40 CFR 263.31 Subpart A -- General
40 CFR 264.1 Purpose, scope and applicability.
(a) The purpose of this part is to establish minimum national
standards which define the acceptable management of hazardous waste.
(b) The standards in this part apply to owners and operators of all
facilities which treat, store, or dispose of hazardous waste, except as
specifically provided otherwise in this part or part 261 of this
chapter.
(c) The requirements of this part apply to a person disposing of
hazardous waste by means of ocean disposal subject to a permit issued
under the Marine Protection, Research, and Sanctuaries Act only to the
extent they are included in a RCRA permit by rule granted to such a
person under part 270 of this chapter.
(Comment: These part 264 regulations do apply to the treatment or
storage of hazardous waste before it is loaded onto an ocean vessel for
incineration or disposal at sea.)
(d) The requirements of this part apply to a person disposing of
hazardous waste by means of underground injection subject to a permit
issued under an Underground Injection Control (UIC) program approved or
promulgated under the Safe Drinking Water Act only to the extent they
are required by 144.14 of this chapter.
(Comment: These part 264 regulations do apply to the above-ground
treatment or storage of hazardous waste before it is injected
underground.)
(e) The requirements of this part apply to the owner or operator of a
POTW which treats, stores, or disposes of hazardous waste only to the
extent they are included in a RCRA permit by rule granted to such a
person under part 270 of this chapter.
(f) The requirements of this part do not apply to a person who
treats, stores, or disposes of hazardous waste in a State with a RCRA
hazardous waste program authorized under subpart A of part 271 of this
chapter, or in a State authorized under subpart B of part 271 of this
chapter for the component or components of Phase II interim
authorization which correspond to the person's treatment, storage or
disposal processes; except that this part will apply:
(1) As stated in paragraph (d) of this section, if the authorized
State RCRA program does not cover disposal of hazardous waste by means
of underground injection; and
(2) To a person who treats, stores or disposes of hazardous waste in
a State authorized under subpart A of part 271 of this chapter, at a
facility which was not covered by standards under this part when the
State obtained authorization, and for which EPA promulgates standards
under this part after the State is authorized. This paragraph will only
apply until the State is authorized to permit such facilities under
subpart A of part 271 of this chapter.
(3) To a person who treats, stores, or disposes of hazardous waste in
a State which is authorized under subpart A or B of part 271 of this
chapter if the State has not been authorized to carry out the
requirements and prohibitions applicable to the treatment, storage, or
disposal of hazardous waste at his facility which are imposed pursuant
to the Hazardous and Solid Waste Amendments of 1984. The requirements
and prohibitions that are applicable until a State receives
authorization to carry them out include all Federal program requirements
identified in 271.1(j).
(g) The requirements of this part do not apply to:
(1) The owner or operator of a facility permitted, licensed, or
registered by a State to manage municipal or industrial solid waste, if
the only hazardous waste the facility treats, stores, or disposes of is
excluded from regulation under this part by 261.5 of this chapter;
(2) The owner or operator of a facility managing recyclable materials
described in 261.6(a) (2) and (3) of this chapter (except to the extent
that requirements of this part are referred to in subparts C, D, F, or G
of part 266 of this chapter).
(3) A generator accumulating waste on-site in compliance with 262.34
of this chapter;
(4) A farmer disposing of waste pesticides from his own use in
compliance with 262.70 of this chapter; or
(5) The owner or operator of a totally enclosed treatment facility,
as defined in 260.10.
(6) The owner or operator of an elementary neutralization unit or a
wastewater treatment unit as defined in 260.10 of this chapter.
(7) (Reserved)
(8)(i) Except as provided in paragraph (g)(8)(ii) of this section, a
person engaged in treatment or containment activities during immediate
response to any of the following situations:
(A) A discharge of a hazardous waste;
(B) An imminent and substantial threat of a discharge of hazardous
waste;
(C) A discharge of a material which, when discharged, becomes a
hazardous waste.
(ii) An owner or operator of a facility otherwise regulated by this
part must comply with all applicable requirements of subparts C and D.
(iii) Any person who is covered by paragraph (g)(8)(i) of this
section and who continues or initiates hazardous waste treatment or
containment activities after the immediate response is over is subject
to all applicable requirements of this part and parts 122 through 124 of
this chapter for those activities.
(9) A transporter storing manifested shipments of hazardous waste in
containers meeting the requirements of 40 CFR 262.30 at a transfer
facility for a period of ten days or less.
(10) The addition of absorbent material to waste in a container (as
defined in 260.10 of this chapter) or the addition of waste to
absorbent material in a container, provided that these actions occur at
the time waste is first placed in the container; and 264.17(b),
264.171, and 264.172 are complied with.
