SPA 14 .
 

• 

RCRA REVISION CHECKLIST 113 ..

Consolidated Liability Requirements 

53 FR 33938-33960 

September 1, 1988 

56 FR 30200
 

July 1, 1991
 

57 FR 42832-42844
 

September 16, 1992
 

(RCRA Cluster III, Non-HSWA provisions)
 

. . 

Notes: 1) This special consolidated checklist addresses changes made to the Federal code by the 

September 1, 1988 final rule (53 FR 33938, withheld Revision Checklist 51) as weli as 

amendments made by the July 1, 1991'(56 FR 30200, withheld Revision Checklist 93) and the 

September 16, 1992 (57 FR 42832) final rules. The September 1, 1988 rule was the subject of 

litigation 'and its checklist, Revision Checklist 51, was withheld by EPA to encourage States not 

to adopt those changes until a final settlement agreement could be reached and implemented. 

The July 1, 1991 and September 16, 1992 rules were promulgated to make the revisions 

mandated by the settlement agreement. Now that all requirements of the settlement agreement 

have been met, EPA is issuing this Consolidated Liability Requirements Checklist to aid States in 

correctly adopting the changes made by these. three rules. 

• 

Revision Checklists 51 and 93 will not be issued individually. Rather, States should use this 

Consolidated Liability Requirements Checklist to adopt the provisions of the three final rules. 

States that have already adopted changes based on the September 1, 1988 final rule are strongly 

encouraged to complete this consolidated checklist to ensure that all.revisions pursuant to the 

two amendments are correctly made in the State's code. Note that the deadline for this 

consolidated checklist is July 1, 1994, based on the promulgation date of the 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 stringent than 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, 1992 rule, although EPA strongly encourages them to do so. States that did 

not adopt the September 1, 1988 claims reporting requirements should not do so but should, 

instead, adopt the clarified September 16, 1992 version 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 indicate the 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: 7116196 
SPA 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 if a checklist 

introduced a new optional paragraph into the Federal code. If a checklist addresses optional 

changes to an existing paragraph, the optional designation is placed beside the corresponding 

checklist number. • 

STATE ANALOG 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) 

,... STATE ANAlOG IS: 

LESS MORE 

RULE ANALOGOUS STATE EQUIV- STR/N- STAlN- BROADER 

FEDERAl REQUIREMENTS 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 what the letter 

must describe t113 

.... 

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

e.
 

CL113.14 - Revised: 2110/93 Page 3 of 30 Printed: 7/16/96 
SPA 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 

FINANCIAL ASSURANCE 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 corporateIt to 

"the corporate"; add 

text regarding letter 

from guarantor's 

chief financial officer 

and what the 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 credit for 

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 

trust fund for liability 

coverage 51 264.147(a)(5) 620(8)(a) X 

add new paragraph; 

liability coverage may 

be demonstrated by 

combination of 

financial mechanisms; 

amount of coverage 

must total 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 IN SCOPE 

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 liability coverage 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 against the 

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" 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), (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 IN SCOPE 

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 least the 

minimum amount 

required by 264.'47; 

specification of 

"primary" and 

"excess" coverage 5' 264.' 47(b)(6) 620(8)(b) X 

add and amend new 0

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 a third- party 

claimant 5',"3 264.' 47(b)(7)(ii) 620(8Hb) X 

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

a trust 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: 7/16196 
SPA 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 

of the 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' "The 

guarantee must 

meet" to "The 

guarantor must 

meet"; change 

"(f)(7)" to "(f)(6)"; 

add "of this 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: 7/16/96 
SPA 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 CITAnON 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 credit that 

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 

trust fund must be 

identical to 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 of surety 

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 "Trust fund for ­

liability coverage" 51 264.147{j) 

requirements may be 

satisfied by 

establishing trust 

fund and submitting 

an originally signed 

duplicate of trust 

agreement to 

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 

LESS 

STRlNGENT 

MORE 

STRlNGENT 

BROADER 

IN SCOPE 

'X 

X 

X 

X' 

X 

X 

X 

X 

X 

.­

. -

C1113.14 - Revised: 2/1 0/93 Page 12 of 30 Printed: 7/1 6196 
SPA 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 

if fund 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 33952 to end of 

n Financial Guarantee 

Bond" . t51 264.151 (b) 620(10) X 

replace wording of 

letter from chief 

financial officer for 

closure and/or postclosure care with that 

shown at 57 FR 

42836 & 42837 t113 264.151 (f) 620(10) X 

replace wording of 

letter from chief 

financial officer for 

liability coverage with 

that shown at 57 FR 

42837 & 42838 51,t113 264.151 (g) 620(10) X 

• CL113.14 - 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 FR 42838 & 

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 entities that 

may cancel 

endorsement; delete . 

