SPA 14
. 

# • RCRA REVISION CHECKLIST 113



### .. Consolidated Liability Requirements 53 FR33938-33960 September 1, 1988 56 FR30200 July 1, 1991 57 FR42832-42844 September 16, 1992 (RCRACluster III, Non-HSWA provisions)

. . Notes: 1) This special consolidated checklist addresses changes made tothe Federal code by the September 1, 1988final rule (53 FR33938, withheld Revision Checklist 51) as weli as amendments made by the July 1, 1991'(56 FR30200, withheld Revision Checklist 93) and the September 16, 1992 (57 FR42832) final rules. The September 1, 1988 rule wasthe subject of litigation'and its checklist, Revision Checklist 51, was withheld by EPAto encourage States not to adopt those changes until a final settlementagreement could be reached and implemented. The July 1, 1991 and September 16, 1992 rules were promulgated to make the revisions mandated by the settlementagreement. Now that all requirements of the settlement agreement have been met, EPA is issuing this Consolidated Liability Requirements Checklistto aid States in correctly adopting the changes made by these.three rules. 

# • Revision Checklists 51 and 93 will not be issued individually. Rather, Statesshould use this Consolidated Liability Requirements Checklistto adoptthe provisions ofthethreefinal rules. States that have already adopted changes based on the September 1, 1988 final rule arestrongly encouraged to complete this consolidated checklistto ensure that all.revisions pursuant to the two amendments are correctly made in the State's code. Note thatthe deadline forthis consolidated checklist is July 1, 1994, based on the promulgation date ofthe most recent of the amendments. 2) In the September 1, 1988 final rule, all changes were classified as less stringent and, therefore, optional with regard to State adoption. Note that, as part of the settlement agreement with Chemical Waste Management, Inc., the claims reporting requirements were reclassified as more stringent and, therefore, required for State adoption. Only those changes marked as optional (t) in this consolidated checklist should be considered less stringent provisions. The September 16, 1992 rule modified the claims reporting requirements (264.147(a)(7)&(b)(7) and 265.147(a)(7)&(b)(7)) and they are less stringentthan the claim reporting requirements promulgated in the September 1, 1988 rule. Thus, States.which have already adopted the September 1, 1988 provisions are not required to adopt the "clarified" reporting requirements of the September 16, 1992rule, although EPAstrongly encourages them todo so. Statesthat did notadopt the September 1, 1988claims reporting requirements should not do so but should, instead, adopt the clarified September 16, 1992version included in this consolidated checklist. 3) This checklist includes a "rule" reference column. To simplify references to the three rules addressed by this checklist, "51" will signify the September 1, 1988 rule, "93" will signify the July. 1, 1991 rule, and"113" will indicatethe September 16, 1992 rule. 

# • 4) There were several typographical errors in the September 1, 1988 Federal Register article

.. These are explained in 'endnotes in this consolidated checklist.

.

Cl113.14• Revised: 2110193 Page 1 of 30 Printed: 7116196SPA 14

RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'd) 

# Cj . 5) The optional designation (t) is placed in the margin of the consolidated checklist ifa checklist introduced a new optional paragraph intothe Federal code. If a checklist addresses optional changes to an existing paragraph, the optional designation is placed beside the corresponding checklist number. •

STATEANALOG IS: lESS MORE RUlE ANALOGOUS STATE EQUIV- STRlN- STRlN- BROADER FEDERAL REQUIREMENTS REFERENCE FEDERAL RCRA CITATION CITATION AI.£NT GENT GENT IN SCOPE PART 264
- STANDARDS FOR OWNERS AND OPERATORS OF HAZARDOUS WASTE TREATMENT, STORAGE, AND DISPOSAL FACILITIES WAC 173-303 SUBPART H - FINANCIAL REQUIREMENTS DEFINITIONS OF TERMS AS USED IN THIS SUBPART 

### t add new paragraph defining "substantial business relationship" 51 264.1.41(h) 620(2)(h) 

### X

CL113.14• Revised: 2/10193 Page.2 of 30 Printed: 7/16196 

# c

# •• SPA 14

RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'd)

,... STATEANAlOG IS: LESS MORE RULE ANALOGOUS STATE EQUIV- STR/N- STAlN- BROADER FEDERAlREQUIREMENTS REFERENCE

.FEDERAL RCRA CITATION CITATION AlENT GENT GENT IN SCOPE FINANCIAL ASSURANCE FOR CLOSURE
remove "hereafter referred to as 'corporate guarantee'" from first sentence; insert "direct or higher-tier" before "parent corporation"; add phrase regarding sibling firms and firms with substantial business relationships to end of second sentence; remove "corporate" before "guarantee" in three 

# e places; insert

.._ ...­ "certified copy of the" before "guarantee must accompany"; add text regarding letter from guarantor's chief financial-officer and whatthe letter must describe t113 ....