(h) The requirements of this part apply to owners or operators of all
facilities which treat, store, or dispose of hazardous wastes referred
to in part 268.
(45 FR 33221, May 19, 1980, as amended at 45 FR 76075, Nov. 17, 1980;
45 FR 86968, Dec. 31, 1980; 46 FR 27480, May 20, 1981; 47 FR 8306,
Feb. 25, 1982; 47 FR 32384, July 26, 1982; 48 FR 2511, Jan. 19, 1983;
48 FR 14294, Apr. 1, 1983; 50 FR 665, Jan. 4, 1985; 50 FR 28746, July
15, 1985; 52 FR 21016, June 4, 1987; 53 FR 27165, July 19, 1988)
264.2 (Reserved)
40 CFR 264.3 Relationship to interim status standards.
A facility owner or operator who has fully complied with the
requirements for interim status -- as defined in section 3005(e) of RCRA
and regulations under 270.70 of this chapter -- must comply with the
regulations specified in part 265 of this chapter in lieu of the
regulations in this part, until final administrative disposition of his
permit application is made.
(Comment: As stated in section 3005(a) of RCRA, after the effective
date of regulations under that section, i.e., parts 270 and 124 of this
chapter, the treatment, storage, or disposal of hazardous waste is
prohibited except in accordance with a permit. Section 3005(e) of RCRA
provides for the continued operation of an existing facility which meets
certain conditions until final administrative disposition of the owner's
or operator's permit application is made.)
(45 FR 33221, May 19, 1980, as amended at 48 FR 14294, Apr. 1, 1983)
40 CFR 264.4 Imminent hazard action.
Notwithstanding any other provisions of these regulations,
enforcement actions may be brought purusant to section 7003 of RCRA.
40 CFR 264.4 Subpart B -- General Facility Standards
40 CFR 264.10 Applicability.
(a) The regulations in this subpart apply to owners and operators of
all hazardous waste facilities, except as provided in 264.1 and in
paragraph (b) of this section.
(b) Section 264.18(b) applies only to facilities subject to
regulation under subparts I through O and subpart X of this part.
(46 FR 2848, Jan. 12, 1981, as amended at 52 FR 46963, Dec. 10, 1987)
40 CFR 264.11 Identification number.
Every facility owner or operator must apply to EPA for an EPA
identification number in accordance with the EPA notification procedures
(45 FR 12746).
(Approved by the Office of Management and Budget under control number
2050-0028)
(45 FR 33221, May 19, 1980, as amended at 50 FR 4514, Jan. 31, 1985)
40 CFR 264.12 Required notices.
(a) The owner or operator of a facility that has arranged to receive
hazardous waste from a foreign source must notify the Regional
Administrator in writing at least four weeks in advance of the date the
waste is expected to arrive at the facility. Notice of subsequent
shipments of the same waste from the same foreign source is not
required.
(b) The owner or operator of a facility that receives hazardous waste
from an off-site source (except where the owner or operator is also the
generator) must inform the generator in writing that he has the
appropriate permit(s) for, and will accept, the waste the generator is
shipping. The owner or operator must keep a copy of this written notice
as part of the operating record.
(c) Before transferring ownership or operation of a facility during
its operating life, or of a disposal facility during the post-closure
care period, the owner or operator must notify the new owner or operator
in writing of the requirements of this part and part 270 of this
chapter.
(Comment: An owner's or operator's failure to notify the new owner
or operator of the requirements of this part in no way relieves the new
owner or operator of his obligation to comply with all applicable
requirements.)
(Approved by the Office of Management and Budget under control number
2050-0012)
(45 FR 33221, May 19, 1980, as amended at 48 FR 14294, Apr. 1, 1983;
50 FR 4514, Jan. 31, 1985)
40 CFR 264.13 General waste analysis.
(a)(1) Before an owner or operator treats, stores, or disposes of any
hazardous wastes, or nonhazardous wastes if applicable under
264.113(d), he must obtain a detailed chemical and physical analysis of
a representative sample of the wastes. At a minimum, the analysis must
contain all the information which must be known to treat, store, or
dispose of the waste in accordance with this part and part 268 of this
chapter.
(2) The analysis may include data developed under part 261 of this
chapter, and existing published or documented data on the hazardous
waste or on hazardous waste generated from similar processes.
(Comment: For example, the facility's records of analyses performed
on the waste before the effective date of these regulations, or studies
conducted on hazardous waste generated from processes similar to that
which generated the waste to be managed at the facility, may be included
in the data base required to comply with paragraph (a)(1) of this
section. The owner or operator of an off-site facility may arrange for
the generator of the hazardous waste to supply part of the information
required by paragraph (a)(1) of this section, except as othewise
specified in 40 CFR 268.7 (b) and (c). If the generator does not supply
the information, and the owner or operator chooses to accept a hazardous
waste, the owner or operator is responsible for obtaining the
information required to comply with this section.)
