing

• Pesticides manufacturing

• Petroleum refining

• Veterinary pharmaceuticals manufacturing

• Inorganic pigment manufacturing

• Inorganic chemicals manufacturing

• Explosives manufacturing

• Iron and steel production

• Primary aluminum production

• Secondary lead processing

• Ink formulation

• Coking (processing of coal to produce coke, a

material used in iron and steel production).

Previously, the K list also included waste codes

for 17 different industries. However, due to various

court actions taken, EPA withdrew the K waste

codes applicable to wastestreams in the primary

copper, primary lead, primary zinc, and ferroalloys

industries.

The P and U Lists: Discarded Commercial

Chemical Products

The P and U lists designate as hazardous waste

pure and commercial grade formulations of certain

unused chemicals that are being disposed. Unused

chemicals may become wastes for a number of

reasons. For example, some unused chemicals are

spilled by accident. Others are intentionally

discarded because they are off-specification and

cannot serve the purpose for which they were

originally produced. For a waste to qualify as P- or

U-listed, the waste must meet the following three

criteria:

• The waste must contain one of the chemicals

listed on the P or U list

• The chemical in the waste must be unused

• The chemical in the waste must be in the form of

a commercial chemical product (CCP).

For purposes of the P and U lists, a CCP is

defined as a chemical that is one of the following:

• 100 percent pure

• Technical (e.g., commercial) grade

• The sole active ingredient in a chemical

formulation.

While 100 percent pure means that the chemical

is the only chemical constituent in the product,

technical grade means that the formulation is not

100 percent pure, but is of a grade of purity that is

either marketed or recognized in general usage by

the chemical industry. Sole active ingredient means
Chapter 1: Hazardous Waste Identification

III-21

that the chemical is the only ingredient serving the

function of the formulation. For instance, a pesticide

made for killing insects may contain a poison such

as heptachlor, as well as various solvent ingredients

which act as carriers or lend other desirable

properties to the poison. Although all of these

chemicals may be capable of killing insects, only the

heptachlor serves the primary purpose of the

insecticide product. The other chemicals involved

are present for other reasons, not because they are

poisonous. Therefore, heptachlor is the sole active

ingredient in such a formulation even though it may

be present in low concentrations.

 Wastes Listed Solely for Exhibiting

the Characteristic of Ignitability,

Corrosivity, and/or Reactivity

Hazardous wastes listed solely for exhibiting the

characteristic of ignitability, corrosivity, and/or

reactivity are not regulated the same way that other

listed hazardous wastes are regulated under RCRA.

When a waste meets a listing description for one of

the 29 wastes listed solely for exhibiting the

characteristic of ignitability, corrosivity, and/or

reactivity, the waste is not hazardous if it does not

exhibit that characterisitic at the point of generation.

For example, F003 is listed for the characteristic of

ignitability. If a waste is generated and meets the

listing description for F003 but does not exhibit the

characteristic of ignitability, it is not regulated as a

hazardous waste.

 Delistings

The RCRA regulations provide a form of relief

for listed wastes with low concentrations of

hazardous constituents. Through a site-specific

process known as delisting, a waste handler can

submit to an EPA Region or state a petition

demonstrating that even though a particular

wastestream generated at its facility is a listed

hazardous waste, it does not pose sufficient hazard

to merit RCRA regulation. For example, a waste

generated at a specific facility may meet a listing

description even though the process uses different

raw materials than EPA assumed were used when

listing the waste, thus the waste may not contain the

contaminants for which it was listed. Similarly, after

treatment of a listed waste, the residue may no

longer pose a threat to human health and the

environment.

Specifically, the petition must demonstrate that

the waste does not:

• Meet the criteria for which it was listed

• Exhibit any hazardous waste characteristics (as

discussed later in this chapter)

• Pose a threat to human health and the

environment by being hazardous for any other

reason (e.g., does not contain additional

constituents that could pose a threat).

If the EPA Region or state grants a delisting

petition, the particular wastestream at that facility

will not be regulated as a listed hazardous waste.

IS THE WASTE A

CHARACTERISTIC HAZARDOUS

WASTE?

After a facility determines its waste is a solid

waste and is not excluded from the definitions of

solid or hazardous waste, it must determine if the

waste is a hazardous waste. This entails determining

if the waste is listed, and also if the waste is

characteristic. Even if a waste is a listed hazardous

waste, the facility must then determine if the waste

exhibits a characteristic by testing or applying

knowledge of the waste.

Characteristic wastes are wastes that exhibit

measurable properties which indicate that a waste

poses enough of a threat to deserve regulation as

hazardous waste. EPA tried to identify

characteristics which, when present in a waste, can

cause death or illness in humans or lead to

ecological damage. The characteristics are an

essential supplement to the hazardous waste listings.

For example, some wastes may not meet any listing

description because they do not originate from

specific industrial or process sources, but the waste

may still pose threats to human health and the

environment. As a result, a facility is also required

to determine whether such a waste possesses a

hazardous property (i.e., exhibits a hazardous waste
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-22

characteristic). The characteristics are applied to

any RCRA solid waste from any industry.

Even if a waste does meet a hazardous waste

listing description, the facility must still determine if

the waste exhibits a characteristic. If such listed

wastes do exhibit a characteristic, the waste poses an

additional hazard to human health and the

environment, and may necessitate additional

regulatory precautions. For example, wastes that are

both listed and characteristic may have more

extensive LDR requirements, than those that are

only listed (the LDR program is fully discussed in

Section III, Chapter 6).

EPA decided that the characteristics of

hazardous waste should be detectable by using a

standardized test method or by applying general

knowledge of the waste’s properties. Given these

criteria, EPA established four hazardous waste

characteristics:

• Ignitability • Reactivity

• Corrosivity • Toxicity.

 Ignitability

The ignitability characteristic identifies wastes

that can readily catch fire and sustain combustion.

Many paints, cleaners, and other industrial wastes

pose such a hazard. Liquid and nonliquid wastes are

treated differently by the ignitability characteristic.

Most ignitable wastes are liquid in physical

form. EPA selected a flash point test as the method

for determining whether a liquid waste is

combustible enough to deserve regulation as

hazardous. The flash point test determines the

lowest temperature at which the fumes above a

waste will ignite when exposed to flame.

Many wastes in solid or nonliquid physical form

(e.g., wood, paper) can also readily catch fire and

sustain combustion, but EPA did

not intend to regulate most of

these nonliquid materials as

ignitable wastes. A nonliquid

waste is considered ignitable if

it can spontaneously catch fire

or catch fire through friction or

absorption of moisture under

normal handling conditions and can burn so

vigorously that it creates a hazard. Certain

compressed gases are also classified as ignitable.

Finally, substances meeting the Department of

Transportation’s definition of oxidizer are classified

as ignitable wastes. Ignitable wastes carry the waste

code D001 and are among the most common

hazardous wastes. The regulations describing the

characteristic of ignitability are codified at 40 CFR

§261.21.

 Corrosivity

The corrosivity characteristic identifies wastes

that are acidic or alkaline (basic). Such wastes can

readily corrode or dissolve

flesh, metal, or other materials.

They are also among the most

common hazardous wastes.

An example is waste sulfuric

acid from automotive batteries.

EPA uses two criteria to

identify liquid and aqueous

corrosive hazardous wastes.

The first is a pH test. Aqueous

wastes with a pH greater than

or equal to 12.5 or less than or equal to 2 are

corrosive. A liquid waste may also be corrosive if it

has the ability to corrode steel under specific

conditions. Physically solid, nonaqueous wastes are

not evaluated for corrosivity. Corrosive wastes carry

the waste code D002. The regulations describing the

corrosivity characteristic are found at 40 CFR

§261.22.

The ignitability

characteristic

identifies wastes

that can readily

catch fire and

sustain

combustion.

The corrosivity

characteristic

identifies wastes

that are acidic or

alkaline (basic)

and can readily

corrode or

dissolve flesh,

metal, or other

materials.
Chapter 1: Hazardous Waste Identification

III-23

 Reactivity

The reactivity characteristic identifies wastes

that readily explode or undergo violent reactions or

react to release toxic gases or fumes. Common

examples are discarded

munitions or explosives. In

many cases, there is no reliable

test method to evaluate a

waste’s potential to explode,

react violently, or release toxic

gas under common handling

conditions. Therefore, EPA

uses narrative criteria to define

most reactive wastes and requires waste generators

to use their best judgment in applying the narrative

definitions to determine if a waste is sufficiently

reactive to be regulated. This is possible because

reactive hazardous wastes are relatively uncommon

and the dangers that they pose are believed to be

well known to the waste handlers who deal with

them.

A waste is reactive if it meets any of the

following criteria:

• It can explode or violently react when exposed

to water or under normal handling conditions

• It can create toxic fumes or gases when exposed

to water or under normal handling conditions

• It meets the criteria for classification as an

explosive under DOT rules

• It generates toxic levels of sulfide or cyanide gas

when exposed to a pH range of 2 through 12.5.

Wastes exhibiting the characteristic of reactivity

are assigned the waste code D003. The reactivity

characteristic is described in the regulations at 40

CFR §261.23.

 Toxicity

When hazardous waste is disposed of in a land

disposal unit, toxic compounds or elements can

leach into underground drinking water supplies and

expose users of the water to hazardous chemicals

and constituents. EPA developed the toxicity

characteristic (TC) to identify wastes likely to

leach dangerous concentrations of toxic chemicals

into ground water.

In order to predict whether any particular waste

is likely to leach chemicals into ground water at

dangerous levels, EPA designed a lab procedure to

replicate the leaching process and other conditions

that occur when wastes are buried in a typical

municipal landfill. This lab procedure is known as

the Toxicity Characteristic Leaching Procedure

(TCLP).

The TCLP requires a facility to create a liquid

leachate from its hazardous waste samples. This

leachate would be similar to the leachate generated

The reactivity

characteristic

identifies wastes

that readily

explode or

undergo violent

reactions.

Figure III-7: TCLP Regulatory Levels

D004

D005

D018

D006

D019

D020

D021

D022

D007

D023

D024

D025

D026

D016

D027

D028

D029

D030

D012

D031

D032

D033

D034

D008

D013

D009

D014

D035

D036

D037

D038

D010

D011

D039

D015

D040

D041

D042

D017

D043

65.0

6100.0

60.5

61.0

60.5

60.03

6100.0

66.0

65.0

6200.0

6200.0

6200.0

6200.0

610.0

67.5

60.5

60.76

60.13

60.02

60.008

6 0.1

60.5

63.0

65.0

60.4

60.2

610.0

6200.0

62.0

6100.0

65.0

61.0

65.0

60.7

60.5

60.5

6400.0

62.0

61.0

60.2

 Arsenic 6 6

 Barium

 Benzene

 Cadmium

 Carbon tetrachloride

 Chlordane

 Chlorobenzene

 Chloroform

 Chromium

 o-Cresol*

 m-Cresol*

 p-Cresol*

 Total Cresols*

 2,4-D

 1,4-Dichlorobenzene

 1,2-Dichloroethane

 1,1-Dichloroethylene

 2,4-Dinitrotoluene

 Endrin

 Heptachlor (and its epoxide)

 Hexachlorobenzene

 Hexachlorobutadiene

 Hexachloroethane

 Lead

 Lindane

 Mercury

 Methoxychlor

 Methyl ethyl ketone

 Nitrobenzene

 Pentachlorophenol

 Pyridine

 Selenium

 Silver

 Tetrachloroethylene

 Toxaphene

 Trichloroethylene

 2,4,5-Trichlorophenol

 2,4,6-Trichlorophenol

 2,4,5-TP (Silvex)

 Vinyl chloride

*if o-, m-, and p-cresols cannot be individually measured,

 the regulatory level for total cresols is used.

Waste Code Contaminant Concentration
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-24

by a landfill containing a mixture of household and

industrial wastes. Once this leachate is created via

the TCLP, the waste handler must determine whether

it contains any of 40 different toxic chemicals in

amounts above the specified regulatory levels (see

Figure III-7). These regulatory levels are based on

ground water modeling studies and toxicity data that

calculate the limit above which these common toxic

compounds and elements will threaten human health

and the environment by contaminating drinking

water. If the leachate sample contains a

concentration above the regulatory limit for one of

the specified chemicals, the waste exhibits the

toxicity characteristic and carries the waste code

associated with that compound or element. The

TCLP may not be used however, for determining

whether remediation waste from manufactured gas

plants (MGP) is hazardous under RCRA. Therefore,

MGP remediation wastes are exempt from TC

regulation. The regulations describing the toxicity

characteristic are codified at 40 CFR §261.24, and

the TC regulatory levels appear in Table 2 of that

same section.

SPECIAL REGULATORY

CONVENTIONS

Once a facility generates a hazardous waste, the

waste may become mixed with other wastes, be

treated and produce residues, or even be spilled.

RCRA provides special regulatory provisions to

address the regulatory status of hazardous wastes in

these situations.

 Mixture Rule

The mixture rule is intended to ensure that

mixtures of listed wastes with nonhazardous solid

wastes are regulated in a manner that minimizes

threats to human health and the environment.

Listed Wastes

The mixture rule regulates a combination of any

amount of a nonhazardous solid waste and any

amount of a listed hazardous waste as a listed

hazardous waste (see Figure III-8). Even if a small

vial of listed waste is mixed with a large quantity of

nonhazardous waste, the resulting mixture bears the

same waste code and regulatory status as the original

listed component of the mixture, unless the generator

obtains a delisting. This is intended to prevent a

facility from mixing a listed waste with a

nonhazardous waste in order to escape having to

manage the waste as hazardous.

Characteristic Wastes

The mixture rule applies differently to listed and

characteristic wastes. A mixture involving

characteristic wastes is hazardous only if the mixture

itself exhibits a characteristic. Characteristic wastes

are hazardous because they possess one of four

unique and measurable properties. Once a

characteristic waste no longer exhibits one of these

four dangerous properties, it no longer deserves

regulation as hazardous. Thus, a characteristic waste

can be made nonhazardous by treating it to remove

its hazardous property; however EPA places certain

restrictions on the manner in which a waste can be

treated. (These restrictions will be discussed in

Section III, Chapter 6.)

Wastes Listed Solely for Exhibiting the

Characteristic of Ignitabilty, Corrosivity, and/or

Reactivity

All wastes listed solely for exhibiting the

characteristic of ignitability, corrosivity and/or

reactivity characteristic are not regulated as

hazardous wastes once they no longer exhibit a

characteristic. If a hazardous waste listed only for a

characteristic is mixed with a solid waste, the

original listing does not carry through to the

resulting mixture if that mixture does not exhibit any

DETERMINING BOTH LISTINGS AND

CHARACTERISTICS

A facility must determine both listings and

characteristics. Even if a waste is a listed hazardous

waste, the facility must then still determine if the waste

exhibits a characteristic because waste generators are

required to fully characterize their listings. While some

wastes may not meet any listing description because

they do not originate from specific industrial or process

sources, the waste may still pose threats to human

health and the environment. As a result, a facility is

also required to determine whether such a waste

possesses a hazardous property (i.e., exhibits a

hazardous waste characteristic).
Chapter 1: Hazardous Waste Identification

III-25

hazardous waste characteristics. For example, EPA

listed the F003 spent solvents as hazardous because

these wastes typically display the ignitability

characteristic. If F003 waste is treated by mixing it

with another waste, and the resulting mixture does

not exhibit a characteristic, the F003 listing no

longer applies.

Exemptions

There are several exemptions from the mixture

rule. One exemption applies to certain listed

hazardous wastes that are discharged to wastewater

treatment facilities in very small or de minimis

amounts. Many industrial facilities produce large

quantities of nonhazardous wastewaters as their

primary wastestreams. These wastewaters are

typically discharged to a water body or local sewer

system after being treated to remove pollutants, as

required by CWA. At many of these large facilities,

on-site cleaning, chemical spills, or laboratory

operations create relatively small amounts of

hazardous waste. For example, a textile plant

producing large quantities of nonhazardous

wastewater can generate a secondary wastestream of

listed spent solvents from cleaning equipment.

Routing such secondary hazardous wastestreams to

the facility’s wastewater treatment system is a

practical way of treating and disposing of these

wastes. This management option triggers the

mixture rule, since even a very small amount of a

listed wastestream combined with very large

volumes of nonhazardous wastewater causes the

entire mixture to be listed. EPA provided an

exemption from the mixture rule for situations where

relatively small quantities of

listed hazardous wastes are routed

to large-volume wastewater

treatment systems.

Other exemptions apply to

mixtures of listed and

characteristic wastes with mining

and mineral processing that are

exempt from the definition of

hazardous waste under the Bevill

exemption. Wastes that are

hazardous via the mixture rule

can also exit Subtitle C regulation

through the delisting process.

 Derived-From Rule

Hazardous waste treatment, storage, and

disposal processes often generate residues that may

contain high concentrations of hazardous

constituents. In order to adequately protect human

health and the environment from the threats posed

by these potentially harmful wastes, the derivedfrom rule governs the regulatory status of such

listed waste residues.

Figure III-8: The Mixture Rule

Any amount of

nonhazardous

solid waste

Any amount of listed

hazardous waste

Listed

hazardous

waste

+

+ Any amount of

nonhazardous

solid waste

Any amount of listed

hazardous waste that is

listed solely for exhibiting

the characteristic of

ignitability, corrosivity,

and/or reactivity

Nonhazardous

waste if mixture

does not exhibit

any characteristic

=

=

Figure III-9: The Derived-From Rule

Listed Hazardous Waste



Any residue from the treatment,

storage, or disposal or a listed waste...



...is still a hazardous waste...



...unless the residue is derived-from a hazardous

waste that is listed solely for exhibiting the

characteristic of ignitability, corrosivity, and/or

reactivity and does not exhibit a characteristic of

hazardous waste

or

...unless the waste is recycled to make new products

or processed to recover usable materials with

economic value (provided that product is not used in a

manner constituting disposal or burned for energy

recovery)
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-26

Listed Wastes

Residues produced from the treatment of listed

hazardous wastes may pose a significant threat to

human health and the environment. If not captured

by the waste’s listing description, such waste could

escape regulation. To close this potential regulatory

gap, EPA created the derived-from rule which states

that any material derived from a listed hazardous

waste is also a listed hazardous waste (see Figure

III-9). For example, ash created by burning a

hazardous waste is considered derived-from that

hazardous waste. Thus, such ash bears the same

waste code and regulatory status as the original

listed waste, regardless of the ash’s actual properties.

This principle applies regardless of the actual health

threat posed by the waste residue or the residue’s

chemical composition.

Characteristic Wastes

Treatment residues and materials derived from

characteristic wastes are hazardous only if they

themselves exhibit a characteristic.

Wastes Listed Solely for Exhibiting the

Characteristic of Ignitability, Corrosivity, and/or

Reactivity

If a waste derived from the treatment, storage, or

disposal of a hazardous waste listed for the

characteristics of ignitability, corrosivity, and/or

reactivity, no longer exhibits one of those

characteristics, it is not a hazardous waste. For

example, if a sludge is generated from the treatment

of F003, and that sludge does not exhibit the

characteristic of ignitability, corrosivity, or

reactivity, the F003 listing will not apply to the

sludge.

Exemptions

There are several regulatory exemptions from

the derived-from rule. The first exemption applies

to products reclaimed from hazardous wastes. Many

listed hazardous wastes can be recycled to make new

products or processed to recover usable materials

with economic value. Such products derived-from

recycled hazardous wastes are no longer solid

wastes, provided that they are not used in a manner

constituting disposal or burned for energy recovery

(see Figure III-9). The other exemptions from the

derived-from rule apply to residues from specific

treatment operations. Wastes that are hazardous via

the derived-from rule can also exit Subtitle C

regulation through the delisting process.

 Contained-In Policy

Sometimes listed and characteristic wastes are

spilled onto soil or contaminate equipment,

buildings, or other structures. The mixture and

derived-from rules do not apply to such

contaminated soil and materials because these

materials are not actually wastes. Soil is considered

environmental media (e.g., soil, ground water,

sediment), while the equipment, buildings, and

structures are considered debris (e.g., a broad

category of larger manufactured and naturally

occurring objects that are commonly discarded).

Examples of debris include:

• Dismantled construction materials, such as used

bricks, wood beams, and chunks of concrete

• Decommissioned industrial equipment, such as

pipes, pumps, and dismantled tanks

• Other discarded manufactured objects, such as

personal protective equipment (e.g., gloves,

coveralls, eyewear)

• Large, naturally occurring objects, such as tree

trunks and boulders.

Environmental media and debris are

contaminated with hazardous waste in a number of

ways. Environmental media become contaminated

through accidental spills of hazardous waste or spills

of product chemicals which, when spilled, become

hazardous wastes. Debris can also be contaminated

through spills. Most debris in the form of industrial

equipment and personal protective gear becomes

contaminated with waste or product chemicals

during normal industrial operations.

In order to address such contaminated media and

debris, EPA created the contained-in policy to

determine when contaminated media and debris

must be managed as RCRA hazardous wastes.
Chapter 1: Hazardous Waste Identification

III-27

Environmental media are not, in and of

themselves, waste, but are regulated as hazardous

waste when they contain (are contaminated by) a

RCRA listed hazardous waste or exhibit a

characteristic. In these cases, the media and debris

must be managed as if they were hazardous waste.

EPA considers contaminated media or debris to no

longer contain hazardous waste when it no longer

exhibits a characteristic of hazardous waste. This

applies when the hazardous waste contained within

the media or debris is either a characteristic waste or

a waste listed solely for a characteristic. Otherwise,

when dealing with listed waste contamination, EPA

or states can determine that media and debris no

longer contain hazardous waste by determining that

the media or debris no longer poses a sufficient

health threat to deserve RCRA regulation. Once this

contained-out determination is made, the media and

debris are generally no longer regulated under

RCRA Subtitle C. However, under certain

circumstances, the RCRA LDR requirements might

continue to apply.

MIXED WASTE

RCRA specifically exempts certain radioactive

mixed materials from the definition of solid waste.

However, some radioactive material may be mixed

with hazardous wastes that are regulated under

RCRA. In addition, a facility may generate a

hazardous waste that is also radioactive. Because

the material in both of these situations contains both

radioactive material and RCRA hazardous waste, it

is referred to as mixed waste under RCRA. RCRA

and AEA regulate these mixed wastes jointly. AEA

regulates the RCRA-exempt radioactive portion and

RCRA regulates the hazardous waste portion.

Mixed waste generators include DOE, power plants,

labs, hospitals, and universities using radioactive

materials.

EPA has provided increased flexibility to

generators and facilities that manage low-level

mixed waste (LLMW) and technologically enhanced

naturally occurring and/or accelerator-produced

radioactive material (NARM) containing hazardous

waste. The Agency is exempting LLMW from some

RCRA storage and treatment regulations, and

LLMW or eligible NARM from RCRA hazardous

waste transportation and disposal regulations. These

wastes are exempt from RCRA Subtitle C

requirements, including permitting, provided they

meet specific conditions. The exempt wastes must

then be managed as radioactive waste according to

Nuclear Regulatory Commission (NRC) regulations.

SUMMARY

In order to determine if a facility is subject to

RCRA Subtitle C, the owner and operator must

determine if they have a hazardous waste. This

determination must be made by using the following

methodology:

• Is the material a solid waste?

• Is the waste excluded?

• Is the waste a listed hazardous waste?

• Is the waste a characteristic waste?

A waste must first be a solid waste before it can

be a hazardous waste. A solid waste is a waste that

is abandoned, inherently waste-like, a military

munition, or recycled. On the other hand, if a

material is directly reused without prior reclamation

by being either used as an ingredient, used as a

product substitute, or returned to the production

process, then the material is not regulated as a waste

at all. If such reused materials, however, are used in

a manner constituting disposal; burned for energy

recovery, used to produce a fuel, or contained in

fuels; accumulated speculatively; or dioxincontaining wastes considered inherently waste like;

then they are regulated as solid wastes. If a recycled

material needs reclamation prior to direct use or

reuse, its regulatory status is determined by the type

of material that it is:

• Spent materials are regulated as solid wastes

when reclaimed; used in a manner constituting

disposal; burned for energy recovery, used to

produce a fuel, or contained in fuels; or

accumulated speculatively.

• Listed sludges are solid wastes when reclaimed;

used in a manner constituting disposal; burned

for energy recovery, used to produce a fuel, or

contained in fuels; or accumulated speculatively.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-28

• Characteristic sludges are not solid wastes when

reclaimed, unless they are used in a manner

constituting disposal; burned for energy

recovery, used to produce a fuel, or contained in

fuels; or accumulated speculatively.

• Listed by-products are solid wastes when

reclaimed; used in a manner constituting

disposal; burned for energy recovery, used to

produce a fuel, or contained in fuels; or

accumulated speculatively.

• Characteristic by-products are not solid wastes

when reclaimed, unless they are used in a

manner constituting disposal; burned for energy

recovery, used to produce a fuel, or contained in

fuels; or accumulated speculatively.

• CCPs are not solid wastes when reclaimed,

unless they are used in a manner constituting

disposal; or burned for energy recovery, used to

produce a fuel, or contained in fuels.

• Scrap metal is a solid waste when reclaimed;

used in a manner constituting disposal; burned

for energy recovery, used to produce a fuel, or

contained in fuels; or accumulated speculatively.

Regardless of the type of recycling that takes

place, it must be legitimate and not sham recycling.

Some kinds of materials are excluded from the

Subtitle C hazardous waste regulations. There are

five categories of exclusions:

• Exclusions from the definition of solid waste

• Exemptions from the definition of hazardous

waste

• Exclusions for waste generated in raw material,

product storage, or manufacturing units

• Exclusions for laboratory samples and waste

treatability studies

• Exclusion for dredged material.

If the waste fits one of these categories, it is not

regulated as a RCRA hazardous waste, and the

hazardous waste requirements do not apply.

If the waste is a solid waste and is not excluded,

a facility must determine if it is a listed hazardous

waste. The F, K, P, and U lists provide narrative

descriptions of wastes from specific industrial

processes and sources. Wastes meeting any of these

descriptions are listed hazardous wastes. However,

through the delisting process, facilities can

demonstrate that their wastes does not pose

sufficient hazard to warrant Subtitle C regulation as

a listed hazardous waste.

Wastes may also be hazardous if they exhibit a

characteristic. Even if a facility’s waste is listed, the

owner and operator must still determine if it exhibits

a characteristic. The four characteristics are:

• Ignitability

• Corrosivity

• Reactivity

• Toxicity.

There are special regulatory conventions or

provisions that apply to hazardous waste mixtures;

treatment, storage, and disposal residues; and

contaminated media and debris. These provisions

are known as the mixture rule, the derived-from rule,

and the contained-in policy.

RCRA and AEA jointly regulate mixed waste, or

waste that is radioactive, and listed or characteristic.

EPA provided a conditional exemption for low-level

mixed waste (LLMW) storage, treatment,

transportation, and disposal of mixed wastes.
III-29

In this chapter...

Overview........................................................... III-29

Hazardous Waste Recycling ............................ III-29

- Full Regulation .............................................. III-30

- Exemptions.................................................... III-30

- Special Standards ......................................... III-31

Used Oil ............................................................ III-31

- Used Oil Regulation ...................................... III-32

- What is Used Oil?.......................................... III-32

- Used Oil Handlers ......................................... III-32

- Used Oil Management Standards ................. III-33

Universal Waste ............................................... III-35

- Universal Waste Handlers ............................. III-36

- Universal Waste Transporters ....................... III-36

- Universal Waste Destination Facilities .......... III-36

Cathode Ray Tubes .......................................... III-37

Summary .......................................................... III-37

OVERVIEW

RCRA hazardous wastes do not cease to be

dangerous simply because they are being reused,

recycled, or reclaimed. Many hazardous waste

recycling operations may pose serious health and

environmental hazards and should be subject to

Subtitle C regulation. Reuse, recycling, and

reclamation should be viewed instead as ways of

managing hazardous wastes which, if properly

conducted, can avoid environmental hazards, protect

scarce natural resources, and reduce the nation’s

reliance on raw materials and energy. Promoting

reuse and recovery is certainly one of the goals of

RCRA; however, this goal does not take precedence

over assuring the proper management of hazardous

waste.

EPA has tried, to the extent possible, to develop

regulations for hazardous waste management that

foster environmentally sound recycling and

conservation of resources, but at the same time

provide adequate protection of human health and the

environment. This chapter outlines the regulations

governing recycling of hazardous wastes, and

describes special management standards for two

commonly recycled wastestreams: used oil and

universal wastes.

HAZARDOUS WASTE RECYCLING

The hazardous waste identification process (as

discussed in Section III, Chapter 1) describes how to

determine whether a material is a solid and

hazardous waste. How a material is regulated under

RCRA (i.e., whether or not it is a solid and

potentially a hazardous waste) when it is recycled

depends on what type of material it is, and what

type of recycling is occurring. If the recycled

CHAPTER 2

HAZARDOUS WASTE RECYCLING

AND UNIVERSAL WASTES

THE RECYCLING GOAL OF RCRA

Reuse, recycling, and reclamation are ways of

managing hazardous wastes which, if properly

conducted, can avoid environmental hazards, protect

scarce natural resources, and reduce the nation’s

reliance on raw materials and energy. While promoting

reuse and recovery is certainly one of the goals of

RCRA, this goal does not take precedence over

assuring the proper management of hazardous waste.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-30

material is not a solid waste, then it is not a

hazardous waste and is not subject to RCRA Subtitle

C requirements. However, if the material qualifies

as a solid and hazardous waste, it is subject to RCRA

Subtitle C jurisdiction.

Many hazardous wastes can be recycled safely

and effectively. To address the goal of encouraging

recycling while protecting human health and the

environment, EPA has tried to tailor the level of

regulation to reflect the actual hazard of the

recycling activity. In this approach to regulation,

recycling standards range from full regulation to

specialized standards to exemptions from regulation.

Handlers of hazardous waste slated for recycling

must determine what type of regulation they fall

under based on the recycling activity being

conducted and the type of material being managed.

 Full Regulation

Most recycled hazardous wastes are subject to

full hazardous waste regulation. This means that

handlers of these recyclable materials (i.e., persons

who generate, transport, or store prior to recycling)

are subject to the same regulations as handlers who

are managing hazardous wastes prior to disposal.

While management of the hazardous wastes

prior to recycling is subject to regulation, the

recycling process itself is exempt from RCRA

(except for some air emissions standards as

discussed in Section III, Chapter 5). For example, if

a facility receives hazardous spent solvents from

another facility for redistillation (heating a mixture

to separate it into several pure components), the

recycling units themselves are not subject to RCRA

design and operating standards for hazardous waste

units. However, the owners and operators of the

recycling facility must follow all applicable Subtitle

C requirements (including the requirement to obtain

a permit) for container or tank storage areas used to

store such wastes prior to recycling.

 Exemptions

Not all hazardous wastes pose the same degree

of hazard when recycled. EPA believes wastes that

may be recycled in a protective manner, or that are

addressed under other environmental regulations,

warrant exemptions from RCRA Subtitle C.

Consequently, handlers of these materials are not

subject to any hazardous waste regulations. These

exempt recyclable hazardous wastes are:

• Industrial ethyl alcohol

• Scrap metal

• Waste-derived fuels from refining processes

• Unrefined waste-derived fuels and oils from

petroleum refineries.

Industrial Ethyl Alcohol

Industrial ethyl alcohol that is reclaimed is

exempt from RCRA Subtitle C because the U.S.

Bureau of Alcohol, Tobacco and Firearms (BATF)

already regulates it from the point of generation to

redistillation.

Scrap Metal

Scrap metal that is disposed of or recycled is a

solid waste; however, it is exempt from Subtitle C

regulation when it is reclaimed (i.e., recycled to

recover metal content). This does not apply to

processed scrap metal which is excluded from

hazardous waste regulation entirely (as discussed in

Section III, Chapter 1).

Waste-Derived Fuels from Refining Processes

Fuels produced by refining oil-bearing

hazardous wastes with normal process streams at

petroleum refining facilities are exempt if such

wastes resulted from normal petroleum refining,

production, and transportation practices. For these

wastes to be considered refined, they must be

inserted into a part of the process designed to

remove contaminants. This would typically mean

insertion prior to distillation.

Unrefined Waste-Derived Fuels and Oils

Fuels produced at a petroleum refinery from oilbearing hazardous wastes that are introduced into the

refining process after the distillation step, or that are

reintroduced in a process that does not include
Chapter 2: Hazardous Waste Recycling and Universal Wastes

III-31

distillation, are exempt if the resulting fuel meets the

specifications under the federal recycled used oil

standards in 40 CFR §279.11 (as discussed later in

this chapter). Oil that is recovered from hazardous

waste at a petroleum refinery and burned as a fuel is

also exempt provided it meets the used oil

specifications.

 Special Standards

While RCRA specifically exempts some wastes

when recycled, some recycling processes may still

pose enough of a hazard to warrant some degree of

regulation. However, due to the nature of the

recycling process itself or the nature of the materials

being recycled, these processes may require a

specialized set of standards. These processes are:

• Use constituting disposal

• Precious metals reclamation

• Spent lead-acid battery reclamation

• Burning for energy recovery.

Use Constituting Disposal

Use constituting disposal refers to the practice of

recycling hazardous wastes by placing them on the

land or using them as ingredients in a product that

will be placed on the land. To be placed on the land,

waste-derived products must: (1) be made for the

general public’s use; (2) have undergone a chemical

reaction so as to be inseparable by physical means;

and (3) meet applicable LDR treatment standards (as

discussed in Section III, Chapter 6). Once these

waste-derived products meet these standards, they

are no longer restricted from placement on the land.

Materials that do not meet these criteria remain

regulated. There are also special standards for

hazardous wastes used to make zinc micronutrient

fertilizers.

Precious Metals Reclamation

Precious metals reclamation is the recycling

and recovery of precious metals (i.e., gold, silver,

platinum, palladium, iridium, osmium, rhodium, and

ruthenium) from hazardous waste. Because EPA

found that these materials will be handled

protectively as valuable commodities with

significant economic value, generators, transporters,

and storers of such recyclable materials are subject

to reduced requirements.

Spent Lead-Acid Battery Reclamation

Persons who

generate, transport,

regenerate, collect, and

store spent lead-acid

batteries prior to

reclamation, but do not

perform the actual

reclamation, are not

subject to hazardous

waste regulation. EPA

established those provisions to encourage the

recycling of these batteries. However, owners and

operators of facilities that store spent batteries before

reclamation, other than spent batteries that are

regenerated (processed to remove contaminants and

restore the product to a useable condition), are

subject to regulation in a manner similar to

hazardous waste TSDFs. Handlers of lead-acid

batteries may also choose to manage them under the

universal waste provisions discussed later in this

chapter.

Burning For Energy Recovery

The process of recycling hazardous waste by

burning it for energy recovery may pose significant

air emission hazards. Therefore, EPA established

specific operating standards for units burning

hazardous wastes for energy recovery. These units

are known as boilers or industrial furnaces (BIFs) (as

discussed in Section III, Chapter 7).

USED OIL

In developing a hazardous waste regulatory

program to facilitate and encourage recycling,

Congress felt that certain commonly recycled

materials warranted a regulatory program of their

own. As a result, Congress and EPA created special

management standards for used oil. Under these

standards, recycled used oil is not subject to the

hazardous waste regulatory program applicable to
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-32

other recycled materials, but rather to its own

management provisions.

Used oil has certain unique properties that make

it distinct from most hazardous wastestreams. First

of all, used oil is generated by a wide range of

entities, including, but not limited to, large

manufacturing facilities, industrial operations,

service stations, quick-lube shops, and even

households. Every year privately owned automobile

and light trucks generate over 300 million gallons of

used crank case oil. Secondly, used oil is an easily

recyclable material. For example, just one gallon of

used oil provides the same 2.5 quarts of lubricating

oil as 42 gallons of crude oil. However, even used

oil that does not exhibit any characteristics of

hazardous waste can have harmful effects if spilled

or released into the environment.

 Used Oil Regulation

In an effort to encourage the recycling of used

oil, and in recognition of the unique properties and

potential hazards posed by used oil, Congress passed

the Used Oil Recycling Act in 1980. This Act

amended RCRA by requiring EPA to study the

hazards posed by used oil and to develop used oil

management standards to protect human health and

the environment. As a result, EPA developed special

recycling regulations for used oil that are completely

separate from hazardous waste recycling standards.

First, in November 1985, EPA promulgated

restrictions on the burning of used oil for energy

recovery. Second, in September 1992, EPA

developed a more comprehensive used oil recycling

program, codified in 40 CFR Part 279, that

incorporated the existing burning restrictions, and

added used oil management standards for all

facilities that handle used oil.

Since EPA’s used oil program is designed to

encourage used oil recycling, Part 279 includes a

recycling presumption. This is an assumption that

all used oil that is generated will be recycled. The

recycling presumption simplifies the used oil

management system by enabling handlers to only

comply with the used oil regulations, instead of the

hazardous waste regulations. Only when the used

oil is actually disposed of or sent for disposal must

handlers determine whether or not the used oil

exhibits a characteristic of hazardous waste and

manage it in accordance with hazardous waste

regulations.

Additional information about used oil

management can be found at: www.epa.gov/

epaoswer/hazwaste/usedoil/index.htm.

 What is Used Oil?

Used oil is any oil that has been refined from

crude oil or any synthetic oil that has been used and,

as a result of such use, is contaminated by physical

or chemical impurities. In other words, used oil

must meet

each of the

following

three criteria:

origin, use,

and

contamination.

First, the used

oil must be

derived from

crude oil or

synthetic oil

(i.e., derived

from coal,

shale, or polymers). Second, the oil must have been

used as a lubricant, hydraulic fluid, heat transfer

fluid, or other similar uses. Unused oil such as

cleanout tank bottoms from virgin product fuel oil

storage is not used oil because it has not been used.

Finally, the used oil must be contaminated by

physical or chemical impurities as a result of such

use. Physical impurities could include

contamination by metal shavings, sawdust, or dirt.

Chemical impurities could include contamination by

water or benzene, or degradation of lubricating

additives.

 Used Oil Handlers

Persons who handle used oil are subject to

specific management requirements depending on the

extent of their used oil recycling activities. The

following handlers are subject to used oil

management standards:
Chapter 2: Hazardous Waste Recycling and Universal Wastes

III-33

• Generators

• Collection centers and aggregation points

• Transporters

• Transfer facilities

• Processors and rerefiners

• Marketers.

Generators

Used oil generators are persons whose act or

process produces used oil, or first causes used oil to

be subject to regulation. Examples of common

generators include car repair shops, service stations,

and metalworking industries. Individuals who

generate used oil through the maintenance of their

own personal vehicles and equipment, known as

used oil do-it-yourselfers, are not considered used

oil generators.

Collection Centers and Aggregation Points

Used oil collection centers and aggregation

points are facilities that accept small amounts (less

than 55 gallons) of used oil and store it until enough

is collected to ship it elsewhere for recycling. Used

oil collection centers typically accept used oil from

multiple sources that include both businesses and

private citizens. Used oil aggregation points collect

oil from places run by the same owner and operator

as the aggregation point, and also from private

citizens.

Transporters

Used oil transporters are persons who haul

used oil in quantities greater than 55 gallons and

deliver it to transfer facilities, rerefiners, processors,

or burners.

Transfer Facilities

 Used oil transfer facilities are any structures or

areas (such as loading docks or parking areas) where

used oil is held for longer than 24 hours, but not

longer than 35 days, during the normal course of

transportation.

Processors and Rerefiners

Used oil processors and rerefiners are facilities

that process used oil so that it can be burned for

energy recovery or reused.

Burners

Used oil burners are handlers who burn used oil

for energy recovery in boilers, industrial furnaces, or

hazardous waste incinerators.

Marketers

Used oil marketers are handlers who either: (1)

direct shipments of used oil to be burned as fuel in

regulated devices (i.e., boilers, industrial furnaces,

and incinerators); or (2) claim that used oil to be

burned for energy recovery is on-specification. A

marketer must already be a used oil generator,

transporter, processor, rerefiner, or burner.

 Used Oil Management Standards

The used oil management standards apply to a

wide variety of facilities with very different business

practices. These standards are designed to establish

minimum regulations for all facilities, addressing

such practices as proper storage, transportation,

recordkeeping, and burning. These standards vary

by facility type. The most stringent requirements

apply to facilities that process or rerefine used oil.

Used oil transporters, transfer facilities, and used oil

burners are subject to a reduced set of standards.

Generators have the fewest requirements.

Used Oil as a Hazardous Waste

Because used oil mixed with hazardous wastes

increases risks to human health and the environment,

all handlers are encouraged to keep used oil from

becoming contaminated with hazardous wastes. To

prevent intentional mixing, EPA subjects mixtures of

used oil and listed hazardous waste to all applicable

hazardous waste standards.

From an enforcement point of view, however,

the Agency cannot always determine if used oil has

been mixed with a listed hazardous waste. As a

result, EPA decided to use an objective test that

focused on the halogen level in used oil (listed spent
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-34

halogenated solvents were often found to be mixed

with used oil). This objective test is known as the

rebuttable presumption. According to this test,

used oil that contains more than 1,000 parts per

million (ppm) of total halogens is presumed to have

been mixed with a listed hazardous waste, and is

therefore subject to applicable hazardous waste

regulations. A person may rebut this presumption by

demonstrating, through analysis or other

documentation, that the used oil has not been mixed

with listed hazardous waste. Nevertheless, used oil

that is known to have been mixed with a listed

hazardous waste is considered a listed hazardous

waste, regardless of the halogen level.

The principle for mixtures of used oil and

characteristic hazardous waste is somewhat

different. First, if used oil is mixed with a waste that

only exhibits the characteristic of ignitability, or is

listed solely for ignitability, and the resultant mixture

is no longer ignitable, then the mixture can be

managed as used oil, despite the inherent

characteristics that the used oil may bring to the

mixture. EPA believes that materials that are

ignitable-only should not affect the chemical

constituent or other properties of used oil when

mixed, and therefore, should not add additional risks

to human health and the environment when burned.

However, used oil mixed with a waste that is

hazardous because it exhibits one or more

characteristics of hazardous waste (other than just

ignitability), must no longer exhibit any

characteristics if it is going to be managed as used

oil.

Used Oil Contaminated with PCBs

The use and disposal of PCBs are regulated by

the Toxic Substances Control Act (TSCA). In

addition to the RCRA used oil management

standards, marketers and burners of used oil

contaminated with any quantifiable level of PCBs

are subject to the current TSCA requirements, which

provide comprehensive management standards for

such used oils.

Storage

Although different used oil handlers may have

specific management requirements for their oil, all

handlers must:

• Store used oil in tanks and containers.

Storage of used oil in lagoons, pits, or surface

impoundments is prohibited, unless these units

are subject to hazardous waste TSDF standards

(as discussed in Section III, Chapter 5)

• Clearly mark containers and tanks with the

words “Used Oil”

• Keep containers and tanks in good condition and

free of leaks

• Respond to releases of used oil from their

storage units.

Transfer facilities, processors and rerefiners, and

burners must also have secondary containment

systems to prevent oil from reaching the

environment in the event of a spill or leak.

Secondary containment consists of an oil-impervious

dike, berm, or retaining wall to contain releases, as

well as an oil-impervious floor to prevent migration.

Burning Restrictions

Levels of contamination in used oils may vary

widely, depending on different types of uses or

length of use. Recognizing this fact, EPA has

THE REBUTTABLE PRESUMPTION

EPA presumes that used oil which contains more than

1,000 ppm of total halogens has been mixed with a

listed hazardous waste, and is therefore subject to

applicable hazardous waste regulations, unless the

presumption can be successfully rebutted. A person

may rebut this presumption by demonstrating, through

analysis or other documentation, that the used oil has

not been mixed with listed hazardous waste. For

example, a generator has a drum of used oil

containing 2,000 ppm of halogens. Even though the

used oil was not mixed with a listed hazardous waste,

EPA will presume that is the case. The generator,

however, can rebut this presumption by demonstrating

that the high halogen level is due to mixing with

household hazardous wastes, which are not

considered hazardous under RCRA. As a result, the

drum of oil is regulated as used oil, and not as

hazardous waste.
Chapter 2: Hazardous Waste Recycling and Universal Wastes

III-35

established a set of criteria, called used oil

specifications, to evaluate the potential hazards

posed by used oil when burned for energy recovery.

Used oil that is tested and is not within these set

parameters is termed off-specification used oil.

Parameter Allowable Level

Arsenic 5 ppm maximum

Cadmium 2 ppm maximum

Chromium 10 ppm maximum

Flash point 100° F minimum

Lead 100 ppm maximum

Total Halogens 4,000 ppm maximum

Off-specification used oil may be burned for

energy recovery, but it is strictly regulated. Such

used oil may only be burned in:

• Boilers

• Industrial furnaces

• Hazardous waste incinerators

• Generator space heaters that meet certain

operating conditions.

Conversely, used oil that meets all specification

levels, otherwise known as on-specification used

oil, is not subject to any restrictions when burned for

energy recovery. In fact, on-specification used oil is

comparable to product fuel in terms of regulation.

Once the specification determination is made, and

certain recordkeeping requirements are complied

with, the on-specification oil is no longer subject to

used oil management standards.

Recordkeeping and Reporting

Used oil transporters, transfer facilities,

processors and rerefiners, burners, and marketers are

required to obtain an EPA identification (EPA ID)

number. While generators, collection centers,

aggregation points, and those who transport their

own used oil in shipments of less than 55 gallons do

not need an EPA ID number, they may still need a

state or local permit.

Used oil transporters, processors, burners, and

marketers must also track each acceptance and

delivery of used oil shipments. Records can take the

form of a log, invoice, or other shipping document

and must be maintained for three years.

In addition, used oil processors and rerefiners

must:

• File a biennial report of used oil activity

• Prepare a contingency plan detailing how

releases will be addressed

• Prepare an analysis plan describing testing

protocols at the facility

• Maintain records of shipment and deliveries of

used oil

• Maintain an operating record at the facility.

UNIVERSAL WASTE

The special management provisions for used oil

clearly eased the management burden and facilitated

the recycling of such material. EPA also discovered

that subjecting other commonly recycled materials to

hazardous waste regulation was burdensome on

many handlers of these wastes. This burden has the

potential of discouraging waste recycling by

facilities who are otherwise willing to engage in

such activity. In response to these concerns, EPA

promulgated the universal waste program, in May

1995. These requirements are codified in 40 CFR

Part 273.

The universal waste program promotes the

collection and recycling of certain widely generated

hazardous wastes, known as universal wastes.

Through this program, EPA intends to ease the

regulatory burden on the facilities that manage

universal wastes, particularly by allowing more time

for accumulation of these wastes in order to facilitate

appropriate recycling or disposal. Three types of

waste were originally covered under the universal

waste regulations: hazardous waste batteries,

hazardous waste pesticides that are either recalled or

collected in waste pesticide collection programs, and

hazardous waste thermostats. In July 1999, EPA

added hazardous waste lamps to the universal waste

regulations. In June 2002, EPA proposed to add

mercury-containing equipment. Other similar

wastes may be added to the universal waste

regulations in the future. The regulated community

may also petition the Agency to include additional

wastes in the universal waste program.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-36

There are four types of regulated participants in

the universal waste system: small quantity handlers

of universal waste (SQHUW), large quantity

handlers of universal waste (LQHUW), universal

waste transporters, and universal waste destination

facilities.

A complete overview of the universal waste

regulations can be found at www.epa.gov/epaoswer/

hazwaste/id/univwast.htm.

 Universal Waste Handlers

There are two types of handlers of universal

waste. The first type of handler is a person who

generates, or creates, universal waste. For example,

this may include a person who uses batteries,

pesticides, thermostats, or lamps and who

eventually decides that they are no longer usable.

The second type of handler is a person who receives

universal waste from other handlers, accumulates the

waste, and then sends it on to other handlers,

recyclers, or treatment or disposal facilities without

performing the actual treatment, recycling, or

disposal. This may include a person who collects

batteries, pesticides, or thermostats from small

businesses and sends the wastes to a recycling

facility. The universal waste handler requirements

depend on how much universal waste a handler

accumulates at any one time.

Small Quantity Handlers of Universal Waste

Small quantity handlers of universal waste

accumulate less than 5000 kilograms (kg)

(approximately 11,000 pounds (lbs)) of all universal

waste categories combined at their location at any

time. Accumulation time for universal wastes at any

location is limited to one year. SQHUW are

required to manage universal waste in a way that

prevents releases to the environment. SQHUW must

also immediately respond to releases of universal

waste. SQHUW must distribute basic waste

handling and emergency information to their

employees to ensure that their staff are aware of

proper handling and emergency procedures.

Large Quantity Handlers of Universal Waste

Large quantity handlers of universal waste

accumulate a total of 5000 kg or more of universal

waste at any time. The designation as a LQHUW is

retained for the remainder of the calendar year in

which the 5000-kg threshold was exceeded, and may

be reevaluated in the following calendar year.

LQHUW must comply with the same requirements

as SQHUW, as well as a few additional ones.

LQHUW must also maintain basic records

documenting shipments received at the facility and

shipments sent from the facility, must obtain an EPA

ID number, and must comply with stricter employee

training requirements.

 Universal Waste Transporters

Universal waste transporters are persons who

transport universal waste from handlers of universal

waste to other handlers, destination facilities, or

foreign destinations. These wastes do not need to be

accompanied by a RCRA hazardous waste manifest

during transport, but transporters must comply with

applicable DOT requirements.

Transporters may store universal waste for up to

10 days at a transfer facility during the course of

transportation. Transfer facilities are transportation

related facilities such as loading docks, parking

areas, and storage areas. If a transporter keeps

universal waste for more than 10 days at one

location, the transporter is subject to all applicable

SQHUW or LQHUW regulations.

 Universal Waste Destination Facilities

Universal waste destination facilities are

facilities that treat, dispose of, or recycle a particular

WHAT ARE UNIVERSAL WASTES?

Universal wastes are subject to special management

provisions intended to ease the management burden

and facilitate the recycling of such materials. Four

types of waste are currently covered under the

universal waste regulations: hazardous waste

batteries, hazardous waste pesticides that are either

recalled or collected in waste pesticide collection

programs, hazardous waste thermostats, and

hazardous waste lamps. More wastes may be added

to the universal waste regulations in the future, but

presently only these wastes are included.
Chapter 2: Hazardous Waste Recycling and Universal Wastes

III-37

category of universal waste. These facilities are

subject to the same requirements as fully regulated

hazardous waste TSDFs. Full regulation includes

permit requirements, general facility standards, and

unit-specific standards (as discussed in Section III,

Chapter 5). The universal waste program includes

only two additional specific universal waste

requirements for destination facilities. These

requirements are procedures for rejecting shipments

of universal waste and the documentation of the

receipt of universal waste.

CATHODE RAY TUBES

Cathode ray tubes (CRTs) are vacuum tubes,

made primarily of glass, which constitute the video

display component of televisions and computer

monitors. Color CRTs are generally hazardous for

lead. Recent technological advances in information

management and communication have greatly

improved the quality of people’s lives. However,

our growing use of electronic products in the home

and workplace has provided a new environmental

challenge of managing electronic waste, including

CRTs. EPA is taking steps towards meeting this new

environmental challenge by proposing an exclusion

from the definition of solid waste that would

streamline RCRA management requirements for

CRTs.

SUMMARY

EPA developed a regulatory approach to regulate

different hazardous waste recycling activities in

accordance with the degree of hazard they pose. The

three types of regulation are: full regulation,

exemptions, and special standards.

Persons who generate, transport, and store

hazardous wastes prior to recycling must manage

them in the same manner as persons who handle

hazardous wastes prior to disposal. The recycling

process itself is exempt from regulation.

Certain hazardous wastes, based on the manner

in which they are recycled, or based on regulation by

other environmental statutes, are exempt from

hazardous waste regulation. Those wastes are:

• Industrial ethyl alcohol

• Scrap metal

• Waste-derived fuels from refining processes

• Unrefined waste-derived fuels and oils from

petroleum refineries.

Some recycling processes are not fully exempt

from hazardous waste regulation, but are instead

subject to specialized standards. These processes

are:

• Use constituting disposal

• Precious metal reclamation

• Lead-acid battery reclamation (regenerated

batteries are exempt from hazardous waste

regulation entirely)

• Burning for energy recovery.

Certain commonly recycled materials are subject

to streamlined hazardous waste regulation. One type

of material, used oil, is regulated under its own

recycling program. Used oil is defined as any oil that

has been refined from crude oil or any synthetic oil

that has been used and as a result of such use is

contaminated by physical or chemical impurities.

The used oil recycling provisions include

management standards for used oil:

• Generators

• Collection centers and aggregation points

• Transporters

• Transfer facilities

• Processors and rerefiners

• Burners

• Marketers.

Another type of material, universal waste, is also

subject to streamlined management provisions. The

universal waste program is designed to encourage

the recycling of certain widely generated hazardous

wastes by easing the regulatory burden on persons

who handle, transport, and collect them. Universal

wastes consist of:

• Hazardous waste batteries

• Hazardous waste pesticides that are either

recalled or collected in waste pesticide

collection programs
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-38

• Hazardous waste thermostats

• Hazardous waste lamps.

The universal waste program includes regulatory

provisions for universal waste handlers, transporters,

and destination facilities.
III-39

In this chapter...

Overview........................................................... III-39

Who Are The Regulated Generators? .............. III-40

- Large Quantity Generators ............................ III-40

- Small Quantity Generators ............................ III-40

- Conditionally Exempt Small Quantity

Generators .................................................... III-41

- Episodic Generation ...................................... III-41

- State Regulations .......................................... III-41

Large and Small Quantity Generator

Regulatory Requirements ................................. III-41

- Waste Identification and Counting................. III-42

- EPA Identification Numbers ........................... III-42

- Accumulation of Waste .................................. III-42

- Preparation for Transport Regulations .......... III-43

- The Manifest.................................................. III-43

- Recordkeeping and Reporting ...................... III-44

Conditionally Exempt Small Quantity

Generators........................................................ III-45

Quantity and Time Limits .................................. III-45

International Shipments .................................... III-45

- Hazardous Waste Imports ............................. III-45

- Hazardous Waste Exports ............................. III-45

- International Treaties ..................................... III-46

Farmer Exclusion.............................................. III-46

Summary .......................................................... III-46

Additional Resources ....................................... III-47

OVERVIEW

Under RCRA, hazardous waste generators are

the first link in the cradle-to-grave hazardous waste

management system. All generators must determine

if their waste is hazardous and must oversee the

ultimate fate of the waste. RCRA Subtitle C

requires generators to ensure and fully document

that the

hazardous

waste they

produce is

properly

identified,

managed,

and treated

prior to

recycling or

disposal.

The

regulations

applicable to

generators of

hazardous waste are located in 40 CFR Part 261

and Part 262. (Generators may also be subject to

LDR requirements as discussed in Section III,

Chapter 6.) The degree of regulation to which each

generator is subject depends to a large extent on

how much waste each generator produces every

calendar month. This chapter summarizes who is

considered a generator, and which standards apply

based on waste generation rates.

CHAPTER 3

REGULATIONS GOVERNING HAZARDOUS

WASTE GENERATORS
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-40

WHO ARE THE REGULATED

GENERATORS?

The Subtitle C regulations broadly define the

term generator to include any person, by site, who:

• First creates or produces a hazardous waste (e.g.,

from an industrial process)

OR

• First brings a hazardous waste into the RCRA

Subtitle C system (e.g., imports a hazardous

waste into the United States).

Because generators are the first step in the

RCRA Subtitle C system, it is important that they

properly classify and identify their waste to ensure

proper handling later in the hazardous waste

management process. As a result, generators of

waste must make the following determinations:

• Is the waste a solid waste?

• Is the waste excluded?

• Is the waste a listed hazardous waste?

• Is the waste a characteristic hazardous waste?

Hazardous waste generators may include various

types of facilities and businesses ranging from large

manufacturing operations, universities, and hospitals

to small businesses and laboratories. Because these

different types of facilities generate different

volumes of wastes resulting in varying degrees of

environmental risk, RCRA regulates generators

based on the amount of waste that they generate in a

calendar month. As a result, there are three

categories of hazardous waste generators:

• Large quantity generators (LQGs)

• Small quantity generators (SQGs)

• Conditionally exempt small quantity generators

(CESQGs).

 Large Quantity Generators

Early in the development of the RCRA program

in 1980, EPA recognized that a relatively small

number of large scale hazardous waste management

facilities generated the majority of the nation’s

hazardous waste. In order to address the facilities

that posed the greatest threat to human health and

the environment, EPA focused on those generators

that produced the greatest volumes of hazardous

waste by establishing standards for large quantity

generators.

Large quantity generators are defined as those

facilities that generate:

• Greater than 1,000 kg of hazardous waste per

calendar month (approximately 2,200 lbs)

OR

• Greater than 1 kg of acutely hazardous waste per

calendar month (approximately 2.2 lbs).

In 1999, there were approximately 20,000

LQGs.

 Small Quantity Generators

The LQG regulations focused on generators

whose volume of waste posed the greatest threat to

human health and the environment. All other

generators that produced less than 1,000 kg of

hazardous waste per month (or less than 1 kg of

acutely hazardous waste per month) were initially

exempted from the RCRA generator requirements.

Because of the concern that such exempt

hazardous waste could cause environmental harm,

Congress (through HSWA) required that EPA also

regulate those small quantity generators who

produced more than 100 kg of hazardous waste.

SQGs are defined as those facilities that:
Chapter 3: Regulations Governing Hazardous Generators

III-41

• Generate between 100 kg (approximately 220

lbs) and 1,000 kg of hazardous waste per

calendar month

AND

• Accumulate less than 6,000 kg (approximately

13,200 lbs) of hazardous waste at any time.

In 1999, there were approximately 125,000

SQGs.

 Conditionally Exempt Small Quantity

Generators

Until HSWA, facilities generating waste below

the 100-kg cut-off point were exempt from RCRA

regulatory requirements. HSWA resulted in a third

category of generators, CESQGs. These generators

are defined as those facilities that produce:

• Less than 100 kg of hazardous waste per

calendar month

OR

• Less than 1 kg of acutely hazardous waste per

calendar month.

The CESQG requirements additionally limit the

facility’s waste accumulation quantities to less than

1,000 kg of hazardous waste, 1 kg of acute

hazardous waste, or 100 kg of any residue from the

cleanup of a spill of acute hazardous waste at any

time.

In 1997, there were between 400,000 and

700,000 CESQGs.

 Episodic Generation

Because generator status is determined on a

monthly basis, it is possible that a generator’s status

can change from one month to the next, depending

on the amount of waste generated in a particular

month. This is referred to as episodic generation.

If a generator’s status does in fact change, the

generator is required to comply with the respective

regulatory requirements for that class of generators

for the waste generated in that particular month.

 State Regulations

State classification of generator categories may

be different from those outlined above. Some states

regulate all generators of hazardous waste (i.e., there

is no exempt category), while other states classify

generators by waste type rather than by generated

volume. Therefore, it is imperative that generators

contact their respective state agency to determine if

state generator regulations differ from these federal

requirements.

LARGE AND SMALL QUANTITY

GENERATOR REGULATORY

REQUIREMENTS

LQGs and SQGs are subject to regulations

contained in 40 CFR Part 262 that require each

generator to:

• Identify and count waste

• Obtain an

EPA ID

number

• Comply with

accumulation

and storage

requirements

(including

requirements

for training,

contingency

planning, and

emergency arrangements)

• Prepare the waste for transportation

• Track the shipment and receipt of such waste

• Meet recordkeeping and reporting requirements.

Because SQGs produce a smaller portion of the

nation’s hazardous waste, Congress was concerned

that full regulation might be economically

burdensome and inappropriate. Consequently,

Congress authorized EPA to reduce the regulatory

requirements applicable to SQGs provided that such

requirements were still protective of human health

and the environment. This chapter fully discusses
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-42

these regulatory requirements and notes the

differences between LQG and SQG regulatory

provisions.

 Waste Identification and Counting

In order to determine which generator standards

a facility must comply with, generators are required

to identify each waste that they generate and

determine all applicable listings and characteristics.

After determining which wastes are hazardous, each

month, generators are responsible for totaling (or

counting) the weight of all hazardous wastes

generated in that month in order to determine if they

will be regulated as a LQG, SQG, or CESQG for

that particular month.

 EPA Identification Numbers

One way that EPA monitors and tracks

generators is by assigning each LQG and SQG a

unique EPA ID number. If you generate, treat,

store, dispose of, transport, or offer for

transportation any hazardous waste, you must have

an ID number. Furthermore, the generator is

forbidden from offering hazardous waste to any

transporter or TSDF that does not also have an EPA

ID number. ID numbers are issued to each generator

for each individual site or facility property where

hazardous waste is generated. Generators may

request ID number application forms from their state

agency.

Additional information regarding EPA ID

numbers, including the forms and instructions can be

found at the following URL:

www.epa.gov/epaoswer/hazwaste/data/

form8700/forms.htm

 Accumulation of Waste

LQGs and SQGs are also subject to facility

waste management standards. A LQG may

accumulate hazardous waste on site for 90 days or

less. Under temporary, unforeseen, and

uncontrollable circumstances, this 90-day period

may be extended for up to 30 days by the state or

EPA on a case-by-case basis. LQGs storing

wastewater treatment sludges from electroplating

operations (F006) may store that waste for 180 or

270 days if the waste is to be recycled.

LQGs must comply with the following

requirements:

• Proper Management — The waste is properly

accumulated in containers, tanks, drip pads, or

containment buildings. Hazardous waste

containers must be kept closed and marked with

the date on which accumulation began. Tanks

and containers are required to be marked with

the words “Hazardous Waste.” The generator

must ensure and document that waste is shipped

off site within the allowable 90-day period.

• Emergency Plan — LQGs are required to have

formal written contingency plans and emergency

procedures in the event of a spill or release.

• Personnel Training — Facility personnel must

be trained in the proper handling of hazardous

waste through an established training program.

Considering the lesser risks posed by the

generation of lesser quantities of hazardous waste,

SQGs are subject to less extensive facility waste

management provisions. A SQG may accumulate

hazardous waste on site for 180 days or less. SQGs

transporting hazardous waste for off-site treatment,

storage, or disposal over distances greater than 200

miles may accumulate waste for up to 270 days.

SQGs must comply with the following requirements:

• Proper Management — The waste is properly

accumulated in either tanks or containers

marked with the words “Hazardous Waste.”

Containers must also be marked with the date on

which accumulation began.

• Emergency Plan — The SQG requirements

include specified emergency responses;

however, SQGs are not required to have written

contingency plans. They are required to ensure

that an emergency coordinator is on the

premises, or on-call at all times, and have basic

facility safety information readily accessible.

• Personnel Training — SQGs are not required to

have an established training program, but must
Chapter 3: Regulations Governing Hazardous Generators

III-43

ensure that employees handling hazardous waste

are familiar with proper handling and emergency

procedures.

 Preparation for Transport

Regulations

Pre-transport regulations are designed to ensure

safe transportation of hazardous waste from the

point of origin to the ultimate disposal site. In

developing hazardous waste pre-transport

regulations, EPA adopted DOT’s regulations for

packaging, labeling, marking, and placarding. These

DOT regulations can be found at 49 CFR Parts 172,

173, 178, and 179. DOT regulations require:

• Proper packaging to prevent leakage of

hazardous waste during both normal transport

conditions and potentially dangerous situations

(e.g., if a drum falls off of a truck)

• Labeling, marking, and placarding of the

packaged waste to identify the characteristics

and dangers associated with its transport.

These pre-transport regulations only apply to

generators shipping waste off site for treatment,

storage, or disposal. Transportation on site is not

subject to these pre-transport requirements.

 The Manifest

As previously discussed, the Subtitle C program

is designed to manage hazardous waste from cradle

to grave. The Uniform Hazardous Waste Manifest

(Form 8700-22) plays a crucial part in this

management system. (A sample of the manifest can

be found in Appendix A.) The manifest allows all

parties involved in hazardous waste management

(e.g., generators, transporters, TSDFs, EPA, state

agencies) to track the movement of hazardous waste

from the point of generation to the point of ultimate

treatment, storage, or disposal. A RCRA manifest

contains the following federally required

information:

• Name, address, and EPA ID number of the

hazardous waste generator, transporter(s), and

designated facility

• DOT description of the waste's hazards

• Quantities of the wastes transported and

container type.

Each manifest also contains a certification that

states:

• The shipment has been accurately described and

is in proper condition for transport

• The generator has a waste minimization program

in place at its facility to reduce the volume and

toxicity of hazardous waste to the degree

economically practicable, as determined by the

generator

• The treatment, storage, or disposal method

chosen by the generator is the most practicable

method currently available that minimizes the

risk to human health and the environment.

Each time a waste is transferred (e.g., from a

transporter to the designated facility or from a

transporter to another transporter), the manifest must

be signed to acknowledge receipt of the waste. A

copy of the manifest is retained by each individual in

the transportation chain. Once the waste is delivered

to the designated facility, the owner and operator of

that facility must sign and return a copy of the

manifest to the generator. This system ensures that

the generator has documentation that the hazardous

waste has arrived at its ultimate destination. To

further ensure the safe transport of hazardous waste,

a generator may not offer waste for transport unless

that transporter has an EPA ID number.

In May 2001, EPA proposed revisions to the

manifest form and regulations. EPA expects to

standardize the content and appearance of the

current manifest form so that the same form could be

used by waste handlers nationwide. Other

anticipated changes include improved tracking

procedures for problem shipments and an option to

complete, send, and store the manifest information

electronically. If finalized, the regulations for

generators and transporters in Parts 262 and 263 will

be changed to include the new manifest form.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-44

 Recordkeeping and Reporting

The recordkeeping and reporting requirements

for LQGs and SQGs provide EPA and the states with

a method to track the quantities of hazardous waste

generated and the movement of hazardous wastes.

The generator regulations in 40 CFR Part 262

contain three primary recordkeeping and reporting

requirements:

• Biennial reporting

• Exception reporting

• Three-year record retention.

Biennial Reporting

The biennial reporting requirements are intended

to provide EPA with reliable national data on

hazardous waste management. In order to achieve

this, LQGs must submit a Biennial Report (EPA

Form 8700-13A and B) to the EPA Regional

Administrator or state by March 1 of each evennumbered year. The report details the generator’s

activities during the previous calendar year and

includes the:

• EPA ID number, name, and address of the

generator

• EPA ID number and name of each transporter

used throughout the year

• EPA ID number, name, and address of each offsite TSDF and recycler to which waste was sent

during the year

• Descriptions and quantities of each hazardous

waste generated.