264.143(f)(10) 620(4)(b) X



# e.

CL113.14

- Revised: 2110/93 Page 3 of 30 Printed: 7/16/96SPA 14

# o . RCRA REVISION CHECKLIST 113: Consolidated Uability Requirements (cont'd)

STATE ANALOG IS:

LESS MORE RULE ANALOGOUS STATE EQUIV- STRIN- STRIN- BROADER FEDERAl REQUIREMENTS REFERENCE FEDERAL RCRA CITAnON CITATION AlENT GENT GENT IN SCOPE FINANCIALASSURANCE FOR POST-CLOSURE CARE 1 replace "of" with "for" in the first sentence; remove "hereafter referred to as .'corporate guarantee'''; insert "direct or higher-tier" before "parent corporation"; add phrase regarding sibling firms and firms with substantial business relationships to end of second sentence; remove "corporate" before "guarantee" in three places; insert**~A** certified copy of" 

### atter"§ 264.151Ch)."; change "The corporate It to "the corporate"; add text regarding letter from guarantor's chief financial officer and whatthe letter ... must describe ,

- . t113 264.145(f)(11) 620(6)(b) X LIABILITY REQUIREMENTS 

# o

delete "in one of three ways"; replace "and (3)" with "(3), (4), (5), or (6)" t51 264.147(a) 620(8)(a) X

Cll13.14

- Revised: 2110193 Page 4 of 30 Printed: 7/16/96

# •• SPA 14 

# • RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'd)



### t 

# •
t

t STATE ANALOG IS: LESS MORE RULE ANALOGOUS STATE EQUIV· STRlN- STRIN- BROADER FEDERAL REQUIREMENTS REFERENCE FEDERAL RCRA CITATION CITATION ALENT GENT GENT IN SCOPE insert "or" after "owner"; delete "corporate" before "guarantee"; change "paragraph (g)" to "paragraphs (f) and (g)" . t51,93 264.147(a)(2) 620(8)(a) 

### X replace existing

. . paragraph;

requirements may be met by obtaining letter of creditfor liability coverage t51 264.147(a)(3) 620(8)(a) 

### X add ,new paragraph; requirements may be
.. met by obtaining

. surety bond for liability coverage 51 264.147(a)(4) 620(8)(a) 

### X add new paragraph; requirements may be met by obtaining trustfund for liability coverage 51 264.147(a)(5) 620(8)(a) 

### X add new paragraph; liabilitycoverage may be demonstrated by combination of financial mechanisms; amount of coverage musttotal at least the minimum amounts required by 264.147; specification of "primary" and "excess" coverage' 51 264.147(a)(6) 620(8)(a) 

### X

CL113.14·Revised: 2/10/93 Page 5 of 30 Printed: 7/16/96**-_._~---**

SPA 14

RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'd) 

# o

2

2

2



### 2 STATE ANALOG IS: LESS MORE RULE
- ANALOGOUS STATE EOUIV- STRlN- STRlN- BROADER FEDERAL**REOUI~NTS** REF£RENCE FEDERAL RCRA CITATION CITATION
-ALENT GENT GENT INSCOPE add and amend new paragraph; notify Regional Administrator in writing whenever: 51,113 264.147(a)(7) 620(8)(a) 

### X add and amend new subparagraph; claims reduce amount of 'flnancial assurance for liabilitycoverage 51,113 264.-147(a)(7)(i) 620(8)(a) 

### X

-Certification of Valid

Claim for bodily injury -or property damages

caused by sudden or non-sudden accidental occurrence is entered between the owner or operator - and a third- party claimant 51,113 264.147(a)(7)(ii) 620(8)(a) 

### X final court order establishing judgment· for bodily injury or property damage caused by sudden or non-sudden accidental occurrence is issued againstthe owner or operator or _ 

# . an instrument providing financial assurance 113 264.147(a)(7)(iii) 620(8)(a) 

### X


# ()

Cll13.14• Revised: 2/10193 Page 6 of 30 Plinted: 7116/96

# c

# •• SPA 14

RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'd)



### 3



# • STATE ANAlOG IS: LESS MORE RUlE ANALOGOUS STATE EQUIV· STRIN- STRlN- BROADER FEDERAL REQUIREM£NTS REFERENCE FEDERAL RCRA CITATION CITATION ALENT GENT GENT IN SCOPE change "miscellaneous disposal unit" to "disposal miscellaneous unit"; after "legal defense costs" inserttext regarding combination of peroccurrence coverage levels for sudden and non-sudden accidental occurrences, single annual aggregate level, and requirements for combining coverage; delete "in one of three"ways,": replace "and (3)" with "(3), (4), (5), or (6)," t51,93 264.147(b) 620(S)(b) 

### X delete"corporate" before "guarantee" t51 264.147(b)(21 620(S)(bl 

### X replace existing paragraph; requirements may be met by obtaining letter of credit for liability coverage t51 264.147(b)(3) 620(S)(b) 

### X replace existing paragraph; requirements may be met by obtaining surety bond for liability coverage t51 264.147(bH41 620(S)(b) 

### X 

# •

CL113.14

- Revised: 2110/93 "Page 7 of 30 Printed: 7/16/96

### SPA 14

RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'd) 

# o

t



### t

2

2

2 STATE ANALOG IS: LESS MORE RULE ANALOGOUS STATE EQUIV· STRlN· STRlN- BROADER FEDERAL REQUIREMENTS REFERENCE FEDERAL RCRA CITATION CITATION AlENT GENT GENT INSCOPE add new paragraph; requirements may be met by obtaining trust fund for liability coverage 5' 264.'47(b)(5) 620(8)(b) X add new paragraph; liabilitv.coveraqe may be demonstrated by combination of mechanisms; amount of coverage must total at leastthe minimum amount required by 264.'47; specification of "primary" and "excess" coverage 5' 264.'47(b)(6) 620(8)(b) X 

