SUPPORTING STATEMENT FOR

EPA INFORMATION COLLECTION REQUEST #1571.11

"GENERAL HAZARDOUS WASTE FACILITY STANDARDS"

January, 2016
TABLE OF CONTENTS

1. IDENTIFICATION OF THE INFORMATION COLLECTION

1(a) Title and Number of the Information Collection ................................................................ 3

1(b) Characterization of the Information Collection .................................................................. 3

2. NEED FOR AND USE OF THE COLLECTION

2(a) Need and Authority for the Collection................................................................................ 6

2(b) Use and Users of the Data................................................................................................. 10

3. NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA

3(a) Nonduplication.................................................................................................................. 12

3(b) Consultations .................................................................................................................... 12

3(c) Public Notice..................................................................................................................... 13

3(d) Effects of Less Frequent Collection.................................................................................. 13

3(e) General Guidelines ........................................................................................................... 13

3(f) Confidentiality .................................................................................................................. 14

3(g) Sensitive Questions........................................................................................................... 14

4. THE RESPONDENTS AND THE INFORMATION REQUESTED

4(a) Respondents/NAICS Codes.............................................................................................. 14

4(b) Information Requested...................................................................................................... 15

5. THE INFORMATION COLLECTED—AGENCY ACTIVITIES, COLLECTION 

METHODOLOGY, AND INFORMATION MANAGEMENT

5(a) Agency Activities ............................................................................................................. 58

5(b) Collection Methodology and Management....................................................................... 60

5(c) Small Entity Flexibility..................................................................................................... 60

5(d) Collection Schedule .......................................................................................................... 60

6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION

6(a) Estimating Respondent Burden......................................................................................... 64

6(b) Estimating Respondent Cost............................................................................................. 65

6(c) Estimating Agency Burden and Cost................................................................................ 66

6(d) Respondent Universe and Total Respondent Burden and Costs....................................... 66

6(e) Bottom Line Burden Hours and Costs.............................................................................. 75

6(f) Reasons for Change in Burden ......................................................................................... 76

6(g) Burden Statement.............................................................................................................. 76

Exhibits 1-10.............................................................................................................................78-90
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1. IDENTIFICATION OF THE INFORMATION COLLECTION

1(a) TITLE AND NUMBER OF THE INFORMATION COLLECTION

This ICR is entitled “General Hazardous Waste Facility Standards,” EPA ICR #1571.11.

1(b) SHORT CHARACTERIZATION OF THE INFORMATION COLLECTION

Section 3004 of the Resource Conservation and Recovery Act (RCRA), as amended, requires that 

the U.S. Environmental Protection Agency (EPA) develop standards for hazardous waste treatment, 

storage and disposal facilities (TSDFs) as may be necessary to protect human health and the environment. 

Subsections 3004(a) (1), (3), (4), (5) and (6) specify that these standards include, but not be limited to, the 

following requirements:

 Maintaining records of all hazardous wastes identified or listed under Subtitle C that are 

treated, stored, or disposed of, and the manner in which such wastes were treated, stored, 

or disposed of;

 Operating methods, techniques, and practices for treatment, storage, or disposal of 

hazardous waste;

 Location, design, and construction of such hazardous waste treatment, disposal, or storage 

facilities;

 Contingency plans for effective action to minimize unanticipated damage from any 

treatment, storage, or disposal of any such hazardous waste; and

 Maintaining or operating such facilities and requiring such additional qualifications as to 

ownership, continuity of operation, training for personnel, and financial responsibility as 

may be necessary or desirable.

The regulations implementing these requirements are codified in the Code of Federal Regulations

(CFR) Title 40, Parts 264 and 265. A brief summary of the information collection requirements 

associated with each TSDF regulation for the above areas is provided below. A more specific discussion 

of the data elements and respondent activities associated with each of the information collection 

requirements is presented in Section 4.

2. NEED FOR AND USE OF THE COLLECTION

2(a) NEED AND AUTHORITY FOR THE COLLECTION

This section describes the need and authority for each type of information collection analyzed in 

this ICR.

GENERAL FACILITY OPERATING REQUIREMENTS

(1) Foreign Shipment Import Report

EPA promulgated regulations in §§264.12(a) and 265.12(a) requiring owners and operators of 

hazardous waste facilities that have arranged to receive hazardous wastes from foreign sources to notify 
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the Regional Administrator in writing at least four weeks prior to the expected date of arrival of the 

shipments at the facility. EPA uses information in the foreign shipment import report to determine: (1) 

whether hazardous wastes will be transported safely to the United States, and (2) whether the waste will 

be managed in a manner that is protective of human health and the environment. The foreign shipment 

import report requirement contributes to EPA's goal of minimizing detrimental impacts to the 

environment resulting from the unsafe transportation and management of hazardous waste. 

(2) Notice of Appropriate Permits

Section 264.12(b) requires the owner or operator of a facility receiving off-site waste to send a 

one-time notice to the generator stating that he or she has the appropriate permits, and will accept the 

waste the generator is shipping. The owner or operator must retain a copy of the notice at the facility. 

The notice is needed to ensure that waste is being managed properly. EPA may examine the notices 

during inspections to ensure that the notifications are being transmitted.

(3) Notice of Part 264 or 265 and Part 270 Requirements

Sections 264.12(c) and 265.12(b) require owners and operators transferring ownership of a 

facility during its operating life, or of a disposal facility during the post-closure care period, to notify the 

new owner or operator in writing of the requirements of 40 CFR Parts 264 and 270. This information is 

needed to help new owners and operators understand applicable regulations and facilitate compliance. 

(4) Waste Analysis

EPA promulgated regulations in §§264.13(a) (1) and 265.13(a) (1) requiring owners or operators 

to obtain a detailed chemical and physical analysis of a representative sample of the waste that will be 

received. EPA and the owner or operator use information obtained in the waste analysis sample to 

determine: 1) whether a facility can adequately handle incoming waste, and 2) whether the waste is really 

what the generator claims it to be. The owner or operator also uses information obtained from the waste 

analysis to determine whether there are any potential dangers from handling the waste. The waste 

analysis requirement contributes to EPA's goal of preventing releases or reactions of hazardous waste onsite.

(5) Waste Analysis Plan

Sections 264.13(b) and 265.13(b) state that the owner or operator of a hazardous waste facility 

must develop and follow a written waste analysis plan that describes the procedures to be used in 

obtaining a detailed chemical and physical analysis of the waste. EPA uses the waste analysis plan as a 

planning tool to ensure the quality of information obtained from the waste analysis samples required in 

264.13(a)(1) and 265.13(a)(1). 

(6) Inspection Schedule

EPA promulgated regulations in §§264.15(d) and 265.15(d) requiring the owner or operator of a 

facility to record inspections in an inspection log or summary. EPA and owners and operators use 

information in the inspection log to determine whether facility equipment is safe for handling hazardous 

waste. The inspection requirement contributes to EPA's goal of preventing hazardous waste constituents 

from being released into the environment due to faulty or deteriorated equipment. 
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(7) Personnel Training

Sections 264.16(d) and 265.16(d) require owners and operators to maintain copies of personnel 

training documents and records at their facilities. Both EPA and owners and operators use information in 

personnel training records to determine whether employees have acquired the necessary expertise to 

perform their jobs. EPA also reviews personnel records to determine whether employees are receiving a 

level of training that is commensurate with their duties and responsibilities as well as their ability to 

respond to any emergency situations at the facility. Requiring owners and operators to maintain 

personnel training documents decreases the likelihood that employees are unqualified to handle hazardous 

waste or respond to emergencies. The personnel recordkeeping requirement contributes to EPA's goal of 

minimizing the potential for employee-related mistakes that may threaten human health and the 

environment.

(8) Documentation of Compliance for Ignitable, Reactive or Incompatible Wastes

Section 264.17(c) states that any owner or operator who treats, stores, or disposes of ignitable or 

reactive wastes, or mixes incompatible wastes, must document compliance with §264.17(a) and (b), 

which require certain precautions to prevent reactions. EPA uses information in the documentation of 

compliance to determine whether facilities are operating in a manner that is protective of human health 

and the environment. The documentation requirement contributes to EPA's goal of minimizing damage 

from the treatment, storage, or disposal of hazardous waste. 

(9) Construction Quality Assurance Plan

Section 265.19(b) requires each owner or operator of a surface impoundment, waste pile, or 

landfill to develop a written construction quality assurance (CQA) plan that identifies steps that will be 

used to monitor and document the quality of materials and the condition and manner of their installation. 

The CQA plan helps to ensure proper structural stability and integrity of all unit components, and proper 

construction of all units.

RECORDKEEPING REQUIREMENTS

EPA promulgated regulations in 40 CFR 264.73 and 265.73 directing owners or operators of 

hazardous waste treatment, storage, or disposal facilities to keep a written operating record at the facility. 

Other recordkeeping requirements under 40 CFR Parts 264 and 265, Subpart E, include submitting copies 

of records of waste disposal locations and quantities under §§264.73(b)(2) and 265.73(b)(2) to the 

Regional Administrator and local land authority upon closure of the facility (§§264.74(c) and 265.74(c)). 

In addition, 40 CFR 264.37(b) requires facilities to document in the operating record any refusal of State

or local authorities to enter into arrangements for emergency situations. EPA uses information collected 

pursuant to these regulations to select appropriate corrective action and cleanup measures should an 

unanticipated release of hazardous waste occur. EPA compliance officials refer to the operating record to 

determine the following: 1) what cleanup measures are appropriate and 2) whether operating 

requirements can be better tailored to the needs of a particular site. EPA anticipates that the owner or 

operator will use information included in the operating record to prevent receiving, or placing in 

proximity, wastes that are incompatible with other wastes that are likely to ignite or explode. Requiring 

facilities to develop and maintain an operating record and conduct the recordkeeping activities contributes 

to EPA's goal of minimizing damage to the environment due to the treatment, storage, or disposal of 

hazardous waste.

CONTINGENCY PLAN AND EMERGENCY REPORTING AND RECORDKEEPING 
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REQUIREMENTS

Section 3004(a) (5) of RCRA, as amended, requires EPA to develop standards for contingency 

plans for effective action to minimize damage from any treatment, storage, or disposal of any such 

hazardous waste. EPA codified regulations that address this statutory requirement in 40 CFR Parts 264 

and 265. 40 CFR §§264.51 through 264.54 and 264.56 and 265.51 through 265.54 and 265.56 require all 

owners and operators of hazardous waste facilities to prepare and maintain contingency plans, and to 

notify State and local authorities and prepare and emergency reports whenever an imminent or actual 

emergency situation occurs. EPA reviews the contingency plan and emergency reports to determine 

whether a facility has developed adequate procedures to respond to unplanned sudden or non-sudden 

releases of hazardous waste or hazardous constituents to air, soil, or surface water. Notifications to State 

and local authorities facilitate remedial actions and evacuations, if necessary. Requiring facilities to 

develop and maintain contingency plans and prepare emergency response reports and notifications 

contributes to EPA's goal of minimizing damage from the treatment, storage, or disposal of hazardous 

waste. 

RELEASES FROM SOLID WASTE MANAGEMENT UNITS

Under 40 CFR 264.96(c), EPA requires owners and operators to demonstrate that the groundwater protection standard has not been exceeded for a period of three years to ensure that the compliance 

period can be safely terminated. 40 CFR 264.97(g) requires owners and operators to prepare and submit 

an appropriate sampling procedure and interval to ensure that ground-water monitoring is being 

performed accurately and adequately.

CLOSURE AND POST-CLOSURE REQUIREMENTS 

EPA promulgated regulations in 40 CFR Parts 264 and 265, Subpart G (§§264.112, 264.115, 

264.116, 264.118-120 and 265.112, 265.113, 265.115, 265.116, and 265.118-120), that require owners 

and operators to develop closure and post-closure plans, amend these plans when appropriate, and submit 

to EPA closure certifications and post-closure notices. EPA reviews information in the closure and postclosure plans to determine whether closure and post-closure activities will comply with the regulatory 

requirements. EPA uses information in the closure certifications to determine that closure took place in 

accordance with the approved closure plan. EPA, local authorities, and potential purchasers of a closed 

facility review information included in the post-closure notices to determine what future uses of the site 

will not lead to a release of hazardous waste. 

In addition, 40 CFR 264.113 and 265.113 allow owners and operators to apply for allowances and 

extensions during the closure period by preparing and submitting demonstrations. These demonstrations 

are needed to ensure that any activities taking place during closure are protective of human health and the 

environment.

Requiring facilities to comply with these regulations contributes to EPA's goal of ensuring that all 

hazardous waste management facilities are closed in a manner that minimizes the need for post-closure 

maintenance, and controls, minimizes, or eliminates post-closure escape of waste, leachate, contaminated 

rainfall, or waste decomposition products to ground or surface waters and the atmosphere to the extent 

necessary to protect human health and the environment. 
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FINANCIAL REQUIREMENTS 

Section 3004(a) (6) of the Resource Conservation and Recovery Act of 1976 (RCRA), as 

amended, requires EPA to promulgate regulations that include requirements respecting "the maintenance 

of operations of such facilities and requiring such additional qualifications as to ... financial responsibility 

(including financial responsibility for corrective action) as may be necessary or desirable."

(1) Closure and Post-Closure Financial Assurance Requirements

The need for financial assurance of closure and post-closure care is indicated by the numerous 

instances of environmental damage resulting from abandonment of hazardous waste management (HWM) 

facilities and other failures by owners and operators to provide adequately for closure and post-closure 

care. The likelihood of such failure is increased by the fact that the costs for closure and post-closure care 

are expected to commence when the economic value of the facility is either at a minimum or nonexistent. 

For most disposal facilities, post-closure care will extend for at least 30 years beyond the operating life of 

the facility.

EPA believes that significant numbers of owners and operators would lack the ability to provide 

for closure and post-closure care without effective requirements for financial assurance. Consequently, 

the Agency developed 40 CFR Parts 264 and 265, Subpart H financial responsibility requirements for 

closure and post-closure care. (The requirements in Part 264, Subpart H, are identical to the requirements 

in Part 265, Subpart H. The remainder of this supporting statement will use the reference to Subpart H as 

referring to both the Part 264 and Part 265 financial responsibility requirements.)

(2) Liability Requirements

The liability requirements are designed to assure that funds will be available during the operating 

life of a facility from which third parties can seek compensation for bodily injury and property damage 

arising from the operation of the facility. The liability requirements are necessary for several reasons. 

First, the requirements provide protection to human health and the environment by assuring that funds are 

available to owners and operators to compensate for damage caused by accidents at hazardous waste 

facilities, including payments for bodily injury and property damage. In addition, the Agency believes 

that without liability coverage requirements, there would be less public confidence in and greater 

opposition to proposed and existing hazardous waste facilities. The liability requirements also result in 

other potential benefits for human health and the environment: the incentive, in the form of lower 

insurance premiums, to improve design and operation of the facility, and the oversight that insurers 

provide over facility operations.

CONDITIONS APPLICABLE TO ALL PERMITS

EPA promulgated conditions applicable to all permits at 40 CFR Part 270, Subpart C. 

Information collected under this authority is needed to ensure that permittees are complying with permit 

conditions, and to determine whether cause exists for modifying, revoking and reissuing, or modifying a 

permit.

2(b) USE AND USERS OF THE DATA
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GENERAL FACILITY OPERATING REQUIREMENTS

(1) Foreign Shipment Import Report, Notice of Appropriate Permit(s), and

Notice of Part 264 and Part 270 Requirements

EPA uses foreign shipment import reports to determine the quantities and types of hazardous 

wastes being imported from abroad. Information in the foreign shipment import report also allows EPA 

to determine whether hazardous wastes will be safely transported and managed.

Generators use notices of appropriate permits to ensure that their waste is being managed by a 

permitted facility. Owners and operators of TSDFs must keep the notices in the operating record, and 

these notices may be reviewed by EPA during facility inspections.

New owners and operators use the notice of Part 264 and Part 270 requirements to improve their 

understanding of applicable regulations.

(2) Waste Analysis, Waste Analysis Plan, Inspection Schedule, and

Documentation of Compliance

The waste analysis and waste analysis plan, as well as the inspection schedule and documentation 

of compliance for ignitable or incompatible wastes, are primarily internal recordkeeping requirements 

used by owners and operators of facilities to assure that they can adequately handle incoming waste, to 

assure that the incoming waste is really what the generator claims it to be, and to prevent undetected 

releases or reactions of hazardous waste on-site. Much of the information in the waste analysis plan will 

also be used to provide a quality assurance check on both the generator and the owners' and operators' 

facilities.

(3) Personnel Training

Both EPA and owners and operators use information in the personnel training records to ensure 

that personnel acquire the necessary expertise to perform their jobs. During inspections, EPA reviews job 

descriptions and training documents to determine whether each person is receiving a level of training that 

is commensurate with the person's duties and responsibilities as well as the ability to respond to any 

emergency situations at the facility. 

RECORDKEEPING REQUIREMENTS

The facility owner or operator uses information included in the operating record and waste 

disposal location and quantity records to prevent the facility from receiving or placing in proximity 

wastes that are incompatible or that are likely to ignite or explode. If an unanticipated release of 

hazardous waste occurs, the owner or operator may review information in the operating record to 

determine the composition of the waste. Reviewing information in the operating record facilitates the 

owner's or operator's selection of an appropriate corrective action and cleanup measure. By providing 

facility-specific data, the operating record also enables EPA compliance officials to determine whether 

operating requirements can be better tailored to the needs of a particular site.

CONTINGENCY PLAN AND EMERGENCY REPORTING AND RECORDKEEPING 

REQUIREMENTS
9

Local emergency response teams, certain hazardous waste generators, treatment, storage, and 

disposal facility owners or operators, and EPA use information included in the contingency plan to assure 

an appropriate response to any unplanned release of hazardous waste or hazardous waste constituents. 

EPA reviews information in the contingency plan and emergency report to determine whether additional 

site-specific emergency provisions are necessary. 

RELEASES FROM SOLID WASTE MANAGEMENT UNITS

EPA uses data demonstrating compliance with the ground-water protection standard to ensure 

that the compliance period can be safely terminated. EPA collects and reviews proposed sampling 

procedures and intervals to ensure that facilities are taking appropriate steps to ensure that any groundwater contamination is detected rapidly and effectively.

CLOSURE AND POST-CLOSURE REQUIREMENTS

EPA uses information contained in closure and post-closure plans to determine whether an owner 

or operator's planned closure and post-closure activities will comply with environmental regulations. 

EPA officials use information contained in closure certifications to ensure that the owner or operator 

closed his/her facility according to the specifications outlined in the approved closure plan. EPA uses 

information contained in demonstrations to ensure that any activities taking place during the closure 

period are protective of human health and the environment. Local authorities, EPA, and potential 

purchasers of a closed facility review information included in post-closure notices to ensure that new 

owners or operators will not use land in a manner that will lead to a release of hazardous waste into the 

environment. 

FINANCIAL REQUIREMENTS

The closure, post-closure care, and liability coverage financial instruments submitted by the 

owner or operator are reviewed by EPA to determine compliance with the applicable Subpart H 

regulations. This review involves determinations of the validity of the instrument, acceptability of the 

financial assurance provider, adequacy of the instrument amount, and fulfillment of the other regulatory 

requirements. The information is also used to direct funds for closure, post-closure care, and liability 

coverage in the event of default or bankruptcy of a facility owner or operator.

CONDITIONS APPLICABLE TO ALL PERMITS

EPA uses data collected from permitted facilities to evaluate compliance with the terms of the 

permit and to decide whether cause exists for modifying, revoking and reissuing, or terminating the 

permit. By collecting this information, EPA ensures that permitted facilities are operating in a manner 

protective to human health and the environment.

3. NONDUPLICATION, CONSULTATION, AND OTHER COLLECTION CRITERIA

3(a) NONDUPLICATION

Most of the information required by the regulation is not available from any source but the 

respondents. To avoid duplicating previous work, EPA is allowing respondents to draw upon similar 

analyses in compiling data for waste analysis and testing requirements, provided the information meets 

the requirements specified in the regulations.

3(b) CONSULTATIONS
10

The following consultants were contacted on the burden estimates for this ICR. 

Mark Knighton Solutia Inc. (256) 282-6292

Amie Gronberg Safety-Kleen Systems, Inc. (918) 355-1589

Kevin Sheehan CWM Chemical Services (716) 754-8231

There are no changes to the burden calculations based on these consultations.

3(c) PUBLIC NOTICE

In compliance with the Paperwork Reduction Act of 1995, EPA issued a public notice in the 

Federal Register on October 28, 2015 (80 FR 65999), and provided a 60 day comment period. No 

comments were received.

3(d) EFFECTS OF LESS FREQUENT COLLECTION

EPA has carefully considered the burden imposed upon the regulated community by the general 

facility standards. EPA is confident that those activities required of respondents are necessary, and to the 

extent possible, have attempted to minimize the burden imposed. EPA believes strongly that if the 

minimum requirements specified under the regulations are not met, neither the facilities nor EPA can 

ensure that hazardous wastes are being properly managed, and do not pose a serious threat to human 

health and the environment. 

3(e) GENERAL GUIDELINES

In general, the information collection requirements covered by this ICR adhere to the guidelines 

stated in the 1995 Paperwork Reduction Act as amended, OMB's implementing regulations, EPA's 

Information Collection Review Handbook, and other applicable OMB guidance. However, certain general 

facility regulations listed below require TSDFs to retain records for more than three years. As explained 

below, EPA believes that maintenance of these records for longer than three years meets substantial needs 

to protect human health and the environment.

GENERAL FACILITY OPERATING STANDARDS

(1) General Inspection Requirements

The general inspection requirements require the owner or operator to keep inspection records at 

the facility for at least three years from the date of inspection. Keeping inspection records for longer than 

three years may be advisable to keep track of any long standing violations or continued areas of concern 

regarding potential spills, leaks or mismanagement of the hazardous wastes.

(2) Personnel Training

Training records on current employees must be kept at the facility until closure of the facility. 

Records of former employees must be held for at least three years after the date the employee left the 

facility. Keeping these records will provide documentation of preparations made for handling hazardous 

waste, and allow the facility to keep up to date on its employee training.

OPERATING RECORD
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Owners or operators are required to maintain an operating record at the facility until closure. 

This record will help ensure compliance with the hazardous waste regulations, and make it easier to locate 

the cause of any potential hazardous waste leak or spill.

CLOSURE/POST-CLOSURE PLANS

Owners or operators are required to keep a copy of the closure plan at the facility until closure. The 

owner or operator is also required to keep the certification of closure at the facility until the facility is 

released from financial assurance requirements for closure. These requirements assure that the facility is 

closing in accordance with the regulations at the least possible risk to human health and the environment.

3(f) CONFIDENTIALITY

Section 3007(b) of RCRA and 40 CFR Part 2, Subpart B, which define EPA’s general policy on 

the public disclosure of information, contain provisions for confidentiality. EPA does not anticipate 

requesting any confidential information.

3(g) SENSITIVE QUESTIONS

No questions of a sensitive nature are included in any of the information collection requirements.

4. THE RESPONDENTS AND THE INFORMATION REQUESTED

4(a) RESPONDENTS/NAICS CODES

The following is a list of North American Industrial Classification System (NAICS) codes

associated with industries most likely affected by the information collection requirements covered under 

this ICR.

323110 Commercial Lithographic Printing

323114 Quick Printing

325131 Inorganic Dye and Pigment Manufacturing 

325188 All Other Basic Inorganic Chemical Manufacturing

325998 All Other Miscellaneous Chemical Product Manufacturing 

331311 Alumina refining

325211 Plastics Material and Resins Manufacturing

32551 Paint and Coating Manufacturing

32511 Petrochemical Manufacturing

32512 Industrial Gas Manufacturing

325188 All Other Inorganic Chemical Manufacturing

325193 Ethyl Alcohol Manufacturing

325199 All Other Basic Organic Chemical Manufacturing

325998 All Other Miscellaneous Chemical Product Manufacturing

311942 Spice and Extract Manufacturing 

32411 Petroleum Refineries

332813 Electroplating, Plating, Polishing, Anodizing and Coloring

33271 Machine Shops

332991 All Other Miscellaneous Fabricated Metal Product Manufacturing

333319 Other Commercial or Service Industry Machinery Manufacturing

Accessories

333999 All Other General Purpose Machinery Manufacturing
12

336399 All Other Motor Vehicle Part Manufacturing

334 Computer and Electronic Product Manufacturing

336 Transportation Equipment Manufacturing

48422 Specialized Freight (except Used Goods) Trucking, Local

56211 Waste Collection

22111 Electric Power Generation

22112 Fossil Fuel Electric Power Generation

22132 Sewage Treatment Facilities

56292 Materials Recovery Facilities

56221 Waste Treatment and Disposal

42271 Petroleum Bulk Stations and Terminals

45431 Fuel Dealers

4411 Automobile Dealers

4471 Gasoline Stations

811111 General Automotive Repair

4(b) INFORMATION REQUESTED

The following subsections summarize the data items and respondent activities required for each of 

the information collection requirements discussed in this ICR. The information collection requirements 

are divided into seven categories:

 General facility operating requirements;

 Recordkeeping requirements;

 Contingency plan and emergency reporting and recordkeeping requirements;

 Releases from solid waste management units;

 Closure and post-closure requirements; 

 Financial requirements;

 Corrective action management unit requirements; and

 Conditions applicable to all permits.