The federal RCRA regulations do not require

SQGs to file biennial reports.

The data from the 1999 Bienniel Report can be

found at the following URL:

www.epa.gov/epaoswer/hazwaste/data/brs99/

index.htm

Exception Reporting

The RCRA regulations ensure that the transport

of hazardous waste from its point of generation to its

point of treatment, storage, or disposal is

documented through a manifest system. This system

requires the designated facility to return a signed and

dated copy of the manifest to the generator in order

to acknowledge receipt of the waste. If the generator

does not receive this paperwork, additional steps

need to be taken in order to locate the waste. As a

result, LQGs who transport waste off site, but do not

receive a signed and dated copy of the manifest from

the designated facility within 45 days from the date

on which the initial transporter accepted the waste,

must submit an exception report to the EPA

Regional Administrator. The exception report must

describe efforts made to locate the waste and the

results of those efforts.

SQGs who do not receive a signed and dated

copy of the manifest from the designated facility

within 60 days must send a copy of the original

manifest to the EPA Regional Administrator with a

note indicating that they have not received a return

copy.

Record Retention

Generators must keep a copy of each biennial

report and any exception reports for at least three

years from the due date of the report. Generators are

also required to keep copies of all manifests for three

years, or until a signed and dated copy of the

manifest is received from the designated facility.

The manifest received from the designated facility

must be kept for at least three years from the date on

which the hazardous waste was accepted by the

initial transporter. Finally, records of waste analyses

and determinations performed by the generator must

be kept for at least three years from the date the

waste was last sent to an on-site or off-site TSDF.

These retention periods may be extended

automatically during the course of any unresolved

enforcement action regarding the regulated activity,

or as requested by the EPA Administrator.

CONDITIONALLY EXEMPT SMALL

QUANTITY GENERATORS

While CESQGs are not subject to the

requirement to obtain an EPA ID number, comply

with accumulation and storage requirements, follow

the manifest system, or meet recordkeeping and
Chapter 3: Regulations Governing Hazardous Generators

III-45

reporting requirements, they are subject to limited

generator waste management standards. CESQGs

may also be subject to DOT requirements. CESQGs

must identify their hazardous waste, comply with

storage limit requirements, and ensure waste

treatment or disposal in an on-site or off-site:

• Permitted or interim status hazardous waste

TSDF

• State hazardous waste facility

• State permitted, licensed, or registered solid

waste disposal facility

• State MSWLF

• Recycling facility

• Universal waste facility.

QUANTITY AND TIME

LIMITS

LQGs, SQGs, and CESQGs are

subject to specific quantity and time

limits that restrict the amount of waste

that may be stored on site at any one

time, and the length of such storage.

For example, SQGs may not store more

than 6,000 kg of hazardous waste on site at

any one time, and CESQGs may not store more

than 1,000 kg of hazardous waste on site at any one

time. LQGs must move all of the waste that they

generate off site within 90 days, while SQGs have

180 days to move all waste off site. If SQGs or

CESQGs exceed their respective storage quantity

limits, or if LQGs or SQGs exceed their respective

accumulation time limits, the facility becomes a

storage facility subject to all applicable requirements

for TSDFs (including permitting) unless they have

received an accumulation time limit extension from

EPA or their state.

Recently, EPA promulgated less stringent

regulations for generators of F006 waste in order to

promote legitimate recycling of metal-bearing

electroplating sludges. As a result, large quantity

generators are allowed to accumulate F006 sludges

up to 180 or 270 days without a permit provided

they meet certain conditions.

INTERNATIONAL SHIPMENTS

Not all hazardous wastes that are managed in the

United States originate in this country. Similarly,

not all wastes generated in the United States are

managed exclusively in this country. To ensure that

such international shipments are handled in a

manner that protects human health and the

environment, RCRA contains management

provisions for both hazardous waste imports and

exports. Because such shipments are also governed

by various international treaties and agreements, the

RCRA regulations include provisions which

implement these treaties and agreements.

 Hazardous Waste Imports

Under RCRA, any person

importing a hazardous waste into

the United States from a foreign

country is subject to the hazardous

waste generator standards. As a

result, an importer is subject to all

generator requirements, including

the completion of a hazardous waste

manifest. Subpart F of Part 262

contains special instructions for importers

completing the manifest.

 Hazardous Waste Exports

RCRA also contains specific requirements for

hazardous waste exports. For example, there are

specific notification requirements for exports of

hazardous wastes that prohibit the export of

hazardous waste unless the exporter obtains written

consent from the receiving country prior to

shipment. This written consent must be attached to

the manifest accompanying each waste shipment.

To export a hazardous waste, the exporter must

notify the EPA Administrator 60 days prior to when

the waste is scheduled to leave the United States.

This notification may cover export activities

extending over a 12-month period, unless
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-46

information in the notification changes. If the

importing country agrees to accept the hazardous

waste, EPA will send an Acknowledgment of

Consent to the exporter, who may then export the

waste to the accepting country.

 International Treaties

Two international treaties may affect U.S.

hazardous waste import and export practices. They

are the Basel Convention and the Organization for

Economic Cooperation and Development (OECD)

Council Decision.

Basel Convention

The Basel Convention establishes standards for

the transboundary movement of hazardous waste,

solid waste, and municipal incinerator ash, including

notice to and written confirmation from the

receiving country prior to export. As of 2000,

approximately 155 countries were party to the

Convention. Although the United States is not

currently a party to the Basel Convention, the

Convention still affects U.S. importers and exporters

in the following manner. Parties to the Basel

Convention cannot trade Basel-covered wastes with

nonparties in the absence of a bilateral or

multilateral agreement (in this case, a separate

agreement between countries or groups of countries

to govern the transboundary movement of waste).

As a result, U.S. businesses, as a practical matter,

can only import waste from and export waste to

those Basel countries with which the U.S.

government has negotiated a separate waste trade

agreement. Those countries with which the United

States has entered into such bilateral agreements for

import and export include Canada and Mexico.

Those countries with which the United States has

entered into a bilateral agreement for import include

Malaysia, Costa Rica, and the Phillipines.

Organization for Economic Cooperation

and Development Council Decision

The OECD Council Decision is another

multilateral agreement that establishes procedural

and substantive controls for the import and export of

hazardous waste recyclables between OECD

member nations. The agreement is intended to ease

the trade of such recyclables and minimize the

possibility that such wastes will be abandoned or

handled illegally. As of 2000, there were 30 member

countries in the OECD. Since the United States is a

member of OECD and is a party to the Decision,

U.S. businesses can trade recyclables with other

member OECD nations (including those that are also

party to the Basel Convention). Please note,

however, that transboundary movement between the

United States and the countries of Canada, Mexico,

Costa-Rico, Malaysia, and the Philippines is still

governed by each individual bilateral agreement and

not by the OECD Decision.

FARMER EXCLUSION

Although a farmer may be a generator of

hazardous waste, waste pesticides disposed of on a

farmer’s own property in compliance with specified

waste management requirements, including the

disposal instructions on the pesticide label, are not

subject to the generator requirements. This

exclusion is intended to prevent the double

regulation of farmers under both RCRA and the

Federal Insecticide, Fungicide, and Rodenticide Act

(FIFRA).

SUMMARY

Hazardous waste generators regulated under

RCRA fall into three categories, based on the

amount of hazardous waste generated per calendar

month:

• LQGs

• SQGs

• CESQGs.

LQGs and SQGs must:

• Identify and count waste

• Obtain an EPA ID number

• Comply with accumulation and storage

requirements (including requirements for

training, contingency planning, and emergency

arrangements)

• Prepare the waste for transportation

• Track the shipment and receipt of such waste
Chapter 3: Regulations Governing Hazardous Generators

III-47

• Meet recordkeeping and reporting requirements.

LQGs and SQGs may also be subject to LDR

requirements.

CESQGs are not subject to most of the generator

requirements applicable to LQGs and SQGs, but

they must identify their hazardous waste, comply

with storage limit requirements, and ensure waste

treatment or disposal in an on-site or off-site:

• Permitted or interim status hazardous waste

TSDF

• State hazardous waste facility

• State permitted, licensed, or registered solid

waste disposal facility

• State MSWLF

• Recycling facility

• Universal waste facility.

Any person importing hazardous waste into the

United States from a foreign country is subject to

hazardous waste generator standards. RCRA also

contains specific requirements for hazardous waste

exports. Importers and exporters must also comply

with the provisions of international trade treaties,

such as the Basel Convention and the OECD

Council Decision.

Because farmers disposing of certain pesticide

wastes on their own land are subject to regulation

under both RCRA and FIFRA, RCRA specifically

excludes such farmers from the generator

requirements.

ADDITIONAL RESOURCES

Additional information about hazardous waste

generators can be found at www.epa.gov/epaoswer/

hazwaste/gener/index.htm.
III-49

In this chapter...

Overview........................................................... III-49

Who Are the Regulated Transporters? ............. III-49

Regulatory Requirements for Transporters ...... III-50

- EPA Identification Number............................. III-50

- The Manifest.................................................. III-50

- Handling Hazardous Waste Discharges ........ III-51

Transfer Facilities ............................................. III-51

Additional Regulatory Requirements ................ III-51

Summary .......................................................... III-51

OVERVIEW

Hazardous waste transporters play an integral

role in the cradle-to-grave hazardous waste

management system by delivering hazardous waste

from its point of generation to its ultimate

destination. Since such transporters are moving

regulated wastes on public roads and highways,

rails, and waterways, they are regulated not only by

RCRA, but by DOT standards as well. To avoid

regulatory discrepancies and redundant regulations,

the hazardous waste transporter regulations were

developed jointly by EPA and DOT. Although the

regulations are integrated, they are not located in the

same part of the CFR. DOT’s Hazardous Materials

Transportation Act regulations are found in 49 CFR

Parts 171-179, while the RCRA Subtitle C

transporter requirements are located in 40 CFR Part

263. This chapter summarizes only the RCRA

Subtitle C transporter regulations. Please consult the

DOT regulations for a complete understanding of

hazardous waste transporter requirements.

WHO ARE THE REGULATED

TRANSPORTERS?

A hazardous waste transporter under Subtitle

C is any person engaged in the off-site

transportation of hazardous waste within the United

States, if such transportation requires a manifest.

Off-site transportation of hazardous waste includes

shipments from a hazardous waste generator's

facility property to another facility for treatment,

storage, or disposal. Regulated off-site

transportation includes shipments of hazardous

waste by air, rail, highway, or water.

Transporter regulations only apply to the off-site

transport of hazardous waste. The transporter

regulations do not apply to the on-site transportation

of hazardous waste within a facility’s property or

boundary. On site refers to geographically

contiguous properties, even if the properties are

separated by a public road. Consequently, a facility

may ship

wastes

between two

properties

without

becoming

subject to the

hazardous

waste

transporter

regulations,

provided that

the properties

are

contiguous.

CHAPTER 4

REGULATIONS GOVERNING HAZARDOUS

WASTE TRANSPORTERS
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-50

Transporter requirements do apply to shipments

between noncontiguous properties that require travel

on public roads. Examples of such on-site

transportation include generators and TSDFs

transporting waste within their facilities, or on their

own property.

REGULATORY REQUIREMENTS

FOR TRANSPORTERS

A transporter of hazardous waste is subject to

several regulations under RCRA and must:

• Obtain an EPA ID number

• Comply with the manifest system

• Properly handle hazardous waste discharges.

 EPA Identification Number

One way that EPA keeps track of hazardous

waste transporters is by requiring each transportation

company to obtain an EPA ID number. Without this

ID number, the transporter is forbidden from

transporting hazardous waste. Unlike generator EPA

ID numbers, which are site-specific, transporter

numbers are assigned to the transportation company

as a whole. This means that each individual truck

does not receive a unique number, but rather, uses

the number issued to the company’s headquarters

location.

 The Manifest

With the exception of water and rail shipments

and the transport of certain SQG recycling wastes, a

transporter may not accept hazardous waste from a

generator unless the waste is

accompanied by a properly

prepared manifest. Upon

receiving the waste, the transporter

must sign and date the manifest to

acknowledge receipt and return a

copy to the generator before

leaving the generator’s property. A

copy of the manifest must

accompany the shipment of the

waste at all times. Once a transporter has accepted a

waste, the transporter is required to deliver the entire

quantity of waste to the next designated transporter

or to the designated facility. Upon turning the waste

over to another transporter or to the designated

facility, the transporter is required to have the

manifest signed and dated by the recipient. All

transporters are required to keep a signed copy of the

manifest for three years from the date the initial

transporter accepted the waste. If the waste cannot

be delivered as the manifest directs, the transporter

must contact the generator and receive further

instructions on whether to return the waste or take it

to another facility.

These manifest requirements are slightly

different for water and rail transporters. Water and

rail transporters must comply with the directions on

the manifest, obtain an EPA ID number, and must be

listed on the manifest, but the manifest is not

required to physically accompany the waste

shipment at all times. Instead, both water and rail

transporters can use another shipping document

instead of the manifest, provided that it contains the

same information as the manifest (excluding the EPA

ID number, generator certification, and signatures).

The initial water or rail transporter must sign and

date the manifest or shipping document and ensure

that it reaches the designated facility, and the final

water or rail transporter must ensure that the owner

and operator of the designated facility signs the

manifest or shipping paper. Intermediate water and

rail transporters are not required to sign the manifest

or shipping paper.

Because one of the primary goals of RCRA is to

foster resource recovery and recycling, the

transporter regulations contain a special exemption
Chapter 4: Regulations Governing Hazardous Waste Transporters

III-51

from the manifest requirements for transporters who

handle certain recycled (or reclaimed) wastes

generated by SQGs. This exemption is intended to

facilitate the recycling of small quantities of

hazardous wastes that are transported in a protective

manner. To qualify for this exemption, the waste

must be reclaimed under a contractual agreement

between the SQG and a recycling facility. The

agreement must specify the type of waste reclaimed

and the frequency of shipments. In addition, the

vehicle used to transport the waste must be owned

and operated by the recycling facility. Both the

generator and transporter are responsible for keeping

a copy of the reclamation agreement on file for three

years after the agreement ends.

In May 2001, EPA proposed revisions to the

manifest form and regulations. EPA expects to

standardize the content and appearance of the

current manifest form, Forms 8700-22 and 22a, so

that the same form could be used by waste handlers

nationwide. Other anticipated changes include

improved tracking procedures for problem

shipments and an option to complete, send, and store

the manifest information electronically. If finalized,

the regulations for generators and transporters in

Parts 262 and 263 will be affected by this proposal.

 Handling Hazardous Waste

Discharges

Even though the regulations are designed to

ensure that hazardous waste shipments are

conducted safely, the transportation of hazardous

waste can still be dangerous as there is always the

possibility that an accident may occur. To address

this possibility, the regulations require transporters

to take immediate action to protect human health

and the environment if a release occurs (e.g.,

notifying local authorities and diking the discharge

area). When a serious accident or spill occurs, the

transporter must notify the National Response

Center (NRC) by phone. The Centers for Disease

Control (CDC) must also be informed if the spill

involves disease-causing agents.

The regulations also authorize certain federal,

state, or local officials to handle transportation

accidents. Specifically, if immediate removal of

waste is necessary to protect human health or the

environment, one of these officials may authorize a

nonmanifested removal of the waste by a transporter

without an EPA ID number.

TRANSFER FACILITIES

Transporters accepting hazardous waste from a

generator or another transporter may need to hold

waste temporarily during the normal course of

transportation. A transfer facility is defined as any

transportation-related facility, such as loading docks,

parking areas, storage areas, and other similar areas

where shipments are held during the normal course

of transportation. A transporter may hold waste at a

transfer facility for up to 10 days.

ADDITIONAL REGULATORY

REQUIREMENTS

Even though transporters are regulated under

Part 263 of the RCRA regulations and DOT

provisions, there are certain situations when a

transporter may be subject to additional RCRA

regulatory requirements. For example, if a

transporter stores waste at a transfer facility for

more than 10 days, the transfer facility becomes a

storage facility subject to all applicable requirements

for TSDFs (including permitting).

In other situations, a transporter may be subject

to RCRA hazardous waste generator requirements.

For example, transporters may import hazardous

waste into the United States, thus causing the waste

to become subject to the RCRA regulations. Also,

transporters may mix separate hazardous wastes

with different DOT shipping descriptions into a

single container, thus physically producing a

hazardous waste. In these instances, transporters are

responsible for complying with the RCRA hazardous

waste generator provisions (as discussed in Section

III, Chapter 3).

SUMMARY

A regulated transporter is defined under Subtitle

C as any person engaged in the off-site
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-52

transportation of hazardous waste, if such

transportation requires a manifest. The transporter

regulations do not apply to the on-site transportation

of hazardous waste within a facility’s property

boundary.

Transporters of hazardous waste must comply

with both EPA and DOT regulations. The RCRA

Subtitle C regulations require a transporter to:

• Obtain an EPA ID number

• Comply with the manifest system

• Properly handle hazardous waste discharges.

During the normal course of transportation,

transporters may hold waste temporarily (for up to

10 days) at a transfer facility.

Transporters of hazardous waste may also be

subject to Subtitle C generator or storage facility

requirements (e.g., if the transporter stores waste at

a transfer facility for more than 10 days or imports

hazardous waste into the United States).
III-53

In this chapter...

Overview........................................................... III-53

What is a TSDF? .............................................. III-54

- Permits and Interim Status ........................... III-54

- Exemptions ................................................... III-55

General Facility Standards ............................... III-56

- EPA Identification Numbers .......................... III-56

- Waste Analysis .............................................. III-57

- Security ......................................................... III-57

- Inspection Requirements .............................. III-57

- Personnel Training ........................................ III-57

- Requirements for Ignitable, Reactive, or

Incompatible Waste ...................................... III-58

- Location Standards ....................................... III-58

Preparedness and Prevention .......................... III-58

Contingency Plans and Emergency

Procedures ....................................................... III-58

- Contingency Plan .......................................... III-58

- Emergency Coordinator ................................ III-59

- Emergency Procedures ................................ III-59

Manifest, Recordkeeping, and Reporting ......... III-59

- Manifest ........................................................ III-59

- Operating Record ......................................... III-59

- Biennial Report ............................................. III-59

- Additional Reports ........................................ III-60

Standards for Hazardous Waste Treatment

Storage, and Disposal Units ............................. III-60

- Containers..................................................... III-60

- Containment Buildings .................................. III-61

- Drip Pads ...................................................... III-62

- Land Treatment Units ................................... III-64

- Landfills ......................................................... III-65

- Surface Impoundments ................................. III-67

- Tanks............................................................. III-69

- Waste Piles ................................................... III-71

- Miscellaneous Units ...................................... III-73

Closure ............................................................. III-75

- Closure Requirements .................................. III-75

- Post-Closure Requirements .......................... III-77

Financial Assurance ......................................... III-78

- Financial Assurance for Closure/

Post-Closure Care ........................................ III-78

- Accident Liability Requirements .................... III-79

- Financial Assurance Mechanisms ................ III-79

Ground Water Monitoring ................................. III-80

- General Requirements .................................. III-80

- Permitted Facilities........................................ III-80

- Interim Status Facilities ................................. III-84

Air Emission Standards .................................... III-85

- Process Vents ............................................... III-86

- Equipment Leaks .......................................... III-86

- Containers, Surface Impoundments, and

Tanks............................................................. III-86

- Other Requirements ..................................... III-87

Summary .......................................................... III-87

OVERVIEW

Treatment, storage, and disposal facilities

(TSDF) are the last link in the cradle-to-grave

hazardous waste management system. The

requirements for TSDFs, located in 40 CFR Parts

264 and 265, are more extensive than the standards

for generators and transporters. They include

general facility operating standards, as well as

standards for the various types of units in which

hazardous waste is managed. General facility

standards address good management practices for

CHAPTER 5

REGULATIONS GOVERNING TREATMENT,

STORAGE, AND DISPOSAL FACILITIES
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-54

any facility engaged in hazardous waste

management. The technical standards go beyond

these requirements to ensure that all elements of the

TSDF are constructed and operated to prevent leaks

of hazardous waste into the environment. The

technical standards also address the diversity of

hazardous waste operations being conducted around

the country by guiding facilities in the proper design,

construction, operation, maintenance, and closure of

a variety of hazardous waste treatment, storage, and

disposal units. These unit standards include

requirements for a wide range of hazardous waste

management units, from containers (e.g., 55-gallon

drums) to landfills, in order to ensure that these units

handle waste safely and effectively.

WHAT IS A TSDF?

With some exceptions, a TSDF is a facility

engaged in one or more of the following activities:

• Treatment – Any method, technique, or process

designed to physically, chemically, or

biologically change the nature of a hazardous

waste

• Storage – Holding hazardous waste for a

temporary period, after which the hazardous

waste is treated, disposed of, or stored elsewhere

• Disposal – The discharge, deposit, injection,

dumping, spilling, leaking, or placing of any

solid or hazardous waste on or in the land or

water. A disposal facility is any site where

hazardous waste is intentionally placed and

where the waste will remain after a TSDF stops

operation.

To help owners and operators of new and

existing TSDFs comply with new RCRA

regulations, RCRA divides them into two categories:

permitted (new) and interim status (existing).

 Permits and Interim Status

When Congress enacted RCRA in 1976, it

directed EPA to develop standards for new TSDFs

(those built after the standards were established) and

for facilities that were already in operation.

Congress further required that the standards for both

new and existing facilities differ only where

absolutely necessary.

New TSDFs, those facilities constructed after

the regulations were promulgated, must be designed

and built to meet the standards EPA deemed

necessary to protect human health and the

environment. To handle hazardous waste, a new

facility must obtain a permit, in accordance with

provisions in 40 CFR Part 270, before it begins

operation. These facilities are called permitted

facilities. (Permitting is fully discussed in Section

III, Chapter 8.) The permit lays out the standards

and requirements applicable to the specific activities

conducted at that facility, including both the general

facility standards and the standards applicable to

each type of unit at the facility. The requirements

for these facilities are located in 40 CFR Part 264.

On the other hand, facilities already in existence

and operating may not immediately be able to meet

the design and operating standards for new facilities.

For example, when RCRA was enacted, existing

hazardous waste management facilities immediately

became subject to regulation, while other existing

facilities managing nonhazardous waste were

brought into RCRA by regulatory changes that made

these wastes hazardous. For both sets of TSDFs,

EPA created a special category of regulations to

allow these facilities to gradually come up to speed

with the standards for permitted facilities. These

facilities are called interim status facilities. While

in interim status, facilities must comply with these

separate standards, which are often less stringent

than the standards for permitted facilities and are not

tailored to individual sites, until they receive their

permit. The requirements for these facilities are

located in 40 CFR Part 265.

While the standards for permitted facilities are

often similar to those for interim status facilities,

there are circumstances where the standards for new

facilities would be impracticable for existing

facilities to implement immediately. This chapter

will focus primarily on the standards for permitted

facilities, contrasting them with the standards for

interim status facilities where appropriate.
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 Exemptions

In order to promote certain beneficial activities

or to avoid overlapping with the requirements of

other parts of RCRA or other environmental laws,

RCRA exempts certain types of facilities or

operations from the standards for permitted and

interim status TSDFs.

Permits-by-Rule

Facilities that have permits for certain activities

under other environmental laws may qualify for a

special form of a RCRA permit, known as a permitby-rule. These activities include ocean disposal of

hazardous wastes regulated under the Marine

Protection, Research, and Sanctuaries Act

(MPRSA); underground injection of hazardous

wastes regulated under the Safe Drinking Water Act

(SDWA); and treatment of hazardous wastewaters in

a POTW regulated under CWA. Under this

exemption, the facility’s non-RCRA permit serves in

place of a RCRA permit, provided the facility is in

compliance with that permit and other basic RCRA

administrative requirements. (Permits-by-rule are

fully discussed in Section III, Chapter 8.)

Conditionally Exempt Small Quantity Generator

Waste

Facilities that treat (including recycle), store, or

dispose of only hazardous waste generated by

CESQGs are excluded from the TSDF standards.

RCRA requires that such facilities be permitted,

licensed, or registered by the state to handle

nonhazardous industrial or municipal solid waste, or

qualify as a recycling facility. (CESQGs are fully

discussed in Section III, Chapter 3.)

Recyclable Materials

RCRA provides separate, reduced regulations

for TSDFs recycling certain materials. These

recycling facilities are generally exempt from the

TSDF standards, but may be required to comply

with streamlined hazardous waste management

requirements. These reduced provisions apply to

facilities recycling:

• Precious metals

• Lead-acid batteries

• Used oil

• Hazardous waste burned in boilers and industrial

furnaces.

For other recyclable materials, there are no

special requirements. For example, facilities

recycling the following materials are exempt from

all TSDF standards:

• Industrial ethyl alcohol

• Used batteries returned to the manufacturer for

regeneration

• Scrap metal

• Fuels produced from refining oil-bearing

hazardous wastes

• Oil reclaimed from hazardous waste.

(Recyclable materials are fully discussed in

Section III, Chapter 2.)

Generators

Generators accumulating waste on site in

accordance with the generator regulations do not

need a permit and do not have to comply with the

permitted TSDF standards. They must comply with

only those interim status standards specified in the

generator regulations. On the other hand, if SQGs

or CESQGs exceed their respective storage limits, or

if LQGs or SQGs exceed their respective

accumulation time limits, the facility becomes a

storage facility subject to all applicable requirements

for TSDFs (including permitting). (Generators are

fully discussed in Section III, Chapter 3.)

Farmers

Farmers disposing of pesticide wastes on their

own property in compliance with the disposal

instructions on the pesticide label are also not

subject to the TSDF standards. Congress did not

want to regulate farmers under both RCRA and

FIFRA. Therefore, farmers meeting these

management conditions are exempt from the TSDF

standards.
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Totally Enclosed Treatment Units

Totally enclosed treatment units (TETUs) are

designed and constructed to eliminate the potential

for hazardous wastes to escape into the environment

during treatment. If directly connected to an

industrial production process, and treatment

prevents the release of hazardous constituents into

the environment, TETUs are exempt from the TSDF

standards.

Elementary Neutralization Units

Elementary neutralization units (ENUs) are

containers, tanks, tank systems, transportation

vehicles, or vessels that neutralize wastes that are

hazardous only for exhibiting the characteristic of

corrosivity (D003). Neutralization in such units is

exempt from the TSDF standards. However,

neutralization in other types of units is regulated.

Wastewater Treatment Units

Wastewater treatment units (WWTUs) are

tanks or tanks systems that treat hazardous

wastewaters and discharge them pursuant to CWA

(e.g., the discharge is sent to a POTW or to surface

water under a NPDES permit). Such units are

exempt from the TSDF regulations.

Emergency Response

Treatment, storage, and disposal activities that

are part of an emergency response action taken to

immediately contain or treat a spill of hazardous

waste are exempt from TSDF standards. On the

other hand, any treatment, storage, or disposal after

the emergency situation has passed is subject to full

regulation. Likewise, any hazardous waste

generated during an emergency action must be

managed in accordance with the generator standards.

Transfer Facilities

A transfer facility is a transportation-related

facility, including loading docks and parking and

storage areas, where shipments of hazardous waste

are temporarily held during the normal course of

transportation. A transfer facility temporarily

storing a manifested shipment of hazardous waste

for less than 10 days before transfer to the next

designated facility is not subject to the TSDF

standards. On the other hand, if transporter storage

at a transfer facility exceeds 10 days, the transfer

facility becomes a storage facility subject to all

applicable requirements for TSDFs (including

permitting). (Transfer facilities are fully discussed

in Section III, Chapter 4.)

Adding Absorbent

Because liquid hazardous wastes are not allowed

in a landfill, absorbents must be added to the

container to remove the visible liquids. Adding

absorbent to hazardous waste may be considered

hazardous waste treatment, thus triggering the TSDF

standards. However, to promote the reduction of the

amount of liquid hazardous waste sent to landfills,

the regulations for hazardous waste treatment do not

apply to a facility adding absorbent to waste when

the waste is first put into a container. Subsequent

addition of absorbent is not covered under this

exemption and may be considered treatment subject

to the TSDF standards.

Universal Waste Handlers

Handlers and transporters of recycled batteries,

pesticides, mercury thermostats, and lamps are

exempt from the TSDF standards. (Universal wastes

are fully discussed in Section III, Chapter 2.)

GENERAL FACILITY STANDARDS

If a TSDF is not exempt under any of these

provisions, then it must comply with the standards

for fully regulated TSDFs. These standards cover

good management practices, including keeping track

of the amount and type of wastes entering the

facility, training employees to safely manage

hazardous waste, and preparing to avoid hazardous

waste emergencies.

 EPA Identification Numbers

As with generators and transporters of

hazardous waste, TSDF owners and operators are

required to notify EPA of the types of hazardous

waste they plan to treat, store, or dispose of by

applying for an EPA ID number.
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 Waste Analysis

To keep track of the wastes being sent for

treatment, storage, or disposal, TSDF owners and

operators must analyze waste shipments. The

TSDF’s permit will list the types of hazardous waste

that a facility is allowed to treat, store, or dispose.

Analyzing the waste received ensures that the

facility only handles wastes they are permitted to

handle, and ensures that the wastes are treated,

stored, or disposed properly. A waste analysis plan

outlines the procedures necessary to ensure proper

treatment, storage, or disposal. The plan must be

written, kept on site, and answer six basic questions:

• How will the TSDF know if the waste received

is the same as that described on the manifest?

• Which waste constituents should the TSDF

analyze?

• How should the samples be taken?

• What testing and analytical methods should the

facility use?

• How often should the waste be retested?

• What are the acceptance and rejection criteria

for each wastestream?

The waste analysis must be repeated

periodically to ensure that the information on a

given waste is accurate and current. At a minimum,

the waste analysis must be repeated when the TSDF

is notified or has reason to believe that the process

or operation generating the hazardous waste has

changed, and when inspection indicates that the

hazardous waste received does not match the

information on the accompanying manifest.

 Security

Security provisions are intended to prevent

accidental or unauthorized entry into the active

portion of a facility (i.e., where hazardous waste is

treated, stored, or disposed). Unless the TSDF

owner and operator demonstrates to the

implementing agency that livestock or unauthorized

persons who enter the facility will not be harmed

and will not interfere with compliance with the

regulations, the facility must install the following

security measures:

• A 24-hour surveillance system that continuously

monitors and controls entry onto the active

portion of the facility (e.g., television

monitoring, guards)

OR

• An artificial or natural barrier (e.g., a fence) that

completely surrounds the active portion of the

facility and serves as a means to control entry to

the active portion of the facility at all times

through gates or entrances

• A sign reading: “Danger — Unauthorized

Personnel Keep Out” at each entrance to the

active portion of the facility. The sign must be

written in English and any other language that is

predominant in the area surrounding the facility.

Alternative language conveying the same

message may also be used.

 Inspection Requirements

To make sure that the facility is operating

properly, the TSDF owner and operator must

visually inspect the facility for malfunction,

deterioration, operator errors, and leaks. The

inspections should follow a written inspection

schedule developed and followed by the owner and

operator. The schedule identifies the types of

problems to be checked and how often inspections

should be conducted. Areas where spills are more

likely to occur, such as loading and unloading areas,

must be inspected daily when in use. Unit-specific

inspections or requirements also must be included in

the schedule. The owner and operator must record

inspections in a log or summary and must remedy

any problems identified during inspections.

 Personnel Training

To ensure that employees at the facility

understand the risks posed by management of

hazardous waste and are prepared to respond in case

of an emergency, TSDF owners and operators must

provide training. The training program must be

completed six months from the date the facility is
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-58

subject to the TSDF standards, or six months after

the date a worker is newly employed. This training

program must be reviewed annually.

 Requirements For Ignitable, Reactive,

or Incompatible Waste

To avoid dangerous accidents, fires, or

explosions, special care must be taken in handling

ignitable, reactive, or incompatible wastes. TSDF

owners and operators handling ignitable and reactive

wastes must be able to demonstrate that these wastes

are protected from ignition sources. Such protection

includes “No Smoking” signs placed where ignitable

and reactive wastes are stored, designation of

separate smoking areas, and additional handling

requirements. Similarly, owners and operators must

take precautions against the combined storage of

wastes that might react dangerously with one

another, or with the unit in which they are stored.

Such a reaction might be a fire or explosion, or the

release of toxic dusts, gases, or fumes. To determine

if particular wastes or storage units are compatible,

the RCRA regulations list some common potentially

incompatible wastes (40 CFR Part 264, Appendix

V). For compatibility of wastes not listed in the

regulations, the owner or operator may need to test

the waste and the unit for compatibility.

 Location Standards

Certain types of terrain may increase the dangers

associated with managing hazardous waste. To

protect people and the environment around these

areas, RCRA imposes restrictions on where TSDFs

can be built. The location standards for building

new TSDFs include restrictions on siting TSDFs in

floodplains or earthquake-sensitive areas.

Additionally, TSDF owners and operators may not

place noncontainerized or bulk liquid hazardous

waste in a salt dome, salt bed formation, or

underground mine or cave. Congress has granted

one exception to this rule: DOE’s Waste Isolation

Pilot Project (WIPP) in New Mexico.

PREPAREDNESS AND

PREVENTION

The preparedness and prevention standards are

intended to minimize and prevent emergency

situations at TSDFs, such as a fire, an explosion, or

any unplanned release of hazardous waste or

hazardous waste constituents to the air, soil, or

surface water. These regulations require

maintenance and routine testing of emergency

equipment, alarms, minimum aisle space (to

accommodate movement of personnel and

equipment during emergencies), and provisions for

contacting local authorities (police, fire department,

hospitals, and emergency response teams) involved

in emergency responses at the facility.

CONTINGENCY PLANS AND

EMERGENCY PROCEDURES

Because emergencies cannot always be avoided,

a TSDF must be prepared to respond. Contingency

plans and emergency procedures provide the owner

and operator with mechanisms to respond effectively

to emergencies. The goal of these requirements is to

minimize hazards resulting from fires, explosions, or

any unplanned release of hazardous waste or

constituents to air, soil, or surface water. To help

guide these activities, the owner and operator must

maintain a written contingency plan at the facility,

and must carry out that plan immediately in the

event of an emergency.

 Contingency Plan

The contingency plan describes emergency

response arrangements with local authorities and

lists the names, addresses, and telephone numbers of

all facility personnel qualified to work with local

authorities as emergency coordinators. Where

applicable, the plan might also include a list of

emergency equipment and evacuation plans. If the

owner and operator has already prepared an

emergency or contingency plan in accordance with

other regulations (e.g., the Spill Prevention, Control,

and Countermeasures (SPCC) rules as discussed in

Section VI, Chapter 1), they can amend the existing
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III-59

plan to incorporate hazardous waste management

provisions.

The contingency plan must be reviewed and

amended when the applicable regulations or facility

permits are revised, if the plan fails in an

emergency, or when there are changes to the facility,

the list of emergency coordinators, or the list of

emergency equipment. A copy of the contingency

plan (and any revisions) must be maintained at the

facility and provided to all local authorities who

may have to respond to emergencies.

 Emergency Coordinator

To guide emergency response activities, the

TSDF owner and operator must designate an

emergency coordinator. The emergency coordinator

is responsible for assessing emergency situations

and making decisions on how to respond. There

must be at least one employee either on the facility

premises or on call with the authority to commit the

resources needed to carry out the contingency plan.

 Emergency Procedures

During an emergency, measures must be taken to

ensure that fires, explosions, and releases do not

occur, recur, or spread. In the event of an imminent

or actual emergency situation, the emergency

coordinator must immediately activate internal

facility alarms or communication systems and notify

appropriate state and local authorities. If the

coordinator determines that the emergency threatens

human health or the environment outside of the

facility and finds that evacuation of local areas may

be advisable, the coordinator must notify appropriate

authorities, and either the designated government

official for the area or the National Response Center.

MANIFEST, RECORDKEEPING,

AND REPORTING

To keep track of hazardous waste activities,

TSDF owners and operators must keep records and

make reports to EPA. The manifest system tracks

each off-site shipment of hazardous waste. The

operating record and biennial report detail facility

and waste management over time.

 Manifest

When a waste shipment is received from off site,

the TSDF owner and operator must sign and date all

copies of the manifest to verify that the waste has

reached the appropriate designated facility. The

TSDF must keep a copy for its records and send a

copy to the generator within 30 days to verify that

the waste has been accepted. If the owner and

operator of a TSDF must send the waste to another

TSDF for further treatment or disposal, they must

initiate a new manifest.

 Operating Record

To keep track of hazardous waste activity at the

facility, the owner and operator is required to keep,

until the facility closes, a written operating record

on site describing all waste received; methods and

dates of treatment, storage, and disposal; and the

wastes’ location within the facility. All information

should be cross-referenced with the manifest

number. Other information that the TSDF must keep

in its operating record includes:

• Waste analysis results

• Details of emergencies requiring contingency

plan implementation

• Inspection results (required to be kept for three

years).

While most records may be kept on computer or

microfiche, the TSDF owner and operator must keep

original, signed copies of all manifests for

inspection purposes. All records and plans must be

available for inspection.

 Biennial Report

To track hazardous waste activity nationwide,

RCRA requires TSDFs to report to EPA the types

and amounts of hazardous wastes generated,

received, treated, stored, and disposed. TSDFs that

generate hazardous waste through the course of onsite treatment, storage, or disposal must also
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-60

describe waste minimization efforts taken to reduce

the volume and toxicity of wastes generated, as well

as describe the changes in volume or toxicity

actually achieved, compared with those achieved in

previous years. Reports are due to the EPA Regional

Administrator on March 1 of each even-numbered

year, and must detail the waste managed during the

previous (odd-numbered) year. For example, the

biennial report covering 2001 activities would be

due March 1, 2002. Additionally, some states may

require submission of such reports annually. Each

owner and operator should consult their state agency

for more specific biennial reporting information.

 Additional Reports

Other reports that must be supplied to the

implementing agency include, but are not limited to,

reports of releases, fires and explosions, ground

water contamination and monitoring data, and

facility closure information. Spills may also trigger

reporting requirements under CERCLA, and the

Emergency Planning and Community Right-toKnow Act (EPCRA). (CERCLA and EPCRA are

fully discussed in Section VI.)

STANDARDS FOR HAZARDOUS

WASTE TREATMENT, STORAGE,

AND DISPOSAL UNITS

Hazardous waste managed at TSDFs may be

treated, stored, or disposed of in several different

types of units. In order to ensure that hazardous

wastes are managed properly and in a safe manner,

RCRA imposes design, construction, operation,

maintenance, closure, and financial assurance

requirements on hazardous waste management units.

Some of these units treat, store, or dispose of

hazardous waste in or on the ground. Because these

land-based units (i.e., land treatment units, landfills,

surface impoundments, and waste piles) manage

waste directly on the land, they have the potential to

generate hazardous leachate that can pose a serious

threat to soil, surface water, ground water, and

human health and the environment.

To minimize the potential for leachate to

threaten human health and the environment, EPA

developed design and operating standards that use a

combination of different technologies and good

operating practices to detect, contain, and clean up

any leaks that might occur.

Waste management not only has the potential to

threaten ground water, surface water, and soil, but air

as well. In order to minimize the risks that

hazardous waste management poses to air, RCRA

includes standards to control air emissions from

certain hazardous waste management operations and

units.

 Containers

Containers are one of the most commonly used

and diverse forms of hazardous waste storage. A

container is any portable device in which a material

is stored, transported, treated, or otherwise handled.

Examples of hazardous waste containers include, but

are not limited to: 55-gallon drums, large tanker

trucks, railroad cars, small buckets, and test tubes.

When EPA promulgated the unit-specific

requirements for hazardous waste containers, the

Agency emphasized that although mismanagement

of containers has caused severe contamination in the

past, relatively few regulations would be needed to

ensure proper management. As a result, the

container standards consist of very streamlined and

basic management requirements.

Design Standards

Containers must be in good condition.

Containers that are deteriorating (e.g., cracked,

rusted, or leaking) cannot be used. Waste stored in

defective containers must be transferred to

containers in good condition or managed in another

type of unit.

Operating Requirements

To prevent containers from spilling their

contents, containers holding hazardous waste must

be kept closed, except when adding or removing

waste. In addition, containers must not be handled,

opened, or stored in a way that might cause them to

leak.
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III-61

Inspections

In order to ensure that containers are being

managed in compliance with these regulations,

owners and operators must visually inspect

container storage areas at least weekly for leaking

and deteriorating containers.

Release Prevention and Response

To further prevent releases of hazardous waste

into the environment, containers holding liquid

hazardous wastes must have a secondary

containment system. Secondary containment is

emergency short-term storage designed to hold leaks

from hazardous waste management units. An

example of a secondary containment system is a

sloped concrete pad that drains leaked waste into a

tank. The secondary containment system must be

free of cracks, able to contain the spill, and emptied

quickly. Containers at interim status facilities do

not have secondary containment requirements.

Special Wastes

When handled improperly, some wastes can

ignite or explode. To protect communities near the

facility from these dangers, containers holding

ignitable or reactive wastes must be located at least

50 feet from the facility’s property line.

Other Requirements

In addition to these requirements, containers

storing or treating certain hazardous wastes are

subject to RCRA air emission control requirements

(as discussed later in this chapter). LQGs and SQGs

accumulating waste in containers are subject to the

interim status TSDF standards for these units.

SQGs, however, are not subject to the air emission

control requirements. (Generator requirements are

fully discussed in Section III, Chapter 3.)

 Containment Buildings

A containment building is a completely

enclosed self-supporting structure (i.e., with four

walls, a roof, and a floor) used to store or treat

noncontainerized waste. Containment buildings are

generally used for the management of hazardous

waste debris and other bulky and high volume

hazardous wastes, but may be employed for the

management of any nonliquid hazardous waste.

Design Standards

The design standards for containment buildings

stress structural soundness and hazardous waste leak

prevention. To ensure that a containment building

meets these standards, a professional engineer must

certify that the unit is designed and installed

according to the following specifications:

• The containment building must be completely

enclosed with four walls, a floor, and a roof.

• The floor, walls, and roof must be constructed of

man-made materials with enough strength to

withstand movement of wastes, personnel, and

heavy equipment within the building.

• Dust control devices, such as air-lock doors or

negative air pressure systems (that pull air into

the containment building) must also be used as

necessary to prevent hazardous waste dust from

escaping through these building exits.

• All surfaces in the containment building that

come into contact with wastes during treatment

or storage must be chemically compatible with

such wastes. Incompatible wastes that might

cause unit failure cannot be placed in

containment buildings.

If the containment building is used to manage

hazardous waste with visible liquids, or if waste

treatment being conducted in the building requires

the addition of liquids to the waste, the owner and

operator must equip the unit with the following:

• A primary barrier constructed of materials to

prevent migration of the waste into the barrier

• A liquid collection system to minimize standing

liquids in the containment building and to

facilitate liquid removal

• A leak detection system located immediately

beneath the floor to indicate any weakness in the

floor and leaks of hazardous waste from the unit

• A secondary barrier, such as a liner, constructed

around the unit to contain any leaks and to
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III-62

facilitate cleanup before they reach nearby soils,

surface water, or ground water. As with the unit

floor, the secondary barrier must be structurally

sound and chemically resistant to wastes and

liquids managed in the containment building.

Some containment buildings designate certain

areas (known as wet areas) for the management of

liquid-containing wastes. Such buildings only need

secondary containment for these wet areas, provided

that waste liquids cannot migrate to the dry areas of

the containment building.

Operating Requirements

Containment building operating requirements

focus primarily on maintenance and inspection of

the unit, recordkeeping requirements, and provisions

for response to releases of hazardous waste. Among

other requirements, owners and operators must:

• Maintain the floor so that it is free of significant

cracks, corrosion, or deterioration

• Repair or replace surface coatings or liners that

are subject to wear from movement of waste,

personnel, or equipment as often as needed

• Limit the height of wastes piled within the unit

• Maintain dust control devices at all openings to

prevent emissions from the unit

• Provide a decontamination area within the

containment building (e.g., an area for washing

vehicles and equipment prior to leaving the

building) to prevent the tracking of waste out of

the unit.

Inspections

Containment buildings must be inspected at least

once every seven days, with all activities and results

recorded in the operating log. During inspection, the

owner and operator should evaluate the unit’s

integrity and assess nearby soils and surface waters

to detect any signs of waste release. For purposes of

these inspections, the owner and operator should

also consider information from monitoring or leak

detection equipment.

Release Prevention and Response

If a release is discovered during an inspection or

at any time, the owner and operator must take the

leaking portion of the unit out of service and take all

appropriate steps to repair the leak and contain the

released waste. The owner and operator must also

notify the EPA Regional Administrator of the

release and of the proposed schedule for repair of

the unit. Upon completion of all necessary repairs

and cleanup, a qualified, registered, professional

engineer must verify, to the EPA Regional

Administrator, that the facility complied with the

plan.

Other Requirements

LQGs accumulating waste in containment

buildings are subject to the interim status TSDF

standards for these units. (Generator requirements

are fully discussed in Section III, Chapter 3.)

 Drip Pads

Drip pads are engineering structures consisting

of a curbed, free-draining base, constructed of

nonearthen materials, and designed to convey wood

preservative chemical drippage from treated wood,

precipitation, and surface water run-on to an

associated collection system at wood preserving

plants. In the wood preserving process, preservative

solutions are commonly applied to wood products

using a pressure treating process. Once the

preservative solution has been applied to the wood,

it is removed from the process unit and excess

solution is allowed to drip from the wood onto drip

pads. The pads collect the drippage (along with

rainwater and surface water that has entered the pad)

and collects it in a tank, container, or other such unit

until the waste may be recycled, treated, or disposed

of (see Figure III-10).

Design Standards

The various elements of a drip pad must be

designed and constructed to handle the wastes

managed on the unit and prevent those wastes from

leaking into the environment.
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Pad

The owner and operator of the drip pad must

construct the pad of nonearthen materials (e.g.,

concrete, metal) and ensure that the pad is strong

enough to prevent collapse, cracking, or other

failure. The surface of the pad must have a raised

barrier (called a berm) around the perimeter to

prevent waste from running off the pad. It must be

sloped to help the drippage flow into the collection

unit, and must either be treated with impermeable

sealers, coatings, or covers to prevent liquid from

seeping into the base, or have a liner with a leak

detection and collection system.

Liquid Collection System

The liquid collection system must be designed to

prevent overflow, allow facility personnel to easily

remove waste from the unit, and comply with the

hazardous waste tank standards. Where applicable,

the liquid collection system must also be protected

from rain water running into and out of the unit.

Liner and Leak Detection System

The liners and leak detection system for drip

pads do not have specific technical design criteria,

but must be structurally sound and chemically

compatible with the preservative drippage, and must

be able to signal releases from the drip pad at the

earliest practicable time.

Operating Requirements

Generally, a drip pad must be free of cracks and

show no signs of corrosion or other types of

deterioration. Drip pads must be cleaned frequently

to allow for inspections of the entire drip pad surface

without interference from accumulated wastes and

residues. In addition to occasional cleaning,

drippage and precipitation from the liquid collection

system must be emptied as often as necessary to

prevent the waste from flowing over the curb around

the unit. All collection tanks must also be emptied

as soon as possible after storms to ensure that they

do not overflow back onto the pad. Lastly, owners

and operators must minimize the tracking of

hazardous waste by personnel and vehicles.

Inspections

Drip pads must be inspected weekly and after

storms to ensure that the pad and the liquid

collection systems are functioning properly and to

check for deterioration of or leaks from the units. If,

upon inspection, a drip pad shows any deterioration,

the owner and operator must take the affected

portion of the unit out of service for repairs before

returning it to service.

Other Requirements

LQGs accumulating waste on drip pads are

subject to the interim status TSDF standards for

these units. (Generator requirements are fully

discussed in Section III, Chapter 3).

Figure III-10: Cross-Section of a Drip Pad

Wood Products 

Treated With 

Preservative 

Solution

Drip Pad

Berm

Liquid 

Collection 

System
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-64

 Land Treatment Units

Land treatment units, or land farms, are

seldom-used land disposal units. Land treatment

involves the application of waste on the soil surface,

or the incorporation of waste into the upper layers of

the soil in order to degrade, transform, or

immobilize hazardous constituents present in

hazardous waste. The waste is placed in the portion

of the surface soil above the water table (or the

highest point of the ground water flow) to let the soil

microbes and sunlight degrade the hazardous waste.

Because these units utilize biodegradation as a

method of hazardous waste treatment thus

necessitating certain operating and waste

management conditions, the design and operating

requirements for land treatment units are quite

different from other waste management units.

Design Standards

Land treatment units must be equipped with runon, run-off, and wind dispersion controls. Run-on

and run-off controls prevent rain water and other

liquids from running onto the unit (and creating

leachate) and stop this leachate from running off the

unit, thus carrying contaminants into surrounding

soils, surface waters, and ground water. Wind

dispersal controls prevent wind gusts from blowing

small particles of hazardous waste off a land

treatment unit into the air and surrounding soils and

surface water. To prevent wind dispersal, owners

and operators of land treatment units must apply a

wind dispersal control, such as a cover, to the unit.

Operating Requirements

The operating requirements for land treatment

units are intended to promote and maintain the

biodegradation of hazardous wastes placed in the

unit. Maintenance of proper soil pH, careful

management of waste application rate, and control

of surface water run-off are all key to the operation

of a land treatment unit. The operation requirements

include:

• Controls on the rate and method of waste

application

• Measures to control soil acidity

• Measures to enhance microbial and chemical

reactions

• Measures to control the moisture content of the

area where wastes are treated.

Treatment Program and Demonstration

In order to guarantee that these waste treatment

practices will be conducted to properly degrade the

waste, owners and operators of land treatment units

must design a treatment program that takes into

account the characteristics of the site and the wastes

to be handled. The owner and operator must then

demonstrate to EPA the effectiveness of this plan.

A treatment demonstration may involve field testing

on a sample soil plot or laboratory testing. Interim

status land treatment units are not required to

establish a treatment program, but owners and

operators can only place hazardous waste in the land

treatment unit if the waste will be rendered

nonhazardous or less hazardous.

Food Chain Crops

In some cases, an owner and operator may grow

food-chain crops (crops grown for human

consumption) in a land treatment unit. The Agency

believes that this can be done safely if the owner and

operator can demonstrate that hazardous constituents

are not present in the crop in abnormally high levels.

Additionally, if cadmium is present in the unit, the

owner and operator must comply with additional

management standards.

Inspections

The owner and operator must inspect the

treatment area weekly and after storms to ensure that

the unit is in compliance with the operating criteria.

In addition, the owner and operator must establish a

soil monitoring program. If there is significant

evidence that the wastes in the unit are not

responding to treatment and are sinking towards the

water table, the owner and operator must notify the

EPA Regional Administrator within seven days, and

modify the treatment program to ensure the

sufficient treatment of hazardous constituents within

the treatment zone.
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III-65

Special Wastes

Certain types of hazardous wastes pose such a

threat to human health and the environment that

their management requires additional regulatory

precautions. Considering the risks associated with

the treatment, storage, and disposal of certain

dioxin-containing hazardous wastes (F020, F021,

F022, F023, F026, and F027), the RCRA regulations

restrict the management of these wastes in land

treatment units. As a result, owners and operators

can only manage these wastes in a permitted land

treatment unit in accordance with a special

management plan approved by the EPA Regional

Administrator. These wastes may not be handled in

interim status land treatment units because these

units do not meet the strict construction standards,

and thus, may not be sufficiently protective.

 Landfills

A landfill is a disposal unit where nonliquid

hazardous waste is placed in or on the land.

Landfills are the final disposal site, the ultimate

grave, for a significant portion of the hazardous

waste that is generated in the United States.

Design Standards

To minimize the potential for leachate to leak

from a landfill, EPA developed the following design

standards (see Figure III-11):

• Double liner

• Double leachate collection and removal system

• Leak detection system

• Run-on, run-off, and wind dispersal controls

• Construction quality assurance.

Double Liner

The double liner system has two components: a

top liner and a composite bottom liner. The top

liner, usually a synthetic material, keeps the liquid

waste in the unit and prevents migration of

hazardous leachate and waste into the liner. The

composite bottom liner, consisting of a synthetic

liner (made of a special kind of plastic) on top of

three feet of compacted soil material, is designed to

prevent any liquids that have leaked through the top

liner from reaching underlying soils and ground

water.

Double Leachate Collection and Removal

System

Landfills must also be equipped with two

leachate collection and removal systems. The first

rests on the top liner, and the second between the top

liner and the bottom composite liner. The top

system collects any leachate that has filtered down

through the waste in the unit and pumps it out to a

collection tank, where it may be collected and

disposed. The bottom system collects any leachate

that has leaked through the top liner and similarly

Figure III-11: Cross-Section of a Landfill

Double Liner Double Leachate 

Collection and 

Removal System

Ground Water 

Monitoring Well

Run-on/Run-off 

Control
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-66

pumps it out to a collection tank, where it may

similarly be collected and disposed.

Leak Detection System

While the lower leachate collection and removal

system will continually remove the small amounts

of liquid that might seep through the top liner, it

may not be capable of handling a larger leak. Larger

leaks can apply strong pressure on the bottom liner,

potentially causing it to fail. To avoid this problem,

RCRA requires that a leak detection system be

installed within the leachate collection and removal

system. This system must be able to detect when the

flow rate into the leachate collection and removal

system is above a normal operating range, and warn

the owner and operator that the top liner may be

leaking.

Run-On, Run-Off, and Wind Dispersal Controls

The run-on, run-off, and wind dispersal

requirements are identical to those for land

treatment units.

Construction Quality Assurance

None of these technologies are effective if the

landfill is installed improperly or constructed of

inferior materials. To ensure that a landfill meets all

the technological requirements, EPA requires a

construction quality assurance program. The

program mandates a construction quality assurance

plan that identifies how construction materials and

their installation will be monitored and tested and

how the results will be documented. The program

must be developed and implemented under the

direction of a registered professional engineer, who

must also certify that the construction quality

assurance plan has been successfully carried out and

that the unit meets all specifications before any

waste is placed into the unit.

Operating Requirements

In order to prevent the formation and migration

of leachate in landfills, owners and operators may

not place liquid hazardous wastes in a landfill,

unless the wastes are in:

• Very small containers, such as ampules

• Containers, such as batteries, that contain small

amounts of liquid for purposes other than

storage

• Lab packs which consist of drums filled with

many small containers packed in

nonbiodegradable absorbent materials.

Owners and operators may add

nonbiodegradable absorbents to containers of liquid

hazardous waste to remove any visible liquids.

After all visible liquids have been removed, the

owner and operator may then place the waste in a

landfill.

Inspections

To ensure that the liners and leachate collection

and removal systems are working properly, landfill

owners and operators must:

• Inspect liners for any problems after

construction or installation and continue

inspections weekly and after storms to monitor

for evidence of deterioration or damage

• Monitor leachate collection and removal system

sumps at least weekly to measure the amount of

liquid in the sumps and determine whether the

upper liner might be leaking. This is designed

to verify both the integrity of the liner and the

efficiency of the leachate pump. If the level

indicates a substantial leak, the owner and

operator must notify EPA and respond in

accordance with the facility’s response action

plan.

Release Prevention and Response

In order to prepare for a leak from a landfill,

RCRA requires that owners and operators of

hazardous waste landfills develop a response action

plan. The response action plan outlines the shortand long-term actions to be taken in the event of a

leak. A short-term action might involve shutting off

the flow of hazardous waste into the landfill. A

long-term action might involve emptying the unit

and repairing or replacing the damaged liner or

leachate collection and removal systems. As part of

the plan, in the event of a leak, the owner and

operator must notify the EPA Regional
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III-67

Administrator, determine what short-term actions

must be taken, determine the location, size, and

cause of any leak, and report the findings to the EPA

Regional Office.

Special Wastes

Similar to land treatment units, permitted

landfills can only treat, store, or dispose of certain

dioxin-containing hazardous wastes (F020, F021,

F022, F023, F026, and F027) if the unit has a special

management plan approved by the EPA Regional

Administrator. These wastes cannot be managed in

interim status landfills.

Special Requirements for Certain Containers in

Landfills

Over time, the hazardous waste containers

placed in a landfill will decompose and collapse,

creating air pockets under the landfill cover. When

the wastes surrounding the container settle to fill the

void, the liner may also settle. Such settling may

cause the liner to stretch or tear. To prevent

significant voids that could cause collapse of final

covers and tearing of liners when containers erode

and to maintain and extend available capacity in

hazardous waste landfills, containers placed in a

landfill must either be:

• At least 90 percent full

OR

• Crushed, shredded, or in some other way

reduced in volume (unless they are very small

containers, such as ampules).

 Surface Impoundments

A surface impoundment is a natural

topographic depression, man-made excavation, or

diked area formed primarily of earthen materials

(although it must be lined with man-made materials)

that is used to treat, store, or dispose of liquid

hazardous waste. Examples include holding ponds,

storage pits, and settling lagoons.

Design Standards

To minimize the potential for leachate to leak

from a surface impoundment, EPA developed the

following design standards (see Figure III-12):

• Double liner

• Leachate collection and removal system

• Leak detection system

• Dikes, berms, and freeboard

• Construction quality assurance.

Double Liner

The double liner system requirements are

identical to those for hazardous waste landfills.

Figure III-12: Cross-Section of a Surface Impoundment

Double Liner Leachate Collection 

and Removal System

Ground Water 

Monitoring Well

Dike or Berm
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-68

Leachate Collection and Removal System

The unit must be equipped with a leachate

collection and removal system between the top liner

and the bottom composite liner. The system collects

any leachate that has leaked through the top liner

and pumps it out to a collection tank. The system

features a pump system and drainage layers to slow

the flow of the leak. The system must be designed

with a minimum bottom slope to help drainage, be

made of materials that will not chemically react with

the wastes placed in the unit, and be able to remove

the liquids at a specified minimum rate.

Leak Detection System

The leak detection system requirements are

identical to those for hazardous waste landfills.

Dikes, Berms, and Freeboard

A surface impoundment must also be designed

to prevent the flow of liquids over the top of an

impoundment (overtopping). This is accomplished

by constructing and maintaining dikes or berms

(walls or man-made hills surrounding the unit) and

ensuring a minimum distance (called freeboard)

between the surface of the waste and the top of the

impoundment to prevent overflow during high

winds or rainstorms.

Construction Quality Assurance

The construction quality assurance program

requirements are identical to those for hazardous

waste landfills.

Inspections

To ensure that the liners and leachate collection

and removal system are working properly, owners

and operators of hazardous waste surface

impoundments must:

• Inspect liners and dikes or berms for any

problems after construction or installation, and

continue inspections weekly and after storms to

monitor for evidence of deterioration, sudden

drops in the level of the impoundment contents,

and severe erosions of dikes and other

containment devices

• Monitor leachate collection and removal system

sumps at least weekly to measure the amount of

liquid in the sump and determine whether the

upper liner might be leaking. This is designed

to verify both the integrity of the liner and the

efficiency of the leachate pump. If the level

indicates a substantial leak, the owner and

operator must notify EPA and respond in

accordance with the facility’s response action

plan.

Release Prevention and Response

The release prevention and response

requirements are identical to those for hazardous

waste landfills.

Special Wastes

Similar to land treatment units and landfills,

permitted surface impoundments can only treat,

store, or dispose of certain dioxin-containing

hazardous wastes (F020, F021, F022, F023, F026,

and F027) if the unit has a special management plan

approved by the EPA Regional Administrator.

These wastes cannot be managed in interim status

surface impoundments.

Other Requirements

Other surface impoundment requirements

include retrofitting provisions and air emissions

requirements.

Surface Impoundment Retrofitting

Surface impoundments handling nonhazardous

wastes are not subject to these extensive hazardous

waste surface impoundment design and operating

requirements. However, such impoundments may

become subject to RCRA if the waste being handled

in the unit becomes a hazardous waste as a result of

a new hazardous waste listing or characteristic. In

these cases, the owner and operator of the

impoundment must retrofit the unit to meet the

standards described above, or cease receipt of the

hazardous waste and begin the closure process.

Owners and operators have four years from the day

that the listing or characteristic is finalized (in the

Federal Register) to retrofit or close. For example,

owners and operators of surface impoundments that
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III-69

became subject to RCRA as the result of the

promulgation of the toxicity characteristic waste

codes on March 29, 1990, were required to retrofit

those units to meet the design and operating

standards, or cease receipt of hazardous waste and

begin closure by March 29, 1994.

These retrofitting requirements may be waived

by the implementing agency under special

circumstances. The impoundment must be

designed, operated, and located in such a manner

that there will be no migration of hazardous

constituents into ground water or surface water at

any time. Furthermore, the impoundment may

contain only characteristic TC wastes. The

implementing agency will determine on a sitespecific basis whether a waiver from the retrofitting

requirement is protective of human health and the

environment.

Air Emissions

In addition to these requirements, surface

impoundments storing, treating, or disposing of

certain hazardous wastes are subject to RCRA air

emission control requirements (as discussed later in

this chapter).

 Tanks

Tanks are stationary devices (as opposed to

portable containers) used to store or treat hazardous

waste. They are widely used for storage or

accumulation of hazardous waste because they can

accommodate huge volumes of material, sometimes

in the tens of thousands of gallons. Tanks are used

for the treatment of hazardous waste because of their

structural strength and versatility. In order to ensure

that a tank system can hold hazardous waste for its

intended lifetime, a TSDF owner and operator must

ensure that the tank is properly designed. RCRA

requires that the tank system or components be

designed with an adequate foundation, structural

support, and protection from corrosion to prevent it

from collapsing or leaking. In order to ensure that a

tank is properly designed, an independent, qualified,

registered, professional engineer must certify that

the unit meets these requirements.

Design Standards

Hazardous waste tanks must be installed

properly and designed to protect against corrosion.

Installation

Because even the most flawlessly designed tanks

can fail if installed improperly, new tank systems

must be inspected by an independent qualified

expert prior to use to ensure that the tank was not

damaged during installation. The owner and

operator must repair any damage before the

installation is complete or the system is in use. All

new tanks and ancillary equipment must be tested to

make sure that there are no leaks, and any leaks

discovered must be fixed before the tanks are

covered, enclosed, or placed in use.

Corrosion Protection

When metal tanks are in contact with soil or

water, they can corrode and leak. To prevent leaks

from corroded tanks, RCRA requires tanks made

wholly or partly of metal to be designed and

installed with adequate corrosion protection. To

ensure that a tank is properly protected, an owner

and operator must develop a written design plan.

The design should take into account information

specific to the site, such as soil moisture and acidity,

that can affect the corrosion rate of the tank. The

unit must have one or more of the following

corrosion protection methods:

• Construction materials that are corrosionresistant (e.g., fiberglass)

• Corrosion-resistant coating in combination with

cathodic protection (cathodic protection

prevents tanks from corroding by reversing the

naturally occurring electric current in the ground

that can degrade tank walls)

• Electrical isolation devices.

Existing tanks do not have to meet these

requirements because of the high cost of installing

corrosion protection on tanks that are already in the

ground. On the other hand, owners and operators of

existing tanks must assess the structural integrity of

the units to ensure that they are designed and

maintained to contain the wastes stored or treated
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-70

within them without failing, collapsing, or rupturing.

Such assessments must be certified by an

independent, qualified, registered, professional

engineer.

Operating Requirements

Hazardous waste tanks must be operated in a

manner that minimizes or eliminates releases.

Chemicals that may cause any part of the tank’s

system to fail may not be placed in the unit.

Because the loading or filling of tanks brings the

potential for spills or releases of waste into the

environment, such spills or overflows from the tank

system must also be prevented by using, at a

minimum:

• Spill prevention controls, such as valves

designed to prevent the backflow of waste

during fill-up of a tank

• Overfill prevention controls, such as alarms that

sound when the waste level in the tank gets too

high, and valve systems that automatically close

when overfill is likely

• Sufficient room within an uncovered tank

between the surface of the waste and the top of

the tank (minimum freeboard).

Inspections

To verify that hazardous waste tanks and

components are operated and maintained in

satisfactory condition, owners and operators must

inspect their tanks daily. To meet these objectives,

inspections must thoroughly identify leaks,

deterioration, corrosion, or structural fatigue in any

portion of the tank or system components. In

addition to visual inspections, owners and operators

must also take into account any data received from

leak detection monitors and other tests.

Release Prevention and Response

The release response requirements require leak

detection systems to detect leaks, and secondary

containment devices to contain any leaks that might

occur from the tank or ancillary equipment (see

Figure III-13). All new hazardous waste tank

systems must have leak detection and secondary

containment before being placed in service. Existing

systems must be equipped with secondary

containment by different deadlines, based on a

phased-in schedule determined by the age of the

tank.

Leak Detection

Hazardous waste tanks must be equipped with a

leak detection system. The leak detection system

must be able to detect failure in either the main tank

or secondary containment system generally within

24 hours. Thermal conductivity sensors, electrical

resistivity sensors, and vapor detectors are

commonly used leak detection devices. Daily visual

inspections may also be used where tanks and tank

components are physically accessible.

Secondary Containment

To make sure the tank system will perform

properly, secondary containment systems must be

designed, installed, and operated to ensure that:

• No waste is released to the surrounding soil,

ground water, or surface water

• Construction materials or liners are compatible

with the waste to be stored or treated in the tank

• The tank is capable of containing accumulated

material until it is promptly removed (generally

within 24 hours)

• The tank has sufficient structural strength to

prevent failure

• The foundation can resist failure due to normal

movement of the surrounding soils (settlement,

compression, or uplift).

Owners and operators must meet these

requirements by using one of the following

secondary containment devices:

• An external liner that completely surrounds the

unit with an impermeable material

• A vault (the tank rests in an underground

chamber usually constructed with concrete

floors and walls and an impermeable cover)
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities

III-71

• A double-walled tank (the tank is completely

enclosed inside another tank with a leak

detection monitoring system installed between

the two)

• An EPA-approved alternative design.

In addition to the tank itself, all ancillary

equipment (e.g., pipes, valves, trenches connected to

the tank or tank system) must have full secondary

containment. Examples of secondary containment

for ancillary equipment include lined trenches, and

jacketed or double-walled piping. When inspected

daily, however, the following equipment is exempt

from this requirement:

• Aboveground piping (not including flanges,

joints, valves, and connections)

• Welded flanges, welded joints, and welded

connections

• Seal-less or magnetic coupling pumps

• Aboveground pressurized piping systems with

automatic shut-off devices.