# 0 add and amend new para-graph; notify Regional Administrator in L

- writing whenever: 51,"3 264.147(b)(7) 620(8Hb) X add and amend new subparagraph; claims reduce amount of financial assurance for liability coverage 5',"3 264.147(b)(7)(i) 620(8)(b) X add and amend new subparagraph; Certification of Valid Claim for bodily injury or property damages caused by sudden or non-sudden accidental occurrence is entered between
- ­ the owner or operator and athird- party claimant 5',"3 264.'47(b)(7)(ii) 620(8Hb) X

Cl113.14•Revised: 2/10/93 Page 8 of 30 Printed: 7116/96SPA 14



# . RCRA REVISION CHECKLIST 113: Consolidated Uability Requirements (cont'dl 

# '.

2



# • STATE ANALOG IS: LESS MORE RULE ANALOGOUS STATE EQUIV- STAIN- STAIN· BROADER FEDERAL REQUIREMENTS REFERENCE FEDERAl ReM CIT AnON CITATION AlEN1' GENT GENT IN SCOPE 

### add new subparagraph; final court order establishing judgment for bodily injury or property damage caused by sudden or non-sudden accidental occurrence is issued against the owner or operator or an instrument providing financial , assurance 113 264.147(b)(7)(iii) 620(8)(b) X

- 

### insert ", a letter of credit, a surety bond, atrust fund, or a guarantee" after "obtain insurance"; replace "Evidence of insurance" with "Evidence of liability coverage" t113 264.147(f)(6) 620(8)(f) X


### remove "corporate" before "guarantee" t51 264.147(g) 620(8)(f) X



# •

ct.113.14
- Revised: 2/10193 

### Page 9 of 30 Printed: 7/16196SPA 14 

# o . RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'd)



# c

4 

# C) STATE ANALOG IS:

.

LESS MORE

.. RULE ANALOGOUS STATE EQUIV- STRlN· STRlN- BROADER FEDERAL REQUIREMENTS REFERENCE FEDERAl RCRA CITATION CITATION ALENT GENT GENT IN SCOPE remove "corporate" before "guarantee" in three places; lnssrt

. "direct or higher-tier" before "parent"; after "parent corporation ofthe owner or operator" insert", a firm whose parent corporation is also the parent corporation ofthe owner or operator, or a firm with a 'substantial business relationship' with the owner or operator."; change'"The guarantee must meet" to "The guarantor must meet"; change "(f)(7)" to "(f)(6)"; add "ofthis part"

. after"§ 264.151(h)(2) "; replace "The terms of the corporate guarantee must provide that:" with text regarding letter from the guarantor's chief financial officer t51 .

" 

### _. . . . .

264.147(g)(1) ..
,



### -

620(8)(f) X
remove and reserve t51 264.147(g)(1)(ii) 620(8)(f) X
remove "corporate" before "guarantee" t51 264.147(g)(2)(i) 620(8)(f) X
remove "corporate" before "guarantee" t51 264.147(g)(2)(ii) 620(8)(f) X ...

Cl113.14

- Revised: 2110/93 Page 10 of 30 Printed: 7/16/96SPA 14 

# • RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'd)

t,5


# • t

.t

t

t STATE ANALOG IS: LESS MORE RULE ANAlOGOUS STATE EQUIV- STAIN- STAIN- BROADER FEDERAL REQUIREMENTS REFERENCE FEDERAL RCRA CIT AnON CITATION ALENT GENT GENT IN SCOPE redesignate old paragraph (h) as (k): . add new paragraph titled "Letter of.credit for liability coverage" t51 264.147(h) 620(SHf) 

### X requirements may be satisfied by obtaining irrevocable standby letter of creditthat conforms to 264.147(h) requirements and submitting copy to Regional Administrator , 51 264.147(h)(1) 620(SHf) 

### X criteria for financial institution issuing letter of credit 51 264.147(h)(2) 620(S)(f) 

### X wording of letter of credit must be identical to wording specified in 264.151(k) - ..
51 264.147(h)(3) 620(SHf) 

### X establishment and use of.standby trust fund by owner or operator using letter of credit 113 264.147(h)(4) 620(S)(f) 

### X wording of standby trustfund must be identicalto wording specified in 264.151(n) 113 264.147(hH5) 620(S)(f) 

### X add new paragraph titled "Surety bond for liability coverage" 51 264.147(i) 620(S)(f) 

### X

Cll13.14- Revised: 2110/93 

# • Page 11 of 30 Printed: 7/16/96- - SPA 14

-. RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'd) 

# o

t

t

t

t



### t

t



### t FEDERAL REQUIREMENTS RULE REFERENCE FEDERAL RCRA CITATION requirements may be satisfied by obtaining surety bond conforming to 264.147{i) requirements arid submitting copy to Regional Administrator 51 264.147{jH1) criterion for surety company issuing bond 51 264.147{iH2) wording ofsurety bond must be identical to wording specified in 264.151(I)**._,~** 51 264.147{j){3) 264.147{i){4) conditions under which surety bond may be used 51 264.147{jH4){j) 264.147(i){4){ii) add new paragraph titled "Trustfund for

­ liability coverage" 51 264.147{j) requirements may be satisfied by establishing trust fund and submitting an originally signed duplicate of trust agreementto Regional Administrator '.