GENERAL FACILITY OPERATING REQUIREMENTS

(1) Foreign Shipment Import Report

(i) Data items:

Sections 264.12(a) and 265.12(a) require owners or operators that have arranged to receive 

hazardous wastes from foreign sources to notify the Regional Administrator in writing at least four weeks 

prior to the expected date of arrival of the shipments at the facility. Data items that should be included in 

this notification include:
13

 Description of the type and quantity of waste to be received;

 Date shipment is expected to arrive; and

 Description of how imported waste will be managed at the facility.

(ii) Respondent activities:

In order to comply with the foreign shipment report requirements, respondents must perform the 

following activities:

 Read the regulations; 

 Collect data; and

 Prepare and submit the notification.

(2) Notice of Appropriate Permits

(i) Data item:

Section 264.12(b) requires the owner or operator of a facility that receives off-site waste to inform 

the generator in writing that he or she has the appropriate permits, and will accept, the waste the generator 

is shipping. This notice must be sent to the generator before receiving the first shipment of waste. The 

owner or operator must retain a copy of the notice at the facility. 

(ii) Respondent activities:

In order to comply with Section 264.12(b), respondents must perform the following activities:

 Read the regulations;

 Prepare and submit the one-time notice; and

 Retain a copy of the notice.

(3) Notice of Part 264 and Part 270 Requirements

(i) Data item:

Sections 264.12(c) and 265.12(b) require owners or operators transferring ownership of a facility 

during its operating life, or of a disposal facility during the post-closure care period, to notify the new 

owner or operator in writing of the requirements of 40 CFR Part 264 or 265 and Part 270. This notice 

must be submitted before the transfer in ownership.

(ii) Respondent activities:
14

In order to comply with sections 264.12(c) and 265.12(b), respondents must perform the 

following activities:

 Read the regulations; and

 Prepare and submit the notice. 

(4) Waste Analysis

(i) Data items:

Sections 264.13(a) (1) and 265.13(a) (1) require an owner or operator to obtain a detailed 

chemical and physical analysis of any hazardous waste he or she intends to treat, store, or dispose. 

Sections 264.13(a) (2) and 265.13(a) (2) state that the analysis may include data, either existing or 

published, developed under 40 CFR Part 261, as well as existing data on the hazardous waste or 

hazardous waste generated from similar processes. 

(ii) Respondent activities:

In order to comply with sections 264.13(a) (1) and 265.13(a) (1), respondents must perform the 

following activities:

 Read the regulations;

 Collect data; and

 Perform waste analysis (sampling, testing).

(5) Waste Analysis Plan

(i) Data items:

Sections 264.13(b)-(c) and 265.13(b)-(c) state that an owner or operator of a hazardous waste 

facility must develop and follow a written waste analysis plan that describes the procedures to be used in 

obtaining a detailed chemical and physical analysis of the waste. The owner or operator is required to 

keep the waste analysis plan at the facility. At a minimum, the plan must include the following 

information:

 Parameters for which each hazardous waste will be analyzed and the rationale for the 

selection of these parameters;

 Test methods used to test for the parameters;

 Sampling method used to obtain a representative sample of the waste to be analyzed;

 Frequency with which the initial analysis of the waste will be reviewed or repeated to 

ensure that the analysis is accurate and up to date; 
15

 For off-site facilities, the waste analyses that hazardous waste generators have agreed to 

supply; 

 Where applicable, the methods which will be used to meet additional waste analysis 

requirements for specific waste management methods as specified in §§264.17, 264.314, 

264.341, 264.1034(d), 264.1063(d), 265.200, 265.225, 265.252, 265.273, 265.314, 

265.341, 265.375, 265.402, 265.1034(d), 265.1063(d), and 268.7; For surface 

impoundments exempted from land disposal restrictions under Section 268.4(a) 

procedures and schedules for:

-- The sampling of impoundment contents;

-- The analysis of test data;

-- The annual removal of residues which are not delisted under

§260.22 or which exhibit a characteristic of hazardous waste and meet the 

requirements specified in §§264.13(b)(7)(iii)(A),(B),(B)(1) or (B)(2) and 

265.13(b)(7)(iii)(A), (B), (B)(1), or (B)(2); and

 For off-site facilities, the procedures used to inspect and analyze each movement of hazardous 

waste received at the facility, as required under §§264.13(c) and 265.13(c), including:

-- Procedures that will be used to determine the identity of each

movement of waste managed at the facility; and 

-- The sampling method which will be used to obtain a representative

sample of the waste to be identified, if the identification method includes 

sampling. 

(ii) Respondent activities:

Since permitted facilities submit the waste analysis plan with the Part B permit application, activities 

associated with developing and modifying the waste analysis plan are discussed in the Hazardous Waste Part B 

Permit Applications, Special Permits, and Permit Modifications ICR (#1573). However, prior to submitting a 

permit application, an interim status facility must prepare a waste analysis plan. Therefore, preparation and 

modification of waste analysis plans for interim status facilities will be discussed in this ICR (#1571). In 

addition to the development of the plan, this ICR will also focus on activities associated with the 

recordkeeping aspects of the regulations for both permitted and interim status facilities.

To meet the recordkeeping requirement outlined in §§264.13(b) and 265.13(b), owners or operators 

must file the waste analysis plan at the facility. Activities associated with developing a waste analysis plan 

include:

 Reading the regulations; 

 Collecting the data required in the waste analysis plan; 

 Writing the waste analysis plan; 
16

 Maintaining the plan (e.g., photocopying and filing); and 

 Modifying the waste analysis plan (for new and existing interim status facilities).

(6) Inspection Schedule

(i) Data items:

Sections 264.15(b)(1) and 265.15(b)(1) require owners and operators to develop and follow a 

written schedule for monitoring equipment that is important in preventing, detecting, or responding to 

environmental or human health hazards. At a minimum, the inspection schedule must include the terms 

and frequencies called for in §§264.174, 264.194, 264.195, 264.226, 264.253, 264.254, 264.303, 264.347, 

264.602, 264.1033, 264.1052, 264.1053, 264.1058, 265.174, 265.193, 265.195, 265.226, 265.347, 

265.377, 265.403, 265.1033, 265.1052, 265.1053, and 265.1058 and must identify the types of problems 

that are to be investigated during the inspection. 

Section 264.15(d) and 265.15(d) state that an owner or operator must record inspections 

conducted according to the written schedule developed pursuant to §§264.15(b)(1) and 265.15(b)(1) in an 

inspection log or summary that is to be maintained at the facility. The inspection log or summary must 

contain the following data items:

 Date and time of inspection;

 Name of inspector;

 Notation of the observations made; and

 Date and nature of any repairs or other remedial action.

(ii) Respondent activities:

Since permitted facilities submit the inspection schedule with the Part B permit application, 

activities associated with developing and modifying the schedule are discussed in the Hazardous Waste 

Part B Permit Applications, Special Permits, and Permit Modifications ICR (#1573). Prior to submitting 

a permit application, interim status facilities must prepare an inspection schedule; preparation of and 

modification to the inspection schedule for these facilities will be discussed in this ICR (#1571). This 

ICR will also focus on activities associated with the recordkeeping aspects of the regulations for both 

permitted and interim status facilities.

To meet the requirements outlined in §§264.15(d) and 265.15(d), the owner or operator must 

conduct the following activities:

 Read the regulations;

 Develop an inspection schedule (new interim status facilities only);
17

 Maintain and modify the inspection schedule at the facility (new and existing 

interim facilities only); and

 Record problems identified during inspections in the inspection log

(7) Personnel Training

(i) Data items:

Sections 264.16(d) and 265.16(d) require an owner or operator to maintain copies of personnel 

training documents and records at the facility. These documents should include the following data items:

 Job title for each position at the facility related to hazardous waste management, and the 

name of the employee filling each job;

 Written job description for each position, which includes the necessary skill, education, 

or other qualifications and duties of employees assigned to each position;

 Written description of the type and amount of both introductory and continuing training 

that will be given to each person filling a position; and records that document that the 

training or job experience required have been given to, and completed by, facility 

personnel. 

(ii) Respondent activities:

Respondent activities associated with Sections 264.16(d) and 265.16(d) include:

 Reading the regulations; 

 Collecting the data items listed above; and 

 Maintaining (e.g., photocopying and filing) the information at the facility.

(8) Documentation of Compliance for Ignitable, Reactive, or Incompatible Wastes

(i) Data items:

Section 264.17(c) states that the owner or operator of a hazardous waste facility must take 

precautions to prevent accidental ignition or reaction of ignitable or reactive waste. The owner or 

operator of a permitted facility must document compliance with the requirements outlined in §§264.17(a) 

and (b). The documentation may be based on references to published scientific or engineering literature, 

data from trial tests (e.g., bench scale or pilot scale tests), waste analyses (as specified in §264.13), or the 

results of the treatment of similar wastes by similar treatment processes and under similar operating 

conditions. 

(ii) Respondent activities:
18

Respondent activities associated with Section 264.17(c) include:

 Reading the regulations; 

 Collecting and documenting the data items mentioned above; and

 Maintaining (e.g., photocopying and filing) documentation at the facility.

(9) Construction Quality Assurance Plan

(i) Data items:

Section 265.19(b) requires any owner or operator of an interim status surface impoundment, 

waste pile, or landfill to develop a written construction quality assurance (CQA) plan that identifies steps 

that will be used to monitor and document the quality of materials and the condition and manner of their 

installation. [Permitted facilities must also develop a CQA plan for surface impoundments, waste piles, 

and landfills. Activities associated with CQA plans at permitted facilities are burdened in the Part B 

Permit Application, Permit Modifications, and Special Permits ICR, #1573.] The CQA plan must include 

the following information:

 Identification of applicable units, and a description of how they will be constructed;

 Identification of key personnel in the development and implementation of the CQA plan, 

and CQA officer qualifications;

 A description of inspection and sampling activities for all unit components, including 

observations and tests that will be used before, during, and after construction to ensure 

that the construction materials and the installed unit components meet design 

specifications. This description must cover:

- Sampling size and locations;

- Frequency of testing;

- Data evaluation procedures;

- Acceptance and rejection criteria for construction materials;

- Plans for implementing corrective measures; and

- Data or other information to be recorded and retained in the 

operating record under §265.73.

The owner or operator also must prepare and submit a certification signed by the CQA officer at 

least 30 days prior to receiving waste that the CQA plan has been successfully carried out and that the 

unit meets the requirements of §§265.221(a), 265.254, or 265.301(a).
19

(ii) Respondent activities:

In order to comply with Section 265.19, owners and operators must:

 Read the regulations;

 Prepare the CQA plan;

 Prepare the certification;

 Submit materials to EPA; and

 Maintain records of the materials.

RECORDKEEPING REQUIREMENTS

(1) Operating Record Requirements

(i) Data items:

Sections 264.73 and 265.73 outline specific operating recordkeeping requirements that are 

imposed on TSDFs. This ICR covers the requirements found at §264.73(b) (1)-(16) and §265.73(b) (1)-

(16), which state that the operating record must contain the following data items:

 A description and the quantity of each hazardous waste received, and the method(s) 

and date(s) of its treatment, storage, or disposal at the facility as required by 

Appendix I;

 The location of each hazardous waste within the facility and the quantity at each location. 

For disposal facilities, the location and quantity of each hazardous waste must be 

recorded on a map or diagram of each cell or disposal area;

 Records and results of waste analyses performed;

 Summary reports and details of all incidents that require implementing the contingency 

plan;

 Records and results of inspection reports (which must be kept for three years);

 Monitoring, testing, or analytical data and corrective action where required;

 Copies of written notices (for off-site facilities) certifying that the facility is permitted and 

will accept the waste the generator is shipping;

 Closure cost estimates and, for disposal facilities, post-closure cost estimates;
20

 A certification by the permittee, no less often than annually, that the permittee has a 

program in place to reduce the volume and toxicity of hazardous waste that he generates 

to the degree determined by the permittee to be economically practicable; and the 

proposed method of treatment, storage, or disposal that is the practicable method 

currently available to the permittee which minimizes the present and future threat to 

human health and the environment;

 Records of the quantities (and date of placement) for each shipment of hazardous waste 

placed in land disposal units under an extension to the effective date of any land disposal 

restriction, or a certification, and the applicable notice required by a generator; 

 Documents stating refusal of State or local authorities to enter into arrangements to 

address emergency situations;

 Records of hazardous waste application dates and rates; and

 Maps detailing (1) the exact location, dimensions, and depths of each cell with respect to 

permanently surveyed benchmarks, and (2) the contents of each cell and the approximate 

location of each hazardous waste type within each cell.

(ii) Respondent activities:

In order to comply with sections 264.73 and 265.73, 264.37, 264.279 and 265.279, and 264.309 

and 265.309, owners or operators are required to maintain a written operating record at the facility. 

Respondent activities associated with maintaining an operating record include maintaining (e.g., 

photocopying and filing) the data items listed above. 

(2) Other Recordkeeping and Reporting Requirements

Sections 264.74(c) and 265.74(c) require owners or operators to submit to the Regional 

Administrator and local land authority a copy of the records of waste disposal locations and quantities 

under §§264.73(b)(2) and 265.73(b)(2) upon closure of the facility. Since this information is submitted 

upon closure of the facility, data items and respondent activities are included in the closure/post-closure 

section. 

CONTINGENCY PLAN AND EMERGENCY REPORTING REQUIREMENTS

(1) Contingency Plan Requirements

(i) Data items:

Sections 264.51 and 265.51 require owners or operators to have a contingency plan for their 

facilities and sections 264.53(a) and 265.53(a) require the owner or operator to maintain a copy of an 

updated contingency plan at the facility. Sections 264.52 and 265.52 outline the data elements that should 

be included in this plan: 
21

 A description of the arrangements agreed to by local police departments, fire 

departments, hospitals, contractors, and State and local emergency response teams to 

coordinate emergency services;

 An updated list of the names, addresses, and phone numbers (office and home) of all 

persons qualified to act as emergency coordinators;

 An updated list of all emergency equipment at the facility and the location, physical 

description, and capabilities of the emergency equipment. The contingency plan should 

also indicate where the emergency equipment will be required; and

 An evacuation plan for facility personnel where there is a possibility that evacuation 

may be necessary.

In addition, sections 264.53(b) and 265.53(b) require owner/operators to submit a copy of the 

contingency plan and all revisions to all local police departments, fire departments, hospitals, and State 

and local emergency response teams that may be called upon to provide emergency services.

(ii) Respondent activities:

Since permitted facilities submit the contingency plan with the Part B permit application, 

activities associated with developing and modifying the contingency plan are discussed in the Hazardous 

Waste Part B Permit Applications, Special Permits, and Permit Modifications ICR (#1573). Interim 

status facilities must prepare contingency plans prior to submitting a permit application; therefore, 

preparation of the contingency plan for these facilities is covered under this ICR (#1571). This ICR also 

includes submittal of the plan to State and local authorities and recordkeeping activities for both 

permitted and interim status facilities.

In order to comply with contingency plan requirements, owners or operators are required to 

perform the following activities:

 Read the regulations;

 Collect the data required in the contingency plan; 

 Write the contingency plan (new interim status facilities only);

 Submit the contingency plan to State and local authorities;

 Maintain (e.g., photocopy and file) the contingency plan; and 

 Amend the contingency plan when appropriate.

[Although permitted and interim-status facilities must comply with appropriate requirements for 

amending a contingency plan, this ICR addresses only interim status facilities amending their plans. As 

mentioned, permitted facilities amending their plans must comply with sections 264.54 and submit a 

permit modification under section 270.42. These permitted facilities are addressed in the Hazardous 

Waste Part B Permit Applications, Special Permits, and Permit Modifications, ICR #1573].
22

(2) Emergency Reporting and Recordkeeping Requirements

(i) Data items:

Sections 264.56(a) (2) and 265.56(a) (2) require owners and operators to immediately notify 

State and local authorities with designated response roles of an imminent or actual emergency situation. 

Sections 264.56(d)(1) and 265.56(d)(1) require owners and operators to notify local authorities if his or 

her assessment of a release, fire, or explosion indicates that evacuation of local areas may be advisable.

Sections 264.56(d) (2) and 265.56(d) (2) require the facility emergency coordinator to notify the 

on-scene coordinator or the National Response Center of any release, fire, or explosion that could threaten 

human health or the environment outside the facility. The emergency notification report must include the 

following information:

 Name and telephone number of reporter;

 Name and address of facility;

 Time and type of incident;

 Name and quantity of material(s) involved;

 The extent of injuries; and

 Possible hazards to human health or the environment outside the facility.

Sections 264.56(i) and 265.56(i) state that the owner or operator should notify the Regional 

Administrator and appropriate State and local authorities that their facility is in compliance with 

§§264.56(h) and 265.56(h) before resuming operations in the affected area(s) of the facility. 

Within 15 days of the incident, owners and operators are required, under Sections 264.56(j) and 

265.56(j) to submit a written report ("owner/operator emergency report") on the incident to the Regional 

Administrator. The report must include the following data items:

 Name, address, and telephone number of the owner or operator;

 Name, address, and telephone number of the facility;

 Date, time, and type of incident;

 Name and quantity of material(s) involved;

 The extent of injuries;

 An assessment of actual or potential hazards to human health or the environment; and

 Estimated quantity and disposition of recovered material that resulted from the incident.
23

(ii) Respondent activities:

In order to comply with the reporting requirements of §264.56(a) (2) and §265.56(a) (2), owners 

and operators must perform the following activities:

 Submit the required notification of an imminent or actual emergency situation to State 

and/or local authorities.

 In order to comply with the reporting requirements of §264.56(d) (1) and §265.56(d) (1), owners 

and operators must perform the following activities:

 Notify local authorities of the owner or operator's recommendation to evacuate local 

areas.

 In order to comply with the reporting requirements of §264.56(d) (2) and §265.56(d) (2), owners 

and operators must perform the following activities:

 Notify the on-scene coordinator or the National Response Center of any release.

 In order to prepare an emergency report under §264.56(d) (2) and §265.56(d) (2), emergency 

coordinators must conduct the following activities:

 Collect the information required in the emergency report; and

 Write the emergency notification report.

In order to prepare an owner/operator's emergency report under §264.56(j) and §265.56(j), 

owners and operators must conduct the following activities:

 Read the regulations;

 Collect the information required in the emergency report; and

 Prepare and submit the emergency report.

In addition to preparing an emergency report, the owner or operator must notify the Regional 

Administrator that the facility is in compliance with §§264.56(h) and 265.56(h) before resuming 

operations in affected areas of the facility. In order to comply with this requirement, respondents must 

conduct the following activities:

 Compile information that demonstrates that all affected areas are in compliance; and
24

 Prepare and submit a letter notifying the Regional Administrator of this compliance.

Sections 264.56 and 265.56 require the owner/operator to note in the operating record the time, 

date, and details of any incident that requires implementing the contingency plan (§§264.56(j) and 

265.56(j)). Respondent activities associated with this requirement are burdened in the respondent activity 

section for the operating record requirements. 

RELEASES FROM SOLID WASTE MANAGEMENT UNITS

(1) Termination of Compliance Period

(i) Data item:

Section 264.96(c) extends the compliance period for facilities that are engaged in corrective

action. Owners and operators of these facilities must demonstrate, with monitoring data, that the groundwater protection standard of §264.92 has not been exceeded for a period of three consecutive years to 

complete the compliance period.

(ii) Respondent activities:

In order to comply with section 264.96(c), owners and operators must perform the following 

activities:

 Read the regulations; and

 Prepare the monitoring data and submit it to EPA.

(2) Sampling Procedures and Intervals

(i) Data items:

Section 264.97(g) requires owners and operators conducting detection monitoring and compliance 

monitoring to determine an appropriate sampling procedure and interval for each hazardous constituent 

listed in the facility permit. The sampling procedure must include:

 A sequence of at least four samples, taken at an interval that assures, to the greatest extent 

technically possible, that an independent sample is obtained, by reference to the 

uppermost aquifer's effective porosity, hydraulic conductivity, and hydraulic gradient, 

and the fate and transport characteristics of the potential contaminants; or
25

 An alternative sampling procedure proposed by the owner or operators and approved by 

EPA.

(ii) Respondent activities:

In order to comply with section 264.97(g), owners and operators must perform the following 

activities:

 Read the regulations; and

 Develop an appropriate sampling procedure and interval, and submit this 

information to EPA for approval.

CLOSURE AND POST-CLOSURE REQUIREMENTS

(1) Closure Plan

(i) Data items:

Sections 264.112(a) and 265.112(a) state that an owner or operator must have a written closure 

plan. The closure plan must include the following data items:

 A description of how each hazardous waste management unit at the facility will be closed 

in accordance with §§264.111 and 265.111;

 A description of how final closure of the facility will be conducted in accordance with 

§§264.111 and 265.111. The description must identify the maximum extent of operations 

which will be unclosed during the active life of the facility; 

 An estimate of the maximum inventory of hazardous wastes ever on-site over the active 

life of the facility. This should include a detailed description of the methods to be used 

during partial closures and final closure such as methods for removing, transporting, 

treating, storing, or disposing of all hazardous wastes, and identification of the type(s) of 

off-site hazardous waste management units to be used, if applicable;

 A detailed description of the steps needed to remove or decontaminate all hazardous 

waste residues and contaminated containment system components, equipment, structures, 

and soils during partial and final closure;

 A detailed description of other activities necessary during the closure period to ensure 

that all partial closures and final closure satisfy the closure performance standards, 

including ground-water monitoring, leachate collection, and run-on and run-off control;

 A schedule for closure of each hazardous waste management unit and for final closure of 

the facility. The schedule must include, at a minimum:

-- The total time required to close each hazardous waste

management unit; and 
26

-- The time required for intervening closure activities which will allow 

tracking of the progress of partial and final closure; and

 For facilities that use trust funds to establish financial assurance under §§264.143 and 

265.143, or 264.145 and 265.145, and that are expected to close prior to the expiration of 

the permit, an estimate of the expected year of final closure.

Certain permitted surface impoundments and waste piles from which the owner or operator 

intends to remove or decontaminate the hazardous waste at partial or final closure are required by 

Sections 264.228(c)(1)(ii) and 264.258(c)(1)(ii) to have contingent closure plans. In addition, owners or 

operators of tank systems or drip pads that intend to remove or decontaminate hazardous waste at partial 

or final closure are required to submit contingent closure plans as specified in sections 264.197(c)(1) and 

265.197(c)(1), and 264.575(c)(1)(i)and 265.445(c)(1)(i), respectively. 

(ii) Respondent activities:

Since permitted facilities submit the closure plan and contingency closure plans with the Part B 

permit application, activities associated with developing and modifying the closure plan are discussed in 

the Hazardous Waste Part B Permit Applications, Special Permits, and Permit Modifications ICR 

(#1573). Prior to submitting a permit application, interim status facilities must prepare a closure plan. 

Therefore, preparation of and modification to the closure plan for interim status facilities will be covered 

in this ICR (#1571). This ICR will also include activities associated with the recordkeeping aspects of the 

regulations for both permitted and interim status facilities. 

 Maintaining the closure plan at the facility is the only respondent activity associated with the 

recordkeeping aspects of this regulation. Respondent activities associated with developing a closure plan 

include:

 Reading the regulations;

 Conducting an inventory of the hazardous waste present; 

 Recording results of inventory; 

 Writing descriptions for the necessary activities;

 Estimating final closure; and 

 Writing the closure schedule. 
27

(2) Notification and Amendment of Closure Plan

(i) Data items:

Permit modifications for permitted facilities under section 264.112(c) are included in the 

Hazardous Waste Part B Permit Applications, Special Permits, and Permit Modifications ICR (#1573). 

Under section 265.112(c), owners or operators of interim status facilities may amend the closure plan at 

any time prior to notification of partial or final closure of the facility. An owner or operator with an 

approved closure plan must submit a written request to EPA to authorize a change in the approved closure 

plan. The owner or operator must amend the closure plan at least 60 days prior to the proposed change in 

the facility design or operation, or no later than 60 days after an unexpected event has occurred which has 

affected the closure plan. An owner or operator with an approved closure plan must submit the amended 

plan to EPA.

(ii) Respondent activities:

Interim status facilities with approved closure plans must prepare and submit a notification of 

amendment, amend the plan, and submit the plan to EPA, pursuant to section 265.112(c).