Despite these precautions, occasionally a tank

system or secondary containment system will leak or

spill hazardous waste. When this happens, the

owner and operator must immediately take the tank

out of operation and determine the cause of the

release. To prevent the spill from moving further

away from the tank, the owner and operator must

also remove and properly dispose of any

contaminated soil, ground water, or surface water.

In addition, the owner and operator must notify the

EPA Regional Administrator or National Response

Center, and submit a follow-up written report to the

EPA Regional Administrator within 30 days. The

tank must then either be repaired or closed.

Other Requirements

In addition to these requirements, tanks storing

or treating certain hazardous wastes are also subject

to RCRA air emission control requirements (as

discussed later in this chapter). LQGs and SQGs

accumulating waste on site in tanks are subject to

the interim status TSDF standards for these units.

(Generator requirements are fully discussed in

Section III, Chapter 3.) SQGs, however, are not

subject to the air emission control requirements.

 Waste Piles

A waste pile is an open pile used for treating or

storing nonliquid hazardous waste. The standards

for these units are very similar to those for landfills,

but the difference is that waste piles may be used for

temporary storage and treatment only, not disposal.

Design Standards

To minimize the potential for leachate to leak

from a waste pile, EPA developed the following

design standards (see Figure III-14):

• Double liner

• Double leachate collection and removal system

• Leak detection system

• Run-on, run-off, and wind dispersal controls

• Construction quality assurance.

Double Liner

The double liner system requirements are

identical to those for hazardous waste landfills and

surface impoundments.

Figure III-13: Secondary Containment for Tanks

Secondary 

Containment 

System Ancillary 

Equipment

Hazardous 

Waste Tank
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-72

Double Leachate Collection and Removal

System

The double leachate collection and removal

system requirements are identical to those for

hazardous waste landfills.

Leak Detection System

The leak detection system requirements are

identical to those for hazardous waste landfills and

surface impoundments.

Run-On, Run-Off, and Wind Dispersal Controls

The run-on, run-off, and wind dispersal control

requirements are identical to those for hazardous

waste landfills; however, interim status waste piles

are not subject to the storm water controls, but are

subject to wind dispersal controls.

Construction Quality Assurance

The construction quality assurance program

requirements are identical to those for hazardous

waste landfills and surface impoundments.

Operating Requirements

Under no circumstances can an owner and

operator place liquid hazardous waste in a waste

pile.

Inspections

The liner and leachate collection and removal

system inspection requirements are identical to those

for hazardous waste landfills.

Release Prevention and Response

The release prevention and response

requirements are identical to those for hazardous

waste landfills.

Special Wastes

Similar to land treatment units, landfills, and

surface impoundments, permitted waste piles can

only treat, store, or dispose of certain dioxincontaining hazardous wastes (F020, F021, F022,

F023, F026, and F027) if the unit has a special

management plan approved by the EPA Regional

Administrator. These wastes cannot be managed in

interim status waste piles.

Other Requirements

Owners and operators of permitted waste piles

that are located indoors and meet special

requirements are subject to reduced regulation.

Specifically, the waste pile must:

• Be located inside or under a structure

• Not receive liquid wastes

• Be protected from surface water run-on

• Be designed and operated to control dispersal of

waste

Figure III-14: Cross-Section of a Waste Pile

 Double Leachate 

Collection and 

Removal System

Double Liner

Dike or Berm
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities

III-73

• Be managed to prevent the generation of

leachate.

If these standards are met, the owner and

operator of the permitted waste pile is exempt from

ground water monitoring requirements as well as the

design and operation requirements for waste piles.

RCRA provides this exemption because when

properly designed and maintained, indoor waste

piles can prevent hazardous leachate from forming

or leaking into the environment.

 Miscellaneous Units

When RCRA was enacted in 1976, there was a

diverse universe of hazardous waste management

units in existence. Some of these units did not fit

the definition of any of the typical hazardous waste

management practices described earlier in this

chapter. These include physical, chemical, and

biological treatment units; thermal treatment units;

and underground injection control (UIC) wells. As a

result, EPA established interim status standards for

these units. When EPA established final permitted

TSDF standards for all hazardous waste

management units, the Agency did not establish

final standards for physical, chemical, and biological

treatment units or thermal treatment units, but rather

grouped them together and permitted them as

miscellaneous units. EPA did not include UIC wells

in this miscellaneous unit category because such

wells were later addressed under SDWA.

At present, all new hazardous waste

management units that do not fit the definition of

one of the types of units discussed earlier in this

chapter or an incinerator or BIF (as discussed in

Section III, Chapter 7) are permitted as

miscellaneous units. This section of the chapter will

present the management standards for such units.

For historical purposes, this section of the chapter

will also present the interim status standards for

physical, chemical, and biological treatment units;

thermal treatment units; and UIC wells.

Because the standards for miscellaneous units

address treatment, storage, and disposal processes

that are not addressed by other unit-specific

standards, the following management standards

consist of general operating requirements that may

be modified and amended based on site-specific

considerations.

Permitted Miscellaneous Units

Since some TSDFs treat, store, or dispose of

waste in units that are different from the previously

described hazardous waste management units,

RCRA established broad and protective

management provisions for miscellaneous units to

allow for the use of new and innovative waste

management technologies. The RCRA standards are

designed to give the implementing agency the

flexibility to tailor permit standards, on a case-bycase basis, to these unique waste management

practices.

Miscellaneous units are defined as treatment,

storage, or disposal units other than:

• Containers, containment buildings, drip pads,

land treatment units, landfills, surface

impoundments, tanks, or waste piles (as

discussed in this chapter)

• Incinerators or BIFs (as discussed in Section III,

Chapter 7)

• Corrective action management units (CAMUs)

(as discussed in Section III, Chapter 9)

• Units permitted for research, development, and

demonstration (RD&D) (as discussed in Section

III, Chapter 8)

• UIC wells.

Based on this definition, miscellaneous units

may include, but are not limited to:

• Geologic repositories (e.g., underground caves)

• Deactivated missile silos

• Thermal treatment units

• Units for the open burning or detonation of

waste explosives

• Chemical, physical, or biological treatment

units.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-74

Since miscellaneous units are subject to sitespecific design and operating requirements, RCRA

requires that owners and operators applying for a

permit provide the implementing agency with

detailed information on unit design and potential

environmental impacts. The owner and operator

must provide detailed plans and engineering reports

describing the unit location, design, construction,

operation, maintenance, monitoring plans, and

inspection plans.

Owners and operators must also provide detailed

information on the potential pathways of human or

environmental exposure to hazardous waste or

hazardous constituents. Under these provisions,

owners and operators must evaluate the potential

magnitude and nature of potential human and

environmental exposure to air, surface water

(including wetlands), ground water, and soil. Owner

and operators of miscellaneous units are required to

conduct monitoring, testing, data analysis,

inspections, and response actions (if necessary) in

order to ensure that the unit is in compliance with its

general performance standards, and that waste

management has not threatened any of these

environmental mediums.

Interim Status Chemical, Physical, and Biological

Treatment Units

When RCRA was first enacted in 1976, some of

the diverse hazardous waste management units in

existence were chemical, physical, and biological

treatment units. Such units employed unique

treatment processes, such as distillation,

centrifugation, reverse osmosis, ion exchange, and

filtration. The Agency established interim status

standards for such units to address the safe

containment of hazardous waste, hazardous waste

constituents, and treatment by-products.

The operating standards for these units require

that:

• Waste is compatible with treatment equipment

• Ignitable and reactive wastes are

decharacterized immediately before or after

placement in the treatment process or equipment

• Waste analysis and trial treatment tests verify

that treatment will meet applicable requirements

• Owners and operators inspect discharge control,

safety, and monitoring equipment daily; and

inspect construction materials of treatment

processes and confinement structures weekly.

Interim Status Thermal Treatment Units

After the enactment of RCRA, another set of

diverse hazardous waste management units in

existence were thermal treatment units. EPA

established interim status standards for these units to

allow for the development of alternative treatment

processes in units that did not meet the definition of

an incinerator or BIF (as discussed in Section III,

Chapter 7).

Thermal treatment is defined as the treatment

of hazardous waste in a device that uses elevated

temperatures as the primary means to change the

chemical, physical, or biological character or

composition of the hazardous waste. Thermal

treatment units include carbon regeneration units,

and other devices employing processes, such as

molten salt pyrolysis, calcination, wet-air oxidation,

and microwave destruction.

The operating standards for these units require:

• The establishment of steady, normal conditions

of operation or readiness

• Waste analysis to determine the heating value of

the waste, and concentrations of halogens,

sulfur, lead, and mercury
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• Monitoring and inspections of temperature and

emission-control instruments, the stack plume,

and all process and ancillary equipment.

The implementing agency also has the flexibility

to develop standards for these units on a case-bycase basis when considering the technology-specific

data submitted by the applicant. It is probable that

the regulations for specific thermal treatment units

will reference the incinerator, boiler, and industrial

furnace standards due to the similarities between the

units.

Interim Status Underground Injection Control

Wells

Underground injection control wells are units

into which hazardous waste is permanently disposed

of by injection 1/4 mile below an aquifer with an

underground source of drinking water (as defined

under SDWA). EPA originally intended to regulate

UIC wells disposing of hazardous waste under

SDWA. At the inception of the RCRA program,

however, many states did not yet have a SDWAapproved UIC program. As a result, EPA imposed

RCRA requirements on such units until states gained

SDWA approval for their UIC programs. Because

UIC wells were not addressed by the unit-specific

hazardous waste management standards, RCRA

initially regulated such UIC wells as interim status

units. These standards required UIC wells to

comply with interim status general facility

standards, with the exception of closure and

financial assurance.

After states gained SDWA approval for their

UIC programs, such wells became regulated jointly

by SDWA and RCRA. SDWA regulates the design,

operating, and closure standards for the well itself,

while RCRA regulates any other hazardous wasterelated activities at that facility up until the point of

injection. While such wells are no longer subject to

RCRA interim status standards, they would need a

RCRA permit-by-rule, requiring compliance with

only certain RCRA administrative requirements.

As an alternative to receiving a SDWA UIC

well permit (accompanied by a RCRA permit-byrule), UIC well owners and operators could also

choose to apply for a full RCRA permit as a

miscellaneous unit.

CLOSURE

All hazardous waste TSDFs will eventually stop

receiving waste for treatment, storage, or disposal.

After these facilities are closed, the owner and

operator must either remove all waste that has

accumulated in units at the facility, or leave the

waste in place while maintaining the units in a way

that ensures they will not pose a future threat to

human health and the environment. RCRA Subtitle

C’s closure and post-closure standards are designed

to achieve this goal.

The closure and post-closure regulations are

divided into two parts: the general standards

applicable to all TSDFs, and the technical standards

for specific types of hazardous waste management

units. These combined requirements ensure that a

specific unit or facility will not pose a future threat

to human health or the environment after a TSDF

closes. This discussion will focus on the general

closure standards applicable to all TSDFs.

 Closure Requirements

Closure is the period directly after a TSDF stops

its normal operations. During this period, a TSDF

stops accepting hazardous waste; completes

treatment, storage, and disposal of any wastes left on

site; and disposes or decontaminates equipment,

structures, and soils. Some owners and operators

will completely remove all waste that was treated,

stored, or disposed in their unit. This operation is

known as clean closure. In order to demonstrate

clean closure, an owner and operator must show that

levels of hazardous contaminants at the facility do

not exceed EPA-recommended exposure levels.

Closure Plan

To ensure that a TSDF is closed properly, the

owner and operator must prepare a closure plan that

details exactly how and when facility closure will

take place, and must submit the plan to their

implementing agency for approval. Permitted

facilities are required to submit a closure plan to

their implementing agency at the time of permit

application. The approved closure plan then

becomes an enforceable component of their permit.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-76

Interim status facilities must have a written closure

plan on the premises six months after they become

subject to RCRA. The closure plan must contain:

• A description of how the owner and operator

will close each hazardous waste management

unit

• A description of how and when the owner and

operator will achieve final closure of the whole

facility

• An estimate of the maximum amount of

hazardous waste kept on site over the life of the

facility

• A detailed description of closure methods,

including the actions necessary to remove and

manage waste and decontaminate the site

• A description of any other steps necessary to

comply with the closure standards, such as

ground water monitoring or leachate collection

(depending on the type of unit).

When there is a change in the design or

operation of the facility, a change in the expected

closure date, or an unexpected event (e.g.,

discovering more contaminated soil than originally

anticipated), the owner and operator or the

implementing agency must amend the closure plan

to address the additional steps necessary to safely

close the facility. In such instances, permitted

facilities must submit an application to modify their

permit, while interim status facilities must submit

the proposed modification to the implementing

agency for approval.

Closure Timetable

To ensure that facility closure is begun and

completed in a timely manner, the closure

regulations establish specific timetables for the

initiation and completion of closure activities (see

Figure III-15). An owner and operator of a closing

TSDF must:

• Notify the implementing agency that they expect

to begin closure activities (notification must

take place at least 60 days before for surface

impoundments, landfills, waste piles, and land

treatment units, and at least 45 days before for

all other units)

• Begin closure activities within 30 days of

receiving the final shipment of hazardous waste

• Remove all hazardous wastes from the TSDF or

dispose of the wastes on site within 90 days of

beginning closure

• Complete all closure activities within 180 days

of beginning closure

• Certify that closure has been completed in

accordance with the specifications in the

approved closure plan within 60 days of

completing closure. The certification must be

signed by the owner and operator and by an

independent, registered, professional engineer.

The implementing agency may grant extensions,

if required closure activities will take more time, or

if the facility or unit has the capacity to accept more

hazardous or nonhazardous waste.

Figure III-15: Timetable of Closure Activities

Notify for Closure 0 30 90 180

of a Land-Based 

Unit

Notify for 

Closure of 

All Other Units Begin 

Closure

Final Receipt 

of Hazardous 

Waste

Remove 

All Wastes

Complete 

Closure

Certify 

Closure

60 days 45 days

60 days
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During closure, all contaminated equipment,

structures, and soils must be properly disposed or

decontaminated. During this process, an owner and

operator may become a generator of hazardous

waste, and must therefore comply with the generator

requirements.

Delay of Closure

The closure timetable is designed to guarantee

that closure is completed as soon as practicable after

the final receipt of hazardous waste in order to

minimize risks posed to human health and the

environment. On the other hand, owners and

operators of landfills, surface impoundments, and

land treatment units may have room to accept

nonhazardous waste at the time of closure. To

enable these TSDFs to continue operation, RCRA

allows these facilities to delay closure of such units.

This delay is not available to any other units. Those

units for which owners and operators choose to

delay closure are still subject to all applicable

RCRA hazardous waste requirements, and must

meet special requirements designed to ensure that

the disposal of both the nonhazardous and hazardous

waste will in no way endanger human health and the

environment.

Survey Plat

After a TSDF ceases hazardous waste activity

and closes all units, it still may be important to

know exactly where hazardous wastes were handled

(especially for purposes of future sale of the

property). To preserve this information, the owner

and operator must submit to the implementing

agency or local zoning authority a survey plat

indicating the location and dimensions of the closed

hazardous waste units. The survey plat must be

submitted no later than the submission of

certification of closure for each hazardous waste

disposal unit.

 Post-Closure Requirements

Some TSDFs are intended for the final disposal

of hazardous waste. Land treatment units, landfills,

and surface impoundments are the only units where

an owner and operator may permanently dispose of

hazardous waste. Because such permanent land

disposal brings the potential for releases from the

unit over a long-term period, these owners and

operators must conduct post-closure monitoring and

maintenance activities. Other TSDFs may not be

able to remove all hazardous wastes and

decontaminate all equipment. Since these owners

and operators cannot clean close, they must close

such units as landfills, and comply with the postclosure requirements for landfills.

Post-closure is the period after closure during

which owners and operators conduct monitoring and

maintenance activities to preserve the integrity of

the disposal system and continue to prevent or

control releases from the disposal units. Postclosure care consists of two primary responsibilities:

ground water monitoring and maintaining the waste

containment system (e.g., covers, caps, and liners).

Such activities include:

• Maintaining the final cover, the leak detection

system, and the ground water monitoring

systems

• Providing long-term protection from liquids

migrating into the closed unit, promoting

drainage of liquid, accommodating settling of

waste in the unit

• Making sure that the final cover, liners, or other

containment or monitoring systems are not

disturbed

• Monitoring ground water to detect any releases

of hazardous constituents.

The post-closure period normally lasts for 30

years after closure is completed, but may be either

extended or shortened by the EPA Regional

Administrator.

Post-Closure Plan

In order to ensure that the post-closure care of

the facility is properly carried out, the owner and

operator must design and implement a post-closure

plan. The owner and operator must submit the plan

with the post-closure permit application. The plan

must include:

• A description of planned ground water

monitoring activities
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-78

• A description of planned maintenance activities

• The name, address, and telephone number of the

facility contact person or office.

Post-Closure Notices

As with the survey plat for closure, owners and

operators of TSDFs required to perform post-closure

activities must, within 60 days after the facility

originally certified closure, provide the local zoning

or land use authority and the EPA Regional

Administrator with a record of the type, location,

and quantity of hazardous wastes in each disposal

unit at the facility. Also, a notice must be placed in

the property deed and recorded. This notice must

state that the land was used for hazardous waste

management, that the use of the land is restricted,

and that the survey plat and record of closure were

submitted to the local zoning authority and the EPA

Regional Administrator.

Certification of Completion of Post-Closure Care

To ensure that post-closure care was performed

in accordance with the post-closure plan, no later

than 60 days after completion of the established

post-closure care period for each hazardous waste

disposal unit, the owner and operator must submit to

the EPA Regional Administrator a certification that

the post-closure care period was performed in

accordance with the specifications established in the

approved closure plan.

FINANCIAL ASSURANCE

The RCRA closure and post-closure

requirements are designed to protect human health

and the environment from the long-term threats

associated with hazardous waste management and

permanent disposal. Many of these detailed

requirements come at the end of a facility’s waste

management operations and can be very expensive.

To prevent a facility from ceasing operations and

failing to provide for the potentially costly closure

and post-closure care requirements, EPA

promulgated regulations requiring TSDFs to

demonstrate that they have the financial resources to

properly conduct closure and post-closure in a

manner that protects human health and the

environment.

The TSDF general facility standards include

precautions to prepare a facility for accidents, spills,

and any resulting emergency responses. Such

unexpected events could damage third parties by

impacting human health or property outside the

facility. In order to compensate third parties for

injury or damage that might result from such events

(known as liabilities), the RCRA regulations require

TSDF owners and operators to demonstrate that they

have the financial resources to pay for bodily injury

or property damage that might result from waste

management. The closure, post-closure, and liability

financial resource requirements are called financial

assurance.

In addition to requiring facilities to set aside

funds for closure, post-closure, and liabilities, the

RCRA regulations specify the financial mechanisms

that TSDF owners and operators must use to ensure

that the financial resources are available in the event

that they are needed.

 Financial Assurance for Closure/

Post-Closure Care

After a TSDF owner and operator prepares the

required written closure and post-closure plans for

their facility, they must prepare a cost estimate that

reflects how much it would cost to hire a third-party

contractor to close the facility. These estimates

provide the base figure for the amount of financial

assurance a facility must provide.

Cost Estimates

Cost estimates must reflect the cost of hiring a

third party to conduct all activities outlined in the

closure and post-closure plans. Closure cost

estimates are based on the point in the facility’s

operating life when closure would be the most

expensive. Post-closure cost estimates are based on

projected costs for an entire post-closure period of

30 years, unless reduced or extended by the

implementing agency.

Cost Adjustments

Closure and post-closure cost estimates must be

adjusted annually for inflation until closure is

completed. Owners and operators must also adjust
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III-79

cost estimates following any changes to their closure

or post-closure plans that would raise the costs

involved. For example, the addition of treatment

units would mean that they will require

decontamination at closure. The closure and postclosure estimates must be recalculated to reflect the

additional expenses.

Period of Coverage

TSDF owners and operators must maintain

financial assurance until closure and post-closure are

complete. Within 60 days after receiving a TSDF’s

certification of final closure, the implementing

agency must notify the owner and operator that

financial assurance for final closure is no longer

required. Similarly, within 60 days after receiving a

TSDF’s certification of completion of post-closure

care, the implementing agency must notify the

owner and operator that financial assurance for postclosure is no longer required.

 Accident Liability Requirements

TSDF owners and operators must also be able to

compensate third parties for bodily injury or

property damage that might result from hazardous

waste management at a facility. This coverage

ensures that, in the event of an accidental release of

hazardous constituents, money will be available to

compensate affected third parties suffering bodily

injury or property damage. All TSDFs must

demonstrate liability coverage for sudden accidents.

In addition, TSDFs with land-based units (e.g.,

landfills) must also demonstrate liability coverage

for nonsudden accidents.

Sudden Accidental Occurrences

The inherent risks posed by hazardous waste

management at all TSDFs brings the possibility of

sudden accidents. These sudden accidental

occurrences are defined as events that are not

continuous or repeated. Examples of sudden

accidental occurrences are fires and explosions. The

minimum financial requirements include at least $1

million per occurrence, and an annual total (known

as annual aggregate) of at least $2 million.

Nonsudden Accidental Occurrences

Because land-based units are located directly on

the land, they bring an increased risk of slow, longterm nonsudden leaks to soil and ground water, and

exposure to human health and the environment.

These nonsudden accidental occurrences are

defined as events that take place over time and

involve continuous or repeated exposure to

hazardous waste. An example of a nonsudden

accidental occurrence is a leaking surface

impoundment that contaminates a drinking water

source over time. The minimum financial

requirements include at least $3 million per

occurrence, and an annual aggregate of at least $6

million.

These liability financial assurance coverage

amounts apply on an owner and operator basis, not

on a per facility basis. Consequently, owners and

operators must provide $1 million per occurrence

and $2 million annual aggregate for sudden

accidental occurrences, and $3 million per

occurrence and $6 million annual aggregate for

nonsudden accidental occurrences (if applicable),

regardless of the number of facilities owned and

operated.

Period of Coverage

TSDF owners and operators must maintain

financial liability coverage until closure is complete.

Within 60 days after receiving a TSDF’s certification

of final closure, the implementing agency must

notify the owner and operator that liability financial

assurance is no longer required. Liability coverage

is not required during the post-closure period. The

implementing agency may, however, require liability

coverage if closure was not completed in accordance

with the facility’s closure plan.

 Financial Assurance Mechanisms

Financial assurance mechanisms are the

different ways an owner and operator can show that

funds are available to pay for closure, post-closure,

and liability requirements. An owner and operator

may demonstrate financial assurance through one or

more of the following financial assurance

mechanisms:
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-80

• Trust fund

• Surety bond (two types)

- Payment bond

- Performance bond

• Letter of credit

• Insurance

• Financial test

• Corporate guarantee.

Trust Fund

A trust fund allows a facility to set aside

money in increments, according to a phased-in

schedule (known as a pay-in period). At the end of

this pay-in period, the facility will have enough

money set aside to cover its financial assurance

costs, and will have funds specifically earmarked for

closure, post-closure, and liability requirements.

Under some of the other mechanisms (surety

bonds, letters of credit, and corporate guarantees),

owners and operators must establish a standby trust

fund into which any payments made by the

mechanism will be deposited. EPA will then use

this trust fund to cover the respective costs.

Surety Bonds

A surety bond is a guarantee by a surety

company that specifies that closure, post-closure,

and liability obligations will be fulfilled. If the

owner and operator fails to pay the costs specified in

a bond, the surety company is liable for the costs.

There are two types of surety bonds:

• Payment bond — A payment bond will, in the

event an owner and operator fails to fulfill their

closure, post-closure, or liability obligations,

fund a standby trust fund in the amount equal to

the value of the bond.

• Performance bond — A performance bond

guarantees that the owner and operator will

comply with their closure, post-closure, and

liability requirements. Performance bonds can

also be paid into a standby trust fund. Interim

status facilities may not use performance bonds.

Letter of Credit

A letter of credit is a credit document issued to

a TSDF by a financial institution, covering the cost

of closure, post-closure, or liability activities.

Insurance

The owner or operator of a TSDF may take out

an insurance policy to cover the cost of closure,

post-closure, and liability requirements in the event

that the owner and operator is unable to satisfy these

obligations.

Financial Test

Some companies are of such size and financial

strength that they have the assets to absorb the costs

of closure, post-closure, and liability obligations.

As a result, owners and operators can demonstrate

and document their financial strength by using the

financial test to satisfy the TSDF financial

assurance requirements.

Corporate Guarantee

While not all companies will be able to meet the

financial test requirements, they may be owned by a

company (or have a sibling company) that has the

financial standing and ability to meet the financial

test requirements. In these cases, a TSDF owner and

operator may arrange a corporate guarantee by

demonstrating and documenting that its corporate

parent, corporate grandparent, sibling corporation,

or a firm with a substantial business relationship

with the owner or operator, meets the financial test

requirements on its behalf.

GROUND WATER MONITORING

The treatment, storage, or disposal of hazardous

waste directly on the land creates the potential to

generate hazardous waste leachate that can carry

hazardous contaminants into the environment. Such

contaminants can pose a serious threat to ground

water resources.

Ground water is water found below the land

surface in the part of the earth’s crust in which all

voids are filled with water. This water accumulates

in an aquifer, an underground rock formation, that
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provides a significant amount of ground water to

drinking wells and springs.

Ground water serves as a very important

resource by providing drinking water and municipal

water supplies for approximately 50 percent of all

Americans. In some areas, ground water supplies

100 percent of the water supply for all uses. Ground

water is also a very critical resource in agriculture.

Farmers rely on this resource to irrigate the crops

that are later sold at markets across the country.

The importance of ground water is highlighted

by that fact that it is very difficult and expensive to

clean once contaminated. Cleanup can take decades,

and in certain cases cannot restore ground water to

useable conditions.

 General Requirements

In order to protect this valuable resource and

avoid costly cleanups, RCRA requires TSDF owners

and operators of land-based treatment, storage, or

disposal units (i.e., land treatment units, landfills,

surface impoundments, and waste piles) to monitor

the ground water passing under their facilities to

ensure that their hazardous waste management

activities are not contaminating the ground water.

Waivers and Exemptions

Some land-based units are designed or managed

in a way that does not bring the potential for ground

water contamination. Such waivers or exemptions

from the ground water monitoring requirements

apply to:

• Man-made structures that do not receive liquid

wastes, have inner and outer containment layers

and a leak detection system between the

containment layers, and are designed to prevent

the entry of rain water

• Land treatment units that do not release

hazardous constituents into the environment

during the post-closure period

• Indoor waste piles

• Units that do not have the potential to leak

hazardous waste into the environment

• Units that have been clean closed.

Ground Water Monitoring Provisions

The purpose of the ground water monitoring

requirements is to require owners and operators of

land-based units to monitor the ground water that

passes beneath their TSDF in order to detect leaks of

hazardous waste, and facilitate cleanup as soon as

possible. As a result, owners and operators must

install monitoring wells to detect contamination in

the aquifer nearest the ground surface. In order to

ensure that the information received from the

monitoring wells is accurate, TSDF owners and

operators must have:

• Enough wells installed in the right places to

accurately represent the ground water activity

under the facility

• Properly installed wells (poorly installed wells

may give false results)

• Lined or cased wells to prevent the collapse of

monitoring well bore holes

• Consistent sampling and analysis procedures

• Statistical methods to avoid false evidence of a

release

• Accurate records containing any information

collected.

The ground water monitoring requirements vary

for permitted and interim status TSDFs. The interim

status ground water monitoring requirements are

designed to generate information about ground

water quality for use in developing the facility’s

permit, as well as detect and clean up releases.

 Permitted Facilities

Facilities with permitted land treatment units,

landfills, surface impoundments, or waste piles must

develop a ground water monitoring program. This

ground water monitoring program consists of three

phases:

• Detection monitoring, to detect if a leak has

occurred

• Compliance monitoring, to determine if an

established ground water protection standard has

been exceeded once a leak has occurred
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-82

• Corrective action, to clean up contamination

caused by the leak.

Because different TSDFs handle different types

of wastes and will have units of different age and

design, each TSDF’s program is unique and sitespecific.

Detection Monitoring Program

Detection monitoring is the first step of ground

water monitoring. The goal is to detect and

characterize any leaks of hazardous waste from the

unit. In detection monitoring, the owner and

operator monitors for indications of a leak from the

unit, looking for potential changes in the ground

water quality from normal (background) levels. A

change from background levels might indicate a leak

from the unit. The results from the sampling wells

are compared to the background ground water

quality levels to determine if there is any evidence

of an increase (see Figure III-16). If the evidence

indicates that the unit is leaking, the owner and

operator must:

• Notify the EPA Regional Administrator within

seven days

• Immediately sample all wells for hazardous

constituents

• Determine which hazardous constituents are

present and at what levels

• Submit an application to modify the facility’s

permit to move into the second phase of the

ground water monitoring program (compliance

monitoring)

• Submit a cleanup feasibility plan.

If the owner and operator can prove that the

contamination did not result from their facility, they

can continue detection monitoring.

Compliance Monitoring Program

Once the owner and operator has established that

a release has occurred, they must develop and

implement a compliance monitoring program (see

Figure III-17). The goal of compliance monitoring

is to ensure that the amount of hazardous waste that

has leaked into the uppermost aquifer does not

exceed acceptable levels. In order to determine

what these acceptable levels are, RCRA requires the

owner and operator to establish a ground water

protection standard (GWPS). The GWPS has four

parts: identification of hazardous constituents;

identification of concentration levels for each

constituent; establishment of a compliance point;

and determination of a compliance period during

which the GWPS applies.

Hazardous Constituents

For purposes of compliance monitoring,

hazardous constituents are those constituents that

have been detected in the uppermost aquifer and are

reasonably expected to be in or derived from the

waste contained in the unit.

Concentration Limits

Concentration limits are the maximum levels

of hazardous waste or hazardous constituents

allowed to be present in the ground water. The

concentration levels can be:

• Background levels

• Maximum contaminant levels (MCLs)

borrowed from SDWA

• Alternative concentration limits (ACLs)

established by the EPA Regional Administrator.

Point of Compliance

The point of compliance is the vertical point

where the owner and operator must monitor the

uppermost aquifer to determine if the leak exceeds

the GWPS.

Compliance Period

The compliance period is the length of time

during which an owner and operator must conduct

compliance monitoring or perform cleanup.

Generally, this period will cover the rest of the

TSDF’s operating life and may extend into the postclosure period.

The owner and operator must monitor at least

semiannually to determine if the GWPS has been
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III-83

Figure III-16: Detection Monitoring

Figure III-17: Compliance Monitoring

Ground Water 

Monitoring 

Wells

In detection monitoring, owners and operators compare the sample results from the ground water monitoring wells to the 

background water quality levels. A change from background levels might indicate a leak from the unit.

Normal 

Water Table

Adjusted Water 

Table After 

Installation of Wells

Bedrock

Limit of the Waste 

Management Area

Direction of Ground 

Water Flow

Regulated Unit

Two-Dimensional 

Point of Compliance

Uppermost 

Aquifer

During the compliance monitoring program, an owner and operator must ensure that the amount of hazardous waste that 

has leaked into the uppermost aquifer does not exceed acceptable levels. To achieve this, an owner and operator must 

establish a ground water protection standard, which includes identification of hazardous constituents, identification of 

concentration levels for each constituent, establishment of a point of compliance, and determination of a compliance period.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-84

exceeded. The specifics of the GWPS will be listed

in the TSDF’s permit.

During the compliance period, the owner and

operator must determine whether there is any

evidence of increased contamination for any of the

hazardous constituents specified in the GWPS. This

is accomplished by comparing information collected

at the point of compliance to the concentration limits

set in the GWPS. The owner and operator must also

analyze the samples from compliance wells for all

RCRA hazardous constituents at least annually to

determine if any additional constituents are present

that are not specified in the GWPS. If additional

constituents are found, they must be added to the list

of constituents in the GWPS.

If the GWPS is exceeded, the owner and

operator must:

• Notify the EPA Regional Administrator in

writing within seven days

• Submit an application to modify the facility’s

permit to move into the third phase of the

ground water monitoring program (corrective

action)

• Continue to monitor in accordance with the

compliance monitoring program.

If the owner and operator can prove that the

increased contamination resulted from a source

other than their facility, or that the increase was due

to an error in analyzing the sample or natural

variations in ground water, they must notify the EPA

Regional Administrator in writing within seven

days. On the other hand, if the contamination is

found to have resulted from a unit at the TSDF, the

owner and operator must initiate cleanup.

Corrective Action Program

The goal of ground water corrective action

(cleanup) is to clean the ground water to meet the

GWPS. To clean up the contamination, the owner

and operator must either remove the hazardous

constituents from the ground water or treat them in

place. The specific measures undertaken to clean

the ground water will vary with each facility (see

Figure III-18).

Effectiveness

To make sure the owner’s and operator’s

corrective action program is working properly, they

must monitor the ground water under the TSDF, and

then report semi-annually on the effectiveness of the

corrective action program.

Time Period

Once the ground water has been treated to meet

the GWPS, the owner and operator may stop

corrective action and return to compliance

monitoring. During the compliance period, facilities

may move between compliance monitoring and

corrective action as necessary to respond to new

releases from the unit.

If the compliance period ends and corrective

action is still being conducted, corrective action

must continue as long as necessary to achieve the

GWPS. Only after the owner and operator has met

the GWPS for three consecutive years may they stop

corrective action. If the unit is still in the postclosure period, the owner and operator may then

reinstate a detection monitoring program. If the

post-closure period has elapsed, the TSDF has

completed its requirements under RCRA ground

water monitoring.

 Interim Status Facilities

The requirements for interim status facilities

were designed to supply background data on these

facilities before permitting, and to act as a warning

system to detect any releases to ground water prior

to issuing a permit to the facility. The interim status

program is similar to the permitted ground water

monitoring program, but does not include cleanup

provisions. If cleanup is required at an interim

status facility, it will be addressed under RCRA

§3008(h) or §7003 corrective action authorities (as

discussed in Section III, Chapter 9), or in the facility

permit when issued. The interim status ground

water monitoring program is comprised of two

phases: an indicator evaluation and a ground water

quality assessment.
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities

III-85

Indicator Evaluation

To determine if the units at a TSDF are leaking,

the owner and operator must monitor the ground

water under the facility. The information collected

from the monitoring wells is compared to data on

background water quality to determine if any

contamination of the uppermost aquifer has

occurred. If the information indicates that there may

be a release from the facility, the owner and operator

must then begin the second phase, the ground water

quality assessment. If an owner and operator

assumes or already knows that contamination of the

uppermost aquifer has occurred, they may initiate

the ground water quality assessment instead of an

indicator evaluation program.

Ground Water Quality Assessment Program

Once the owner and operator has determined

that there may have been a release from the unit, the

ground water quality assessment helps to determine

the extent of the release. If an owner and operator

must perform a ground water quality assessment,

they must notify the EPA Regional Administrator

within seven days, and prepare and submit a plan on

how to conduct a ground water quality assessment to

the EPA Regional Administrator within 15 days. In

the ground water quality assessment, the owner and

operator must establish how fast the unit is leaking,

how far the leak has spread, and the concentrations

of constituents in the contamination. The owner and

operator must repeat this assessment at least

quarterly until final closure of the facility, and must

keep records of all required analyses and evaluations

on site. They must also submit an annual report to

the EPA Regional Administrator detailing the status

of the ground water quality assessment program.

AIR EMISSION STANDARDS

While many hazardous waste TSDF standards

are designed to protect ground water, potential

contamination of air resources also represents a

threat to human health and the environment. During

the process of hazardous waste treatment, storage, or

Figure III-18: Ground Water Corrective Action

An example of ground water corrective action is a ground water pump and treat system. In order to remediate 

contamination that has leaked from a disposal site into the uppermost aquifer, the owner and operator injects water and 

solvents into the ground. The groundwater flow carries the water and solvents to the contaminant plume, flushes the plume 

of the contamination, and carries the contaminants to a recovery well where the contaminated water is pumped to the 

surface and treated. Clean water is then re-injected into the ground water for reuse in the pump and treat process.

Injection of Water 

and Solvents into 

Ground Water

Treatment System

Leaking 

Disposal 

Site

Recovery 

Well

Water Table

Contaminant Plume

Bedrock

Re-Injection of 

Clean Water 

Upperrmost 

Aquifer

Ground Water Flow
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-86

disposal, hazardous constituents can escape into the

air.

One particular class of these constituents,

volatile organics, evaporate easily and have been

linked to several adverse health effects. In order to

control the release of these emissions from

hazardous waste management processes, RCRA

imposes air emission control requirements on units

that commonly manage hazardous waste with

organics.

 Process Vents

Certain types of hazardous waste units are

commonly used to manage wastes with high levels

of volatile organics. As a result, the first set of air

emission requirements addresses process vents

associated with the distillation, fractionation, thinfilm evaporation, solvent extraction, and air and

steam stripping of hazardous waste with an annual

average total organic concentration of 10 parts per

million by weight (ppmw). Owners and operators of

TSDFs with these treatment processes must reduce

organic emissions at their entire facility. To meet

this standard, the owner and operator may either

modify the treatment process or install a device to

control organic emissions.

 Equipment Leaks

Volatile organics can also escape into the air

through gaps between connections of hazardous

waste management equipment, or other leaks from

such equipment. As a result, the second set of air

emission regulations establishes specific leak

detection and repair programs for equipment (e.g.,

valves, pumps, and compressors) that contains or

contacts hazardous waste with at least 10 percent by

weight organics. These programs require leak

detection monitoring and inspection. In addition,

once a leak has been detected, the equipment must

be repaired.

 Containers, Surface Impoundments,

and Tanks

In order to further protect human health and the

environment from the risks posed by volatile

organics, the final set of RCRA air emission

standards require TSDF owners and operators to

control organic air emissions from hazardous waste

containers, surface impoundments, and tanks.

RCRA requires these controls if the units manage

waste with an average volatile organic concentration

above 500 ppmw. These air emission controls

prevent the release of organic constituents through

installation of a control device (e.g., a flare), or

prevention of emissions.

Containers

TSDF owners and operators are subject to one

of three different sets of requirements for containers

depending on the size of the container, the organic

content of hazardous waste placed in the container,

and whether or not waste stabilization (as discussed

in Section III, Chapter 6) occurs in the container.

Small containers (between 26 and 119 gallons) and

large containers (greater than 119 gallons) storing

waste with a low vapor pressure (known as Level 1

containers) must either comply with DOT

requirements, be equipped with a closed cover, or be

fitted with a vapor suppressing barrier. Large

containers storing waste with a high vapor pressure

(known as Level 2 containers) may either meet DOT

specifications, operate with no detectable emissions,

or be vapor tight (i.e., no vapors can escape the

unit). The last category of containers (Level 3

containers) are those units conducting waste

stabilization. These containers must be vented

through a closed-vent system to a control device.

Surface Impoundments

TSDF surface impoundment owners and

operators must either install a cover (e.g., an airsupported structure or a rigid cover) over the

impoundment, which must be vented through a

closed-vent system to a control device, or equip the

surface impoundment with a floating membrane

cover.
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities

III-87

Tanks

TSDF tank owners and operators are subject to

one of two different sets of requirements depending

on the vapor pressure of the waste being managed in

the unit. Tanks which store hazardous waste below

certain vapor pressures (known as Level 1 tanks),

must be equipped with, at a minimum, a fixed roof.

Those tanks that store waste with higher vapor

pressures (known as Level 2 tanks), have five

compliance options that range from putting the tank

in an enclosure vented to a control device to using a

closed-vent system that vents emissions from the

unit to a control device.

 Other Requirements

The air emission standards require owners and

operators to keep certain records demonstrating

compliance with these standards in the facility’s

operating log.

LQGs are subject to the interim status air

emission control requirements for process vents,

equipment leaks, containers, and tanks. SQGs,

however, are not subject to these air emission

control requirements.

SUMMARY

The RCRA Subtitle C TSDF standards impose

requirements on units that treat, store, or dispose

hazardous waste. These standards include full

operation and management requirements for

permitted facilities (those built after the standards

were established) and less stringent provisions for

interim status facilities (those that were already in

operation).

The TSDF standards require facilities to comply

with:

• General facility standards

• Preparedness and prevention requirements

• Contingency plans and emergency procedure

provisions

• Manifest, recordkeeping, and reporting

requirements.

TSDF owners and operators can treat, store, or

dispose of waste in a variety of units. Each unit has

its own specific standards governing unit design,

construction, operation, and maintenance. Owners

and operators can manage their waste in any of the

following units:

• Containers

• Containment buildings

• Drip pads

• Land treatment units

• Landfills

• Surface impoundments

• Tanks

• Waste piles

• Miscellaneous units.

LQGs accumulating waste in containers,

containment buildings, drips pads, and tanks are

subject to the interim status TSDF standards for

these units. SQGs accumulating waste in containers

and tanks are subject to the interim status standards

for these units.

The TSDF standards also establish requirements

to ensure that hazardous waste management units are

closed in a manner that protects human health and

the environment. The closure provisions require the

facility to stop accepting waste; remove all waste

from management units; and decontaminate all soils,

structures, and equipment. Some units (i.e., land

treatment units, landfills, and surface

impoundments) serve as places for the final disposal

of hazardous waste. These land disposal units must

comply with additional post-closure requirements to

ensure proper long-term unit maintenance.

Because closure and post-closure activities can

be very expensive, the TSDF standards require

owners and operators to demonstrate financial

assurance. These provisions also require all TSDFs

to set aside funds in order to compensate third

parties for bodily injury and property damage that

might result from hazardous waste management

operations.

RCRA’s TSDF standards also include provisions

to protect ground water and air resources from
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-88

hazardous waste contamination. RCRA requires

owners and operators of land-based units (i.e., land

treatment units, landfills, surface impoundments, and

waste piles) to monitor the ground water below their

TSDF for possible contamination, and clean up any

discovered contamination.

In order to protect air resources, TSDFs are

required to install unit controls to prevent organic

emissions from escaping into the air. The air

emissions controls apply to process vents,

equipment leaks, containers, surface impoundments,

and tanks.
III-89

In this chapter...

Overview........................................................... III-89

Applicability....................................................... III-90

LDR Prohibitions .............................................. III-91

- Disposal Prohibition ...................................... III-91

- Dilution Prohibition ........................................ III-96

- Storage Prohibition ........................................ III-96

History of LDR .................................................. III-96

Summary .......................................................... III-98

Additional Resources ....................................... III-98

OVERVIEW

A common hazardous waste management

practice is to place hazardous waste in land-based

units (i.e., land treatment units, landfills, surface

impoundments, or waste piles). In 1999,

approximately 69 percent of hazardous

nonwastewaters generated under RCRA were

permanently disposed on the land. The permanent

disposal of hazardous waste in land-based units has

the potential to threaten human health and the

environment through ground water contamination.

As a result, the RCRA program contains extensive

technical requirements to ensure that land-based

units prevent hazardous leachate from escaping into

the environment. To complement the unit-specific

standards, which alone do not fully protect human

health and the environment from the potential risks

of land-based hazardous waste management, RCRA

includes the LDR program.

The LDR program approaches ground water

protection differently from unit-specific technical

standards. This program does not mandate physical

barriers to protect ground water, but instead requires

that hazardous wastes undergo fundamental

physical or chemical changes so that they pose less

of a threat to ground water, surface water, and air

when disposed. The obvious advantage of such

hazardous waste treatment is that it provides a

longer lasting form of protection than does simple

hazardous waste containment. While synthetic

barriers designed to prevent the migration of

leachate can break down and fail over time,

physical and chemical changes to the waste itself

provide a more permanent type of protection.

When directing EPA to establish the LDR

program, Congress called for regulations that

specified concentrations of hazardous constituents

or methods of treatment that would substantially

decrease the toxicity of hazardous waste or decrease

the likelihood that contaminants in such wastes

would leach. EPA responded to these requirements

by establishing waste-specific treatment standards

that dictate to what extent waste must be treated.

All hazardous wastes, except under certain

circumstances, must meet a specific treatment

standard before they can be disposed.

CHAPTER 6

LAND DISPOSAL RESTRICTIONS
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-90

APPLICABILITY

Wastes must be a RCRA hazardous waste in

order to be subject to the LDR program. In other

words, unless a waste meets the definition of a solid

and hazardous waste, its disposal is not regulated

under the LDR program. Once a generator identifies

its waste as hazardous (either listed, characteristic,

or both), the waste is assigned a waste code. When

EPA establishes a treatment standard for the waste

code, the waste will then become restricted (i.e.,

subject to the LDR requirements). RCRA requires

that EPA establish treatment standards for hazardous

wastes within six months of promulgating a new

listing or characteristic. Until EPA establishes a

treatment standard for a waste, this newly identified

or newly listed waste (i.e., waste for which EPA has

yet to establish a treatment standard) can continue to

be land disposed without treatment. When EPA

promulgates a final treatment standard for a waste,

handlers of the waste must manage it in accordance

with all the LDR requirements and cannot dispose of

it on the land until it meets all applicable treatment

standards (see Figure III-19).

While the LDR program generally applies to all

persons who generate, transport, treat, store, or

dispose of restricted hazardous wastes, there are

exclusions from the LDR requirements. The

following wastes are not subject to the LDR

program:

• Waste generated by CESQGs

• Waste pesticides and container residues

disposed of by farmers on their own land

• Newly identified or newly listed hazardous

wastes for which EPA has yet to promulgate

treatment standards

• Certain waste releases that are mixed with a

facility’s wastewater and discharged pursuant to

CWA.

Figure III-19: Land Disposal Restrictions Applicability

Is material a solid waste?

Is waste a listed or characteristic hazardous waste?

WASTE IS NOT SUBJECT 

TO LDR

Does waste have a treatment standard?

Is waste:

1) Generated by a CESQG; or

2) A pesticide/container residue disposed by a farmer on his own land; or

3) A low-volume release mixed with facility wastewater and discharged

 under CWA?

WASTE IS SUBJECT TO LDR

Yes

No

Yes

No

No

Yes

Yes

No
Chapter 6: Land Disposal Restrictions

III-91

Wastes meeting any of these descriptions may

continue to be land disposed without being subject to

the LDR program.

The LDR requirements attach to a hazardous

waste at its point of generation. In other words,

once a waste has been generated, identified, and

assigned a waste code, it must be treated in

accordance with LDR requirements before being

disposed. As a general principle, a hazardous waste

must meet all applicable treatment standards to be

eligible for land disposal. For purposes of the LDR

program, a generator of a listed hazardous waste

must determine if the waste also exhibits any

hazardous waste characteristics. If it does, then the

treatment standard for all waste codes must be met

before land disposal.

LDR PROHIBITIONS

The LDR program consists of three main

components: the disposal prohibition, the dilution

prohibition, and the storage prohibition. This series

of prohibitions restricts how wastes subject to LDR

requirements are handled. The most visible aspect

of the LDR program is the disposal prohibition,

which includes treatment standards, variances,

alternative treatment standards, and notification

requirements. Land disposal means placement in

or on the land, except in a corrective action unit, and

includes, but is not limited to, placement in a

landfill, surface impoundment, waste pile, injection

well, land treatment facility, salt dome formation,

salt bed formation, underground mine or cave, or

placement in a concrete vault, or bunker intended for

disposal purposes. The other two components work

in tandem with the disposal prohibition to guide the

regulated community in proper hazardous waste

management. The dilution prohibition ensures that

wastes are properly treated, and the storage

prohibition ensures that waste will not be stored

indefinitely to avoid treatment.

 Disposal Prohibition

The first component of the LDR program, the

disposal prohibition, prohibits the land disposal of

hazardous waste that has not been adequately treated

to reduce the threat posed by such waste. The

criteria that hazardous

wastes must meet

before being disposed

of are known as

treatment standards.

These treatment

standards can be either

concentration levels

for hazardous

constituents that the waste must meet or treatment

technologies that must be performed on the waste

before it can be disposed.

EPA bases the LDR treatment standards on the

performance of available technologies. EPA

conducts extensive research into available treatment

technologies to determine which proven, available

technology is the best at treating the waste in

question. The technology that best minimizes the

mobility or toxicity (or both) of the hazardous

constituents is designated as the Best Demonstrated

Available Technology (BDAT) for that waste. The

treatment standards are based on the performance of

this BDAT.

When treatment standards are set as

concentration levels, the regulated community may

use any method or technology (except dilution, as

discussed later in this chapter) to meet that

concentration level. The concentration level is

based on the performance of the BDAT, but the

regulated community does not need to use this

technology to meet the treatment standard. EPA

prefers to use concentration-based standards because

they stimulate innovation and the development of

alternative treatment technologies. However, when

EPA feels that the waste will only be effectively

treated by the BDAT or when there is no way to

measure hazardous constituent levels, the Agency

will designate the BDAT as the treatment standard.

This means that the regulated community must treat

the waste with that specific technology in order to

meet the treatment standard.

The treatment standards are found in the

regulations in a table arranged by hazardous waste

code (40 CFR §268.40). Concentration-based

treatment standards appear in the table as numeric

values. The few treatment standards that require the

use of a specific technology are expressed as a fiveDISPOSAL PROHIBITION

The disposal prohibition

prohibits the land disposal

of hazardous waste that

has not been adequately

treated to reduce the threat

posed by such waste.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-92

letter code representing the technology (see Figure

III-20). There are 30 such codes representing

specific technology-based standards. Descriptions

of these codes and the technologies that they require

are found in the regulations in a separate table in 40

CFR §268.42 (see Figure III-21).

Characteristic Hazardous Wastes

Both listed and characteristic hazardous wastes

must meet the LDR treatment standards before they

are eligible for land disposal. There are, however,

some unique situations that arise when dealing with

characteristic wastes under the LDR program.

The treatment standards for most characteristic

hazardous wastes entail rendering the waste

nonhazardous (i.e., decharacterizing the waste or

removing the characteristic). However, some

characteristic waste treatment standards have

additional requirements. The regulated community

must examine these wastes for underlying

hazardous constituents. These constituents are not

what causes the waste to exhibit a characteristic, but

they can pose hazards nonetheless. The underlying

hazardous constituents must be treated in order to

meet contaminant-specific levels. These levels are

referred to as the universal treatment standards

(UTS), and are listed in a table in the RCRA

regulations (40 CFR §268.48). This is why some

characteristic wastes that no longer exhibit a

characteristic must still be treated to meet additional

LDR requirements. Once such characteristic

hazardous wastes have been decharacterized and

treated for underlying constituents, they can be

disposed of in a nonhazardous waste landfill.

Variances, Extensions, and Exemptions

If a restricted waste does not meet its applicable

treatment standard, it is prohibited from land

disposal. Although most wastes become eligible for

disposal by meeting the treatment standards, in some

instances this may not be possible. For example,

there may not be enough treatment capacity to treat

a waste, or the concentration level may not be

achievable. To address these situations, EPA

established procedures that allow wastes to be

Figure III-20: Excerpts from the 40 CFR §268.40 Treatment Standards Table

TREATMENT STANDARDS FOR HAZARDOUS WASTES

WASTE

CODE

WASTE DESCRIPTION

AND 

TREATMENT/

REGULATORY

SUBCATEGORY

REGULATED HAZARDOUS

CONSTITUENT WASTEWATERS NONWASTEWATERS

Common

Name

CAS

Number

Concentration in

mg/l; or

Technology Code

Concentration in mg/kg

unless notes as “mg/l TCLP”;

or Technology Code

K009

Distillation bottoms from 

the production of 

acetaldehyde from 

ethylene

Chloroform 67-66-3 0.046 6.0

K026

Stripping still tails from 

the production

of methyl ethyl pyridines

NA NA CMBST CMBST

Concentration-Based

Standard

Technology-Based

Standard
Chapter 6: Land Disposal Restrictions

III-93

disposed of under special circumstances. The

following exemptions, variances, and extensions

allow wastes to be disposed of without meeting their

respective treatment standards, or to be treated to a

different standard:

• National capacity variances

• Case-by-case extensions

• No-migration variances

• Variances from a treatment standard

• Equivalent treatment method variances

• Surface impoundment treatment exemptions.

While national capacity variances, when needed,

are automatically granted to all affected hazardous

waste management facilities, the other five

exemptions, variances, and extensions require a

facility to specifically petition the Agency.

National Capacity Variances

When developing a treatment standard, EPA

examines the available treatment capacity to

determine whether it is sufficient to handle current

and future waste management needs. If the Agency

determines that nationally there is not enough

capacity to treat a waste, EPA can automatically

extend the effective date of the waste’s treatment

standard. Such an extension to the effective date is

intended to give the waste treatment industry more

time to develop the capacity to handle the waste.

Wastes under a national capacity variance can be

disposed of, without meeting the treatment

standards, in landfills and surface impoundments

Figure III-21: Excerpts from the 40 CFR §268.42 Technology-Based Standards Table

Description

Biodegradation uses microorganisms to break down organic compounds

to make a waste less toxic.

Chemical reduction converts metal and inorganic constituents in 

wastewater into insoluble precipitates that are later settled out of the 

wastewater, leaving a lower concentration of metals and inorganics in the

wastewater.

Combustion destroys organic wastes or makes them less hazardous

through burning in boilers, industrial furnaces, or incinerators.

Deactivation is treatment of a waste to remove the characteristic of

ignitability, corrosivity, or reactivity. Deactivation can be achieved using

many of the treatment technologies in 40 CFR §268.42, Table 1. Part 268, 

Appendix VI recommends technologies that can be used to deactivate

specific wastestreams.

Macroencapsulation is the application of a surface coating material to 

seal hazardous constituents in place and prevent them from leaching or

escaping.

Neutralization makes certain wastes less acidic or certain substances 

less alkaline.

Precipitation removes metal and inorganic solids from liquid wastes to

allow the safe disposal of the hazardous solid portion.

Recovery of organics uses direct physical removal methods to extract 

metal or inorganic constituents from a waste.

Recovery of organics uses direct physical removal methods (e.g., 

distillation, steam stripping) to extract organic constituents from a waste.

Stabilization (also referred to as solidification) involves the addition of 

stabilizing agents (e.g., Portland cement) to a waste to reduce the 

leachability of metal constituents.

Code

BIODG

CHRED

CMBST

DEACT

MACRO

NEUTR

PRECP

REMTL

RORGS

STABL

Technology

Biodegradation

Chemical reduction

Combustion

Deactivation

Macroencapsulation

Neutralization

Precipitation

Recovery of Metals

Recovery of Organics

Stabilization
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-94

that meet minimum technical requirements (e.g.,

liners, leachate collection and removal systems, and

leak detection systems). (These technical

requirements are fully discussed in Section III,

Chapter 5.)

Case-by-Case Extensions

A facility may petition EPA for a case-by-case

extension to delay the effective date of a waste’s

treatment standard, upon showing that capacity does

not exist for that particular waste. Similar to

national capacity variances, wastes granted case-bycase extensions can be disposed of without meeting

the treatment standards in landfills and surface

impoundments that meet minimum technical

requirements.

No-Migration Variances

No-migration variances differ from capacity

variances in that they apply to the disposal unit

instead of to the waste, and allow wastes to be

disposed of in the unit without meeting the treatment

standards. To obtain a no-migration variance for a

disposal unit, a facility must petition EPA and

demonstrate that there will be no migration of

hazardous constituents from the unit (i.e., the waste

will not leak or escape from the unit) for as long as

the wastes remain hazardous.

Variances from a Treatment Standard

Variances from a treatment standard allow the

regulated community to petition EPA and show that

the required LDR treatment standard is not

appropriate for their waste, or that the treatment

standard is not achievable. If a variance is granted,

EPA will specify an alternative standard to meet.

Equivalent Treatment Method Variances

Equivalent treatment method variances allow the

regulated community to petition EPA and

demonstrate that a technology different from the

required LDR treatment technology can achieve the

same results. If approved, the applicant can use the

alternative technology in place of the required

technology.

Surface Impoundment Treatment Exemptions

Surface impoundment treatment exemptions

allow the regulated community to petition EPA for

permission to treat hazardous waste in surface

impoundments (surface impoundments are fully

discussed in Section III, Chapter 5). Under normal

circumstances, owners and operators cannot place

untreated hazardous waste on the land, even if it is

in a land-based unit for treatment. Since many

facilities use surface impoundments as a means of

treating waste, the surface impoundment treatment

exemption allows owners and operators to conduct

such treatment under certain conditions. Surface

impoundments treating waste under this exemption

must comply with double liner and minimum

technical requirements, and provisions for the

removal of sludges and treatment residues.

Alternative Treatment Standards

In establishing treatment standards, the Agency

applied the BDAT methodology to the typical forms

of waste generated by industry. Some forms of

hazardous waste are unique and were not taken into

account by the BDAT process when treatment

standards were established. As a result, EPA created

a number of broad, alternative treatment standards

for special types of waste.

CASE STUDY: DECHARACTERIZED WASTES AND THE REQUIREMENT TO TREAT

FOR UNDERLYING HAZARDOUS CONSTITUENTS

A facility generates an industrial nonwastewater that contains benzene, acetone, and methanol. The generator

determines that their waste is not listed based on its origin, but upon testing the waste, determines that it fails the

TCLP for benzene. As a result, the waste is identified as D018. According to the LDR treatment standard for D018,

the benzene in the waste must be treated to a standard of 10 mg/kg, and the waste must also be treated for acetone

and methanol underlying hazardous constituents. The generator decides to treat the waste in containers at the

facility. After treatment, the benzene meets the 10 mg/kg standard and no longer exhibits a characteristic. Although

the waste is technically no longer a hazardous waste, it must be treated for the acetone and methanol underlying

hazardous constituents before it can be land disposed.
Chapter 6: Land Disposal Restrictions

III-95

Lab Packs

Laboratories commonly generate small volumes

of many different listed hazardous wastes. Rather

than manage all these wastes separately, labs often

consolidate these small containers into lab packs.

Trying to meet the individual treatment standards for

every waste contained in a lab pack would be

impractical. To ease the compliance burden, EPA

established an alternative treatment standard for lab

packs that allows the whole lab pack to be

incinerated, followed by treatment for any metal in

the residues. Treatment using this alternative

standard satisfies the LDR requirements for all

individual wastes in the lab pack.

Debris

Debris can become contaminated with hazardous

waste accidental releases or spills. While such

contaminated debris is typically regulated under the

contained-in policy (as discussed in Section III,

Chapter 1), it may also be subject to LDR treatment

standards. The physical characteristics of such

debris may make it difficult to meet the LDR

treatment standard for the waste that is

contaminating it. For example, incinerating a

solvent-saturated brick wall is not necessarily going

to destroy the solvent constituents that are safely

nestled in between the pieces of brick. Instead of

requiring debris to meet these sometimes

inappropriate and difficult standards, EPA

established a set of alternative standards that can be

used to treat hazardous debris (40 CFR §268.45,

Table 1). The alternative standards range from

removing all contaminants with high pressure

washing, to encapsulating the debris in order to

prevent hazardous constituents from leaching.

Debris treated with these alternative treatment

standards meets the LDR requirements, and in many

cases, can be disposed of as nonhazardous waste.

Soil

Cleanup, or remediation, of hazardous waste

sites will often produce contaminated soil.

Contaminated soil must be handled as hazardous

waste if it contains a listed hazardous waste or if it

exhibits a characteristic of hazardous waste (see

discussion of the contained-in policy in Section III,

Chapter 1). As with hazardous waste, land disposal

of hazardous soil is prohibited until the soil has been

treated to meet LDR standards. These contaminated

soils, due to either their large volume or unique

properties, are not always amenable to the waste

code-specific treatment standards found in §268.40.

Because of this, EPA promulgated alternative soil

treatment standards in §268.49 in May 1998.

The alternative soil treatment standards mandate

reduction of hazardous constituents in the soil by

90% or ten times UTS, whichever is higher.

Removal of the characteristic is also required if the

soil is ignitable, corrosive, or reactive.

Notification, Certification, and Recordkeeping

In order to properly track the hazardous waste

that is generated, transported, treated, stored, and

disposed of, EPA imposes certain LDR notification,

certification, and recordkeeping requirements on

generators and TSDFs. LDR notifications inform

the next waste handler how the waste must be

treated to meet the treatment standard or if it can be

disposed of without treatment. When wastes do not

need to meet a treatment standard, or already meet

the standard, EPA requires the handler to sign a

statement certifying such a claim.

Generators must send a notification with the

initial shipment of every waste. If the waste,

process, or receiving facility changes, another

notification is required. The information that the

notification must include varies according to the

status of the waste. For example, the notification

requirements will differ slightly if the waste meets

its treatment standard or is subject to a national

capacity variance.

Treatment facilities have to send similar

notifications along with the shipment of treated

wastes to disposal facilities. A certification

normally accompanies this notification stating that

the waste meets its treatment standards and may be

land disposed. Disposal facilities are the final link

in the waste management chain. As a result, they

have to test the waste residue that they receive to

ensure that it meets the treatment standards.

Each hazardous waste handler must comply with

certain recordkeeping requirements for LDR
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-96

notifications and paperwork. Generators, treatment

facilities, and disposal facilities must keep copies of

all LDR paperwork associated with the waste they

ship or receive in their facility files for three years.

Characteristic wastes that are decharacterized

subsequent to the point of generation (i.e., they

become nonhazardous) are handled differently.

Once a waste is decharacterized and has met its full

LDR treatment standards, it can go to a RCRA

Subtitle D nonhazardous waste facility. These LDR

notifications and certifications are sent to the EPA

Region or authorized state rather than to the

receiving Subtitle D facility. This is intended to

protect Subtitle D facilities from the burden of

hazardous waste paperwork.

 Dilution Prohibition

The second component of the LDR program is

the dilution prohibition. When a waste’s treatment

standard is expressed as a numeric concentration

level, it is often easier and less expensive to dilute

the waste in water or soil in order to reduce the

concentration of the hazardous constituents. This

type of activity does not reduce the overall or mass

load of toxic chemicals that could be released to the

environment, and is inconsistent with the goals of

the LDR program. To prevent this activity from

being practiced, EPA established the dilution

prohibition. The dilution prohibition states that it is

impermissible to dilute hazardous waste to

circumvent proper treatment. Adding water or soil

to a waste to dilute it, combining wastes not

amenable to the same type of treatment, and

incinerating metal wastes are all examples of

impermissible dilution.

 Storage Prohibition

The final

component of the LDR

program is the storage

prohibition. Before a

waste can be treated, it

is usually stored in

units, such as

containers and tanks.

These storage units are

not intended for the

long-term management

of waste, and therefore, are not required to provide

the same level of protective measures as disposal

units. To prevent indefinite storage, EPA regulations

state that if waste storage exceeds one year, the

facility has the burden of proving that such storage is

being maintained in order to accumulate quantities

necessary for effective treatment or disposal. For

storage less than one year, EPA has the burden of

proving that such storage is not for the purpose of

accumulating quantities necessary for effective

treatment or disposal. Generators accumulating

waste on site within their respective accumulation

time limits (as discussed in Section III, Chapter 3),

and transfer facilities temporarily storing manifested

shipments of hazardous waste for less than 10 days

(as discussed in Section III, Chapter 4), are not

subject to this burden of proof requirement.

HISTORY OF LDR

The LDR program has a complicated history.

The progression of the LDR program is important in

understanding how and why the LDR program

operates the way it does today (see Figure III-22).

HSWA established the authority for the LDR

program. When HSWA was enacted, EPA had

already listed and identified a large number of

hazardous wastes. As a result, the Agency had to

gradually address these wastes by establishing LDR

treatment standards in stages. Congress directed

DILUTION PROHIBITION

The dilution prohibition forbids dilution, such as the

addition of soil or water to waste, in order to reduce

the concentrations of hazardous constituents, and can

prohibit treatment of a waste by ineffective or

inappropriate treatment methods. Examples of

ineffective or inappropriate treatment include

biodegradation, combustion, or incineration of metals,

and stabilization of organics. The clearest objective

indication that proper treatment is being conducted is

if the treatment is the same type as that on which the

treatment standard is based (i.e., if the treatment

method is the same as the BDAT that established the

waste’s treatment standard) or if the treatment process

actually destroys or removes hazardous constituents.

STORAGE PROHIBITION

The storage prohibition

prevents the indefinite

storage of untreated

hazardous waste for

reasons other than the

accumulation of

quantities necessary for

effective treatment or

disposal.
Chapter 6: Land Disposal Restrictions

III-97

EPA to address certain high-risk and high-volume

wastes first, and established a three-part schedule for

EPA to follow in addressing the remaining wastes.

The three parts of this schedule are known as the

Thirds.

Before EPA could address the wastes in the

Thirds, the Agency was required to address those

wastes that were high-risk (dioxins) and those

wastes that were generated in large amounts

(solvents). The treatment standards for these wastes

were promulgated on November 7, 1986. This

rulemaking also established the basic framework for

the LDR program.

Because EPA’s promulgation of LDR treatment

standards for the large number of wastes in the

Thirds would take considerable time, the Agency

established interim treatment standards to ensure

adequate protection of human health and the

environment. These interim standards are known as

the California list. The list, based on a program

established by California’s Department of Health

Services, became effective on July 8, 1987. These

standards did not target specific waste codes, but

rather wastes containing certain toxic constituents or

exhibiting certain properties. As EPA established

waste-specific treatment standards in the Thirds, the

California list provisions were superseded. All of

the provisions on the list have now been superseded.

To address the wastes that were to be covered

under the Thirds, EPA ranked the wastes according

to hazard and volume generated. Those wastes that

posed the greatest potential threat were addressed

first through a rulemaking on August 17, 1988.

These wastes are known as the First Third wastes.

The treatment standards for the Second Third wastes

were promulgated on June 23, 1989, and the

treatment standards for the Third Third wastes were

promulgated on June 1, 1990.

While EPA was addressing the solvents, dioxins,

and the Thirds, other hazardous wastes were being

listed and identified as part of the Agency’s

continuing process of hazardous waste

identification. These newly listed and identified

wastes, which became subject to RCRA after

HSWA, were grouped in their own respective

schedules. These schedules are known as the

Phases. These schedules not only promulgated

treatment standards for newly listed and identified

wastes, but also made minor modifications and

improvements to the LDR regulatory program.