51 264.147{j){1) criteria for trustee 51 264.147(j){2) ANAlOGOUS STATE CITATION

620{8Hf)

620{8Hf)

620(8Hf)

..-'-

.... .. 620(8){f) 620{8Hf) 620(8){f)

620(8Hf)

620(8Hf) 620{8Hf) ) STATEANALOG IS:

EQUIV· AlENT LESSSTRlNGENT MORESTRlNGENT BROADER INSCOPE

'X

X

X X' X X

X

X X .­

. -

C1113.14

- Revised: 2/10/93 Page 12of 30 Printed: 7/1 6196SPA 14 

# • RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'd)



### t



### t STATEANALOG IS: lESS MORE RUlE ANALOGOUS STATE EQUlV· STRIN- STRlN- BROADER FEDERAL REQUIREMENTS REFERENCE FEDERAl RCRACITATION CITATION ALENT GENT GENT IN SCOPE trust fund must be funded for full amount of liability coverage it is to provide; requirements iffund is reduced ... below full amount; definition of "full amount" 51 264.1.47(j)(3) 620(8)(f) 

### X wording of trust fund must be identical to wording specified in 264.151(m) 51 264.147(j)(4) 620(8)(f) 

### X old paragraph " 264.147(h) becomes 264.147(k) t51 264.147(k) no analog 

### X
• WORDING OF THE INSTRUMENTS



### 6

7,8 add text given at 53 fR 33952to end of

nFinancial Guarantee Bond" . t51 264.151(b) 620(10) 

### X replace wording of letterfrom chief financial officer for closure and/or postclosure care withthat shown at 57 FR 42836 & 42837 t113 264.151(f) 620(10) 

### X replace wording of letterfrom chief financial officer for liability coverage with that shown at 57 FR 42837 & 42838 51,t113 264.151(g) 620(10) 

### X 

# •

CL1 13.14
- Revised: 2110/93 Page 13 of 30 Printed: 7/16/96- ---- ------

SPA 14

RCRA REVISION CHECKLIST 113: Consolidated Uability Requirements (cont'd) 

# Q

9

10

11

12

13 STATE"ANALOG IS: LESS "MORE RULE ANALOGOUS STATE EQUIV- STAIN- STRlN· BROADER FEDERAL REQUIREMENTS REFERENCE FEDERAL RCAA CITATION CITATION AlENT GENT GENT IN SCOPE replace wording of corporate guarantee for closure and/or post-closure care with"that shown at 57 FR42838 

### & 42839 t113 264.15Hh)(1) 620(10) X replace wording of guarantee for liability coverage with that shown at fR 42839 

### &42840 t51,113 264.151(h)(2) 620(10) X after "insured" add other entitiesthat maycancel endorsement; delete

. "sixty" before "60" t51 264.151(iH2)(d) 620(10) X after "insured" "add """ 

### ./ other entitiesthat may**.~ancel** endorsement; delete "sixty" before "60" t51 264.151(j)(2)(d) 620(10) X add new introductory subparagraph and wording for letter of creditfor liability coverage as shown at 57 FR42840 

### & 42841 t51,113 264.151(k) 620(10) X add new introductory subparagraph and wording for surety bond as shown at 53 FR33955 

### &33956 t51 264.151(I) 620(10) X 

# o

CL113.14
- Revised: 2/10/93 Page 14of 30 Printed: 7/16/96, SPA 14 

# • RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'd)

t,14

t,15 

# •

t STATE ANALOG IS: LESS MORE RULE ANALOGOUS STATE EQUIV- STRlN- STRIN- BROADER FEDERAL REQUIREMENTS REFERENCE FEDERAL RCRA CITATION CITATION ALENT GENT GENT IN SCOPE add new introductory subparagraph and wording for trust agreementas shown at 53 FR33956­ 33958' t51 264.151(m)(1) 620(10) 

### X add new introductory subparagraph and example of certification of acknowledgement as shown at 53 FR 33958,third column 51 264.151(m){2) 620(10)., 

# x add new introductory subparagraph and wording for standby trust agreement as shown at 57 FR 42841-42843 113 '264.151(n)(1) 620(10) X add new introductory subparagraph and wording for certification of acknowledgementto accompany,trust agreement, as shown at 57 FR42843, first and second columns 113 264.151(n)(2) 620(10) X

PART265 -INTERIM STATUS STANDARDS FOR OWNERS AND OPERATORS OF HAZARDOUS WASTETREATMENT, STORAGE, AND DISPOSAL FACILITIES SUBPART H - FINANCIAL REQUIREMENTS DEFINITIONS OF TERMS AS USED IN THIS SUBPART t,16 add new paragraph defining nsubstantial business relationship" 51 265.141{h) 400(3){a) X 

# •

CLl13.14

- Revised: 2110/93 Page 15 of 30 Printed: 7/16/96

# 0 SPA 14

RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'd)

STATE ANALOG IS:

LESS MORE RULE ANALOGOUS STATE EQUIV· STfUN- STRlN- BROADER FEDERAL REQUIREMENTS REFERENCE FEDERAL RCRA ClTAnON CITATION ALENT GENT GENT INSCOPE FINANCIALASSURANCE FOR CLOSURE 17 remove "hereafter referred to as 'corporate guarantee'" from first. sentence; insert "direct or higher-tier" before "parent corporation"; add phrase regarding sibling firms and firms with substantial business relationships