(3) Partial Closure and Final Closure Notification

(i) Data items:

Under Section 264.112(d)(1), owners or operators of permitted facilities must notify the Regional 

Administrator of imminent closure intentions. Section 265.112(d)(1) requires owners or operators of 

interim status facilities with approved closure plans to notify EPA of closure in writing within a specified 

period of time before closure of the unit. Section 265.112(d)(1) also requires owners or operators of 

interim status facilities to submit a closure plan to the Regional Administrator prior to closure. In 

addition, section 265.112(d)(3) requires owners or operators of interim status facilities to submit the 

closure plan to the Regional Administrator no later than 15 days after termination of interim status. 

(ii) Respondent activities:

Under section 264.112(d)(1) or 265.112(d)(1) permitted and interim status facilities must prepare 

and submit a notification to EPA of imminent closure. Interim status facilities also must submit a closure 

plan under section 265.112(d)(1) or 265.112(d)(3).

(4) Extensions and Allowances During the Closure Period

(i) Data items:

Under 40 CFR 264.113 and 265.113, owners and operators may prepare demonstrations in 

support of certain extensions and allowances during the closure period. Sections 264.113(a) and 

265.113(a) allow owners and operators to request an extension for the treatment, storage, or removal of 

hazardous waste. To receive such an extension, the owner or operator must request a permit modification 

and demonstrate the following:

 Treatment, storage, and removal activities will, of necessity, take longer than 90 days to 

complete; or
28

 The hazardous waste management unit or facility has the capacity to receive additional 

hazardous or non-hazardous wastes; there is a likelihood that operations will be 

recommenced within one year; and closure of the unit would be incompatible with 

continued operation of the site; and

 The owner or operator has taken and will continue to take all steps necessary to prevent 

threats to human health and the environment, including compliance with all applicable 

permit requirements.

Sections 264.113(b) and 265.113(b) allow owners and operators to request an extension of the 

closure period. To receive such an extension, the owner or operator must request a permit modification 

and demonstrate the following:

 Partial of final closure activities will, of necessity, take longer than 180 days to complete; 

or

 The hazardous waste management unit or facility has the capacity to receive additional 

hazardous or non-hazardous wastes; there is a reasonable likelihood that operations will 

be recommenced within one year; and closure of the unit would be incompatible with 

continued operation of the site; and

 The owner or operator has taken and will continue to take all steps necessary to prevent 

threats to human health and the environment, including compliance with all applicable 

permit requirements.

Sections 264.113(d) and 265.113(d) allow owners and operators to request an allowance to 

receive only non-hazardous wastes in a landfill, land treatment, or surface impoundment unit after the 

final receipt of hazardous waste. To receive such an allowance, the owner or operator must request a 

permit modification, and include the following demonstrations and information:

 The unit has the existing design capacity as indicated on the part A application to receive 

non-hazardous wastes;

 There it a reasonable likelihood that operations will be recommenced within one year 

after the final receipt of hazardous wastes;

 The non-hazardous wastes will not be incompatible with any remaining wastes in the unit 

or facility;

 Closure of the unit would be incompatible with continued operation of the site;

 The owner or operator is operating and will continue to operate in compliance with all 

applicable permit requirements;
29

 The request to modify the permit includes an amended waste analysis plan, ground-water 

monitoring and response program, human exposure assessment, closure and post-closure 

plans, updated cost estimates and demonstrations of financial assurance for closure and 

post-closure care, and changes in closure activities.

(ii) Respondent activities:

The burden associated with developing a permit modification for such an extension or allowance 

is addressed in the Hazardous Waste Part B Permit Application, Permit Modifications, and Special 

Permits ICR (#1573). Other respondent activities associated with obtaining an extension or allowance 

include the following:

 Reading the regulations;

 Preparing and submitting the demonstration for an extension for treatment, storage, or 

removal of hazardous waste;

 Preparing and submitting the demonstration for an extension of the closure period; and

 Preparing and submitting the demonstration for receiving non-hazardous wastes.

(5) Closure Certification

(i) Data items:

Sections 264.115 and 265.115 require owners or operators to submit to the Regional 

Administrator a certification that the unit or facility has been closed in accordance with the specifications 

in the approved closure plan. Documentation supporting the independent registered professional 

engineer's certification must be furnished to the Regional Administrator upon request before he or she 

releases the owner or operator from the financial assurance requirements for closure under §§264.143(i) 

and 265.143(h). 

(ii) Respondent activities:

In order to certify that the unit or facility has been closed in accordance with the specifications in 

the approved closure plan, respondents must perform the following activities: 

 Read the regulations;

 Have a registered professional engineer inspect the facility; and

 Collect documentation to support the certification and submit the certification.

(6) Survey Plat

(i) Data item:
30

Sections 264.116 and 265.116 require an owner or operator to submit to the Regional 

Administrator a survey plat indicating the location and dimensions of landfill cells or other hazardous 

waste disposal units with respect to permanently surveyed benchmarks. 

(ii) Respondent activities:

In order to comply with §264.116 and §265.116, respondents must have a professional land 

surveyor prepare and certify a survey plat, and submit the plat to the Regional Administrator.

(7) Post-Closure Plan

(i) Data items:

Sections 264.118(a) and 265.118(a) state that the owner or operator of a hazardous waste disposal 

facility must have a written post-closure plan. Surface impoundments and waste piles from which the 

owner or operator intends to remove or decontaminate the hazardous waste at partial or final closure are 

required by §§264.228(c)(1)(ii) and 264.258(c)(1)(ii) to have contingent post-closure plans submitted 

with the Part B permit application. In addition, owners or operators of tank systems or drip pads that 

intend to remove or decontaminate the hazardous waste at partial or final closure are required to submit a 

contingent post-closure plan, as specified in sections 264.197(c)(2) and 265.197(c)(2), and 

264.575(c)(1)(ii) and 265.445(c)(1)(ii), respectively. Section 265.118 requires owners or operators to 

maintain a copy of the post-closure plan at the facility. 

Data items included in the post-closure plan are listed below:

 A description of the facility's monitoring activities and frequencies at which they will be 

performed to comply with Subparts F, K, L, M, N, and X during the post-closure care 

period;

 A description of the planned maintenance activities, and frequencies at which they will be

performed;

 The name, address, and phone number of the person or office to contact about the 

hazardous waste disposal unit or facility during the post-closure care period; and

 A copy of the approved post-closure plan, to be provided to the Regional Administrator 

upon request, until final closure of the facility.

(ii) Respondent activities:

Since permitted facilities submit post-closure and contingent post-closure plans with the Part B 

permit application, activities associated with developing these post-closure plans are discussed in the 

Hazardous Waste Part B Permit Applications, Special Permits, and Permit Modifications ICR (#1573). 

Prior to submitting a permit, interim status facilities must develop a post-closure plan. Therefore, 

preparation of these plans for interim status facilities will be covered in this ICR (#1571). This ICR will 

also focus on activities associated with the recordkeeping aspects of the regulations for both permitted 

and interim status facilities. 

Section 265.118(e) requires an interim status facility owner or operator to submit a post-closure 

plan to the Regional Administrator no later than 15 days after termination of interim status, except when a 
31

permit is issued simultaneously with termination of interim status, or the facility is issued a judicial 

decree or final order under §3008 of RCRA to cease receiving hazardous wastes or close. If the Regional 

Administrator does not approve the plan, the owner or operator must modify the plan or submit a new 

plan for approval.

In order to comply with the post-closure plan requirements, respondents must perform the 

following activities:

 Read the regulations; 

 Collect the necessary information; 

 Prepare and submit the post-closure plan or contingent post-closure plan, if applicable 

(new interim status facilities only); and

 Maintain the plan. 

(8) Notification and Amendment of Post-Closure Plan Under 265.118(d)(1)-(3)

(i) Data items:

Section 265.118(d)(1)-(3) requires owners or operators of interim status facilities to submit 

written requests to authorize changes to approved post closure plans, and requires submittal of modified 

plans to the Regional Administrator. Under section 264.118(d)(1)-(3), permitted facilities must request 

permit modifications to authorize and make changes to approved post-closure plans. Such permit 

modifications are included in ICR #1573.

(ii) Respondent activities:

Interim status facilities must:

 Prepare a notification of amendment; 

 Amend the plan; and 

 Submit these data items to EPA, as required by section 265.118(d)(1)-(3).
32

(9) Amendment of Post-Closure Plan Under 265.118(d)(4), (f), and (g)(1)

(i) Data items:

Under 40 CFR 265.118(d)(4), if the Regional Administrator determines that an owner or operator 

of a surface impoundment or waste pile who intended to remove all hazardous wastes at closure must 

close the facility as a landfill, the owner or operator must submit to the Regional Administrator within 90 

days of the determination a post-closure plan for approval. If the Regional Administrator requests 

modifications to the plan, the owner or operator must submit the modified plan no later than 60 days after 

the Regional Administrator's request or no later than 90 days if the unit is a surface impoundment or 

waste pile not previously required to prepare a contingent closure plan.

Under section 265.118(f), if the Regional Administrator does not approve the plan, he or she must 

provide the owner or operator with a detailed written statement of reasons for the refusal. The owner or 

operator must modify the plan or submit a new plan within 30 days after receiving such written statement.

Under section 265.118(g)(1), the owner or operator may prepare and submit a petition to the 

Regional Administrator to extend or reduce the post-closure period applicable to a hazardous waste 

management unit or facility, or to alter the requirements of the post-closure care period.

(ii) Respondent activities:

In order to comply with sections 265.118(d)(4) and 265.118(f), respondents must perform the 

following activities:

 Prepare an amended post-closure plan; 

 Submit the amended plan to EPA; and

 Modify and resubmit plan, if not approved by EPA

In order to obtain an extension or reduction of the post-closure period, per section 265.118(g)(1), 

respondents must prepare a petition and submit it to EPA. (Permitted facilities are covered in the 

Hazardous Waste Part B Permit Applications, Specific Permits and Permit Modifications ICR, #1573.)

(10) Hazardous Waste Disposal Records

(i) Data items:

Sections 264.119(a) and 265.119(a) require owners or operators to submit to the local zoning 

authority, or to the authority with jurisdiction over local land use, and to the Regional Administrator a 

record of the type, location, and quantity of hazardous wastes disposed of within each cell or other 

disposal unit of the facility. 
33

(ii) Respondent activities:

In order to comply with sections 264.119(a) and 265.119(a), respondents must perform the 

following activities:

 Determine the specifications of the hazardous waste activity; and 

 Establish, submit, and maintain (i.e., photocopying and filing) a record of the activity.

(11) Hazardous Waste Notation Certification 

(i) Data items:

Sections 264.119(b)(2) and 265.119(b)(2) require owners or operators to submit to the Regional 

Administrator a signed certification that they have recorded the notation required in §§264.119(b)(1) and 

265.119(b)(1), including a copy of the document in which the notation has been placed.

(ii) Respondent activities:

In order to comply with sections 264.119(b)(2) and 265.119(b)(2), respondents must record the 

notation on the deed, and develop and submit the certification to the Regional Administrator.

(12) Post-Closure Permit Modification 

(i) Data items:

Sections 264.119(c) and 265.119(c) state that if an owner wishes to remove hazardous wastes and 

residues, liners, or contaminated soils, he or she must request a modification to the post-closure permit 

and demonstrate that removal of hazardous waste will satisfy the criteria of §§264.117(c) and 265.118(g). 

For permitted facilities, the modification will be done through the permit modification process and will be 

covered by the Hazardous Waste Part B Permit Applications, Special Permits, and Permit Modifications 

ICR (#1573).

(ii) Respondent activities:

Respondent activities associated with modification of the post-closure permit include:

 Reading the regulations;

 Preparing a request for modification; and 

 Demonstrating compliance through a written document or some other form of 

notification.
34

(13) Post-Closure Care Certification 

(i) Data items:

Sections 264.120 and 265.120 state that owners or operators must submit to the Regional 

Administrator a certification that the post-closure care period for the facility was performed in accordance 

with the specifications in the approved closure plan. Documentation supporting the independent 

registered professional engineer's certification must be furnished to the Regional Administrator upon 

request before he or she releases the owner from the financial assurance requirements for closure under 

§§264.145(i) and 265.145(h).

(ii) Respondent activities:

Respondent activities associated with certifying completion of post-closure care include:

 Reading the regulations;

 Obtaining certification of compliance from an independent registered professional 

engineer;

 Maintaining a copy of the certification; and 

 Submitting the necessary documentation to the Regional Administrator as required.

FINANCIAL REQUIREMENTS

(1) Financial Responsibility for Corrective Action

(i) Data item:

Sections 264.101(b) and 264.101(c) require owners and operators of facilities containing solid 

waste management units (SWMUs) to institute corrective action as necessary, and to provide assurances 

of financial responsibility for completing such corrective action. This assurance must contain the 

documented assurances of financial responsibility in the permit for the means of corrective action chosen.

(ii) Respondent activity:

 In order to comply with sections 264.101(b) and 264.101(c), respondents must prepare and submit 

to the Regional Administrator, with the permit, documented assurances of financial responsibility for the 

corrective action chosen to be implemented.

(2) Cost Estimates for Closure and Post-Closure Care

(i) Data items
35

Sections 264.142, 265.142, 264.144, and 265.144 require owners and operators to maintain a 

detailed written estimate of the cost of facility closure or post-closure care, in accordance with the 

requirements specified in §§264.142(a), 265.142(a), 264.144(a), and 265.144(a), respectively. Section 

264.144 only applies to owners or operators of disposal surface impoundments, disposal miscellaneous 

units, land treatment units, or landfill units, or owners or operators of surface impoundments or waste 

piles required to prepare contingency closure and post-closure plans, while Section 265.144 applies to 

owners or operators of interim status hazardous waste disposal units. These estimates must include the 

following data items:

 A written estimate containing:

-- The costs of final closure at the point in the facility's active life

when the extent and manner of its operation would make closure the 

most expensive, as indicated by its closure plan (§§264.142(a)(1) and 

265.142(a)(1)); or

-- The annual cost of post-closure monitoring and maintenance of the

facility in accordance with the applicable post-closure regulations 

specified in §§264.144(a) and 265.144(a);

 Estimates of the following cost, as required under §264.258(c)(2) for waste piles only:

-- The cost of complying with the contingent closure plan or the 

contingent post-closure plan, but not the cost of expected closure under 

§264.258(c)(2);

 Estimates of the following cost, as required under §§264.197(c)(3) and 265.197(c)(3) for 

tank systems only: 

-- The cost of complying with the contingent closure plan and the

contingent post-closure plan, if those costs are greater than the costs of 

complying with the closure plan prepared for the expected closure under 

§§264.197(a) and 265.197(a).

 Estimates of the following cost, as required under §264.228(c)(2) for surface 

impoundments, §§264.575(c)(2) and 265.445(c)(2) for drip pads, and §264.258(c)(2) for 

waste piles:

-- The cost of complying with the contingent closure plan and the

contingent post-closure plan, but not the cost of expected closure under 

§§264.228(a) for surface impoundments, 264.575(a) or 265.445(a) for 

drip pads, and 264.258(a) for waste piles.

 Costs to owners or operators of hiring a third party to conduct closure or post-closure care 

at the facility;
36

 An adjustment of the closure or post-closure cost estimate for inflation within sixty days 

of the anniversary date of the establishment of the financial instrument(s) used to assure 

financial responsibility for closure (thirty days in the case of owners or operators using 

the financial test or corporate guarantee)(§§264.142(b), 265.142(b), 264.144(b), and 

265.144(b)); and

 A revision of the closure or post-closure cost estimate no later than thirty days after a 

modification has been made to the closure or post-closure plan which increases the 

closure or post-closure cost (§§264.142(c), 265.142(c), 264.144(c), and 265.144(c)).

(ii) Respondent activities:

Owners and operators will need to engage in several activities in order to collect and maintain the 

data required by §§264.142, 265.142, 264.144, and 265.144:

 Reading the regulations;

 Collecting data;

 Preparing the written cost estimate;

 Periodically adjusting the cost estimate to include inflation and/or revisions to the closure 

or post-closure plan; and

 Maintaining at the facility the latest closure or post-closure cost estimate and any 

subsequent adjustments.

(3) Financial Assurance for Closure and Post-Closure Care

Owners or operators are required to establish and provide evidence of financial assurance for 

facility closure (§§264.143 and 265.143) and post-closure care (§§264.145 and 265.145). Several 

financial instruments are described throughout these sections for the purpose of establishing financial 

assurance:

(a) Closure or Post-Closure Trust Fund

(i) Data items:

Sections 264.143(a), 265.143(a), 264.145(a), and 265.145(a) explain that owners or operators 

may establish a closure or post-closure trust fund in order to comply with §§264.143, 265.143, 264.145, 

and 265.145 requirements. Data items for establishing and providing evidence of a closure or postclosure trust fund include:

 A trust agreement in compliance with §§264.143(a)(2)-(8) and (10), 265.143(a)(2)-(8) 

and (10), 264.145(a)(2)-(8) and (11), and 265.145(a)(2)-(8) and (11); and

 For post-closure trust funds, a formal certification of acknowledgment (§§264.145(a)(2) 

and 265.145(a)(2)). 
37

(ii) Respondent activities:

Owners and operators establishing a trust fund in order to comply with the closure and postclosure financial assurance requirements of sections 264.143, 265.143, 264.145, and 265.145 will need to 

engage in the following respondent activities:

 Reading the regulations;

 Establishing a closure or post-closure trust fund, in compliance with §§264.143(a)(2)-(8) 

and (10), 265.143(a)(2)-(8) and (10), 264.145(a)(2)-(8) and (11), and 265.145(a)(2)-(8) 

and (11);

 Submitting an originally signed duplicate of the trust agreement to the EPA Regional 

Administrator (owners or operators of new facilities must submit this at least sixty days 

prior to receiving hazardous waste for treatment, storage, or disposal);

 Submitting the formal certification of acknowledgment required for post-closure trust 

funds; and

 For owners and operators of new facilities, submitting a receipt for the first payment 

under the trust agreement before the initial receipt of hazardous wastes.

(b) Surety Bond Guaranteeing Payment into a Closure or Post-Closure Trust 

Fund

(i) Data items:

Sections 264.143(b), 265.143(b), 264.145(b), and 265.145(b) allow owners and operators to 

establish surety bonds in order to comply with the financial assurance requirements of Sections 264.143, 

265.143, 264.145, and 265.145. Establishing surety bonds that guarantee payment into a closure or postclosure trust fund will entail the collection of the following data items:

 A surety bond and trust agreement indicating the conditions of payment into the closure 

or post-closure standby trust fund specified in §§264.143(b)(2)-(6) and (8), 

265.143(b)(2)-(6) and (8), 264.145(b)(2)-(6) and (8), and 265.145(b)(2)-(6) and (8); and

 Evidence of an increase or decrease in the closure or post-closure cost estimate that may 

require the penal sum of the surety bond to be increased or decreased accordingly 

(§§264.143(b)(7), 265.143(b)(7), 264.145(b)(7), and 265.145(b)(7)).
38

(ii) Respondent activities:

In collecting these data items, owners and operators will need to engage in the following 

respondent activities:

 Reading the regulations;

 Establishing a surety bond and trust agreement that comply with the financial assurance 

requirements of §§264.143, 265.143, 264.145, and 265.145;

 Submitting originally signed duplicates of the surety bond and trust agreement to the 

Regional Administrator (for new facilities, these must be submitted at least sixty days 

before receiving hazardous waste for disposal);

 Submitting evidence of and obtaining approval from the Regional Administrator for 

alternate financial assurance mechanisms, in the case of cancellation of the bond by the 

surety;

 Increasing the penal sum amount, in the case of an corresponding increase in the closure 

or post-closure cost estimate; and

 Submitting evidence of such an increase in the closure or post-closure cost estimate to 

the Regional Administrator.

(c) Surety Bond Guaranteeing Performance of Closure or Post-Closure Care

(i) Data items:

Sections 264.143(c) and 264.145(c) allow owners or operators of permitted facilities to comply 

with §§264.143 and 264.145 requirements by obtaining a surety bond that guarantees performance of 

closure or post-closure care. Data items for this option include:

 A surety bond and trust agreement indicating the conditions of payment into the standby 

trust fund specified in §§264.143(c)(2)-(6) and (8) and 264.145(c)(2)-(6) and (9); and

 Evidence of an increase in the closure or post-closure cost estimate that may require the 

penal sum of the surety bond to be increased or decreased accordingly (§§264.143(c)(7) 

and 264.145(c)(7)).

(ii) Respondent activities:

In collecting these data items, owners and operators will need to engage in the following 

respondent activities:

 Reading the regulations;
39

 Obtaining a surety bond and trust agreement that comply with the financial assurance 

requirements of §§264.143 and 264.145;

 Submitting originally signed duplicates of the surety bond and trust agreement to the 

Regional Administrator (for new facilities, these must be submitted at least sixty days 

prior to receiving hazardous wastes for disposal);

 Submitting evidence of and obtaining approval from the Regional Administrator for 

alternate financial assurance mechanisms, in the case of cancellation of the bond by the 

surety;

 Increasing the penal sum amount, in the case of a corresponding increase in the closure or 

post-closure cost estimate; and

 Submitting evidence of such an increase in the closure or post-closure cost estimate to the 

Regional Administrator.

(d) Closure or Post-Closure Letter of Credit

(i) Data items:

Sections 264.143(d), 265.143(c), 264.145(d), and 265.145(c) specify that owners or operators 

may obtain an irrevocable standby letter of credit in order to satisfy financial assurance requirements. 

Data items for this information collection include:

 A letter of credit from an issuing institution authorized to issue letters of credit and 

whose letter-of-credit operations are regulated and examined by a Federal or State 

agency;

 A trust agreement indicating the conditions of payment into the standby trust fund 

specified in §§264.143(d)(2)-(4) and (6), 265.143(c)(2)-(4) and (6), 264.145(d)(2)-(6), 

and 265.145(c)(2)-(6);

 Notification from the issuing institution to the owner/operator and EPA of a decision not 

to extend the expiration date mailed at least 120 days before the current expiration date of 

the letter of credit (§§264.143(d)(5) and 265.143(c)(5));

 A letter (to accompany the letter of credit) from the owner or operator providing the 

following information:

-- The number, issuing institution, and date of the letter of credit;

-- The EPA identification number, name, and address of the facility; 

and

-- The amount of funds assured for closure of or post-closure care for 

the facility by the letter of credit; and
40

 Evidence of an increase in the closure or post-closure cost estimate that may require the 

amount of credit to be increased accordingly (§§264.143(d)(7), 265.143(c)(7), 

264.145(d)(7), and 265.145(c)(7)).

(ii) Respondent activities:

Owners or operators will need to engage in the following activities in order to satisfy the financial 

assurance requirements with a closure or post-closure letter of credit:

 Reading the regulations;

 Obtaining a letter of credit from an issuing institution and establishing the stand-by trust 

fund;

 Writing a letter from the owner or operator to accompany the letter of credit;

 Submitting the following documents to the Regional Administrator:

-- The letter of credit (in the case of new permitted facilities, this must be 

submitted at least sixty days prior to receiving hazardous waste for 

treatment, storage, or disposal, pursuant to §§264.143(d)(1) and 

264.145(d)(1));

-- The accompanying letter from the owner or operator; and

-- An originally signed duplicate of the trust agreement;

 Increasing the amount of the letter of credit, in the case of corresponding increase in the 

closure or post-closure cost estimate; and

 Submitting evidence of such an increase in the closure or post-closure cost 

estimate to the Regional Administrator.

(e) Closure or Post-Closure Insurance

(i) Data items:

Owners or operators may satisfy the financial assurance requirements for closure or post-closure 

care by establishing closure or post-closure insurance according to §§264.143(e), 265.143(d), 264.145(e), 

and 265.145(d). Data items for this information collection include:

 A closure or post-closure insurance policy (identified by a certificate of insurance) that 

meets the requirements specified in §§264.143(e)(1)-(4) and (8), 265.143(d)(1)-(4) and 

(8), 264.145(e)(1)-(5) and (8), or 265.145(d)(1)-(5) and (8);

 In the case of some interim status facilities, a letter from an insurer stating that an owner 

or operator is being considered for a closure insurance policy (§§265.143(d)(1) and 

265.145(d)(1)); and
41

 Evidence of an increase in the closure or post-closure cost estimate that may require the 

face amount of the insurance policy to be increased accordingly (§§264.143(e)(7), 

265.143(d)(7), 264.145(e)(7), and 265.145(d)(7)).