On August 18, 1992, EPA promulgated Phase I,

which finalized treatment standards for the first set

of newly listed wastes and established alternative

treatment standards for hazardous debris. On

September 19, 1994, EPA promulgated Phase II,

which also finalized treatment standards for

additional newly listed wastes and added the UTS

table (40 CFR §268.48). On April 8, 1996, EPA

promulgated Phase III, which not only finalized

treatment standards for a third set of newly listed

wastes, but also prohibited the combustion of metals

(such treatment is ineffective and thus constitutes

Figure III-22: Significant Land Disposal Restrictions Rulemakings

June 23, 

1989

Second Third Rule

(54 FR 26594)

Solvent and Dioxin Rule

(51 FR 40572)

November 7, 

1986

August 17, 

1988

First Third Rule

(53 FR 31138)

June 1, 

1990

Third Third Rule

(55 FR 22520)

September 19, 

1994

Phase II Rule

(59 FR 47980)

May 12, 

1997

Phase IV Rule

(62 FR 25998)

July 8, 

1987

California List Rule

(52 FR 25760)

August 18,

1992

Phase I Rule

(57 FR 37194)

April 8, 

1996

Phase III Rule

(61 FR 15565)
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-98

impermissible dilution). On May 12, 1997, EPA

promulgated the first half of Phase IV, which

finalized the last set of treatment standards for newly

listed wastes and modified the LDR notification

requirements. The second half of Phase IV,

published on May 26, 1998, completed the schedule

established by the Phases by finalizing treatment

stndards for newly identified toxicity characteristic

metal wastes and formerly exempt mineral

processing wastes, and established alternative

treatment standards for soil contaminated with

hazardous waste.

With the completion of the four Phases, EPA has

promulgated standards for all currently identified

and listed hazardous wastes. EPA now promulgates

the LDR treatment standards for a waste when the

waste is initially identified or listed.

SUMMARY

The LDR program is designed to protect ground

water from contamination by requiring hazardous

wastes to be physically or chemically altered to

reduce the toxicity or mobility of hazardous

constituents prior to disposal. The LDR

requirements apply to all hazardous wastes (with a

few exceptions) once a treatment standard has been

established for the waste. These requirements attach

at the point of generation, at which time generators

must determine both hazardous waste listings and

characteristics. Based on this determination, the

waste must meet all applicable treatment standards

before disposal. The LDR program consists of

prohibitions on:

• Disposal

• Dilution

• Storage.

The disposal prohibition requires that hazardous

wastes be treated to meet waste specific treatment

standards before disposal. These standards are

based on the BDAT process and requires treatment

to a specific concentration level or treatment by a

specific technology. EPA established a series of

variances, exemptions, and extensions to address

those situations where the required treatment

standard cannot be achieved. The LDR program

also includes alternative treatment standards for

unique wastestreams, such as lab packs, debris, and

soil. To ensure that wastes receive proper treatment

and are managed appropriately, EPA also

established notification and recordkeeping

requirements.

The dilution prohibition prevents treatment by

ineffective or inappropriate methods. The storage

prohibition is intended to require expeditious

treatment.

Since 1986, when the first treatment standards

were promulgated, the LDR program has continually

evolved. EPA has finished establishing treatment

standards for all existing, newly identified, and

newly listed wastes based on two rulemaking

schedules (the Thirds and Phases), and the Agency

now establishes treatment standards for hazardous

wastes when they are either listed or identified.

ADDITIONAL RESOURCES

Additional information about the topics covered

in this chapter can be found at www.epa.gov/

epaoswer/hazwaste/ldr/index.htm.
III-99

In this chapter...

Overview........................................................... III-99

What are the Regulated Units? ........................ III-101

- Incinerators.................................................... III-101

- Boilers and Industrial Furnaces ..................... III-101

Regulatory Requirements ................................. III-103

- Combustion Standards under RCRA ............ III-103

- MACT Standards under the CAA .................. III-105

Additional Requirements .................................. III-107

Summary .......................................................... III-107

Additional Resources ....................................... III-108

OVERVIEW

A large number of TSDFs use combustion, the

controlled burning of substances in an enclosed area,

as a means of treating and disposing of hazardous

waste. Approximately 11 percent of the hazardous

nonwastewater generated in the United States in

1999 was treated using combustion. As a hazardous

waste management practice, combustion has several

unique attributes. First, if properly conducted, it

permanently destroys toxic organic compounds

contained in hazardous waste by breaking their

chemical bonds and reverting them to their

constituent elements, thereby reducing or removing

their toxicity. Second, combustion reduces the

volume of hazardous waste to be disposed of on land

by converting solids and liquids to ash. Land

disposal of ash, as opposed to disposal of untreated

hazardous waste, is in many instances both safer and

more efficient.

Combustion is an intricate treatment process.

During burning, organic wastes are converted from

solids and liquids into gases. These gases pass

through the flame, are heated further, and eventually

become so hot that their organic compounds break

down into the constituent atoms. These atoms

combine with oxygen and form stable gases that are

released to the atmosphere after passing through air

pollution control devices.

The stable gases produced by combustion of

organics are primarily carbon dioxide and water

vapor. Depending on waste composition, however,

small quantities of carbon monoxide, nitrogen

oxides, hydrogen chloride, and other gases may

form. These gases have the potential to cause harm

to human health and the environment. The

regulation of these emissions is the primary focus of

the RCRA combustion unit standards.

The management or disposal of metals and ash,

other by-products of the combustion process, also

causes concern. Ash is an inert solid material

composed primarily of carbon, salts, and metals.

During combustion, most ash collects at the bottom

of the combustion chamber (bottom ash). When

this ash is removed from the combustion chamber, it

may be considered hazardous waste via the derivedfrom rule or because it exhibits a characteristic.

Small particles of ash (particulate matter that may

also have metals attached), however, may be carried

up the stack with the gases (fly ash). These

particles and associated metals are also regulated by

the combustion regulations, as they may carry

hazardous constituents out of the unit and into the

atmosphere. Since combustion will not destroy

CHAPTER 7

HAZARDOUS WASTE COMBUSTION
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-100

inorganic compounds present in hazardous waste,

such as metals, it is possible that such compounds

may also end up in bottom ash and fly ash at harmful

concentrations. Ash residue is subject to applicable

RCRA standards and may need to be treated for

metals or other inorganic constituents prior to land

disposal (see Figure III-23).

In the early years of RCRA, EPA’s idea was to

combust as much hazardous waste as possible and

landfill the resultant ash. This process destroyed the

majority of the waste, thus reducing the volume

requiring disposal. However, it was determined that

incomplete or improperly conducted combustion had

the potential to present a major public health risk,

and therefore, became the topic of much public

outcry. This public concern, coupled with EPA’s

advancements in assessing potential risks arising

from combustion, caused a shift in EPA’s strategy on

combustion. This shift in thinking resulted in the

increasing stringency of combustion requirements

over time.

In September 1999, EPA issued a joint Clean Air

Act (CAA)/RCRA rule that upgraded the emission

standards for hazardous waste combustors, based on

the maximum achievable control technology

(MACT) approach commonly employed under the

CAA. This process develops technology-based,

emission limits for individual hazardous air

pollutants. Much like the BDAT concept for LDR

(as discussed in Section III, Chapter 6), the MACT

emission standards are based on the performance of

a technology. EPA researches available pollution

control technologies to determine which available

technology is the best at controlling each pollutant to

determine allowable emission limits. The regulated

community may then use any technology to meet the

numeric emission standards set by EPA.

Consistent with EPA’s trend of gradually

increasing the stringency of standards over time, this

joint rule promulgated more stringent emissions

standards for dioxins, furans, mercury, cadmium,

lead, particulate matter, hydrogen chloride, chlorine

gas, hydrocarbons, carbon monoxide, and several

low-volatile metals. After the promulgation of this

rule, a number of parties representing the interests of

both industrial sources and the environmental

community, requested judicial review of this rule.

Figure III-23: The Combustion Process

COMBUSTION CHAMBER

BOTTOM ASH 

(Carbon, Salts, and Metals)

STABLE GASES 

(Carbon Dioxide, Water 

Vapor, Carbon Monoxide, 

Nitrogen Oxide, Hydrogen 

Chloride, and Chlorine)

FLY ASH 

(Particulate Matter, 

Carbon, Salts, and 

Metals)

AIR POLLUTION 

CONTROL DEVICE

WASTE

Atoms combine with 

oxygen to form 

stable gases

Gases pass through flame 

and break down into atoms

Waste is converted 

to gases
Chapter 7: Hazardous Waste Combustion

III-101

In July 2001, the United States Court of Appeals

for the District of Columbia Circuit vacated the

challenged portions of the rule. When it made its

decision, the Court invited any of the parties to

request, either that the current standards remain

intact, or that EPA be allowed time to publish

interim standards. Acting on this initiative, EPA and

the other parties jointly asked the Court for

additional time to develop interim standards, and the

Court granted this request. On February 13, 2002,

EPA published these interim standards which

temporarily replace the vacated standards. The

interim standards will remain in place until EPA

issues final “replacement” standards that comply

with the Court’s opinion. EPA has also completed

other actions agreed to in the joint motion, such as

extending the compliance date by one year to

September 30, 2003, and finalizing several

amendments to the complaince and implementation

provisions by February 14, 2002. The MACT

standards are discussed later in this chapter.

WHAT ARE THE REGULATED

UNITS?

Hazardous wastes are combusted for various

purposes. The purpose of combustion is directly

related to the type of unit used. There are two

classes of combustion units, those that burn waste

for energy recovery and those that burn waste for

destruction.

 Incinerators

The first class of combustion units are hazardous

waste incinerators. Incineration is the combustion of

hazardous waste primarily for destruction (i.e.,

disposal). Incineration is a method of thermal

destruction of primarily organic hazardous waste

using controlled flame combustion (see Figure III24). This process can reduce large volumes of waste

materials to ash and lessen toxic gaseous emissions.

An incinerator is an enclosed device that uses

controlled flame combustion and does not meet the

more specific criteria for classification as a boiler,

industrial furnace, sludge dryer (a unit that

dehydrates hazardous sludge), or carbon

regeneration unit (a unit that regenerates spent

activated carbon). Incinerators also include infrared

incinerators (a unit that uses electric heat followed

by a controlled flame afterburner) and plasma arc

incinerators (a unit that uses electrical discharge

followed by a controlled flame afterburner).

 Boilers and Industrial Furnaces

The second class of combustion units are BIFs.

Boilers are used to recover energy from hazardous

waste, while industrial furnaces are used primarily to

recover material values.

EPA defines boilers as enclosed devices that use

controlled flame combustion to recover and export

energy in the form of steam, heated fluid, or heated

gases. A boiler is comprised of two main parts, the

combustion chamber used to heat the hazardous

waste and the tubes or pipes that hold the fluid used

to produce energy (see Figure III-25). The

regulatory definition of boiler requires that these two

parts be in close proximity to one another to ensure

the effectiveness of the unit’s energy recovery

system and to maintain a high thermal energy

recovery efficiency. In addition, the unit must

export or use the majority of the recovered energy

for a beneficial purpose.

Figure III-24: Cross-Section of an Incinerator

Secondary 

Chamber

Primary 

Chamber

Auxiliary Fuel 

and/or 

Liquid Waste

Combustion 

Air Hazardous 

Waste

Feed Ram

Air

Ash

Transfer Ram

Ash

Discharge Ram

Ash Discharge

Auxiliary Fuel 

and/or 

Liquid Waste
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-102

Industrial furnaces are enclosed units that are

integral parts of a manufacturing process and use

thermal treatment to recover materials or energy

from hazardous waste (see Figure III-26). These

units may use hazardous waste as a fuel to heat raw

materials to make a commodity (e.g., a cement kiln

making cement) or the unit may recover materials

from the actual hazardous waste (e.g., a lead smelter

recovering lead values). The following 12 devices

meet the definition of an industrial furnace:

• Cement kiln

• Aggregate kiln

• Coke oven

• Smelting, melting, and refining furnace

• Methane reforming furnace

• Pulping liquor recovery furnace

• Lime kiln

• Phosphate kiln

• Blast furnace

• Titanium dioxide chloride process oxidation

reactor

• Halogen acid furnace

• Combustion device used in the recovery of

sulfur values from spent sulfuric acid.

After notice and comment, EPA may add other

devices to this list of industrial furnaces upon

consideration of factors related to the design and use

of the unit.

Not all units that meet the definition of boiler or

industrial furnace are subject to the 40 CFR Part

266, Subpart H, Boiler and Industrial Furnace (BIF)

standards. Each individual unit must first be

evaluated against a number of exemptions from the

BIF requirements. For a variety of reasons (e.g., to

avoid duplicative regulation), EPA exempted the

following units from the BIF regulations:

• Units burning used oil for energy recovery

• Units burning gas recovered from hazardous or

solid waste landfills for energy recovery

• Units burning hazardous wastes that are exempt

from RCRA regulation, such as household

hazardous wastes

• Units burning hazardous waste produced by

CESQGs

• Coke ovens burning only K087 decanter tank tar

sludge from coking operations

• Certain units engaged in precious metals

recovery

• Certain smelting, melting, and refining furnaces

processing hazardous waste solely for metals

recovery

• Certain other industrial metal recovery furnaces.

Figure III-26: Cross-Section of

an Industrial Furnace

Stack

Clinker

 Cooler

Kiln

Preheater

Dust

Collector

Figure III-25: Cross-Section of a Boiler

Coal 

Burner

Steam 

Water To Be Output

Heated

Hazardous 

Waste

Water

Water 

Tubes
Chapter 7: Hazardous Waste Combustion

III-103

REGULATORY REQUIREMENTS

Emissions from hazardous waste combustors are

regulated under two statutory authorities—RCRA

and the Clean Air Act (CAA). Applicable RCRA

regulations include 40 CFR Part 264, Subpart O, and

Part 265, Subpart O, for incinerators and 40 CFR

Part 266, Subpart H, for BIFs. RCRA permitting

requirements for these units are provided in 40 CFR

Part 270. These units are also subject to the general

TSDF facility standards under RCRA. Hazardous

waste incinerators and hazardous waste burning

cement kilns and lightweight aggregrate kilns

(LWAKs) are also subject to the CAA MACT

emission standards. The MACT standards set

emission limitations for dioxins, furans, metals,

particulate matter, total chlorine, hydrocarbons/

carbon monoxide, and destruction and removal

efficiency (DRE) for organics. Once a facility has

demonstrated complance with the MACT standards

by conducting its comprehensive performance test

and submitting its Notification of Compliance

(NOC), it is no longer subject to the RCRA emission

requirements with few exceptions. RCRA permitted

facilities, however, must continue to comply with

their permitted emissions requirements until they

obtain modifications to remove any duplicative

emissions conditions from their RCRA permits. The

combustion standards under RCRA, as well as the

MACT standards under the CAA, are discussed

below.

 Combustion Standards under RCRA

Emissions from combustion units may be

comprised of a variety of hazardous pollutants. To

minimize potential harmful effects of these

pollutants, EPA developed performance standards to

regulate four pollutant categories: organics,

hydrogen chloride and chlorine gas, particulate

matter, and metals. Boilers and most industrial

furnaces have performance standards that they must

meet. For each category or type of emission, the

regulations establish compliance methods and

alternatives.

Organics

Because the primary purpose of a combustion

unit is to destroy the organic components found in

hazardous waste, it is essential to verify that the unit

is efficiently destroying organics in the waste. This

is determined based on the unit’s organic

destruction and removal efficiency (DRE) as

demonstrated in a trial burn. Since it would be

nearly impossible to determine the DRE results for

every organic constituent in the waste, certain

principal organic hazardous constituents

(POHCs) are selected for this demonstration. These

POHCs are selected for each facility based on their

high concentration in the wastestream and their

greater difficulty to burn. If the unit achieves the

required DRE for the POHCs, then it is presumed

that it will achieve the same (or better) DRE for all

other easier-to-burn organics in the wastestream. At

least one POHC will be selected from each

wastestream that the facility manages. The facility

designates the selected POHCs in their permit

application (the permitting process for combustion

units is fully discussed in Section III, Chapter 8).

The combustion unit must demonstrate a DRE of

99.99 percent for each POHC in the hazardous

wastestream. This means that for every 10,000

molecules of the POHC entering the unit, only one

molecule can be released to the atmosphere. In

addition, due to an increased threat to human health

and the environment posed by certain dioxincontaining wastes (F020, F021, F022, F023, F026,

and F027), the required DRE for POHCs in these

units has been established at 99.9999 percent, or one

released molecule for every one million burned (see

Figure III-27). These DRE standards must be met

by both incinerators and BIFs.

Hydrogen Chloride and Chlorine Gas

Hydrogen chloride and chlorine gases form

when chlorinated organic compounds in hazardous

wastes are burned. If uncontrolled, this chlorine can

become a human health risk and is a large

component in the formation of acid rain. EPA has

developed different requirements to control the

emissions of chlorine from the different classes of

combustion units.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-104

Boilers and most industrial furnaces must follow

a tiered system for the regulation of both hydrogen

chloride and chlorine gas. The owner and operator

determines the allowable feed or emission rate of

total chlorine by selecting one of three approaches,

called tiers. Each tier differs in the amount of

monitoring, and in some cases, air dispersion

modeling (i.e., modeling the air pathways through

which pollutants may travel), that the owner and

operator is required to conduct (see Figure III-28).

Each facility can select any of the three tiers.

Factors that a facility may consider in selecting a tier

include the physical characteristics of the facility

and surrounding terrain, the anticipated waste

compositions and feed rates, and the level of

resources available for conducting the analysis. The

main distinction between the tiers is the point of

compliance. This is the point at which the owner

and operator must ensure that chlorine

concentrations will be below EPA’s acceptable

exposure levels. The owner and operator must

determine if the cost of conducting monitoring and

modeling is worth the benefit of possibly

combusting waste with a higher concentration of

chlorine (see Figure III-29).

Figure III-29: The Tiered System

of Modeling and Monitoring

Level of Monitoring and Modeling

Feed Rate/E

mission Rate

Low

Low High

High

Tier I

Tier III

Tier II

Owners and operators can choose any Tier for their hydrogen 

chloride, chlorine gas, and metals monitoring; however, the 

level of monitoring and modeling increase with each tier.

Tier I, which requires the lowest level of monitoring 

through adjusting waste feed rates, assumes that 100 

percent of the pollutants will escape into the environment. 

Tier II requires increased 

monitoring to ensure that 

pollutants have been 

eliminated through either 

partitioning to bottom ash or 

products, or collected by the 

air pollution control device.

Tier III requires the most 

monitoring by using air 

dispersion modeling to ensure 

that pollutant exposure does 

not pose a threat to human 

health and the environment.

Figure III-28: Performance Standards for

Hydrogen Chloride, Chlorine Gas, and Metals

Tier III monitoring 

involves limiting the 

risks that hydrogen 

chloride, chlorine gas, 

and metals will pose to 

the surrounding 

TIER I environment.

TIER III

Tier I monitoring 

involves limiting 

the hourly waste 

feed rate of 

hydrogen chloride, 

chlorine gas, and 

metals.

Tier II monitoring involves 

limiting stack emissions of 

hydrogen chloride, 

chlorine gas, and metals.

WASTE FEED

TIER II

Figure III-27: Performance Standards for Organics

WASTE FEED 

POHCs are chosen based on their high concentration in the 

wastestream and their greater difficulty to burn. If the unit 

demonstrates the required DRE for the POHCs, then it is 

presumed that it will be able to achieve the same (or better) 

DRE for all other easier-to-burn organics in the wastestream. 

For every 10,000 molecules of POHCs that enter a combustion 

process, the unit must destroy 9,999 of them. 

1 molecule of 

the POHC

Measurement of 

99.99 percent 

organic DRE

10,000 

molecules of 

POHCs
Chapter 7: Hazardous Waste Combustion

III-105

Particulate Matter

The third combustion unit performance standard

is for particulate matter. Particulate matter

consists of small dust-like particles emitted from

combustion units. The particles themselves are not

normally toxic, but may become caught in the lungs

(causing respiratory damage) if inhaled, or may enter

into the environment where they can cause either

ecological damage or, via food chain intake, can

reenter the human health exposure pathway. In

addition, particulate matter may provide a point of

attachment for toxic metals and organic compounds.

To minimize these adverse conditions, RCRA

combustion units may not emit more than 180

milligrams per dry standard cubic meter (dscm) of

particulate matter.

Metals

The final performance standard is for toxic

metals. For RCRA combustion units, both

carcinogenic and noncarcinogenic metals are

regulated under the same type of tiered system as

chlorine. The facility determines an appropriate tier

for each regulated metal and assures that the facility

meets these feed rate and emission standards. A

different tier may be selected for each metal

pollutant (see Figure III-28).

Additional Performance Standards

EPA may require owners and operators of

hazardous waste combustion units to comply with

additional performance standards by virtue of the

omnibus authority. This authority allows EPA to

incorporate additional terms and conditions into a

facility’s permit as necessary to protect human

health and the environment. (The omnibus authority

is fully discussed in Section III, Chapter 8.)

EPA recommends that site-specific risk

assessments, incorporating direct and indirect

exposures, be considered during the combustion

unit’s permitting process. These risk assessments

may be used to evaluate the unit’s impact on the

surrounding environment. If a site-specific risk

assessment shows that additional protection should

be afforded to the surrounding environment, EPA

typically will use the omnibus authority to impose

the necessary permit conditions (Omnibus

permitting authority is fully discussed in Section III,

Chapter 8).

Operating Requirements

The goal of setting operating requirements for

hazardous waste combustion units is to ensure that

the unit will operate in a way that meets the

performance standards for organics, chlorine,

particulate matter, and metal pollutants. The unit’s

permit will specify the operating conditions that

have been shown to meet the performance standards

for organics, chlorine gas, particulate matter, and

metals (permit requirements for combustion units are

fully discussed in Section III, Chapter 8).

A RCRA permit for a hazardous waste

combustion unit sets operating requirements that

specify allowable ranges for, and requires

continuous monitoring of, certain critical parameters

that will ensure compliance with the performance

standards. Operation within these parameters

ensures that combustion is performed in the most

protective manner and the performance standards are

achieved (see Figure III-30). These parameters, or

operating requirements, may include:

• Maximum waste feed rates

• Control of the firing system

• Allowable ranges for temperature

• Limits on variations of system design and

operating procedures

• Gas flow rate.

 MACT Standards under the CAA

Hazardous waste burning incinerators, cement

kilns, and LWAKS, hereafter referred to as MACT

combustion units, must also comply with emission

limitations. The MACT emission standards are

found under the CAA regulations, rather than the

Subtitle C requirements. Instead of using operating

requirements as a way of ensuring that the unit

meets the performance standards, owners or

operators of combustion units subject to MACT

standards may use a pollution control technology to

achieve the stringent numerical emission limits.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-106

Organics

To control the emission of organics, these units

must comply with similar DRE requirements to the

other hazardous waste combustion units. Owners or

operators of MACT combustion units must select

POHCs and demonstrate a DRE of 99.99 percent for

each POHC in the hazardous wastestream. Sources

that burn hazardous waste F020-F023 or F026-F027

have a required DRE of 99.9999 percent for each

POHC designated. Additionally, for dioxins and

furans, EPA promulgated more stringent standards

under MACT. For example, MACT incinerators and

cement kilns that burn waste with dioxins and

furans, must not exceed an emission limitation of

either 0.2 nanograms of toxicity equivalence per dry

standard cubic meter (TEQ/dscm) or 0.4 nanograms

TEQ/dscm at the inlet to the dry particulate matter

control device. This unit of measure is based on a

method for assessing risks associated with exposures

to dioxins and furans.

Hydrogen Chloride and Chlorine Gas

Rather than a tiered system to control hydrogen

chloride and chlorine gas emissions, MACT

combustion units must meet numerical emission

limits for total chlorine. Owners and operators of

these units must ensure that the total chlorine

emission does not exceed specific limits, expressed

in ppmv (parts per million by volume). For

example, the allowable limit of total chlorine for a

new incinerator is 21 ppmv. The owner or operator

may choose to achieve this level by controlling the

amount of chlorine entering the incinerator. By

achieving the regulatory emission limit of chlorine,

both hydrogen chloride and chlorine gas emissions

will be reduced.

Particulate Matter

EPA developed more stringent standards for

particulate matter in order to control certain metals.

This surrogate is used because particulate matter

may provide a point of attachment for toxic metals

that can escape into the atmosphere from a

combustion unit. For instance, a new LWAK cannot

exceed an emission limit of 57 mg/dscm of

particulate matter.

Metals

Hazardous waste burning incinerators, cement

kilns, and LWAKs do not follow a tiered approach to

regulate the release of toxic metals into the

atmosphere. The MACT rule finalized numerical

emission standards for three categories of metals:

Figure III-30: Operating Requirements

CARBON 

MONOXIDE 

EMISSIONS

WASTE FEED RATE

GAS 

VELOCITY

Combustion facilities must operate in accordance with certain conditions that specify allowable 

ranges and limits for waste feed rates, temperature, gas velocity, and carbon monoxide emissions.

TEMPERATURE
Chapter 7: Hazardous Waste Combustion

III-107

mercury, low-volatile metals (arsenic, beryllium, and

chromium), and semi-volatile metals (lead and

cadmium). Units must meet emission standards for

the amount of metals emitted. For example, a new

cement kiln must meet an emission limit of 120 μg/

dscm for mercury, 54 μg/dscm for the low-volatile

metals, and 180 μg/dscm for the semi-volatile

metals.

Operating Requirements

Owners or operators of MACT units must ensure

that the MACT emission standards are not exceeded.

To do this, the unit must operate under parameters

that are demonstrated in a comprehensive

performance test (CPT). The unit’s operating

parameters, such as temperature, pressure, and waste

feed are then set based on the result of the

comprehensive performance test and documented in

a notification of compliance. Continuous

monitoring systems are used to monitor the

operating parameters.

The facility may also choose to use an advanced

type of monitoring known as continuous emissions

monitoring systems (CEMS). CEMS directly

measure the pollutants that are exiting the

combustion unit stack at all times. If a facility

chooses to use a CEMS, they do not need to comply

with the operating parameter that would otherwise

apply.

ADDITIONAL REQUIREMENTS

Because hazardous waste combustion units are a

type of TSDF, they are subject to the general TSDF

standards (as discussed in Section III, Chapter 5) in

addition to combustion unit performance standards

and operating requirements. Combustion units are

also subject to specific waste analysis, inspection

and monitoring, and residue management

requirements.

While combusting hazardous waste, the

combustion process and equipment must be

monitored and inspected to avoid potential accidents

or incomplete combustion. The monitoring and

inspection requirements for incinerators are detailed

in the regulations, while the requirements for BIFs

are determined on a site-specific basis. Possible

inspection and monitoring requirements include:

• Monitoring the combustion temperature, and

hazardous waste feed rate

• Sampling and analyzing the waste and exhaust

emissions to verify that the operating

requirements established in the permit achieve

the performance standards

• Conducting visual inspections of the combustion

unit and its associated equipment

• Testing the emergency waste feed cut-off system

and associated alarms

• Placing monitoring and inspection data in the

operating log.

Residues from the combustion of hazardous

waste are also potentially subject to RCRA

regulation. If a combustion unit burns a listed

hazardous waste, the ash could also be considered a

listed waste via the derived-from rule. The owner

and operator must also determine whether this ash

exhibits any hazardous waste characteristics. The

same is true if a unit burns waste that only exhibits a

characteristic. Ash that exhibits a characteristic must

be managed as a hazardous waste.

SUMMARY

Combustion, the controlled burning of

hazardous substances in an enclosed area, has the

potential to adversely affect human health and the

environment, and it is therefore subject to strict

regulation. As a result, the burning of hazardous

waste in incinerators and BIFs is regulated through

stack emission limitations and unit operating

requirements.

Combustion standards are comprised of two

types of regulations: (1) standards under RCRA; and

(2) MACT standards under the CAA.

RCRA combustion units must meet performance

standards, including a demonstration of the unit’s

DRE for certain POHCs, and meet emission

standards for hydrogen chloride, chlorine gas,

metals, and particulate matter. Operating
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-108

requirements are intended to ensure that the

combustion unit will operate in a way that meets the

performance standards for these pollutants.

Operating conditions may include:

• Maximum waste feed rate

• Control of the firing system

• Allowable ranges for temperature

• Limits on variations of system design and

operating procedures

• Gas flow rate.

The MACT standards under the CAA regulate

incinerators and two types of industrial furnaces that

burn hazardous waste: cement kilns and LWAKS.

MACT combustion units must comply with strict

emission limitations for dioxins, furans, metals,

particulate matter, DRE, and total chlorine. To

achieve the limits, the facility owner or operator may

use a single or multiple pollution control

technologies for the combustion unit. The facility

also uses a CMS to monitor operating parameters

such as temperature, pressure, waste feed, or CEMS

to monitor the pollutants exiting the unit.

In addition to operating and performance

requirements, all combustion units are subject to

specific waste analysis, inspection and monitoring,

and residue management requirements.

ADDITIONAL RESOURCES

A complete overview of the MACT standards

and additional information about hazardous waste

combustion can be found at www.epa.gov/epaoswer/

hazwaste/combust.htm.
III-109

In this chapter...

Overview........................................................... III-109

Applicability....................................................... III-110

Permitting Process ........................................... III-111

- Informal Meeting Prior to Application ............ III-111

- Permit Submission ........................................ III-112

- Permit Review ............................................... III-112

- Preparation of the Draft Permit ..................... III-112

- Taking Public Comment ................................ III-113

- Finalizing the Permit ..................................... III-113

- Duration of the Permit ................................... III-113

- Permit Modifications ..................................... III-113

- Omnibus Provision ........................................ III-114

- Permit-as-a-Shield ........................................ III-115

Interim Status ................................................... III-115

- Qualifying for Interim Status ......................... III-115

- Changes During Interim Status ..................... III-116

- Termination of Interim Status ........................ III-116

Special Forms of Hazardous Waste Permits .... III-116

- Permits-by-Rule ............................................ III-117

- Emergency Permits....................................... III-117

- Research, Development, and Demonstration

Permits .......................................................... III-117

- Land Treatment Demonstration Permits ....... III-117

- Combustion Permits ..................................... III-117

- Post-Closure Permits .................................... III-118

- Remedial Action Plans .................................. III-119

- Standardized Permits ................................... III-119

Summary .......................................................... III-119

Additional Resources ....................................... III-120

OVERVIEW

When RCRA was enacted, Congress recognized

the risks posed by the treatment, storage, and

disposal of large volumes of hazardous waste at

TSDFs. Considering these risks, Congress felt that

TSDF management activities needed to be closely

regulated to prevent spills, accidents, and

mechanical failures. In addition, because these

activities involve different units and different waste

management methods, they require tailored

standards. For example, land disposal units need

precautions, such as liners and ground water

monitoring, to ensure protection of ground water

resources. Similarly, incinerators need special

provisions, such as emission control requirements,

to ensure protection of air resources. In response to

these concerns, EPA promulgated extensive

technical standards for the design and safe operation

of hazardous waste TSDFs (these regulations are

fully discussed in Section III, Chapter 5). However,

these design and operating standards were not

enough. Congress wanted a more tangible

guarantee that TSDFs would comply with their

extensive management standards in a way that

would adequately protect human health and the

environment.

TSDFs are unique in that their owners and

operators choose to enter the hazardous waste

industry. Unlike generators who produce hazardous

CHAPTER 8

PERMITTING OF TREATMENT, STORAGE,

AND DISPOSAL FACILITIES
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-110

waste incidental to their normal business operations,

TSDF owners and operators make it their business to

manage hazardous waste. Because these facilities

choose to enter the hazardous waste industry, and

engage in waste management processes that pose

varied and extensive risks to human health and the

environment, Congress wanted to ensure that these

facilities would comply with the TSDF standards.

As a result, TSDFs are required to obtain

permission, in the form of an operating permit,

which establishes the administrative and technical

conditions under which waste at the facility must be

managed. Specifically, permits provide TSDF

owners and operators with the legal authority to

treat, store, or dispose of hazardous waste and detail

how the facility must comply with the regulations.

Compliance with this permit ensures that hazardous

waste is handled in a controlled manner that is

protective of human health and the environment.

Permits also serve as an implementation mechanism,

and as a means by which EPA can track waste

management at facilities that choose to handle

hazardous waste.

Permits can be issued by EPA, authorized states,

or both. The permitting agency has the authority to

issue or deny permits and is responsible for verifying

that facilities are operating in compliance with the

conditions set forth in that permit. Owners and

operators of facilities that do not comply with permit

provisions are subject to possible RCRA

enforcement actions, including financial penalties.

APPLICABILITY

All TSDF owners and operators must submit a

comprehensive permit application that covers the

full range of TSDF standards, including general

facility provisions, unit-specific requirements,

closure and financial assurance standards, and any

applicable ground water monitoring and air

emissions provisions. The permit application must

demonstrate that the permittee’s methods of handling

the waste are consistent with the level of protection

of human health and the environment required by

RCRA.

Some facilities are not required to obtain a

RCRA permit when handling hazardous waste

provided that they meet certain conditions specified

in the regulations. EPA has determined that the

requirements of the permit process would place an

unnecessary regulatory burden on these facilities

because the manner in which they manage the waste

does not pose a significant threat to human health

and the environment. These exceptions include:

• LQGs accumulating waste on site for less than

90 days (as discussed in Section III, Chapter 3)

• SQGs accumulating waste on site for less than

180 days (as discussed in Section III, Chapter 3)

• Farmers disposing of waste pesticides and

container residues on their own land

• Owners and operators of ENUs, TETUs, and

WWTUs (as discussed in Section III, Chapter 5)

• Transporters storing manifested wastes at

transfer facilities for a period of 10 days or less

(as discussed in Section III, Chapter 4)

• Owners and operators performing containment

activities during an immediate response to an

emergency

• Universal waste handlers and transporters (as

discussed in Section III, Chapter 2)

• Persons adding absorbent material to hazardous

waste in a container and persons adding waste to

absorbent material in a container.

WHAT ARE PERMITS?

Permits provide TSDF owners and operators with the

legal authority to treat, store, or dispose of hazardous

waste and detail how the facility must comply with the

regulations. Compliance with this permit ensures that

hazardous waste is handled in a controlled manner

that is protective of human health and the

environment. Permits also serve as an implementation

mechanism, and as a means by which EPA can track

waste management at facilities that choose to handle

hazardous waste.
Chapter 8: Permitting of Treatment, Storage, and Disposal Facilities

III-111

Figure III-31: The Permitting Process If any of these facilities treat, store, or dispose of

hazardous waste in a manner not covered by one of

these exclusions, they are subject to the RCRA

permit requirements for that activity. For example,

if a LQG exceeds the 90-day accumulation time

limit, the facility becomes a storage facility and the

owner and operator must obtain RCRA operating

permit.

Recycling units are also exempt from permitting

requirements because the recycling process itself is

exempt from RCRA (except for some air emission

standards). However, recycling facility owners and

operators must follow all applicable Subtitle C

requirements (including the requirement to obtain a

permit) for any waste management prior to

recycling.

PERMITTING PROCESS

Owners and operators who are subject to the

permitting requirements must submit a permit

application in accordance with specific permit

application procedures (see Figure III-31). While

the operator has the duty to obtain the permit, both

the owner and operator must sign it. Once a permit

has been approved for a specified duration, changes

may be necessary and permit modification

procedures, which are analogous to the initial permit

application, must be followed. The procedures have

been established to account for facility-specific

conditions by providing flexibility and ample

opportunity for public involvement.

 Informal Meeting Prior to Application

Prior to submitting a permit application, an

applicant must announce and hold an informal

meeting with the public. The purpose of this

meeting is for the applicant to explain the operating

plans for the facility to the public, including the

waste the facility will handle and associated waste

management processes, and for the public to pose

questions and make suggestions. This informal

public meeting is also intended to provide the owner

and operator with issues and concerns to consider

when drafting the permit. The permitting agency

also uses this meeting to compile a mailing list for

future public outreach.

Permitting agency evaluates 

whether permit satisfies technical 

requirements and makes 

preliminary decision to issue or 

deny the permit

If application is complete, 

permitting agency notifies 

permittee of application’s 

completeness

If application is incomplete, 

permitting agency issues as 

many notices of deficiency as 

necessary until application is 

complete

If decision to issue permit, 

permitting agency prepares 

draft permit

If decision to deny permit, 

permitting agency issues 

notice of intent to deny

Applicant holds informal 

meeting with the public 

prior to permit application 

Permitting agency announces receipt of permit 

application, makes application available for public 

review and comment, and reviews application to 

verify completeness

Permitting agency announces 

decision and issues fact sheet 

explaining decision

FINAL PERMIT DECISION

Public has 45 days to 

comment on the decision

Applicant submits 

Part A and Part B 

permit applications
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-112

 Permit Submission

After the public meeting, the applicant can

submit the permit application to the permitting

agency. The permit application is divided into two

parts, Part A and Part B. The Part A application is

submitted on a designated form, EPA Form 8700-23,

and requires basic information about the facility,

such as the name of the facility owner and operator,

the facility location, the hazardous waste

management processes, the design capacity of these

processes, and the hazardous waste that will actually

be handled at the facility. This form can be

downloaded from the Internet at www.epa./

epaoswer/hazwaste/data/form8700/forms.htm.

The Part B application is submitted in narrative

form and provides site-specific information

associated with the waste management activities that

will be conducted at the facility, and includes

geologic, hydrologic, and engineering data (see

Figure III-32). The Part B application covers the

details associated with the waste management

activities that will occur at the facility, and therefore

often consists of volumes of documents.

Owners and operators of new facilities must

submit Parts A and B simultaneously. This

submission must occur at least 180 days prior to the

date on which physical construction is expected to

begin. An owner and operator cannot begin

construction of the facility until the application is

reviewed and a final permit is issued.

 Permit Review

The permitting agency announces its receipt of

the permit application and makes the application

available for public review and comment.

Simultaneously, the agency reviews the application

to verify its completeness. If the permitting agency

determines that the application is incomplete, it

issues a notice of deficiency to the permittee

describing the additional information that is

necessary for a complete application. Such notices

can be issued numerous times during the permit

review and revision process. Each time the agency

receives information, it reviews the content, and if

necessary, issues another notice until the application

is complete.

When the application contains all of the

necessary information, the permitting agency

notifies the permittee of the application’s

completeness and will begin an evaluation to

determine whether it satisfies the appropriate

technical requirements. After the evaluation, the

permitting agency makes a preliminary decision on

whether to issue or deny the permit. If the

permitting agency determines that the application is

complete and satisfies all applicable requirements,

the agency prepares a draft permit. If the permitting

agency determines that the application does not

demonstrate compliance with the RCRA standards, it

will tentatively deny the permit and issue a notice of

intent to deny.

 Preparation of the Draft Permit

In preparing the draft permit, the implementing

agency incorporates all applicable technical

requirements and all other conditions associated with

the operations to be conducted at the facility into the

permit. In addition, general and administrative

conditions are placed in all draft permits and require

the permittee, among other things, to:

Figure III-32: Examples of Part A and Part B

Information Requirements

PART A

• Activities conducted that require a permit

• Facility Name, mailing address, and location

• Facility standard industrial classification (SIC) codes

• Treatment, storage, and disposal processes

• Design capacity of waste management units

• Lists of wastes to be managed at facility

• Permits received or applied for under other regulatory

programs

• Topographic map.

PART B

• General facility description

• Analyses of wastes to be managed

• Facility security procedures

• Inspection schedule

• Contingency plan

• Procedures and precautions to prevent release of waste

into environment

• Procedures and precautions to prevent accidental ignition

or reaction of waste

• Facility location information.
Chapter 8: Permitting of Treatment, Storage, and Disposal Facilities

III-113

• Comply with all provisions of the permit

• Provide any relevant information that is

requested by the permitting agency

• Comply with all reporting requirements

• Allow the facility to be inspected

• Take all reasonable steps to protect human

health and the environment.

In addition, the draft permit includes a statement

of the permitting agency’s right to modify, revoke

and reissue, or terminate the permit as necessary.

The draft permit also includes the term of the permit.

If a facility needs to conduct corrective action,

but cannot complete the cleanup before the permit is

issued, the permitting agency may include a

schedule of compliance in the permit. This schedule

establishes interim and final dates for the completion

of specific cleanup goals, as well as reporting

requirements.

 Taking Public Comment

Once the draft permit is complete, or the notice

of intent to deny has been issued, the permitting

agency announces its decision by sending a letter to

everyone on the facility mailing list, placing a notice

in a local paper, and broadcasting the decision over

the radio. The permitting agency also issues a fact

sheet to explain the decision. After the

announcement, the public has 45 days or more to

comment on the decision. Citizens may request a

public hearing to address concerns by contacting the

permitting agency. The permitting agency may also

hold a hearing at its own discretion, if deemed

necessary. There is at least a 30-day public notice

period before the hearing is convened.

If information submitted during the initial

comment period appears to raise substantial new

questions concerning the permit, the permitting

agency may reopen or extend the comment period.

In this situation, the permitting agency may also

decide to revise the draft permit or issue a notice of

intent to deny.

 Finalizing the Permit

After the comment period closes, the

implementing agency prepares a response to all

significant public comments and makes the final

permit decision by either issuing or denying the

permit. The owner and operator may appeal the

decision to EPA’s Environmental Appeals Board.

When this administrative appeal is exhausted, the

petitioner may seek judicial review of the final

permit decision.

 Duration of the Permit

RCRA permits are effective for a fixed term of a

maximum of 10 years. However, EPA can issue a

permit for less than the allowable term. Limiting

permit duration assures that facilities are periodically

reviewed and that their requirements are updated to

reflect the current state-of-the-art hazardous waste

management practices. Considering the increased

risks posed by the management of hazardous waste

on the land, land disposal unit permits are to be

reviewed five years after the date of issuance or

reissuance and modified as necessary. An expiring

permit can be continued when the permittee has

submitted a timely application for a new permit by

the expiration date of the existing permit. Permits

that continue remain fully effective and enforceable.

 Permit Modifications

EPA views permits as living documents that can

be modified to allow facilities to implement

technological improvements, comply with new

environmental standards, respond to changing waste

streams, and generally improve waste management

practices. The permitting agency cannot anticipate

all of the administrative, technical, or operational

changes required over the permit term for the facility

to maintain a state-of-the-art operation, and

therefore, permit modifications are inevitable. The

regulations governing permit modifications were

developed to provide owners and operators and EPA

with flexibility to change permit conditions, expand

public notification and participation opportunities,

and allow for expedited approval if no public

concerns exist regarding a proposed change. Permit
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-114

modifications can be requested by either the

permittee or the permitting agency.

The regulations for permittee-requested

modifications establish three classes of

modifications. Class 1 modifications cover routine

changes, such as correcting typographical errors or

replacing equipment with functionally equivalent

equipment. Class 2 modifications address common

or frequently occurring changes needed to maintain

a facility’s level of safety or a facility’s requirement

to conform to new regulations. Class 3

modifications cover major changes that substantially

alter the facility or its operations (see Figure III-33).

Procedures differ among the three classes of

permittee-requested modifications based on the

degree of change. Class 1 modifications have minor

administrative requirements and may or may not

need prior Agency approval. Class 2 and 3

modifications have more substantial administrative

requirements and require prior Agency approval

followed by a process similar to the permitting

process.

The permitting agency may request a permit

modification if there are substantial alterations or

additions to the facility, if new information is

received by the permitting agency that was not

available at the time of permit issuance, or if new

regulations or judicial decisions affect the conditions

of the permit. The permitting agency will request

that the facility initiate the modification procedures

for the type of change being requested. The

permitting agency may terminate a permit if the

facility fails to comply with any condition of the

permit or does not disclose or misrepresents any

relevant facts, or if the permitted activity endangers

human health and the environment.

 Omnibus Provision

Some hazardous waste management practices

may pose threats to human health and the

environment that are not specifically addressed by

the RCRA regulations. To address such instances,

HSWA increased the authority of EPA when writing

permits by creating the omnibus provision. This

authority allows EPA to add conditions that are not

specifically described in Part 264 to an operating

permit, where the permit writer demonstrates that the

additional standards are necessary to protect human

health and the environment. For example, EPA

could invoke the omnibus authority to require a

Figure III-33: Examples of Permit Modification Classifications

Class 1 Class 2Class 3

Adminstrative and informational

changes

Changes in frequency 

or content of inspection 

schedules

Addition of corrective action 

program

Changes in names, addresses, 

and phone numbers of 

emergency coordinators

Extensions of post-closure 

care period

Creation of a new landfill as 

part of closure

Correction of typographical 

errors

Changes to corrective action 

program

Addition of compliance 

monitoring to ground water 

monitoring program

Changes to waste sampling 

and analysis methods to 

comply with new regulations

Changes to facility training plan 

that affect the type or amount

of employee training

Reduction in post-closure 

care period

Addition of temporary 

incinerator 

for closure activities

Changes to analytical 

quality assurance and quality 

control plan to comply with new 

regulations

Changes in number, location,

depth, or design of groundwater 

monitoring wells

Note: Permit modifications are classified in more detail in 40 CFR §270.42, Appendix I
Chapter 8: Permitting of Treatment, Storage, and Disposal Facilities

III-115

TSDF owner and operator to conduct a site-specific

risk assessment of the impact on endangered species

before issuing an operating permit to the facility,

even though such risk assessments are not

specifically mandated by the RCRA regulations.

 Permit-as-a-Shield

In general, compliance with a RCRA permit is

considered compliance with the RCRA regulations

for enforcement purposes. This gives permittees the

security of knowing that if they comply with their

permits, they will not be enforced against for

violating new requirements that were not established

in the original permit. This is referred to as the

permit-as-a-shield provision. EPA believes that the

most useful purpose of a permit is to specifically

prescribe the requirements that a facility has to meet

to allow that facility to plan and operate with

knowledge of what rules apply.

While permit-as-a-shield protects a facility from

having to comply with new regulatory requirements

that were not included in the original operating

permit, some regulatory requirements are of such

importance to the protection of human health and the

environment that EPA feels that TSDFs should have

to comply with them immediately. As a result, the

permit-as-a-shield provision does not apply to some

types of new regulatory provisions. Examples are

the LDR standards, the liner and leak detection

requirements for certain land disposal units, and the

organic air emissions provisions.

INTERIM STATUS

Many TSDFs were already existing and

operating when they became subject to RCRA

regulatory requirements as a result of a statutory or

regulatory change. These owners and operators

were immediately subject to the RCRA

requirements, including the requirement to obtain an

operating permit. Many of these facilities were not

able to immediately meet the required TSDF design

and operating standards in order to obtain an

operating permit. Congress recognized that it would

be virtually impossible for the Agency and

authorized states to issue permits to all existing

TSDFs before the RCRA Subtitle C program became

effective in November 1980. As a result, Congress

established provisions to give these facilities

“interim status.” Interim status allows a facility to

operate without a permit as long as it complies with

certain general facility and unit-specific TSDF

standards until the implementing agency can make a

final permit determination (interim status TSDF

standards are fully discussed in Section III, Chapter

5). These interim status requirements are selfimplementing until the facility submits its Part B

permit application and receives its final permit.

 Qualifying for Interim Status

In order to qualify for interim status, the facility

must have:

• Existed (operating or in construction) on the

effective date of the rule that brought the facility

into the RCRA program

• Submitted a Part A permit application

• Notified EPA of hazardous waste activity.

HOW DOES INTERIM STATUS OPERATE?

Beginning in 1980, XYZ Corporation began treating

and storing nonhazardous petroleum refinery sludges

at one of its facilities. On November 2, 1990, EPA

promulgated F037 and F038 hazardous waste listings

for such sludges. As a result, the sludges became

subject to the hazardous waste regulations and XYZ’s

facility became subject to the RCRA TSDF standards.

However, rather than ceasing operations, the facility

was allowed to operate under the interim status

provisions until it received an operating permit. Under

these provisions, XYZ was required to submit a Part A

permit application six months after the date of

publication of the regulatory change that subjected it to

the RCRA standards (i.e., by May 2, 1991).

XYZ’s Part B permit application must be submitted

when requested by the permitting agency. The

permitting agency will give the facility at least six

months from the date of request to submit the Part B.

If XYZ is managing these sludges in land disposal

units, the owner and operator must submit their Part B

within 12 months of becoming subject to the

regulations (i.e., by May 2, 1992) or they will lose

interim status.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-116

 Changes During Interim Status

Changes can be made to a facility operating

under interim status provided that the owner and

operator submits a revised Part A permit application

that includes justification for the proposed change

before any changes are made. The following

changes are permissible:

• Management of hazardous wastes not previously

identified in Part A of the permit application

• Increases in the design capacity of processes

used at the facility

• Changes to, or additions of, hazardous waste

processes

• Changes in the ownership or operational control

of the facility

• Changes made in accordance with an interim

status corrective action order under §3008(h)

(corrective action is fully discussed in Section

III, Chapter 9)

• Addition of newly regulated hazardous waste

units.

Changes to an interim status facility may not be

made if they amount to “reconstruction” of the

facility. Any change that requires a capital

expenditure exceeding 50 percent of the cost of

construction of a comparable new facility is

considered reconstruction. This reconstruction

prohibition prevents interim status facilities from

constructing entirely new facilities while operating

under self-implementing standards, in order to avoid

the scrutiny of the permitting process that would

otherwise apply to new facilities. The reconstruction

prohibition does not apply if the changes are

necessary to comply with the LDR regulations, the

hazardous waste tank regulations or a corrective

action order, among other things.

 Termination of Interim Status

Interim status is terminated either when the

permitting agency makes a final determination on

the Part B permit application (to either issue or deny

a permit), or when the facility fails to furnish a Part

B application on time.

An owner and operator of an interim status

facility may submit the Part B voluntarily or in

response to a request from the state or EPA.

However, an owner and operator of a facility already

in existence must submit the Part B in accordance

with HSWA-mandated deadlines for specific types

of units. If a permittee fails to submit the Part B

before the expiration of the specified statutory time

period, the facility loses interim status immediately.

These deadlines were imposed because Congress

wanted to ensure that hazardous waste management

units that posed increased threats to human health

and the environment would not operate in interim

status indefinitely.

SPECIAL FORMS OF HAZARDOUS

WASTE PERMITS

Some hazardous waste management operations

and practices require special permit provisions.

These provisions provide the permitting agency

flexibility in developing permit conditions and

procedures for permit administration. These special

forms of permits include:

• Permits-by-rule

• Emergency permits

• RD&D permits

• Land treatment demonstration permits

• Combustion permits

• Post-closure permits

• Remedial Action Plans.

Additionally, EPA proposed another special type

of permit called a “standardized permit.” If

finalized, the “standardized permit” would

streamline the permitting process for hazardous

waste generators who subsequently store or nonthermally treat hazardous waste in tanks, containers,

or containment buildings.
Chapter 8: Permitting of Treatment, Storage, and Disposal Facilities

III-117

 Permits-by-Rule

EPA issues permits under different

environmental statutes. In some instances, the

RCRA regulations may overlap with the

requirements of

another statute.

In order to avoid

unnecessary

duplicative

regulation,

RCRA allows

these facilities’

non-RCRA

permit to serve in place of a RCRA permit, provided

that such facilities are in compliance with that permit

and other basic RCRA administrative requirements.

Permits-by-rule are available for:

• Ocean disposal vessels and barges regulated

under MPRSA

• UIC wells regulated under SDWA

• POTWs regulated under CWA.

 Emergency Permits

In emergency situations, EPA can forego the

normal permitting process for hazardous waste

management activities. Specifically, when EPA or

an authorized state finds there is an imminent and

substantial endangerment to human health and the

environment, it can issue a temporary emergency

permit to allow treatment, storage, or disposal of

hazardous waste by a nonpermitted facility or by a

permitted facility that has not been permitted to

engage in such activity. The duration of an

emergency permit cannot exceed 90 days.

 Research, Development, and

Demonstration Permits

Owners and operators who propose to use

innovative hazardous waste treatment technologies

can receive a RD&D permit, provided that permit

standards for such an activity have not already been

established by EPA. The RD&D permit

requirements specify that a facility can only receive

those wastes necessary to determine the efficiency of

the treatment technology. RD&D permits provide

for the construction and operation of the facility for

up to one year, but may be renewed up to three times

with each renewal not exceeding one year. In order

to expedite the issuance of RD&D permits, EPA may

modify or waive the usual permit application and

issuance requirements, with the exception of

financial responsibility and public participation.

When issuing RD&D permits, EPA must maintain

consistency with its mandate to protect human health

and the environment.

 Land Treatment Demonstration

Permits

Before a land treatment facility can obtain a

final permit, the owner and operator must

demonstrate that hazardous constituents in a waste

can be completely degraded, transformed, or

immobilized in the treatment zone. Land treatment

demonstration permits allow an owner and operator

to perform these required treatment demonstrations

in order to obtain a final TSDF operating permit.

Such demonstration permits are issued for treatment

or disposal, and may include field tests or laboratory

analysis conditions, unit design criteria, construction

standards, operation provisions, and maintenance

requirements (land treatment unit standards are fully

discussed in Section III, Chapter 5).

 Combustion Permits

Combustion permits specify the conditions

under which a combustion facility must operate. A

facility’s permit specifies the operating conditions,

such as waste feed rate, unit temperature, gas

velocity, and carbon monoxide emissions, which

guarantee that a combustion unit will meet its

respective performance standards (i.e., pollutantspecific air emissions limitations). The permit also

specifies combustion unit waste analysis, inspection

and monitoring, and residue management

requirements. (Standards for combustion units are

fully discussed in Section III, Chapter 7.)

Additionally, the permit sets conditions for all other

hazardous waste storage, treatment, and disposal

units at the facility.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-118

Figure III-34:

Combustion Unit

Permitting

Owners and operators must obtain a RCRA

operating permit before beginning construction of a

combustion unit. However, it is impossible to

prescribe which specific operating conditions will

limit air emissions without a constructed unit that the

owner and operator can

actually test to determine if

adequate protection of

human health and the

environment is being

achieved. As a result, the

permit process for

combustion units is

comprised of four phases

intended to test the unit’s

operation prior to the

issuance of the final permit

to ensure that the unit can

operate in accordance with

its operating conditions (see

Figure III-34). These

phases include:

• Shake-down period,

during which the

combustion unit is

brought to the level of

normal operating

conditions in

preparation for the trial

burn

• Trial burn, during which burns are conducted

so that performance can be tested over a range of

conditions

• Post-trial burn, during which the data from the

trial burn is evaluated and the facility may

operate under conditions specified by the

permitting agency

• Final operating period, which continues

throughout the life of the permit.

The permitting agency specifies operating

conditions for all phases based on a technical

evaluation of the combustion unit’s design, the

information contained in the permit application and

trial burn plan, and results of burns from other

combustion units. The operating conditions are

established such that the combustion unit will

theoretically meet performance standards at all

times. The results from the trial burn are used to

verify the adequacy of the proposed operating

conditions.

Interim Status Combustion Units

Owners and operators of interim status

combustion units must demonstrate that their units

meet all applicable performance standards by

submitting performance data developed during

actual burns. Performance data is used by the

permitting agency to determine whether the

combustion unit meets RCRA performance

standards when burning a particular waste under a

specific set of operating conditions.

While many hazardous waste combustion units

are subject to RCRA permitting, units subject to

MACT standards (cement kilns, lightweight

aggregate kilns, and incinerators) must also obtain a

CAA Title V permit. The CAA permitting process is

different than the RCRA process because CAA

permits are completed after a facility has

demonstrated compliance with the emission

standards, while a RCRA permit is issued prior to

compliance testing.

Prior to the compliance date, hazardous waste

combustion facilities that are subject to the MACT

standards must comply with the Title V permit

application requirements. Facilities that are

currently permitted under RCRA may need to

modify their RCRA permit in order to make design

and operational changes to come into compliance

with the MACT standards. These facilities must

continue to comply with the RCRA permit

conditions until these conditions either expire or are

removed; they are not automatically removed upon

promulgation of the MACT standards.

 Post-Closure Permits

Owners and operators of hazardous waste

disposal units, and owners and operators of

hazardous waste management units that cannot clean

Final Permit 

Decision

Construction of 

Combustion Unit

Shake-Down 

Period 

Trial Burn

Post-Trial Burn

Final Operating 

Period
Chapter 8: Permitting of Treatment, Storage, and Disposal Facilities

III-119

close and must close as landfills, must conduct postclosure care, including ground water monitoring and

maintenance of an impermeable cap (post-closure is

fully discussed in Section III, Chapter 5). The

standards for permitted facilities incorporate postclosure care requirements into the facility’s

operating permit to ensure that post-closure care is

performed in a protective manner. However,

because interim status facilities do not yet have

operating permit, the RCRA regulations require that

interim status facilities needing post-closure care

obtain a post-closure permit or an enforceable

document containing the same regulatory

requirements as a permit. This will ensure that

interim status facilities meet all applicable

requirements for permitted facilities, including the

ground water monitoring standards.

 Remedial Action Plans

Remedial action plans (RAPs) are a special form

of RCRA permit that a facility may obtain to treat,

store, or dispose of hazardous remediation waste at a

remediation waste management site. Often,

remedies selected for cleanup sites involve treating,

storing or re-disposing of hazardous remediation

waste. Before the existence of RAPs, these activities

required the same type of permit as that for asgenerated process waste management. Traditional

RCRA permits, however, are not always well suited

to cleanup activities. RAPs allow additional

flexibility in public participation, provide for

streamlined information requirements during permit

application, and eliminate the requirement to

perform facility-wide corrective action.

Additional information on RAPs is found at

www.epa.gov/epaoswer/hazwaste/id/hwirmdia.htm

 Standarized Permits

In October 2001, in order to increase the

efficiency and effectiveness of the permitting

process, EPA proposed the implementation of a

standardized permit for facilities that generate

hazardous waste and store or non-thermally treat the

waste in tanks, containers, and containment

buildings on site. If finalized, the standardized

permit should streamline the permit process by

allowing facilities to obtain and modify permits

more easily while maintaining the protectiveness

currently existing in the individual RCRA permit

process. For example, public participation would

still be required during the permitting process, but

unlike the existing individual permit, public notice

would not be required at the application submittal,

though an informal meeting prior to the application

would still be necessary. In addition, when seeking

a standardized permit, the permitting agency would

not need to verify completeness of the application.

Also, the permit modification procedures would be

less cumbersome for a standardized permit.

SUMMARY

The RCRA regulations require hazardous waste

TSDFs to obtain an operating permit that establishes

the administrative and technical conditions under

which hazardous waste at the facility must be

managed. Such permits cover the full range of

TSDF standards, including general facility

provisions, unit-specific requirements, closure and

financial assurance standards, and any applicable

ground water monitoring and air emissions

provisions.

In order to obtain a permit, a TSDF owner and

operator must comply with specific application

procedures. The permitting process consists of the

following stages:

• Informal meeting prior to application

• Permit submission

• Permit review

• Preparation of the draft permit

• Taking public comment

• Finalizing the permit.

After issuance, permits may need to be modified

to allow facilities to implement technological

improvements, comply with new environmental

standards, respond to changing waste streams, and

generally improve waste management practices.

These modifications can be initiated by either the

facility or the permitting agency.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-120

Facilities that were existing and operating on the

effective date of a regulation that required them to

obtain an operating permit are considered interim

status facilities. They are allowed to continue

operating as long as they comply with certain

general facility and unit-specific TSDF standards

until the implementing agency makes a final permit

determination.

Some waste management operations and

practices require special permit provisions. These

special forms of permits include:

• Permits-by-rule

• Emergency permits

• RD&D permits

• Land treatment demonstration permits

• Combustion permits

• Post-closure permits

• Remedial Action Plans.

Additionally, EPA proposed another special type

of permit called a “standarized permit.”

ADDITIONAL RESOURCES

Additional information about RCRA permitting

can be found at www.epa.gov/epaoswer/hazwaste/

permit/index.htm.
III-121

In this chapter...

Overview........................................................... III-121

Corrective Action Implementation ..................... III-122

- Permitted Corrective Action ........................... III-122

- Corrective Action Orders ............................... III-122

- Voluntary Corrective Action ........................... III-123

Improving Corrective Action ............................. III-123

- Special Provisions for Cleanup ..................... III-123

- Environmental Indicators ............................... III-124

- RCRA Cleanup Reforms ............................... III-125

- RCRA Brownfields Prevention Initiative ........ III-125

Traditional Corrective Action Components ....... III-125

- Initial Site Assessment .................................. III-125

- Site Characterization ..................................... III-125

- Interim Actions ............................................... III-125

- Evaluation of Remedial Alternatives .............. III-126

- Remedy Implementation ............................... III-126

Summary .......................................................... III-126

Additional Resources ....................................... III-126

OVERVIEW

Past and present activities at RCRA facilities

have sometimes resulted in releases of hazardous

waste and hazardous constituents into soil, ground

water, surface water, sediments, and air. The Statute

generally mandates that EPA requires the

investigation and cleanup, or remediation, of these

hazardous releases at RCRA facilities. This program

is known as corrective action. Approximately

3,700 sites are undergoing corrective action, almost

three times the number of sites found on the

Superfund National Priorities List (NPL) (as

discussed in Section VI, Chapter 2). The degree of

investigation and subsequent corrective action

necessary to protect human health and the

environment varies significantly among these

facilities.

The corrective action program is a unique part of

RCRA because

there are no

comprehensive

cleanup

regulations.

Instead, EPA

implements

corrective action

primarily through

guidance, and

enforces it largely

through statutory

authorities

established by

HSWA. Prior to

HSWA, EPA’s

statutory authority

to require cleanup

of hazardous

releases was limited to situations where the

contamination presented an “imminent and

substantial endangerment to health or the

environment.” Regulatory authority was limited to

releases identified during ground water monitoring

at RCRA-regulated land-based hazardous waste

units, such as landfills or surface impoundments.

Through HSWA, Congress substantially expanded

EPA’s corrective action authority, allowing the

Agency to address any releases of hazardous waste

or hazardous constituents to all environmental media

at both RCRA permitted and nonpermitted facilities.

CHAPTER 9

 CORRECTIVE ACTION TO CLEAN UP 

HAZARDOUS WASTE CONTAMINATION
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-122

Rather than implementing a rigid regulatory

framework for corrective action, the Agency has

developed guidance and policy documents to assist

facilities conducting cleanups. EPA recently

developed a set of targeted administrative reforms,

known as the RCRA Cleanup Reforms, to achieve

faster, more efficient cleanups. The RCRA Cleanup

Reforms represent a comprehensive effort to address

key impediments to cleanups, maximize program

flexibility, and spur progress toward a set of national

cleanup goals.

CORRECTIVE ACTION

IMPLEMENTATION

One of the keys to understanding the RCRA

corrective action program is knowing how a facility

becomes subject to corrective action. Facilities

generally are brought into the RCRA corrective

action process when there is an identified release of

hazardous waste or hazardous constituents, or when

EPA is considering a facility’s RCRA permit

application. Additionally, a facility owner or

operator may volunteer to perform corrective action

by entering an agreement with EPA in order to

expedite the process.

 Permitted Corrective Action

When a facility is seeking a permit, or when a

permit is already in place, EPA can incorporate

corrective action into the permit requirements.

Permitted facilities are required under 40 CFR Part

264, Subpart F, to monitor ground water to detect

and correct any releases from regulated land-based

hazardous waste land disposal units (as discussed in

Section III, Chapter 5). HSWA further expanded

EPA’s permit authority for corrective action to

address all environmental media, as well as releases

from areas other than regulated land disposal units,

such as tanks or containers. Permits issued to RCRA

facilities must, at a minimum, contain schedules of

compliance to address these releases and include

provisions for financial assurance to cover the cost

of implementing those cleanup measures. The

HSWA statutory provisions for addressing corrective

action in permits are as follows:

• Releases from solid waste management units

(SWMUs) – Under the authority of §3004(u) of

the Act, EPA requires corrective action for

releases of hazardous waste or hazardous

constituents from SWMUs in a facility’s permit.

A SWMU is any discernible unit where solid or

hazardous wastes have been placed at any time,

or any area where solid wastes have been

routinely and systematically released.

• Releases beyond the facility boundary –

§3004(v) of the Act authorizes EPA to impose

corrective action requirements for releases that

have migrated beyond the facility boundary.

This corrective action provision can be

complementary to §3004(u), but it is not

expressly limited to releases from SWMUs.

• Omnibus permitting authority – This provision,

found in §3005(c)(3) of the Act, allows EPA or

an authorized state to include any requirements

deemed necessary in a permit, including the

requirement to perform corrective action. This

authority is particularly useful at permitted

facilities when there is a release not associated

with any particular SWMU. (Omnibus

permitting authority is fully discussed in Section

III, Chapter 5.)

 Corrective Action Orders

EPA also possesses additional authorities to

order corrective action that are not contingent upon a

facility’s permit. The statutory provisions to issue

corrective action orders are:

• Releases at interim status facilities – §3008(h) of

the Act authorizes EPA to require corrective

action or other necessary measures through an

administrative enforcement order or lawsuit,

whenever there is or has been a release of

hazardous waste or constituents from an interim

status RCRA facility (i.e., a facility that has not

yet received a RCRA permit).

• Imminent and substantial endangerment – This

authority, found in §7003 of the Act, allows

EPA, upon evidence of past or present handling

of solid or hazardous waste, to require any

action necessary when a situation may present
Chapter 9: Corrective Action to Clean Up Hazardous Waste Contamination

III-123

an imminent and substantial endangerment to

health or the environment (i.e., poses significant

threat or harm). This authority applies to all

facilities subject to RCRA, whether or not they

have a RCRA permit. EPA can waive other

RCRA requirements (e.g., a permit) to expedite

the cleanup process under this provision.

 Voluntary Corrective Action

Corrective action need not always be initiated

subject to permit requirements or an enforcement

order. Owners and operators of RCRA-regulated

facilities may also volunteer to perform corrective

action. Some activities which may be necessary to

achieve corrective action goals at a facility, however,

may require formal approval by EPA or the state.

EPA, therefore, encourages owners and operators to

work closely with EPA and state agencies to obtain

sufficient oversight during voluntary cleanup

activities.

IMPROVING CORRECTIVE ACTION

EPA has identified several factors that inhibit the

efficiency and timeliness of the cleanup program. In

some instances, cleanups have suffered from an

emphasis on process steps, instead of process goals.

Thus, EPA seeks to reduce these hindrances by

allowing more flexibility during the cleanup process.

EPA has reformed the corrective action program by:

addressing specific disincentives through regulatory

changes; focusing on near-term goals; and stressing

results-based approaches, instead of a process-based

scheme.

The Agency has finalized provisions to facilitate

faster, more efficient cleanups. For example, EPA

has established alternative soil standards for

cleanups (as discussed in Section III, Chapter 6);

harmonized the sometimes duplicative closure and

correction action requirements; and increased

flexibility for “cleanup only” facilities by developing

streamlined RCRA cleanup permits, removing the

obligation for facility-wide corrective action, and

introducing new units for managing cleanup wastes.