"sixty" before "60" t51 264.151 (iH2)(d) 620(10) X 

after "insured" "add """ ./ 

other entities that 

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 

credit for liability 

coverage as shown at 

57 FR 42840 & 

42841 t51,113 264.151 (k) 620(10) X 

add new introductory 

subparagraph and 

wording for surety 

bond as shown at 53 

FR 33955 & 33956 t51 264.151 (I) 620(10) X 

o
 

CL113.14 - Revised: 2/10/93 Page 14 of 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 

agreement as shown 

at 53 FR 33956­

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 

acknowledgement to 

accompany, trust 

agreement, as shown 

at 57 FR 42843, first 

and second columns 113 264.151 (n)(2) 620(10) X 

PART 265 -INTERIM STATUS STANDARDS FOR OWNERS AND OPERATORS OF HAZARDOUS
 

WASTE TREATMENT, STORAGE, AND DISPOSAL FACILITIES
 

SUBPART H - FINANCIAL REQUIREMENTS
 

DEFINITIONS OF TERMS AS USED IN THIS SUBPART
 

t,16 add new paragraph 

defining n substantial 

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 IN SCOPE 

FINANCIAL ASSURANCE 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 letter from 

guarantor's chief 

financial officer and 

what the 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 
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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 ft A 

certified copy of" 

after" § . 

264.151 (h)."; change 

"The" to "theft; add 

text regarding letter 

from guarantor's 

chief financial officer 

and what the letter 

must describe t113 265.1 45(e)(1 1) 

.. 

" 

400(3)(a) X 

•
 

18 LIABILITY REQUIREMENTS
 

delete "By the 

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: 7118/98 
SPA 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 credit for 

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; 

liability coverage may 

be demonstrated by 

combination of 

mechanisms; amount 

of coverage must 

total at least the 

minimum amounts 

required by 265.147; 

specification of 

"primary" and 

n excess n 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 

STATE ANAlOG 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 

accidental occurrence 

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 

liability coveraqe tS1 26S.147(bH4) 400(3)(a) X 

() 

·ClI13.14 -Revised: 2/10/93 Page 20 of 30 Printed: 7/1 6/96 
•••• 

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 

trust fund 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 D primary" 

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 a third- 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 

LESS 

STRlNGENT 

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 ReRA CITATION CITATION AlENT GENT GENT IN SCOPE 

remove "corporate" 

before "guarantee" in 

.three places; insert . 

"direct or higher-tier" .. before "parent"; after 

"parent corporation 

of the 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 "of this 

chapter" after" § 

264.1 51 (h)(2)"; 

replace "The terms 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

• CL113.14 - Revised: .2/10/93

Page 23 of 30 . Printed: 7/16/96 
SPA 14 

, 

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

t 

t 

t 

t 

t 

t 

FEDERAL REQUIREMENTS 

RULE 

REFERENCE FEDERAL RCRA CITATION 

. requirements may be 

satisfied by. obtaining 

irrevocable standby 

letter of credit that 

conforms to 

265.147(h) 

requirements and 

submitting copy to . 

Regional 

:Administrator 51 265.147(h)(1 ) 

criteria for financial 

institution issuing 

letter of credit 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 

LESS 

STRlNGENT 

MORE 

STRINGENT BROADER 

IN SCOPE 

X 

X 

X 

X 

·X 

., 

X -

o
 

CL113.14 - Revised: 2110/93 Page 24 of 30 Printed: 7/16/96 

-0 
SPA 14
 

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

t 

t 

t ,21 

• t 

t 

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 copy to 

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 .of trust 

agreement to 

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

t 

Page 25 of 30 Printlld: 7/16196 
C 

SPA 14 

> 

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

t 

t 

STATE ANALOG IS: 

LESS MORE 

RULE ANAlOGOUS STATE EQUIV- STRlN- STRIN- BROADER 

FEDERAL REQUIREMENTS REFERENCE FEDERAL RCRA CITATION CITATION AlfNT GENT GENT IN SCOPE 

trust fund must be 

funded for full 

amount ofliability 

coverage it is to 

provide; requirements 

if fund is reduced 

below full 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 Note that there is an error in the Federal Register; "direct of higher tier" should be "direct or C\ 

higher tier. " 

2	 The September 1, 1988 (53 FR 33~38) rule added 264.147(a)(7) and (b)(7) to the code, and
 

the September 16, 1992 rule (57 FR 42832) revised them (including adding 264.147(a)(7)(iii)
 

and (b)(7)(iii». Note that the 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 required to adopt the amendments made by the September 16, 1992 rule, although 

EPA urges them to do so. States that did not adopt the September 1, 1988 requirements at 

264.147(a)(7) and (b)(7) should not do so but should adopt the clarified version promulgated 

by the September 16, 1992 rule., 

3	 Revision Checklist 45 added the reference to miscellaneous units to the first 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 it was prior to the
 

September 1, 1988 final rule.
 