(ii) Respondent activities:

Collecting this data will entail the following respondent activities:

 Reading the regulations;

 Obtaining a closure or post-closure insurance policy that satisfies the requirements of 

§§264.143, 265.143, 264.145, or 265.145;

 Submitting a certificate of this insurance policy to the Regional Administrator (for new 

facilities, this must be submitted at least sixty days prior to receiving hazardous wastes 

for treatment, storage, or disposal);

 In the case of some interim status facilities, submitting a letter from an insurer stating that 

the insurer is considering issuance of an insurance certificate (in this case, owners or 

operators must submit the certificate of insurance within ninety days of the effective date 

of these regulations); and

 Submitting evidence of an increase in the current closure or post-closure cost estimate 

that may require the face amount of the insurance policy to be modified accordingly. 

(f) Financial Test and Corporate Guarantee for Closure or 

Post-Closure Care

(i) Data items:

Sections 264.143(f), 265.143(e), 264.145(f), and 265.145(e) allow owners and operators to satisfy 

closure or post-closure financial assurance requirements by demonstrating financial strength using the 

financial test specified in these sections. Data items for this demonstration include:

 A letter signed by the owner's or operator's chief financial officer and worded as specified 

in §264.151(f);

 A copy of an independent certified public accountant's report on examination of the 

owner's or operator's financial statements for the latest completed fiscal year;

 A special report from the owner's or operator's independent certified public accountant to 

the owner or operator covering the specifications outlined in §§264.143(f)(3)(iii), 

265.143(e)(3)(iii), 264.145(f)(3)(iii), or 265.145(e)(3)(iii);

 If an extension of submission of the above documents is sought, a letter from the owner's 

or operator's chief financial officer to the Regional Administrator of each Region in 

which facilities to be covered under the financial test are located. This letter, allowed 

only under §§265.143(e)(4) and 265.145(e)(4), must contain the following data items:
42

-- A request for the extension;

-- A certification that the chief financial officer believes that the owner 

or operator meets the criteria of the financial test;

-- For each facility to be covered by the test, the EPA identification 

number, name, address, and current closure and post-closure cost 

estimates to be covered by the test;

-- A specification of the date (no later than ninety days after the end 

of such fiscal year) when the owner or operator will submit the 

documents specified in §§265.143(e)(3) and 265.145(e)(3); and

-- A certification that the year-end financial statements of the owner 

or operator for such fiscal year will be audited by an independent 

certified public accountant;

 Annual updates of the above data items;

 A notice of intent to establish alternative financial assurance, if the owner or operator 

fails the financial test and no longer meets the requirements of §§264.143(f)(1), 

265.143(e)(1), 264.145(f)(1), or 265.145(e)(1);

 Reports of financial conditions as required by the Regional Administrator 

(§§264.143(f)(7), 265.143(e)(7), 264.145(f)(7), and 265.145(e)(7));

 If applicable, a written guarantee from the parent corporation of the owner or operator 

that satisfies financial assurance requirements (§§264.143(f)(10), 265.143(e)(10), 

264.145(f)(10), or 265.145(e)(10)); and

 Notification from the insurer to the owner/operator and EPA of a decision to cancel, 

terminate, or fail to renew the policy (§§264.145(f)(11)(ii) and 265.143(e)(11)(ii)).

(ii) Respondent activities:

Owners or operators will need to engage in the following respondent activities in order to collect 

the data required by these sections:

 Reading the regulations;

 Writing the letter signed by the chief financial officer;

 Submitting the following documents to the Regional Administrator (for new facilities, 

these documents must be submitted at least sixty days prior to receiving hazardous waste 

for treatment, storage, or disposal):

-- The letter signed by the chief financial officer;
43

-- A copy of the independent certified public accountant's report; and

-- The special report from the independent certified public 

accountant;

 Submitting updated information annually;

 If applicable, writing and submitting a notice, by certified mail, to the Regional 

Administrator of intent to establish other financial assurance;

 Writing and submitting additional reports of financial condition at any time, as 

directed by the Regional Administrator; and

 If applicable, submitting the corporate guarantee from the parent corporation of the 

owner or operator.

(g) Use of a Financial Mechanism for Multiple Facilities

(i) Data items:

Sections 264.143(h), 265.143(g), 264.145(h), and 265.145(g) specify that owners or operators 

may use one of the above financial assurance mechanisms to meet the requirements of §§264.143, 

265.143, 264.145, or 265.145 for more than one facility. In such cases, the owner and operator must 

provide the following data items for each facility:

 EPA identification number, name, and address; and

 The amount of funds for closure or post-closure care assured by the mechanism.

(ii) Respondent activities:

To comply with the requirements of these sections, owners and operators will need to engage in 

the following activities:

 Reading the regulations;

 Submitting the data items listed above to the Regional Administrator; and

 If the facilities covered by the mechanism are located in more than one Region, 

submitting identical evidence of financial assurance to all the applicable Regional 

Administrators.

(4) Liability Requirements

(a) Coverage for Sudden or Nonsudden Accidental Occurrences

(i) Data items:
44

Sections 264.147(a) and 265.147(a) specify that owners and operators of hazardous waste 

treatment, storage, and disposal facilities must demonstrate financial responsibility for bodily injury and 

property damage to third parties caused by sudden accidental occurrences arising from operations of the 

facility or group of facilities. Similarly, §§264.147(b) and 265.147(b) require owners or operators of 

surface impoundments, landfills, land treatment facilities managing hazardous wastes, or combinations of 

such facilities to demonstrate financial responsibility for bodily injury and property damage to third 

parties caused by nonsudden accidental occurrences arising from facilities' operations. In order to comply 

with these sections, owners or operators will need to gather the following data items:

 Liability coverage demonstrated by one of the following documents (data items for these

documents are described in full in the following sections):

-- A liability insurance policy (§§264.147(a)(1), 265.147(a)(1), 

264.147(b)(1), or 265.147(b)(1)), accompanied by a signed duplicate 

original of a Hazardous Waste Facility Liability Endorsement or a

Certificate of Liability Insurance (§§264.147(a)(1) and 264.147(b)(1) 

only);

-- Written evidence of passing a financial test or a written

guarantee for liability coverage from the owner's or operator's parent 

corporation, a firm whose parent corporation is the parent corporation of 

the owner or operator, or a firm with a "substantial business relationship" 

with the owner or operator (§§264.147(a)(2), 265.147(a)(2), 

264.147(b)(2), and 265.147(b)(2));

-- A letter of credit for liability coverage (§§264.147(a)(3), 

265.147(a)(3), 264.147(b)(3), and 265.147(b)(3));

-- A surety bond for liability coverage (§§264.147(a)(4), 

265.147(a)(4), 264.147(b)(4), and 265.147(b)(4));

-- A trust fund for liability coverage (§§264.147(a)(5), 265.147(a)(5), 

264.147(b)(5), and 265.147(b)(5)); or

-- A combination of insurance, financial test, guarantee, letter of

credit, surety bond, and trust fund (§§264.147(a)(6), 265.147(a)(6), 

264.147(b)(6), and 265.147(b)(6));

 A written notification to the Regional Administrator whenever a claim or verification of a 

valid claim for bodily injury or property damages caused by the operation of a hazardous 

waste treatment, storage, or disposal facility is made against the owner or operator 

(§§264.147(a)(7), 265.147(a)(7), 264.147(b)(7), and 265.147(b)(7)); and

 A written notification to the Regional Administrator whenever the amount of financial 

assurance for liability coverage under one of the above-mentioned instruments is reduced, 

contingent on a claim or verification of a valid claim (§§264.147(a)(7), 265.147(a)(7), 

264.147(b)(7), and 265.147(b)(7)).
45

(ii) Respondent activities:

Owners or operator will need to engage in the following activities in order to comply with the 

information collection requirements of §§264.147(a) and (b), and 265.147(a) and (b):

 Read the regulations;

 Establish liability coverage using one of the financial instruments listed above;

 Submit appropriate evidence of such financial instruments to the Regional Administrator 

(in the case of new facilities establishing liability insurance, this must be submitted at 

least sixty days before receiving hazardous wastes for treatment, storage, or disposal, 

according to §§264.147(a)(1)(i) and 265.147(b)(1)(i));

 Prepare, write, and submit a notification to the Regional Administrator whenever a claim 

for bodily injury is made against the owner or operator; and

 Prepare, write, and submit a notification to the Regional Administrator whenever 

the amount of financial assurance for liability coverage is reduced. 

Submission of the two notifications listed immediately above will only occur in the event of a claim; 

therefore, if no accidental releases occur, owners or operators may never need to submit these notifications.

(b) Liability Insurance

(i) Data item:

Sections 264.147(a)(1), 264.147(b)(1), 265.147(a)(1), and 265.147(b)(1) require owners or operators to 

submit a duplicate of the endorsement or certificate of insurance, and, if requested by the Regional Administrator, 

a duplicate of the insurance policy.

(ii) Respondent activities:

Owners or operators will need to engage in the following activities to complete the requirements for this 

option:

 Reading the regulations;

 Obtaining an insurance policy amended by attachment of the Hazardous Waste Facility 

Liability Endorsement or evidenced by a Certificate of Liability Insurance and meeting 

other specifications outlined in §§264.147(a)(1), 264.147(b)(1), 265.147(a)(1), or 

265.147(b)(1); 

 Submitting a signed duplicate original of the endorsement or the certificate of insurance 

to the Regional Administrator, or Regional Administrators if the facilities are located in 

more than one Region; and
46

 If requested by the Regional Administrator, submitting a signed duplicate original of the 

insurance policy (for new facilities this must be submitted at least sixty days before 

receiving hazardous waste for treatment, storage, or disposal). 

(c) Variance of Financial Responsibility Regulations

(i) Data item:

Section 265.147(c) provides for a variance from the financial responsibility requirements if the 

owner or operator can demonstrate that the required levels of financial responsibility are not consistent 

with the degree and duration of risk associated with treatment, storage, or disposal at the facility. The 

request for a variance must be submitted in writing to EPA, and may include technical and engineering 

information that is deemed necessary by the Regional Administrator.

(ii) Respondent Activity:

Owners and operators that wish to apply for a variance must prepare and submit information in 

support of the variance.

(d) Financial Test for Liability Coverage

(i) Data items:

Sections 264.147(f) and 265.147(f) allow owners or operators to satisfy liability requirements by 

passing a financial test. Data items for these sections include:

 A letter signed by the owner's or operator's chief financial officer and worded as specified 

in §264.151(g); if the financial test is also being used to demonstrate closure or postclosure financial assurance, the letter specified in §264.151(g) must be submitted to cover 

both forms of financial responsibility;

 A copy of an independent certified public accountant's report on examination of the 

owner's or operator's financial statements for the latest completed fiscal year;

 A special report from the owner's or operator's independent certified public accountant to 

the owner or operator covering the specifications outlined in §§264.147(f)(3)(iii) and 

265.147(f)(3)(iii);

 If an extension of submission of the above documents is sought, a letter from the owner's 

or operator's chief financial officer to the Regional Administrator of each Region in 

which facilities to be covered under the financial test are located. This letter, allowed 

only under §265.147(f)(4), must contain the following data items:

-- A request for the extension;

-- A certification that the chief financial officer believes that the owner

or operator meets the criteria of the financial test;
47

-- For each facility to be covered by the test, the EPA identification

number, name, address, and current closure and post-closure cost 

estimates to be covered by the test;

-- A specification of the date (no later than ninety days after the end

of such fiscal year) when the owner or operator will submit the 

documents specified in §§265.147(f)(3); and

-- A certification that the year-end financial statements of the owner 

or operator for such fiscal year will be audited by an independent 

certified public accountant;

 Annual updates of the above data items; and

 Should the owner or operator fail the test and no longer meet the requirements of 

§§264.147(f)(1) or 265.147(f)(1), evidence of insurance obtained for the entire amount of 

required liability coverage specified in §§264.147 and 265.147.

(ii) Respondent activities:

Owners or operators will need to engage in the following respondent activities in order to collect 

the data required by these sections:

 Reading the regulations;

 Writing the letter signed by the chief financial officer;

 Submitting the following documents to the Regional Administrator (for new facilities, 

these documents must be submitted at least sixty days prior to receiving hazardous waste 

for treatment, storage, or disposal):

-- The letter signed by the chief financial officer;

-- A copy of an independent certified public accountant's report; and

-- The special report from an independent certified public accountant;

 Submitting updated information annually; and

 Should the owner or operator fail the test and no longer meet §§264.147 or 265.147 

requirements, submitting evidence to the Regional Administrator of insurance obtained 

for the entire amount of required liability coverage specified in these sections. 

(e) Guarantee for Liability Coverage

(i) Data items:
48

Sections 264.147(g) and 265.147(g) allow owners or operators to meet liability requirements by 

obtaining a written guarantee, under the conditions specified in §§264.147(g)(2) and 265.147(g)(2). Data 

items for this option include:

 A certified copy of a written guarantee from the direct or higher-tier parent corporation of 

the owner or operator, a firm whose parent corporation is the parent corporation of the 

owner or operator, or a firm with a "substantial business relationship" with the owner or 

operator;

 In the case of corporations incorporated in the United States, a written statement from 

applicable Attorney(s) General or Insurance Commissioners to EPA indicating that a 

guarantee executed as described in the regulations is a legally valid and enforceable 

obligation in that State (§§264.147(g)(2) and 265.147(g)(2));

 In the case of corporations incorporated outside the United States, identification by the 

non-U.S. corporation of a registered agent for service of process in each State in which 

the facility covered by the guarantee is located and in the State in which it has its 

principal place of business, and a written statement from applicable Attorney(s) General 

or Insurance Commissioner of each applicable State indicating that a guarantee executed 

as described in the regulations is a legally valid and enforceable obligation in that State 

(§§264.147(g)(2) and 265.147(g)(2)); and

 A letter from the guarantor's chief financial officer as specified in §§264.147(f)(3) and 

265.147(f)(3) that demonstrates that the guarantor has passed the financial test.

(ii) Respondent activities:

Owners or operators will need to engage in the following respondent activities in order to collect 

the data required by these sections:

 Reading the regulations;

 Obtaining a written guarantee from the direct or higher-tier parent corporation of the 

owner or operator, a firm whose parent corporation is the parent corporation of the owner 

or operator, or a firm with a "substantial business relationship" with the owner or 

operator;

 Submitting a certified copy of this written guarantee to the Regional Administrator along 

with the items specified in §§264.147(f)(3) and 265.147(f)(3); and

 Submitting a letter from the guarantor's chief financial officer as specified in 

§§264.147(f)(3) and 265.147(f)(3) that demonstrates that the guarantor has passed the 

financial test.

(f) Letter of Credit for Liability Coverage

(i) Data items:
49

Sections 264.147(h) and 265.147(h) allow owners or operators to satisfy financial requirements 

for liability by obtaining the following data item:

 An irrevocable standby letter of credit that conforms to applicable requirements and is 

submitted from a financial institution with the authority to issue letters of credit, whose 

letter of credit operations are regulated and examined by a Federal or State agency, and 

whose letters of credit meet the requirements of §264.147(h).

(ii) Respondent activities:

Owners or operators using this option to satisfy financial assurance for liability will need to 

engage in the following activities:

 Reading the regulations;

 Obtaining the standby letter of credit described above; and

 Submitting a copy of this letter of credit to the Regional Administrator.

(g) Surety Bond for Liability Coverage

(i) Data item:

Sections 264.147(i) and 265.147(i) allow owners or operators to satisfy financial requirements for 

liability. Under sections 264.147(i)(4) and 265.147(i)(4), a surety bond may be used to satisfy the 

requirements of this section only if the applicable Attorneys General or Insurance Commissioners have 

submitted a written statement to EPA that a surety bond executed as described in the regulations is a 

legally valid and enforceable obligation in that State. The owner/operator must obtain a surety bond (and 

other information, where applicable) that conforms to the requirements specified in §§264.147(i) and 

265.147(i).

(ii) Respondent activities:

Owners or operators using this option to satisfy financial assurance for liability will need to 

engage in the following activities:

 Reading the regulations;

 Obtaining the surety bond described above; and

 Submitting a copy of this surety bond to the Regional Administrator.

(h) Trust Fund for Liability Coverage

(i) Data item:
50

Sections 264.147(j) and 265.147(j) allow owners or operators to satisfy financial requirements for 

liability by establishing a trust fund that conforms to the requirements specified in §§264.147(j) and 

265.147(j).

(ii) Respondent activities:

Owners or operators using this option to satisfy financial assurance for liability will need to 

engage in the following activities:

 Reading the regulations;

 Establishing the trust fund described above; and

 Submitting an originally signed duplicate of the trust agreement to the Regional 

Administrator.

(i) Adjustments by the Regional Administrator

(i) Data items:

Sections 264.147(d) and 265.147(d) allow Regional Administrators to adjust the level of financial 

responsibility required under §§264.147 and 265.147 in order to protect human health and the 

environment. Respondents will need to furnish the following data items should Regional Administrators 

make such a determination:

 Any information which the Regional Administrator requests to determine whether cause 

exists for such adjustments of level or type of coverage; and

 If the Regional Administrator decides to adjust the level or type of coverage, the data 

elements necessary for a permit modification (detailed in ICR #1573).

(ii) Respondent activities:

Owners or operators will need to engage in the following activities in order to satisfy the 

information collection requirements of this section:

 Reading the regulations;

 Submitting to the Regional Administrator any requested information; and

 Preparing, writing, and submitting a permit modification if the Regional 

Administrator decides to adjust level or type of coverage (specific respondent 

activities for permit modifications are detailed in ICR #1573).

(5) Incapacity of Owners or Operators, Guarantors, or Financial Institutions

(i) Data item:
51

Sections 264.148 and 265.148 require owners or operators to submit, if applicable, a notification 

of the commencement of a voluntary or involuntary proceeding under Title 11 (Bankruptcy), U.S. Code, 

naming the owner or operator as debtor (if the guarantor is named as the debtor, the collection of this data 

is the guarantor's responsibility).

(ii) Respondent activities:

Activities for this data collection will include:

 Reading the regulations; and

 Submitting, by certified mail, a notice to the Regional Administrator indicating the 

commencement of bankruptcy proceedings in which the owner or operator or guarantor is 

named as debtor.

(6) Use of State-Required Mechanisms

(i) Data items:

Sections 264.149 and 265.149 allow owners or operators to use State-required financial assurance 

mechanisms to meet §§264.143, 264.145, 264.147, 265.143, 265.145, or 265.147 requirements. Data 

items for this option include:

 A letter from the owner or operator requesting that the State-required mechanism be 

considered acceptable for meeting the requirements of this subpart; 

 Evidence of the establishment of a State-required mechanism, including the following 

information:

-- The facility's EPA identification number, name, and address; and

-- The amount of funds for closure or post-closure care or liability

coverage assured by the mechanism; and

 Any additional information required by the Regional Administrator in order to make the 

determination.

(ii) Respondent activities:

Activities for this data collection will include:

 Reading the regulations; and

 Submitting to the Regional Administrator:

-- The letter from the owner or operator;
52

-- Written evidence of the establishment of a State-required financial

assurance mechanism; and 

-- Any additional information requested by the Regional 

Administrator.

(7) State Assumption of Responsibility

(i) Data items:

Sections 264.150 and 265.150 require owners or operators to notify EPA when a State assumes 

legal responsibility or assures availability of funds for an owner's or operator's compliance with the 

closure, post-closure care, or liability requirements of this part. Data items to be collected in this case 

include:

 A letter from the owner or operator requesting that the State's assumption of 

responsibility be considered acceptable for meeting the requirements of this subpart;

 A letter from the State describing the nature of the State's assumption of responsibility, 

including the following information:

-- The facility's EPA identification number, name, and address; and

-- The amount of funds for closure or post-closure care or liability

coverage that are guaranteed by the State; and

 Any additional information which the Regional Administrator deems necessary to make 

the determination whether the State's assumption of responsibility is acceptable.

(ii) Respondent activities:

Activities for this data collection will include:

 Reading the regulations; and

 Submitting to the Regional Administrator:

-- The letter from the owner or operator; and

-- The letter from the State describing the State's assumption of 

responsibility and including the information specified above; and

 Submitting any additional information requested by the Regional Administrator.
53

(8) Subpart F and G Requirements (§§266.70 and 266.80)

Sections 266.70(d) and 266.80(b)(2) explain that two specific groups of respondents are also 

subject to Parts 264 and 265 financial assurance requirements:



 Persons who generate, transport, or store recyclable materials that are reclaimed to 

recover economically significant amounts of gold, silver, platinum, palladium, iridium, 

osmium, rhodium, ruthenium, or any combination of these; and

 Owners or operators of facilities that store spent lead acid batteries before reclaiming 

them.

CONDITIONS APPLICABLE TO ALL PERMITS

(i) Data items:

40 CFR Part 270, Subpart C specifies conditions applicable to all permitted facilities. 40 CFR 

270.30(h) requires owners and operators of permitted facilities to furnish any relevant information 

requested by EPA to determine whether cause exists for modifying, revoking and reissuing, or 

terminating a permit, or to determine compliance with the permit. Section 270.30(j)(2) and (3) requires 

permittees to retain records of all monitoring information, copies of all reports required by the permit, the 

certification required by §264.73(b)(9), and records of all data used to complete the application for a 

period of at least three years from the date of the sample, measurement, report, certification, or 

application. [These requirements are burdened in the section entitled "Operating Record" of this ICR.] In 

addition, section 270.30(l) specifies the following reporting requirements, which are applicable to all 

permitted facilities:

 Prompt notice of planned physical alternations or additions (§270.30(l)(1));

 Notice of planned changes or activities which may result in noncompliance with permit 

requirements (§270.30(l)(2));

 Letter certifying that the facility has been constructed or modified in compliance with the 

permit (§270.30(l)(2)(i);

 Monitoring reports, submitted at the intervals specified in the permit (§270.30(l)(4));

 Reports of compliance or noncompliance with, or any progress reports on, interim and 

final requirements contained in any compliance schedule of the permit, submitted no later 

than 14 days following each schedule date (§270.30(l)(5));

 A report containing information concerning a release that may threaten drinking water 

supplies (§270.30(l)(6)(i)(A), or information concerning a release, fire, or explosion 

which could threaten human health or the environment outside the facility 

(§270.30(l)(6)(i)(B)), within 24 hours from the time the permittee becomes aware of the 

circumstances. Such a report must include the following information:

-- Name, address, and telephone number of the owner or operator;
54

-- Name, address, and telephone number of the facility;

-- Date, time, and type of incident;

-- Name and quantity of material(s) involved;

-- The extent of injuries, if any;

-- An assessment of actual or potential hazards to the environment

and human health outside the facility; and

-- Estimated quantity and disposition of recovered material that

resulted from the incident.

 A written notice within five days of noncompliance, or a written report within 15 days, 

that includes a description of the noncompliance and its cause, the period of 

noncompliance, the anticipated time the noncompliance is expected to continue, and 

steps taken to reduce, eliminate, and prevent reoccurrence of the noncompliance 

(§270.30(l)(6)(iii);

 Report of any manifest discrepancy, as required by §264.72 (§270.30(l)(7). [This 

requirement is burdened in "Requirements for Generators, Transporters, and Waste 

Management Facilities Under the RCRA Hazardous Waste Manifest System", ICR 

#801.];

 Report of any receipt of unmanifested waste, as required by §264.76 (§270.30(l)(8)). 

[This requirement is burdened in "Requirements for Generators, Transporters, and Waste 

Management Facilities Under the RCRA Hazardous Waste Manifest System", ICR 

#801.];

 A biennial report covering facility activities, as required by §264.75 (§270.30(l)(9)). 

[This requirement is burdened in the "Hazardous Waste Report ICR", ICR #976.]

 Report of other noncompliance not submitted with monitoring reports, compliance 

schedule reports, and reports of releases, fires, or explosions (§270.30(l)(10)); and

 For cases where the permittee becomes aware that he or she failed to submit any relevant 

facts in a permit application, or submitted incorrect information in any permit application 

or report, corrected or new information (§270.30(l)(11)).

(ii) Respondent activities:

In order to comply with 40 CFR Part 270, Subpart C, owners and operators of permitted facilities 

must perform the following activities:

 Read the regulations; and
55

 Prepare and submit the required information as described above.

5. THE INFORMATION COLLECTED--AGENCY ACTIVITIES, COLLECTION 

METHODOLOGY, AND INFORMATION MANAGEMENT

The following subsections discuss how EPA will collect the information, what activities EPA will 

perform once the information has been received, and how EPA will manage the information it collects. 

The subsections also include a discussion of how the information collection requirements affect small 

entities.

5(a) AGENCY ACTIVITIES

GENERAL FACILITY OPERATING STANDARDS

Although the information is not formally submitted to EPA, EPA may review information 

collected from the requirements outlined in Subpart E during facility inspections. Therefore, this analysis 

assumes that the Agency will spend a minimal amount of review time annually at each facility. 

The requirements for the foreign shipment import report, however, state that owners or operators 

must notify the Regional Administrator of the anticipated collection of hazardous waste. In turn, the 

Agency must review the information included in the notification.

RECORDKEEPING REQUIREMENTS

Only one Agency activity is associated with the operating record requirements: on-site review of 

the record. 