 Special Provisions for Cleanup

Cleaning up RCRA facilities under the

corrective action program may involve the

management of large amounts of waste such as

contaminated soils, water, debris, and sludges which

contain a listed waste or exhibit a characteristic of

hazardous waste. Such cleanup wastes are referred

to as remediation wastes. Remediation wastes are

generally subject to the same management standards

as newly generated RCRA hazardous waste,

including TSDF standards, permits, and land

disposal restrictions (LDR). These management

standards are sometimes counterproductive when

applied to cleanups because they may unnecessarily

slow the corrective action process and increase the

cost of corrective action without providing a

concomitant level of protection of human health and

the environment. Figure III-35 illustrates potential

disincentives to the cleanup program and EPA’s

remedies.

In order to mitigate the impact of these

management standards on the corrective action

program, EPA promulgated streamlined regulations

that allow the use of alternative remediation waste

permit and unit standards. These alternative

standards ensure cleanups are fully protective while

eliminating some of the regulatory hurdles

associated with waste management. For example,

the Agency promulgated a modified version of a

permit, the Remedial Action Plan (RAP). Unlike the

traditional RCRA permit, the RAP is tailored to the

needs of a facility that manages remediation waste.

EPA also provided options for increased cleanup

flexibility by establishing three types of remediation

waste management units: temporary units (TUs),

corrective action management units (CAMUs),

and staging piles.

Potential Disincentives Special Provisions for Cleanup

Obtaining a traditional RCRA permit for

treatment, storage or disposal Remedial Action Plan (RAP)

LDU minimum technical requirements

Remediation waste management

units (i.e., CAMUs, TUs, and

staging piles)

LDR treatment standards Alternative LDR soil treatment

standards

Figure III-35
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-124

TUs are tanks or container storage areas that

EPA designated to be used solely for the treatment or

storage of remediation wastes during cleanups. EPA

or authorized states can modify the design,

operating, and closure standards that normally apply

to these units in order to facilitate prompt cleanup of

contaminated waste sites.

A CAMU is an area within a facility that is used

only for managing CAMU-eligible wastes for

implementing corrective action or cleanup at the

facility. A CAMU must be located within the

contiguous property under the control of the owner

or operator where wastes to be managed in the

CAMU originated. By designating an area as a

CAMU, EPA exempts that area from LDR and the

land disposal unit (LDU) minimum technological

requirements (MTR). However, waste must meet

minimum treatment standards for its principal

hazardous constituents (PHCs), and CAMUs must

meet minimum liner and cap standards similar to the

criteria for municipal solid waste landfills

(MSWLFs) in Part 258 (See Section II).

 A staging pile is a unit designated by EPA for

the temporary accumulation of solid, non-flowing

remediation waste during cleanups. Staging piles do

not have to meet MTR, and LDR treatment standards

do not apply to the remediation waste managed

within these units. Owners and operators may not

place any liquids in staging piles and cannot conduct

any significant treatment within these units.

 Environmental Indicators

Although the ultimate goal of the corrective

action program is completing final site cleanup, EPA

assesses the program using environmental indicators.

EPA developed two environmental indicators to

focus efforts on early risk reduction, risk

communication, and resource protection. EPA uses

the environmental indicators to measure progress

toward meeting the national cleanup goals

established by the Government Performance Results

Act of 1993 (GPRA). To meet the GPRA objectives,

EPA designated 1,714 RCRA facilities as the cleanup

baseline because of the potential for unacceptable

exposure to pollutants and/or for ground water

contamination. EPA identified many of these

facilities using the National Corrective Action

Prioritization System (NCAPS), a computer-based

ranking system that prioritizes the cleanup of the site

relative to other sites. The relative ranking (i.e.,

high, medium, or low) assigned to each site is based

on an evaluation of four pathways of actual or

potential contamination (i.e., ground water, surface

water, air, and soil).

The environmental indicators used are Current

Human Exposures Under Control and Migration of

Contaminated Groundwater Under Control. The

Agency and authorized States will verify and

document that by the year 2005, 95 percent of the

baseline facilities have current human exposures

under control and 70 percent have migration of

contaminated groundwater under control. These

environmental indicators will also aid site decision

makers by clearly showing where risk reduction is

necessary, thereby helping regulators and facility

owner and operators reach agreements earlier on

which stabilization measures or cleanup remedies

must be implemented.

Figure III-36 illustrates the progress EPA has

made thus far in meeting its 2005 goals.

Figure III-36

Environmental Indicator Progress

Meeting Our 2005 Goals

0

20

40

60

80

100

Progress as of 

April 2002

2005 Goal

Human

Exposures EI

Groundwater EI
Chapter 9: Corrective Action to Clean Up Hazardous Waste Contamination

III-125

 RCRA Cleanup Reforms

The goals for the RCRA Corrective Action

program remain challenging. To more effectively

meet these goals and speed up the pace of cleanups,

EPA introduced RCRA Cleanup Reforms in 1999

and additional Reforms in 2001. The 1999 and 2001

Reforms build upon actions taken by EPA and states

in recent years to accelerate cleanups. The 1999

Reforms outline policies to remove obstacles to

efficient cleanups, maximize program flexibility, and

initiate progress toward the GPRA cleanup goals.

The RCRA Cleanup Reforms of 2001 highlight

those activities that EPA believes would best

accelerate program progress and foster creative

solutions.

 RCRA Brownfields Prevention

Initiative

A potential RCRA Brownfield is a RCRA

facility that is not in full use, where there is

redevelopment potential, and where reuse or

redevelopment of that site is slowed due to real or

perceived concerns about actual or potential

contamination, liability, and RCRA requirements.

EPA launched the RCRA Brownfields Prevention

Initiative on June 11, 1998, with the goal of

encouraging the reuse of potential RCRA

Brownfields so that the land better serves the needs

of the community either through more productive

commercial or residential development or as

greenspace.

TRADITIONAL CORRECTIVE

ACTION COMPONENTS

Corrective action typically includes five

elements common to most, though not all, cleanup

activities: initial site assessment, site

characterization, interim actions, evaluation of

remedial alternatives, and implementation of the

selected remedy. However, no one approach is

likely to be appropriate for all corrective action

facilities; therefore, a successful corrective action

program must be procedurally flexible. These five

elements should be viewed as evaluations necessary

to make good cleanup decisions, not prescribed steps

along a path. EPA emphasizes that it does not want

studies to be undertaken simply for the purpose of

completing a perceived step in a perceived process.

 Initial Site Assessment

The first element in most cleanup programs is an

initial site assessment. During the initial site

assessment information is gathered on site

conditions, releases, potential releases, and exposure

pathways to determine whether a cleanup may be

needed and to identify areas of potential concern. In

the corrective action program, this step is commonly

referred to as RCRA Facility Assessment, or RFA.

Overseeing agencies may also use initial site

assessments to set relative priorities between sites

and allocate resources.

 Site Characterization

Before cleanup decisions can be made, some

level of characterization is necessary to ascertain the

nature and extent of contamination of a site and to

gather information necessary to support selection

and implementation of appropriate remedies. This

step is often referred to as the RCRA Facility

Investigation, or RFI. A successful RFI will identify

the presence, movement, fate, and risks associated

with environmental contamination at a site and will

elucidate the chemical and physical properties of the

site likely to influence contamination migration and

cleanup.

 Interim Actions

While site characterization is underway or

before a final remedy is selected, there is often need

for interim actions at a corrective action site.

Interim actions are used to control or abate ongoing

risks to human health and the environment in

advance of the final remedy selection. For example,

actual or potential contamination of drinking water

supplies may necessitate an interim action to provide

alternative drinking water sources.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-126

 Evaluation of Remedial Alternatives

Before choosing a cleanup approach, program

implementors and facility owners and operators will

typically analyze a range of alternatives and evaluate

their advantages and disadvantages relative to sitespecific conditions. Such a study is typically called

the Corrective Action Measures Study, or CMS.

 Remedy Implementation

Remedy implementation typically involves

detailed remedy design, remedy construction,

remedy operation and maintenance, and remedy

completion. In the corrective action program, this

step is often referred to as Corrective Measures

Implementation, or CMI.

SUMMARY

Through a process called corrective action, EPA

requires RCRA-regulated facilities to investigate and

clean up releases of hazardous waste or constituents

to the environment.

Corrective action is included as a requirement in

a facility’s permit through §3004(u), §3004(v), or

§3005(c)(3) statutory authorities. Corrective action

can also be made through an enforcement order

through §3008(h) or §7003 statutory authorities.

Facilities may also voluntarily choose to clean up

their contamination.

EPA implements the corrective action program

primarily through guidance, and has not

promulgated comprehensive cleanup regulations.

Remediation wastes are those managed for the

purpose of implementing corrective action, and may

include contaminated soils, water, debris and sludges

that contain a listed waste or exhibit a characteristic

of hazardous waste.

EPA has promulgated provisions more

appropriate for managing remediation waste,

including the streamlined permit, or RAP, and

remediation waste management units, including the

TU, CAMU, and staging pile.

EPA recently developed a set of targeted

administrative reforms, known as the RCRA

Cleanup Reforms, to achieve faster, more efficient

cleanups. The RCRA Reforms represent a

comprehensive effort to address key impediments to

cleanups, maximize program flexibility, and spur

progress toward a set of ambitious national cleanup

goals.

ADDITIONAL RESOURCES

Additional information about corrective action

can be found at www.epa.gov/correctiveaction.

Further information about EPA cleanup programs

can be found at www.epa.gov/epaoswer/osw/

cleanup.htm.
III-127

In this chapter...

Overview........................................................... III-127

Compliance Monitoring ..................................... III-128

- Inspections and Information Gathering ......... III-128

- Conducting the Inspection ............................ III-129

Enforcement Actions ........................................ III-129

- Administrative Actions ................................... III-129

- Civil Actions................................................... III-131

- Criminal Actions ............................................ III-132

Civil Penalty Policy ........................................... III-133

Enforcement at Federal Facilities ..................... III-133

Compliance Assistance and Incentives ............ III-134

- Small Business Compliance Incentives and

Assistance..................................................... III-134

- Self-Audit Policy ............................................ III-134

- Audit Protocols .............................................. III-135

- Sector Notebooks .......................................... III-135

Agency Functions ............................................. III-135

Summary .......................................................... III-136

Additional Resources ....................................... III-136

OVERVIEW

The effective implementation of the RCRA

program depends on whether the people and

companies regulated under RCRA comply with its

various requirements. The goals of the RCRA

enforcement program are to ensure that the

regulatory and statutory provisions of RCRA are

met, and to compel necessary action to correct

violations. EPA and the states achieve these goals

by closely monitoring hazardous waste handler (e.g.,

generator, transporter, and TSDF) activities, taking

expeditious legal action when noncompliance is

detected, and providing compliance incentives and

assistance. Facility inspections by federal and state

officials are the primary tool for monitoring

compliance. When noncompliance is detected, legal

action, in the form of an administrative order, a civil

lawsuit, or a criminal lawsuit, may follow,

depending on the nature and severity of the

problem. EPA has also issued several policies to

provide incentives for businesses to voluntarily

evaluate their own compliance and disclose

violations, and to assist small businesses in

complying with the regulations. The combination

of effective monitoring, expeditious legal action,

and compliance incentives and assistance is

intended to reduce the number of handlers operating

in violation of RCRA requirements and to deter

potential violations.

This chapter describes the three essential

aspects of the enforcement program: compliance

monitoring, enforcement actions, and compliance

incentives and assistance. Almost all of the

enforcement provisions detailed in this chapter are

based on the Act, federal EPA policy, and Agency

regulations. It is important to note that state

requirements may be more stringent than those

mandated by the federal government, and state

enforcement authorities and procedures may differ

from those of EPA.

CHAPTER 10

ENFORCEMENT OF HAZARDOUS

WASTE REGULATIONS
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-128

COMPLIANCE MONITORING

One aspect of the enforcement program is

monitoring facilities to verify that they comply with

RCRA regulatory requirements. Monitoring serves

several purposes, such as allowing EPA and the

states to assess the effectiveness of specific legal

actions that may have been taken already against a

handler, and enabling EPA to gather data in support

of a future rulemaking. In addition, the overall

compliance monitoring program allows EPA to

evaluate the effectiveness of state programs and to

monitor nationwide compliance with RCRA.

Finally, monitoring acts as a deterrent, encouraging

compliance with the regulations by making acts of

noncompliance susceptible to enforcement actions.

 Inspections and Information

Gathering

The primary method of collecting compliance

monitoring data is through an inspection. Section

3007 of the Act provides the authority for

conducting inspections. This section allows a

representative of EPA or an authorized state to enter

any premises where hazardous waste is handled to

examine records and take samples of the wastes. In

instances when criminal activity is suspected, EPA’s

National Enforcement Investigations Center may

become involved. Similarly, DOT may participate

where waste transporters are involved. While all

TSDFs must be inspected at least once every two

years, HSWA requires that all federal- and stateoperated facilities be inspected annually. Facilities

may also be inspected at any time if EPA or the state

has reason to suspect that a violation has occurred.

Finally, facilities are chosen for an inspection when

specific information is needed to support the

development of RCRA regulations and to track

program progress and accomplishments.

Inspections may be conducted by EPA, an

authorized state, or both. Typically, either the state

or EPA has overall responsibility, or the lead, for

conducting the inspection. The inspection may

include a formal visit to the handler, a review of

records, taking of samples, and observation of

operations.

There are many types of inspections. However,

the compliance evaluation inspection (CEI) is the

primary mechanism for detecting and verifying

RCRA violations by hazardous waste generators,

transporters, and TSDFs. Types of inspections differ

based upon the purpose, facility status, and the

probable use of inspection results. The Office of

Waste Programs Enforcement has developed, and is

continuing to develop, specific guidance on

performing the different types of inspections.

TYPES OF ENFORCEMENT INSPECTIONS

• Compliance Evaluation Inspection — Routine

inspections to evaluate compliance with RCRA.

These inspections usually encompass a file review

prior to the site visit; an on-site examination of

generation, treatment, storage or disposal areas; a

review of records; and an evaluation of the facility’s

compliance with RCRA.

• Case Development Inspection — An inspection

when significant RCRA violations are known,

suspected, or revealed. These inspections are

usually intended to gather data in support of a

specific enforcement action.

• Comprehensive Ground Water Monitoring

Evaluation — An inspection to ensure that ground

water monitoring systems are designed and

functioning properly at RCRA land disposal facilities.

• Compliance Sampling Inspection — Inspections to

collect samples for laboratory analysis. This

sampling inspection may be conducted in

conjunction with any other inspection.

• Operations and Maintenance Inspection —

Inspections to ensure that ground water monitoring

and other systems at closed land disposal facilities

continue to function properly. These inspections are

usually conducted at facilities that have already

received a thorough evaluation of the ground water

monitoring system through a comprehensive ground

water monitoring inspection.

• Laboratory Audit — Inspections of laboratories

performing ground water monitoring analysis to

ensure that these laboratories are using proper

sample handling and analysis protocols.
Chapter 10: Enforcement of Hazardous Waste Regulations

III-129

 Conducting the Inspection

Several steps are generally followed in RCRA

inspections to ensure consistency and thoroughness;

these steps are summarized below. The inspector

prepares for the inspection by:

• Coordinating inspection activities with other

regulatory or enforcement personnel as

necessary

• Reviewing facility files

• Preparing an inspection plan

• Developing a checklist

• Packing appropriate safety equipment.

The first stage of the actual inspection is the

facility entry. Upon entry, the inspector generally

holds an opening conference with the owner and

operator to discuss the nature of the inspection and

to describe the information and samples to be

gathered. Following the opening conference, the

actual inspection takes place, which may involve:

• Reviewing facility operations and waste

management practices

• Reviewing records

• Conducting a visual inspection

• Identifying sampling requirements.

Finally, the inspector holds a closing conference

with the owner and operator to allow him or her to

respond to questions about the inspection and to

provide additional information. The inspector

usually summarizes the findings.

After the visit is completed, the inspector

prepares a comprehensive report that summarizes the

records reviewed, any sampling results, and the

handler’s compliance status with respect to RCRA.

The most important result of any inspection is

the determination of whether the handler is in

compliance with the regulations. The inspector may

also determine compliance through examination of

the reports that handlers are required to submit, or

are part of normal waste handler operations. Reports

may contain information about the wastes being

handled, the method of handling, and the ultimate

disposal of wastes. Reports are submitted as

required in a permit or enforcement order (e.g.,

corrective action schedules of compliance) and by

regulation (e.g., biennial report). If the handler is

not complying with all of the appropriate state or

federal requirements, enforcement action may be

taken.

ENFORCEMENT ACTIONS

When compliance monitoring detects a

violation, enforcement actions bring handlers into

compliance with applicable Subtitle C regulations.

The goal of enforcement actions is to compel:

• Compliance with RCRA’s waste handling

standards

• Compliance with RCRA’s recordkeeping and

reporting requirements

• Monitoring and corrective action in response to

releases of hazardous waste, and hazardous

constituents.

EPA (or an authorized state) has a broad range of

enforcement options including:

• Administrative actions

• Civil actions

• Criminal actions.

A decision to pursue one of these options is

based on the nature and severity of the problem.

 Administrative Actions

An administrative action is an enforcement

action taken by EPA or a state under its own

authority, without involving a court process.

Administrative enforcement actions can take several

forms, ranging from EPA or the state authority

issuing informal notices of noncompliance, to orders

that force facilities to take a certain action.

Administrative actions tend to be resolved quickly

and can often be quite effective in forcing a handler

to comply with regulations or to remedy a potential
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-130

threat to human health or the environment. Two

types of administrative actions, informal actions and

formal actions, provide for enforcement response

outside the court system.

Informal Actions

An informal administrative action is any

communication from EPA or a state agency that

notifies the handler of a problem. It can take many

forms, such as a letter or a phone call. An informal

letter to the handler may be called a notice of

violation or a notice of noncompliance. For this

type of action, EPA or the state notifies a handler

that they are not in compliance with some provision

of the regulations. This type of action is particularly

appropriate when the violation is minor, such as a

record maintenance requirement. If the owner and

operator does not take steps to comply within a

certain time period, a warning letter will be sent,

setting out specific actions to be taken to move the

handler into compliance. The warning letter also

sets out the enforcement actions that will follow if

the handler fails to remedy the violation.

Formal Actions

Alternatively, EPA or the state can take formal

action when a more severe violation is detected, or

the owner and operator does not respond to an

informal action. Formal actions often take the form

of an administrative order, which is issued directly

under the authority of RCRA and imposes

enforceable legal duties. Orders can be used to force

a facility to comply with specific regulations; to take

corrective action; to perform monitoring, testing, and

analysis; or to address a threat to human health and

the environment. An administrative order can be

issued as a consent order, which documents an

agreement between the Agency and the violator.

EPA can issue four types of administrative orders

under RCRA:

• Compliance orders — §3008(a) of RCRA allows

EPA to issue an order requiring any person who

is not complying with a requirement of RCRA to

take steps to come into compliance. A

compliance order may require immediate

compliance or may set out a schedule for

compliance. The order can contain a penalty of

up to $27,500 per day for each day of

noncompliance and can suspend or revoke the

facility’s permit or interim status. When EPA

issues a compliance order, the person to whom

the order is issued can request a hearing on any

factual provisions of the order. If no hearing is

requested, the order will become final 30 days

after it is issued.

• Corrective action orders — §3008(h) allows

EPA to issue an order requiring corrective action

at an interim status facility when there is

evidence of a release of a hazardous waste or a

hazardous constituent into the environment.

EPA can issue a §3008(h) order to require

corrective action activities including

investigations, repairing liners, or pumping to

treat ground water contamination. In addition to

requiring corrective action, these orders can

suspend interim status and impose penalties of

up to $27,500 for each day of noncompliance

with the order (as discussed in Section III,

Chapter 9).

• §3013 orders — If EPA finds that a substantial

hazard to human health and the environment

exists, the Agency can issue an administrative

order under §3013. A §3013 order is used to

evaluate the nature and extent of the problem

through monitoring, analysis, and testing. These

orders can be issued either to the current owner

ADMINISTRATIVE ENFORCEMENT ACTIONS:

A CASE STUDY

Following a routine inspection at a university, four

facilities within the campus were found to be in

violation of various RCRA requirements involving the

management of hazardous wastes and the preparation

of emergency procedures. EPA initiated an

administrative action against the university to assess

appropriate civil penalties. After negotiations with the

university, EPA agreed to sign a consent order to set

the cash penalty at $69,570 and allow the university to

perform three supplemental environmental projects

worth $279,205. One project was to promote pollution

prevention in the school’s laboratories; the second was

a hazardous chemical waste management training

program to promote environmental compliance; and

the third was the renovation of a building for use as a

lead poison resource center to promote public health

within a disadvantaged community.
Chapter 10: Enforcement of Hazardous Waste Regulations

III-131

and operator of the facility or to a past owner

and operator (if the facility is not currently in

operation or if the present owner and operator

can not be expected to have actual knowledge of

the potential release). Violation of §3013 orders

can result in penalties of up to $5,500 per day.

• §7003 orders — In any situation where an

imminent and substantial endangerment to

health or the environment is caused by the

handling of solid or hazardous wastes, EPA can

order any person contributing to the problem to

take steps to clean it up. This order can be used

against any contributing party, including past or

present generators, transporters, or owners or

operators of the site. Violation of §7003 orders

can result in penalties of up to $5,500 per day

(as discussed in Section III, Chapter 9).

In Fiscal Year (FY) 2001, EPA issued 3,228

administrative orders and field citations.

 Civil Actions

In addition to formal and informal

administrative actions, some statutory authorities

allow EPA to initiate civil actions, also known as

judicial actions. A civil action is a formal lawsuit,

filed in court, against a person who has either failed

to comply with a statutory or regulatory requirement

or administrative order, or against a person who has

contributed to a release of hazardous waste or

hazardous

constituents.

Civil

actions are

often

employed

in

situations

that present

repeated or

significant

violations or where there are serious environmental

concerns. Attorneys from the U.S. Department of

Justice (DOJ) prosecute RCRA civil cases for EPA,

while the state attorneys general assume this role for

the states. In FY 2001, EPA submitted 327 civil case

referrals to DOJ; $101.6 million in civil penalities

were assessed.

Civil actions are useful in several situations.

When the person being sued has not complied with a

previously issued administrative order, the courts

may impose penalties to force the handler to comply.

When a long-term solution to a problem is desired, a

civil action may be helpful to ensure proper

supervision of the handler’s actions. Civil actions

may be used when noncompliance with an

administrative order presents a danger to public

health or the environment. They also may provide

stronger deterrence to noncompliance than an

administrative order, because civil judicial cases can

be costly and lengthy.

RCRA provides EPA the authority for filing four

different types of civil actions:

• Compliance action — Under §3008(a), the

federal government can file suit to force a

person to comply with any applicable RCRA

regulations. In federal actions, the court can

impose a penalty of up to $27,500 per day per

violation for noncompliance.

• Corrective action — In a situation where there

has been a release of hazardous waste or

hazardous constituents from a facility, the

federal government can sue to require the

facility to correct the problem and take any

CIVIL ENFORCEMENT ACTIONS: A CASE STUDY

EPA filed a complaint with a U.S. District Court against

a repeat violator, alleging noncompliance with RCRA

hazardous waste storage standards. The violator,

subject to a prior enforcement action, had ignored a

final administrative order issued by EPA. That order

required immediate compliance with RCRA regulatory

obligations and the payment of $74,105 in civil

penalties. Since the issuance of the final order, the

violator not only failed to pay any of the assessed civil

penalty, but continued to violate the RCRA regulations.

EPA sued the violator for collection of the past due

amount under the administrative order, plus interest

and costs, and a further civil penalty for continuing and

additional violations. The federal judge in the case

ordered the violator to pay past administrative

penalties, and to pay an additional fine for violating the

past order.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-132

necessary response measures under §3008(h).

The court can also suspend or revoke a facility’s

interim status as a part of its order (as discussed

in Section III, Chapter 9).

• Monitoring and analysis — If EPA has issued a

monitoring and analysis order under §3013 of

RCRA and the person to whom the order was

issued fails to comply, the federal government

can sue to require compliance with the order. In

this type of case, the court can assess a penalty

of up to $5,500 per day of noncompliance with

these orders.

• Imminent and substantial endangerment — As

with a §7003 administrative order, when any

person has contributed or is contributing to an

imminent and substantial endangerment to

human health and the environment, the federal

government can sue the person to require action

to remove the hazard or remedy any problem. If

the Agency first issued an administrative order,

the court can also impose a penalty of up to

$5,500 for each day of noncompliance with

those orders (as discussed in Section III,

Chapter 9).

Frequently, several of the civil action authorities

will be used together in the same lawsuit. This is

particularly likely to happen where a handler has

been issued an administrative order for violating a

regulatory requirement, has ignored that order, and is

in continued noncompliance. In this circumstance, a

lawsuit can be filed that seeks penalties for violating

the regulations, penalties for violating the order, and

a judge’s order requiring future compliance with the

regulations and the administrative order.

 Criminal Actions

In addition to administrative or civil actions,

EPA may also enforce against a facility through a

criminal action, depending on the nature and

severity of the violation. Criminal actions are

usually reserved for only the most serious violations.

A criminal action initiated by the federal government

or a state can result in the imposition of fines or

imprisonment. In FY2001, EPA initiated 482 cases

and 372 defendants were charged. The guilty paid

nearly $95 million in fines and restitution, and were

sentenced to 256 in prison–an increase of more than

100 years from 2000. Seven acts identified in §3008

of RCRA are subject to criminal action and carry

criminal penalties. The penalties range from a fine

of up to $50,000 per day or a prison sentence of up

to five years, to a total fine up to $1 million and up

to 15 years in prison.

Six of the seven criminal acts carry a penalty of

up to $50,000 per day and up to five years in jail.

Stated briefly, these acts are knowingly:

• Transporting waste to a nonpermitted facility

• Treating, storing, or disposing of waste without

a permit or in violation of a material condition of

a permit or interim status standard

CRIMINAL ENFORCEMENT ACTIONS:

A CASE STUDY

A warehouse worker employed by a chemical

manufacturer was instructed by the president of the

company to dispose of unwanted hazardous

chemicals. The worker loaded the hazardous waste in

his pickup truck and dumped it in a dumpster located in

a low-income community. The president of the

chemical company later paid the worker $400 for

disposing of the chemicals. Upon discovery of the

hazardous waste, the residents of three nearby

apartment buildings had to be evacuated. The

company president was sentenced by a U.S. District

Court to five years probation, 200 hours of community

service, and more than $5,000 restitution for the

unlawful disposal of hazardous waste. The warehouse

worker was sentenced to five years probation, six

months of home detention, and more than $5,000 in

restitution. As part of the plea agreement, the

company was forced to pay $43,984 in restitution.than

$5,000 in restitution. As part of the plea agreement,

the company was forced to pay $43,984 in restitution.

In a major multi-statute enforcement case, an

international business agreed to resolve charges that it

violated clean air, clean water and hazardous waste

laws at its Mississippi facility under a civil settlement

and criminal plea agreement with EPA. This company

paid a $20 million penalty and will spend up to $16

million on projects to enhance the environment.
Chapter 10: Enforcement of Hazardous Waste Regulations

III-133

• Omitting important information from, or making

a false statement in a label, manifest, report,

permit, or interim status standard

• Generating, storing, treating, or disposing of

waste without complying with RCRA’s

recordkeeping and reporting requirements

• Transporting waste without a manifest

• Exporting a waste without the consent of the

receiving country.

The seventh criminal act is the knowing

transportation, treatment, storage, disposal, or export

of any hazardous waste in such a way that another

person is placed in imminent danger of death or

serious bodily injury. This act carries a possible

penalty of up to $250,000 or 15 years in prison for

an individual, or a $1 million fine for a corporation.

CIVIL PENALTY POLICY

EPA’s Civil Penalty Policy is designed to

provide guidance and consistency in assessing

noncriminal penalty amounts for both administrative

actions and in settlements of civil judicial

enforcement actions. The policy serves many

purposes, including ensuring that:

• Penalties are assessed in a fair and consistent

manner

• Penalties are appropriate for the seriousness of

the violation

• Economic incentives for noncompliance are

eliminated

• Penalties are sufficient to deter persons from

committing RCRA violations

• Compliance is expeditiously achieved and

maintained.

EPA’s penalty policy utilizes a calculation

system to determine the amount of a penalty, based

on four components. These components include:

1) the gravity (i.e., severity) of the particular

violation; 2) the duration of the violation; 3) the

economic benefit

gained through

noncompliance; and 4)

any site-specific

adjustments (see

Figure III-36).

One type of sitespecific adjustment

that provides EPA with flexibility in assessing

penalties is called a supplemental environmental

project (SEP). OECA issued its Final EPA

Supplemental Environmental Projects Policy in

1998. These are environmentally beneficial projects

which a defendant or respondent agrees to undertake

in the settlement of a civil or administrative

enforcement action, but which the defendant is not

otherwise legally required to perform. For example,

a violator may agree to restore and protect a wetland

or an endangered species habitat. In appropriate

circumstances, EPA may adjust the final settlement

penalty for a violator who agrees to perform a

project so that it is lower compared to that of a

violator who does not agree to perform such a

project.

ENFORCEMENT AT FEDERAL

FACILITIES

In the past, federal facilities have been subject to

the RCRA regulations, but not to civil fines or

penalties. This limited waiver of sovereign

immunity made enforcement at federal facilities less

effective. In 1992, however, Congress passed the

Federal Facilities Compliance Act, which expressly

Figure III-36: Civil Penalty Calculation

Gravity + + / - Adjustments = Penalty Economic

Benefit
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-134

waived sovereign immunity against civil fines and

penalties and clarified that EPA has the authority to

issue administrative enforcement orders against a

federal department or agency in the same manner

and under the same circumstances as an action taken

against another person. No EPA issued

administrative order becomes final until the federal

department or agency has had the opportunity to

confer with the EPA Administrator.

Additional information about enforcement at

federal facilities can be found at www.epa.gov/

compliance/about/offices/ffeo.html.

COMPLIANCE ASSISTANCE AND

INCENTIVES

Over the past few years, EPA has issued

numerous policies to provide compliance assistance

and incentives to the regulated community. By

helping businesses understand the regulations, and

by providing certain incentives for compliance, EPA

hopes to move closer to its goal of ensuring

compliance with all RCRA requirements. Two

policies in achieving this goal are the Final Policy

on Compliance Incentives for Small Businesses and

Incentives for Self-Policing: Discovery, Disclosure,

Correction and Prevention of Violations (also known

as the EPA Audit Policy). Additionally, the Agency

has developed audit protocols and sector notebooks

to assist businesses.

 Small Business Compliance

Incentives and Assistance

The Final Policy on Compliance Incentives for

Small Businesses is intended to promote

environmental compliance among small businesses

by providing incentives to participate in compliance

assistance programs, conduct audits, and promptly

correct violations. A small business is defined as a

person, corporation, partnership, or other entity who

employs 100 or fewer individuals, across all

facilities and operations owned by the entity. The

policy sets guidelines for EPA and the states on

reducing or waiving penalties for small businesses

that make good faith efforts to correct violations.

Under this policy, EPA may eliminate or

mitigate its settlement penalties based on certain

criteria. The small business needs to make a good

faith effort to comply with applicable environmental

requirements by either detecting a violation during

on-site compliance assistance from a government or

government-supported program, or by conducting an

internal audit and promptly disclosing in writing all

violations discovered as part of the audit. The

violation should also be the first for the small

business; this policy does not apply to businesses

that have been subject to warning letters or any other

type of enforcement action. The small business

needs to also correct the violation within the time

period allowed, which in most cases is 180 days.

For the policy to apply, the violation also can neither

be one that has caused actual serious harm to human

health or the environment, nor one that involves

criminal conduct.

To assist businesses in complying with the

regulations, OECA, in conjunction with industry,

academic institutions, environmental groups, and

other agencies, has opened compliance assistance

centers. These centers provide assistance to small

businesses, in addition to providing industry-specific

information to state and local government officials.

The compliance centers serve members of industries

such as printing, metal finishing, automotive

services and repair, and agriculture.

 Self-Audit Policy

EPA's policy regarding Incentives for SelfPolicing: Discovery, Disclosure, Correction and

Prevention of Violations encourages regulated

entities to voluntarily discover, disclose, and correct

violations of environmental requirements. This

policy is designed not only to encourage greater

compliance with the laws, but also to achieve

maximum compliance through active efforts by the

regulated community.

During FY2001, EPA took 51 enforcement actions

against federal facilities, an increase of five from

FY2000, for violations of numerous federal

environmental statutes.
Chapter 10: Enforcement of Hazardous Waste Regulations

III-135

The Agency provides incentives, such as

eliminating or reducing the gravity component of

civil penalties by 75 percent, for companies that

conduct voluntary audits. EPA also may choose not

to recommend criminal prosecution of a regulated

entity based on voluntary disclosure of violations

that are discovered through audits and disclosed to

the government before an investigation occurs.

The policy has certain limitations. As with the

small business policy, companies may not be able to

gain relief under this policy for repeated violations,

violations that present a serious or imminent harm to

human health or the environment, or violations that

involve criminal activity. Also, the violation should

be discovered through an environmental audit or

through a documented, systematic procedure which

reflects the company’s due diligence in preventing,

detecting, and correcting violations. To receive the

penalty mitigation, the regulated entity should

correct the violation within 60 days, unless written

notice is provided indicating a longer time frame,

and needs to certify in writing that the violations

have been corrected. Finally, the regulated entity

needs to take steps to prevent a recurrence of the

violation. Thus far, over 318 companies have

disclosed and corrected violations under the audit

policy at more than 1,668 facilities. The rates of

disclosing companies and corrected violations under

the policy have increased every year since its

effective date.

Additional information about the audit policy

can be found at www.epa.gov/compliance/

incentives/auditing/index.html.

 Audit Protocols

EPA has developed audit protocols to assist and

encourage businesses and organizations to perform

environmental audits and disclose violations in

accordance with EPA’s audit policy. The audit

protocols are intended to promote consistency

among regulated entities when conducting

environmental audits and to ensure that audits are

conducted in a thorough and comprehensive manner.

EPA has developed audit protocols for the following

RCRA facilities:

• Hazardous waste generators

• Hazardous waste TSDFs

• Used oil and universal waste generators

• Hazardous waste storage tanks

• Federal facilities

• Subtitle D facilities.

 Sector Notebooks

EPA has developed tools to enhance compliance

with environmental laws on an industry by industry

basis. Sector Notebooks are industry sector profiles,

which help owners and operators of regulated

industries understand their regulatory obligations

through comprehensive plain-English guides. These

Notebooks are available on the Internet at

www.epa.gov/compliance/resources/publications/

assistance/sectors/notebooks/index.html.

AGENCY FUNCTIONS

Responsibility for the various components that

make up the RCRA enforcement program is divided

among different EPA Headquarters offices, the EPA

Regions, and state agencies. EPA Headquarters is

responsible for setting nationwide policy, monitoring

regional and state activities, and providing technical

support. The EPA Regions take primary federal

responsibility for performing inspections, issuing

administrative orders, preparing civil actions,

monitoring compliance with administrative and

judicial orders, and providing support to DOJ for

ongoing lawsuits. As with many other aspects of the

RCRA program, responsibility for enforcement is

largely decentralized. Authorized states take

primary responsibility for enforcement in close

cooperation with their respective EPA Region. EPA,

however, retains its authority to take enforcement

actions in authorized states if the state fails to do so,

does not obtain acceptable results, or requests EPA

assistance.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-136

SUMMARY

There are three essential elements to RCRA’s

enforcement program: compliance monitoring,

enforcement actions, and compliance assistance and

incentives.

Compliance monitoring is used to determine a

handler’s level of compliance with RCRA’s

regulatory requirements. The primary method of

collecting compliance monitoring data is through an

inspection.

Either EPA or an authorized state may lead

inspections. Inspections must be conducted annually

at all federal- or state-operated facilities and at least

once every two years at each TSDF. The six types of

inspections conducted under the RCRA program are:

• Compliance evaluation inspection

• Case development inspection

• Comprehensive ground water monitoring

evaluation

• Compliance sampling inspection

• Operations and maintenance inspection

• Laboratory audit.

The primary goal of enforcement actions is to

bring facilities into compliance and ensure future

compliance. The enforcement options available

under RCRA are:

• Administrative actions, including informal and

formal actions

• Civil actions

• Criminal actions.

EPA uses the guidelines in the Civil Penalty

Policy for assessing penalty amounts and uses the

Final EPA Supplemental Environmental Projects

Policy to allow for flexibility in assessing penalties.

Enforcement of RCRA at federal facilities is

now similar to enforcement at TSDFs, as a result of

the Federal Facility Compliance Act of 1992.

To achieve greater compliance, EPA also offers

compliance assistance through numerous policies,

including Final Policy on Compliance Incentives for

Small Businesses and Incentives for Self-Policing:

Discovery, Disclosure, Correction and Prevention of

Violations.

The responsibility for the various enforcement

actions is divided among different EPA Headquarters

offices, EPA Regions, and authorized state agencies.

ADDITIONAL RESOURCES

Additional information about RCRA

enforcement can be found at www.epa.gov/

compliance.

More information about SEPs is available at

www.epa.gov/compliance/planning/data/multimedia/

seps/sep.html.
III-137

In this chapter...

Overview........................................................... III-137

Developing a State Hazardous Waste

Program ............................................................ III-137

- Final Authorization ......................................... III-138

- Interim Authorization ..................................... III-140

Review of the Proposed State Program ........... III-140

Revising Authorized State Programs ................ III-141

- Withdrawing State Program Authorization .... III-141

- Transferring Program Responsibility Back to

EPA............................................................... III-142

Grants and Oversight ....................................... III-142

- State Grants .................................................. III-142

- Priority Setting ............................................... III-142

- State Oversight ............................................. III-142

Information Management ................................. III-142

- RCRAInfo ...................................................... III-143

- State Authorization Tracking System ............ III-143

Summary .......................................................... III-143

OVERVIEW

When RCRA was written, it was Congress’

intent for the states to assume primary responsibility

for implementing the hazardous waste regulations,

with oversight from the federal government.

Congress felt the states’ familiarity with the

regulated community, and state and local needs

would allow them to administer the hazardous waste

program in the most effective manner.

In order for a state to assume the regulatory lead

as the implementing agency, it must be authorized

by EPA to do so. RCRA requires authorization to

ensure state programs are at least equivalent to and

consistent with the federal rules. Through state

authorization, EPA establishes minimum federal

standards to prevent overlapping or duplicative state

regulatory programs. A state that has received final

authorization, known as an authorized state,

implements and enforces its hazardous waste

regulations. Authorized state regulations act “in lieu

of” federal regulations.

DEVELOPING A STATE

HAZARDOUS WASTE PROGRAM

Under RCRA, as enacted in 1976, states had

two options for assuming the responsibility to

administer the RCRA Subtitle C program: final or

interim authorization.

CHAPTER 11

AUTHORIZING STATES TO IMPLEMENT RCRA
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-138

 Final Authorization

For a state to receive final authorization, it

must be fully equivalent to, no less stringent than,

and consistent with the federal program. However,

states may impose requirements that are more

stringent or broader in scope than the federal

requirements. Some examples of rules that are more

stringent are the decision by some states to not

recognize the CESQG exemption, or to require

annual (rather than biennial) reports. An example of

a rule that is broader in scope is the regulation of

antifreeze as a listed waste in some states. In

addition, the state’s program must provide adequate

enforcement authority to carry out its provisions,

provide for public notice and hearing in the

permitting process, and provide for public

availability of information in “substantially the same

manner and to the same degree” as the federal

program.

As an initial step toward obtaining final

authorization, a state typically adopts the federal

rules in some manner. Adopting the federal

program means either incorporating federal rules

into the state’s rules, or creating state rules that are

equivalent to federal rules. Many states simply

incorporate the federal rules by reference (this is

known as incorporation by reference). This is

when the regulatory language in a state’s regulations

actually cites, or refers to, the federal regulations. A

state may also choose to create an analogous set of

state regulations through the state legislative

process. Even though a state may have adopted the

federal program and its hazardous waste program is

similar or identical to the federal program, it still

does not have primacy for implementing and

enforcing the hazardous waste regulations. To

assume this role, the state must first be granted final

authorization. As of June 2002, all states, with the

exception of Alaska and Iowa, are authorized to

implement the RCRA hazardous waste program.

Any state that seeks final authorization for its

hazardous waste program must submit an

application to the EPA Administrator containing the

following elements:

• A letter from the governor requesting program

authorization

• A complete description of the state hazardous

waste program

• An attorney general’s statement

• A memorandum of agreement (MOA)

• Copies of all applicable state statutes and

regulations, including those governing state

administrative procedures

• Documentation of public participation activities.

Governor’s Letter

This is simply a letter, signed by the governor,

formally requesting the EPA Administrator to

authorize the state’s hazardous waste program which

will be implemented in lieu of the federal program.

Program Description

The program description describes how the state

intends to administer the hazardous waste program

in place of the federal program. It includes the

following:

• A narrative description of the scope, structure,

coverage, and processes of the state program

• A description of the state agency or agencies

responsible for running the program, including a

description of state-level staff who will carry out

the program

• A description of applicable state procedures,

including permitting procedures and any state

administrative or judicial review procedures

• A description of the state’s manifest tracking

system

ADOPTING FEDERAL REGULATIONS

As an initial step toward obtaining final authorization, a

state typically adopts the federal rules in some

manner. Adopting the federal program means either

incorporating federal rules into the state’s rules, or

creating state rules that are equivalent to federal rules.
Chapter 11: Authorizing States to Implement RCRA

III-139

• Copies of any forms used to administer the

program under state law

• A complete description of the state’s compliance

tracking and enforcement program.

In addition, the program description must

include estimates of:

• Costs involved in running the program and an

itemization of the sources and amounts of

funding available to support the program’s

operation

• The number of generators, transporters, and onsite and off-site disposal facilities (along with a

brief description of the types of facilities and an

indication of the permit status of these facilities)

• The annual quantities of hazardous waste

generated within the state, transported into and

out of the state, and stored, treated, or disposed

of within the state (if available).

If the state chooses to develop a program that is

more stringent or broader in scope (or both) than the

one required by federal law, the program description

should address those parts of the program that go

above and beyond what is required under RCRA

Subtitle C.

Attorney General’s Statement

The attorney general’s statement identifies the

legal authorities — statutes, regulations, and where

appropriate, case law — upon which the state is

relying to demonstrate equivalence with the federal

program. The statement must include citations to

specific statutes, administrative regulations, and

judicial decisions which demonstrate adequate

authority. When differences from federal authorities

exist in the state’s program, the statement provides

an explanation. The statement must be signed by

the attorney general or an independent legal counsel

authorized to represent the state agency in court.

State statutes and regulations cited in the attorney

general’s statement must be lawfully adopted and

fully effective at the time the program is authorized.

Memorandum of Agreement

Although a state with an authorized program

assumes primary responsibility for administering

Subtitle C hazardous waste regulations, EPA still

retains enforcement authority and oversight

responsibilities. In these instances, since the

authorized state and EPA both possess regulatory

authority to administer the regulations, there is a

potential for problems or conflicts, such as dual

permitting or dual enforcement of the regulations.

The memorandum of agreement between the state

Director and the EPA Regional Administrator

outlines the nature of these responsibilities and

oversight powers, and defines the level of

coordination between the state and the EPA in

implementing the program. While each MOA will

contain provisions unique to each individual state’s

program, several provisions are common to all

MOAs. These include provisions for:

• Establishing state procedures for assigning EPA

identification numbers

• Specifying the frequency and content of reports

that the state must submit to EPA

• Coordinating compliance monitoring and

enforcement activities between the state and

EPA

SAMPLE MEMORANDUM OF AGREEMENT

This memorandum of agreement (hereinafter

“Agreement”) establishes policies, responsibilities, and

procedures pursuant to 40 CFR §271.8 for the State of

_______ Hazardous Waste Program (hereinafter

“State Program”) authorized under Section 3006 of the

Resource Conservation and Recovery Act (hereinafter

“RCRA” or “the Act”) of 1976 (Public Law 94-580, 42

USC §6901 et seq.) and the United States

Environmental Protection Agency (hereinafter EPA)

Regional Office for Region _____. This Agreement

further sets forth the manner in which the State and

EPA will coordinate in the State’s administration of the

State program.
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-140

• Allowing EPA to conduct compliance

inspections of the regulated community in the

authorized state

• Joint processing of permits for those facilities

that require a permit from both the state and

EPA

• Specifying the types of permit applications that

will be sent to the EPA Regional Administrator

for review and comment

• Transferring permitting responsibilities upon

authorization.

State Statutes and Regulations

The state must submit copies of its statutes and

regulations that are expected to act in lieu of the

federal RCRA regulations. Where states adopt the

federal regulations by reference, a document may be

included outlining where in the state rules the

federal rules are incorporated.

Documentation of Public Participation

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 the Administrator, a state must have

given public notice of its intent to apply for

authorization. Public notice must take the form of

publishing the announcement in major newspapers,

sending information to individuals on the state

agency mailing list, and allowing for a 30-day

comment period. Proof of public participation may

include copies of comments submitted by the public

during the comment period, and transcripts,

recordings, or summaries of any public hearings

concerning state authorization.

 Interim Authorization

Some states are not able to receive final

authorization immediately because their programs

do not meet the minimum federal requirements. As

a result, these states can obtain interim

authorization. Interim authorization is a temporary

mechanism that is intended to promote continued

state participation in hazardous waste management

while encouraging states to develop programs that

are fully equivalent to the federal program and that

will qualify for final authorization. A state may

receive interim authorization if its hazardous waste

program is substantially equivalent to the federal

program. Interim authorization is intended to allow

a state with its own hazardous waste program in

place to continue implementing its current program

until final authorization can be achieved. Under

RCRA, interim authorization expired on January 31,

1986. HSWA introduced a new interim

authorization period for any requirement

promulgated pursuant to HSWA authority. HSWA

interim authorization expires January 1, 2003, except

for the January 22, 2002, CAMU amendments rule.

REVIEW OF THE PROPOSED

STATE PROGRAM

Once the state has submitted a complete

application for final authorization to EPA, the EPA

Regional Administrator determines whether or not

the state’s program should be authorized.

The EPA Regional Administrator makes this

determination according to the following steps:

• Tentative determination — The EPA Regional

Administrator must tentatively approve or

disapprove the state’s application. The tentative

determination is published in the Federal

Register.

• Public comment — The public is given an

opportunity to comment on the state’s

application and the EPA Regional

Administrator’s tentative determination. The

Agency places a newspaper notice to inform the

public of this opportunity, and a public hearing

INTERIM AUTHORIZATION

Interim authorization is a temporary mechanism that is

intended to promote continued state participation in

hazardous waste management while encouraging

states to develop programs that are fully equivalent to

the federal program and that will qualify for final

authorization. A state may receive interim

authorization if its hazardous waste program is

substantially equivalent to the federal program.
Chapter 11: Authorizing States to Implement RCRA

III-141

will be held after the notice of the tentative

determination is published in the Federal

Register.

• Final determination — After the notice of the

tentative determination is published in the

Federal Register, the EPA Regional

Administrator must decide whether or not to

authorize the state’s program, taking into

account all comments submitted. This final

determination is then published in the Federal

Register.

REVISING AUTHORIZED STATE

PROGRAMS

Once a state has gained final authorization, it

must continually amend and revise its program to

maintain its authorized status. As RCRA continues

to evolve through new federal rulemakings, an

authorized state is required to revise its program to

reflect the changes in the federal program. An

authorized state may also have to revise its program

in order to incorporate any state statutory or

regulatory changes that affect the state’s hazardous

waste program. Most of the authorization activity

now involves revisions to authorized state programs

rather than the authorization of new states.

All program revisions may be initiated by either

EPA or the authorized state. To revise its authorized

program, a state must submit copies of its

regulations and may submit a modified program

description, attorney general’s statement, MOA, or

other documents deemed necessary by EPA. The

EPA Administrator reviews the state’s proposed

modifications applying the same standards used to

review the state’s initial program application. The

state’s program revisions are effective once

approved by EPA. Notice of all state program

revisions are then published in the Federal Register.

A state with final authorization must modify its

program on a yearly basis to reflect changes to the

federal program resulting from the promulgation of

new rules. New federal rules are grouped into

annual clusters, and a state revises its program by

adopting and becoming authorized for the entire

cluster. A cluster begins on July 1 of each year and

ends on June 30 of the following year. By July 1 of

each year, an authorized state must adopt the cluster,

which includes all changes to the federal program,

that occurred during the 12 months preceding the

previous July 1 (e.g., states must modify their

programs by July 1, 2003, to reflect all changes

made between July 1, 2001 and June 30, 2002). The

deadlines for program modifications may also be

extended for one year if state statutory amendments

are necessary.

 Withdrawing State Program

Authorization

Authorized state programs are continually

subject to review. If the EPA Administrator

determines that a state’s authorized program no

longer complies with the appropriate regulatory

requirements and the state fails to amend its

program accordingly, authorization may be

withdrawn. An authorized state’s program may be

considered out of compliance for many reasons.

One reason could be failure to promulgate or enact

required regulations, leaving the state without the

legal authority to implement or enforce its program.

Also, the state legislature could limit or strike down

the state’s authority to enforce its program. A state

could also be out of compliance by failing to issue

required permits, or by continually issuing bad

permits. If an authorized state fails to enforce its

authorized program properly, does not act on

violations, fails to assess proper penalties or fines, or

fails to inspect and monitor properly, it may also be

considered out of compliance. Finally, if the state

fails to comply with the requirements of the MOA,

the EPA Administrator may determine the state is

out of compliance and may begin program

withdrawal procedures. If program authorization is

withdrawn, responsibility for administering and

enforcing RCRA Subtitle C reverts back to EPA.

Although EPA can withdraw hazardous waste

program authorization for a state that fails to enforce

its authorized program properly or take timely and

appropriate action, the Agency can take other action

without officially withdrawing authorization. In

such instances, EPA may take independent

enforcement action by overfiling, or enforcing a

provision for which a particular state has
Section III: Managing Hazardous Waste – RCRA Subtitle C

III-142

authorization. EPA may also overfile if the state

requests EPA to do so and provides justification

based on unique, case-specific circumstances, or if a

case could establish a legal precedent. In order to

overfile, EPA must notify the state 30 days prior to

issuing a compliance order or starting a civil action

within that state.

 Transferring Program Responsibility

Back to EPA

A state with an authorized program may

voluntarily transfer the program back to EPA. To

do this, the state must give the EPA Administrator

180 days notice and submit a plan for the orderly

transfer to EPA of all relevant program information

necessary for administering the program (e.g.,

permits and permit files, compliance records, permit

applications, reports).

GRANTS AND OVERSIGHT

While authorized states bear the primary

responsibility for implementing the RCRA Subtitle

C program, federal EPA still plays a role by offering

financial assistance to states to help them develop

and implement their hazardous waste programs,

establishing broad national priorities, and ensuring

that states properly carry out the RCRA program.

 State Grants

EPA offers grants to states to assist them in

developing or implementing authorized hazardous

waste management programs. Each EPA Regional

Office receives an allotment based upon multiple

factors, such as population and the amounts and

types of hazardous waste generated in the EPA

Region. States then submit proposed work plans

that outline planned activities in the upcoming year,

including permitting, enforcement, and program

management. EPA Regions then negotiate with

each state over the specific work to be accomplished

with these grant funds.

 Priority Setting

EPA also sets RCRA national goals and priority

program activities on an annual basis. Each year,

EPA identifies the national priorities for

implementing all of its programs, including the

RCRA Subtitle C and D programs. These priorities

form the basis for EPA Regional and state workload

negotiations for the upcoming year.

 State Oversight

Ensuring that states properly implement their

hazardous waste management programs is also an

important EPA responsibility. As a result, EPA

Regional staff have oversight responsibilities to:

• Promote national consistency in RCRA

implementation

• Encourage coordination and agreement between

EPA and states on technical and management

issues

• Ensure proper enforcement by the state

• Ensure appropriate expenditure of federal grant

funds.

INFORMATION MANAGEMENT

Several RCRA provisions require the regulated

community to report hazardous waste management

information to EPA and states. For example,

biennial reporting provisions require large quantity

generators and TSDFs to submit waste management

information to EPA by March 1 of every evennumbered year. EPA and states, in turn, collect and

track such information to ensure that the hazardous

waste program is adequately managed at the EPA

Headquarters, EPA Regional, and state levels, and to

provide accurate and up-to-date information to both

Congress and the general public. In order to achieve

this goal, EPA compiles such data in the RCRAInfo
Chapter 11: Authorizing States to Implement RCRA

III-143

database. EPA also maintains the State

Authorization Tracking System (StATS), which it

uses to track whether states have been authorized to

implement or have adopted federal hazardous waste

rulemakings.

 RCRAInfo

In September

2000, EPA began

managing data

supporting the Subtitle C program in its information

system known as RCRAInfo. RCRAInfo

consolidated EPA’s former information systems,

RCRIS and BRS, into one national system.

RCRAInfo is a national program management and

inventory system of RCRA hazardous waste

handlers, including generators, transporters, and

TSDFs. The information system captures

indentification, regulatory compliance status and

cleanup activity data for all handlers, and tracks the

permit and closure status of TSDFs. Additionally,

RCRAInfo tracks state-collected data on the

generation and management of RCRA hazardous

waste from LQGs and TSDFs.

 State Authorization Tracking System

The State Authorization Tracking System

(StATS) is a tool used by EPA to chart the states that

have been authorized to implement the RCRA

hazardous waste program. By looking at StATS

reports, an individual can determine if a particular

state has been authorized to implement a specific

rule. The reports also list the Federal Register

citations for final authorization decisions for each

state and rule.

SUMMARY

Congress intended states to assume

responsibility for implementing RCRA, with

oversight from the federal government. In order for

a state to receive authorization to implement and

enforce the hazardous waste regulations in lieu of

federal EPA, the state must demonstrate that its

program:

• Is equivalent to, no less stringent than, and

consistent with the federal program (state

requirements may be more stringent or broader

in scope)

• Provides adequate enforcement authority

• Provides for public availability of information in

substantially the same manner and to the same

degree as the federal program.

Any state that seeks final authorization for its

hazardous waste program must submit an application

to the EPA Administrator containing the following

elements:

• A letter from the governor requesting program

authorization

• A complete program description

• An attorney general’s statement

• An MOA

• Copies of all applicable state statutes and

regulations

• Documentation of public participation activities.

Once a state’s program has been authorized, it

must revise its program, on an annual basis, to

reflect both changes in the federal program, and

state statutory or regulatory changes. State

programs are also subject to review by EPA, and a

state’s authorized status can be withdrawn if the

program does not comply with appropriate

regulatory requirements. Without officially

withdrawing authorization, EPA may take

independent enforcement action by overfiling, or

enforcing a provision for which a particular state has

authorization. States may also choose to transfer

program responsibility back to EPA.

EPA works closely with states in implementing

the hazardous waste management program by

offering grants to states, setting national goals and

priorities, and providing program oversight.

EPA Headquarters, EPA Regions, and states

collect, compile, and track information on the

RCRA hazardous waste program through

RCRAInfo.
IV-1

In this section...

Overview........................................................... IV-1

Scope of the Underground Storage Tank

Problem ............................................................ IV-2

The Underground Storage Tank Regulatory

Program ............................................................ IV-3

- Program Scope ............................................. IV-3

- Notification..................................................... IV-4

- Technical Requirements ................................ IV-4

Lender Liability ................................................. IV-13

State Underground Storage Tank Programs .... IV-14

Inspections and Enforcement ........................... IV-14

Leaking Underground Storage Tank Trust

Fund ................................................................. IV-15

USTfields for Abandoned Tanks ....................... IV-16

Summary .......................................................... IV-16

Additional Resources ....................................... IV-17

OVERVIEW

Across the United States, there are

approximately 700,000 federally regulated

underground storage tanks in use that store

petroleum or hazardous substances. An UST system

is defined as a tank and any underground piping

connected to the tank that has at least 10 percent of

its combined volume underground. This definition

includes the tank, connected underground piping,

any underground ancillary equipment, such as valves

and pumps, and containment systems. Therefore,

aboveground tanks with extensive underground

piping may meet the definition of an UST. In order

for a tank to meet the definition of an UST it must

also contain a regulated substance.

SECTION IV

MANAGING UNDERGROUND STORAGE TANKS

RCRA SUBTITLE I

A regulated substance is any hazardous

substance, defined under CERCLA §101(14), and

petroleum. In other words, the federal UST

regulations apply only to USTs storing either

petroleum or hazardous substances. Underground

tanks holding nonhazardous substances, such as

water, are not covered by these regulations.

The vast majority of USTs store petroleum

products at retail establishments, such as gas

stations, and at petroleum refining facilities. Less

than three percent of USTs store hazardous

substances. Placing tanks underground minimizes

hazards and provides a convenient place to store

liquid materials while hiding unsightly equipment.

These tanks are found at a variety of locations,

including convenience stores, airports, service

stations, small and large manufacturing facilities,

and government facilities. USTs at these sites are

used primarily to store gasoline, diesel fuel, crude

oil, hazardous chemicals, and heating oil. Before the

regulations, many of these tanks were made of bare,

WHAT IS AN UST SYSTEM?

An UST System is defined as a tank and any

underground piping connected to the tank that has at

least 10 percent of its combined volume underground.

This definition includes the tank, connected

underground piping, any underground ancillary

equipment, such as valves and pumps, and

containment systems.

WHAT IS A REGULATED SUBSTANCE?

A regulated substance is defined as any hazardous

substance, defined under CERCLA §101(14), and

petroleum.
Section IV: Managing Underground Storage Tanks – RCRA Subtitle I

IV-2

unprotected steel, causing them to pose a substantial

threat to human health and the environment from

leaking due to faulty installation, corrosion, tank or

pipe rupture, or spills.

With over 50 percent of the U.S. population

relying on ground water as their primary source of

drinking water, Congress acted to protect this

resource in 1984 by adding Subtitle I to RCRA in

1984. Under this Congressional mandate, EPA was

required to develop a comprehensive regulatory

program for USTs storing petroleum or regulated

hazardous substances. In 1988, EPA published

regulations that require owners and operators of new

tanks and tanks already in the ground to prevent,

detect, and clean up releases. In 1986, Congress

amended Subtitle I with the passage of the

Superfund Amendments Reauthorization Act

(SARA) by creating a fund for corrective action for

petroleum releases from USTs; this fund is referred

to as the Leaking Underground Storage Tank

(LUST) Trust Fund.

This section describes the UST program

regulatory requirements, the role of the states in

implementing the program, and the LUST Trust

Fund.

SCOPE OF THE UNDERGROUND

STORAGE TANK PROBLEM

Of the approximately 700,000 tanks currently in

use and subject to the federal regulations, an

estimated 38 percent are constructed of fiberglass,

32 percent are constructed of new steel, and 30

percent have been upgraded with cathodic protection

and/or lining. Nevertheless, approximately 6,500

releases were reported between September 2000 and

September 2001, allowing contaminants such as

benzene and methyl tertiary-butyl ether (MTBE), to

seep into the ground and cause potential harm to the

environment. As of September 2001, since the

beginning of the UST program, over 418,000 UST

releases have been confirmed. EPA estimates that

approximately 60 percent or more of these releases

have affected groundwater. Consquently, leaking

USTs pose a potentially widespread threat to our

nation’s groundwater.

Releases of regulated substances into the

environment are generally attributed to corrosion,

faulty installation, and spills and overfills.

Corrosion occurs when bare metal, soil, and moist

conditions combine to produce an underground

electric current that destroys hard metal. Over time,

corrosion can create holes in the body of the tank

and piping, increasing the likelihood of leaks into

the soil. The speed and severity of corrosion varies

depending on site-specific factors.

Improper installation is also a typical cause of

UST failure. Proper installation is crucial to ensure

the structural integrity of both the tank and its

piping. Proper installation procedures include

excavating the soil, siting where the tank system

should be located, determining burial depth,

assembling the tank system, backfilling around the

tank system, and grading the surface soil (i.e.,

evening out surface where the soil was replaced).

Installation problems generally result from careless

installation practices that do not follow standard

industry codes and procedures. For example,

mishandling of the tank during installation can cause

cracks in fiberglass-reinforced plastic tanks or

damage the protective coating on steel tanks, leading

to corrosion.

Finally, spills and overfills, usually caused by

human error during product transfers, contribute to

tank leakage. Spills often occur when the tanks are

filled during routine product deliveries. Although

these spills are small, repeated releases of any size

can have substantial environmental impacts.

Overfills normally release much larger volumes than

spills. Overfills occur when tanks are filled beyond

their capacity and excess product is released.

RELEASES FROM USTS

6,500 new releases were reported between September

2000 and September 2001. Between the beginning of

the UST program and September 2001, over 418,000

UST releases have been confirmed. EPA estimates

that approximately 60 percent or more of these

releases have affected groundwater.
Section IV: Managing Underground Storage Tanks – RCRA Subtitle I

IV-3

Installation of spill and overfill protection, in

addition to following industry standards for correct

filling practices, help to prevent such releases from

occurring.

THE UNDERGROUND STORAGE

TANK REGULATORY PROGRAM

Congress, when developing RCRA Subtitle I,

chose to subject only about one-third of the total

number of UST systems that were in use when the

law was enacted to the UST program. The tanks that

were specifically exempted from the scope of the

regulations were selected by Congress because these

particular types of USTs were regulated under

federal, state, or local laws.

 Program Scope

While tanks that have at least 10 percent of their

combined volume underground and are used to store

petroleum and hazardous substances are subject to

the RCRA Subtitle I program, not all tanks meeting

this definition of an UST are required to comply

with the requirements. Congress specifically

excluded certain tanks from the definition,

including:

• Farm and residential tanks of 1,100 gallons or

less capacity holding motor fuel used for

noncommercial purposes

• Tanks storing heating oil used on the premises

where it is stored

• Tanks on or above the floor of underground

areas, such as basements or tunnels

• Septic tanks and systems for collecting

wastewater and storm water

• Flow-through process tanks (i.e., tanks that are

part of production processes and have a steady

flow of materials through the tank during

operation)

• Pipeline facilities

• Surface impoundments, pits, ponds, or lagoons

• Storm water or wastewater collection systems

• Liquid traps or associated gathering lines

directly related to oil or gas production and

gathering operations.

Upon examination of the UST universe, EPA

determined that there were additional tanks that

should not be subject to the federal regulatory

program due to their size, content, location, or

regulation under other programs. As a result, EPA

excluded the following tanks:

• UST systems holding hazardous wastes listed or

identified under RCRA Subtitle C, or a mixture

of such wastes and regulated substances

• Wastewater treatment tank systems that are part

of a wastewater treatment facility regulated

under CWA

• Equipment or machinery that contains regulated

substances for operational purposes, such as

hydraulic lift tanks and electrical equipment

tanks

• UST systems with a capacity of 110 gallons or

less

• UST systems that contain de minimis

concentrations of regulated substances

• Emergency spill or overflow containment UST

systems that are expeditiously emptied after use.

EPA also identified tanks that did not warrant

exclusion, but should not be subject to full
Section IV: Managing Underground Storage Tanks – RCRA Subtitle I

IV-4

regulation. As a result, EPA deferred certain tanks

from the requirements for design and installation,

operation, release detection, release reporting and

investigation, closure, and financial responsibility.

These deferred tanks include:

• Wastewater treatment tank systems

• UST systems containing radioactive material

regulated under AEA

• UST systems that are part of emergency

generator systems at nuclear power generation

facilities

• Airport hydrant fuel distribution systems

• UST systems with field-constructed tanks.

UST systems that store fuel solely for use by

emergency power generators are deferred from the

release detection requirements only.

In order to fully protect human health and the

environment, these deferred tanks are still subject to

release response and corrective action regulations to

ensure that any leaks from a deferred UST system

will be addressed and cleaned up. Additionally, all

deferred tanks are subject to an interim prohibition

which generally requires that such tanks installed

after May 8, 1985, comply with certain technical

requirements that provide basic protection of human

health and the environment.

 Notification

Because of the vast number of USTs already in

existence when Congress enacted RCRA Subtitle I,

EPA found that developing UST regulations and

classifying the number of USTs in the United States

was an intensive task. EPA’s first action in

responding to this mandate was to establish a

notification system allowing tracking of existing

USTs, as well as providing a mechanism to identify

when a new UST was brought into operation. As a

result, owners and operators of UST systems that

were in the ground on or after May 8, 1986, were

required to notify the state or local agency of the

tank’s existence, unless the tank was taken out of

operation on or before January 1, 1974. Any owner

and operator who brings an UST into use after May

8, 1986, must notify the designated state or local

agency of the existence of the tank system within 30

days of bringing the tank into use. In addition, any

person who sells a tank intended to be used as an

UST must inform the purchaser of the notification

requirement.

 Technical Requirements

In response to the scope of the UST problem and

Congress’ mandate, EPA issued technical

performance standards for all USTs and regulations

to require petroleum UST owners and operators to

have the financial means to pay for cleanups and to

compensate third parties. These standards, codified

in 40 CFR Part 280, encompass provisions for UST:

• Design, construction, and installation

• Operation

• Release detection

• Release reporting, investigation, and

confirmation

• Corrective action

• Closure

• Financial responsibility.
Section IV: Managing Underground Storage Tanks – RCRA Subtitle I

IV-5

New vs. Existing Underground Storage Tank

Systems

At the time EPA’s technical regulations for USTs

came into effect, many tanks were already being

used to store regulated substances. To accommodate

the thousands of USTs in existence at the time the

federal regulations were established, EPA built a

certain amount of flexibility into the UST program

to ensure that tanks already in use were covered by

the new program, yet not immediately subjected to

the new, potentially costly, design standards. To

address this issue, EPA made a distinction in the

UST regulations between new tanks and existing

tanks. New USTs are those that were installed or

that had commenced installation after December 22,

1988. These tanks are expected to be in compliance

with all of the technical standards upon installation.

Existing USTs are those that were in service or

for which installation had commenced, on or before

December 22, 1988. At the time the regulations

went into effect, approximately two million tanks

were considered existing. While EPA felt that these

tanks could pose the same threat as new tanks, and

thus should be subject to the same standards as new

tanks, the Agency granted a period during which the

existing tanks could come into compliance with the

regulations. This phase-in or upgrading period

expired December 22, 1998. At that time, existing

tanks must have met the performance standards for

new tanks, must have met the upgrading

requirements for existing tanks, or have been

properly closed.