- to end of second sentence; remove "corporate" before "guarantee" in three places; insert "A certified copy of" after "§ 264.151(h)."; change "The" to "the"; add text regarding letterfrom guarantor's chief financial officer and whatthe letter must describe t113 . -'

.­

- -

265.143(e)(10) 400(3)(a) 

### X

CLl13.14

- Reviled: 2110/93 Page 16 of 30 Printed: -7116/96

# c

# •• SPA 14

RCRA REVISION CHECKLIST 113: Consolidated. Liability Requirements (cont'd)

STATE ANALOG IS:

LESS**MO~** RUlE ANAlOGOUS STATE EQUIV- STRIN- STRlN· BROADER FEDERAL REQUIREMENTS REFERENCE FEDERAL ReM CITATION CITATION AlENT GENT GENT IN SCOPE . FINANCIAL ASSURANCE FOR POST-CLOSURE CARE

remove "hereafter referred to as 'corporate guaranteei " from first sentence; insert "direct or higher tier" before "parent corporation": add phrase regarding sibling firms and firmswith substantial business relationships to end of second sentence; remove "corporate" before "guarantee" in three places; insert ftA certified copy of" after"§ . 264.151(h)."; change "The" to "theft; add text regarding letter from guarantor's chief financial officer and whatthe letter must describe t113 265.145(e)(1 1) ..

" 400(3)(a) 

### X 

# •

18 LIABILITY REQUIREMENTS delete "Bythe effective date of these regulations·; change "an" to "An"; delete "in one of three ways,"; replace "and (3)" with "(3), (4), (5), or (6)" t51**~.**

265.147(a) 400(3)(a) 

### X 

# •

Cl113.14

- Revilled: 2110193 Page 17 of 30 Printed: 7118/98SPA 14

RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'd) 

# ,0

FEDERAL REQUIREMENTS delete "corporate" before "guarantee"; change "paragraph (9)" to "paragraphs (f) and (g)" replace existing paragraph; requirements may be met by obtaining letter of creditfor liability coverage 

### t add new paragraph; requirements may be met by obtaining surety bond for liability coverage t add new paragraph; requirements may be met by obtaining trust fund for liability coverage t add new paragraph; liabilitycoverage may be demonstrated by combination of mechanisms; amount of coverage must total at leastthe minimum amounts required by 265.147; specification of "primary" and

nexcessn coverage ... 19 add new paragraph; notify Regional Administrator in writing whenever: STATE ANALOG IS: LESS MORE RULE ANALOGOUS STATE EQUIV- STAIN- STAIN- BROADER**~NCE** FEDERAL RCRA CITATION CITATION AlENT GENT GENT IN SCOPE

,t51,93 265.147(a)(2) 400(3)(a) X

t51 265.147(a)(3) 400(3)(a) X

51 265.147(a)(4) 400(3)(a) X

51 265.147(a)(5) 400(3)(a) X

- -

### ­ . , '

.' , 51 265.147(a)(6) 400(3)(a) X

51,113 265.147(a)(7) 400(3)(a) " -.

X 

# o

CL113.H

- Revised: 2/10/93 Page 18 of 30 Printed: 7/16/96

# •• SPA 

### 14

RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'd)

19

19



# • 19 STATEANAlOG IS: L£SS MORE RULE ANALOGOUS STATE EQUIV· STAIN- STRfN. BROADER FEDERAL REQUIREMENTS REFERENCE FEDERAL RCRA CITATION CITATION AlENT GENT GENT IN SCOPE 

### add new subparagraph; claims reduce amount of financial assurance for liability coverage 51,113 265.147(a)(7)(j) 400(3)(a) X Certification of Valid Claim for bodily injury or property damages caused by sudden 

### or non-sudden accidentaloccurrence is entered between the owner or operator and

# athird- party claimant 51,113 265.147(a)(7)(ii) 400(3)(a) X final court order establishing judgment for bodily injury or property damage caused by sudden or non-sudden. accidental occurrence is issued against the owner or operator or an instrument providing financial assurance 113 265.147(a)(7)(iij) 400(3)(a) X



# •

Cll13.14• Revieed: 2/10193 

### Page 19 of 30 Printed: 7/18196

### SPA 14

RCRA REVISION CHECKLIST 113: Consolidated Uability Requirements (cont'd) 

# o

STATE ANALOG IS:

LESS MORE RULE ANALOGOUS STATE EQUIV- STRlN- STRlN- BROADER FEDERAL REQUIR£MENTS REFERENCE FEDERAL RCRA CITATION CITATION ALENT GENT GENT IN SCOPE change "bodily damage" to "bodily injury"; after "legal defense costs." insert text regarding combination of peroccurrence coverage levels for sudden and non-sudden accidental occurrences, single annual aggregate level, and requirements for combining coverage; delete "in one of .' three ways,"; replace "and (3)" with "(3), (4), (S), or (6)" tS1 26S.147(b) 400(3}(a) 'X delete "corporate" before "guarantee" tS1 26S.147(bH2) 400(3Ha) X replace existing paragraph; requirements may be met by obtaining letter of credit for liability coverage tS1

. 26S.147(b)(3) 400(3)(a) X replace existing paragraph and subparagraphs; requirements may be met by obtaining surety bond for liabilitycoveraqe tS1 26S.147(bH4) 400(3)(a) X 

# ()

·ClI13.14 -Revised: 2/10/93 Page 20 of 30 Printed: 7/16/96

# •••• SPA 14

RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'd)

20



### t



# • 19

19

19 STATE ANALOG IS: LESS MORE RULE ANAlOGOUS STATE EQUIV- STRIN­ STRlN- BROADER FEDERAL REQUIREMENTS REFERENCE FEDERAL RCRA CITATION CITATION ALENT GENT GENT IN SCOPE replace existing paragraph; requirements may be met by obtaining trustfund for liability coverage t51 265.147(b)(5) 400(3)(a) 

## x add new paragraph; liability coverage may be demonstrated by combination of mechanisms: amount of coverage must total at least the minimum amount required by 265.147; specifying Dprimary" and "excess" coverage
.....'