CONTINGENCY PLAN AND EMERGENCY REPORTING REQUIREMENTS

(1) Contingency Plan

Two Agency activities are associated with the development and amendment of the contingency 

plan: reviewing the contingency plan during on-site inspections and reviewing revisions to the 

contingency plan.

(2) Emergency Reporting Requirements

Agency activities associated with emergency reporting requirements include reviewing 

documents in the owners' or operators' and emergency coordinators' emergency reports. 
56

RELEASES FROM SOLID WASTE MANAGEMENT UNITS

There are two Agency activities associated with ground-water monitoring demonstrations and 

procedures: reviewing demonstrations to terminate the compliance period and review and approval of 

proposed sampling methods and intervals.

CLOSURE AND POST-CLOSURE REQUIREMENTS

Agency activities associated with the regulations promulgated in 40 CFR, Parts 264 and 265, 

Subpart G, include reviewing the following data items:

 Closure plans;

 Closure plan amendment notifications;

 Partial/final closure notifications;

 Closure extensions and allowances;

 Survey plats;

 Post-closure plans;

 Post-closure plan amendment notifications;

 Post-closure plan modifications;

 Hazardous waste disposal records; and

 Post-closure permit modifications.

FINANCIAL REQUIREMENTS

EPA uses the cost estimates and financial assurance mechanisms to ensure compliance with 

Subpart H. In the event that an owner or operator is unable or unwilling to perform closure or postclosure activities or to pay third-party damages, EPA will draw upon the mechanisms. The cost estimates 

are normally retained by the owner or operator during interim status; they are submitted to the Region or 

authorized State as part of the permit process.

The financial assurance instruments for closure, post-closure care, and liability coverage, with 

standard wording, are submitted by the owner or operator (or the third-party financial entity) to the 

Region or authorized State that serves the area and where the facility is located. These submissions must 

be made by the effective date of the regulations for existing facilities -- July 6, 1982 (Assurance) and July 

15, 1982 (Liability) -- and sixty days before the initial receipt of hazardous wastes at new facilities. There 

was a phase-in period for nonsudden coverage for existing facilities. January 16, 1985 was the final 

phase-in date.

When financial assurance information is submitted, EPA conducts a review for completeness, 

then enters the information into the RCRIS data base. The EPA Regional or State offices establish a file 
57

for each applicant that contains the submissions. The financial instruments are maintained in a secure 

area.

Submissions are tabulated in the EPA Regional Offices and Headquarters and are used by Agency 

management to oversee implementation of the RCRA financial responsibility requirements. The 

information is also shared with States to assist them in implementing their hazardous waste management 

programs. There are no plans to publish information obtained under the Subpart H financial 

requirements.

CONDITIONS APPLICABLE TO ALL PERMITS

EPA reviews all information submitted at intervals specified in the permit. This information 

includes monitoring reports and reports on compliance or noncompliance with compliance schedules. 

EPA also reviews information that may be submitted on occasion by facilities, if necessary. Such 

information includes notices of planned physical alterations or additions; notices of planned changes or 

activities; letters certifying compliance; information concerning releases, fires, or explosions; reports of 

other noncompliance; and corrected or new information.

5(b) COLLECTION METHODOLOGY AND MANAGEMENT

To collect and analyze the information discussed in this ICR, EPA keeps records of and reviews 

all of the information submitted. Authorized States and EPA Regions enter the information into 

electronic data base systems. States coordinate with the EPA Regions and OSW Headquarters to supply 

EPA with the data reported for inclusion in the RCRAInfo national database.

5(c) SMALL ENTITY FLEXIBILITY

When promulgating the regulations covered under this ICR, EPA considered developing separate 

and simplified requirements for small businesses. Since small facilities conduct operations that are 

equally as hazardous to the environment as those conducted by larger facilities, EPA determined that 

small businesses should be required to comply with the same regulations as large businesses. As a result 

of this interpretation, no specific requirements are outlined for smaller facilities. 

5(d) COLLECTION SCHEDULE

GENERAL FACILITY STANDARDS

The reporting requirements outlined in the regulations will vary according to individual facility 

circumstances (e.g., when receiving hazardous waste from a foreign source).

RECORDKEEPING REQUIREMENTS

Since the operating record is maintained at the facility, discussion of a collection schedule is not 

applicable. Copies of records of waste disposal are submitted to EPA upon closure of the facility. 
58

CONTINGENCY PLAN AND EMERGENCY REPORTING REQUIREMENTS

The contingency plan is collected when the permittee submits the Part B permit application. A 

discussion of the contingency plan collection schedule for permitted facilities is included in the 

Hazardous Waste Part B Permit Applications, Special Permits, and Permit Modifications ICR (#1573). 

Since interim status facilities are not required to submit their contingency plans to EPA, discussion of a 

collection schedule for these facilities is not applicable.

The owner or operator must submit a written report of any incident that requires implementation 

of the contingency plan within 15 days after the incident occurs. The emergency coordinator must 

immediately notify the appropriate authorities of an imminent or actual emergency situation. 

CLOSURE AND POST-CLOSURE REQUIREMENTS 

Permitted facilities submit their closure and post-closure plans to EPA when submitting a Part B 

permit application. A discussion addressing collection schedules for permitted facilities is included in the 

Hazardous Waste Part B Permit Applications, Special Permits, and Permit Modifications ICR (#1573). 

Interim status closure and post-closure plans must be submitted according to the following 

schedules:

 The owner or operator must submit the closure plan to the Regional Administrator at least 

180 days prior to the date on which he or she expects to begin closure of the first surface 

impoundment, waste pile, land treatment, or landfill unit, or final closure if it involves 

such a unit, whichever is earlier;

 The owner or operator must submit the closure plan to the Regional Administrator at least 

45 days prior to the date on which he or she expects to begin final closure of a facility 

with only tanks, container storage, or incinerator units;

 Owners or operators with approved closure plans must notify the Regional Administrator 

in writing at least 60 days prior to the date on which they expect to begin closure of a 

surface impoundment, waste pile, landfill, or land treatment unit, or final closure of a 

facility involving such a unit;

 Owners and operators with approved closure plans must notify the Regional 

Administrator in writing at least 45 days prior to the date on which they expect to begin 

final closure of a facility with only tanks, container storage, or incinerator units;

 The owner or operator must submit the closure plan to the Regional Administrator no 

later than 15 days after:

-- Termination of interim status except when a permit is issued

simultaneously with termination of interim status; or

-- Issuance of a judicial decree or final order under §3008 of RCRA

to cease receiving hazardous wastes or close
59

 If the Regional Administrator does not approve the closure plan, he or she shall provide 

the owner or operator with a detailed written statement of reasons for the refusal and the 

owner or operator must modify the plan or submit a new plan for approval within 30 days 

after receiving such written statement;

 An owner or operator of a surface impoundment or waste pile that intends to remove all 

hazardous waste at closure must prepare a post-closure plan and submit it to the Regional 

Administrator within 90 days of the date that the owner or operator or Regional 

Administrator determines that the hazardous waste management unit or facility must be 

closed as a landfill, subject to the requirements of §§265.117 through 265.120;

 If an owner or operator of a surface impoundment or a waste pile who intended to remove 

all hazardous wastes at closure in accordance with §265.228(b) or §265.258(a) is required 

to close as a landfill in accordance with §265.310, the owner or operator must submit a 

post-closure plan within 90 days of the determination by the owner or operator or 

Regional Administrator that the unit must be closed;

 If the Regional Administrator determines that an owner or operator of a surface 

impoundment or waste pile who intended to remove all hazardous wastes at closure must 

close the facility as a landfill, the owner or operator must submit a post-closure plan for 

approval to the Regional Administrator within 90 days of the determination;

 The owner or operator must submit the post-closure plan to the Regional Administrator at 

least 180 days before the date he or she expects to begin partial or final closure of the first 

hazardous waste disposal unit. The date he "expects to begin closure" of the first 

hazardous waste disposal unit must be either within 30 days after the date on which the 

hazardous waste management unit receives the known final volume of hazardous waste 

or, if there is a reasonable possibility that the hazardous waste management unit will 

receive additional hazardous wastes, no later than one year after the date on which the 

unit received the most recent volume of hazardous wastes; and

 The owner or operator must submit his post-closure plan to the Regional Administrator 

no later than 15 days after:

-- Termination of interim status except when a permit is issued

simultaneously with termination of interim status; or

-- Issuance of a judicial decree or final order under §3008 of RCRA

to cease receiving hazardous wastes or close.

Both interim status and permitted facilities are required to request approval for post-closure plan 

modifications. Since permitted facilities must submit permit modifications to authorize changes to their 

post-closure plans, a discussion addressing scheduling requirements for permitted facilities' modifications 

to the post-closure plan is included in ICR #1573. The following is a schedule for interim status facilities:

 An owner or operator with an approved post-closure plan must submit the modified plan 

to the Regional Administrator at least 60 days prior to the proposed change in facility 
60

design or operation, or no more than 60 days after an unexpected event has occurred 

which has affected the post-closure plan; and

 If the Regional Administrator requests modifications to the post-closure plan, the owner 

or operator with an approved post-closure plan must submit the modified plan to the 

Regional Administrator no later than 60 days of the request from the Regional 

Administrator. 

Both interim status and permitted facilities are required to submit closure certifications, survey 

plats, and post-closure notices according to the following schedules:

 The owner or operator must submit a certification of closure to the Regional 

Administrator within 60 days of completion of closure for each hazardous waste surface 

impoundment, waste pile, land treatment, and landfill unit and within 60 days of final 

closure;

 No later than the submission of the certification of closure, the owner or operator must 

submit to the Regional Administrator a survey plat;

 If the Regional Administrator does not approve the post-closure plan, he shall provide the 

owner or operator with a detailed written statement of reasons for the refusal and the 

owner or operator must modify the plan or submit a new plan for approval within 30 days 

after receiving such written statement;

 The owner or operator must submit a post-closure notice to the Regional Administrator 

within 60 days of certification of closure for each hazardous waste disposal unit;

 No later than 60 days after certification of closure of each hazardous waste disposal unit, 

the owner or operator must submit to the Regional Administrator a record of the type, 

location, and quantity of hazardous wastes disposed of within each cell or other disposal 

unit of the facility; and

 No later than 60 days after the completion of the established post-closure care period for 

each hazardous waste disposal unit, the owner or operator must submit to the Regional 

Administrator a certification that the post-closure care period for the unit was performed 

in accordance with the specifications in the approved post-closure plan.

FINANCIAL REQUIREMENTS

For closure and post-closure cost estimates, owners or operators must prepare initial cost 

estimates for activities identified in the closure and post-closure plans. Thereafter, owners or operators 

must provide annual adjustments of these cost estimates to account for inflation. Also, owners or 

operators may be required to prepare new cost estimates, if changes in the closure or post-closure plan 

increase closure or post-closure costs. This burden will vary from facility to facility.

For closure and post-closure care financial instruments, owners or operators must initially 

establish a financial instrument(s) assuring the cost of closure and post-closure care. Thereafter, owners 

or operators must annually check the amount covered by the instrument(s) to make sure it equals the 

adjusted cost estimate, and change the amount assured accordingly. 
61

For liability coverage requirements, owners or operators of facilities identified in §§264.147 and 

265.147 must initially demonstrate liability coverage for sudden and nonsudden accidents during the 

facilities' active life. Some of the financial instruments for liability coverage require additional reporting 

on an annual basis; for example, owners or operators must annually submit documentation to EPA 

supporting the use of the financial test or guarantee. Furthermore, owners or operators may also have to 

provide information due to varying circumstances; for example, whenever a claim for bodily injury or 

property damages caused by a hazardous waste treatment, storage, or disposal facility is made.

CONDITIONS APPLICABLE TO ALL PERMITS

EPA collects information from permitted facilities at intervals specified in the permit. EPA may

also collect other information if the Agency determines that it needs information to determine whether a 

permit should be terminated, revoked and reissued, or modified. EPA may collect additional information 

from permitted facilities if noncompliance with permit conditions occurs.

6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION

6(a) ESTIMATING RESPONDENT BURDEN

Exhibits 1 through 7 below present the number of hours required to conduct each individual 

information collection activity and the cost associated with that activity. Exhibit 8 presents annual 

respondent bottom-line burden hours and costs for all information collection requirements in this ICR. 

Exhibits 11 and 12 present the number of hours for State Agencies.
62

6(b) ESTIMATING RESPONDENT COSTS

LABOR COSTS

For the private sector, EPA estimates an average hourly respondent labor cost (including fringe 

and overhead) of $126.89 for legal staff, $75.00 for managerial staff, $55.89 for technical staff, and 

$33.62 for clerical staff. These wage rates are based on the rates from last renewal, multiplied by an 

inflation rate of 3.4% to bring them up to 2016 rates.

For State Agencies, EPA estimates an average hourly respondent labor cost (including fringe and 

overhead) of $60.57 for legal staff, $56.86 for managerial staff, $34.02 for technical staff, and $21.70 for 

clerical staff. These labor costs were obtained from EPA ICR Number 0976.16.

CAPITAL COSTS 

EPA estimates that all new facilities and facilities with new Part B permits will incur capital costs 

associated with purchasing file storage systems for maintaining records. EPA realizes that facilities will 

likely use different and various file storage systems (e.g., file cabinets, CD-ROM, off-site storage, etc) 

and store their files on different media (paper, microfiche, electronic files, etc). For purposes of 

estimating these capital costs across all facilities, EPA has made the conservative assumption that every 

facility will store their files in paper form in file cabinets.

In addition, EPA estimates that during the facilities’ operating and post-closure periods each 

facility will store an average 48,000 pieces of paper. Therefore, the average facility will need to purchase 

three 5-drawer lateral file cabinets that each hold 16,000 pieces of paper. As the current market price for 

such a file cabinet is $549, each facility would therefore purchase $1,647 worth of file cabinets.

OPERATION AND MAINTENANCE COSTS

EPA also estimates that facilities will incur operations and maintenance (O&M) costs such as 

postage costs for submitting information to EPA, purchased material costs, and various lump-sum

purchased service costs. These O&M costs are expected to be incurred on an ongoing, annual, or periodic 

basis per the associated regulatory requirement and assumptions in this ICR.

As shown in all exhibits, postage costs are estimated at $0.49 per one ounce letter, $5.75 per 

submittal for flat-rate by priority mail, and $12.20 per submittal that must be sent by registered, priority 

mail. 

In Exhibit 1, EPA estimates purchased material costs/and or lump-sum purchased service costs 

for waste analysis, specifically $1,000 per analysis for non-commercial facilities and $400 per analysis for 

commercial facilities. 

In Exhibit 5, EPA estimates lump-sum purchased service costs for certain inspections and/or 

certifications that must be completed by independent professionals, specifically $1,000 per 

inspection/certification by an independent registered professional engineer and $750 per 

survey/certification by a professional land surveyor.

6(c) ESTIMATING AGENCY BURDEN AND COST
63

EPA estimates annual Agency burden hours and costs associated with all the requirements 

covered in this ICR in Exhibits 9 and 10. EPA estimates the Agency hour and cost burden associated 

with the information collection requirements covered in this ICR. EPA estimates an average hourly labor 

cost of $86.56 for legal staff (GS15, Step 5), $76.38 for managerial staff (GS-15, Step 1), $54.94 for 

technical staff (GS-13, Step 1), and $23.44 for clerical staff (GS-06, Step 1). To derive these hourly 

estimates, EPA referred to the General Schedule (GS) Salary Table 2016. This publication summarizes 

the unloaded (base) hourly rate for various labor categories in the Federal Government. EPA then applied 

the standard government overhead factor of 1.6 to the unloaded rate to derive loaded hourly rates.

6(d) RESPONDENT UNIVERSE AND TOTAL RESPONDENT BURDEN AND COST

RESPONDENT UNIVERSE

Table 1 presents the estimated universe of facilities that are affected by the General Facility Standard 

requirements. 
64

TABLE 1

Estimated Universe of Facilities Affected by General Facility Standard Requirements

Permitted Interim Status Total

All Facilities (Operating & Closed/Post Closed) 1,427 395 1,822

Operating Facilities 707 28 838

 Commercial 310 5 315

 Non-Commercial 397 23 420

Closed Facilities (New Annual Closures) 134 13 147

Post-Closed Facilities 586 88 674

Land Disposal Facilities (Op. & Cl/P-Cl) 609 229 838

 Operating LDFs 72 3 75

 Closed LDFs (New Annual Closures) 7 4 11

 Post-Closed LDFs 560 80 640

 Closed or Post-Closed LDFs 583 226 809

Facilities with Incinerators 58 0 58

Treatment and Storage Only Facilities 665 25 690

New Interim Status NA 0 0

New Part B Permits (Incl. New Construction) 7 NA 7

Facilities Who Intend to Close Annually 58 4 62

LDFs Who Intend to Close Annually 9 0 9

Facilities Who Intend to Post-Close Annually 8 0 8

LDFs Who Intend to Post-Close Annually 2 0 2

Facilities Completing Post-Closure Annually 5 0 5

GENERAL FACILITY OPERATING REQUIREMENTS

(1) Foreign Shipment Import Report

Based on previous experience, EPA estimates that approximately six percent of the operating 

respondent universe will submit foreign shipment import reports annually. 

(2) Notice of Appropriate Permits

EPA estimates that approximately 12 percent of operating TSDFs accept off-site waste. These 

commercial facilities must submit a one-time notice to these generators before accepting their waste.

(3) Notice of Part 264 or Part 265, and Part 270 Requirements

EPA estimates that approximately one percent of all facilities will experience a transfer in 

ownership each year. The owners and operators of these facilities will be required to submit a notice of 

Part 264 or 265 and Part 270 requirements to the new owner or operator of the facility.
65

(4) Waste Analysis

Only operating facilities are required to conduct waste analysis testing. EPA believes that the 

commercial incinerator and land disposal sites have the greatest responsibility for waste analysis. Based 

on previous experience, EPA estimates that commercial incinerator and land disposal facilities will 

conduct testing 50 times a year, while the remaining operating facilities will conduct this analysis twice a 

year.

(5) Waste Analysis Plan

This ICR assumes that existing interim status and permitted facilities have already developed a 

waste analysis plan. Therefore, only new interim and permitted facilities will develop waste analysis 

plans. EPA estimates that no new interim facilities will be entering the universe whereas the 13 newly 

permitted facilities will have to prepare a waste analysis plan. In addition to preparing a waste analysis 

plan, these 13 facilities must also maintain (i.e., photocopy and file) the plan at the facility. 

EPA also assumes that 20 percent of all operating facilities will modify the plan and maintain the 

modified plan each year.

(6) Inspection Schedule

This ICR assumes that existing interim status and permitted facilities have already developed an 

inspection schedule. Therefore, only new permitted and interim status facilities will develop inspection 

schedules. EPA estimates that no new interim and 13 new permitted facilities will enter the universe 

during the period covered by this ICR. 

In addition to preparing an inspection schedule, new permitted facilities must also maintain (i.e., 

photocopy, file, and update) the schedule at the facility. EPA estimates that five percent of all operating 

facilities and facilities undergoing closure or post-closure will modify their inspection schedules annually 

and maintain the modified inspection schedule. All operating facilities are required to record problems in 

an inspection log. 

(7) Personnel Training

This ICR assumes that existing interim status and permitted facilities have already collected the 

information necessary to prepare a personnel training record. Therefore, only new interim status facilities 

and newly constructed permitted facilities will be required to collect information regarding their 

employees' training experiences. EPA estimates that no new interim status facilities will join the universe 

during the period covered by this ICR. Newly constructed facilities with Part B permits will have to read 

the regulations and collect information. 

All operating and newly constructed facilities must also maintain (i.e., photocopy, file, and 

update) their training records. 
66

(8) Documentation of Compliance for Ignitable, Reactive, or Incompatible Wastes

Based on previous experience, EPA estimates that 40 percent of the permitted operating universe 

will have to maintain documentation of compliance for ignitable, reactive, or incompatible wastes. 

(9) Construction Quality Assurance Plan

This ICR assumes that existing permitted and interim status facilities have submitted their 

construction quality assurance plan to EPA. Therefore, only new interim status facilities will be required 

to submit the CQA plan. EPA estimates that no new facilities will obtain interim status during the period 

covered by this ICR. 

RECORDKEEPING REQUIREMENTS

Operating Record

Excluding the inspection information requirements, only operating facilities are required to 

comply with the operating record recordkeeping requirements. There are sixteen information components 

of the operating record requirements contained in 40 CFR §§264.73(b)(1)-(16) and 265.73(b)(1)-(16). 

Some of the requirements apply only to certain types of facilities:

 Facilities must document any refusal of State and local agencies to enter into arrangements to 

address emergency situations (§264.37(b)). EPA estimates that only one percent of all operating 

facilities will be required to comply with this regulation.

 Facilities that have emergency incidents requiring implementation of the contingency plan must 

maintain (i.e., photocopy and file) written documentation of the incident (§§264.73(b)(4) and 

265.73(b)(4)). EPA estimates that only one percent of all operating facilities will be required to 

comply with this regulation.

 Both operating and post-closure facilities are required to maintain updated inspection information 

in the operating record (§§264.73(b)(5) and (265.73(b)(5)).Only land disposal facilities and 

incinerator facilities are required to collect and record monitoring data (§264.73(b)(6)) in the 

operating record. 
67

 Only land disposal facilities and incinerator facilities are required to collect and record monitoring 

data (§264.73(b)(6)) in the operating record.



 Only facilities that receive hazardous waste from an off-site source (except where the owner or 

operator is also the generator) are required to maintain (i.e., photocopy and file) notices for 

generators verifying that they have a permit to handle the hazardous waste they are receiving 

(§§264.73(b)(7) and (265.73(b)(7)). Thus, EPA has determined that 12 percent of the operating 

universe, including non-commercial facilities, will need to maintain, in the operating record, the 

notice to generators.

 All facilities must maintain updated information in the operating record closure cost estimates. 

However, only land disposal facilities must maintain post-closure cost estimates (§§264.73(b)(8) 

and (265.73(b)(8)). EPA expects that all permitted and interim status facilities will have to 

maintain closure cost estimates. Permitted and interim status operating land disposal facilities will 

also need to maintain post-closure cost estimates.

 All operating land disposal facilities must also maintain records of the quantities (and date of 

placement) for each shipment of hazardous waste placed in land disposal units under an extension 

to the effective date of any land disposal restriction, or a certification, and the applicable notice 

required by the generator (§§264.73(b)(10) and (265.73(b)(10)).

 Only off-site TSDFs are required to maintain (i.e., photocopy and file) a copy of the notice, and 

the certification and demonstration, if applicable, required by the generator or owner or operator in 

the operating record (§§264.73(b)(11), (13) and (15) and (265.73(b)(11), (13) and 15)). Thus EPA 

has determined that five percent of the operating universe will need to maintain (i.e., photocopy 

and file) this information in the operating record.

 Only on-site TSDFS are required to maintain (i.e., photocopy and file) the information contained 

in the notice (except the manifest number), and the certification and demonstration if applicable, 

required by the generator or owner or operator (§§264.73(b)(12), (14) and (16) and (265.73(b)(12), 

(14) and (16)). EPA had determined that 95 percent of the operating universe will need to 

maintain (i.e. photocopy and file) this information in the operating record.

The remaining requirements (§§264.73(b)(1)-(3) and (9) and (265.73(b)(1)-(3), and (9)) apply to

the entire universe of operating facilities. 

CONTINGENCY PLAN AND EMERGENCY REPORTING REQUIREMENTS

(1) Contingency Plan

For this ICR, the Agency assumes that existing interim status and permitted facilities have already 

prepared contingency plans. Therefore, only new interim status facilities will be required to prepare a 

contingency plan. (Modifications to contingency plans of permitted facilities are covered under the 

hazardous Waste Part B Permit Application, Special Permits, and Permit Modifications ICR (#1573)).

EPA estimates that no new facilities will obtain interim status during the period covered by this ICR

(#1571), or submit the contingency plan to all local police and fire departments, hospitals, and State and

local response teams.

(2) Emergency Reporting And Recordkeeping
68

Based on program experience, the Agency estimates that one percent of all facilities with

experience an emergency situation each year that will require the help of State or local authorities with 

designated response roles. Therefore, emergency coordinators at permitted and interim status facilities 

will be required to notify these authorities of an actual or imminent emergency situation (§§264.56(a)(2) 

and (265.56(a)(2)).

EPA estimates that one percent of those facilities experiencing an emergency situation will have a 

release, fire, or explosion for which the emergency coordination determines that is may be advisable to 

evacuate local areas.

EPA estimates that one percent of facilities will notify either a government official designated as 

the on-scene coordinator or the National Response Center of a release, fire, or explosion (§§264.56(d)(2) 

and 265.56(d)(2)). EPA estimates that only one percent of all facilities will have emergency incidents 

requiring implementation of the contingency plan and will be required to prepare an emergency report. 