While the standards for existing USTs are often

identical to those for new USTs, there are limited

circumstances where the standards for new USTs

would be impracticable for existing USTs to

implement immediately. This chapter will focus

primarily on the standards for new USTs, contrasting

them with the standards for existing USTs where

appropriate.

Design, Construction, and Installation

Proper installation is crucial to ensuring the

structural integrity of both the tank and its piping.

Therefore, owners and operators of tank systems

must certify on their UST notification form that the

tank system was installed in accordance with the

manufacturer’s instructions and in accordance with

practices developed by nationally recognized

associations, such as the Petroleum Equipment

Institute (PEI).

Tanks are also required to be designed and

constructed in such a way as to protect them from

corrosion. This can be accomplished by

constructing the tank of materials that do not

corrode, such as fiberglass-reinforced plastic, or

outfitting a steel tank with a thick layer of

noncorrodible material. A third option, known as

cathodic protection, uses sacrificial anodes or a

direct current source to protect steel by halting the

naturally occurring electrochemical process that

causes corrosion (see Figure IV-1). Piping that

routinely contains product, and that is in contact

with soils, must meet similar corrosion protection

standards.

Owners and operators of USTs must also ensure

that any substance stored in the UST does not react

in such a way that it threatens the integrity of the

tank. For this reason, the tank and piping must be

made of, or lined with, a material that is compatible

with the substance stored in the tank.

NEW VS. EXISTING TANKS

New tanks are those that are installed, or that have

commenced installation, after December 22, 1988.

These tanks are expected to be in compliance with all

of the technical standards upon installation. Existing

tanks are those that were in service, or for which had

commenced, on or before December 22, 1988.

Existing tanks had until December 22, 1998 to have

met the performance standards for new tanks, have

met the upgrading requirements for existing tanks, or

be taken out of service.
Section IV: Managing Underground Storage Tanks – RCRA Subtitle I

IV-6

In order to remain in service after December 22,

1998, existing tanks that are not constructed with

noncorrodible materials were required to install

corrosion protection as part of the upgrading

requirements. This could have been in the form of

cathodic protection, an interior lining of

noncorrodible material, or a combination of the two.

Corrosion protection in the form of cathodic

protection was also required for metal piping.

In addition to these design standards, tank

systems are subject to general requirements to

ensure proper operation and maintenance.

Operation

The general operating requirements provide

owners and operators with a set of standards to

ensure that routine daily operations are conducted

safely. Theses requirements are geared primarily

toward the prevention of spills, overfills, and

corrosion.

Spill and Overfill Protection

Spill and overfill protection requirements

include common-sense procedures, such as ensuring

that there is enough room in the tank to receive a

delivery of gasoline before the delivery is made, and

watching the entire delivery to prevent spilling or

overfilling. In addition, spills and overfills must be

eliminated or minimized by installing certain

equipment. For example, catchment basins can

contain small amounts of product that are spilled

when the delivery hose is disconnected from the fill

pipe. Overfill protection devices either shut off

delivery once the product has reached a certain level

in the tank, or sound an alarm that notifies the

delivery driver that the tank is almost full (see

Figure IV-2). As with design and installation

requirements, standards for product transfer are

based on standards developed by nationally

recognized associations.

All tank systems, both new and existing, are

subject to the general operating standards for spill

and overfill control. The only exception to these

Figure IV-2: Overfill Protection

An UST owner and operator can meet overfill protection

requirements by using an overfill protection device. Such

devices either shut off delivery once the product has reached

a certain level in the tank, or sound an alarm that notifies the

delivery driver that the tank is almost full. For example, an

automatic shut off device (or fill pipe device) has one or two

valves that are operated by a float mechanism. When the

product reaches a certain level in the tank (i.e., when the

float mechanism reaches a certain level), the device will shut

off the flow of product into the tank.

Shutoff Valve

Fill Pipe

Float

Figure IV-1: Cathodic Protection

UST corrosion is caused by an electric current that is created

when bare metal is placed in soil. Cathodic protection

prevents such corrosion. The above impressed current

system sends electric current from anodes, through the soil

to the UST system to protect the tank by overcoming the

corrosion-causing current normally flowing from the tank.

Rectifier

Tank

Current Path

Impressed

Current

Anode

Grade

Soil
Section IV: Managing Underground Storage Tanks – RCRA Subtitle I

IV-7

requirements is that USTs which never receive

product transfers of more than 25 gallons at a time,

do not have to meet the spill and overfill design

standards.

Corrosion Protection

Both new UST systems and existing UST

systems that have been upgraded with corrosion

protection must follow guidelines for the operation

and maintenance of the corrosion protection

equipment. The regulations require that corrosion

protection systems be properly operated and

maintained to ensure that no releases occur. In

addition, UST systems with cathodic protection must

be periodically inspected and tested to ensure that

the equipment is operating properly. Finally, the

owner and operator must keep records documenting

compliance with these operation, maintenance, and

inspection requirements.

Release Detection

EPA included release detection requirements in

the UST regulations to detect releases from leaking

tanks before they pose threats to or damage human

health and the environment. All new USTs are

required to have release detection (also referred to as

leak detection) for tanks and piping when they are

installed. Existing USTs were required to meet

release detection requirements for tanks and piping

no later than December 1993.

There is no single release detection system that

is best for all sites, nor is there a particular type of

release detection that is consistently the least

expensive. Identifying the best leak detection choice

for an UST depends on a number of factors,

including cost (both initial installation cost and longterm operation and maintenance cost), facility

configuration (such as the complexity of piping runs

and tank systems), ground water depth, soil type,

seasonal rainfall and temperature ranges, availability

of experienced installers, and other variables best

evaluated by professionals.

Based on these and other factors, petroleum

UST owners and operators can choose any of these

seven release detection methods (see Figure IV-3):

• Interstitial monitoring

• Automatic tank gauging systems

• Vapor monitoring

• Ground water monitoring

Figure IV-3: Release Detection Methods

UST owners and operators can provide release detection for their tanks using several different methods. These include secondary

containment with interstitial monitoring, automatic tank gauging, vapor monitoring, ground water monitoring, and SIR (not pictured).

In some cases, owners and operators can combine either inventory control or manual tank gauging with tank tightness testing.

Owners and operators must also provide release detection for piping, including automatic line leak detectors for pressurized piping.

Water Table

Inventory Control or

 Manual Tank Gauging

Water Table

Tank Tightness Testing

Inventory Probe for

Automatic Tank Gauging

Ground Water

Monitoring Well

Line Leak Detector

Vapor

Monitoring

Well

Secondary

Containment

with

Interstitial

Monitoring
Section IV: Managing Underground Storage Tanks – RCRA Subtitle I

IV-8

• Statistical inventory reconciliation (SIR)

• Manual tank gauging for small USTs

• Other methods meeting performance standards.

The federal UST program also includes different

release detection requirements for hazardous

substance tanks as well as for underground piping

for all USTs. Lastly, the federal regulations contain

recordkeeping provisions requiring owners and

operators to document compliance with the release

detection standards.

Interstitial monitoring involves the use of

secondary containment, such as a barrier, outer wall,

or liner around the UST or piping to prevent leaking

product from escaping into the environment.

Alternatively, tanks can be equipped with inner

bladders to provide secondary containment. If

product escapes from the inner tank or piping, it will

then be directed towards an interstitial monitor

located between the walls.

Automatic tank gauging systems use a probe in

the tank that is wired to a monitor to provide

information on product level and temperature.

These systems automatically calculate the changes in

product volume that can indicate a leaking tank.

Vapor monitoring measures product fumes in

the soil around the UST to check for leaks. This

method requires installation of carefully placed

monitoring wells. Owners and operators can

perform vapor monitoring on a periodic basis, or

continuously, using permanently installed

equipment.

Ground water monitoring senses the presence

of liquid product floating in ground water. This

method requires installation of monitoring wells at

strategic locations in the ground near the tank and

along the piping runs. To discover if leaked product

has reached ground water, owners and operators can

periodically check these wells by hand, or monitor

them continuously with permanently installed

equipment. This method cannot be used at sites

where ground water is more than 20 feet below the

surface, and may not be appropriate for soluble

materials, such as MTBE.

With statistical inventory reconciliation,

owners and operators use sophisticated computer

software to conduct a statistical analysis of

inventory, delivery, and dispensing data. These data

are then analyzed to determine if any product has

been released.

Owners and operators of USTs with a capacity

of 1,000 gallons or less can use manual tank

gauging as the sole method of release detection for

the life of the tank. Manual tank gauging requires

owners and operators to keep the tank undisturbed

for at least 36 hours each week, during which time

the contents of the tank are measured. At the end of

each week, owners and operators analyze the test

results to determine if the tank is leaking.

Any other release detection technology can be

used if it either (1) meets a performance standard of

detecting a leak of 0.2 gallons per hour with a

probability of detection of at least 95 percent and a

probability of false alarm of no more than five

percent, or (2) is approved by the implementing

agency after demonstrating it is capable of detecting

a release as effectively as one of the six stated

methods.

These release detection methods are monthly

monitoring methods, and eventually, all UST owners

and operators will have to use at least one of them.

It may, in some cases, require a significant

investment of time and resources for owners and

operators to get these release detection methods in

place. In the interim, UST owners and operators can

combine either inventory control or manual tank

gauging with tank tightness testing. The length of

time that owners and operators can use these

temporary methods depends on whether their UST

meets the standards for new or upgraded tanks, when

the UST was upgraded to meet corrosion protection

requirements and, in some cases, the size of the

tanks.

• Inventory control with tank tightness testing —

This method combines monthly inventory

control with periodic tank tightness testing.

Inventory control involves taking

measurements of tank contents, recording the

amount of product pumped each operating day

and reconciling these data at least once a month.
Section IV: Managing Underground Storage Tanks – RCRA Subtitle I

IV-9

Tank tightness testing describes a variety of

methods used to determine if a tank is leaking;

most of these methods involve monitoring

changes in product level or volume in a tank

over a period of several hours.

• Manual tank gauging with tank tightness testing

— Owners and operators of tanks with a

capacity of 2,000 gallons or less can temporarily

use monthly manual tank gauging with periodic

tank tightness testing.

Hazardous Substance USTs

All hazardous substance USTs, both new and

existing, must meet different release detection

requirements. Hazardous substance USTs must

employ secondary containment with interstitial

monitoring. By enclosing such tanks with a second

wall, leaks can be detected quickly and contained

before harming the environment.

Piping

Underground piping for all USTs (both new and

existing petroleum and hazardous substance tanks)

that routinely contains a regulated substance is also

subject to release detection standards. Pressurized

piping requires automatic line leak detectors and an

additional monitoring method, such as an annual line

tightness test or certain previously mentioned

monthly monitoring methods for tanks. Suction

piping may or may not require release detection,

depending on how such piping is designed. For

example, suction piping that has enough slope to

allow product to drain back into the tank does not

require release detection. However, suction piping

that is subject to release detection requirements must

use a periodic line tightness test or certain monthly

monitoring methods for tanks.

Recordkeeping

The release detection recordkeeping

requirements include maintaining results of any

sampling, testing, or monitoring, as well as

maintaining documentation of all calibration,

maintenance, and repair of release detection

equipment. These record retention provisions are

applicable to new and existing petroleum and

hazardous substance tanks and piping.

Release Reporting, Investigation, and

Confirmation

UST release detection requirements are intended

to prevent petroleum and hazardous substances from

leaking into the environment. Unfortunately, many

releases have already occurred and may occur in the

future. As a result, the UST regulations stipulate

procedures for investigating and confirming

suspected releases from petroleum and hazardous

substance USTs, and reporting such releases to the

implementing agency. All UST owners and

operators must be attentive to a variety of warning

signals that indicate an UST may be leaking. These

include evaluation of results of release detection

monitoring and testing, observation of any unusual

operating conditions at the pump (such as erratic or

overly slow product flow), and evidence of product

leakage into the environment (e.g., the presence of

petroleum in nearby surface water or wells). Upon

observing such warning signals, the owner and

operator must immediately report the suspected

release to the implementing agency. The owner and

operator must then determine if the suspected release

is an actual release by conducting tightness testing of

the entire UST system to determine a possible

source. The owner and operator must also measure

for the presence of contaminants in soil or ground

water, and determine the source of the release if such

contamination has been discovered.

If the results of tank tightness testing or the site

inspection (or both) indicate that no release has

occurred, then no further investigation is required.

If, however, the results of these investigations

indicate that a release has occurred, the owner and

operator must respond by immediately stopping the

release and repairing or replacing any damaged

equipment. If an owner and operator chooses to

repair rather than replace a damaged pipe or tank,

EPA requires the repair person to follow standard

industry codes, such as codes established by the

American Petroleum Institute (API), for correct

repair practices. In addition, the owner and operator

must take steps to clean up the release through the

UST corrective action program.
Section IV: Managing Underground Storage Tanks – RCRA Subtitle I

IV-10

Corrective Action

Corrective action for UST systems is designed

to ensure that releases of regulated substances do not

threaten human health and the environment. While

corrective action procedures are comprised of a

series of steps, the exact action to be taken and the

level of response required vary depending on the

severity of the release and the nature of the

containment.

Response to confirmed releases consists of

short-term and longterm stages. The initial

stage of the response

consists of short-term

actions to stop and

contain the leak or spill

and steps to ensure that

the leak or spill poses no

immediate hazard to

human health and safety,

such as removing

explosive vapors and

other fire hazards. The

owner and operator

must also remove as

much product from the

UST system as

necessary to prevent any

further release; begin to

recover any free

(released) product; and

provide a report to the

implementing agency

that includes a

description of the initial actions taken, an assessment

of the extent of contamination, and a plan on how

they will clean up the release.

Based on data collected during the initial site

characterization, the implementing agency will

decide whether further action is warranted. Some

leaks and spills will require additional long-term

attention to correct the problem. In these cases, the

implementing agency will request a corrective action

plan from the owner and operator that describes how

they will clean up contaminated soil and ground

water. The implementing agency will then evaluate

the plan to determine if it will adequately protect

human health and the environment, taking into

account such factors as the type of substance

released, potential impacts on drinking water, and

other site-specific concerns. Once the corrective

action plan is approved, the owner and operator must

implement the plan and report the results of the

cleanup to the implementing agency.

One methodology that helps implementing

agencies address UST sites requiring corrective

action is risk-based decision-making (RBDM).

EPA encourages states to

incorporate RBDM into

the implementation of

their corrective action

programs. RBDM is a

process that uses risk and

exposure assessment

concepts to help UST

implementing agencies

establish enforcement

priorities. Because of the

vast number of leaking

USTs and the limited

financial and human

resources available to

implement corrective

action at these sites,

RBDM is an important

tool in expediting

assessments and cleanups

at contaminated sites. It is

also used to tailor the

cleanup response to the

level of risk posed by a

particular site. For

example, implementing agencies may use RBDM to

categorize or classify sites, to aid in establishing

cleanup goals, and to decide on the necessary level

of oversight.

Closure

If an UST is taken out of service for any period

of time, the owner and operator must close the UST

system according to certain procedures in order to

ensure adequate protection of human health and the

environment. Closure can be done on either a

temporary or permanent basis.
Section IV: Managing Underground Storage Tanks – RCRA Subtitle I

IV-11

Temporary Closure

If the owner and operator plan to bring the tank

system back into service at a later date (within a year

or other time period approved by the implementing

agency), they may close the tank temporarily.

Temporary closure requires the owner and operator

to continue to operate and maintain the corrosion

protection system and, if any product remains in the

tank, to maintain the leak detection system. During

temporary closure, the tank remains subject to

release response and corrective action requirements.

If the owner and operator take the UST out of

service for longer than three months, they must leave

the vent lines open and functioning, and cap and

secure all other lines attached to the tank. Provided

no extension has been granted by the implementing

agency, after 12 months in temporary closure, an

UST system must be permanently closed in

accordance with §§280.71 through 280.74.

Permanent Closure

If the owner and operator decide to permanently

discontinue using the tank altogether, they must

permanently close the UST system. Permanent

closure involves a number of steps designed to

ensure that the tank will pose no threats to human

health or the environment after it is closed. These

steps include notifying the implementing agency of

the intent to close the tank, assessing the tank and

surrounding area to determine if any releases have

occurred, initiating corrective action to clean up any

such releases, removing all liquids and accumulated

sludges from the tank, and either removing the tank

from the ground or filling it with an inert solid

material, such as concrete or sand (if state and local

regulations allow it).

Changes In Service

In some cases, an owner and operator may

decide to use a formerly regulated UST system to

store a nonregulated substance. This is considered a

change in service. Before making this change, the

owner and operator must notify the implementing

agency, empty and clean the tank, conduct a site

assessment to determine if a release has occurred,

and initiate corrective action if appropriate.

For both tank closures and changes in service,

the owner and operator must maintain results of the

site assessment for at least three years, or mail the

results to the implementing agency.

Financial Responsibility

When Congress amended RCRA Subtitle I in

1986, it recognized that UST corrective action could

be very expensive, and as a result, some UST

owners and operators might not be able to pay for

such cleanups. Similarly, Congress discovered that

releases from USTs had the potential both to inflict

severe damage on neighboring property and threaten

human health. In response to these concerns,

Congress directed EPA to establish UST financial

responsibility requirements to ensure that owners

and operators would have the financial resources to

pay for any necessary corrective action, as well as

compensate third parties for bodily injury and

property damage (known as third-party damages)

resulting from leaking USTs.

The UST financial responsibility regulations

apply only to petroleum UST owners and operators.

State and federally owned and operated USTs are

exempt from these requirements because it is

assumed that such entities already have the financial

resources to pay for corrective action and liability

expenses.

The UST financial responsibility requirements

require coverage in both per occurrence and annual

aggregate amounts.

Per Occurrence Coverage

Per occurrence means the amount of money

that must be available to pay for the costs from one

leak. These requirements are based on whether a

facility markets (i.e., sells) petroleum to the public

and the volume of petroleum handled at a facility.

All petroleum marketers, and facilities that handle an

average of 10,000 gallons of petroleum per month,

are required to demonstrate at least $1 million in per

occurrence coverage. Petroleum nonmarketers are

required to demonstrate at least $500,000 in per

occurrence coverage (see Figure IV-4). For

example, owners and operators of gas stations,

which are considered marketers because they sell

petroleum to the public, would need to demonstrate
Section IV: Managing Underground Storage Tanks – RCRA Subtitle I

IV-12

$1 million in per occurrence coverage for their

USTs. On the other hand, owners and operators of

USTs used to fuel vehicles that are rented to the

public, which are considered nonmarketers, would

need to demonstrate $500,000 in per occurrence

coverage if their average monthly throughput was

less than 10,000 gallons.

Annual Aggregate Coverage

Annual aggregate is the total amount of

financial responsibility coverage required to pay for

the costs of all leaks that might occur in one year.

These requirements are based on the number of

USTs owned and operated at all locations. Owners

and operators of over 100 USTs are required to

demonstrate at least $2 million in annual aggregate

coverage. Owners and operators of 100 or less tanks

are required to demonstrate at least $1 million in

annual aggregate coverage (see Figure IV-5).

Mechanisms

Financial responsibility mechanisms are the

different ways an UST owner and operator can show

that funds are available to pay for corrective action

and liability requirements. An owner and operator

must demonstrate financial responsibility through

one or more of the following mechanisms:

• State assurance funds — Most states have

established programs that can help pay for

cleanup and third-party liability costs resulting

from leaking USTs. Generally, the state

assurance funds are funded by gasoline taxes,

tank fees, or a combination of both. The terms

and conditions of the state assurance funds vary

greatly, and participation can either be

mandatory or voluntary. Participating UST

owners and operators, in good standing with

their state assurance fund, can use that fund to

demonstrate financial responsibility.

• Financial test of self-insurance — Some

companies are of such size and financial strength

that they have the assets to absorb the costs

incurred by UST corrective action and liability.

As a result, such owners and operators can

demonstrate their financial strength by using the

financial test of self-insurance to satisfy the

UST financial responsibility requirements.

• Corporate guarantee — While not all companies

will be able to meet the financial test

requirements, they may be owned by a company

(either corporate parent or grandparent), may

have a sibling company, or may have a

“substantial business relationship” with another

company that has the financial standing and

ability to meet the financial test requirements.

In these cases, an UST owner and operator may

arrange to have their corporate parent, corporate

grandparent, sibling corporation, or firm with a

substantial business relationship meet the UST

Figure IV-5: Annual Aggregate Coverage

100 or 

fewer tanks

$1 million

annual aggregate 

UST owner and operator 

Over 100 tanks 

 $2 million 

annual aggregate 

Figure IV-4: Per Occurrence Coverage

UST owner and operator

Petroleum 

marketer

Petroleum 

Nonmarketer 

Monthly average 

throughput of 10,000 

gallons or less 

Monthly average 

throughput of over 

10,000 gallons

$1 million per 

occurrence 

$500,000 

per occurrence 

$1 million 

 per occurrence
Section IV: Managing Underground Storage Tanks – RCRA Subtitle I

IV-13

financial responsibility requirements on their

behalf and provide them with a corporate

guarantee.

• Insurance or risk retention group coverage — An

UST owner and operator can take out an

insurance policy to cover the corrective action

and liability coverage requirements. Owner and

operators can also use risk retention groups,

which are entities formed by businesses or

individuals with similar risks to provide

insurance coverage for those risks.

• Surety bond — A surety bond is a guarantee by

a surety company that it will meet the

obligations of the UST owner and operator in

the event of a failure to satisfy corrective action

or liability requirements. If the owner and

operator fails to pay the costs specified in a

bond, the surety company is liable for the costs,

but the owner and operator must then repay the

surety company. The owner and operator must

also establish a standby trust fund into which

any payments made by the surety company will

be deposited. EPA or the states then use this

trust fund to cover the respective costs.

• Letter of credit — A letter of credit, issued by a

financial institution (such as a bank), is a

contract between the UST owner and operator,

the issuer, and the implementing agency. Under

the terms of this agreement, if the UST owner

and operator fails to pay for corrective action or

liability, the implementing agency will direct the

issuer to deposit such payments into a standby

trust fund.

• Trust fund — Under a trust fund, aggregate

funds for UST corrective action and liability are

held and administered by an impartial third party

(usually a bank). By placing such money in an

independent fund, the funds will not be

commingled with the owner’s and operator’s

other assets, and will always be available on the

event that a release occurs, or a claim is made.

These financial responsibility mechanisms were

developed to meet the needs of the private sector.

Many local government UST owners and operators

had difficulty demonstrating compliance with these

mechanisms because of slight differences in their

financial management and accounting practices. As

a result, EPA promulgated four additional options

that local governments could choose to demonstrate

UST financial responsibility. These mechanisms

are:

• Bond rating test

• Financial test

• Guarantee

• Dedicated fund.

While the bond rating and financial tests are

modeled after the UST financial test of selfinsurance, the guarantee is similar to the corporate

guarantee, and the dedicated fund is similar to the

trust fund, these mechanisms were all tailored to

meet the special needs of local governments.

LENDER LIABILITY

Many UST owners and operators must secure

loans from financial and other institutions to comply

with environmental regulations, such as UST

upgrading and maintenance requirements. These

owners and operators often use the property on

which the UST is located as collateral in order to

secure the loan. Financial institutions have

historically been reluctant to extend loans to UST

owners and operators for fear of later incurring UST

cleanup liability. For example, if a bank held

property as collateral for a service station that later

became bankrupt, the lender would take possession

of the property, becoming the owner of the property

and the tanks on it. Financial institutions feared that

they would then be subject to the UST regulations,

including financial responsibility for corrective

action and third-party liability. Until recently, this

potential for lending institutions to be held liable for

releases from USTs, known as lender liability,

greatly hampered the ability of UST owners and

operators to secure the capital necessary to make

tank improvements, upgrade the UST, or comply

with other requirements.

EPA published the lender liability regulations in

1995. The rule provides lenders with an exemption

from all federal UST regulatory requirements

provided that the lender, or secured creditor, does
Section IV: Managing Underground Storage Tanks – RCRA Subtitle I

IV-14

not participate in the management or operation of the

UST system. This means that the lender is exempt

from corrective action requirements and liability for

cleanup costs of contaminated property, both prior to

and after foreclosure, as long as the lender does not

engage in petroleum production, refining, or

marketing, does not manage or operate the UST, and

does not store petroleum in the UST after

foreclosure.

STATE UNDERGROUND STORAGE

TANK PROGRAMS

States play a central role in the administration of

the UST program. Because of the size and diversity

of the UST regulated community, states and local

governments are in the best position to oversee the

regulation of USTs. Congress intended for states to

take over the day-to-day administration of the UST

program from the federal government; therefore,

RCRA Subtitle I allows EPA to approve state UST

programs to operate in lieu of the federal UST

program provided they are at least as stringent as the

federal program and ensure adequate enforcement.

In order to be approved, a state program must

meet three requirements. First, the state program

must set standards for eight performance criteria that

are no less stringent than federal standards. These

include the standards for:

• New UST system design

• General operating requirements

• Release detection

• Upgrading

• Release reporting

• Corrective action

• Financial responsibility

• Closure.

Second, the program must contain provisions

that ensure adequate enforcement of the UST

regulations. This means that the state must have

adequate legal authority to implement and enforce

the regulations, including the authority to inspect

records and sites, require monitoring and testing, and

assess penalties. In some cases, states will have to

enact additional laws in order to have adequate

authority. The state program must also include

opportunities for public participation in the state

enforcement process.

Finally, the state program must regulate at least

the same universe of USTs covered by the federal

program, although many states may choose to

implement programs that are broader in scope than

the federal program. For example, a state may

regulate all heating oil tanks, even though the federal

UST program excludes tanks used for storing

heating oil for consumptive use on the premises

where stored. In such cases, EPA does not review or

approve the portion of the program that is broader in

scope than the federal program. EPA can, however,

approve requirements that are more stringent than

the federal program. For example, a state may

receive approval from EPA to implement release

detection requirements that are more stringent than

those contained in the federal regulations.

Because state programs operate in lieu of the

federal program, owners and operators in states that

have an approved UST program do not have to

comply with two sets of statutes and regulations.

Once their programs are approved, states have the

lead role in UST program enforcement; therefore,

owners and operators need only comply with their

state regulations to be in full compliance with all

requirements.

INSPECTIONS AND

ENFORCEMENT

RCRA Subtitle I provides authority for federal

and state personnel to request pertinent information

from tank owners and operators; inspect and sample

tanks; monitor and test tanks and surrounding soils,

air, surface water, and ground water; respond to

HOW DO STATE UST PROGRAMS OPERATE?

Because state programs operate in lieu of the federal

program, owners and operators in states that have an

approved UST program do not have to comply with two

sets of statutes and regulations. Once their programs

are approved, states have the lead role in UST

program enforcement; therefore, owners and operators

need only comply with their state regulations to be in

full compliance with all requirements.
Section IV: Managing Underground Storage Tanks – RCRA Subtitle I

IV-15

violations of tank standards through civil or

administrative actions; and seek injunctive relief

when human health or the environment are

endangered.

EPA may issue compliance orders for any

violation of the Statute or regulations. A violator

who fails to comply with the order may be subject to

a civil penalty of up to $27,500 per tank per day of

noncompliance. In addition, any owner and operator

who knowingly fails to notify or submits false

information may be subject to civil penalties of up to

$11,000 for each tank for which notification is not

given or false information is submitted.

Furthermore, any owner and operator who fails to

comply with any regulatory requirement under

Subtitle I, may be subject to civil penalties of up to

$11,000 per tank, for each day of violation.

Criminal penalties are not authorized under Subtitle

I.

At all levels of government, regulatory agencies

are granted some discretion in determining when to

impose penalties. In the UST program, inspectors

often issue a notice of violation or a warning letter to

first-time violators when a facility is inspected,

provided that the violations are not egregious. These

informal enforcement actions are less resourceintensive for the states and are usually effective in

promoting compliance. States and EPA generally

reserve their strongest enforcement tools for use on

facilities whose owners and operators have not been

responsive to informal enforcement actions, facilities

whose violations pose significant threats to human

health and the environment, or facilities who have a

history of noncompliance. Federal enforcement

authorities include the use of field citations and

administrative or judicial (or both) enforcement

actions.

UST inspectors issue field citations at the time

they identify violations. Field citations are not

issued for serious violations. They are issued in

cases where the violation is a first-time violation and

is clear-cut, easily verifiable, and easily correctable.

A field citation couples a fine with a requirement to

correct the violation within 30 days. If a facility

does not address the violation within 30 days,

however, follow-up enforcement actions can assess

additional penalties.

Apart from inspections, outreach and education

are among of the most commonly used ways to

familiarize UST owners and operators with the UST

regulations and promote compliance. EPA and states

produce and distribute a wide variety of

informational materials, including booklets, leaflets,

videos, and slide shows, designed to assist owners

and operators in complying with the UST

requirements. EPA and states also conduct seminars

and workshops and use inspections as opportunities

to explain the requirements and offer assistance. In

addition, EPA works closely with trade associations

representing tank owners and operators to provide

compliance assistance information to their members.

LEAKING UNDERGROUND

STORAGE TANK TRUST FUND

As part of SARA, Congress also created the

Leaking Underground Storage Tank Trust Fund.

The LUST Trust Fund has two purposes. First, it

provides money for overseeing corrective action

taken by a responsible party, usually a contractor

hired by an owner and operator of the leaking UST.

Second, the LUST Trust Fund provides money for

cleanups at UST sites where the owner and operator

is unknown, unwilling or unable to respond, or

which require emergency action.

The LUST Trust Fund is financed through a user

tax on motor fuel sold in the United States. The

taxing authority ends March 31, 2005 (see Tax

Payer’s Relief Act of 1997, and Section 1033 of

H.R. 20410). As of September 2001, about $2.6

billion had been collected, $945 million of which

has been given to EPA. About $794 million has

been dispersed to state programs for state officials to

use for administration, oversight, and cleanup work.

LEAKING UNDERGROUND STORAGE TANK

TRUST FUND

The LUST Trust Fund provides money to states to

oversee corrective action by a responsible party and to

clean up sites where the owner and operator is

unknown, unwilling, or unable to respond, or which

require emergency action.
Section IV: Managing Underground Storage Tanks – RCRA Subtitle I

IV-16

The remaining LUST Trust Fund money has been

used by EPA for negotiating and overseeing

cooperative agreements, implementing programs on

Native American lands, and technical assistance and

training for EPA Regional and state offices.

To receive money from the LUST Trust Fund,

states enter into a cooperative agreement with the

federal government to spend the money for its

intended purpose. Every state has a cooperative

agreement with EPA. LUST Trust Fund money is

divided among EPA Regional Offices based on a

formula that uses state data. In fiscal year 2002,

each state received a base allocation with additional

funds for states and territories with approved state

programs, plus additional money depending on the

following: the number of confirmed releases in the

state; the number of notified petroleum tanks; the

number of residents relying on ground water for

drinking water; and the number of cleanups initiated

and completed as a percentage of total confirmed

releases.

The LUST Trust Fund provides money to states

to oversee corrective action by a responsible party

and to clean up sites where the owner and operator is

unknown, unwilling, or unable to respond, or which

require emergency action.

USTFIELDS FOR ABANDONED

TANKS

USTfields are abandoned or underutilized

industrial and commercial properties where

redevelopment is complicated by real or perceived

environmental petroleum contamination from

federally-regulated USTs. Sites contaminated by a

substance other than petroleum, and sites

contaminated by petroleum as a result of releases

from non-federally registered USTs, are not covered

under the federal program, and are not considered

USTfields.

Under the USTfields Initiative, EPA developed

an USTfield Pilot program, in part to address high

priority petroleum releases from federally-regulated

underground storage tanks. Selected USTfields

pilots are large areas identified by state/local or EPA/

tribal partnerships containing two or more USTfields

properties in need of an assessment or cleanup

support. Each pilot is awarded up to $100,000 from

the LUST Trust Fund. Site managers can use the

funding for the following activities: to assess the site

for the existence of chemicals of concern (e.g.,

MTBE), clean up petroleum contamination, monitor

soil and groundwater to evaluate whether chemicals

of concern have been removed, and maintain public/

community participation during the assessment and/

or cleanup activities of community sites. Award

money cannot be used for redevelopment activities,

general education or job training activities, lobbying

efforts, matching any other federal funds without

specific statutory authority, or paying any

outstanding fines or penalties. The new Brownfields

legislation, Small Busniess Liability Relief and

Brownfields Revitalization Act, PL 107-118, will

give communities across the country the tools they

need to reclaim and restore thousands of petroleumcontaminated Brownfields sites.

SUMMARY

Across the United States, a wide range of

persons, from large and small businesses to private

entities, store regulated substances (petroleum and

CERCLA hazardous substances) in USTs. An UST

is defined as a tank and any underground piping

connected to that tank that has at least 10 percent of

its combined volume underground.

Not all tanks storing regulated substances are

subject to the UST regulations, as some tanks are

specifically exempted from the regulations due to

their regulation under other laws.

In an effort to protect human health and the

environment from releases from regulated USTs,

EPA promulgated technical performance standards

designed to ensure safe design, operation,

maintenance, and closure. These standards, codified

in 40 CFR Part 280, encompass provisions for UST:

• Design, construction, and installation

• Operation

• Release detection

• Release reporting, investigation, and

confirmation

• Corrective action
Section IV: Managing Underground Storage Tanks – RCRA Subtitle I

IV-17

• Closure

• Financial responsibility.

When the UST regulatory program came into

existence, there were over two million tanks already

in the ground. To accommodate these USTs, EPA

built flexibility into the regulatory program to allow

such tanks to upgrade during a phase-in period. As

of December 22, 1998, such existing tanks must

either meet the performance standards for new tanks,

meet the upgrading requirements for existing tanks,

or be taken out of service.

The UST technical requirements may be

expensive to comply with. As a result, many owners

and operators secure loans from private lending

institutions. However, if owners and operators

default on such loans, banks may foreclose on

property containing such USTs. By default, the bank

may become responsible and liable for compliance

with the federal UST requirements, including the

cleanup of all releases. In order to shield lending

institutions from such requirements, and remove the

disincentive for issuing such loans in the first place,

EPA promulgated a lender liability provision to

exempt lending institutions from the UST

requirements provided they do not manage or

operate the UST.

The UST program also includes state program

approval provisions that are designed to help

facilitate the delegation of UST program

implementation to the states. This provides states

the authority to ensure proper compliance with the

federal standards, and allows states with approved

programs to have primary enforcement

responsibility. In order for a state to receive

approval, its program must be no less stringent than

the federal program, cover the same universe of

tanks covered by the federal program, and provide

for adequate enforcement of the state UST program.

The UST program also includes provisions regarding

inspections and enforcement.

 Finally, the UST program includes a LUST

Trust Fund. Under the LUST Trust Fund, EPA

disperses money to states that have cooperative

agreements with the Agency to provide money for

overseeing corrective action taken by a responsible

party and to provide money for cleanups at UST

sites where the owner and operator is unknown,

unwilling or unable to respond, or which require

emergency action.

ADDITIONAL RESOURCES

Additional information about the topics covered in

this chapter can be found at www.epa.gov/oust.
V-1

In this section...

Overview .......................................................... V-1

Chapter 1: Federal Procurement

Requirements ............................. V-3

Chapter 2: Medical Waste Regulations ........ V-9

OVERVIEW

All RCRA provisions do not fit neatly into the

solid waste, hazardous waste, and UST regulatory

frameworks. The Statute established additional

miscellaneous provisions to further the goals of the

waste management program, and to address

materials that were not covered by Subtitles C, D,

or I.

The first set of these miscellaneous statutory

provisions focuses on promoting recycling and

developing a market for products with recycled

content: the federal procurement requirements.

SECTION V

MISCELLANEOUS STATUTORY REQUIREMENTS

The second set of miscellaneous statutory

provisions focuses on certain materials that were not

covered by Subtitles C, D, or I: namely, medical

wastes. These requirements imposed a tracking

system to ensure the safe and protective

management of potentially harmful wastes.

This section consists of two chapters:

• Federal Procurement Requirements — To

promote recycling, encourage the development

of recycling technologies, and develop the

market for products with recycled content,

RCRA contains specific federal procurement

requirements.

• Medical Waste Regulations — To ensure the

tracking and safe management of medical waste,

RCRA established a medical waste

demonstration program.

Both of these aspects of the RCRA program are

carefully detailed in separate chapters in this section.
V-3

In this chapter...

Overview .......................................................... V-3

Promotion of Recycling .................................... V-3

Federal Procurement Requirements ................ V-4

- Comprehensive Procurement Guidelines ..... V-4

- Recovered Materials Advisory Notice ........... V-5

- Procurement Program .................................. V-5

- Compliance ................................................... V-7

Summary .......................................................... V-7

Additional Resources ....................................... V-8

OVERVIEW

The purpose of RCRA is not merely to control

waste generation, waste management, or waste

disposal. The title of the Act itself clearly reveals a

major focus and intent of the regulatory program –

resource conservation and recovery. As discussed in

Section I, a major goal of RCRA is energy and

natural resource conservation through reducing the

depletion of our natural resources and to protect

those resources from hazardous constituents.

Another major goal of RCRA is resource recovery

through extracting usable resources from materials

that are unintentionally created (i.e., wastes).

Resource recovery or recycling requires

separating and correcting wastes for their subsequent

transformation or remanufacture into usable

CHAPTER 1

FEDERAL PROCUREMENT REQUIREMENTS

products and materials. Resource recovery is a

major component of the RCRA program because it

diverts large amounts of solid waste from landfills

and incinerators, conserves space in landfills,

recovers the precious raw materials that are often

found in solid waste, and preserves natural resources

that would otherwise be used to produce virgin

products and materials.

To further this waste management approach,

RCRA established specific provisions to promote

the development of recycling capabilities and

technologies, and develop a market for recyclable

materials. As a result, the Statute contains

provisions for technology and market development

activities, as well as federal procurement

requirements intended to bolster the demand for

products containing recycled materials.

PROMOTION OF RECYCLING

When the Statute was enacted, the waste

management and recycling industries were unable to

maintain and promote substantial resource

conservation and recovery of a wide range of

materials. While specific industries, such as metals

and glass recycling, were mature and developed,

recycling of other commodities, such as old

newspapers was not as advanced. While recycling

was a major component of the regulatory program,

there was neither the technology to recycle nor a

market in which to sell and purchase such

commodities. Without a market to sell or a demand

to purchase recycled products, there was no

incentive to perform recycling activities in the first

place.
Section V: Miscellaneous Statutory Requirements

V-4

Congress recognized this opportunity within the

recycling industry and sought ways to promote both

recycling activities and market development. As a

result, RCRA includes provisions requiring EPA to

take steps to identify markets for recovered

materials, identify economic and technical barriers

to the use of recovered materials, encourage the

development of new uses for recovered materials,

and promote recycling technologies. In addition,

RCRA requires the National Institutes of Standards

and Technology to develop specifications for

recycled materials to facilitate their reuse in

replacing virgin materials in various industrial and

commercial products.

FEDERAL PROCUREMENT

REQUIREMENTS

Realizing that recycling is not only the

collection of materials for remanufacture, but also

the purchase of products with recovered content by

consumers, Congress sought ways to stimulate

market demand for recycled materials. Congress

realized that the purchasing power of the federal

government, if focused on procuring materials with

recovered content, could create a significant demand

for recycled materials thus stimulating the market.

Increased demand by the federal government for

products with recovered content would boost

manufacturing of such items and encourage the

private sector to purchase such goods as well. As a

result, RCRA §6002 established the federal

government’s buy-recycled program, formally

referred to as the federal procurement program.

The federal procurement program sets

minimum recovered materials content standards

for certain designated items and requires procuring

agencies to purchase those items composed of the

highest percentage of recovered materials

practicable. Minimum content standards specify the

minimum amount of recovered materials that

designated items should contain.

Procuring agencies are defined as:

• Federal government departments or agencies

• State government agencies that use appropriated

federal funds for procurement of a designated

item

• Local government agencies that use appropriated

federal funds for procurement of a designated

item

• Government contractors that work on a project

funded by appropriated federal funds, with

respect to work performed under the contract.

Only procuring agencies that purchase $10,000

or more worth of a designated item during the

course of their fiscal year, or that purchased at least

$10,000 worth of a procurement item during the

preceding fiscal year, are subject to these

procurement requirements.

The Statute requires EPA to identify products

that are or can be made from recovered materials,

and to make recommendations concerning the

procurement of items containing recovered

materials. Procuring agencies can use these

guidelines to meet these statutory requirements.

 Comprehensive Procurement

Guidelines

EPA designates items in a Comprehensive

Procurement Guideline (CPG), which is updated

annually. Currently, there are 54 items designated

within 8 product categories (see Figure V-1). These

product categories are:

• Paper and Paper

Products

• Vehicular Products

• Construction

Products

• Transportation

Products

• Park and Recreation Products

• Landscaping Products
V-5

Chapter 1: Federal Procurement Requirements

• Nonpaper Office Products

• Miscellaneous Products.

 Recovered Materials Advisory Notice

For each item designated in the CPG, EPA also

publishes a corresponding recovered content level

(see Figure V-2). These recovered material levels

are published in a Recovered Materials Advisory

Notice (RMAN). Procuring agencies can use these

levels as guidelines, but are encouraged to exceed

EPA’s recommendations. EPA also provides

information on specifications for purchasing a

particular item and other pertinent purchasing

information.

 Procurement Program

If an agency meets the definition of a procuring

agency and is purchasing a certain dollar amount of

a designated item, that agency is required to

purchase items with recovered content to the

maximum extent possible. Within one year after

EPA designates an item, procuring agencies must

revise their product specifications to require the use

of recovered materials and to eliminate

administrative barriers to the use of materials with

recovered content, such as removing purchasing

provisions that prohibit the use of recovered

materials or require the exclusive use of virgin

materials.

Executive Orders and

the Federal Procurement Program

When RCRA established the federal procurement

program, EPA was required to follow the formal

rulemaking process in order to designate an item and

establish minimum content levels. Because of the

length of this rulemaking process, from 1980 to 1993,

EPA had only designated five items. Executive Order

12873, signed in 1993, requires EPA to change the

process to allow more items to be designated faster.

This change lead to the CPG and RMAN.

Executive Order 13101, signed in 1998, supersedes

Executive Order 12873. This Order retains the

provisions of Executive Order 12873 and more clearly

defined the roles of the oversight agency, namely the

Office of the Federal Environmental Executive.

Figure V-1: Designated Procurement Items

Paper and Paper Products

- Printing and Writing Papers

- Bristols

- Newsprint

- Commercial/Industrial Sanitary Tissue Products

- Miscellaneous Paper Products

Vehicular Products

- Engine Coolants

- Rerefined Lubricating Oils

- Retread Tires

- Rebuilt vehicular parts*

- Tires*

Construction Products

- Building Insulation Products

- Polyester Carpet

- Carpet Cushion

- Cement and Concrete Containing Coal Fly Ash and Ground Granulated Blast

Furnace Slag

- Consolidated and Reprocessed Latex Paint

- Flowable Fill

- Floor Tiles and Patio Blocks

- Railroad Grade Crossing Surfaces

- Shower and Restroom Dividers and Partitions

- Structural Fiberboard and Laminated Paperboard

- Cement and Concrete Containing Cenospheres*

- Cement and Concrete Containing Silica Fume*

- Nylon Carpet and Nylon Carpet Backing*

- Modular Threshold Ramps*

- Non-pressure Pipe*

- Roofing Materials*

Transportation Products

- Channelizers

- Delineators

- Flexible Delineators

- Parking Stops

- Temporary Traffic Control Devices

Parks and Recreation Products

- Park Benches and Picnic Tables

- Plastic Fencing

- Playground Equipment

- Playground Surfaces

- Running Tracks

Landscaping Products

- Food Waste Compost

- Garden and Soaker Hoses

- Hydraulic Mulch

- Lawn and Garden Edging

- Plastic Lumber Landscaping Timbers and Pots

- Yard Trimmings Compost

Non-paper Office Products

- Binders

- Office Recycling Containers

- Office Waste Receptacles

- Plastic Clipboards

- Plastic Clip Portfolios

- Plastic Desktop Accessories

- Plastic Envelopes

- Plastic File Folders

- Plastic Presentation Folders

- Plastic Trash Bags

- Printer Ribbons

- Solid Plastic Binders

- Toner Cartridges

- Office furniture*

Miscellaneous Products

- Awards and Plaques

- Industrial Drums

- Manual-grade Strapping

- Mats

- Pallets

- Signage, including Sign Supports and Posts

- Sorbents

- Bike racks*

- Blasting grit*

* On August 28, 2001, EPA published a proposed update to the CPG. The 11

proposed items, which were not finalized at the time of publication, are

designated with an asterisk.
Section V: Miscellaneous Statutory Requirements

V-6

Not all procuring agencies will be able to

purchase the designated items with recovered

content. In some instances, such agencies will need

to purchase items that do not contain the minimum

recovered content. The Statute provides, however,

that procuring agencies need not purchase

designated items if the designated items will not be

available within a reasonable period of time, will not

meet the agency’s reasonable performance

standards, or will not be available at a reasonable

price. EPA, however, encourages such agencies to

purchase designated items with recovered content to

the extent practicable.

Each procuring agency must develop an

affirmative procurement program for each

designated item, setting forth the agency’s policies

and procedures for implementing the requirements.

The affirmative procurement program consists

of four parts:

• Preference program

• Promotion program

• Estimation, certification, and verification

program

• Monitoring and review program.

Preference Program

The preference program is a means by which an

agency can show its preference for products made

with recovered materials. It may consist of

established minimum content standards, a case-bycase approach when the minimum content standard

is inappropriate, or an equivalent alternative.

Minimum content standards specify the minimum

amount of recovered materials that designated items

should contain. Agencies can adopt these standards

on an agency-wide basis for all procurement actions.

Case-by-case policy development allows the

Figure V-2: Sample Recovered Materials Advisory Notice Content Level Specification

Recommended Recovered Materials Content Levels 

for Fencing Containing Recovered Plastic

--------------------------------------------------------------------------------------------------------------

---------------------------------------------------------------------------------------------------------------

Plastic.................................................. 60-100 90-100

---------------------------------------------------------------------------------------------------------------

Material Postconsumer

content (%) 

Total 

recovered 

materials 

content (%) 

EPA's recommendation does not preclude a procuring agency from purchasing fencing that is manufactured 

from another material, such as wood. The procurement guidelines simply require that a procuring agency, 

when purchasing plastic fencing, purchase this item made with recovered materials to the extent possible. 

Total recovered materials content 

refers to the total percentage of 

recovered materials that EPA 

recommends for a designated item. 

For example, EPA recommends that 

procuring agencies purchase plastic 

fencing that contains 90-100% 

recovered plastic. 

Postconsumer materials are materials 

or finished products that have served 

their intended uses and have been 

discarded for disposal or recovery, 

having completed their lives as 

consumer items. For example, EPA 

recommends that 60-100%, of the 90- 

100% recovered plastic that EPA 

recommends for plastic fencing, should 

originate from the recycling of 

postconsumer plastic. 
V-7

Chapter 1: Federal Procurement Requirements

procuring agency to establish a separate recovered

materials content requirement for a specific

procurement action, while still enabling the agency

to procure other designated products with the highest

amount of recovered materials practicable. The

procuring agency can also choose an alternative that

is equivalent to either of these options, such as

contracting for recycling of spent engine coolant.

Promotion Program

Through the promotion program, the agency

must actively promote its desire to buy recycled

products, both internally within the agency and

externally to product vendors. Internal promotion

usually is a broad-based employee education

program that affirms an agency’s procurement

policy through advertising, workshops, agency

newsletters, and technical and staff manuals.

Examples of external promotion include publishing

articles in trade journals, participating in vendor

shows or trade fairs, placing statements in bid

solicitations, and discussing an agency’s

procurement policy at bidders’ conferences.

Estimation, Certification, and Verification

Program

The estimation, certification, and verification

program establishes procedures for obtaining

estimates and certifications, and where appropriate,

reasonably verifying the amount of recovered

materials content utilized in the performance of a

contract.

Monitoring and Review Program

The monitoring and review program requires

agencies to monitor affirmative procurement

programs to ensure that they are fulfilling their

requirements to purchase items composed of

recovered materials.

 Compliance

Once EPA designates an item in the CPG, the

responsibility for complying with the procurement

program rests with the procuring agency. There are

no provisions in the Statute for federal enforcement

of the guidelines. On the other hand, RCRA §7002

citizen suit provisions allow citizens to sue in U.S.

District Court to seek relief against any person

alleged to be in violation of the requirements of the

Act, including the procurement requirements.

(Citizen suit provisions are fully discussed in

Section III, Chapter 10.)

SUMMARY

In order to further RCRA’s resource,

conservation, and recovery goals, EPA established

provisions to promote recycling and market

development. RCRA created federal procurement

requirements to create a significant demand for

products with recovered content, boost

manufacturing of such products, and encourage the

private sector to purchase such goods as well.

The procurement requirements apply to

procuring agencies that purchase $10,000 or more

worth of a designated item during the course of their

fiscal year, or that purchased at least $10,000 worth

of a procurement item during the preceding fiscal

year.

Procuring agencies are defined as:

• Federal government departments or agencies

• State government agencies that use appropriated

federal funds for procurement of a designated

item

• Local government agencies that use

appropriated federal funds for procurement of a

designated item

• Government contractors that work on a project

funded by appropriated federal funds, with

respect to work performed under the contract.

The federal procurement program sets minimum

recovered materials content standards for certain

designated items and requires procuring agencies to

purchase those items composed of the highest

percentage of recovered materials practicable. EPA

designates these items in the CPG and specifies

minimum recovered content levels in an RMAN.
Section V: Miscellaneous Statutory Requirements

V-8

Each procuring agency must develop an

affirmative procurement program for each

designated item, setting forth the agency’s policies

and procedures for implementing the requirements.

This program consists of four parts:

• Preference program

• Promotion program

• Estimation, certification, and verification

program

• Monitoring and review program.

ADDITIONAL RESOURCES

Additional information about the topics covered

in this chapter can be found at www.epa.gov/cpg.

Further information about the Office of the

Environmental Executive can be found at

www.ofee.gov.
V-9

In this chapter...

Overview .......................................................... V-9

What is Medical Waste? ................................... V-9

Medical Waste vs. Hazardous Waste .............. V-10

The Demonstration Program ............................ V-10

- Generators .................................................... V-10

- Transporters .................................................. V-11

- Treatment, Destruction, and Disposal

Facilities ....................................................... V-11

Interstate Shipments ........................................ V-11

Reports to Congress ........................................ V-12

Current Requirements ...................................... V-12

Summary .......................................................... V-12

Additional Resources ....................................... V-13

OVERVIEW

During the summer of 1988, syringes and other

used medical materials washed up on beaches along

the Atlantic seaboard. In response to public concern

about this problem, Congress enacted the Medical

Waste Tracking Act in November 1988, which

added medical waste tracking provisions in RCRA

Subtitle J. The Medical Waste Tracking Act

directed EPA to establish a two-year demonstration

program for the tracking and management of

medical waste. Under this statutory authority, EPA

codified regulations in 40 CFR Part 259 identifying

the medical wastes to be tracked and creating

management standards for handlers of medical

waste. The States of Connecticut, New Jersey, New

York, Rhode Island, and the Commonwealth of

CHAPTER 2

MEDICAL WASTE REGULATIONS

Puerto Rico all participated in the two-year tracking

program. For purposes of this program, they were

known as covered states. This demonstration

program began June 22, 1989, and ended June 22,

1991. Currently, the program is expired and no

federal medical waste tracking and management

regulations are in effect. As a result, the provisions

in Part 259 have been removed from the CFR.

States, however, have become active in managing

medical waste and a majority have developed

programs similar to the federal model. This chapter

will discuss what was considered medical waste

under the two-year demonstration program.

WHAT WAS MEDICAL WASTE?

Medical waste included:

• Cultures and stocks of infectious agents

• Human pathological wastes (e.g., tissues, body

parts)

• Human blood and blood products

• Used sharps (e.g., hypodermic needles and

syringes used in animal or human patient care)

• Certain animal wastes

• Certain isolation wastes (e.g., wastes from

patients with highly communicable diseases)

• Unused sharps (e.g., suture needles, scalpel

blades, hypodermic needles).
Section V: Miscellaneous Statutory Requirements

V-10

For purposes of the demonstration program, the

definition of medical waste excluded household

waste. In addition, residues from treatment and

destruction processes, or from the incineration of

regulated medical wastes, were not considered

medical waste, nor were human remains intended to

be buried or cremated. Etiologic agents (i.e.,

infectious substances) being shipped pursuant to

other federal regulations, and samples of medical

waste that were shipped for enforcement purposes

were exempt from the 40 CFR Part 259

requirements.

MEDICAL WASTE VS.

HAZARDOUS WASTE

Because medical wastes met the RCRA

regulatory definition of solid waste, these wastes

were also subject to the Subtitle C hazardous waste

characterization. In other words, once a facility

identified a waste as a medical waste, it then had to

determine if this waste was also listed or

characteristic. (The hazardous waste identification

process is fully discussed in Section III, Chapter 1.)

If medical waste was a hazardous waste, it was

subject to the Subtitle C hazardous waste

requirements. When the Subtitle J medical waste

tracking standards were in place, such hazardous

medical wastes were excluded from the tracking

requirements and were subject to those requirements

in RCRA Subtitle C (see Figure V-3).

THE DEMONSTRATION PROGRAM

The medical waste tracking demonstration

program set up provisions for tracking medical

waste from the generator to the disposal site, similar

to Subtitle C’s hazardous waste manifest system.

The program was designed to ensure proper

handling, tracking, and disposal of medical waste.

The system required that a tracking form accompany

the waste and a signed copy be retained by the

generator, each transporter, transfer station, and the

treatment, destruction, and disposal facility that

handled the waste. When the final disposal facility

accepted the waste, a copy of the signed tracking

form was returned to the generator. Through this

process, the generator was assured that the waste

was actually received for disposal. The tracking

program also included exception and discrepancy

reporting to alert EPA and the states if wastes were

not being handled properly.

To minimize contact with medical wastes by

workers, handlers, and the public, the program also

included specific requirements for segregation,

packaging, labeling, marking, and storing of medical

wastes before they were shipped to another site for

treatment, destruction, or disposal.

The demonstration program focused on three

groups of medical waste handlers:

• Generators

• Transporters

• Treatment, destruction, and disposal facilities.

 Generators

A medical waste generator was any person

whose act or processes produced medical waste or

caused medical waste to become subject to

regulation. These tracking provisions applied to

persons or facilities that generated 50 pounds or

more of medical waste in a month and shipped such

waste off site. These generators were required to

separate, package, label, mark, and track medical

wastes according to the regulations. Generators

Figure V-3: Medical Waste vs. Hazardous Waste

If medical waste was neither listed nor characteristic, it

was subject to regulation as medical waste under RCRA

Subtitle J. If medical waste was also listed or characteristic,

it was subject to regulation as hazardous waste under

RCRA Subtitle C.

RCRA

Subtitle J

RCRA

Subtitle C RCRA

Subtitle C

Medical

waste that

was neither

listed nor

characteristic

Hazardous

waste that 

was listed

but not a

medical 

waste

Medical

waste which was 

also listed or

characteristic
V-11

Chapter 2: Medical Waste Regulations

producing and shipping less than 50 pounds a month

were required to prepare their wastes properly for

shipment, but could use a log to account for wastes

instead of a tracking form.

With the exception of medical waste burned in

on-site incinerators, generators who disposed of

medical wastes on site or in a sewer system were not

covered by the requirements of this program.

Similarly, wastes that were treated and destroyed or

disposed of on site or in sewers were not counted as

part of the 50-pound monthly total. Generators

burning waste in on-site incinerators were required

to report the volume of waste burned. All medical

wastes, even those that were to be treated, destroyed,

and disposed of on site, were required to be stored

properly.

These provisions applied to medical wastes

generated by federal facilities in covered states.

These provisions also applied to ships and ocean

vessels that brought medical wastes to shore by

docking in a covered state.

 Transporters

A medical waste transporter was any person

engaged in the off-site transportation of medical

waste by air, rail, highway, or water. Transporters

were required to notify EPA of their intent to

comply with the tracking program before they could

accept medical waste for transport. Transporters

were required to follow rules governing the

transport, tracking, recordkeeping, and reporting of

waste shipments. They were also required to make

sure that the wastes they accepted for transport had

been properly prepared for shipping and that the

tracking form was accurate.

 Treatment, Destruction, and Disposal

Facilities

Treatment facilities were facilities that changed

the biological character or composition of medical

waste to substantially reduce or eliminate its

potential for causing disease. Destruction facilities

were facilities that destroyed medical waste by

mutilating it, or tearing it apart to render it less

infectious and unrecognizable as medical waste.

Once medical waste was properly treated and

destroyed, it no longer needed to be tracked. These

treatment and destruction facilities included

incinerators and treatment operations that ground,

steam-sterilized, or treated the waste with

disinfectants, heat, or radiation. Disposal facilities

were facilities where medical waste was placed in or

on the land (e.g., landfills).

The demonstration program did not regulate the

operation of these treatment, destruction, and

disposal processes, but rather required tracking from

generation to disposal and recordkeeping. When the

wastes were accepted for disposal, these facilities

had to send a signed copy of the tracking form back

to the generator or initiator of the tracking form.

The facility owners and operators were required to

investigate any discrepancies between the

accompanying papers and the shipments they

received. If after investigation there was still a

discrepancy, they were required to report to EPA

and the generator’s state agency. Once treated and

destroyed, however, such wastes were no longer

subject to the tracking requirements.

INTERSTATE SHIPMENTS

While only the States of Connecticut, New

Jersey, New York, Rhode Island, and the

Commonwealth of Puerto Rico participated in the

tracking program, the medical waste tracking

provisions also applied when shipments originating

in these covered states were transported to states that

did not participate in the program.

According to the provisions of the tracking

program, if medical waste was generated in a

covered state, any subsequent handling by a

transporter or treatment, destruction, and disposal

SHIPMENTS TO STATES NOT PARTICIPATING

IN THE DEMONSTRATION PROGRAM

While only the Commonwealth of Puerto Rico and the

States of Connecticut, New Jersey, New York, and

Rhode Island participated in the tracking program, the

medical waste tracking provisions also applied when

shipments originating in these covered states were

transported to states that did not participate in the

program.
Section V: Miscellaneous Statutory Requirements

V-12

facility in that state, another covered state, or a

noncovered state was subject to the tracking

provisions. For example, if a medical waste was

generated in New Jersey (a covered state) and

transported by truck to Pennsylvania (a noncovered

state) for treatment and disposal, the waste would

still be subject to the medical waste tracking

provisions since the waste was originally generated

in a covered state.

REPORTS TO CONGRESS

The Medical Waste Tracking Act also required

EPA to submit two interim reports and a final report

on medical waste management and the

demonstration program to Congress. The

information gathered during the demonstration

program was used to determine whether such a

program should be extended nationwide and what

other options are available for medical waste

management.

The first and

second interim

reports were

released in

1990; the final

report is still

under

development.

CURRENT REQUIREMENTS

While medical waste is not regulated under the

current federal RCRA regulations, there are federal

requirements for medical waste under CAA and

FIFRA.

In 1997, under CAA, EPA established new

source performance standards (NSPS) and emissions

guidelines to reduce air emissions from new and

existing hospital, infectious, and medical waste

incinerators. These guidelines also established

standards for incinerator operator training and

qualification, equipment inspections, and siting.

EPA estimates that there are approximately 2,400

such incinerators in operation in the United States

that combust medical and infectious waste annually.

Under FIFRA, antimicrobial pesticides and

disinfectants used in medical waste treatment

technologies must be registered with EPA.

SUMMARY

Congress enacted the Medical Waste Tracking

Act in November 1988, which added medical waste

tracking provisions to RCRA Subtitle J. The Act

directed EPA to establish a two-year demonstration

program for the tracking of medical waste. The

States of Connecticut, New Jersey, New York,

Rhode Island, and the Commonwealth of Puerto

Rico all participated in the tracking program. This

demonstration program began June 22, 1989, and

ended June 22, 1991. Currently, the program is

expired and no federal tracking regulations are in

effect. States, however, have become active in

managing medical waste and many have developed

programs similar to the federal model.

Medical wastes included:

• Cultures and stocks of infectious agents

• Human pathological wastes (e.g., tissues, body

parts)

• Human blood and blood products

• Used sharps (e.g., hypodermic needles and

syringes used in animal or human patient care)

• Certain animal wastes

• Certain isolation wastes (e.g., wastes from

patients with highly communicable diseases)

• Unused sharps (e.g., suture needles, scalpel

blades, hypodermic needles).

The medical waste demonstration program set

up provisions for tracking the waste from the

generator to the disposal site, similar to Subtitle C’s

hazardous waste manifest system.

The demonstration program focused on three

groups of medical waste handlers:

• Generators

• Transporters

• Treatment, destruction, and disposal facilities.
V-13

The medical waste tracking provisions also

applied when shipments originating in states covered

by the program were transported to states that did

not participate in the program.

The Medical Waste Tracking Act also required

EPA to submit two interim reports and a final report

on medical waste management and the

demonstration program to Congress. The first and

second interim reports were released in 1990, the

final report is still under development.

While medical waste is not regulated under the

current federal RCRA regulations, there are federal

requirements for medical waste under CAA for

medical waste incinerators and under FIFRA for

Chapter 2: Medical Waste Regulations

pesticides and disinfectants used in medical waste

treatment technologies.

ADDITIONAL RESOURCES

Additional information about medial waste

regulations can be found at www.epa.gov/epaoswer/

other/medical/index.htm.
VI-1

In this section...

Overview .......................................................... VI-1

Chapter 1: Legislative Framework for

Addressing Hazardous Waste

Problems ..................................... VI-3

Chapter 2: Superfund: The Hazardous

Waste Cleanup Program ............ VI-9

OVERVIEW

EPA’s mission is to protect human health and

the environment. In order to further this mission,

Congress has enacted many environmental laws to

address releases, or threats of releases, of hazardous

constituents. An understanding of these laws is

necessary to determine where RCRA fits into the

national environmental protection program

established by Congress and implemented by EPA.

Each environmental statute has its own particular

focus, whether it is controlling the levels of

pollutants introduced into a single environmental

medium (i.e., air, soil, or water) or addressing a

specific area of concern, such as pesticides or waste

cleanup.

While the segmentation of environmental issues

simplifies the drafting of legislation, it complicates

the implementation of environmental protection

regulations. The media-, practice-, and chemicalspecific boundaries established in the nation’s

environmental statutes are often artificial. Many

SECTION VI

RCRA AND ITS RELATIONSHIP TO OTHER

ENVIRONMENTAL STATUTES

different types of practices may be responsible for

the release into the environment of the same

contaminant. Moreover, individual contaminants

are not confined to specific media (see Figure VI-1).

Volatile organic compounds, such as benzene or

toluene can be released into and contaminate the air,

soil, and water. Additionally, uncontrolled

pollutants may travel long distances by natural

means and change physically, affecting multiple

media. Therefore, a media- or contaminant-specific

approach cannot fully address the magnitude and

complexities of the waste management problem.

This section introduces each of these environmental

protection statutes and highlights their differences

from RCRA.

Many of these statutes interact closely and even

overlap with RCRA. In order to avoid

overregulation of industry and coordinate

environmental protection laws, Congress required

that EPA, when promulgating RCRA regulations,

ensure consistency with and avoid duplication of

regulatory provisions promulgated under other

environmental statutes.

One statute in particular, CERCLA or

Superfund, has a close-fitting relationship with

RCRA. Both programs are similar in that their

primary purpose is to protect human health and the

environment from the dangers of hazardous waste.

However, these statutes address the hazardous waste

problem from two fundamentally different

approaches:
Section VI: RCRA and Its Relationship to Other Environmental Statutes

VI-2

• RCRA has a regulatory focus and authorizes

control over the management of wastes from the

moment of generation until final disposal.

• CERCLA has a response focus. Whenever there

has been a breakdown in the waste management

system (e.g., a release or a potential threat of a

release of a hazardous substance, pollutant, or

contaminant), CERCLA authorizes cleanup

actions.

Considering the close relationship and

similarities between RCRA and CERCLA, this

section will closely examine the CERCLA

regulatory program and its interaction with RCRA.

Figure VI-1: Multi-Exposure Pathways

This section consists of two chapters:

• Legislative Framework for Addressing

Hazardous Waste Problems — Outlines the

environmental statutes designed to protect

human health and the environment from

exposure to hazardous waste and contaminants

and highlights their major interactions with

RCRA

• Superfund: The Hazardous Waste Cleanup

Program — Focuses on one crucial aspect of

this legislative framework, the CERCLA

hazardous waste cleanup program and its

interactions with RCRA.

Land 

Contamination

Ground Water 

Contamination

Air 

Contamination

Surface Water 

Contamination

Ground Water 

Contamination
VI-3

In this chapter...

Overview .......................................................... VI-3

Environmental Statutes .................................... VI-3

- Clean Air Act ................................................. VI-3

- Clean Water Act ............................................ VI-4

- Emergency Planning and Community

Right-to-Know Act ......................................... VI-5

- Federal Insecticide, Fungicide, and

Rodenticide Act............................................. VI-6

- Marine Protection, Research, and

Sanctuaries Act............................................. VI-6

- Occupational Safety and Health Act ............. VI-6

- Safe Drinking Water Act ............................... VI-7

- Toxic Substances Control Act ...................... VI-7

Summary .......................................................... VI-8

Additional Resources ....................................... VI-8

OVERVIEW

The legislation that serves as the basis for

managing hazardous wastes can be divided into two

categories:

• Media-specific statutes that limit and monitor

the amount of wastes introduced into the air,

waterways, oceans, and drinking water

• Other statutes that directly limit the production,

rather than the release, of chemical substances

and products that may contribute to the nation’s

wastes.

CHAPTER 1

LEGISLATIVE FRAMEWORK FOR ADDRESSING

HAZARDOUS WASTE PROBLEMS

This chapter summarizes each statute and

highlights its interaction with RCRA (see Figure

VI-2).

ENVIRONMENTAL STATUTES

In order to adequately protect human health and

the environment from exposure to hazardous waste

and contaminants, Congress enacted several

regulatory programs to protect the nation’s air and

water resources, as well as ensure the safety of

public health.

 Clean Air Act

The Clean Air Act limits the emission of

pollutants into the atmosphere in order to protect

human health and the environment from the effects

of airborne pollution. For six criteria pollutants

(sulfur dioxide, particulate matter, nitrogen dioxide,

carbon monoxide, ozone, and lead), EPA established

National Ambient Air Quality Standards

(NAAQS). Regulation of these criteria pollutants

affords the public some protection from toxic air

pollutants. Congress also mandated that CAA

control emissions from specific industrial sources.