... 

### 51. 265.147(b)(6) 400(3)(a) 

# -x add and amend new paragraph: notify Regional Administrator in writing whenever: 51,113 .265.147(b)(7) 400(3)(a) 

## x claims reduce amount of financial assurance for liability coverage 

## .I51,113 265.147(b)(7)(i) .---­ 400(3)(a) 

## x Certification of Valid Claim for.bodily injury or property damages caused by sudden or non-sudden accidental occurrence is entered between the'owner or operator and athird- party claimant 51,113· 265.147(b)(7)(ii) 400(3)(a) 

## x 

# •

Cll13.14

- Revised: 2110193 Page 21 of 30 Printed: 7116/96--- -------------------- 

# 0

19 SPA 14



## - RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'd)

I
FEDERAL REQUIREMElIITS RULE REFERENCE FEDERAL RCRA CITATION ANALOGOUS STATE CITATION STATE ANALOG IS:

EQUIV· ALENT LESSSTRlNGENT MORE STRlN· GENT BROADER IN SCOPE add new subparagraph; final court order establishing judgment for bodily injury or property damage caused by sudden or non-sudden accidental occurrence is issued against the owner or operator or

.. an instrument providing financial assurance 113 265.147(b)(7)(iii) 400(3)(a) X ·0 insert", a letter of . credit, a surety bond, a trust fund, or a guarantee" after "obtain insurance"; replace "Evidence of insurance" with "Evidence of liability coverage" t113 265.147(f)(6) 400(3)(a) X
remove "corporate" before"guarantee" t51 265.147(g) 400(3)(a) X



# o

Cl113.14 - Revised: 2110/93 Page 22 of 30 Printed: 7/16/96

# c

# •• SPA 14

RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'd)



# •

4 STATEANAlOG IS: LESS MORE RULE ANALOGOUS STATE EQUIV· STRlN- STAIN- BROADER FEDERAL REQUIREMENTS· REFERENCE FEDERAL ReRACITATION CITATION AlENT GENT GENT IN SCOPE remove "corporate" before "guarantee" in .three places; insert

.

"direct or higher-tier"



## .. before "parent"; after "parent corporation ofthe owner or operator" insert ". a firm whose parent corporation is also the parent corporation of the owner or operator, or a firm with a 'substantial business relationship' with the owner or operator"; change "(f)(7)" to "(f)(6)"; add "ofthis chapter" after"§ 264.151 (h)(2)"; replace "Theterms of the corporate guarantee must provide that:" with text regarding letter from the guarantor's chief financial officer t51 265.147(g)(1) 400(3)(a) 

### X remove and reserve t51 265.147(g)(1)(ii) 400(3)(a) 

### X
remove "corporate" before "guarantee" t51 265.147(g)(2)(i) 400(3)(a) 

### X \
remove"corporate" before "guarantee" t51 265.147(g)(2)(ii) 400(3)(a) 

### X redesignate old 265.147(h) as

.265.147(k); add new paragraph titled "Letter of credit for liability coverage" t51 265.147(h) 400(3)(a) 

### X 

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, RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'd) 

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t

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### t

t FEDERAL REQUIREMENTS RULE REFERENCE FEDERAL RCRA CITATION

.requirements may be

satisfied by.obtaining irrevocable standby letter of creditthat conforms to 265.147(h) requirements and submitting copyto

. Regional :Administrator 51 265.147(h)(1) criteria for financial institution issuing 

### letterofcredit 51 265.147(h)(2) wording of letter of credit must be identical to wording specified in 264.151(k) 51 265.147(h)(3) establishment and use of standby trust fund by owner or operator using letter of credit 113 265.147(h)(4) wording of standby trust fund must be identical to wording specified in 264.151(n) - 113 .. 265.147(h)(5) add new paragraph

. titled "Surety bond for liability coverage" 51 .' 265.147(i) ANALOGOUS STATE CITATION

400(3)(a)

400(3)(a)

400(3)(a)

400(3)(a)



### - . ...... 400(3)(a)

400(3)(a) STATE ANALOG IS:

EQUIVALENT LESSSTRlNGENT MORESTRINGENT BROADER IN SCOPE

X

X

X

X



### ·X .,

X

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# '. RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'dl



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t STATE ANAlOG IS:
LESS MORE RULE ANALOGOUS STATE EQUIV- STRJN- STRlN- BROADER FEDERAL REQUIREMENTS REFERENCE FEDERAL RCRA CITAnON CITATION AlENT GENT GENT IN SCOPE requirements may be satisfied by obtaining surety bond conforming to 265.147(i) requirements and submitting copyto Regional Administrator 51­ 265.147(i)(1) 400(3}(a) X criterion for surety,"