All owners and operators experiencing an emergency situation are required to notify the Regional 

Administrator that the facility is in compliance with §265.56(h) before resuming operation in the affected

areas. The owner operator must also submit a written report to the Regional Administrator 15 days 

after the incident (§§264.56(j) and 265.56(j)). The respondent burden for recording emergency details in 

the operating record is covered in the operating record section.

RELEASES FROM SOLIE WASTE MANAGEMENT UNITS

EPA expects that no facilities will be required to demonstrate that the ground-water protection 

standard of §264.92 has not been exceeded for three consecutive years (§264.96(c)). EPA also expects all 

facilities submitting a Part B permit application to develop and submit sampling procedures to EPA 

(§264.97(g)).

CLOSURE AND POST-CLOSURE REQUIREMENTS

(1) Reading the Regulations

The only facilities that are expected to read the closure requirements will be the newly permitted 

facilities. Land disposal facilities are expected to read the post-closure regulations.

(2) Closure Plans

Since existing interim status and permitted facilities have already developed closure and postclosure plans, activities associated with developing closure/pose-closure plans apply to newly interim 

status facilities only. EPA expects no new facilities to develop and submit closure plans.

(3) Closure Plan Amendment

Based on previous experience, EPA estimates that five percent of operating or closing interim 

status facilities, such as facilities converting waste piles to containment building, will amend their closure 

plans annually and will submit a request to the Regional Administrator to authorize a change 

in the closure plan. Since closure plan amendments for permitted facilities are associated with permit 

modifications, amendments and discussed in the Hazardous Waste Part B Permit Application, Special
69

Permits, and Permit Modifications ICR, #1573.

(4) Partial Closure and Final Closure Notification

Owners and operators of all permitted and interim status facilities who intend to close their 

facility annually must notify EPA of closure. In addition, owners and operators of the interim status 

facilities must also submit their closure plans to EPA.

(5) Extensions and Allowances During the Closure Period

Of the total number of facilities that will be closing, EPA estimates that 20 percent will request an 

extension for the treatment, storage, or removal of hazardous waste (§§264.113(a) and 265.113(a)). EPA 

estimates that an additional 20 percent will request an extension for completing closure activities. EPA 

also estimates that an additional five percent of all closing facilities will request an allowance to receive 

non-hazardous wastes in a land-based unit after the final receipt of hazardous waste (§§264.113(d) and 

265.113(d)).

(6) Closure Certification

EPA estimates that all of the permitted and interim status facilities that will be closing annually 

will complete a certification of closure.

(7) Survey Plat

EPA estimates that 50 percent of the land disposal facilities that will be closing annually will 

submit a survey plat to the Regional Administrator.

(8) Post-Closure Plan

Existing permitted land disposal facilities already have approved post-closure plans. Therefore, 

only new interim status land disposal facilities will develop post-closure plans. EPA estimates that no 

new interim status land disposal facilities will prepare a post-closure plan annually. In addition to 

preparing a post-closure plan, all permitted and interim status land disposal facilities must also maintain 

(i.e., photocopy, file, and update) the post-closure plan at the facility.

(9) Notification and Amendment of Post-Closure Plan Under 265.118(d)

Since respondent activities associated with permit modifications are discussed in the Hazardous 

Waste Part B Permit Applications, Special Permits, and Permit Modifications ICR (#1573), this ICR 

focuses on interim status facilities' activities associated with notification of a post-closure amendment. 

EPA estimates that 20 percent of interim status facilities that will be undergoing post-closure, or two 

facilities, will amend their post-closure plans and submit written notification of a change in the approved 

post-closure plans. 

(10) Amendment of Post-Closure Plan Under 265.118(d)(4), (f), and (g)(1)

In some cases, the Regional Administrator will require owners or operators of surface 

impoundments or waste piles who intend to remove all hazardous wastes at closure to modify their postclosure plans. EPA expects that ten percent of interim status facilities that are undergoing post-closure 
70

will be required to modify their post-closure plan. EPA estimates that the Agency will reject ten percent 

of these plans, which will require approximately no facilities to modify its plan or submit a new plan.

In some cases, facilities will request that the Agency extend or reduce the post-closure period 

applicable to a hazardous waste management unit or facility, or to alter the requirements of the postclosure care period. EPA estimates that 20 percent of interim status facilities that are undergoing postclosure (two facilities), will prepare and submit such a request.

(11) Hazardous Waste Disposal Records

All owners and operators who close their land disposal facilities annually must submit hazardous 

waste disposal records. 

(12) Hazardous Waste Notation Certification

All owners and operators who close their land disposal facilities annually must submit a 

certification that they have recorded the notation required in §§264.119(b)(2) and 265.119(b)(2).

(13) Post-Closure Plan Modifications

EPA does not expect that any interim status facilities will subject to section 265.119(c) during the 

effective period of this ICR.

(14) Post-Closure Care Certification

Since the post-closure care period lasts for 30 years, except for those facilities that qualify for 

"early outs," EPA does not expect many owners/operators to submit certifications of post-closure care 

during the period covered by this ICR. Based on previous experience, EPA estimates that no facilities 

will complete post-closure care and be required to submit certifications.

FINANCIAL REQUIREMENTS

(1) Reading the Regulations

All operating and newly constructed facilities are expected to read the financial requirements 

regulations.

(2) Financial Responsibility for Corrective Action

Because financial responsibility for corrective action is required under Part 264, only permitted 

facilities are included in the burden estimate. EPA estimates that 80 percent of permitted facilities 

completed a RCRA Facility Assessment (RFA) that indicated that further investigation, or a RCRA 

Facility Investigation (RFI), was necessary. Because such further investigation will entail the submission 

of corrective action financial assurance documentation, EPA concludes that 80 percent of the permitted 

facilities will need to meet corrective action financial responsibility requirements. These facilities will 

need to include this financial assurance documentation in their permit renewals; because most TSDF 

permits are valid for five years, EPA estimates that each year approximately 20 percent will submit 

financial assurance documentation for corrective action. EPA estimates that ten percent of these facilities 

per year will need to provide the additional demonstration of denied permission to implement corrective 

action beyond facility boundaries. 
71

(3) Cost Estimates for Closure and Post-Closure Care

The burden for respondents to collect data, to prepare closure and post-closure care cost 

estimates, and to maintain these estimates at the facility is already calculated in Exhibit 5, Closure and 

Post-Closure Care Requirements. Therefore, Exhibit 6 only determines the burden for owners or 

operators to update cost estimates on a yearly basis to reflect inflation, and the burden for amending cost 

estimates due to changes in the closure or post-closure care plan. Except for those facilities already 

closed or post-closed, all operating facilities will need to adjust estimates annually to reflect inflation. 

Since closure and post-closure plan amendments for permitted facilities are associated with permit 

modifications, such amendments are instead discussed in the Hazardous Waste Part B Permit 

Applications, Special Permits, and Permit Modifications ICR (#1573). 

(4) Financial Assurance for Closure or Post-Closure Care

Because evidence of establishing a financial instrument for closure or post-closure care is 

submitted with the Part B permit application, such activities for permitted facilities are discussed in the 

Hazardous Waste Part B Permit Applications, Special Permits, and Permit Modifications ICR (#1573). 

However, prior to submitting a permit application, interim status facilities must present evidence of an 

established financial instrument for closure or post-closure care under §§265.143 and 265.145. 

Therefore, preparation of the required evidence for interim status facilities is discussed in Exhibit 6. In 

addition, the burden associated with annual updates or modifications to financial instruments is calculated 

in this exhibit for both permitted and interim status facilities.

Only new interim facilities will have to choose between the financial test for liability coverage 

and the other coverage options. EPA estimates that no new interim facilities will join the universe in the 

period this ICR covers.

EPA projects that two percent of existing facilities amend closure and post-closure financial 

instruments due to changes in the cost estimates or plans. Finally, all facilities covered under the 

financial test will need to submit annual updates; accordingly, 50 percent of existing facilities will submit 

this update.

(5) Liability Requirements

EPA calculates the number of respondents for demonstrating liability coverage in a manner 

similar to determining the number of closure and post-closure care respondents. Because evidence of 

establishing a financial instrument for liability coverage is submitted with the Part B permit application, 

such activities for permitted facilities are discussed in the Hazardous Waste Part B Permit Applications, 

Special Permits, and Permit Modifications ICR (#1573). However, prior to submitting a permit 

application, interim status facilities must present evidence of an established financial instrument for 

liability coverage under §265.147. Therefore, preparation of the required evidence for interim status 

facilities is shown in Exhibit 6 of this ICR. In addition, the burden associated with annual updates or 

modifications to financial instruments for liability coverage is calculated in this exhibit for both permitted 

and interim status facilities.

Only new interim facilities will have to choose between the liability coverage options. EPA 

estimates that no new interim facilities will join the universe in the period this ICR covers.
72

EPA expects that all existing TSDFs using the financial test or guarantee will submit the financial 

test documentation on an annual basis for review. EPA estimates that one percent of all facilities will 

become bankrupt and will need to submit evidence of insurance. 

(6) Other Requirements

For activities relating to State-required mechanisms and State assumption of responsibility, EPA 

estimates that one percent of interim status facilities (permitted facilities are included in ICR #1573), will 

be included in the respondent burden estimate. EPA estimates that of these facilities, only one percent 

(approximately zero interim status facilities) will be required by EPA to furnish additional information 

under the State assumption of responsibility requirements. 

CONDITIONS APPLICABLE TO ALL PERMITS

EPA estimates that each year 20 percent of permitted facilities will submit a permit modification 

at the request of the Agency. These permittees will be required to furnish any relevant information 

requested by EPA to determine whether cause exists to modify, revoke and reissue, or terminate a permit, 

or to determine compliance with a permit. 

EPA estimates that 15 percent of permitted facilities will annually submit a notice of physical 

alterations or additions. Of these facilities, 50 percent will submit a notice of planned changes that may 

result in noncompliance with permit requirements. Of these facilities, 50 percent will submit a letter 

certifying that the facility has been constructed or modified in compliance with the terms of the permit.

EPA estimates that all permitted facilities with land-based units and incinerators must submit 

monitoring reports. EPA further estimates that one percent will be required to prepare and submit reports 

of compliance and noncompliance with the compliance schedule at intervals specified in the permit. 

EPA estimates that one percent of all permitted facilities will experience a release, fire, or 

explosion that may threaten drinking water supplies, human health, or the environment outside the 

facility. These facilities will be required to submit a report within 24 hours of the incident and a more 

detailed written notice or report within 5 or 15 days, respectively, of the incident.

EPA estimates that two percent of all permitted facilities will be required to submit reports of 

other noncompliance that are not submitted with monitoring reports, compliance schedule reports, and 

reports of releases, fires, and explosions. An additional one percent will submit amended information that 

was incorrect or omitted during an initial submittal.

6(e) BOTTOM LINE BURDEN HOURS AND COSTS

Exhibit 8 illustrates the total respondent burden and costs associated with all of the information 

collection activities covered in this ICR. As shown in Exhibit 8, EPA estimates that the total annual 

respondent burden for all activities covered in the ICR is approximately 619,997 hours, at an annual cost 

of $520,867.

6(f) REASONS FOR CHANGE IN BURDEN

There is no change in burden hours in this renewal.
73

6(g) BURDEN STATEMENT

The annual public reporting burden for this collection of information is estimated to average 324

hours per respondent, and the annual public recordkeeping burden for this collection of information is 

estimated to average 88 hours per respondent. Burden means the total time, effort, or financial resources 

expended by persons to generate, maintain, retain, or disclose or provide information to or for a Federal 

agency. This includes the time needed to review instructions; develop, acquire, install, and utilize 

technology and systems for the purposes of collecting, validating, and verifying information, processing 

and maintaining information, and disclosing and providing information; adjust the existing ways to 

comply with any previously applicable instructions and requirements; train personnel to be able to 

respond to a collection of information; search data sources; complete and review the collection of 

information; and transmit or otherwise disclose the information. An agency may not conduct or sponsor, 

and a person is not required to respond to, a collection of information unless it displays a currently valid 

OMB control number. The OMB control numbers for EPA’s regulations are listed in 40 CFR Part 9 and 

48 CFR Chapter 15.

To comment on EPA 's need for this information, the accuracy of the provided burden estimates, 

and any suggested methods for minimizing respondent burden, including the use of automated collection 

techniques, EPA has established a public docket for this ICR under Docket ID Number EPA-HQ-RCRA2015-0606, which is available for online viewing at www.regulations.gov, or in person viewing at the 

RCRA Docket in the EPA Docket Center (EPA/DC), EPA West, Room B102, 1301 Constitution Avenue, 

NW, Washington, D.C. The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 

p.m., Monday through Friday, excluding legal holidays. The telephone number for the Reading Room is 

(202) 566-1744, and the telephone number for the RCRA Docket is (202) 566-0270. An electronic 

version of the public docket is available at www.regulations.gov. This site can be used to submit or view 

public comments, access the index listing of the contents of the public docket, and to access those 

documents in the public docket that are available electronically. When in the system, select “search,” 

then key in the Docket ID Number identified above. Also, you can send comments to the Office of 

Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, 

Washington, D.C. 20503, Attention: Desk Officer for EPA. Please include the EPA Docket ID Number 

EPA-HQ-RCRA-2015-0606 and OMB Control Number 2050-0120 in any correspondence.
74

EXHIBIT 1 

ANNUAL ESTIMATED RESPONDENT BURDEN AND COST

GENERAL FACILITY OPERATING STANDARDS

Number of

Respondents Hours and Costs per Respondent or Activity Total Hours and Costs

Legal Manager Technical Clerical Labor Capital/ Total Total

Interim $126.89/ $75.00/ $55.89/ $33.62/ Cost Startup O&M Hours per Cost per

INFORMATION COLLECTION ACTIVITY Permitted Status hour hour hour hour $/Year Cost Cost Year Year

Foreign Shipment Import Report (264.12(a) and 265.12(a))

Read the regulations 42 2 0.00 0.25 0.75 0.00 $60.67 $0.00 $0.00 44.10 $2,675.44

Collect Data 42 2 0.00 0.00 0.75 0.25 $50.32 $0.00 $0.00 44.10 $2,219.22

Prepare and submit notification 42 2 0.00 0.25 0.50 0.25 $55.10 $0.00 $0.33 44.10 $2,444.46

Subtotal 42 2 0.00 0.50 2.00 0.50 $166.09 $0.00 $0.33 132.30 $7,339.12

Notice of appropriate permit(s) (264.12(b)

Read the regulations 85 N/A 0.00 0.10 0.25 0.00 $21.47 $0.00 $0.00 29.69 $1,821.73

Prepare, keep records of, and submit notice

(55 annually) 85 N/A 0.00 0.13 0.25 0.13 $27.55 $0.00 $0.33 2,333.10 $130,093.66

Subtotal 85 N/A 0.00 0.23 0.50 0.13 $49.02 $0.00 $0.33 2,362.79 $131,915.38

Notice of Part 264 or 265 and Part 270 requirements (264.12(c) and 265.12(b))

Read the regulations 14 4 0.00 0.10 0.25 0.00 $21.47 $0.00 $0.00 6.38 $391.23

Prepare and submit notice 14 4 0.00 0.00 0.50 0.13 $32.32 $0.00 $0.33 11.48 $594.80

Subtotal 14 4 0.00 0.10 0.75 0.13 $53.79 $0.00 $0.33 17.86 $986.03

Waste Analysis (264.13(a)(1) and 265.13(a)(1))

Non-commercial facilities

Read the regulations 397 23 0.00 0.25 0.75 0.00 $60.67 $0.00 $0.00 420.00 $25,480.35

 Collect data (twice annually) 397 23 0.00 0.00 3.00 0.50 $184.48 $0.00 $0.00 2,940.00 $154,963.20

 Perform waste analysis (twice annually) 397 23 0.00 0.00 10.00 0.00 $558.90 $0.00 $750.00 8,400.00 $1,099,476.00

Commercial facilities

Read the regulations 310 5 0.00 0.25 0.75 0.00 $60.67 $0.00 $0.00 315.00 $19,110.26

 Collect data (50 times annually) 310 5 0.00 0.00 1.50 0.25 $92.24 $0.00 $0.00 27,562.50 $1,452,780.00

 Perform waste analysis (50 times annually) 310 5 0.00 0.00 20.00 0.00 $1,117.80 $0.00 $400.00 315,000.00 $23,905,350.00

Subtotal varies varies varies varies varies varies varies varies varies 354,637.50 $26,657,159.81

Waste Analysis Plan (264.13(b) and 265.13(b))

Read the regulations N/A 0 0.00 0.25 0.75 0.00 $60.67 $0.00 $0.00 0.00 $0.00

Collect data N/A 0 0.00 0.00 10.00 0.00 $558.90 $0.00 $0.00 0.00 $0.00

Write the waste analysis plan N/A 0 0.00 10.00 60.00 0.50 $4,120.21 $0.00 $0.00 0.00 $0.00

Maintain the waste analysis plan 6 0 0.00 0.00 0.00 1.00 $33.62 $0.00 $0.00 6.00 $201.72

Modify the waste analysis plan 141 6 0.00 10.00 80.00 0.50 $5,238.01 $0.00 $0.00 13,303.50 $769,987.47

Maintain the modified waste analysis plan 141 6 0.00 0.00 0.00 1.00 $33.62 $0.00 $0.00 147.00 $4,942.14

Subtotal varies varies varies varies varies varies varies varies varies 13,456.50 $775,131.33

Inspection Schedule (264.15(b)(1) and 265.15(b)(1))

Read the regulations N/A 0 0.00 0.25 0.75 0.00 $60.67 $0.00 $0.00 0.00 $0.00

Develop an inspection schedule N/A 0 0.00 8.00 80.00 1.00 $5,104.82 $0.00 $0.00 0.00 $0.00

Maintain the inspection schedule 6 0 0.00 0.00 0.00 1.00 $33.62 $0.00 $0.00 6.00 $201.72

Modify the inspection schedule 647 58 0.00 0.00 8.00 0.00 $447.12 $0.00 $0.00 5,636.00 $314,996.04

Maintain the modified inspection schedule 647 58 0.00 0.00 0.00 1.00 $33.62 $0.00 $0.00 704.50 $23,685.29

Record problems in the inspection log 707 28 0.00 0.00 100.00 0.00 $5,589.00 $0.00 $0.00 73,500.00 $4,107,915.00

Subtotal varies varies varies varies varies varies varies varies varies 79,846.50 $4,446,798.05
75

EXHIBIT 1 (con't)

ANNUAL ESTIMATED RESPONDENT BURDEN AND COST

GENERAL FACILITY OPERATING STANDARDS

Number of

Respondents Hours and Costs per Respondent or Activity Total Hours and Costs

Legal Manager Technical Clerical Labor Capital/ Total Total

Interim $126.89/ $75.00/ $55.89/ $33.62/ Cost Startup O&M Hours per Cost per

INFORMATION COLLECTION ACTIVITY Permitted Status hour hour hour hour $/Year Cost Cost Year Year

Personnel Training (264.16(d) and 265.16(d))

Read the regulations 8 0 0.00 0.25 0.75 0.00 $60.67 $0.00 $0.00 8.00 $485.34

Collect data 8 0 0.00 0.50 2.00 0.50 $166.09 $0.00 $0.00 24.00 $1,328.72

Maintain training records (new facilities) 8 0 0.00 0.00 0.00 80.00 $2,689.60 $0.00 $0.00 640.00 $21,516.80

Maintain training records (existing facilities) 707 28 0.00 0.00 0.00 4.00 $134.48 $0.00 $0.00 2,940.00 $98,842.80

Subtotal varies varies varies varies varies varies varies varies varies 3,612.00 $122,173.66

Documentation of Compliance for Ignitable, Reactive, or Incompatible Wastes (264.17)

Read the regulations 283 N/A 0.00 0.25 0.75 0.00 $60.67 $0.00 $0.00 282.80 $17,156.77

Collect and document data 283 N/A 0.00 1.00 40.00 1.00 $2,344.22 $0.00 $0.00 11,877.60 $662,945.42

Maintain documentation at the facility 283 N/A 0.00 0.00 0.00 1.00 $33.62 $0.00 $0.00 282.80 $9,507.74

Subtotal 283 N/A 0.00 1.25 40.75 2.00 $2,438.51 $0.00 $0.00 12,443.20 $689,609.92

Construction Quality Assurance Plan (265.19)

Read the regulations N/A 0 0.00 0.00 1.00 0.00 $55.89 $0.00 $0.00 0.00 $0.00

Complete the data items of 265.19(b), and,

if applicable, an alternative demonstration N/A 0 0.00 0.00 15.00 5.00 1006.45 $0.00 $0.00 0.00 $0.00

Obtain a certification from CQA officer N/A 0 0.00 0.00 1.00 0.00 $55.89 $0.00 $0.00 0.00 $0.00

Submit materials to EPA N/A 0 0.00 0.00 0.00 0.50 $16.81 $0.00 $3.20 0.00 $0.00

Maintain records of materials N/A 0 0.00 0.00 0.00 1.00 $33.62 $0.00 $0.00 0.00 $0.00

Subtotal N/A 0 0.00 0.00 17.00 6.50 $1,168.66 $0.00 $3.20 0.00 $0.00

TOTAL varies varies varies varies varies varies varies varies varies 466,508.65 $32,831,113.31
76

EXHIBIT 2

ANNUAL ESTIMATED RESPONDENT BURDEN AND COST

OPERATING RECORD

Number of

Respondents Hours and Costs per Respondent or Activity Total Hours and Costs

Legal Manager Technical Clerical Labor Capital/ Total Total

Interim $126.89/ $75.00/ $55.89/ $33.62/ Cost Startup O&M Hours per Cost per

INFORMATION COLLECTION ACTIVITY Permitted Status hour hour hour hour $/Year Cost Cost Year Year

Arrangements with Local Authorities (264.37(b) and 265.37(b))

Document refusal of State or local authorities

to enter into arrangements 7 0 0.00 0.25 1.00 0.50 $91.45 $0.00 $0.00 12.86 $672.16

Determine Quantity of Waste (264.73 and 265.73(b)(1) & (b)(2))

Maintain updated information in operating record 707 28 0.00 0.00 40.00 40.00 $3,580.40 $0.00 $0.00 58,800 $2,631,594.00

Records and Results of Waste Analysis (264.73 and 265.73(b)(3))

Maintain updated information in operating record 707 28 0.00 0.00 0.00 20.00 $672.40 $0.00 $0.00 14,700 $494,214.00

Emergency Reports (264.73 and 265.73(b)(4))

Maintain updated information in operating record 7 0 0.00 0.00 0.00 4.00 $134.48 $0.00 $0.00 29.4 $988.43

Inspections (264.73 and 265.73(b)(5))

Maintain updated information in operating record 1,293 116 0.00 0.00 4.00 20.00 $895.96 $0.00 $0.00 33,816 $1,262,407.64

Monitoring, Testing, or Analytical Data and Corrective Action (264.73 and 265.73(b)(6))

Maintain updated information in operating record 609 229 0.00 0.00 2.00 10.00 $447.98 $0.00 $0.00 10,056 $375,407.24

Notices to Generators (264.73 and 265.73(b)(7))

Maintain updated information in operating record 85 3 0.00 0.00 0.00 2.00 $67.24 $0.00 $0.00 176.4 $5,930.57

Closure Cost Estimates (264.73 and 265.73(b)(8))

Maintain updated information in operating record 1,427 395 0.00 0.00 0.00 0.25 $8.41 $0.00 $0.00 455.5 $15,313.91

Post-Closure Cost Estimates (264.73 and 265.73(b)(8))

Maintain updated information in operating record 72 3 0.00 0.00 0.00 0.25 $8.41 $0.00 $0.00 18.75 $630.38

Certification (264.73 and 265.73(b)(9))

Maintain updated information in operating record 707 28 0.00 0.00 0.00 2.00 $67.24 $0.00 $0.00 1,470 $49,421.40

Records of waste disposed under an extension to effective date of the LDRs and notice required by generator under 268.7(a) (264.73 and 265.73(b)(10))

Maintain updated information in operating record 72 3 0.00 0.00 1.00 2.00 $123.13 $0.00 $0.00 225 $9,234.75

Copy of notice, certification, and demonstration required by generator: Of-site treatment, storage, and disposal facilities (264.73 and 265.73(b)(11), (b)(13), and (b)(15))

Maintain updated information in operating record 35 1 0.00 0.00 0.00 2.00 $67.24 $0.00 $0.00 73.5 $2,471.07

Information in the notice, certification and demonstraton required by generator or owner or operator: On-site treatment, storage, and disposal facilities (264.73 and 265.73(b)(12), (b)(14), and (b)(16))

Maintain updated information in operating record 672 27 0.00 0.00 0.00 2.00 $67.24 $0.00 $0.00 1,396.5 $46,950.33