Using this statutory authority, EPA designated

hazardous air pollutants and set National Emission

Standards for Hazardous Air Pollutants

(NESHAPs). Primary responsibility for

implementing both the NAAQS and NESHAP

requirements rests with states.
Section VI: RCRA and Its Relationship to Other Environmental Statutes

VI-4

The major interactions between RCRA and

CAA include the following:

• On September 1999, EPA finalized a rule that

establish coordinated CAA and RCRA

requirements for incinerators, cement kilns, and

LWAKs, commonly known as the MACT rule.

This rule ensures that these facilities will avoid

potentially will avoid two potentially different

regulatory compliance schemes by integrating

the monitoring, compliance testing,

recordkeeping, and permitting requirements of

CAA and RCRA (see Section III, Chapter 7 for

more information, including regulatory

developments).

• EPA has also developed organic air emission

regulations for TSDFs and LQGs under RCRA

(40 CFR Parts 264/265, Subparts AA, BB, and

CC) (as discussed in Section III, Chapter 5).

However, these RCRA regulations have been

designed to minimize, to the extent possible, any

overlap with CAA regulations.

• While medical waste is not subject to federal

RCRA regulation (as discussed in Section V,

Chapter 2), air emissions from new and existing

hospital, infectious, and medical waste

incinerators are subject to NSPS and emissions

guidelines under CAA.

• Extraction of pollutants from air emissions

using CAA controls (e.g., scrubbers) can create

hazardous wastes or sludges containing such

wastes. Disposal of these materials must

comply with RCRA.

 Clean Water Act

The Clean Water Act imposes pollutant

limitations for all discharges of wastewater from

identifiable (“point”) sources into the nation’s

Figure VI-2: Major RCRA Interactions with Other Environmental Laws

CAA • RCRA hazardous waste combustion facilities are subject to CAA permit requirements

• Air emissions from RCRA incinerators and other TSDFs must comply with applicable CAA NAAQS and emission

limitations

• Pollutants and sludges extracted from CAA air emissions control devices are subject to RCRA hazardous waste

regulations if hazardous

• Hospital, infectious, and medical waste incinerators are subject to NSPS and emissions guidelines under CAA

CWA • Sludges resulting from CWA wastewater treatment and pretreatment are subject to RCRA hazardous waste

regulations if hazardous

• Discharges from RCRA-permitted facilities must comply with the limitations set forth in NPDES permits

• RCRA-regulated USTs may also be subject to CWA SPCC requirements

EPCRA • Some RCRA TSDFs must submit annual reports to EPA detailing releases of chemicals to air, land, and water

FIFRA • FIFRA controls limit the level of toxic pesticides that are produced, and thereby reduce the amount of waste that

needs to be managed as hazardous under RCRA

• FIFRA requires the registration of pesticides and disinfectants used in medical waste treatment technologies

MPRSA • MPRSA prevents waste from a RCRA generator or TSDF from being deposited into the ocean, except in

accordance with a separate MPRSA permit

OSHA • RCRA hazardous waste generators and TSDFs may need to comply with OSHA training and planning standards

• RCRA cleanup activities and hazardous waste operations at generator facilities and TSDFs may need to comply

with HAZWOPER regulations

SDWA • MCLs may be adopted by the RCRA program as cleanup standards for corrective action

• RCRA contains provisions parallel to SDWA that prohibit the underground injection of hazardous wastes, unless

such wastes have been treated to meet their respective LDR treatment standards

TSCA • TSCA controls on the disposal methods of certain chemicals, such as PCBs, reduce the amount of waste that

needs to be managed as hazardous under RCRA

• TSCA controls on the manufacture and use of certain chemical substances also reduce the amount of waste that

needs to be managed as hazardous under RCRA
VI-5

Chapter 1: Legislative Framework for Addressing Hazardous Waste Problems

waterways. These discharges are defined as either

direct discharges, indirect discharges, or zero

discharges.

Direct discharges are discharges from “point

sources” into surface water pursuant to a NPDES

permit. NPDES permits are granted on a case-bycase basis and limit the permissible concentration of

toxic constituents or conventional pollutants in

effluents discharged to a waterway. These limits are

generally established on the basis of the best

available treatment technology and, where

necessary, to protect surface water quality standards.

Under indirect discharges, the wastewater is

first sent to a POTW, and then after treatment by the

POTW, discharged pursuant to an NPDES permit.

Under these requirements, the generator of the

wastes cannot simply transfer the waste materials to

a POTW. Rather, the wastes must satisfy applicable

treatment and toxic control requirements known as

pretreatment standards, where they exist. POTWs

that receive hazardous wastes for treatment are also

subject to certain RCRA permit-by-rule

requirements (as discussed in Section III, Chapter

8), and remain subject to RCRA corrective action.

Zero discharges mean that the wastewater is

not being discharged to a navigable water, but rather

is being land disposed (e.g., through spray

irrigation) or are disposed by underground injection.

Zero discharge facilities are subject to federal or

state regulatory limitations that are as strict as those

that apply to direct and indirect dischargers.

CWA also includes provisions intended to

prevent oil spills into the navigable waters of the

United States. These Spill Prevention, Control,

and Countermeasures (SPCC) regulations establish

spill prevention procedures and equipment

requirements for nontransportation-related facilities

with certain aboveground or underground oil storage

capacities that could reasonably be expected to

discharge oil into or upon the navigable waters of

the United States or adjoining shorelines. The

SPCC regulations provide a basic framework for

operational procedures, containment requirements,

and spill response procedures.

The major interactions between RCRA and

CWA include the following:

• Sludge resulting from wastewater treatment and

pretreatment under CWA must be handled as a

RCRA waste under Subtitle C, if hazardous.

• Discharges to surface waters from a RCRApermitted facility must comply with the

limitations set forth in a NPDES permit. This

means that either the facility itself has obtained

an NPDES permit, or the wastes meet CWA

pretreatment standards and have been

transported to a POTW.

• Dredged materials subject to the requirement of

a CWA §404 permit are not considered

hazardous wastes under RCRA.

• USTs that are subject to the technical

requirements of RCRA’s UST program may

also be subject to CWA SPCC requirements.

 Emergency Planning and Community

Right-to-Know Act

Congress amended CERCLA in 1986 with the

enactment of the Superfund Amendments and

Reauthorization Act. These amendments

improved the Superfund program and added an

important section that focused on strengthening the

rights of citizens and communities in the face of

potential hazardous substance emergencies. This

section, SARA Title III, or the Emergency

Planning and Community Right-to-Know Act

(EPCRA), was enacted in response to the more than

2,000 deaths caused by the release of a toxic

chemical in Bhopal, India.

EPCRA is intended to help communities prepare

to respond in the event of a chemical emergency,

and to increase the public’s knowledge of the

presence and threat of hazardous chemicals. To this

end, EPCRA requires the establishment of state and

local committees to prepare communities for

potential chemical emergencies. The focus of the

preparation is a community emergency response

plan that must: 1) identify the sources of potential

emergencies; 2) develop procedures for responding
Section VI: RCRA and Its Relationship to Other Environmental Statutes

VI-6

to emergencies; and 3) designate who will

coordinate the emergency response.

EPCRA also requires facilities to notify the

appropriate state and local authorities if releases of

certain chemicals occur. Facilities must also

compile specific information about hazardous

chemicals they have on site and the threats posed by

those substances. Some of this information must be

provided to state and local authorities. More

specific data must be made available upon request

from those authorities or from the general public.

The primary interaction between RCRA and

EPCRA is that some RCRA TSDFs treating

hazardous waste are required to submit annual

reports to EPA of their releases of chemicals to air,

land, and water.

 Federal Insecticide, Fungicide, and

Rodenticide Act

The Federal Insecticide, Fungicide, and

Rodenticide Act (FIFRA) provides procedures for

the registration of pesticide products to control their

introduction into

the marketplace.

As such, its

regulatory focus

is different from

most of the

statutes discussed

in this chapter.

While the other

statutes attempt to minimize and manage waste byproducts at the end of the industrial process, FIFRA

controls whether (and how) certain products are

manufactured or sold in the first place.

FIFRA imposes a system of pesticide product

registrations. Such requirements include pre-market

review of potential health and environmental effects

before a pesticide can be introduced in the United

States, reregistration of products introduced prior to

the enactment of FIFRA to assess their safety in light

of current standards, and classification of pesticides

for restricted or general use. Restricted products can

be used only by those whose competence has been

certified by a state program.

The major interactions between RCRA and

FIFRA include the following:

• FIFRA controls limit the level of toxic pesticides

that are produced, and thereby reduce the

amount of waste that needs to be managed under

RCRA.

• FIFRA requires the registration of pesticides and

disinfectants used in medical waste treatment

technologies (as discussed in Section V,

Chapter 2).

 Marine Protection, Research, and

Sanctuaries Act

The Marine Protection, Research, and

Sanctuaries Act (MPRSA) requires a permit for any

material that is transported from a U.S. port or by a

U.S. vessel for deposition at sea.

There are two major areas of overlap between

MPRSA and RCRA. MPRSA prevents waste from a

RCRA generator or TSDF from being deposited into

the ocean, except in accordance with a separate

MPRSA permit. In addition, dredged materials

subject to the requirement of a MPRSA §103 permit

are not considered hazardous wastes under RCRA.

 Occupational Safety and Health Act

The mission of the Occupational Safety and

Health Act (OSHA) is to save lives, prevent

injuries, and protect the health of employees in the

workplace. OSHA accomplishes these goals

through several regulatory requirements including

the Hazard Communication Standard (HCS), and

the Hazardous Waste Operations and Emergency

Response Worker Protection Standard

(HAZWOPER).

The HCS was promulgated to provide workers

with access to information about the hazards and

identities of the chemicals they are exposed to while

working, as well as the measures they can take to

protect themselves. OSHA’s Hazard

Communication Standard requires employers to

establish hazard communication programs to
VI-7

transmit information on the hazards of chemicals to

their employees by means of labels on containers,

material safety data sheets, and training programs.

The HAZWOPER was developed to protect the

health and safety of workers engaged in operations

at hazardous

waste sites,

hazardous waste

treatment

facilities, and

emergency

response

locations.

HAZWOPER

covers issues such as training, medical surveillance,

and maximum exposure limits.

The major interactions between RCRA and

OSHA include the following:

• Hazardous waste generators and TSDFs may

need to comply with OSHA training and

planning standards, in addition to RCRA

requirements.

• HAZWOPER regulations may be applicable to

RCRA corrective action cleanup activities, and

to hazardous waste operations at generator

facilities and TSDFs.

 Safe Drinking Water Act

The Safe Drinking Water Act (SDWA) protects

the nation’s drinking water supply by establishing

national drinking water standards (MCLs or specific

treatment techniques), and by regulating UIC wells.

The UIC program bans some types of underground

disposal of RCRA hazardous wastes. With some

exceptions, other materials cannot be injected

underground without a UIC permit.

The major interactions between RCRA and

SDWA include the following:

• MCLs may be adopted by the RCRA program as

cleanup standards for corrective action. Selected

MCLs are also used under the RCRA ground

water monitoring program for land disposal

units.

• RCRA also contains provisions parallel to

SDWA that prohibit the underground injection of

hazardous wastes, unless such wastes have been

treated to meet their respective LDR treatment

standards (as discussed in Section III, Chapter

6). RCRA also contains a ban on any injection

of hazardous waste into “shallow” wells.

 Toxic Substances Control Act

The primary focus of the Toxic Substances

Control Act (TSCA) is similar to that of FIFRA in

that the statute provides authorities to control the

manufacture and sale of certain chemical substances.

These requirements include testing of chemicals that

are currently in commercial production or use, premarket screening and regulatory tracking of new

chemical products, and controlling unreasonable

risks once a chemical substance is determined to

have an adverse effect on health or the environment.

TSCA controls on such unreasonable risks includes

prohibiting the manufacture or certain uses of the

chemical, requiring labeling, limiting volume of

production or concentration, requiring replacement

or repurchase of products, and controlling disposal

methods.

The major interactions between RCRA and

TSCA include the following:

• TSCA has a direct effect on RCRA through

controls on the disposal methods of certain

chemicals, such as PCBs. For example, while

TSCA regulates PCB disposal, RCRA also

regulates PCB disposal when the PCBs are

mixed with hazardous waste.

• TSCA also regulates used oil that contains

quantifiable levels of PCBs.

• TSCA’s indirect effect on RCRA is the same as

FIFRA’s. TSCA controls the manufacture and

use of certain chemical substances, which limits

the amount of waste that needs to be managed

under RCRA.

• EPA has proposed TSCA standards for the

disposal of lead-based paint (LBP) debris to

replace RCRA regulations. The new standards

would establish disposal standards for LBP

Chapter 1: Legislative Framework for Addressing Hazardous Waste Problems
Section VI: RCRA and Its Relationship to Other Environmental Statutes

VI-8

debris and identify recycling and incineration

activities that would be controlled or prohibited.

To avoid duplicative regulation, the waste that is

subject to these new standards would not be

subject to RCRA hazardous waste

determination.

SUMMARY

Several major environmental statutes work

together to address hazardous waste problems.

These include media-specific statutes that limit the

amount of waste released into a particular

environmental medium, and other statutes that

directly control the production of certain products,

and protect workers managing hazardous wastes.

These statutes are:

• Clean Air Act

• Clean Water Act

• Emergency Planning and Community Right-toKnow Act

• Federal Insecticide, Fungicide, and Rodenticide

Act

• Marine Protection, Research, and Sanctuaries

Act

• Occupational Safety and Health Act

• Safe Drinking Water Act

• Toxic Substances Control Act.

ADDITIONAL RESOURCES

Full-text versions of the major environmental

laws administered by EPA can be found at

www.epa.gov/epahome/laws.htm.
VI-9

In this chapter...

Overview .......................................................... VI-9

Definitions......................................................... VI-10

History and Purpose of CERCLA ..................... VI-10

Trigger for Statutory Response ........................ VI-11

Types of Response Actions ............................. VI-11

RCRA and Remedy Selection Under

CERCLA ........................................................... VI-12

RCRA Corrective Action vs. CERCLA

Response ......................................................... VI-13

Imminent Hazards Under RCRA and

CERCLA ....................................................... VI-13

Summary .......................................................... VI-14

Additional Resources ....................................... VI-14

OVERVIEW

This chapter focuses on the Comprehensive

Environmental Response, Compensation, and

Liability Act, which is a central part of the

legislative framework for environmental protection.

CERCLA is also known as Superfund.

CERCLA is designed to remedy the mistakes in

hazardous waste management made in the past,

while the RCRA waste management standards are

concerned with avoiding such mistakes through

proper management in the present and future.

RCRA mainly regulates how wastes should be

managed to avoid potential threats to human health

CHAPTER 2

SUPERFUND: THE HAZARDOUS WASTE

CLEANUP PROGRAM

and the environment. CERCLA, on the other hand,

is relevant primarily when mismanagement occurs

or has occurred (i.e., when there has been a release

or a substantial threat of a release in the

environment of a hazardous substance, or of a

pollutant or contaminant, that presents an imminent

and substantial threat to human health). More

specifically, RCRA authorizes a general regulatory

program to manage all hazardous wastes from cradle

to grave (i.e., from generation to ultimate disposal),

while CERCLA authorizes a number of government

actions to remedy the conditions that could result in

a release or the effects of a release itself. While the

two programs use parallel, but not identical,

procedures, both RCRA and CERCLA authorize

EPA to act in the event of an imminent hazard.

This chapter discusses why CERCLA was

enacted, summarizes some of the Statute’s

authorities, and examines the major areas where the

CERCLA and RCRA programs interact.

RCRA VS. CERCLA

RCRA mainly regulates how wastes should be managed

to avoid potential threats to human health and the

environment. CERCLA, on the other hand, comes into

play primarily when mismanagement occurs or has

occurred (i.e., when there has been a release or a

substantial threat of a release in the environment of a

hazardous substance or of a pollutant or contaminant

that presents an imminent and substantial threat to

human health).
Section VI: RCRA and Its Relationship to Other Environmental Statutes

VI-10

DEFINITIONS

RCRA and CERCLA both address hazards to the

environment. However, CERCLA is the more

comprehensive statute. CERCLA hazardous

substances encompass RCRA hazardous wastes, as

well as other toxic pollutants regulated by CAA,

CWA, and TSCA. Thus, all RCRA hazardous

wastes may trigger CERCLA response actions when

released into the environment. RCRA nonhazardous

solid wastes, on the other hand, do not trigger

CERCLA response actions unless they present an

imminent and substantial danger as pollutants or

contaminants (see Figure VI-3).

In addition to hazardous substances, CERCLA

addresses pollutants and contaminants, which are

broadly defined to include any substance that is

reasonably anticipated to cause illness or

deformation in any organism. All three definitions

specifically exclude petroleum and natural gas.

HISTORY AND PURPOSE OF

CERCLA

CERCLA was established in response to the

discovery, in the late 1970s, of a large number of

abandoned, leaking, hazardous waste dumps that

were threatening human health and contaminating

the environment. One of the best known dumps was

Love Canal in Niagara Falls, New York, where a

chemical company had buried large amounts of

hazardous waste in a canal originally designed to

transport water. After the canal was capped with

clay and soil, an elementary school was built over

the site, and the city of Niagara Falls grew rapidly

around it.

In the 1970s, an unusual number of community

residents (especially those who attended the

elementary school) developed serious health

problems. Moreover, the residents complained of

noxious fumes and of chemicals oozing out of the

ground. Subsequent government investigations

found extensive contamination of the area, including

ground water supplies. In 1978, President Carter

declared Love Canal a federal disaster area, and

most of the residents in the area around the site were

relocated.

At the time, declaring the site a federal disaster

area was the only viable option available to the

federal government. RCRA did not provide relief

because the problem did not involve the current or

future management of wastes. Legal actions against

the responsible parties did not offer a solution

because such action was too time consuming and

costly. Unfortunately, subsequent investigations

indicated that the scope of the waste dump problem

went far beyond Love Canal, making the federal

disaster relief option impractical. In late 1980,

Congress passed CERCLA to address other

uncontrollable hazardous waste sites similar to Love

Canal throughout the country.

CERCLA, as originally enacted in 1980,

authorized a five-year program by the federal

government to perform the following primary tasks:

• Identify those sites where releases of hazardous

substances had already occurred or might occur

and posed a serious threat to human health,

welfare, or the environment

• Take appropriate action to remedy those releases

• Force those parties responsible for the release to

pay for the cleanup actions.

Figure VI-3: Relationship Between

CERCLA Hazardous Substances

and RCRA Hazardous Wastes

CERCLA hazardous substances encompass RCRA

hazardous wastes as well as other toxic pollutants regulated

by CAA, CWA, and TSCA. RCRA nonhazardous solid

wastes do not trigger CERCLA response actions unless

they present an imminent and substantial danger to human

health and the environment as pollutants or contaminants.

Hazardous

Substances

CERCLA

Hazardous

Wastes

RCRA

Subtitle C

Solid

Wastes

RCRA

Subtitle D
VI-11

Chapter 2: Superfund: The Hazardous Waste Cleanup Program

To accomplish these tasks, CERCLA gave new

cleanup authority to the federal government, created

a $1.6 billion trust fund to pay for government

cleanup, and imposed cleanup liability on those

responsible. This “Super Fund” consisted primarily

of tax assessments on oil and designated chemicals.

During the five-year period of the original

CERCLA program, two facts became increasingly

clear: the problem of abandoned hazardous waste

sites was more extensive than originally thought,

and its solution would be more complex and time

consuming. Unlike RCRA response actions where

the owner and operator of a site are known,

CERCLA may deal with environmental threats due

to activities conducted long ago, thus the responsible

party may be unknown, no longer in existence (e.g.,

a defunct company), or unable to pay. To address

these additional concerns, SARA not only extended

CERCLA for another five years, but increased the

fund from a total of $1.6 billion to $8.5 billion.

SARA also established new standards and schedules

for site cleanup and also created new programs for

informing the public of risks from hazardous

substances in their community and preparing

communities for hazardous substance emergencies.

TRIGGER FOR STATUTORY

RESPONSE

CERCLA response authorities are triggered by a

release or a substantial threat of release of dangerous

substances into the environment (e.g., a chemical

spill from a tank truck accident or a leak from a

damaged drum). The release must involve either:

• A hazardous substance, as defined in the Statute

OR

• A pollutant or contaminant that may present an

imminent or substantial danger to public health

or welfare.

TYPES OF RESPONSE ACTIONS

Once a potential release has been discovered,

the information is entered into the Comprehensive

Environmental Response, Compensation, and

Liability Information System (CERCLIS), a

computerized database used to track hazardous

substance sites. After being entered into CERCLIS,

each site undergoes a preliminary assessment (PA)

to determine if the site poses a potential hazard and

whether further action is necessary. If the threat is

immediate, a removal action may be conducted.

Removal actions are short-term cleanup actions

that usually address problems only at the surface of

a site. They are conducted in response to an

emergency situation (e.g., to avert an explosion, to

cleanup a hazardous waste spill, or to stabilize a site

until a permanent remedy can be found). Removal

actions are limited to 12 months duration or $2

million in expenditures, although in certain cases

these limits may be extended. Removals may occur

at any point in time after the PA has been conducted.

Remedial actions are longer-term response

actions that ultimately represent the final remedy for

a site and generally are more expensive and of a

longer duration than removals. This is because the

remedial actions are intended to provide permanent

SUPERFUND REAUTHORIZATION

AND TAXING AUTHORITY

SARA not only extended CERCLA for another five

years, but increased the Fund from $1.6 billion to $8.5

billion. The taxing authority of SARA was to expire on

December 31, 1991; however, the Omnibus

Reconciliation Act of 1990 extended the taxes without

modification for four years, through December 31,

1995. Separately, the Superfund program was

reauthorized, without changes to the text of the

Statute, until September 30, 1994, a three-year

extension from the expiration date of the SARA

authorization in 1991. Congress failed to reauthorize

the Superfund program before September 30, 1994

(the end of the fiscal year), however, the program is

still operating because funding continues to be

appropriated to the Superfund program. In the future,

the Superfund program may be reauthorized and the

taxing authority may be extended.
Section VI: RCRA and Its Relationship to Other Environmental Statutes

VI-12

solutions to hazardous substance threats. It is

possible that both removal and remedial actions may

be taken at the same site. In the event that longerterm cleanup is necessary, the site is referred to the

remedial program for further investigation and

assessment.

If the PA reveals a contamination problem exists,

but does not pose an immediate threat that warrants

a removal, EPA will continue to study the site during

a site inspection (SI). Based on data collected

during the PA and the SI, EPA will evaluate the site

using the Hazard Ranking System (HRS), a model

and scoring system that determines the relative risk

to public health and the environment posed by

hazardous substances in ground water, surface water,

air, and soil. Only those sites with a score of 28.5

(on a scale from 0 to 100) are eligible for placement

on the National Priorities List, EPA’s priority

hazardous substance sites for cleanup. EPA only

funds remedial actions at hazardous waste sites on

the NPL. As of May 2002, there are over 1,200 sites

either on the NPL or proposed for inclusion. The

majority of sites are placed on the NPL based on

their HRS score. Under some circumstances, sites

may also be placed on the NPL by the state in which

the site is located or by the Agency for Toxic

Substances and Disease Registry (ATSDR).

Once a site is placed on the NPL, the remedial

process begins. The remedial process requires EPA

to design a community involvement plan that will

inform citizens of all remedial activities and provide

opportunities for public comment. A remedial

response has two main phases. The first phase, the

remedial investigation/feasibility study (RI/FS),

involves evaluating site conditions at the site,

defining any problems, and comparing alternative

site cleanup methods. After the remedy has been

selected, the decision is documented in the record

of decision (ROD). The second phase, the remedial

design/remedial action (RD/RA), involves

designing the chosen cleanup and beginning

construction.

Following the implementation of the remedy,

the state or the potentially responsible party (PRP)

assumes responsibility for the operation and

maintenance (O&M) of the site, which may include

such activities as ground water pump and treat, and

cap maintenance. Once EPA has determined that all

appropriate response actions have been taken and

cleanup goals have been achieved, the site is deleted

from the NPL through a formal rulemaking process.

RCRA AND REMEDY SELECTION

UNDER CERCLA

CERCLA assures that remedies are based on the

cleanup standards and criteria that have been

established by other laws, such as CAA, CWA, and

RCRA. CERCLA specifically requires that on-site

remedies attain any legally applicable or relevant

and appropriate requirements (ARARs),

standards, criteria, or limitations under federal or

more stringent state environmental laws, including

RCRA, unless site-specific waivers are obtained.

This means, for example, that whenever a remedial

action involves on-site treatment, storage, or

disposal of hazardous waste, the action must meet

RCRA’s technical standards for such treatment,

storage, or disposal (as discussed in Section III,

Chapter 5). The National Oil and Hazardous

Substances Pollution Contingency Plan (NCP),

which is the regulatory blueprint for the CERCLA

program, addresses the application of ARARs to

CERCLA remedial actions (40 CFR Part 300).

Once hazardous wastes are transported from a

CERCLA site, they are subject to full RCRA

regulation. Therefore, all transportation and TSD

requirements under RCRA must be followed. This

means that off-site shipments must be accompanied

by a manifest. In particular, the off-site disposal of

hazardous wastes can occur only at a RCRA facility

in a unit in full compliance with the Subtitle C

requirements. Agency policy requires that the

WHAT ARE ARARS?

CERCLA on-site remedies must attain any ARARs

standards, criteria, or limitations under federal or more

stringent state environmental laws, including RCRA,

unless site-specific waivers are obtained. This means,

for example, that whenever a remedial action involves

on-site treatment, storage, or disposal of hazardous

waste, the action must meet RCRA’s technical

standards for such treatment, storage, or disposal.

The NCP details the application of ARARs to

Superfund remedial actions.
VI-13

disposal facility be inspected by EPA six months

prior to receiving the waste.

For off-site land disposal of wastes resulting

from a CERCLA activity, the program contains two

additional requirements. First, the unit in which the

wastes are to be disposed must not be releasing

hazardous wastes or constituents into ground water,

surface water, or soil. Second, any releases from

other units of the facility must be under an approved

RCRA corrective action program. This policy

assures that wastes shipped off site from CERCLA

sites are sent to environmentally sound waste

management facilities.

Finally, EPA may not take or fund remedial

actions in a state unless the state ensures the

availability of hazardous waste treatment and

disposal capacity by submitting a capacity

assurance plan (CAP) to EPA. This capacity must

be for facilities that are in compliance with RCRA

Subtitle C requirements, and must be adequate to

manage hazardous wastes projected to be generated

within the state over 20 years. This requirement

limits and manages the amount of hazardous waste

generated in the United States by encouraging waste

minimization and recycling, interstate agreements,

and efficient and realistic hazardous waste

management systems. Currently, every state in the

nation had submitted a CAP to EPA.

RCRA CORRECTIVE ACTION VS.

CERCLA RESPONSE

The cleanup of a site with hazardous waste

contamination may be handled under either

CERCLA, as described above, or RCRA. RCRA

authorizes EPA to require corrective action (under

an enforcement order or as part of a permit)

whenever there is, or has been, a release of

hazardous waste or constituents at TSDFs. The

RCRA statute also provides similar corrective action

authority in response to releases at interim status

facilities. Further, RCRA allows EPA to require

corrective action beyond the facility boundary. EPA

interprets the term corrective action (as discussed in

Section III, Chapter 9) to cover the full range of

possible actions, from studies and interim measures

to full cleanups. Anyone who violates a corrective

action order can be fined up to $27,500 per day of

noncompliance and runs the risk of having their

permit or interim status suspended or revoked.

RCRA and CERCLA cleanup programs follow

roughly the same approach to cleanups. In both,

examinations of available data are made after

discovery of a release to determine if an emergency

action is warranted. Both programs authorize shortterm measures to abate immediate adverse effects of

a release. Once an emergency has been addressed,

both programs provide for appropriate investigation

and more investigation as needed to establish longterm cleanup options. One major difference

between the two programs involves funding.

CERCLA requires that site conditions be analyzed

according to HRS and that only NPL sites receive

any remedial action funding. There is no

comparable requirement under the RCRA corrective

action program because the owner or operator of the

site is responsible for the cost of the cleanup.

The facility owner or operator implements

RCRA corrective action. On the other hand, a

number of different parties can implement a

CERCLA remedial action in a number of different

ways. For example, agreements may be reached that

allow PRPs, the State, or the Federal government, to

assume that the lead for certain portions of a

response action.

Generally, cleanups under RCRA corrective

action or CERCLA will substantively satisfy the

requirements of both programs. It is EPA’s general

policy for facilities subject to both CERCLA and

RCRA to be deferred to RCRA authority. In some

cases, however, it may be more appropriate to use

both RCRA and CERCLA authorities. EPA has

many procedures in place to facilitate coordination

between RCRA and CERCLA programs.

IMMINENT HAZARDS UNDER

RCRA AND CERCLA

Both RCRA and CERCLA contain provisions

that allow EPA to require persons contributing to an

imminent hazard to take the necessary actions to

clean up releases. RCRA’s §7003 imminent and

substantial endangerment provision addresses

Chapter 2: Superfund: The Hazardous Waste Cleanup Program
Section VI: RCRA and Its Relationship to Other Environmental Statutes

VI-14

nonhazardous as well as hazardous solid waste

releases. The authority under CERCLA §106 is

essentially the same, except that CERCLA’s

authority to abate an imminent or substantial danger

to public health or the environment is limited to

hazardous substance releases. In an enforcement

action, the RCRA and CERCLA imminent hazard

provisions may be used in tandem to ensure

adequate protection of human health and the

environment.

SUMMARY

CERCLA authorizes cleanup responses

whenever there is a release, or a substantial threat of

a release, of a hazardous substance, a pollutant, or a

contaminant, that presents an imminent and

substantial danger to public health. After a potential

release has been discovered, the site is entered into

CERCLIS, and undergoes a PA. If the hazard is

immediate, EPA may require a removal action. If a

contamination problem still exists, but is not an

immediate threat, EPA will conduct an SI, evaluate

the site using the HRS, and possibly place the site on

the NPL for remedial action. Such longer-term

remedial actions involve additional remediation

steps and larger expenditure of time and resources

because they provide permanent solutions to

hazardous substance problems. These additional

steps include an RI/FS. After a remedy has been

selected, the decision is documented in the ROD, the

RD/RA is implemented, and the state or PRP is

responsible for O & M of the site. When all

appropriate remedial actions have been taken and

the cleanup goals have been achieved, the site is

deleted from the NPL.

The RCRA program differs from the CERCLA

waste management approach. The general

distinction between the two programs is that RCRA

authorizes the safe and protective management of

wastes, while CERCLA authorizes cleanup

responses whenever there is a release of wastes.

However, the two programs do overlap. For

example, RCRA standards may be considered

ARARs and can be important in selecting remedies

under CERCLA. Moreover, RCRA’s corrective

action and CERCLA’s remedial action use parallel,

but not identical, procedures. Finally, both Statutes

authorize EPA to act in the event of an imminent

hazard.

ADDITIONAL RESOURCES

Additional information about the topics covered

in this chapter can be found at www.epa.gov/

superfund. Further information about EPA cleanup

programs can be found at www.epa.gov/epaoswer/

osw/cleanup.htm.
VII-1

In this section...

Overview .......................................................... VII-1

Permitting ......................................................... VII-2

- Pre-Application Meeting ................................ VII-3

- The Draft Permit, Public Comment Period,

and Public Hearing ....................................... VII-3

- Permit Modifications ...................................... VII-4

- Permit Renewals ........................................... VII-5

- Trial Burn Notices.......................................... VII-5

- Interim Status Facilities ................................. VII-5

- Post-Closure Permits .................................... VII-5

- Post-Closure Alternatives to Permits ............ VII-5

- Information Repositories ............................... VII-5

Corrective Action .............................................. VII-5

- Corrective Action Permits ............................. VII-6

- Corrective Action Orders ............................... VII-6

- Remedial Action Plans .................................. VII-7

- Voluntary Corrective Action .......................... VII-7

State Authorization ........................................... VII-7

The Rulemaking Process ................................. VII-7

- Proposed Rulemakings ................................. VII-7

- Public Comment ............................................ VII-7

- Final Rulemakings ......................................... VII-7

- Rulemaking Information ................................ VII-8

Environmental Justice ...................................... VII-8

Outreach and Public Assistance ...................... VII-8

- Grants ........................................................... VII-9

- Freedom of Information Act........................... VII-9

- EPA's Office of Ombudsman ........................ VII-9

- EPA Docket Center........................................ VII-9

- RCRA, Superfund & EPCRA Call Center ...... VII-10

Summary .......................................................... VII-10

Additional Resources ....................................... VII-10

SECTION VII

 PUBLIC PARTICIPATION 

OVERVIEW

EPA is committed to involving the public in the

development and implementation of the solid waste,

hazardous waste, and UST environmental decisionmaking. One of the Agency’s central goals is to

provide equal access to information and an equal

opportunity to participate. EPA regards public

participation as an important activity that empowers

communities to become involved in local RCRArelated activities.

Through RCRA, Congress gave EPA broad

authority to provide for public participation in the

regulatory program. RCRA §7004(b) directs EPA to

provide for, encourage, and assist public

participation in the development, revision,

implementation, and enforcement of any regulation,

guideline, information, or program under the Act.

The RCRA public participation requirements

bring government, private industry, public interest

groups, and citizens together to make important

decisions about hazardous waste, solid waste, and

UST facilities. Specifically, these groups and

individuals have a stake in RCRA’s hazardous waste

management program, such as TSDF permitting,

corrective action, and state authorization. On a

broader level, the public also has tremendous

interest in EPA’s rulemaking process and

environmental justice.

Public involvement in the RCRA program

presents unique needs and opportunities. While the

Agency is firmly committed to promoting broad and

equitable public participation, EPA also seeks to
Section VII: Public Participation

VII-2

ensure the flexibility for individual permit writers,

facilities, and communities to adopt the most

appropriate, site-specific approach consistent with

the principles of fairness and openness. As a result,

in many instances, EPA references guidance, instead

of codified regulatory language, to encourage all

stakeholders, such as facilities, permitting agencies,

and the public, to strive toward public involvement

goals, while at the same time maintaining the

flexibility consistent with a national regulatory

approach.

EPA views public outreach as an essential

element of public participation. Public outreach

educates people about hazardous waste issues and

the RCRA decision-making process. Public

outreach also creates informal opportunities for

public input and dialogue. To expand public

participation, the Agency actively engages in

extensive public outreach activities.

PERMITTING

A focus of RCRA public participation is the

involvement of the public in the hazardous waste

TSDF permitting process. (Permitting is fully

discussed in Section III, Chapter 8.) TSDF owners

and operators handle large quantities of waste that

present potential risk to human health and the

environment. Public participation informs the

public of the types of wastes and management

methods that the TSDF owner and operator intends

to employ and allows the public an opportunity to

discuss the facility's anticipated waste management

activities with the owner and operator.

Communities may provide information that facility

owners and operators may not otherwise have access

to, and which may impact some of the facility plans

(e.g., information on day care locations that might

impact transportation routes to and from the

facility). Public participation also benefits the

TSDF owner and operator because it fosters

community relations and can help to avoid delays

and future litigation by addressing public concerns

up front.

From the permitting agency’s point of view, the

public can contribute valuable information and ideas

that can improve the quality of agency decisions and

permit applications. With public input, permitting

decisions are influenced by local circumstances that

technical staff alone cannot provide.

The permitting process serves as an appropriate

mechanism for public participation requirements

because the permit serves as the set of requirements

against which compliance will be measured. Public

interaction in the process serves both to educate the

public and to allow the public to express concerns to

the facility and the permitting agency. Each step in

the RCRA permit decision process is accompanied

by public participation requirements (see Figure

VII-1). EPA promulgated regulations in 40 CFR

Parts 25, 124, and 270 to create opportunities for the

public to learn about RCRA activities and provide

input during the permitting process. These

requirements may not be sufficient in all cases.

Permitting agencies and facilities should consider

going beyond the regulatory requirements, as

necessary, to provide for meaningful and equitable

public participation.

Public interaction occurs during pre-application

meetings, public comment and response periods, and

public hearings. Through all of these steps, the

public can engage facility owners and operators and

regulators in a dialogue. This dialogue is crucial

because a successful public participation program

requires the flow of information among all

stakeholders.

EPA encourages public participation activities

that occur outside the formal permitting process.

Citizens can contact environmental, public interest,

civic, and community groups that have an interest in

the facility and become involved in their activities.

The permit applicant may also create informal

opportunities for public input and dialogue.

THE IMPORTANCE OF PUBLIC PARTICIPATION

Public participation informs the public of the types of

wastes and management methods that a TSDF owner

and operator intends to employ and allows the public

an opportunity to voice its concerns about these risks.

Public participation also benefits the TSDF owner and

operator because it fosters community relations and

can help to avoid delays and future litigation by

addressing public concerns up front.
VII-3

Section VII: Public Participation

 Pre-Application Meeting

The public participation provisions require

prospective applicants to hold an informal public

meeting before submitting an application for a

RCRA permit. The permit applicant should select a

meeting time, date, and place that are convenient to

the public. The permit applicant must provide notice

of the pre-application meeting at least 30 days prior

to the meeting in a manner that is likely to reach all

members of the affected community. The applicant

must advertise the meeting in the newspaper,

through a broadcast announcement, and on a sign

posted at or near the property. The meeting will

provide a chance for the community to interact with

and provide input to an owner and operator before

the submission of the permit application. At the

meeting, the owner and operator should describe the

facility in the level of detail that is practical at the

time of the meeting to give the public enough

information to understand the facility operations and

potential impacts to human health and the

environment. The permit applicant must submit

with the permit application a summary of the

meeting and a list of all attendees. Upon receipt of

the permit application, the permitting agency must

send a notice to everyone on the facility mailing list

specifying where the public can examine the

application. Thus, the public may begin reviewing

the application at the same time as the permitting

agency.

 The Draft Permit, Public Comment

Period, and Public Hearing

Once the permit application is complete, the

permitting agency will decide whether to issue a

draft permit or a notice of intent to deny. In either

case, the permitting agency notifies the public of its

decision and announces the opening of a minimum

45-day public comment period. The permitting

agency prints the notice in a local paper, broadcasts

the notice over a local radio station, and sends a

copy to the mailing list recipients and relevant

agencies. The permitting agency also prepares a fact

sheet or statement of basis regarding its decision.

The fact sheet (or statement of basis) explains the

factual, legal, methodological, and policy questions

considered in making the decision to issue or deny

the permit.

Figure VII-7: Public Involvement

in the RCRA Permitting Process

Upon receipt of 

application, permitting 

agency sends notice to 

everyone on facility 

mailing list indicating 

where public can view 

application 

Permitting agency 

notifies public of 

decision to issue a draft 

permit or a notice of 

intent to deny, and 

opens minimum 45-day 

comment period

During comment period, 

public or permitting 

agency may request a 

hearing; Permitting 

agency must notify 

public at least 30 days 

prior to such a hearing

After comment period 

closes, permitting agency 

reviews and evaluates all 

comments, and issues a 

final permit decision

Permitting agency 

notifies the facility owner 

and operator, public 

commenters, and all 

other persons who 

requested notice on the 

final permit decision

Permit applicant submits 

permit application, including 

a summary of the public 

meeting that includes 

details of the meeting and 

list of attendees

Informal public meeting 

Facility notifies public of 

informal meeting at least 30 

days prior to meeting
Section VII: Public Participation

VII-4

Any person may request a public hearing during

the comment period. The permitting agency holds a

hearing if someone submits a written notice of

opposition to the draft permit and a request for a

hearing, or if the permitting agency finds a

significant degree of interest in the draft permit.

The permitting agency may also hold a public

hearing at its own discretion. The permitting agency

must notify the public at least 30 days prior to the

hearing.

The comment period on the draft permit allows

public submission of written concerns and

suggestions to the permitting agency in writing. The

permitting agency describes and responds to all

significant comments raised during the comment

period.

After the public comment period closes, the

permitting agency will review and evaluate all

comments and issue a final permit decision. The

agency sends a notice of decision to the facility and

any person who submitted comments or requested

notice on the final permit decision.

 Permit Modifications

As with the initial permit process, permit

modifications can raise public concerns that must be

addressed through public participation. Public

participation responsibilities and activities vary

depending on who initiated the modification and the

degree to which the modification changes the

facility permit. When a modification is proposed,

only the permit conditions subject to modification

are reopened for public comment.

Permitting agencies may initiate a permit

modification if there are substantial alterations or

additions to the facility, if new information is

received by the permitting agency that was not

available at the time of permit issuance, or if new

regulations or judicial decisions affect the conditions

of the permit. Agency-requested permit

modifications are subject to the same public

participation requirements that are required during

the permitting process.

Permit modifications initiated by the facility

owner and operator are categorized as Class 1, 2, or

3 according to how substantively they change the

original permit. The only public involvement

requirement for Class 1 modifications is that within

90 days of implementing a change the facility must

send a notice to all parties on the mailing list

compiled by the permitting agency.

The Class 2 modifications are more stringent

than Class 1 modifications, and involve public

notice in a local newspaper, a 60-day comment

period, and a public meeting held no earlier than 15

days into the comment period and no later than 15

days before it ends. At any time during the Class 2

procedures, the permitting agency may reclassify the

request as a Class 3 modification if there is

significant public concern or if the agency

determines the modification is too complex for the

Class 2 procedures.

Class 3 modifications address changes that

substantially alter a facility or its operations, and

often raise significant public concern. While these

modifications are subject to the same public

participation provisions as Class 2 modifications,

Class 3 modifications require the permitting agency

to provide the public with additional opportunities to

participate in the process. For example, the

permitting agency must issue a public notice of the

agency's draft permit decision, allow for a 45-day

public comment period on the decision, develop a

fact sheet or statement of basis, and hold a public

meeting (if requested) with 30-day advance notice.

PUBLIC PARTICIPATION DURING

PERMIT MODIFICATIONS

Public participation requirements during permit

modifications vary depending on the extent of the

modification. Class 1 permit modifications require that

within 90 days of implementing a change, the facility

must send a notice to all parties on the mailing list

compiled by the permitting agency. Class 2 permit

modifications involve public notice in a local

newspaper, a 60-day comment period, and a public

meeting held no earlier than 15 days into the comment

period and no later than 15 days before it ends. While

Class 3 modifications are subject to the same

requirements as Class 2 modifcations, such

modifications require the permitting agency to provide

the public with additional opportunities to participate in

the process.
VII-5

Section VII: Public Participation

 Permit Renewals

A facility owner and operator who makes a

significant change during the renewal of their permit

is also subject to the pre-application meeting and

notice requirements. A significant change in facility

operations is a change that is equivalent to a Class 3

modification. This requirement ensures that if

during permit renewal a facility makes significant

changes to an already publicly reviewed and

approved permit, the public will have an opportunity

to participate in the permit review and approval

process.

 Trial Burn Notices

Owners and operators of new hazardous waste

combustion facilities may not commence a trial burn

until after the permitting agency has issued the

required notice. EPA anticipates that permitting

agencies will typically notify the public at least 30

days prior to the trial burn. The notice requirement

applies only to the initial trial burn, and not to

subsequent burns that may be conducted as part of a

permit modification. For interim status combustion

units, the permitting agency must also provide

public notice of the intent to approve a trial burn

plan.

 Interim Status Facilities

In general, interim status facilities are not

required to follow any standardized public

participation procedures until the facility owner and

operator applies for a permit. Implementing

agencies may need to use innovative techniques to

communicate with the public about interim status

facilities. EPA acknowledges that each situation will

require a different type and level of community

involvement in order to address public concerns.

 Post-Closure Permits

Owners and operators who submit a permit

application for the purpose of conducting postclosure activities are not subject to the

pre-application meeting and notice requirements.

EPA’s experience is that the public has usually been

concerned with permit decisions related to active

hazardous waste management operations rather than

closed facilities. Post-closure activities are subject

to the public notice and comment period at the draft

permit stage.

 Post-Closure Alternatives to Permits

Owners and operators who are conducting postclosure activities using non-permit alternatives, such

as enforceable documents, are also subject to public

participation requirements. The public participation

provisions for these alternatives include public

notice and comment.

EPA encourages early, meaningful, and

continuous involvement of the public, including

regularly updating the community on the progress

made at the facility. Meaningful public participation

is achieved when all impacted and affected parties

have ample time to participate in the facility cleanup

decisions.

 Information Repositories

In certain instances, RCRA permits can be the

subject of intense debate. When public interest is

strong, the demand for information increases. The

public participation requirements allow the

permitting agency to require a permit applicant to

set up an information repository at any time after

submittal of the permit application and during the

life of the permit. The repository will hold all

information and documents that the permitting

agency decides are necessary to adequately inform

and educate the public. EPA intended for permitting

agencies to use the information repository

requirement sparingly on a case-by-case basis when

a significant amount of public concern has surfaced

or where the community has unique information

needs.

CORRECTIVE ACTION

Corrective action investigations and remedial

actions at hazardous waste facilities also create

strong community interest because contamination

can directly affect and impact communities.
Section VII: Public Participation

VII-6

(Corrective action is fully discussed in Section III,

Chapter 9.) The community may seek information

related to current or potential contamination,

including levels of contamination, the extent of

health and environmental risks, and the potential for

future risks. The public may also seek additional

opportunities to provide input to the overseeing

agency or the facility about the cleanup of the

contamination.

More than 6,000 facilities are subject to RCRA

corrective action. The necessary degree of cleanup

at these sites varies significantly. Program

implementors are granted latitude in structuring the

corrective action process, developing cleanup

objectives, and selecting remedies appropriate to

site-specific circumstances. Similar latitude is

allowed in determining the best approach to public

participation, in order to provide opportunities

appropriate for the level of interest of the

community.

Public participation requirements during

corrective action are established in regulations;

further recommendations are set out in guidance.

The regulations set requirements that facilities and

implementing agencies must meet when a permit is

issued or modified to incorporate corrective action

provisions.

In the absence of final regulations specifically

addressing public participation during corrective

action, program implementors and facility owners

and operators should develop public participation

strategies on a site-specific basis, consistent with

existing public participation requirements and the

program goal of full, fair, and equitable public

participation. Permitting agencies and facilities

should make all reasonable efforts to provide for

early public participation because important

corrective action decisions are made during the site

investigation and characterization. At a minimum,

information regarding corrective action activities

should be available to the public and the public

should be given an opportunity to review and

comment on proposed corrective action remedies.

 Corrective Action Permits

When corrective action is part of the RCRA

permitting process, it follows the public

participation requirements associated with

permitting. Thus, the corrective action provisions in

any permit application are available for public

review throughout the permitting process and the

public can comment on them at the draft permit

stage.

 Corrective Action Orders

EPA regulations do not require that corrective

action activities that are imposed or overseen

through an order include public participation.

However, EPA’s policy is that the same level of

public participation requirements imposed under a

permit should generally apply under a corrective

action order. There may be limitations on the

implementing agency’s ability to release or discuss

certain information when using an order, but if

public interest in the facility is high, the agency

should address concerns without breaching the

confidentiality of the owner’s and operator’s case by

at least discussing why limitations are necessary,

and if and when they will be lifted.

EPA has clarified various issues in reference to

public participation activities during RCRA §7003

imminent hazard cleanups. Specifically, §7003

orders should involve public participation to the

maximum extent possible. During these cleanups,

EPA should provide public notice and an

opportunity to comment when the Agency issues the

order, during the remedy selection process, and upon

Agency determination that the cleanup has been

PUBLIC PARTICIPATION

DURING CORRECTIVE ACTION

When corrective action is part of the RCRA permitting

process, it follows the public participation

requirements associated with permitting. While EPA

regulations do not require public participation for

corrective action activities that are imposed or

overseen through an order, EPA’s policy is that the

same level of public participation requirements

imposed under a permit should generally apply under

a corrective action order.
VII-7

Section VII: Public Participation

completed. When situations prevent public

participation from occurring, the Agency should

involve the public at the earliest opportunity. The

Agency may also consider holding public meetings

to address concerns if the site has attracted

significant attention.

 Remedial Action Plans

Public participation for Remedial Action Plans

(RAPs) includes public notice and comment of the

draft RAP or the notice of intent to deny. An

informal public hearing may also be requested under

the public participation provisions for RAPs.

 Voluntary Corrective Action

Although EPA typically has less control over

public participation during voluntary corrective

action, the Agency encourages the use of public

participation and will generally take into account the

level of public participation conducted by the

facility owner and operator when evaluating the

acceptability of voluntary actions.

STATE AUTHORIZATION

RCRA also requires public involvement when

EPA authorizes states to implement the hazardous

waste regulations. Such public involvement is

intended to allow the public to voice their concerns

regarding the change in implementing agency.

Specifically, during the state authorization process, a

state must provide public notice and an opportunity

for public hearing before submitting its application

for final authorization. The Statute also requires

that EPA provide opportunity for public hearing

before it decides to grant or deny a state’s

authorization and before EPA withdraws a state’s

authorization. (State authorization is fully discussed

in Section III, Chapter 11.)

THE RULEMAKING PROCESS

Besides facilitating public participation during

hazardous waste TSDF permitting, corrective action,

and state authorization under the RCRA Subtitle C

program, EPA proactively initiates public

involvement activities as part of all formal RCRA

rulemakings. Congress, through the Administrative

Procedures Act (APA) (5 U.S.C. Sections 551-

559), established the legal requirement that federal

agencies provide the public with notice and an

opportunity to comment on rulemakings. The Act

addresses rulemaking procedures as well as sitespecific licensing procedures, access to agency

information, and procedures and standards for

judicial review of agency actions. All

environmental rulemakings proposed and finalized

by EPA include public participation throughout the

process (see Figure VII-2).

 Proposed Rulemakings

The first step in the rulemaking process is the

issuance of the notice of proposed rulemaking by

EPA. The forum for providing the public with

notice of a proposed rule is the Federal Register.

The notice must include a statement of the time,

place, and nature of the rulemaking, a reference to

the legal authority under which the rule is proposed,

and the terms of the proposed rule.

 Public Comment

After notice is given, EPA must provide

interested persons an opportunity to participate in

the rulemaking through submission of written data,

views, or arguments. This process not only educates

the public, but also provides valuable information to

EPA during the regulatory development process.

Up-front participation reduces the likelihood of

litigation challenging subsequent regulations.

Public participation can take many forms, including

opportunity for a hearing, opportunity for access to

EPA materials, and opportunity for written

comments on proposals.

 Final Rulemakings

Once public comments are considered, EPA will

revise the proposed rulemaking. The rule will often

change between its proposal and finalization as a

result of public comments. The final rule is

published in the Federal Register, and EPA will

respond to public comments in the rule’s preamble.
Section VII: Public Participation

VII-8

After final promulgation, EPA must give any

interested party the right to petition for the issuance,

amendment, or repeal of the rule.

 Rulemaking Information

EPA evaluates a variety of background

information, as well as public comments, in the

development of a particular rulemaking. Each

Federal Register lists a background docket that is

available for public viewing. This docket contains

all the background documents, including scientific

studies, risk assessments, public comments, and

EPA responses, that were used for that particular

rulemaking.

In addition to the background docket, the

Federal Register also contains regulatory impact

analyses. These are analyses of a particular

rulemaking’s effects on other environmental

regulations and economic impact on the regulated

community.

In these analyses, EPA evaluates the effects a

rule will have on other environmental regulations,

such as CERCLA and CWA, and publishes the

expected impacts in the Federal Register. In

addition, EPA studies the economic effects of a

particular rule on the regulated community to

determine compliance costs. As required by the

Regulatory Flexibility Act of 1980, the Agency also

evaluates the impacts of the rulemaking on small

businesses, small organizations, and small

governmental jurisdictions.

ENVIRONMENTAL JUSTICE

Environmental justice refers to the fair

distribution of environmental risks across

socioeconomic and racial groups. On February 11,

1994, President Clinton issued Executive Order

12898, directing federal agencies to identify and

address environmental concerns and issues of

minority and low-income communities. EPA is

committed to equal protection in the implementation

and enforcement of the nation’s environmental laws.

EPA believes that environmental justice issues

should be addressed on a local level and on a sitespecific basis. EPA encourages permitting agencies

and facilities to use all reasonable means to ensure

that all segments of the population have an equal

opportunity to participate in the permitting process

and have equal access to information in the process.

These means may include, but are not limited to,

multilingual notices and fact sheets, as well as

translators, in areas where the affected community

contains significant numbers of people who do not

speak English as a first language.

OUTREACH AND PUBLIC

ASSISTANCE

A number of opportunities exist for the public to

obtain RCRA program information and assistance.

These include grants, the Freedom of Information

Act, EPA Office of Ombudsman, the RCRA

Information Center, and the RCRA, Superfund &

EPCRA Call Center.

Figure VII-2: The Rulemaking Process

EPA issues notice of proposed 

rulemaking in the Federal Register

EPA issues notice of final rulemaking in 

the Federal Register and responds to 

public comments in the rule’s preamble

If necessary, EPA will give any interested 

party the right to petition for the issuance, 

amendment, or repeal of the rule

Public responds to notice of proposed 

rulemaking (e.g., attends hearings, 

submits written comments)

EPA revises notice of

 proposed rulemaking 
VII-9

Section VII: Public Participation

 Grants

Under RCRA §7007, EPA has the authority to

provide grants to states, municipalities, educational

institutions, or any other organization to help these

groups effectively implement training programs that

demonstrate solid waste management and resource

recovery operations. Such grants provide

governments and nonprofit organizations with the

opportunity to further the goals of Act through

public outreach.

 Freedom of Information Act

The Freedom of Information Act (FOIA)

provides private parties with the right to obtain

information in the possession of the government.

Unless materials are promptly published and copies

are offered for sale, each agency must make

information available for public inspection and

copying. FOIA requires each agency to establish

procedures for handling requests regarding

government statutes, regulations, standards, permit

conditions, requirements, orders, and policies.

There are certain materials which are not subject

to FOIA. These include:

• Draft materials

• Matters of national defense or foreign policy

• Material related solely to internal personnel

rules and practices

• Trade secrets and privileged commercial or

financial information

• Investigation material collected for enforcement

purposes

• Geological and geophysical information and

data.

EPA has pursued a policy of fully disclosing its

records to the public, consistent with the rights of

individuals to privacy, the rights of persons entitled

to protection under confidential business

information (CBI) provisions, and the need for EPA

to promote internal policy deliberations. EPA will

disclose information to any requester to the fullest

extent possible without unjustifiable expense or

unnecessary delay.

 EPA’s Office of Ombudsman

In order to create a central clearinghouse for

public concerns on matters relating to the

implementation and enforcement of RCRA, EPA

established the Office of Ombudsman and appointed

a Hazardous Waste Ombudsman at EPA

Headquarters and each EPA Region. The primary

responsibilities of the Ombudsman are to respond to

questions and complaints regarding implementation

of the RCRA program. Additionally, the

Ombudsman makes recommendations to the EPA

Administrator based on inquiries received. The

EPA Headquarters Ombudsman may be reached by

contacting:

Office of Ombudsman

U.S. Environmental Protection Agency

Office of Solid Waste and Emergency Response

1200 Pennsylvania Avenue, N.W.

Washington, DC 20460

(800) 262-7937

 EPA Docket Center

Each time a rulemaking process is announced, a

docket is established to store materials (e.g., Federal

Registers, supporting documentation, and public

comments) throughout the rulemaking process.

Paper dockets, electronic dockets, and information

centers serve as the respository for this information.

In September 2002, EPA consolidated many of the

docket facilities located in the Metropolitan

Washington area into one combined docket facility.

The new docket facility, the EPA Docket Center,

supports several EPA programs, including the

Resource Conservation and Recovery Act (RCRA),

the Comprehensive Environmental Response,

Compensation, and Liability Act (CERCLA), the Oil

Pollution Act (OPA), the Clean Air Act (CAA), the

Toxic Substances Control Act (TSCA), the Toxic

Release Inventory (TRI), the Safe Drinking Water
Section VII: Public Participation

VII-10

Act (SDWA), and the Clean Water Act (CWA). The

EPA Docket Center is located at:

EPA West

Room B102

1301 Constitution Avenue, NW

Washington, DC 20014

Hours of operation are 8:30 a.m. to 4:30 p.m.,

EST, Monday through Friday, excluding federal

holidays.

In addition to the EPA Docket Center, EPA

maintains an electronic public docket system, known

as EPA Dockets (EDOCKET). EDOCKET allows

an individual to search, download, and print the

documents in a docket, as well as submit comments

online. This docket is available at www.epa.gov/

edocket

 RCRA, Superfund & EPCRA Call

Center

The RCRA, Superfund & EPCRA Call

Center is a publicly accessible service which

provides up-to-date regulatory information. The

Call Center responds to factual questions on federal

EPA regulations developed under RCRA, CERCLA,

EPCRA, the Oil Pollution Act (OPA), and SPCC.

The Call Center is staffed by professionals who are

completely familiar with the latest issues and

regulations affecting the hazardous waste program.

The Call Center is open Monday through Friday

from 9:00 a.m. to 5:00 p.m., EST, and may be

contacted at either (703) 412-9810, or toll-free,

(800) 424-9346.

SUMMARY

EPA is committed to involving the public in the

development and implementation of the solid waste,

hazardous waste, and UST regulations and seeks to

empower communities to become involved in local

RCRA-related activities. To achieve these goals, the

RCRA public participation requirements bring

government, private industry, public interest groups,

and citizens together to make important decisions

about hazardous waste management facilities.

A focus of RCRA public participation is the

involvement of the public in the hazardous waste

TSDF permitting process. The public interaction

occurs during pre-application meetings, public

comment and response periods, and public hearings.

RCRA includes specific provisions to involve the

public in all stages of the hazardous waste TSDF

permitting process: prior to the initial permit

application; after draft permit issuance; and during

permit modifications, permit renewals, post-closure

permits, and trial burns.

In addition, RCRA requires public involvement

during Subtitle C corrective action, whether such

cleanups are instituted through a permit or order, or

conducted voluntarily. RCRA also requires public

involvement when EPA authorizes states to

implement the hazardous waste regulations.

While RCRA’s initiatives to facilitate public

participation during hazardous waste TSDF

permitting, corrective action, and state authorization

are limited to the RCRA Subtitle C program, EPA is

required to comply with the public involvement

provisions under APA for all formal rulemakings

under all RCRA subtitles.

Consistent with Executive Order 12898,

directing federal agencies to identify and address

environmental concerns and issues of minority and

low-income communities, EPA encourages allowing

all segments of the population equal access to

information pertaining to the RCRA program.

To assist in disseminating information and

promoting public education about the RCRA

program, EPA engages in several outreach and

public assistance mechanisms. The Agency

provides training grants, allows access to

information through the Freedom of Information

Act, and provides program information through the

EPA Office of Ombudsman, the RCRA Information

Center, and the RCRA, Superfund & EPCRA Call

Center.

ADDITIONAL RESOURCES

Additional information about the topics covered

in this chapter can be found at: www.epa.gov/

epaoswer/hazwaste/permit/pubpart/index.htm.
APPENDIX A

HAZARDOUS WASTE MANIFEST

A-1
Please print or type (Form designed for use on elite (12 - pitch) typewriter) Form Approved. OMB No. 2050 - 0039 Expires 9 - 30 - 91

UNIFORM HAZARDOUS

WASTE MANIFEST

1 Generator’s US EPA ID No. Manifest

Document No.

2. Page 1

 of

Information in the shaded areas

is not required by Federal

law

A. State Manifest Document Number

B. State Generator’s ID

C. State Transporter’s ID

D. Transporter’s Phone

E. State Transporter’s ID

F. Transporter’s Phone

G. State Facility’s ID

H. Facility’s Phone

3. Generator’s Name and Mailing Address

4. Generator’s Phone ( )

5. Transporter 1 Company Name 6. US EPA ID Number

8. US EPA ID Number

10. US EPA ID Number

7. Transporter 2 Company Name

9. Designated Facility Name and Site Address

11. US DOT Description (Including Proper Shipping Name, Hazard Class, and ID Number) 12. Containers

No. Type

13.

Total

Quantity

14.

Unit

Wt/Vol

I.

Waste No.

G

E

N

E

R

A

T

O

R

a.

b.

c.

d.

J. Additional Descriptions for Materials Listed Above K. Handling Codes for Wastes Listed Above

15. Special Handling Instructions and Additional Information

16. GENERATOR’S CERTIFICATION: I hereby declare that the contents of this consignment are fully and accurately described above by

proper shipping name and are classified, packed, marked, and labeled, and are in all respects in proper condition for transport by highway

according to applicable international and national government regulations.

If I am a large quantity generator, I certify that I have a program in place to reduce the volume and toxicity of waste generat ed to the degree I have determined to be

economically practicable and that I have selected the practicable method of treatment, storage, or disposal currently available to me which minimizes the present and

future threat to human health and the environment; OR, if I am a small quantity generator, I have made a good faith effort to minimize my waste generation and select

the best waste management method that is available to me and that I can afford.

Printed/Typed Name Signature Month Day Year

Month Day Year

Month Day Year

Month Day Year

Signature

Signature

Signature

Printed/Typed Name

Printed/Typed Name

Printed/Typed Name

17. Transporter 1 Acknowledgement of Receipt of Materials

18. Transporter 2 Acknowledgement of Receipt of Materials

19. Discrepancy Indication Space

20. Facility Owner or Operator: Certification of receipt of hazardous materials covered by this manifest except as noted in ite m 19.

EPA Form 8700 - 22 (Rev. 9 - 88) Previous editions are obsolete.

T

R

A

N

S

P

O

R

T

E

R

F

A

C

I

L

I

T

Y
APPENDIX B

LAND DISPOSAL RESTRICTIONS

NOTIFICATION REQUIREMENTS

Generators: Generators must send a notification with the initial shipment of every waste to a TSDF. If

the waste, process, or receiving facility changes, another notification is required. The information that the

notification must include varies according to the status of the waste. Waste that needs treatment before it can

be disposed of will have different information than waste that can be disposed of without treatment. Below

is a table that details the required elements for LDR notifications.

B-1

1. EPA hazardous waste and

manifest numbers of first

shipment

2. Statement: This waste is

subject to LDR

3. Statement: This waste is not

prohibited from land disposal

4. The constituents of concern and

any underlying hazardous

constituents (if applicable)

5. Indication whether it is

wastewater or nonwastewater

6. Waste analysis data

(when available)

7. Date the waste will be prohibited

from land disposal

8. For hazardous debris, when

treating with the alternative

treatment technologies, list the

contaminants subject to treatment

9. For contaminated soil, list the

constituents subject to treatment

and state whether the soil

contains hazardous waste and

meets the treatment standard

10. A certification is needed

(see applicable section for

exact wording)

Required Notification Information Waste Needs to Meet

Treatment Standard

Waste Meets

Treatment Standard

Waste Is Not Subject

to Treatment Standard

Waste Is In

Lab Packs

X X XX

X X

X

X X

X X

X XX

X

X X

X X

X X
B-2

Appendix B: Land Disposal Restrictions Notification Requirements

Treatment Facilities: Treatment facilities have to send similar notifications along with the shipment of

treated wastes to disposal facilities. A certification must be included stating that the waste meets the

treatment standards and may be land disposed. Below is a table detailing the information required for

treatment facility notifications.

1. EPA hazardous waste and manifest

number of first shipment

2. Statement that the waste is subject to LDR

3. The constituents of concern and any

underlying hazardous constituents (if

applicable)

4. Indication whether it is wastewater or

nonwastewater

5. Waste analysis data (when available)

6. For contaminated soil, list the constituents

subject to treatment and state whether the

soil contains hazardous waste and meets

the treatment standard

10. A certification statement is needed (see

applicable section for exact wording)

Required Notification Information Waste Is Treated and

Sent for Disposal

X

X

X

X

X

X

X
APPENDIX C

UNDERGROUND STORAGE TANK

NOTIFICATION FORM

C-1
United States

Environmental Protection Agency

Washington, DC 20460

Form Approved.

OMB No.2050-0068

Notification for Underground Storage Tanks

State Agency Name and Address: STATE USE ONLY

ID NUMBER:

DATE RECEIVED:

TYPE OF NOTIFICATION DATE ENTERED INTO COMPUTER:

 A. NEW FACILITY B. AMENDED C. CLOSURE

DATA ENTRY CLERK INITIALS:

_____ Number of tanks 

 at facility

 _____ Number of continuation sheets attached OWNER WAS CONTACTED TO CLARIFY RESPONSES, COMMENTS:

INSTRUCTIONS AND GENERAL INFORMATION

Please type or print in ink. Also, be sure you have signatures in ink for sections

VIII and XI. Complete a notification form for each location containing

underground storage tanks. If more than 5 tanks are owned at this location, you

may photocopy pages 3 through 5 and use them for additional tanks. 

The primary purpose of this notification program is to locate and evaluate

underground storage tank systems (USTs) that store or have stored petroleum

or hazardous substances. The information you provide will be based on

reasonably available records, or in the absence of such records, your

knowledge or recollection.

Federal law requires UST owners to use this notification form for all

USTs storing regulated substances that are brought into use after May 8,

1986, or USTs in the ground as of May 8, 1986 that have stored regulated

substances at any time since January 1, 1974. The information

requested is required by Section 9002 of the Resource Conservation and

Recovery Act (RCRA), as amended.

Who Must Notify? Section 9002 of RCRA, as amended, requires owners of

USTs that store regulated substances (unless exempted) to notify designated

State or local agencies of the existence of their USTs. “Owner” is defined as:

• In the case of an UST in use on November 8, 1984, or brought into use after

that date, any person who owns an UST used for storage, use, or dispensing

of regulated substances; or

• In the case of an UST in use before November 8, 1984, but no longer in use

on that date, any person who owned the UST immediately before its

discontinuation.

Also, if the State so requires, any facility that has made any changes to facility

information or UST system status, must submit a notification form (only

amended information needs to be included).

What USTs Are Included? An UST system is defined as any one or

combination of tanks that (1) is used to contain an accumulation of regulated

substances, and (2) whose volume (including connected underground piping) is

10% or more beneath the ground. Regulated USTs store petroleum or

hazardous substances (see the following “What Substances Are Covered”).

What Tanks Are Excluded From Notification?