- company issuing bond 51 265.147{i)(2) 400(3)(a) X wording of surety .,

,­ bond must be identical to wording specified in 264.151(I) 51 265.147(i}(3) 400(3)(a) X 265.147(i)(4) 400(3}(a) X conditions under which surety bond may be used 51 265.147(i}(4)(i) 400(3)(a) X 265.147(i}(4}(iH 400(3}(a) X add new paragraph titled "Trust fund for liability coverage" 51 265.147(j)

. 400(3}(a) X ( requirements may be . satisfied by establishing trust fund conforming to 265.147(j) requirements and submitting signed duplicate .oftrust agreementto Regional Administrator 51 265.147(j)(1) 400(3}(a) X criteria for trustee 51 265.147(j)(2) 400(3)(a) X

CL113.14• Revised: 2/1 0/93 

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> RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'd)



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t STATE ANALOG IS: LESS MORE RULE ANAlOGOUS STATE EQUIV- STRlN- STRIN- BROADER FEDERAL REQUIREMENTS REFERENCE FEDERAL RCRA CITATION CITATION AlfNT GENT GENT INSCOPE trust fund must be funded for full amount ofliability coverage it is to provide; requirements iffund is reduced belowfull amount; definition of "full amount" 51 .. 265.147(j)(3) 400(3)(a) 

### X wording 'of trust fund must be identical to wording specified in 264.151(m) 51 265.147(j)(4) 400(3)(a) 

### X former 265.147(h) becomes 265.147(k) t51 265.147(k) 400(3)(a) 

### X ·1 Notethatthere is an error in the Federal Register; "direct of highertier" should be "direct or 

# C\ highertier." 2	 The September 1, 1988 (53 FR

### 33~38) rule added 264.147(a)(7) and (b)(7) tothe code, and the September 16, 1992 rule (57 FR42832) revised them (including adding 264.147(a)(7)(iii) and (b)(7)(iii». Note thatthe preamble of the September 1, 1988 Federal Register incorrectly characterized these paragraphs as less stringent. The September 16, 1992 Federal Register 'clarified this issue by stating that, in fact, these paragraphs are more stringent because they address an additional reporting requirement. The amendment made by the September 16, 1992 rule made these requirements less stringent than those introduced by the September 1, 1988 rule. Thus, those States,that.adopted the more stringent September 1, 1988 provisions are not requiredto adoptthe amendments made by the September 16, 1992 rule, although EPA urges them to do so. Statesthat did not adoptthe September 1, 1988 requirements at 264.147(a)(7) and (b)(7) should not do so but should adoptthe clarified version promulgated by the September 16, 1992 rule.,
3 Revision Checklist 45 added the reference to miscellaneous units to thefirst sentence of this paragraph-. When the September 

## 1,**H~88** rule revised this paragraph, the Revision Checklist 45 change was inadvertently omitted. The July 1, 1991 rule restored the Revision Checklist 45 reference to miscellaneous units.
4 Note that only (g)(1)(ii) is removed and reserved; (g)(1)(i) remains as itwas prior tothe September 1, 1988 final rule. 

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# '. RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'dl 5 Note thatthere is an error in the Federal Register; "letter or credit" should be "letter of credit". 6	 The changes addressed by Revision Checklist 113at this citation are "conditionally optional" because they are linked to whether a State chooses to adoptthe Revision Checklist 113 optional changes at 264.143(f)(10), 264.143(f)(11), 265.143(e)(10) and 265.143(e)(11). Ifa State chooses to adopt the optional changes at**264~** 143(f)(10), 264.143(f)(11), 265.143(e)(10) and 265.143(e)(11), it mustalso adoptthe changes at this citation. Ifthe State does not adoptthose changes, itshould not adoptthe Revision Checklist 113changes at 264.151(f). 7	 The changes addressed by Revision Checklist 113atthis citation are "conditionally optional" because they are linked to whether a State chooses to adoptthe Revision Checklist 113 optional changes at 264.147(fH6) and**265~147(fH6).** If a State chooses to adoptthe optional changes at 264.147(f)(6) and 265.147(f)(6), it mustalso adoptthe changes at this citation. If the State does not adoptthose changes, itshould not adoptthe Revision Checklist 113 changes at 264.151(g).
8 Note thatthere are several typographical errors in the Federal Register at 264.151(g) as indicated below:. 

# ie Federal citation Federal Register Error/Corrections "..'nonsudden' of 'both sudden.." should read "..'nonsudden' or 'both sudden.," location 264.151 (g) paragraph 4. line 5 57 FR 42837, column 3 264.151lg), item 3., line 8 57 FR 42838, column 1 "subpart H or 40 CFR parts" should read "subpart H of 40 CFR parts" 264.151lg), Part A. Alternative 1.3 57 FR 42838, column 1 "Current $" should read "Current liabilities $" 264.151(g), Part B. Alternative 11.7.• line 5 57 FR 42838, column 3 ")--$--" should be ")$-­

9	 The changes addressed by Revision Checklist 113at this citation are "conditionally optional" because they are linked to whether a State chooses to adopt the Revision Checklist 113 optional changes at 264.147(hH4), 264.147(hH5), 265.147(hH4) and 265.147(hH5). If a State chooses to adopt the optional changes at 264.147(hH4), 264.147(hH5), 265.147(hH4) and 265.147(hH5), it must also adopt the changes atthis citation. If the Statedoes not adopt those changes, it should not adoptthe Revision Checklist 113 changes at 264.151(hH1). 