File Storage Systems for Recordkeeping

Purchase file cabinets 1,427 395 0.00 0.00 0.00 0.00 $0.00 $180.83 $0.00 0.00 $329,475.95

TOTAL varies varies varies varies varies varies varies varies varies 121,229.91 $5,224,711.82
77

EXHIBIT 3

ANNUAL ESTIMATED RESPONDENT BURDEN AND COST

CONTINGENCY PLAN AND EMERGENCY PROCEDURES

Number of

Respondents Hours and Costs per Respondent or Acitivity Total Hours and Costs

Legal Manager Technical Clerical Labor Capital/ Total Total

Interim $126.89/ $75.00/ $55.89/ $33.62/ Cost Startup O&M Hours per Cost per

INFORMATION COLLECTION ACTIVITY Permitted Status hour hour hour hour $/Year Cost Cost Year Year

Prepare and Submit Contingency Plan (265.50 - .54)

Read the regulations N/A 0 0.00 0.25 0.75 0.00 $60.67 $0.00 $0.00 0.00 $0.00

Collect information required to develop or

modify the contingency plan N/A 0 0.00 0.00 12.00 3.00 $771.54 $0.00 $0.00 0.00 $0.00

Develop the contingency plan N/A 0 0.00 1.00 60.00 4.00 $3,562.88 $0.00 $0.00 0.00 $0.00

Submit contingency plan to local authorities 0 0 0.00 0.00 0.00 0.50 $16.81 $0.00 $3.20 0.00 $0.00

Maintain the contingency plan 0 0 0.00 0.00 0.00 1.00 $33.62 $0.00 $0.00 0.00 $0.00

Subtotal 0 0 0.00 1.25 72.75 8.50 $4,445.52 $0.00 $3.20 0.00 $0.00

Emergency Coordinator Reports (264.56(a)(2), (d)(1), and (d)(2)), and 265.56(a)(2), (d)(1), and (d)(2))

Notify State and local authorities of an

imminent or actual emergency situation 14 4 0.00 0.50 0.00 0.00 $37.50 $0.00 $0.00 9.11 $683.25

Collect information required for an emergency

report 14 4 0.00 0.00 2.50 0.50 $156.54 $0.00 $0.00 54.66 $2,852.07

Notify local authorities of the need to evacuate

local areas 0 0 0.00 1.00 0.00 0.00 $75.00 $0.00 $0.00 0.18 $13.67

Submit an emergency report to the on-scene

coordinator or the National Response Center 14 4 0.00 1.00 0.00 0.00 $75.00 $0.00 $3.20 18.22 $1,424.80

Subtotal varies varies varies varies varies varies varies varies varies 82.17 $4,973.79

Notify Regional Administrator that facility is in compliance with 264.56(h) or 265.56(h) before resuming operations in the affected area (264.56(i) and 265.56(i))

Compile information that demonstrates that

all affected areas are in compliance with

264.56(h) or 265.56(h) 14 4 0.00 0.00 2.50 0.50 $156.54 $0.00 $0.00 54.66 $2,852.07

Prepare and submit notification letter 14 4 0.00 0.25 1.50 0.25 $110.99 $0.00 $0.33 36.44 $2,028.25

Subtotal 14 4 0.00 0.25 4.00 0.75 $267.53 $0.00 $0.33 91.10 $4,880.32

Prepare an Owner/Operator's Emergency Report (264.56(j) and 265.56(j))

Read the regulations 14 4 0.00 0.25 0.75 0.00 $60.67 $0.00 $0.00 18.22 $1,105.36

Collect information required in the

emergency report 14 4 0.00 0.00 8.00 0.50 $463.93 $0.00 $0.00 154.87 $8,452.80

Prepare and submit the emergency report 14 4 0.00 0.25 4.00 0.50 $259.12 $0.00 $3.20 86.55 $4,779.47

Subtotal 14 4 0.00 0.50 12.75 1.00 $783.72 $0.00 $3.20 259.64 $14,337.64

TOTAL varies varies varies varies varies varies varies varies varies 432.91 $24,191.74
78

EXHIBIT 4

ANNUAL ESTIMATED RESPONDENT BURDEN AND COST

RELEASES FROM SOLID WASTE MANAGEMENT UNITS

Number of

Respondents Hours and Costs per Respondent or Activity Total Hours and Costs

Legal Manager Technical Clerical Labor Capital/ Total Total

Interim $126.89/ $75.00/ $55.89/ $33.62/ Cost Startup O&M Hours per Cost per

INFORMATION COLLECTION ACTIVITY Permitted Status hour hour hour hour $/Year Cost Cost Year Year

Termination of compliance period (264.96(c))

Read the regulations 0 N/A 0.00 0.25 0.75 0.00 $60.67 $0.00 $0.00 0.00 $0.00

Prepare and submit demonstration 0 N/A 0.00 1.00 4.00 1.00 $332.18 $0.00 $3.20 0.00 $0.00

Subtotal 0 N/A 0.00 1.25 4.75 1.00 $392.85 $0.00 $3.20 0.00 $0.00

Proposal of sampling procedure and interval (264.97(g))

Read the regulations 6 N/A 0.00 0.25 0.75 0.00 $60.67 $0.00 $0.00 6.00 $364.01

Develop and submit sampling procedure 6 N/A 0.00 20.00 100.00 2.00 $7,156.24 $0.00 $3.20 732.00 $42,956.64

Subtotal 62 N/A 0.00 20.25 100.75 2.00 $7,216.91 $0.00 $3.20 738.00 $43,320.65

Total varies varies varies varies varies varies varies varies varies 738.00 $43,320.65
79

EXHIBIT 5 

ANNUAL ESTIMATED RESPONDENT BURDEN AND COST

CLOSURE AND POST-CLOSURE REQUIREMENTS

Number of

Respondents Hours and Costs per Respondent or Activity Total Hours and Costs

Legal Manager Technical Clerical Labor Capital/ Total Total

Interim $126.89/ $75.00/ $55.89/ $33.62/ Cost Startup O&M Hours per Cost per

INFORMATION COLLECTION ACTIVITY Permitted Status hour hour hour hour $/Year Cost Cost Year Year

Closure Plan (265.112(a))

Read the regulations N/A 0 0.00 0.50 3.00 0.00 $205.17 $0.00 $0.00 0.00 $0.00

Conduct an inventory of hazardous waste N/A 0 0.00 0.00 8.00 0.00 $447.12 $0.00 $0.00 0.00 $0.00

Record results of inventory N/A 0 0.00 0.00 2.00 0.50 $128.59 $0.00 $0.00 0.00 $0.00

Write descriptions for activities N/A 0 0.00 1.00 20.00 3.00 $1,293.66 $0.00 $0.00 0.00 $0.00

Estimate final closure N/A 0 0.00 0.25 0.25 0.00 $32.72 $0.00 $0.00 0.00 $0.00

Write the closure schedule N/A 0 0.00 0.50 1.00 0.50 $110.20 $0.00 $0.00 0.00 $0.00

Subtotal N/A 0 0.00 2.25 34.25 4.00 $2,217.46 $0.00 $0.00 0.00 $0.00

Notification and Amendment of Closure Plan (265.112(c))

Prepare and submit notification of amendment N/A 2 0.00 0.25 1.00 0.25 $83.05 $0.00 $0.33 3.08 $170.92

Amend and submit closure plan N/A 2 0.00 0.00 8.00 1.00 $480.74 $0.00 $3.20 18.45 $992.08

Subtotal N/A 2 0.00 0.25 9.00 1.25 $563.79 $0.00 $3.53 21.53 $1,163.00

Notification of Partial or Final Closure (264.112(d) and 265.112(d))

Prepare and submit notification of closure 58 4 0.00 0.25 0.50 0.25 $55.10 $0.00 $0.33 62.00 $3,436.66

Submit closure plan 58 4 0.00 0.00 0.00 1.00 $33.62 $0.00 $3.20 62.00 $2,282.84

Subtotal 58 4 0.00 0.25 0.50 1.25 $88.72 $0.00 $3.53 124.00 $5,719.50

Extension and Allowances During the Closure Period (264.113(a), 265.113(a), 264.113(b), 265.113(b), 264.113(d), and 265.113(d))

Prepare and submit demonstration for extension

for treatment, storage, or removal of hazardous

waste (264/265.113(a)) 12 1 0.00 4.00 80.00 1.00 $4,804.82 $0.00 $3.20 1054.00 $59,619.45

Prepare and submit demonstration for extension

of the closure period (264/265.113(b)) 12 1 0.00 4.00 80.00 1.00 $4,804.82 $0.00 $3.20 1054.00 $59,619.45

Prepare and submit demonstration for receiving

non-hazardous waste (264/265.113(d)) 3 0 0.00 4.00 100.00 1.00 $5,922.62 $0.00 $3.20 325.50 $18,370.04

Subtotal varies varies varies varies varies varies varies varies varies 2,433.50 $137,608.94

Certification of Closure (264.115 and 265.115)

Have an independent registered professional 

engineer inspect the facility 58 4 0.00 0.00 1.00 0.00 $55.89 $0.00 $1,000.00 62.00 $65,465.18

Collect documentation to support

certification and submit certification 58 4 0.00 0.00 3.00 2.00 $234.91 $0.00 $9.20 310.00 $15,134.82

Subtotal 58 4 0.00 0.00 4.00 2.00 $290.80 $0.00 $1,009.20 372.00 $80,600.00

Survey Plat (264.116 and 265.116)

Have a professional land surveyor prepare and 

certify plat, and submit plat 5 0 0.00 0.00 1.00 2.00 $123.13 $0.00 $750.00 13.50 $3,929.09

Subtotal 5 0 0.00 0.00 1.00 2.00 $123.13 $0.00 $750.00 13.50 $3,929.09

Post-Closure Plan (265.118)

Read the regulations N/A 0 0.00 0.50 3.00 0.00 $205.17 $0.00 $0.00 0.00 $0.00

Collect data N/A 0 0.00 1.00 12.00 7.00 $981.02 $0.00 $0.00 0.00 $0.00

Write and submit post-closure plan N/A 0 0.00 1.00 20.00 2.00 $1,260.04 $0.00 $3.20 0.00 $0.00

Maintain post-closure plan 0 0 0.00 0.00 0.00 1.00 $33.62 $0.00 $0.00 0.00 $0.00

Subtotal varies varies varies varies varies varies varies varies varies 0.00 $0.00
80

EXHIBIT 5 (con't)

ANNUAL ESTIMATED RESPONDENT BURDEN AND COST

CLOSURE AND POST-CLOSURE REQUIREMENTS

Number of

Respondents Hours and Costs per Respondent or Activity Total Hours and Costs

Legal Manager Technical Clerical Labor Capital/ Total Total

Interim $126.89/ $75.00/ $55.89/ $33.62/ Cost Startup O&M Hours per Cost per

INFORMATION COLLECTION ACTIVITY Permitted Status hour hour hour hour $/Year Cost Cost Year Year

Notification and Amendment of Post-Closure Plan Under 265.118(a)(1)-(3)

Prepare and submit notification of amendment N/A 0 0.00 0.25 1.00 0.25 $83.05 $0.00 $0.33 0.00 $0.00

Prepare and submit amended post-closure plan N/A 0 0.00 0.00 8.00 1.00 $480.74 $0.00 $3.20 0.00 $0.00

Subtotal N/A 0 0.00 0.25 9.00 1.25 $563.79 $0.00 $3.53 0.00 $0.00

Amendment of Post-Closure Plan Under 265.118(d)(4), (f), and (g)(1)

Amend and submit post-closure plan as

requested by EPA (265.118(d)(4)) N/A 0 0.00 0.50 6.00 1.50 $423.27 $0.00 $3.20 0.00 $0.00

Modify and resubmit plan, if not approved

by EPA (265.118(f)) N/A 0 0.00 0.50 6.00 2.00 $440.08 $0.00 $3.20 0.00 $0.00

Petition to extend or reduce the post-closure

care period (265.118(g)(1)) N/A 0 0.00 0.50 1.00 0.50 $110.20 $0.00 $3.20 0.00 $0.00

Subtotal N/A varies varies varies varies varies varies varies varies 0.00 $0.00

Hazardous Waste Disposal Records (264.119 and 265.119(a))

Determine specifications of hazardous waste

activity 9 0 0.00 0.00 2.00 0.00 $111.78 $0.00 $0.00 18.00 $1,006.02

Establish and submit a record of activity 9 0 0.00 0.00 1.00 0.00 $55.89 $0.00 $3.20 9.00 $531.81

Maintain the record of activity 9 0 0.00 0.00 0.00 1.00 $33.62 $0.00 $0.00 9.00 $302.58

Subtotal 9 0 0.00 0.00 3.00 1.00 $201.29 $0.00 $3.20 36.00 $1,840.41

Hazardous Waste Notation Certification

Record notation on deed, and develop and 

submit certification 9 0 1.00 0.00 1.00 2.00 $250.02 $0.00 $0.33 36.00 $2,253.15

Subtotal 9 0 0.00 0.00 1.00 2.00 $250.02 $0.00 $0.33 36.00 $2,253.15

Post-Closure Plan Modifications (265.119(c))

Prepare request for modification N/A 0 0.00 0.50 1.25 0.25 $115.77 $0.00 $0.00 0.00 $0.00

Demonstrate compliance N/A 0 0.00 0.25 1.75 1.00 $150.18 $0.00 $0.00 0.00 $0.00

Subtotal N/A 0 0.00 0.75 3.00 1.25 $265.95 $0.00 $0.00 0.00 $0.00

Certification of Completion of Post-Closure Care (264.120 and 265.120)

Obtain certification of compliance from an

independent registered professional engineer 5 0 0.00 1.00 4.00 0.00 $298.56 $0.00 $1,000.00 25.00 $6,492.80

Maintain a copy of the certification 5 0 0.00 0.00 0.00 1.00 $33.62 $0.00 $0.00 5.00 $168.10

Submit documentation to EPA 5 0 0.00 0.00 0.00 1.00 $33.62 $0.00 $3.20 5.00 $184.10

Subtotal 0 0 0.00 1.00 4.00 2.00 $365.80 $0.00 $1,003.20 35.00 $6,845.00

TOTAL varies varies varies varies varies varies varies varies varies 3,071.53 $239,959.08
81

EXHIBIT 6

ANNUAL ESTIMATED RESPONDENT BURDEN AND COST

FINANCIAL REQUIREMENTS

Number of

Respondents Hours and Costs per Respondent Total Hours and Costs

Legal Manager Technical Clerical Labor Capital/ Total Total

Interim $126.89/ $75.00/ $55.89/ $33.62/ Cost Startup O&M Hours per Cost per

INFORMATION COLLECTION ACTIVITY Permitted Status hour hour hour hour $/Year Cost Cost Year Year

Reading the Regulations

Read the regulations covering financial

responsibility requirements (new facilities) 8 0 8.00 2.00 8.00 0.00 $1,612.24 $0.00 $0.00 144 $12,897.92

Read the regulations covering financial

responsibility requirements (existing facilities) 707 28 4.00 1.00 4.00 0.00 $806.12 $0.00 $0.00 6,615 $592,498.20

Subtotal varies varies varies varies varies varies varies varies varies 6,615 $605,396.12

Financial Responsibility for Corrective Action (264.101)

Prepare and submit documented assurances

of financial responsibility for corrective action 231 N/A 2.00 0.50 5.50 1.00 $632.30 $0.00 $3.20 2,081 $146,909.92

Demonstrate, if applicable, that permission denied to

implement correction action beyond facility boundary 23 N/A 1.00 0.50 1.25 0.25 $242.66 $0.00 $3.20 69 $5,683.59

Subtotal varies N/A varies varies varies varies varies varies varies 2,150 $152,593.51

Cost Estimates for Closure and Post-Closure Care (264.142, 264.144, 265.142, and 265.144)

Adjust estimate annually to reflect inflation 707 28 0.00 0.00 0.50 0.00 $27.95 $0.00 $0.00 368 $20,539.58

Amend cost estimate due to closure/

post-closure plan changes 0 2 0.00 0.50 6.50 0.50 $417.60 $0.00 $0.00 15 $835.19

Subtotal varies varies varies varies varies varies varies varies varies 383 $21,374.77

Closure or Post-Closure Trust Fund (264.143, 265.143, 264.145, and 265.145)

Establish a closure or post-closure trust fund 0 0 4.00 1.50 2.00 0.50 $748.65 $0.00 $0.00 0 $0.00

Submit orginally signed duplicate of trust

agreement 0 0 0.00 0.00 0.00 0.50 $16.81 $0.00 $3.20 0 $0.00

Submit formal certification of

acknowledgement (post-closure trust funds only) 0 0 0.00 0.00 0.00 1.00 $33.62 $0.00 $0.33 0 $0.00

Submit receipt for first payment under trust

agreement (new facilities) 0 0 0.00 0.00 0.00 1.00 $33.62 $0.00 $0.33 0 $0.00

Amend trust fund due to changes in

closure/post-closure plan 4 1 2.00 1.00 0.75 0.25 $379.10 $0.00 $0.00 18 $1,726.81

Subtotal varies varies varies varies varies varies varies varies varies 18 $1,726.81

Surety bond guaranteeing payment into a closure or post-closure trust fund (264.143(b), 265.143(b), 264.145(b) and 265.145(b)), or guaranteeing performance of closure or post-closure care (264.143(c) and 264.145(c))

Establish surety bond and trust agreement 0 0 4.00 1.50 2.00 0.50 $748.65 $0.00 $0.00 0 $0.00

Submit orginally signed duplicates of

bond/trust agreement 0 0 0.00 0.00 0.00 0.50 $16.81 $0.00 $3.20 0 $0.00

Submit evidence of alternate financial

mechanisms, if bond cancelled 0 0 0.00 0.00 0.00 1.00 $33.62 $0.00 $3.20 0 $0.00

Increase penal sum amount, if cost estimate modified 4 1 2.25 0.75 1.00 0.00 $397.64 $0.00 $0.00 18 $1,811.26

Submit evidence of increase in cost estimate 4 1 0.00 0.00 0.00 1.00 $33.62 $0.00 $3.20 5 $167.72

Subtotal varies varies varies varies varies varies varies varies varies 23 $1,978.98
82

EXHIBIT 6 (con't)

ANNUAL ESTIMATED RESPONDENT BURDEN AND COST

FINANCIAL REQUIREMENTS

Number of

Respondents Hours and Costs per Respondent Total Hours and Costs

Legal Manager Technical Clerical Labor Capital/ Total Total

Interim $126.89/ $75.00/ $55.89/ $33.62/ Cost Startup O&M Hours per Cost per

INFORMATION COLLECTION ACTIVITY Permitted Status hour hour hour hour $/Year Cost Cost Year Year

Closure or Post-Closure Letter of Credit (264.143(d), 265.143(c), 264.145(d), and 265.145c))

Obtain and submit letter of credit from

issuing institution 0 0 4.00 1.50 2.00 0.50 $748.65 $0.00 $0.33 0 $0.00

Write and submit letter to accompany letter

of credit 0 0 1.25 0.25 0.00 0.50 $194.17 $0.00 $0.33 0 $0.00

Submit originally signed duplicate of the

trust agreement 0 0 0.00 0.00 0.00 0.50 $16.81 $0.00 $3.20 0 $0.00

Increase credit amount, if cost estimate modified 4 1 0.75 0.50 0.75 0.00 $174.59 $0.00 $0.00 9 $795.23

Submit evidence of increase in cost estimate 4 1 0.00 0.00 0.00 1.00 $33.62 $0.00 $3.20 5 $167.72

Subtotal varies varies varies varies varies varies varies varies varies 14 $962.95

Closure or Post-Closure Insurance (264.143(e), 265.143(d), 264.145(e), and 265.145(d))

Establish closure or post-closure insurance policy 0 0 4.00 1.50 2.00 0.50 $748.65 $0.00 $0.00 0 $0.00

Submit insurance policy certificate to EPA 0 0 0.00 0.00 0.00 0.50 $16.81 $0.00 $0.33 0 $0.00

Submit letter from insurer (for some interim status

facilities only) 0 0 0.00 0.00 0.00 1.00 $33.62 $0.00 $0.33 0 $0.00

Increase insured amount, if cost estimate modified 4 1 2.50 0.50 0.00 0.00 $354.73 $0.00 $0.00 14 $1,615.77

Submit evidence of increase in cost estimate 4 1 0.00 0.00 0.00 1.00 $33.62 $0.00 $3.20 5 $167.72

Subtotal varies varies varies varies varies varies varies varies varies 18 $1,783.49

Financial Test and Corporate Guarantee (264.143(f), 265.143(e), 264.145(f), and 265.145(e))

Write and submit letter signed by chief

financial officer 0 0 1.00 0.25 2.00 0.75 $282.64 $0.00 $0.33 0 $0.00

Submit copy of public accountant's report

and special report 0 0 0.00 0.00 0.00 1.00 $33.62 $0.00 $3.20 0 $0.00

Submit updated information annually 714 198 0.00 0.00 0.00 4.00 $134.48 $0.00 $3.20 3,644 $125,426.48

Write and submit notice of intent to establish

other financial assurance, if applicable 14 4 3.25 0.25 0.00 0.50 $447.95 $0.00 $0.33 73 $8,167.71

Write and submit any additional reports of

financial condition 14 4 2.25 0.25 1.00 0.50 $376.95 $0.00 $3.20 73 $6,926.38

Submit corporate guarantee from parent

corporation 0 0 0.00 0.00 0.00 1.00 $33.62 $0.00 $0.33 0 $0.00

Subtotal varies varies varies varies varies varies varies varies varies 3,790 $140,520.57

Coverage for Sudden or Nonsudden Accidental Occurrences (264.147(a), 265.147(a), 264.147(b), and 265.147(b))

Prepare, write, and submit a claim

notification, if applicable 7 2 2.50 1.00 0.00 0.50 $409.04 $0.00 $0.33 36 $3,729.32

Prepare, write, and submit notification of reduction

of liability coverage amount if applicable 29 8 2.00 1.00 0.50 0.50 $373.54 $0.00 $0.33 146 $13,623.64

Subtotal varies varies varies varies varies varies varies varies varies 182 $17,352.96

Variance of financial responsibility regulations (265.147(c))

Prepare and submit petition for variance 0 0 0.50 0.50 0.50 0.00 $128.89 $0.00 $3.20 0 $0.00

Subtotal 0 0 0.50 0.50 0.50 0.00 $257.78 $0.00 $3.20 0 $0.00
83

EXHIBIT 6 (con't)

ANNUAL ESTIMATED RESPONDENT BURDEN AND COST

FINANCIAL REQUIREMENTS

Number of

Respondents Hours and Costs per Respondent Total Hours and Costs

Legal Manager Technical Clerical Labor Capital/ Total Total

Interim $126.89/ $75.00/ $55.89/ $33.62/ Cost Startup O&M Hours per Cost per

INFORMATION COLLECTION ACTIVITY Permitted Status hour hour hour hour $/Year Cost Cost Year Year

 

Financial Test for Liability Coverage (264.147(f) and 265.147(f))

Prepare, write, and submit letter signed by

chief financial officer 0 0 1.00 0.25 2.00 0.75 $282.64 $0.00 $0.33 0 $0.00

Submit copy of public accountant's report

and special report 0 0 0.00 0.00 0.00 1.00 $33.62 $0.00 $3.20 0 $0.00

Submit updated information annually 357 99 0.00 0.00 0.00 4.00 $134.48 $0.00 $3.20 1,822 $62,713.24

Submit evidence of insurance obtained for

entire liability coverage, if applicable 14 4 0.00 0.00 0.00 2.00 $67.24 $0.00 $3.20 36 $1,283.42

Subtotal varies varies varies varies varies varies varies varies varies 1,858 $63,996.66

Guarantee for Liability Coverage (264.147(g) and 265.147(g))

Obtain and submit written guarantee from

parent corporation 0 0 0.50 0.50 0.50 0.50 $145.70 $0.00 $0.33 0 $0.00

Submit letter from guarantor's chief

financial officer 0 0 0.00 0.00 0.00 1.00 $33.62 $0.00 $0.33 0 $0.00

Submit updated information annually 357 99 0.00 0.00 0.00 4.00 $134.48 $0.00 $3.20 1,822 $62,713.24

Subtotal varies varies varies varies varies varies varies varies varies 1,822 $62,713.24

Letter of Credit for Liability Coverage (264.147(h) and 265.147(h))

Obtain and submit stand-by letter of credit 0 0 4.00 1.00 2.00 1.00 $727.96 $0.00 $0.33 0 $0.00

Subtotal 0 0 4.00 1.00 2.00 1.00 $727.96 $0.00 $0.33 0 $0.00

Liability Insurance (264.147(a) and (b), and 265.147(a) and (b))

Obtain and submit insurance policy documentation 0 0 4.00 1.00 2.00 1.00 $727.96 $0.00 $3.20 3 $292.46