Tanks removed from the ground before May 8, 1986;

• Farm or residential tanks of 1,100 gallons or less capacity storing motor fuel for

noncommercial purposes;

• Tanks storing heating oil for use on the premises where stored;

• Septic tanks;

• Pipeline facilities (including gathering lines) regulated under the Natural Gas

Pipeline Safety Act of 1968, or the Hazardous Liquid Pipeline Safety Act of

1979, or which is an intrastate pipeline facility regulated under State laws;

• Surface impoundments, pits, ponds, or lagoons;

• Storm water or waste water collection systems;

• Flow-through process tanks;

• Liquid traps or associated gathering lines directly related to oil or gas production

and gathering operations;

• Tanks on or above the floor of underground areas, such as basements or

tunnels;

• Tanks with a capacity of 110 gallons or less. 

What Substances Are Covered? The notification requirements apply to USTs

containing petroleum or certain hazardous substances. Petroleum includes

gasoline, used oil, diesel fuel, crude oil or any fraction thereof which is liquid at

standard conditions of temperature and pressure (60 degrees Fahrenheit and 14.7

pounds per square inch absolute). Hazardous substances are those found in

Section 101 (14) of the Comprehensive Environmental Response, Compensation

and Liability Act of 1980 (CERCLA), with the exception of those substances

regulated as hazardous waste under Subtitle C of RCRA.

Where To Notify? Send completed forms to:

When To Notify? 1. Owners of USTs in use or that have been taken out of

operation after January 1, 1974, but still in the ground, must notify by May 8, 1986.

2. Owners who bring USTs into use after May 8, 1986, must notify within 30 days

of bringing the UST into use. 3. If the State requires notification of any

amendments to facility, send information to State agency immediately.

Penalties: Any owner who knowingly fails to notify or submits false information

shall be subject to a civil penalty not to exceed $11,000 for each tank for which

notification is not given or for which false information is given.

I. OWNERSHIP OF UST(s) II. LOCATION OF UST(s)

Owner Name (Corporation, Individual, Public Agency, or Other Entity) If required by State, give the geographic location of USTs by degrees, minutes, and

seconds. Example: Latitude 42 36' 12" N, Longitude 85 24' 17" W

Latitude ________________ Longitude ________________

Street Address Facility Name or Company Site Identifier, as applicable

County

Q If address is the same as in Section I, check the box and proceed to section III.

 If address is different, enter address below:

Street Address

County

City State Zip Code

Phone Number (Include Area Code) City State Zip Code

EPA Form 7530-1 (Rev. 9-98) Electronic and paper versions acceptable. Page 1 of 5

Previous editions may be used while supplies last. 
United States

Environmental Protection Agency

Washington, DC 20460

Form Approved.

OMB No.2050-0068

Notification for Underground Storage Tanks

III. TYPE OF OWNER IV. INDIAN COUNTRY

Federal Government

State Government Commercial

Local Government Private

USTs are located on land within an Indian

Reservation or on trust lands outside

reservation boundaries. 

USTs are owned by a Native American 

nation or tribe.

Tribe or Nation where USTs are located:

V. TYPE OF FACILITY

Gas Station

Petroleum Distributor

Air Taxi (Airline)

Aircraft Owner

Auto Dealership

Railroad

Federal - Non-Military

Federal - Military

Industrial

Contractor

Trucking/Transport

Utilities

Residential

Farm

Other (Explain) _____________________________

VI. CONTACT PERSON IN CHARGE OF TANKS

Name: Job Title: Address: Phone Number (Include Area Code):

VII. FINANCIAL RESPONSIBILITY

I have met the financial responsibility requirements (in accordance with 40 CFR Subpart H) by using the following mechanisms:

Check All that Apply

Self Insurance

Commercial Insurance

Risk Retention Group

Local Government Financial Test

Guarantee

Surety Bond

Letter of Credit

Bond Rating Test

State Funds

Trust Fund

Other Method (describe here)

______________________________________

VIII. CERTIFICATION (Read and sign after completing ALL SECTIONS of this notification form)

I certify under penalty of law that I have personally examined and am familiar with the information submitted in Sections I through XI of this notification form and all

attached documents, and that based on my inquiry of those individuals immediately responsible for obtaining the information, I believe that the submitted information

is true, accurate, and complete.

Name and official title of owner or owner’s

authorized representative (Print)

Signature Date Signed

Paperwork Reduction Act Notice

EPA estimates public reporting burden for this form to average 30 minutes per response including time for reviewing instructions, gathering and maintaining the data needed and completing

and reviewing the form. Send comments regarding this burden estimate to Director, OP, Regulatory Information Division (2137), U.S. Environmental Protection Agency, 401 M Street,

Washington D.C. 20460, marked “Attention Desk Officer for EPA.” This form amends the previous notification form as printed in 40 CFR Part 280, Appendix I. Previous editions of this

notification form may be used while supplies last.

EPA Form 7530-1 (Rev. 9-98) Electronic and paper versions acceptable. Page 2 of 5

Previous editions may be used while supplies last.
United States

Environmental Protection Agency

Washington, DC 20460

Form Approved.

OMB No.2050-0068

Notification for Underground Storage Tanks

IX. DESCRIPTION OF UNDERGROUND STORAGE TANKS (Complete for all tanks and piping at this location.)

Tank Identification Number Tank No. Tank No. Tank No. Tank No. Tank No. 

1. Status of Tank (check only one) Currently In Use

Temporarily Closed

Permanently Closed

2. Date of Installation (month/year)

3. Estimated Total Capacity (gallons)

4. Material of Construction (check all that apply)

Asphalt Coated or Bare Steel

Cathodically Protected Steel

 Coated and Cathodically Protected Steel

Composite (Steel Clad with Fiberglass)

Fiberglass Reinforced Plastic

Lined Interior

Excavation Liner

Double Walled

Polyethylene Tank Jacket

Concrete

Unknown

If Other, please specify here

Check box if tank has ever been repaired

5. Piping Material (check all that apply) Bare Steel

Galvanized Steel

Fiberglass Reinforced Plastic

Copper

Cathodically Protected

Double Walled

Secondary Containment

Unknown

Other, please specify

6. Piping Type “Safe” Suction (no valve at tank)

 (Check all that apply) “U.S.” Suction (valve at tank)

Pressure

Gravity Feed

Check box if piping has ever been repaired

EPA Form 7530-1 (Rev. 9-98) Electronic and paper versions acceptable. Page 3 of 5

Previous editions may be used while supplies last.
United States

Environmental Protection Agency

Washington, DC 20460

Form Approved.

OMB No.2050-0068

Notification for Underground Storage Tanks

Tank Identification Number Tank No. Tank No. Tank No. Tank No. Tank No. 

7. Substance Currently Stored (or last Gasoline

 stored in the case of closed tanks) Diesel

 ( Check all that apply) Gasohol

Kerosene

Heating Oil

Used Oil

If Other, please specify here

Hazardous Substance

CERCLA name and/or

CAS number

Mixture of Substances

Please specify here

8. Release Detection (check all that apply)

Manual tank gauging

Tank tightness testing

Inventory Control

Automatic tank gauging

Vapor monitoring

Groundwater monitoring

Interstitial monitoring

Automatic line leak detectors

Line tightness testing

No release detection required (such as some types of

suction piping, emergency generator tanks or field

constructed tanks)

Other method allowed by implementing agency 

(such as SIR)

TANK PIPE TANK PIPE TANK PIPE TANK PIPE TANK PIPE

Please specify other method here

9. Spill and Overfill Protection

Overfill device installed

Spill device installed

EPA Form 7530-1 (Rev. 9-98) Electronic and paper versions acceptable. Page 4 of 5

Previous editions may be used while supplies last.
United States

Environmental Protection Agency

Washington, DC 20460

Form Approved.

OMB No.2050-0068

Notification for Underground Storage Tanks

Tank Identification Number Tank No. Tank No. Tank No. Tank No. Tank No. 

X. CLOSURE OR CHANGE IN SERVICE

1. Closure or Change in Service

Estimated date the UST was last used for storing regulated 

substances (month/day/year)

Check box if this is a change in service

2. Tank Closure

Estimated date tank closed (month/day/year)

(check all that apply below)

Tank was removed from ground

Tank was closed in ground

Tank filled with inert material

Describe the inert fill material here

3. Site Assessment

Check box if the site assessment was completed

Check box if evidence of a leak was detected

XI. CERTIFICATION OF INSTALLATION (COMPLETE FOR UST SYSTEMS INSTALLED AFTER DECEMBER 22, 1988)

 Installer Of Tank And Piping Must Check All That Apply:

Installer certified by tank and piping manufacturers

Installer certified or licensed by the implementing agency

Installation inspected by a registered engineer

Installation inspected and approved by implementing agency

Manufacturer’s installation checklists have been completed

Another method allowed by State agency

If so, please specify here

Signature of UST Installer Certifying Proper Installation of UST System

 

Name Signature Date

Position Company

EPA Form 7530-1 (Rev. 9-98) Electronic and paper versions acceptable. Page 5 of 5

Previous editions may be used while supplies last
D-1

The terms below are defined as they pertain to the

Resource Conservation and Recovery Act.

Abandoned For purposes of defining a material as

a solid waste under RCRA Subtitle C, a material that

is disposed of, burned, or incinerated.

Accumulated Speculatively Storage of a material

in lieu of expeditious recycling. Materials are

usually accumulated speculatively if the waste being

stored has no viable market or if a facility cannot

demonstrate that at least 75 percent of the material

has been recycled in a calendar year.

Acknowledgment of Consent Notice sent by EPA

to an exporter of hazardous waste, indicating that the

importing country has agreed to accept such waste.

Action Levels For purposes of Subtitle C corrective

action, risk-based concentrations of hazardous

constituents in ground water, soil, or sediment that

may trigger further investigation into possible

contamination at a particular site.

Administrative Action Enforcement action taken

by EPA or a state under its own authority, without

involving a judicial court process.

Administrative Procedures Act The Act that

establishes rulemaking procedures as well as sitespecific licensing procedures, access to agency

information, and procedures and standards for

judicial review of agency actions. All environmental

rulemakings proposed and finalized by EPA include

public participation throughout the process.

APPENDIX D

 GLOSSARY 

Aggregation Points Centers that accept used oil

only from places owned by the same owner and

operator as the aggregation point, or from do-ityourselfers.

Alternative Concentration Limits For purposes of

TSDF ground water monitoring, hazardous

constituent limits established by the EPA Regional

Administrator that are allowed to be present in

ground water.

Annual Aggregate For purposes of UST financial

responsibility, the total amount of UST financial

responsibility coverage required to cover all leaks

that might occur in one year.

Applicable or Relevant and Appropriate

Requirements Standards, criteria, or limitations

under federal or more stringent state environmental

laws, including RCRA, that may be required during

a Superfund remedial action, unless site-specific

waivers are obtained.

Authorized State A state that has been delegated

the authority by EPA to implement and enforce its

own regulations for hazardous waste management

under RCRA. The state program must be at least as

stringent as the federal standards.

Automatic Tank Gauging A release detection

method for USTs that uses a probe in the tank that is

wired to a monitor to provide information on product

level and temperature.
Appendix D: Glossary

D-2

Basel Convention The international treaty that

establishes standards for global trade of hazardous

waste, municipal waste, and municipal incinerator

ash. Because the United States is not a party to the

convention, U.S. businesses can only export waste to

those countries with which the U.S. government has

negotiated a separate waste trade agreement.

Bentsen Wastes Geothermal exploration,

development, and production waste exempt from

RCRA Subtitle C regulation.

Best Demonstrated Available Technology The

technology that best minimizes the mobility or

toxicity (or both) of the hazardous constituents for a

particular waste.

Bevill Wastes Fossil fuel combustion wastes,

mining and mineral processing wastes, and cement

kiln dust wastes exempt from RCRA Subtitle C

regulation.

Biennial Report A report submitted by hazardous

waste LQGs and TSDFs to enable EPA and the states

to track the quantities of hazardous waste generated

and the movements of those hazardous wastes.

Boiler An enclosed device that uses controlled

flame combustion to recover and deliver energy in

the form of steam, heated fluid, or heated gases.

Bottom Ash Ash that collects at the bottom of a

combustion chamber.

Burners Handlers who burn used oil for energy

recovery in boilers, industrial furnaces, or hazardous

waste incinerators.

Burning for Energy Recovery Burning hazardous

waste for its heating value as a fuel, and using

wastes to produce fuels or as ingredients in fuels.

By-Products Materials that are not one of the

intended products of a production process and

includes most wastes that are not spent materials or

sludges.

California List Interim LDR treatment standards

that ensured adequate protection of human health

and the environment during the time EPA was

promulgating final LDR treatment standards.

Capacity Assurance Plan A written statement

which ensures that a state has hazardous waste

treatment and disposal capacity. This capacity must

be for facilities that are in compliance with RCRA

Subtitle C requirements and must be adequate to

manage hazardous wastes projected to be generated

within the state over 20 years.

Cathode Ray Tubes Vacuum tubes, made primarily

of glass, which constitute the video display

component of televisions and comptuer monitors.

These tubes are generally hazardous for lead.

Cathodic Protection A form of corrosion

protection for USTs that uses sacrificial anodes or a

direct current source to protect steel by halting the

naturally occurring electrochemical process that

causes corrosion.

Cement Kiln Type of industrial furnace that

receives hazardous waste to burn as fuel to run its

cement process. Cement is produced by heating

mixtures of limestone and other minerals or

additives at high temperatures in a rotary kiln,

followed by cooling, grinding, and finish mixing.

Change in Service Using a formerly regulated UST

system to store a nonregulated substance.

Characteristic Waste Waste that is considered

hazardous under RCRA because it exhibits any of

four different properties: ignitability, corrosivity,

reactivity, and toxicity.

Civil Action A formal lawsuit, filed in court, against

a person who has either failed to comply with a

statutory or regulatory requirement or an

administrative order, or against a person who has

contributed to a release of hazardous waste or

hazardous constituents.

Clean Air Act The Act that regulates air emissions

from area, stationary, and mobile sources. CAA

limits the emission of pollutants into the atmosphere

in order to protect human health and the

environment from the effects of airborne pollution.

Clean Closure The process of completely removing

all waste that was treated, stored, or disposed in a

hazardous waste unit.
Appendix D: Glossary

D-3

Clean Water Act The Act that sets the basic

structure for regulating discharges of pollutants to

surface waters of the United States. CWA imposes

contaminant limitations or guidelines for all

discharges of wastewater into the nation’s

waterways.

Closure The procedure that a solid or hazardous

waste management facility undergoes to cease

operations and ensure protection of human health

and the environment in the future.

Codification The process by which final

regulations are incorporated into the CFR, which is

published annually.

Collection Centers Centers that accept used oil

from multiple sources, including both businesses and

private citizens.

Combustion The controlled burning in an enclosed

area as a means of treating or disposing of hazardous

waste.

Commercial Chemical Products Unused or offspecification chemicals, spill or container residues,

and other unused manufactured products that are not

typically considered chemicals. For the purposes of

hazardous waste listings, CCPs include only unused,

pure chemical products and formulations.

Compliance Monitoring For purposes of RCRA

TSDF ground water monitoring, a program that

seeks to ensure that the amount of hazardous waste

that has leaked into the uppermost aquifer does not

exceed acceptable levels.

Composting Processes designed to optimize the

natural decomposition or decay of organic matter,

such as leaves and food. The end product of

composting is a humus-like material that can be

added to soils to increase soil fertility, aeration, and

nutrient retention.

Comprehensive Environmental Response,

Compensation, and Liability Act The Act that

authorizes EPA to clean up uncontrolled or

abandoned hazardous waste sites and respond to

accidents, spills and other emergency releases of

hazardous substances. CERCLA provides EPA with

enforcement authority to ensure that responsible

parties pay the cleanup costs of remediating a site

contaminated with hazardous substances.

Comprehensive Environmental Response,

Compensation, and Liability Information System

A computerized database used to track hazardous

substance sites.

Comprehensive Performance Testing The initial

and periodic evaluation procedure for demonstrating

compliance with the national emission standards for

hazardous air pollutants and establishes revised

operating limits for hazardous waste combustors.

Comprehensive Procurement Guidelines A list,

updated every two years, which designates items

with recycled content that procuring agencies should

aim to purchase. This list currently contains 54

items within 8 product categories.

Concentration Limits For purposes of TSDF

ground water monitoring, the maximum levels of

hazardous constituents allowed to be present in the

ground water.

Conditionally Exempt Small Quantity

Generators Facilities that produce less than 100 kg

of hazardous waste, or less than 1 kg of acutely

hazardous waste, per calendar month. A CESQG

may only accumulate less than 1,000 kg of

hazardous waste, 1 kg of acutely hazardous waste, or

100 kg of spill residue from acutely hazardous waste

at any one time.

Construction Quality Assurance A program

required by EPA to ensure that a landfill, surface

impoundment, or waste pile meets all of the

technological requirements.
Appendix D: Glossary

D-4

Contained-In Policy An EPA policy that

determines the health threats posed by contaminated

environmental media and debris, and whether such

materials must be managed as RCRA hazardous

wastes.

Containers Portable devices in which a material is

stored, transported, treated, or otherwise handled.

Containment Building A completely enclosed

structure used to store or treat noncontainerized

waste.

Continuous Emission Monitoring Systems A

system that directly and continuously measures one

or more pollutants exiting a combustion unit.

Continuous Monitoring Systems A device which

continuously samples the regulated parameter

without interruption, evaluates the detector response

at least once every 15 seconds, and computes and

records the average value at least every 60 seconds.

Cooperative Agreement An agreement between a

state and EPA which ensures that the state will spend

money from the LUST Trust Fund for its intended

purpose.

Corporate Guarantee The demonstration that a

corporate grandparent, corporate parent, or sibling

corporation can meet financial assurance

requirements on behalf of a TSDF owner and

operator, or the financial responsibility requirements

on behalf of an UST owner and operator. Firms with

a “substantial business relationship” with an UST

owner and operator can also make this

demonstration.

Corrective Action An EPA program to address the

investigation and cleanup of contamination from

solid waste facilities, hazardous waste facilities, and

USTs.

Corrective Action Management Unit A physical,

geographical area designated by EPA or states for

managing remediation wastes during corrective

action.

Corrosivity Characteristic The characteristic

which identifies wastes that are acidic or alkaline

(basic) and can readily corrode or dissolve flesh,

metal, or other materials.

Counting Totaling the hazardous wastes at a given

facility for a particular month in order to determine

hazardous waste generator status.

Covered States States that participated in EPA’s

medical waste tracking program from June 22, 1989

to June 22, 1991, which included Connecticut, New

Jersey, New York, Rhode Island, and the

Commonwealth of Puerto Rico.

Cradle to Grave The time period referring to the

initial generation of hazardous waste to its ultimate

disposal.

Criminal Action Enforcement action reserved for

the most serious violations, which can result in fines

or imprisonment.

De minimis Very small amounts of hazardous waste

that are discharged to wastewater treatment facilities

and thus, are exempt from the mixture rule. De

minimis also refers to small concentrations of

regulated substances in an UST.

Debris A broad category of large manufactured and

naturally occurring objects that are commonly

discarded (e.g., construction materials,

decommissioned industrial equipment, discarded

manufactured objects, tree trunks, boulders).

Delisting A site-specific petition process whereby a

handler can demonstrate to EPA that a particular

wastestream generated at its facility that meets a

listing description does not pose sufficient hazard to

warrant RCRA regulation. Owners and operators

can also use the delisting process for wastes that are

hazardous under the mixture and derived-from rules

that pose minimal hazard to human health and the

environment.

Derived-From Rule A rule that regulates residues

from the treatment of listed hazardous wastes.

Designated Facility A hazardous waste treatment,

storage, or disposal facility which has received a

RCRA permit (or interim status), or is a recycling

facility regulated under 40 CFR Section 261.2(c)(2)

or Subpart F, of Section 266, and has been

designated on the manifest by the generator.
Appendix D: Glossary

D-5

Destination Facilities Facilities that treat, dispose

of, or recycle a particular category of universal

waste.

Destruction and Removal Efficiency Standard

which verifies that a combustion unit is destroying

the organic components found in hazardous waste.

Detection Monitoring For purposes of RCRA

TSDF ground water monitoring, the first step of

monitoring at land disposal units, where the owner

and operator monitors for indication of a leak from

the unit, looking for potential changes in the ground

water quality from normal (background) levels.

Dilution Prohibition The LDR requirement that

prohibits the addition of soil or water to waste in

order to reduce the concentrations of hazardous

constituents instead of treatment by the appropriate

LDR treatment standards.

Direct Discharges Discharges from point sources

into surface water pursuant to a CWA NPDES

permit.

Disposal The discharge, deposit, injection,

dumping, spilling, leaking, or placing of any solid or

hazardous waste on or in the land or water.

Disposal Prohibition The LDR requirement that

prohibits the land disposal of hazardous waste that

has not been adequately treated to reduce the threat

posed by such waste.

Distillation Bottoms Residues that form at the

bottom of a distillation unit.

Do-it-Yourselfers Individuals who generate used

oil through the maintenance of their own personal

vehicles and equipment and are not considered used

oil generators.

Drip Pads Engineering structures consisting of a

curbed, free-draining base, constructed of nonearthen materials, and designed to convey wood

preservative chemical drippage from treated wood,

precipitation, and surface water run-on to an

associated collection system at wood preserving

plants.

Elementary Neutralization Units Containers,

tanks, tank systems, transportation vehicles, or

vessels which neutralize wastes that are hazardous

only for exhibiting the characteristic of corrosivity.

Emergency Planning and Community Right-toKnow Act The Act designed to help communities

prepare to respond in the event of a chemical

emergency and to increase the public’s knowledge of

the presence and threat of hazardous chemicals.

Environmental Justice The fair distribution of

environmental risks across socioeconomic and racial

groups.

Environmental Media Materials such as soil,

surface water, ground water, and sediment.

EPA Identification Number A unique number

assigned by EPA to each hazardous waste generator,

transporter, or treatment, storage, and disposal

facility.

Episodic Generation The situation in which a

generator’s status changes from one month to the

next, as determined by the amount of waste

generated in a particular month. If a generator’s

status does in fact change, the generator is required

to comply with the respective regulatory

requirements for that class of generators for the

waste generated in that particular month.

Equipment Each valve, pump, compressor,

pressure relief device, sampling connection system,

open-ended valve or line, or flange or other

connector, and any other control devices or systems.

Exception Report A report, submitted by LQGs

and SQGs, detailing efforts to locate wastes when a

signed copy of the manifest has not been received.

Existing USTs USTs that were in service, or for

which installation had commenced on or before

December 22, 1988.

Extended Product Responsibility An approach to

environmental protection that strives to reduce the

environmental impacts of products.
Appendix D: Glossary

D-6

Federal Insecticide, Fungicide, and Rodenticide

Act The Act that provides procedures for the

registration of pesticide products to control their

introduction into the marketplace.

Federal Procurement Program A program that

sets minimum recycled content standards for certain

designated items and requires procuring agencies to

purchase those items composed of the highest

percentage of recovered materials practicable.

Final Authorization Authorization by EPA that

indicates that a state's program is equivalent to, or no

less stringent than, as well as consistent with, federal

hazardous waste regulations.

Financial Assurance Under RCRA Subtitle C, the

requirements designed to ensure that TSDF owners

and operators will have the financial resources to

pay for closure, post-closure, and liability costs.

Under RCRA Subtitle D, the requirements designed

to ensure that MSWLF owners and operators will

have the financial resources to pay for closure, postclosure, and corrective action costs.

Financial Test A test of self-insurance which

demonstrates that an owner and operator has

sufficient financial strength to satisfy TSDF

financial assurance or UST financial responsibility

requirements.

Float The lighter materials present in petroleum

refinery wastewater. As components of oily waste,

float rises to the surface in the first step of

wastewater treatment.

Fly Ash Particles of ash, such as particulate matter

which may also have metals attached them, that are

carried up the stack of a combustion unit with gases

during combustion.

Formal Action An enforcement action, frequently

in the form of an administrative order, that is taken

when a serious violation is detected, or when the

owner and operator does not respond to an informal

administrative action.

Freedom of Information Act The Act that grants

private parties the right to obtain information in the

government’s possession. FOIA requires each

federal agency to establish procedures for handling

requests regarding government statutes, regulations,

standards, permit conditions, requirements, orders,

and policies.

Full Cost Accounting An accounting approach that

helps local governments identify all direct and

indirect costs, as well as the past and future costs, of

a municipal solid waste management program.

Generator Any person whose act first creates or

produces a hazardous waste, used oil, or medical

waste, or first brings such materials into RCRA

regulation.

Green Buildings Buildings that are designed,

constructed, operated, and ultimately removed in

such a way as to minimize their environmental

impact.

Ground Water Monitoring Sampling and analysis

of ground water for the purpose of detecting the

release of contamination from a solid or hazardous

waste land-based unit. Ground water monitoring is

also a method of UST release detection which senses

the presence of liquid product floating in ground

water.

Hammer Provisions Requirements written directly

into RCRA by Congress, as in the case of the

Hazardous and Solid Waste Amendments of 1984,

that would automatically become regulations if EPA

failed to issue its own regulations by certain dates.

Hazard Communication Standard The OSHA

standard that provides workers with access to

information about the hazards and identities of the

chemicals they are exposed to while working, as

well as the measures they can take to protect

themselves.

Hazard Ranking System A model devised under

CERCLA that determines the relative risk to public

health and the environment posed by hazardous

substances in ground water, surface water, air, and

soil. Only those sites with a score of 28.5 (on a scale

of 0 to 100) are eligible for placement on the NPL.
Appendix D: Glossary

D-7

Hazardous Constituents For purposes of RCRA

TSDF ground water monitoring, those constituents

that have been detected in the uppermost aquifer and

are reasonably expected to be in or derived from the

waste contained in the unit.

Hazardous Substance A comprehensive

designation under CERCLA for RCRA hazardous

wastes as well as other toxic pollutants regulated by

CAA, CWA, and TSCA. EPA has the authority

under CERCLA to designate any additional element,

compound, mixture, or solution as a hazardous

substance. The definition of hazardous substance

specifically excludes petroleum and natural gas.

Hazardous Waste A waste with properties that

make it dangerous, or capable of having a harmful

effect on human health and the environment. Under

the RCRA program, hazardous wastes are

specifically defined as wastes that meet a particular

listing description or that exhibit a characteristic of

hazardous waste.

Hazardous Waste Operations and Emergency

Response Worker Protection Standard The

OSHA standard that protects the health and safety of

workers engaged in operations at hazardous waste

sites, hazardous waste treatment facilities, and

emergency response locations.

Ignitability characteristic The characteristic which

identifies wastes that can readily catch fire and

sustain combustion.

Incinerator An enclosed device that uses controlled

flame combustion and does not meet the criteria for

classification as a boiler, industrial furnace, sludge

dryer (a unit that dehydrates hazardous sludge), or

carbon regeneration unit (a unit that regenerates

spent activated carbon). Incinerators also include

infrared incinerators (units that use electric heat

followed by a controlled flame afterburner) and

plasma arc incinerators (units that use electrical

discharge followed by a controlled flame

afterburner).

Incorporation by Reference This occurs when the

regulatory language in a state’s regulation actually

cite, or refer to, the federal regulations.

Indirect Discharges Wastewater that is first sent to

a POTW, and then after treatment by the POTW,

discharged pursuant to a NPDES permit.

Industrial Ecology The study of material and

energy flows and their transformations into products,

byproducts, and wastes throughout industrial and

ecological systems.

Industrial Furnace An enclosed unit that is an

integral part of a manufacturing process and uses

thermal treatment to recover materials or energy

from hazardous waste.

Informal Administrative Action Any

communication from EPA or a state agency that

notifies the handler of a problem.

Inherently Waste-Like For purposes of defining a

material as a solid waste under RCRA Subtitle C, a

material, such as dioxin-containing wastes, that is

always considered a solid waste because of its

intrinsic threat to human health and the environment.

Insurance A policy to cover the TSDF financial

assurance or UST financial responsibility

requirements.

Interim Authorization A temporary mechanism

that is intended to promote continued state

participation in hazardous waste management while

encouraging states to develop programs that are fully

equivalent to the federal program and will qualify

for final authorization.

Interim Measures Under RCRA Subtitle C

corrective action, short-term actions to control

ongoing risks while site characterization is underway

or before a final remedy is selected.

Interim Status Facilities TSDFs that were already

in operation when the RCRA standards were

established and that are operating under less

stringent standards until they receive a permit.
Appendix D: Glossary

D-8

Interstitial Monitoring UST release detection

method that involves the use of secondary

containment, such as a barrier, outer wall, vault, or

liner around the UST or piping to prevent leaking

product from escaping into the environment. If

product escapes from the inner tank or piping, it will

then be directed towards an interstitial monitor

located between the walls.

Inventory Control An UST release detection

method that involves taking measurements of tank

contents, recording the amount of product pumped

each operating day, and reconciling this data at least

once a month to determine if a tank is leaking.

Jobs through Recycling A program EPA launched

in 1994 to support recycling markets. The goal of

the program is to foster markets for recycled goods

by promoting and assisting the development of

businesses using recovered materials, creating new

recycling jobs, and spurring innovative technologies.

Lab Packs Drums filled with many small

containers packed in nonbiodegradable absorbent

materials.

Land Disposal For purposes of RCRA Subtitle C

regulation, placement in or on the land, except in a

corrective action unit of hazardous waste, and

includes, but is not limited to, placement in a

landfill, surface impoundment, waste pile, injection

well, land treatment facility, salt dome formation,

salt bed formation, underground mine or cave, or

placement in a concrete vault, or bunker intended for

disposal purposes.

Land Treatment Units Also known as land farms,

land treatment units involve the application of

hazardous waste on the soil surface, or the

incorporation of waste into the upper layers of the

soil in order to degrade, transform, or immobilize

hazardous constituents present in hazardous waste.

Landfill For purposes of RCRA Subtitle C, a

disposal unit where nonliquid hazardous waste is

placed in or on the land.

Large Quantity Generators Facilities that generate

more than 1,000 kg of hazardous waste per calendar

month, or more than 1 kg of acutely hazardous waste

per calendar month.

Large Quantity Handlers of Universal Waste

Handlers that accumulate a total of 5000 kg or more

of universal waste at any one time.

Leachate Any liquid, including any suspended

components in the liquid, that has percolated through

or drained from waste.

Leaking Underground Storage Tank Trust Fund

A fund created by SARA that provides money for

overseeing corrective action taken by a responsible

party, and provides money for cleanups at UST sites

where the owner and operator is unknown,

unwilling, or unable to respond.

Letter of Credit A credit document issued to an

owner and operator to cover TSDF financial

assurance or UST financial responsibility

requirements.

Liabilities Damages that may result from an

unexpected release of contaminants into the

environment.

Lightweight Aggregate Kiln Type of industrial

furnace that produces lightweight aggregate and

burns liquid hazardous waste as fuel to run its

process. Lightweight aggregate refers to a wide

variety of raw materials (such as clay, shale, or slate)

which, after thermal processing, can be combined

with cement to form concrete products. Lightweight

aggregate is produced either for structural or thermal

insulation purposes.

Listed Wastes Wastes that are considered

hazardous under RCRA because they meet specific

listing descriptions.

Manifest Paperwork that accompanies hazardous

waste from the point of generation to the point of

ultimate treatment, storage, or disposal. Each party

involved in the waste's management retains a copy

of the RCRA manifest, which contains specific

information about the waste.

Manual Tank Gauging A method of UST leak

detection that requires keeping the tank undisturbed

for at least 36 hours per week, during which time the

contents of the tank are measured to determine if the

tank is leaking.
Appendix D: Glossary

D-9

Marine Protection, Research, and Sanctuaries

Act This Act requires a permit for any material that

is transported from a U.S. port or by a U.S. vessel

for disposition at sea.

Marketers Used oil handlers who either 1) direct

shipments of used oil to be burned as fuel in

regulated devices, or 2) claim that used oil to be

burned for energy recovery is on-specification.

Maximum Achievable Control Technology

Process Technology-based concentration limits

developed under CAA to limit emissions of

individual constituents from hazardous waste

combustion units.

Maximum Contaminant Levels For purposes of

RCRA ground water monitoring, contaminantspecific levels borrowed from SDWA that are the

maximum levels of hazardous waste or hazardous

constituents allowed to be present in the

groundwater.

Medical Waste Culture and stocks of infectious

agents, human pathological wastes, human blood

and blood products, used sharps, certain animal

wastes, certain isolation wastes, and unused sharps.

Memorandum of Agreement An agreement

between a state's director and its EPA Regional

Administrator outlining the nature of the

responsibilities to enforce a regulatory program and

defining the level of coordination and oversight

between EPA and the state agency.

Military Munitions For purposes of defining a

material as a solid waste under RCRA Subtitle C,

ammunition products and components produced for

or used by the military for national defense and

security.

Miscellaneous Units Hazardous waste treatment,

storage, or disposal units regulated under RCRA that

do not meet any of the other definitions of regulated

units.

Mixed Waste Radioactive waste that is also a

hazardous waste under RCRA. Such wastes are

jointly regulated by RCRA and Atomic Energy Act.

Mixture Rule A rule that is intended to ensure the

regulation of mixtures of listed wastes with

nonhazardous solid wastes.

Municipal Solid Waste Durable goods (e.g.,

appliances, tires, batteries), nondurable goods (e.g.,

newspapers, books, magazines), containers and

packaging, food wastes, yard trimmings, and

miscellaneous organic wastes from residential,

commercial, and industrial nonprocess sources.

Municipal Solid Waste Landfill A discrete area of

land or excavation that receives municipal solid

waste.

National Ambient Air Quality Standards

Regulations promulgated by EPA under the Clean

Air Act for six criteria pollutants — sulfur dioxide,

particulate matter, nitrogen dioxide, carbon

monoxide, ozone, and lead — in order to protect the

public from toxic emissions to the atmosphere.

National Corrective Action Prioritization System

A resource management tool by which EPA sets

priorities for the Subtitle C corrective action

program.

National Emission Standards for Hazardous Air

Pollutants Standards set by EPA under the Clean

Air Act to control emissions from specific industrial

sources.

National Oil and Hazardous Substances Pollution

Contingency Plan The NCP contains the

regulations that implement the CERCLA response

process. The NCP also provides information about

the roles and responsibilities of EPA, other federal

agencies, states, and private parties regarding

releases of hazardous substances.

National Priorities List EPA’s priority hazardous

substance sites for cleanup. EPA only funds

remedial actions at hazardous waste sites on the

NPL.

New USTs USTs that are installed, or for which

installation has commenced, after December 22,

1988. New USTs must be installed in compliance

with all of the applicable technical standards.
Appendix D: Glossary

D-10

Nonsudden Accidental Occurrences For purposes

of TSDF financial assurance, events that take place

over time and involve continuous or repeated

exposure to hazardous waste.

Notice of Deficiency A notice requiring that a

TSDF permit applicant supply more information for

a complete permit application.

Notice of Intent to Deny A notice issued by a

permitting agency which tells a TSDF permit

applicant that the application does not demonstrate

compliance with the RCRA standards.

Notice of Noncompliance An informal letter to a

handler written as part of an informal administrative

action.

Notice of Violation An informal letter to a handler

written as part of an informal administrative action.

Occupational Safety and Health Act The Act that

is designed to save lives, prevent injuries, and

protect the health of employees in the workplace.

OSHA accomplishes these goals through several

regulatory requirements including the HCS and

HAZWOPER standards.

OECD Council Decision A multilateral agreement

by the Organization for Economic Cooperation and

Development that establishes procedural and

substantive controls for the import and export of

recyclables between member nations. Because the

United States is a member of the OECD, U.S.

businesses can trade recyclables with other member

nations.

Off-Specification Used Oil Used oil that is tested

and does not meet given parameters for arsenic,

cadmium, chromium, flash point, lead, and total

halogens.

Omnibus Provision The authority which allows

EPA to add conditions to a TSDF permit that are not

specifically addressed by the RCRA regulations.

On-Specification Used Oil Used oil that meets all

the given parameters for arsenic, cadmium,

chromium, flash point, lead, and total halogens.

Open Dumps Solid waste disposal facilities that

fail to comply with the Subtitle D criteria.

Operating Requirements Parameters established

by a facility and written into a permit that will

ensure a combustion unit meets numerical

performance standards.

Operation and Maintenance The operation and

maintenance phase of the CERCLA response

process. Operation and maintenance may include

activities such as ground water pump and treat, and

cap maintenance. EPA conducts review of operation

and maintenance activities to ensure that the remedy

selected is still protective of human health and the

environment.

Overfiling When a state fails to enforce its

hazardous waste program properly, EPA can

overfile, or enforce a provision for which a

particular state has authorization.

Particulate Matter Small dust-like particles

emitted from hazardous waste combustion units.

Payment Bond For purposes of TSDF financial

assurance, a type of surety bond that will fund a

standby trust fund in the amount equal to the value

of the bond.

Per Occurrence For purposes of UST financial

responsibility, the amount of money that must be

available to pay for the costs from one leak.

Performance Bond For purposes of TSDF

financial assurance, a type of surety bond that

guarantees that an owner and operator will comply

with their closure, post-closure, and liability

requirements.

Performance Standards The numerical pollutant

emission limits for hazardous waste combustion

units developed by EPA.

Permanent Closure Closure of an UST that

involves a number of steps designed to ensure that

the tank will pose no threat to human health or the

environment after it is closed.

Permit-as-a-Shield The provision which ensures

that TSDF permittees will not be enforced against

for violating new requirements that were not

established in the original permit.
Appendix D: Glossary

D-11

Permit-by-Rule A special form of a RCRA permit

that is sometimes granted to facilities with permits

for activities under other environmental laws.

Permitted Facilities Facilities that have obtained a

TSDF permit from EPA or the state agency to

engage in the treatment, storage, or disposal of

hazardous waste.

Point of Compliance For purposes of RCRA TSDF

ground water monitoring, the vertical point where a

TSDF owner and operator must monitor the

uppermost aquifer to determine if the leak exceeds

the ground water protection standard.

Point Source Discharges Discharges of treated

wastewater directly into a lake, river, stream, or

other water body. Point source discharges are

regulated under CWA.

Pollutants or Contaminants Any element,

substance, compound, or mixture that, after release

into the environment and upon exposure, ingestion,

inhalation, or assimilation into any organism, will or

may reasonably be anticipated to cause illness,

death, or deformation in any organism. The

definition of pollutant or contaminant specifically

excludes petroleum and natural gas.

Post-Closure Period after closure during which

owners and operators of solid or hazardous waste

disposal units conduct monitoring and maintenance

activities in order to preserve the integrity of the

disposal system.

Potentially Responsible Party The person or

persons who may be held liable for hazardous

substance contamination under CERCLA. PRPs

may include the owners and operators, generators,

transporters, and disposers of the hazardous

substances.

Precious Metals Reclamation The recycling and

recovery of precious metals (i.e., gold, silver,

platinum, palladium, iridium, osmium, rhodium, and

ruthenium) from hazardous waste.

Preliminary Assessment A review of all readily

available site information such as maps, deeds, and

other records to determine if further CERCLA

response action is necessary. During the PA, EPA

tries to determine what type of substances may have

been released and the potential impacts to human

health and the environment.

Principal Organic Hazardous Constituents

Selected organic constituents, which are high in

concentration and difficult to burn, that are

monitored to ensure a hazardous waste combustion

unit's destruction and removal efficiency.

Process Vent Any open-ended pipe or stack that is

vented to the atmosphere either directly, through a

vacuum-producing system, or through a tank

associated with hazardous waste distillation,

fractionation, thin-film evaporation solvent

extraction, or air or steam stripping operations.

Processors and Rerefiners Facilities that process

used oil so that it can be burned for energy recovery

or reused.

Procuring Agency Agencies that purchase $10,000

or more worth of an item designated under the

federal procurement program during the course of a

fiscal year. Procuring agencies include: federal

government departments or agencies; state

government agencies that use appropriated federal

funds for procurement of a designated item; local

government agencies that use appropriated federal

funds for procurement of a designated item, and

government contractors that work on a project

funded by appropriated federal funds with respect to

work performed under the contract.

Publicly Owned Treatment Works A municipal

wastewater treatment plant that receives domestic

sewage from households, office buildings, factories,

and other places where people live and work.

Treatment at a POTW is regulated by the CWA.
Appendix D: Glossary

D-12

RCRAInfo A database that tracks RCRA Subtitle C

facility-specific data (i.e., events and activities

related to hazardous waste generators, transporters,

and TSDFs), and hazardous waste activity reports,

known as biennial reports, that are submitted by

LQGs and TSDFs.

Reactivity Characteristic The characteristic which

identifies wastes that readily explode or undergo

violent reactions.

Rebuttable Presumption For purposes of RCRA,

an objective test that focuses on the halogen level in

used oil to determine whether the used oil has been

mixed with a listed hazardous waste.

Reclaimed For purposes of defining a material as a

solid waste under RCRA Subtitle C, a material is

reclaimed if it is processed to recover a usable

product, or regenerated by processing it in a way that

restores it to usable condition.

Record of Decision A remedial action plan

document that describes the remedy selected for a

Superfund site.

Recovered Materials Advisory Notice A notice

that provides suggested recycled content levels and

other purchasing information for each item

designated in the CPG. Procuring agencies can use

these levels as guidelines, but are encouraged to

exceed EPA’s recommendations.

Recovered Materials Content Levels The

minimum amount of recovered material that

designated items under the federal procurement

program should contain.

Recycled For purposes of defining a material as a

solid waste under RCRA Subtitle C, a material is

recycled if it is used or reused, or reclaimed.

Recycling The separation and collection of wastes,

their subsequent transformation or remanufacture

into usable or marketable products or materials, and

the purchase of products made from recyclable

materials.

Recycling Presumption The assumption that all

used oil that is generated will be recycled.

Regulated Community The group of organizations,

people, industries, businesses, and agencies that,

because they perform certain activities, fall under the

purview of RCRA.

Regulated Substance For purposes of UST

regulation, any hazardous substance defined under

CERCLA §101(14) and petroleum.

Regulations Rules issued by an agency, such as

EPA, that translate the general mandate of a statute

into a set of requirements that the regulated

community and the agency must work within.

Remedial Action Longer-term CERCLA response

actions that ultimately represent the final remedy for

a site and generally are more expensive and of a

longer duration than removals.

Remedial Action Plans Special form of RCRA

permit that a facility may obtain to treat, store, or

dispose of hazardous remediation waste at a

remediation waste management site.

Remedial Design/Remedial Action Remedial

design is a phase in the CERCLA response process

in which technical drawings are developed for the

chosen remedy, costs for implementing the remedy

are estimated, and roles and responsibilities of EPA,

states and contractors are determined. During the

remedial action phase, the remedy is implemented

generally by a contractor, with oversight and

inspection conducted by EPA or the state (or both).

Remedial Investigation/Feasibility Study A

remedial investigation is a phase in the CERCLA

response process that entails an in-depth

examination of the nature and extent of

contamination at a site and the associated risks to

human health and the environment. The feasibility

study entails an analysis of remedial action

alternatives comparing the advantages and

disadvantages of each.
Appendix D: Glossary

D-13

Remediation Waste All solid and hazardous

wastes, and all media (including ground water,

surface water, soils, and sediments) and debris that

are managed for implementing cleanup.

Removal Action Short-term cleanup action taken

under CERCLA that usually addresses problems

only at the surface of a site. A removal is conducted

in response to an emergency, and generally is limited

to 12 months duration or $2 million in expenditures.

Risk Retention Groups For purposes of UST

financial responsibility, entities formed by

businesses or individuals with similar risks to

provide insurance coverage for those risks.

Risk-Based Decision-Making A process that uses

risk and exposure assessment concepts to help UST

implementing agencies establish enforcement

priorities.

Rulemakings Rules issued by an agency, such as

EPA, that translate the general mandate of a statute

into a set of requirements that the regulated

community and the agency must work within.

Safe Drinking Water Act The Act designed to

protect the nation’s drinking water supply by

establishing national drinking water standards

(MCLs or specific treatment techniques), and by

regulating UIC wells.

Scrap Metal Worn or extra bits and pieces of metal

parts, such as scrap piping and wire, or worn metal

items, such as scrap automobiles and radiators.

Secondary Materials The five categories of solid

wastes regulated under Subtitle C, which include:

spent materials, by-products, sludges, commercial

chemical products, and scrap metal.

Sham Recycling Illegitimate activities executed

under the guise of recycling in order to be exempt

from or subject to lesser regulation.

Site Inspection An in-depth assessment of on-site

conditions, conducted as part of the CERCLA

response process, to rank the site’s hazard potential

by determining the site’s hazard ranking system

score. Activities to assess the site may include

sampling, field reconnaissance, and examination of

site records (e.g., topographical maps, logs).

Sludges Any solid, semisolid, or liquid wastes

generated from a wastewater treatment plant, water

supply treatment plant, or air pollution control

device.

Small Quantity Generators Facilities that generate

between 100 kg and 1,000 kg of hazardous waste per

calendar month.

Small Quantity Handlers of Universal Waste

Handlers that do not accumulate 5000 kg of all

universal waste categories combined at their location

at any one time.

Sole Active Ingredient For purposes of

determining if a waste is P or U listed, the only

chemical ingredient serving the function of a

commercial product formulation.

Solid Waste Any garbage, refuse, sludge from a

wastewater treatment plant, water supply treatment

plant, or air pollution control facility, and other

discarded material, including solid, liquid, semisolid,

or contained gaseous material, resulting from

industrial, commercial, mining, and agricultural

operations and from community activities. For the

purposes of hazardous waste regulation, a solid

waste is a material that is discarded by being either

abandoned, inherently waste-like, a certain waste

military munition, or recycled.

Solid Waste Management Units For purposes of

Subtitle C corrective action, discernible units where

solid or hazardous wastes have been placed at any

times, or any area where solid wastes have been

routinely and systematically released.
Appendix D: Glossary

D-14

Source Reduction Maximizing or reducing the use

of natural resources at the beginning of an industrial

process, thereby eliminating the amount of waste

produced by the process. Source reduction is EPA’s

preferred method of waste management.

Spent Materials Materials that have been used and

can no longer serve the purpose for which they were

produced without processing.

Spill Prevention Control and Countermeasures

Regulations establishing spill prevention procedures

and equipment requirements for nontransportationrelated facilities with certain aboveground or

underground storage capacities that could reasonably

be expected to discharge oil into or upon the

navigable waters of the United States or adjoining

shorelines.

Staging Pile An accumulation of solid, non-flowing

remediation waste that is not a containment building

and that is used only during remedial operations for

temporary storage at a facility.

State Assurance Funds For purposes of UST

financial responsibility, state funds that are used to

help pay for cleanup and third-party liability costs

resulting from leaking USTs.

State Authorization Tracking System A tool used

by EPA to chart those states that have been

authorized to implement the RCRA hazardous waste

program.

Statistical Inventory Reconciliation An UST

release detection method that involves using

sophisticated computer software to conduct a

statistical analysis of inventory, delivery, and

dispensing data in order to determine if a tank is

leaking.

Storage Holding hazardous waste for a temporary

period, after which the hazardous waste is treated,

disposed of, or stored elsewhere.

Storage Prohibition LDR provision that prevents

the indefinite storage of untreated hazardous waste

for reasons other than the accumulation of quantities

necessary for effective treatment or disposal.

Sudden Accidental Occurrences For purposes of

TSDF financial assurance, events that are not

continuous or repeated.

Superfund The common name for CERCLA.

Superfund refers to the entire CERCLA program as

well as the trust fund established to fund cleanup of

contaminated sites where potentially responsible

parties cannot be identified, or are unwilling or

unable to pay.

Superfund Amendments and Reauthorization Act

SARA, enacted in 1986, reauthorized and amended

CERCLA to include additional enforcement

authorities, technical requirements, community

involvement requirements, and various

clarifications. SARA Title III authorized EPCRA.

Supplemental Environmental Projects

Environmentally beneficial projects which a

defendant or respondent agrees to undertake in the

settlement of a civil or administrative enforcement

action, but which the defendant is not otherwise

legally required to perform.

Surety Bond A guarantee which certifies that a

surety company will cover TSDF financial assurance

or UST financial responsibility requirements on

behalf of the owner and operator.

Surface Impoundment A natural topographic

depression, man-made excavation, or diked area

formed primarily of earthen materials that is used to

treat, store, or dispose of hazardous waste.

Tank Tightness Testing A variety of UST release

detection methods used to determine if a tank is

leaking; most of these methods involve monitoring

changes in product level or volume in a tank over a

period of several hours.

Tanks Stationary devices used to store or treat

hazardous waste.

Technical Grade For purposes of determining if a

waste is P or U listed, a commercial chemical

product that is not 100 percent pure, but is of a grade

of purity that is either marketed or recognized in

general usage by the chemical industry.
Appendix D: Glossary

D-15

Temporary Closure A method by which an UST

owner and operator can close a tank temporarily and

bring it back into service at a later date. The owner

and operator must continue to operate and maintain

the corrosion protection system and the leak

detection system if any product remains in the tank.

Temporary Units Containers or tanks that are

designed to manage remediation wastes during

corrective action at permitted or interim status

facilities.

Thermal Treatment The treatment of hazardous

waste in a device that uses elevated temperatures as

the primary means to change the chemical, physical,

or biological character or composition of the waste.

Totally Enclosed Treatment Units Units that are

designed and constructed to practically eliminate the

potential for hazardous wastes to escape into the

environment during treatment.

Toxic Substances Control Act The Act that

controls the manufacture and sale of certain

chemical substances.

Toxicity Characteristic The characteristic which

identifies wastes that are likely to leach dangerous

concentrations of toxic chemicals into ground water.

Toxicity Characteristic Leaching Procedure A lab

procedure designed to predict whether a particular

waste is likely to leach chemicals into ground water

at dangerous levels.

Transfer Facilities Any transportation-related

facility such as loading docks, parking areas, storage

areas, or other similar areas where shipments of

hazardous waste, used oil, or universal waste are

held temporarily during the normal course of

transportation.

Transporter Any person engaged in the off-site

transportation of hazardous waste, used oil, universal

waste, or medical waste.

Treatment Any method, technique, or process

designed to physically, chemically, or biologically

change the nature of a hazardous waste.

Treatment Standards LDR criteria that hazardous

waste must meet before it is disposed.

Treatment, Storage, and Disposal Facilities

Facilities engaged in the treatment, storage, or

disposal of hazardous waste. These facilities are the

last link in the cradle-to-grave hazardous waste

management system.

Trial Burn Burn conducted to test the performance

of a hazardous waste combustion unit over a range

of conditions.

Trust Fund A financial mechanism by which a

facility can set aside money in order to cover the

TSDF financial assurance or UST financial

responsibility requirements.

Underground Injection Control Well Units into

which hazardous waste is permanently disposed of

by injection 1/4 mile below an aquifer with an

underground source of drinking water (as defined

under SDWA).

Underground Storage Tanks A tank and any

underground piping connected to the tank that is

used to contain an accumulation of regulated

substances and that has at least 10 percent of its

combined volume underground.

Underlying Hazardous Constituents Constituents

that must be treated in order to meet contaminantspecific levels for purposes of the LDR program.

Unit Pricing An economic incentive program used

to achieve source reduction and recycling, also

called variable rate refuse collection, where

customers who dispose of more waste pay more for

the collection and disposal services.

Universal Treatment Standards Contaminantspecific hazardous waste LDR treatment levels.

Universal Wastes Commonly recycled wastes with

special management provisions intended to facilitate

recycling. There are four categories of universal

wastes: hazardous waste batteries, hazardous waste

pesticides that have been recalled or collected in

waste pesticide collection programs, hazardous

waste lamps, and hazardous waste thermostats.
Appendix D: Glossary

D-16

Upgrading Retrofitting existing USTs to come into

compliance with the UST regulations. The

upgrading period expires on December 22, 1998.

Use Constituting Disposal The direct placement of

wastes or waste-derived products (e.g., asphalt with

petroleum refining wastes as an ingredient) on the

land.

Used Oil Any oil that has been refined from crude

or synthetic oil that has been used and, as a result of

such use, is contaminated by physical or chemical

impurities.

USTfield Abandoned or underutilized industrial and

commercial properties where redevelopment is

complicated by real or perceived environmental

petroleum contamination from federally-regulated

USTs.

Vapor Monitoring An UST release detection

method in which the equipment measures product

fumes in the soil around the UST to check for leaks.

Violation The act or an instance of breaking or

disregarding the law.

Waste Analysis Plan A plan that outlines the

procedures necessary to ensure proper treatment,

storage, or disposal of hazardous waste.

Waste Minimization The reduction, to the extent

feasible, in the amount of hazardous waste generated

prior to any treatment, storage, or disposal of the

waste. Because waste minimization efforts

eliminate waste before it is generated, disposal costs

may be reduced, and the impact on the environment

may be lessened.

Waste Pile An open pile used for treating or storing

nonliquid hazardous waste.

Wastewater Treatment Units Tanks or tank

systems that treat hazardous wastewaters and

discharge them pursuant to CWA.

WasteWi$e A program designed to assist

companies, states, local governments, Native

American tribes, and other institutions in developing

cost-effective practices to reduce solid waste.

Zero Discharges Wastewater that is not directly or

indirectly discharged to a navigable water (e.g.,

wastewater that is land disposed through spray

irrigation) under CWA. Zero discharge facilities are

subject to federal or state regulatory limitations that

are as strict as those that apply to direct and indirect

dischargers under CWA.
APPENDIX E

ACRONYMS AND ABBREVIATIONS

E-1

ACL - Alternative Concentration Limit

AEA - Atomic Energy Act

APA - Administrative Procedures Act

API - American Petroleum Institute

ARAR - Applicable or Relevant and Appropriate

Requirement

ATSDR - Agency for Toxic Substances and Disease

Registry

BATF - Bureau of Alcohol, Tobacco, and Firearms

BDAT - Best Demonstrated Available Technology

BIF - Boiler and Industrial Furnace

BRS - Biennial Reporting System

CAA - Clean Air Act

CAMU - Corrective Action Management Unit

CAP - Capacity Assurance Plan

CBI - Confidential Business Information

CCP - Commercial Chemical Product

CDC - Centers for Disease Control

CERCLA - Comprehensive Environmental

Response, Compensation, and Liability Act

CERCLIS - Comprehensive Environmental

Response, Compensation, and Liability Act

Information System

CESQG - Conditionally Exempt Small Quantity

Generator

CFC - Chlorofluorocarbon

CFR - Code of Federal Regulations

CMI - Corrective Measures Implementation (see

Section III, Chapter 9)

CMS - Corrective Measures Study

CPG - Comprehensive Procurement Guideline

CWA - Clean Water Act

DOD - Department of Defense

DOE - Department of Energy

DOJ - Department of Justice

DOT - Department of Transportation

DRE - Destruction and Removal Efficiency

DSCM - Dry Standard Cubic Meter

ENU - Elementary Neutralization Unit

EPA ID - EPA Identification

EPCRA - Emergency Planning and Community

Right-to-Know Act

FIFRA - Federal Insecticide, Fungicide, and

Rodenticide Act

FOIA - Freedom of Information Act

GPRA - Government Performance and Results Act

GWPS - Ground water Protection Standard

H - Hazard Code

HAZWOPER - Hazardous Waste Operations and

Emergency Response Worker Protection Standard

HCS - Hazard Communication Standard

HRS - Hazard Ranking System

HSWA - Hazardous and Solid Waste Amendments

kg - kilogram

lb - pound

LDR - Land Disposal Restrictions

LQG - Large Quantity Generator
E-2

Appendix E: Acronyms and Abbreviations

LQHUW - Large Quantity Handler of Universal

Waste

LUST - Leaking Underground Storage Tank

MACT - Maximum Achievable Control Technology

MCL - Maximum Contaminant Level

MOA - Memorandum of Agreement

MPRSA - Marine Protection, Research, and

Sanctuaries Act

MSWLF - Municipal Solid Waste Landfill

NAAQS - National Ambient Air Quality Standards

NCAPS - National Corrective Action Prioritization

System

NCP - National Oil and Hazardous Substances

Pollution Contingency Plan

NESHAP - National Emission Standards for

Hazardous Air Pollutants

NPDES - National Pollutant Discharge Elimination

System

NPL - National Priorities List

NSPS - New Source Performance Standards

O&M - Operation and Maintenance

OECA - Office of Enforcement and Compliance

Assurance

OECD - Organization for Economic Cooperation

and Development

OPA - Oil Pollution Act

OSHA - Occupational Safety and Health Act

OSWER - Office of Solid Waste and Emergency

Response

PA - Preliminary Assessment

PCB - Polychlorinated Biphenyl

PEI - Petroleum Equipment Institute

POHC - Principal Organic Hazardous Constituent

POTW - Publicly Owned Treatment Works

ppm - parts per million

ppmw - parts per million by weight

PRP - Potentially Responsible Party

RBAC - Recycling and Reuse Business Assistance

Center

RBDM - Risk-Based Decision-Making

RCRA - Resource Conservation and Recovery Act

RCRIS - Resource Conservation and Recovery Act

Information System

RD&D - Research, Development, and

Demonstration

RD/RA - Remedial Design/Remedial Action

REDA - Recycling Economic Development

Advocate

RFA - RCRA Facility Assessment

RFI - RCRA Facility Inspection

RI/FS - Remedial Investigation/Feasibility Study

RIC - RCRA Information Center

RMAN - Recovered Materials Advisory Notice

ROD - Record of Decision

SARA - Superfund Amendments and

Reauthorization Act

SDWA - Safe Drinking Water Act

SIC - Standard Industrial Classification

SI - Site Inspection

SIR - Statistical Inventory Reconciliation

SPCC - Spill Prevention, Control, and

Countermeasures

SQG - Small Quantity Generator

SQHUW - Small Quantity Handler of Universal

Waste

StATS - State Authorized Tracking System

SWMU - Solid Waste Management Unit

TC - Toxicity Characteristic

TCLP - Toxicity Characteristic Leaching Procedure

TETU - Totally Enclosed Treatment Unit

TSCA - Toxic Substances Control Act

TSDF - Treatment, Storage, and Disposal Facility

UIC - Underground Injection Control

USPS - United States Postal Service

UST - Underground Storage Tank

UTS - Universal Treatment Standard

WIPP - Waste Isolation Pilot Project

WWTU - Wastewater Treatment Unit
APPENDIX F

OSW ORGANIZATION CHART

F-1

Municipal

Information and

Analysis Branch

(MIAB)

Municipal Waste

Reduction Branch

(MWRB)

Industrial and

Extractive Wastes

Branch

(IEWB)

Permits Branch

(PB)

Corrective Action

Programs Branch

(CAPB)

Federal, State, and

Tribal Programs

Branch

(FSTPB)

Economics,

Methods, 

and Risk

Analysis

Division

(EMRAD)

Waste

Identification

Branch

(WIB)

Generator and

Recycling Branch

(GRB)

International and

Special Projects

Branch

(ISPB)

Communications,

Information, 

and

Resources

Management 

Division

(CIRMD)

Information

Management

Branch

(IMB)

Communications

Services Branch

(CSB)

Resources

Management

Branch

(RMB)

Waste

Minimization

Branch

(WMB)

Waste

Treatment

Branch

(WTB)

Analysis and

Information Branch

(AIB)

DIRECTOR OF THE OFFICE OF SOLID WASTE

Hazardous Waste

Identification

Division

(HWID)

Municipal and

Industrial Solid

Waste Division

(MISWD)

Hazardous Waste

Minimization

and

 Management

 Division

(HWMMD)

Permits and

State Programs

Division

(PSPD)
F-2

Appendix F: OSW Organization Chart

The Office of Solid Waste (OSW) contributes

to the Agency’s goal of protecting human health and

the environment. Its principal responsibility is to

build a national waste management program,

implemented through EPA Regional Offices and

state programs, to manage solid and hazardous

waste in the United States. There are six divisions

which follow:

The Communications, Information, and

Resources Management Division (CIRMD) is

responsible for managing an outreach and

communications program to increase public

awareness about solid and hazardous waste

programs, managing the national RCRA information

systems, and providing administrative, budget, and

contract management support to the Office of Solid

Waste.

The Economics, Methods, and Risk Analysis

Division (EMRAD) is responsible for evaluating

toxicological and exposure data; developing health

and ecological risk assessment support; and

applying multimedia fate to transport models to

assist in the evaluation of the ecological and human

health impacts of solid waste management systems.

It prepares regulatory assessments, which include

societal costs and benefits of options for regulation

development, policy analysis, and legislative

initiatives under consideration within OSW. The

Division also develops and evaluates sampling,

statistical, and analytical methods to support RCRA

regulations and policies, and implements the RCRA

quality assurance program.

The Hazardous Waste Identification Division

(HWID) is responsible for conducting industry

studies to determine which wastes should be listed

as hazardous, and identifying the hazardous waste

characteristics. It also develops Agency policies

related to delisting, and develops regulations and

guidance regarding medical wastes, used oil,

generators and transporters of hazardous waste,

hazardous waste recycling, and the definition of

solid waste. The Division also develops policies

related to international hazardous waste management

and is the lead on issues related to the import and

export of hazardous waste, such as the Basel

Convention.

The Hazardous Waste Minimization and

Management Division (HWMMD) is responsible

for encouraging hazardous waste minimization,

establishing standards that assure safe treatment of

hazardous waste, and identifying data that must be

reported on waste generation, treatment, storage, and

disposal. HWMMD’s responsibilities include the

Waste Minimization National Plan, the LDR

program, the EPA Combustion Strategy, and the

Waste Information Needs Project.

The Municipal and Industrial Solid Waste

Division (MISWD) is responsible for ensuring safe

management of municipal, industrial, and extractive

solid wastes by providing technical guidance,

regulations, policy, and information related to waste

prevention, recycling, and disposal to industry, EPA

Regional, state and tribal officials, and the general

public.

The Permits and State Programs Division

(PSPD) is responsible for the nationwide

implementation of a program to control hazardous

wastes including the permitting of facilities and the

authorization of states to operate their programs in

lieu of the federal program. The Division develops

regulations and guidance for the national corrective

action program which oversees site cleanups at

facilities that store, treat, or dispose of hazardous

waste. PSPD also provides technical support for

EPA Regions and states that are implementing the

programs.
APPENDIX G

ENVIRONMENTAL CONTACTS

G-1

EPA INFORMATION SERVICES

Center for Environmental Research and Information (CERI),

Office of Research and Development (ORD) ................................................... (513) 569-7562

www.epa.gov/ORD/publications

Clean Air Technology Center............................................................................... (919) 541-0800

www.epa.gov/ttn/catc

Environmental Appeals Board (EAB) .................................................................. (201) 501-7060

www.epa.gov/eab

Environmental Justice Hotline ............................................................................. (800) 962-6215

www.epa.gov/compliance/environmentaljustice/index.html

Environmental Recycling Hotline/Earth’s 911...................................................... (800) 253-2687

www.earth911.org

Human Resources .............................................................................................. (202) 564-4606

www.epa.gov/epahrist

Indoor Air Quality Clearinghouse ........................................................................ (800) 438-4318

www.epa.gov/iaq

Information Resource Center (IRC) .................................................................... (202) 260-5922

www.epa.gov/natlibra/hqirc

Methods Information Communication Exchange

(MICE or Test Methods Hotline) ....................................................................... (703) 676-4690

www.epa.gov/epaoswer/hazwaste/test/mice.htm

National Lead Information Center ....................................................................... (800) 424-5323

www.epa.gov/lead/nlic.htm

National Radon Hotline ....................................................................................... (800) 767-7236

www.epa.gov/iaq/radon/

National Service Center for Environmental Publications..................................... (800) 490-9198

www.epa.gov/ncepihom/
G-2

Appendix G: Environmental Contacts

National Pesticides Information Center;

Federal Insecticide, Fungicide, and Rodenticide Act ....................................... (800) 858-7378

npic.orst.edu/

Office of Atmospheric Programs ......................................................................... (202) 564-9140

www.epa.gov/ozone

Office of Congressional & Intergovernmental Relations ..................................... (202) 564-5200

www.epa.gov/ocir

Pay-As-You-Throw Helpline ................................................................................ (888) 372-7298

www.epa.gov/payt

RCRA, Superfund & EPCRA Call Center ............................................................ (800) 424-9346

www.epa.gov/epaoswer/hotline

Safe Drinking Water Hotline ................................................................................ (800) 426-4791

www.epa.gov/safewater

Toxic Substances Control Act Hotline ................................................................. (202) 554-1404

WasteWise .......................................................................................................... (800) 372-9473

www.epa.gov/wastewise

Wetlands Protection Hotline ................................................................................ (800) 832-7828

www.epa.gov/owow/wetlands/wetline.html

EPA DOCKETS

Office of Air and Radiation .................................................................................. (202) 566-1742

Office of Enforcement and Compliance Assurance ............................................. (202) 566-1514

Office of Solid Waste and Emergency Response

RCRA/UST ....................................................................................................... (202) 566-0270

Superfund/Oil ................................................................................................... (202) 566-0276

Office of Environmental Information (Toxics Release Inventory) ........................ (202) 566-1752

Office of Pollution, Prevention, and Toxics .......................................................... (202) 566-0280

Office of Water .................................................................................................... (202) 566-2426

FEDERAL GOVERNMENT INFORMATION SERVICES

Agency for Toxic Substances and Disease Registry (ATSDR)............................ (888) 422-8737

www.atsdr.cdc.gov/

Council for Environmental Quality; National Environmental Policy Act ............... (202) 395-5750

www.whitehouse.gov/ceq
Federal Consumer Information Center................................................................ (800) 333-4636

www.pueblo.gsa.gov

Federal Information Center ................................................................................. (800) 688-9889

www.info.gov

Government Printing Office .................................................................................(202) 512-1800

www.access.gpo.gov

Hazardous Materials Information Center ............................................................ (800) 467-4922

hazmat.dot.gov

National Technical Information Service ............................................................... (800) 553-6847

www.ntis.gov

National Institute for Occupational Safety and Health (NIOSH) .......................... (800) 356-4647

www.cdc.gov/niosh

National Response Center .................................................................................. (800) 424-8802

www.nrc.uscg.mil

Nuclear Regulatory Commission......................................................................... (301) 415-8200

www.nrc.gov

Occupational Safety and Health Administration (OSHA)

Compliance Guidance Group ........................................................................... (301) 515-6796

www.osha.gov

G-3

Appendix G: Environmental Contacts
Of

Washington, DC 20460Solid Waste and Emergency Response (5305W)Environmental Protection AgencyUnited States

fi cial Business

www.epa.gov/oswJanuary 2003EPA530-R-02-016Penalty for Private Use $300