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# o . RCRA REVISION CHECKLIST 113: Consolidated Uability Requirements (cont'd) 10Note thatthere are several typographical errors in the Federal Register at 264.151(h)(2) as indicated below:

Federal citation Federal Register ErrorICorrections location 264.151(h)(21, Guarantee for Liability Coverage, line 15 57 FR 42839, column 3 "or which guarantor 'is" should read "ofwhich guarantor is"
264.1 51 (h)(21, Guarantee for liabilitY Coverage, line 19 57 FR 42839, column 3 "264.141(hll" should read "264.141(hl or 265.141Ih)J"
264.151(h)(21, Certification of Valid Claim, line 8: 57 FR 42840, column 2 insert "]" after "facility"

11Notethatthere is a typographical error in the Federal Register; in line-three ofthe revised text of (j)(2)(d) shown at 53 FR 33955, "corportation" should be "corporation".
12 Notethatthere are severaltvpographicalerrors in the Federal Register at 264."51(k) as Indicated below: 

# ·0

Federal citation Federal Register Error ICorrections location

'" _.-­ - 264.151(k), Irrevocable - Standby Letter ofCredit, line 26 .. 57 FA42840, column 3

- .' insert "]" after "trustfund:"

264.151(k), (21, 2nd paragraph, lines 2 &. 5 57 FR 42841, column 1­ delete "]" in "[date]"in line 2 add "]" after "[date" in line 5 264.151(k), (21, 4th paragraph, line 7 57 FR 42841, column 1­ end paragraph with "I"

13 Note thatthere are several errors in the September 1, 1988 Federal Register. Explanatory paragraph 10, as well.asthe actual text of the revised code, should read "(I)" ratherthan "(1)" (letter rather than'number one). Also, the first sentence ofthe introductory text forthe surety bond shoutd reference "§ 264.147(j) or § 265.147(i)" rather than "§ 264.147(h) or § 265.147(h)".
14 Note thatthe introductory paragraph for 264.151(m)(2) is not clearly distinguished from the preceding and following certifications. In the middle of the third column at 53 FR33958, the paragraph numbered (2) and ending with "ofthis acknowledgement." is the introductory 

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# '. RCRA REVISION CHECKLIST 113: Consolidated Liability Requirements (cont'dl paragraph and should have been printed in the largertype size used for such paragraphs. The example ofthe certification begins "State of". 15 Note thatthere are several typographical errors. in the Federal Register at 264.151(nH1) as indicated below:

Federal citation Federal Register Error ICorrections location - 264.151 (n)(1) Standby

Trust Agreement(e)(3) 57 FR 42841, column 3 insert "to" after "Property loaned"

16 Note thatthe September 1, 1988 Federal Register incorrectly labelsthis paragraph "264.141" ratherthan "265.141",

. 17 Note thatthere is an error in the September 16,1992 Federal Register. In the preamble text at the-bottom of the second column at 57 FR42834,-"265.143(eH1 1)" should be "265.143(eH10)". 

# e 18 Note that an error which appears in the July 1, 1989, 1990and 1991 CFRs has only been partially corrected in the July 1, 1992 CFR. The July 1, 1989, 1990and 1991 CFRs incorrectly omit 265.147(aH1Hj)&(ii) and 265.147(b(1Hi)&(ii). The September 23, 1991 Federal Register (56 FR47912) reinstated 265.147(a)(1Hi)&(ii) but erroneously did not reinstate 265.147(bH1HiH&(ii). Thus, the July 1, 1992CFRomits 265.147(bH1Hi)&(ii). A technical correction will be published in the near future to correctthis error. In the meantime, States should include analogous requirements in their regulations.
­ 19 The September 1, 1988 rule added 265.147(aH7) and (bH7) to the code, and the September 16, 1992 rule revised them (including adding 265.147(aH7Hiii) and (bH7Hiii». Note thatthe preamble of the Septemper 1, 1988 Federal Register incorrectly characterized these paragraphs as less stringent. The September 16, 1992 Federal Register clarified this issue by stating that, in fact, these paragraphs are more stringent because they address an additional reporting requirement. The amendment made by the September 16, 1992 rule made these requirements less stringentthan those introduced by the September 1, 1988 rule. Thus, those Statesthat adopted the more stringent September 1, 1988 provisions are not required to adopt the amendments made bythe september 16, 1992 rule, although EPA urges them to do so. Statesthat did notadopt the September 1, 1988 requirements at 265.147(aH7) and (bH7) should not do so but should adoptthe clarified, less stringent version promulgated by the September 16, 1992 rule. 20 The Federal Register for Revision Checklist 51, in Item-3. in the first column- at 53 FR33959, erroneously indicatesthat 265:147(bH5) is a new paragraph to be added. In fact, this final rule replaces the old 265.147(b)(5) with a new paragraph (bH5).

# eCll13.14

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RCRA REVISION CHECKLIST 113: Consolidated Uability Requirements (cont'd) 21 Note thatthere is a typographical error inthe Federal Register: "264. 151C1)" [number 1], should be "264.151(I)" [letter I).

CLl13.14 -Revised: 2110193 Page 30 of 30 . Printed: 7116/96