()
 

CL113.14 - Revilled: 2110/93 Page 26 of 30 Printed: 7/16/96 
SPA 14
 

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

5 Note that there is an error in the Federal Register; "letter or credit" should be "letter of credit". 

6	 The changes addressed by Revision Checklist 113 at this citation are "conditionally optional" 

because they are linked to whether a State chooses to adopt the Revision Checklist 113 

optional changes at 264.143(f)(1 0), 264.143(f)(11), 265.143(e)(1 0) and 265.143(e)(11). If a 

State chooses to adopt the optional changes at 264~ 143(f)(1 0), 264.143(f)(11), 

265.143(e)(10) and 265.143(e)(11), it must also adopt the changes at this citation. If the 

State does not adopt those changes, it should not adopt the Revision Checklist 113 changes 

at 264.151(f). 

7	 The changes addressed by Revision Checklist 113 at 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(fH6) and 265~147(fH6). If a State chooses to adopt the optional 

changes at 264.147(f)(6) and 265.147(f)(6), it must also adopt the changes at this citation. 

If the State does not adopt those changes, it should not adopt the Revision Checklist 113 

changes at 264.151 (g). 

8	 Note that there 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 113 at 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 at this citation. If the State does not 

adopt those changes, it should not adopt the Revision Checklist 113 changes at 

264.151(hH1 ). 

e
 

Cll13.14 - Revi8ed: 2110/93 Page 27 of 30 Printed: 7/1 6/96 
SPA 14 

o 

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

10	 Note that there are several typographical errors in the Federal Register at 264.151 (h)(2) as 

indicated below: 

Federal citation 

Federal Register 

location ErrorICorrections 

264.151 (h)(21, Guarantee 

for Liability Coverage, line 

15 

57 FR 42839, 

column 3 

"or which guarantor 'is" should read 

"of which 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" 

11	 Note that there is a typographical error in the Federal Register; in line-three of the revised text 

of (j)(2)(d) shown at 53 FR 33955, "corportation" should be "corporation". 

12	 Note that there are severaltvpographicalerrors in the Federal Register at 264. "51 (k) as 

Indicated below: ·0 

Federal citation 

Federal Register 

location ErrorICorrections

'" _.-­ -

264.151 (k), Irrevocable -

Standby Letter of Credit, line 

26 

.. 

57 FA 42840, 

column 3 

- .' 

insert "]" after "trust fund:" 

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 that there are several errors in the September 1, 1988 Federal Register. Explanatory 

paragraph 10, as well.as the actual text of the revised code, should read "(I)" rather than "(1)" 

(letter rather than' number one). Also, the first sentence of the introductory text for the surety 

bond shoutd reference "§ 264.147(j) or § 265.147(i)" rather than "§ 264.147(h) or § 

265.147(h)". 

14	 Note that the 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 FR 33958, the 

paragraph numbered (2) and ending with "of this acknowledgement." is the introductory C) 

CL113.14· ReviBed: 2110/93 Page 28 of 30 Printed: 7116/96 
· - SPA 14 

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

paragraph and should have been printed in the larger type size used for such paragraphs. The 

example of the certification begins "State of". 

15 Note that there are several typographical errors. in the Federal Register at 264.151 (nH1) as 

indicated below: 

Federal citation 

Federal Register 

location ErrorICorrections

- 264.151 (n)(1) Standby 

Trust Agreement (e)(3) 

57 FR 42841, 

column 3 

insert "to" after "Property loaned" 

16 Note that the September 1, 1988 Federal Register incorrectly labels this paragraph "264.141" 

rather than "265.141 ", . 

17 Note that there is an error in the September 16,1992 Federal Register. In the preamble text 

at the-bottom of the second column at 57 FR 42834,-"265.143(eH1 1)" should be 

"265.143(eH1 0)". 

e 

18 Note that an error which appears in the July 1, 1989, 1990 and 1991 CFRs has only been 

partially corrected in the July 1, 1992 CFR. The July 1, 1989, 1990 and 1991 CFRs 

incorrectly omit 265.147(aH1 Hj)&(ii) and 265.147(b(1 Hi)&(ii). The September 23, 1991 

Federal Register (56 FR 47912) reinstated 265.147(a)(1 Hi)&(ii) but erroneously did not 

reinstate 265.147(bH1 HiH&(ii). Thus, the July 1, 1992 CFR omits 265.147(bH1 Hi)&(ii). A 

technical correction will be published in the near future to correct this 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 that the 

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 stringent than those introduced by the September 1, 1988 rule. Thus, 

those States that adopted the more stringent September 1, 1988 provisions are not required 

to adopt the amendments made by the september 16, 1992 rule, although EPA urges them to 

do so. States that did not adopt the September 1, 1988 requirements at 265.147(aH7) and 

(bH7) should not do so but should adopt the 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 FR 33959, 

erroneously indicates that 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 - Revised: 2110/93 Page 29 of 30_ Printed: 7/16/96 
SPA 14
 

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

21 Note that there is a typographical error in the Federal Register: "264. 151C1)" [number 1], 

should be "264.151 (I)" [letter I). 

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