Subtotal 0 0 4.00 1.00 2.00 1.00 $727.96 $0.00 $3.20 3 $292.46

Surety Bond for Liability Coverage (264.147(i) and 265.147(i))

Obtain surety bond and submit copy to EPA 0 0 4.00 1.00 2.00 1.00 $727.96 $0.00 $0.33 3 $291.32

Subtotal 0 0 4.00 1.00 2.00 1.00 $727.96 $0.00 $0.33 3 $291.32

Trust Fund for Liability Coverage (264.147(j) and 265.147(j))

Establish trust fund 0 0 4.50 1.50 1.00 1.00 $773.02 $0.00 $0.00 3 $309.21

Submit originally signed duplicate of trust

agreement to EPA 0 0 0.00 0.00 0.00 1.00 $33.62 $0.00 $3.20 0 $14.73

Subtotal 0 0 4.50 1.50 1.00 2.00 $806.64 $0.00 $3.20 4 $323.93
84

EXHIBIT 6 (con't)

ANNUAL ESTIMATED RESPONDENT BURDEN AND COST

FINANCIAL REQUIREMENTS

Number of

Respondents Hours and Costs per Respondent Total Hours and Costs

Legal Manager Technical Clerical Labor Capital/ Total Total

Interim $126.89/ $75.00/ $55.89/ $33.62/ Cost Startup O&M Hours per Cost per

INFORMATION COLLECTION ACTIVITY Permitted Status hour hour hour hour $/Year Cost Cost Year Year

Incapacity of Owners or Operators, Guarantors, or Financial Institutions (264.148 and 265.148)

Submit notice indicating commencement of

bankruptcy proceedings 14 4 0.00 0.00 0.00 1.00 $33.62 $0.00 $0.33 18 $618.57

Subtotal 14 4 0.00 0.00 0.00 1.00 $33.62 $0.00 $0.33 18 $618.57

Use of State-Required Mechanisms (264.149) and 265.149)

Submit letter from owner or operator 0 4 0.00 0.00 0.00 4.00 $134.48 $0.00 $0.33 16 $532.50

Submit written evidence of establishment of

State-required financial assurance mechanism 0 4 0.00 0.00 0.00 2.00 $67.24 $0.00 $3.20 8 $278.24

Subtotal 0 4 0.00 0.00 0.00 6.00 $201.72 $0.00 $3.53 24 $810.74

State Assumption of Responsibility (264.150 and 265.150)

Prepare and submit letter from

owner or operator 0 4 1.00 5.00 2.00 0.50 $630.48 $0.00 $0.33 34 $2,491.70

Obtain and submit letter from State

describing assumption of responsiblity 0 4 0.00 0.00 0.00 1.00 $33.62 $0.00 $0.33 4 $134.10

Prepare and submit any additional information

requested by EPA 0 0.0 0.75 0.25 0.75 0.25 $164.24 $0.00 $3.20 0 $6.61

Subtotal varies varies varies varies varies varies varies varies varies 38 $2,632.42

Estimated decrease in Federally-required

cost due to facilities using State-required

mechanisms 0 4 5.00 3.00 11.00 3.00 $1,575.10 $0.00 $0.00 87 $6,221.65

Subtotal 0 4 5.00 3.00 11.00 3.00 $1,575.10 $0.00 $0.00 87 $6,221.65

TOTAL varies varies 0.00 varies varies varies varies varies varies 17,049 $1,081,591.12
85

EXHIBIT 7

ANNUAL ESTIMATED RESPONDENT BURDEN AND COST

PERMIT CONDITIONS

Number of

Respondents Hours and Costs per Respondent Total Hours and Costs

Legal Manager Technical Clerical Labor Capital/ Total Total

Interim $126.89/ $75.00/ $55.89/ $33.62/ Cost Startup O&M Hours per Cost per

INFORMATION COLLECTION ACTIVITY Permitted Status hour hour hour hour $/Year Cost Cost Year Year

Conditions applicable to all permits (270.30(h) and (l))

Prepare and submit information requested

by EPA 173 N/A 0.00 0.25 1.00 0.25 $83.05 $0.00 $3.20 259.50 $14,920.39

Prepare and submit notice of planned

physical alterations or additions 155 N/A 0.00 0.25 1.00 0.25 $83.05 $0.00 $0.33 232.50 $12,923.13

Prepare and submit notice of planned changes

or activities which may result in noncompliance 78 N/A 0.00 0.25 1.00 0.25 $83.05 $0.00 $0.33 117.00 $6,503.25

Prepare and submit letter certifying compliance 39 N/A 0.00 0.25 1.00 0.25 $83.05 $0.00 $0.33 58.50 $3,251.63

Prepare and submit monitoring reports 1171 N/A 0.00 0.25 8.00 0.25 $474.28 $0.00 $3.20 9953.50 $559,123.23

Prepare and submit reports of compliance or

noncompliance with compliance schedule 14 N/A 0.00 0.25 2.00 1.00 $164.15 $0.00 $3.20 46.38 $2,388.08

Compile and submit information for 24-hour

reporting of a release of hazardous waste, a fire,

or an explosion 14 N/A 0.00 0.50 8.00 0.50 $501.43 $0.00 $3.20 128.43 $7,201.07

Prepare and submit notice of noncompliance

due to a release, fire, or explosion 14 N/A 0.00 0.50 4.00 0.50 $277.87 $0.00 $0.33 71.35 $3,969.91

Prepare and submit a report of other

noncompliance 29 N/A 0.00 0.50 2.00 0.50 $166.09 $0.00 $3.20 85.62 $4,831.54

Prepare and submit omitted or corrected

information 14 N/A 0.00 0.25 0.50 0.25 $55.10 $0.00 $3.20 14.27 $831.94

TOTAL varies N/A varies varies varies varies varies varies varies 10,967.05 $615,944.16
86

EXHIBIT 8

TOTAL ESTIMATED RESPONDENT BURDEN AND COST SUMMARY

Total Total Total Total Total

Hours per Capital per O&M per Labor Cost Cost per

EXHIBIT Year Year Year per Year Year

Exhibit 1

General Facility Standards 466,509 $0 $441,049 $32,390,065 $32,831,113

Exhibit 2

Recordkeeping Requirements 121,230 $12,658 $0 $5,212,054 $5,224,712

Exhibit 3

Contingency Plan and Emergency Procedures 433 $0 $123 $24,069 $24,192

Exhibit 4

Ground-Water Monitoring Requirements 738 $0 $19 $43,301 $43,321

Exhibit 5

Closure and Post-Closure Requirements 3,072 $0 $71,309 $168,651 $239,959

Exhibit 6

Financial Requirements 17,049 $0 $3,744 $1,077,847 $1,081,591

Exhibit 7

Permit Conditions 10,967 $0 $4,624 $611,321 $615,944

T OT AL 619,997 12,658 520,867 39,527,307 $40,060,832
87

EXHIBIT 9

ESTIMATED ANNUAL AGENCY BURDEN AND COST

 Number of

 Respondents Hours and Costs per Respondent or Activity Total Hours and Costs

Legal Manager Technical Clerical Labor Capital/ Total Total

$86.56/ $76.38/ $54.94/ $23.44/ Cost Startup O&M Hours per Cost per

INFORMATION COLLECTION ACTIVITY Permitted Interim hour hour hour hour $/Year Cost Cost Year Year

GENERAL FACILITY OPERATING REQUIREMENTS

Foreign Shipment Import Report

Review foreign shipment import report 42 2 0.00 0.00 1.00 0.00 54.94 0.00 0.00 44.10 $2,422.85

Review of records during inspections 6 0 0.00 0.00 1.00 0.00 $54.94 $0.00 $0.00 6.00 $329.64

Subtotal varies varies 0.00 0.00 varies varies varies $0.00 $0.00 50.10 $2,752.49

RECORDKEEPING REQUIREMENTS

Operating Record

On-site review of the operating record 707 28 0.00 0.00 2.00 0.00 109.88 0.00 0.00 1,470.00 $80,761.80

Subtotal 707 28 0.00 0.00 2.00 0.00 109.88 0.00 0.00 1,470.00 $80,761.80

CONTINGENCY PLAN AND EMERGENCY PROCEDURES

Contingency Plan

On-site review of the contingency plan 1,427 395 0.00 0.00 0.50 0.00 27.47 0.00 0.00 911.00 $50,050.34

Emergency Reporting Requirements

Review owner/operator's emergency report 14 4 0.00 0.00 1.00 0.00 $54.94 $0.00 $0.00 18.22 $1,001.01

Subtotal varies varies 0.00 0.00 varies varies varies $0.00 $0.00 929.22 $51,051.35

RELEASES FROM SOLID WASTE MANAGEMENT UNITS

Review demonstration to terminate compliance period 0 N/A 0.00 0.00 4.00 0.10 $222.10 $0.00 $0.00 0.00 $0.00

Review and approve proposed sampling

procedures 6 N/A 0.00 0.00 2.00 0.00 $109.88 $0.00 $0.00 12.00 $659.28

Subtotal varies 0 0.00 0.00 varies varies varies 0.00 0.00 12.00 $659.28

CLOSURE AND POST-CLOSURE

Review closure plans N/A 0 0.00 0.00 15.00 0.00 $824.10 $0.00 $0.00 0.00 $0.00

Review closure plan amendment notifications N/A 2 0.00 0.00 2.00 0.00 $109.88 $0.00 $0.00 4.10 $225.25

Review partial or final closure notifications

and closure plans (interim status facilities) 58 4 0.00 0.00 2.00 0.00 $109.88 $0.00 $0.00 124.00 $6,812.56

Review demonstration for extension for treatment, storage, or removal of hazardous waste 12 1 0.00 0.00 2.00 0.00 $109.88 $0.00 $0.00 24.80 $1,362.51

Review demonstration for extension of

closure period 12 1 0.00 0.00 1.00 0.00 $54.94 $0.00 $0.00 12.40 $681.26

Review demonstration for receiving

non-hazardous waste 3 0 0.00 0.00 0.50 0.00 $27.47 $0.00 $0.00 1.55 $85.16

Review closure certifications 58 4 0.00 0.00 4.00 0.00 $219.76 $0.00 $0.00 248.00 $13,625.12

Review survey plat 5 0 0.00 0.00 1.00 0.00 $54.94 $0.00 $0.00 4.50 $247.23

Review post-closure plan N/A 0 0.00 0.00 15.00 0.00 $824.10 $0.00 $0.00 0.00 $0.00

Review post-closure plan amendment

notifications and amended plans N/A 0 0.00 0.00 2.00 0.00 $109.88 $0.00 $0.00 0.00 $0.00

Review post-closure plan modifications N/A 0 0.00 0.00 2.00 0.00 $109.88 $0.00 $0.00 0.00 $0.00

Review resubmitted plans N/A 0 0.00 0.00 2.00 0.00 $109.88 $0.00 $0.00 0.00 $0.00

Review petition to extend or reduce the 

post-closure care period N/A 0 0.00 0.50 1.00 0.00 $93.13 $0.00 $0.00 0.00 $0.00

Review hazardous waste disposal records 9 0 0.00 0.00 1.00 0.00 $54.94 $0.00 $0.00 9.00 $494.46

Review hazardous waste notation certification 9 0 0.00 0.00 1.00 0.00 $54.94 $0.00 $0.00 9.00 $494.46

Review post-closure care certification 5 0 0.00 0.00 4.00 0.00 $219.76 $0.00 $0.00 20.00 $1,098.80

Subtotal varies varies 0.00 varies varies varies varies $0.00 $0.00 457.35 $25,126.81
88

EXHIBIT 9 (con't)

ESTIMATED ANNUAL AGENCY BURDEN AND COST

 Number of

 Respondents Hours and Costs per Respondent or Activity Total Hours and Costs

Legal Manager Technical Clerical Labor Capital/ Total Total

$86.56/ $76.38/ $54.94/ $23.44/ Cost Startup O&M Hours per Cost per

INFORMATION COLLECTION ACTIVITY Permitted Interim hour hour hour hour $/Year Cost Cost Year Year

FINANCIAL REQUIREMENTS

Review increases in sum amounts, if cost

estimate modified, and additional reports

of financial conditions 0 0 0.00 0.00 8.00 0.00 $439.52 $0.00 $0.00 0.00 $0.00

Review new estimates and instruments 0 0 0.00 0.00 7.50 0.00 $412.05 $0.00 $0.00 0.00 $0.00

Review annual closure cost updates

to reflect inflation 0 0 0.00 0.00 0.50 0.00 $27.47 $0.00 $0.00 0.00 $0.00

Review liability claim notifications 0 0 1.00 0.00 2.00 0.00 $196.44 $0.00 $0.00 0.00 $0.00

Review and approve or deny petition for variance 0 59 0.00 0.50 1.00 0.00 $93.13 $0.00 $0.00 88.50 $5,494.67

Review revisions due to plan changes 56 274 0.00 0.00 8.00 0.00 $439.52 $0.00 $0.00 2,640.00 $145,041.60

Review updated financial test and corporate

guarantee information 1,390 3,624 0.00 0.00 8.00 0.00 $439.52 $0.00 $0.00 40,112.00 $2,203,753.28

Review bankruptcy notifications 28 72 1.00 0.00 2.00 0.00 $196.44 $0.00 $0.00 300.00 $19,644.00

Review State assumptions of responsibility/

required mechanism documentation 0 0 0.00 0.00 2.00 0.00 $109.88 $0.00 $0.00 0.00 $0.00

Review corrective action financial assurance 0 0 1.00 0.00 8.00 0.00 $526.08 $0.00 $0.00 0.00 $0.00

Subtotal varies varies varies varies varies 0.00 varies $0.00 $0.00 43,140.50 $2,373,933.55

PERMIT CONDITIONS

Review submitted information 173 0 0.00 0.25 1.00 0.10 $76.38 $0.00 $0.00 233.55 $13,213.57

Review notice of planned physical alterations

or additions 155 0 0.00 0.00 0.50 0.10 $29.81 $0.00 $0.00 93.00 $4,621.17

Review notice of planned changes or activities 78 0 0.00 0.25 0.50 0.10 $48.91 $0.00 $0.00 66.30 $3,814.90

Review letter certifying compliance 39 0 0.00 0.25 0.50 0.10 $48.91 $0.00 $0.00 33.15 $1,907.45

Review monitoring reports 1171 0 0.00 0.00 5.00 0.00 $274.70 $0.00 $0.00 5,855.00 $321,673.70

Review reports of compliance or noncompliance 14.27 0 0.00 0.00 1.00 0.10 $57.28 $0.00 $0.00 15.70 $817.44

Review information concerning a release,

fire, or explosion 14 0 0.00 0.00 0.50 0.10 $29.81 $0.00 $0.00 8.56 $425.45

Review notices and reports of noncompliance 14 0 0.00 0.00 0.50 0.10 $29.81 $0.00 $0.00 8.56 $425.45

Review reports of other noncompliance 29 0 0.00 0.00 0.50 0.10 $29.81 $0.00 $0.00 17.12 $850.89

Review corrected information 14 0 0.00 0.00 0.50 0.25 $33.33 $0.00 $0.00 10.70 $475.62

Subtotal varies 0 0.00 varies varies varies varies $0.00 $0.00 6,341.65 $348,225.63

TOTAL varies varies varies varies varies varies varies varies varies 52,400.82 $2,882,510.91
89

EXHIBIT 10

TOTAL ESTIMATED AGENCY BURDEN AND COST SUMMARY

Total Total

Hours per Cost per

EXHIBIT Year Year

General Facility Standards 50 2,752

Recordkeeping Requirements 1,470 80,762

Contingency Plan and Emergency Procedures 929 51,051

Releases from Solid Waste Management Units 12 659

Closure and Post-Closure Requirements 457 25,127

Financial Requirements 43,141 2,373,934

Permit Conditions 6,342 348,226

TOTAL 52,401 $2,882,511
90

EXHIBIT 11

ESTIMATED ANNUAL STATE AGENCY BURDEN AND COST

 Number of

 Respondents Hours and Costs per Respondent or Activity Total Hours and Costs

Legal Manager Technical Clerical Labor Capital/ Total Total

$57.54/ $54.02/ $32.32/ $20.62/ Cost Startup O&M Hours per Cost per

INFORMATION COLLECTION ACTIVITY Permitted Interim hour hour hour hour $/Year Cost Cost Year Year

GENERAL FACILITY OPERATING REQUIREMENTS

Foreign Shipment Import Report

Review foreign shipment import report 52 3 0.00 0.00 1.00 0.00 32.32 0.00 0.00 55.32 $1,787.94

Review of records during inspections 13 0 0.00 0.00 1.00 0.00 $32.32 $0.00 $0.00 13.00 $420.16

Subtotal varies varies 0.00 0.00 varies varies varies $0.00 $0.00 68.32 $2,208.10

RECORDKEEPING REQUIREMENTS

Operating Record

On-site review of the operating record 864 58 0.00 0.00 2.00 0.00 64.64 0.00 0.00 1,844.00 $59,598.08

Subtotal 864 58 0.00 0.00 2.00 0.00 64.64 0.00 0.00 1,844.00 $59,598.08

CONTINGENCY PLAN AND EMERGENCY PROCEDURES

Contingency Plan

On-site review of the contingency plan 1,333 198 0.00 0.00 0.50 0.00 16.16 0.00 0.00 765.50 $24,740.96

Emergency Reporting Requirements

Review owner/operator's emergency report 13 2 0.00 0.00 1.00 0.00 $32.32 $0.00 $0.00 15.31 $494.82

Subtotal varies varies 0.00 0.00 varies varies varies $0.00 $0.00 780.81 $25,235.78

RELEASES FROM SOLID WASTE MANAGEMENT UNITS

Review demonstration to terminate compliance period 0 N/A 0.00 0.00 4.00 0.10 $131.34 $0.00 $0.00 0.00 $0.00

Review and approve proposed sampling

procedures 13 N/A 0.00 0.00 2.00 0.00 $64.64 $0.00 $0.00 26.00 $840.32

Subtotal varies 0 0.00 0.00 varies varies varies 0.00 0.00 26.00 $840.32

CLOSURE AND POST-CLOSURE

Review closure plans N/A 0 0.00 0.00 15.00 0.00 $484.80 $0.00 $0.00 0.00 $0.00

Review closure plan amendment notifications N/A 4 0.00 0.00 2.00 0.00 $64.64 $0.00 $0.00 7.80 $252.10

Review partial or final closure notifications

and closure plans (interim status facilities) 19 9 0.00 0.00 2.00 0.00 $64.64 $0.00 $0.00 56.00 $1,809.92

Review demonstration for extension for treatment, storage, or removal of hazardous waste 4 2 0.00 0.00 2.00 0.00 $64.64 $0.00 $0.00 11.20 $361.98

Review demonstration for extension of

closure period 4 2 0.00 0.00 1.00 0.00 $32.32 $0.00 $0.00 5.60 $180.99

Review demonstration for receiving

non-hazardous waste 1 0 0.00 0.00 0.50 0.00 $16.16 $0.00 $0.00 0.70 $22.62

Review closure certifications 19 9 0.00 0.00 4.00 0.00 $129.28 $0.00 $0.00 112.00 $3,619.84

Review survey plat 1 4 0.00 0.00 1.00 0.00 $32.32 $0.00 $0.00 4.50 $145.44
91

EXHIBIT 11 (con't)

ESTIMATED ANNUAL STATE AGENCY BURDEN AND COST

 Number of

 Respondents Hours and Costs per Respondent or Activity Total Hours and Costs

Legal Manager Technical Clerical Labor Capital/ Total Total

$57.54/ $54.02/ $32.32/ $20.62/ Cost Startup O&M Hours per Cost per

INFORMATION COLLECTION ACTIVITY Permitted Interim hour hour hour hour $/Year Cost Cost Year Year

Review post-closure plan N/A 0 0.00 0.00 15.00 0.00 $484.80 $0.00 $0.00 0.00 $0.00

Review post-closure plan amendment

notifications and amended plans N/A 1 0.00 0.00 2.00 0.00 $64.64 $0.00 $0.00 2.80 $90.50

Review post-closure plan modifications N/A 1 0.00 0.00 2.00 0.00 $64.64 $0.00 $0.00 1.40 $45.25

Review resubmitted plans N/A 0 0.00 0.00 2.00 0.00 $64.64 $0.00 $0.00 0.14 $4.52

Review petition to extend or reduce the 

post-closure care period N/A 1 0.00 0.50 1.00 0.00 $59.33 $0.00 $0.00 2.10 $83.06

Review hazardous waste disposal records 2 7 0.00 0.00 1.00 0.00 $32.32 $0.00 $0.00 9.00 $290.88

Review hazardous waste notation certification 2 7 0.00 0.00 1.00 0.00 $32.32 $0.00 $0.00 9.00 $290.88

Review post-closure care certification 0 0 0.00 0.00 4.00 0.00 $129.28 $0.00 $0.00 0.00 $0.00

Subtotal varies varies 0.00 varies varies varies varies $0.00 $0.00 222.24 $7,197.99

FINANCIAL REQUIREMENTS

Review increases in sum amounts, if cost

estimate modified, and additional reports

of financial conditions 0 0 0.00 0.00 8.00 0.00 $258.56 $0.00 $0.00 0.00 $0.00

Review new estimates and instruments 0 0 0.00 0.00 7.50 0.00 $242.40 $0.00 $0.00 0.00 $0.00

Review annual closure cost updates

to reflect inflation 0 0 0.00 0.00 0.50 0.00 $16.16 $0.00 $0.00 0.00 $0.00

Review liability claim notifications 0 0 1.00 0.00 2.00 0.00 $122.18 $0.00 $0.00 0.00 $0.00

Review and approve or deny petition for variance 0 59 0.00 0.50 1.00 0.00 $59.33 $0.00 $0.00 88.50 $3,500.47

Review revisions due to plan changes 56 274 0.00 0.00 8.00 0.00 $258.56 $0.00 $0.00 2,640.00 $85,324.80

Review updated financial test and corporate

guarantee information 1,390 3,624 0.00 0.00 8.00 0.00 $258.56 $0.00 $0.00 40,112.00 $1,296,419.84

Review bankruptcy notifications 28 72 1.00 0.00 2.00 0.00 $122.18 $0.00 $0.00 300.00 $12,218.00

Review State assumptions of responsibility/

required mechanism documentation 0 0 0.00 0.00 2.00 0.00 $64.64 $0.00 $0.00 0.00 $0.00

Review corrective action financial assurance 0 0 1.00 0.00 8.00 0.00 $316.10 $0.00 $0.00 0.00 $0.00

Subtotal varies varies varies varies varies 0.00 varies $0.00 $0.00 43,140.50 $1,397,463.11

PERMIT CONDITIONS

Review submitted information 173 0 0.00 0.25 1.00 0.10 $47.89 $0.00 $0.00 233.55 $8,284.45

Review notice of planned physical alterations

or additions 155 0 0.00 0.00 0.50 0.10 $18.22 $0.00 $0.00 93.00 $2,824.41

Review notice of planned changes or activities 78 0 0.00 0.25 0.50 0.10 $31.73 $0.00 $0.00 66.30 $2,474.71

Review letter certifying compliance 39 0 0.00 0.25 0.50 0.10 $31.73 $0.00 $0.00 33.15 $1,237.35

Review monitoring reports 1171 0 0.00 0.00 5.00 0.00 $161.60 $0.00 $0.00 5,855.00 $189,233.60

Review reports of compliance or noncompliance 13.33 0 0.00 0.00 1.00 0.10 $34.38 $0.00 $0.00 14.66 $458.31

Review information concerning a release,

fire, or explosion 13 0 0.00 0.00 0.50 0.10 $18.22 $0.00 $0.00 8.00 $242.90

Review notices and reports of noncompliance 13 0 0.00 0.00 0.50 0.10 $18.22 $0.00 $0.00 8.00 $242.90

Review reports of other noncompliance 27 0 0.00 0.00 0.50 0.10 $18.22 $0.00 $0.00 16.00 $485.80

Review corrected information 13 0 0.00 0.00 0.50 0.25 $21.32 $0.00 $0.00 10.00 $284.13

Subtotal varies 0 0.00 varies varies varies varies $0.00 $0.00 6,337.65 $205,768.56

TOTAL varies varies varies varies varies varies varies varies varies 52,419.52 $1,698,311.94
92

EXHIBIT 12

TOTAL ESTIMATED STATE AGENCY BURDEN AND COST SUMMARY

Total Total

Hours per Cost per

EXHIBIT Year Year

General Facility Standards 68 2,208

Recordkeeping Requirements 1,844 59,598

Contingency Plan and Emergency Procedures 781 25,236

Releases from Solid Waste Management Units 26 840

Closure and Post-Closure Requirements 222 7,198

Financial Requirements 43,141 1,397,463

Permit Conditions 6,338 205,769

TOTAL 52,420 $1,698,312