(3) The analysis must be repeated as necessary to ensure that it is
accurate and up to date. At a minimum, the analysis must be repeated:
(i) When the owner or operator is notified, or has reason to believe,
that the process or operation generating the hazardous wastes, or
non-hazardous wastes if applicable under 264.113(d), has changed; and
(ii) For off-site facilities, when the results of the inspection
required in paragraph (a)(4) of this section indicate that the hazardous
waste received at the facility does not match the waste designated on
the accompanying manifest or shipping paper.
(4) The owner or operator of an off-site facility must inspect and,
if necessary, analyze each hazardous waste movement received at the
facility to determine whether it matches the identity of the waste
specified on the accompanying manifest or shipping paper.
(b) The owner or operator must develop and follow a written waste
analysis plan which describes the procedures which he will carry out to
comply with paragraph (a) of this section. He must keep this plan at
the facility. At a minimum, the plan must specify:
(1) The parameters for which each hazardous waste, or non-hazardous
waste if applicable under 264.113(d), will be analyzed and the
rationale for the selection of these parameters (i.e., how analysis for
these parameters will provide sufficient information on the waste's
properties to comply with paragraph (a) of this section);
(2) The test methods which will be used to test for these parameters;
(3) The sampling method which will be used to obtain a representative
sample of the waste to be analyzed. A representative sample may be
obtained using either:
(i) One of the sampling methods described in appendix I of part 261
of this chapter; or
(ii) An equivalent sampling method.
(Comment: See 260.21 of this chapter for related discussion.)
(4) The 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; and
(5) For off-site facilities, the waste analyses that hazardous waste
generators have agreed to supply.
(6) Where applicable, the methods that will be used to meet the
additional waste analysis requirements for specific waste management
methods as specified in 264.17, 264.314, 264.341, 264.1034(d),
264.1063(d), and 268.7 of this chapter.
(7) For surface impoundments exempted from land disposal restrictions
under 268.4(a), the procedures and schedules for:
(i) The sampling of impoundment contents;
(ii) The analysis of test data; and,
(iii) The annual removal of residues which are not delisted under
260.22 of this chapter or which exhibit a characteristic of hazardous
waste and either:
(A) Do not meet applicable treatment standards of part 268, subpart
D; or
(B) Where no treatment standards have been established;
(1) Such residues are prohibited from land disposal under 268.32 or
RCRA section 3004(d); or
(2) Such residues are prohibited from land disposal under 268.33(f).
(c) For off-site facilities, the waste analysis plan required in
paragraph (b) of this section must also specify the procedures which
will be used to in-spect and, if necessary, analyze each movement of
hazardous waste received at the facility to ensure that it matches the
identity of the waste designated on the accompanying manifest or
shipping paper. At a minimum, the plan must describe:
(1) The procedures which will be used to determine the identity of
each movement of waste managed at the facility; and
(2) The sampling method which will be used to obtain a representative
sample of the waste to be identified, if the identification method
includes sampling.
(Comment: Part 270 of this chapter requires that the waste analysis
plan be submitted with part B of the permit application.)
(Approved by the Office of Management and Budget under control number
2050-0012)
(45 FR 33221, May 19, 1980, as amended at 46 FR 2848, Jan. 12, 1981;
50 FR 4514, Jan. 31, 1985; 51 FR 40637, Nov. 7, 1986; 53 FR 31211,
Aug. 17, 1988; 54 FR 33394, Aug. 14, 1989; 55 FR 22685, June 1, 1990;
55 FR 25494, June 21, 1990; 57 FR 8088, Mar. 6, 1992)
40 CFR 264.14 Security.
(a) The owner or operator must prevent the unknowing entry, and
minimize the possibility for the unauthorized entry, of persons or
livestock onto the active portion of his facility, unless he can
demonstrate to the Regional Administrator that:
(1) Physical contact with the waste, structures, or equipment within
the active portion of the facility will not injure unknowing or
unauthorized persons or livestock which may enter the active portion of
a facility; and
(2) Disturbance of the waste or equipment, by the unknowing or
unauthorized entry of persons or livestock onto the active portion of a
facility, will not cause a violation of the requirements of this part.
(Comment: Part 270 of this chapter requires that an owner or
operator who wishes to make the demonstration referred to above must do
so with part B of the permit application.)
(b) Unless the owner or operator has made a successful demonstration
under paragraphs (a)(1) and (2) of this section, a facility must have:
(1) A 24-hour surveillance system (e.g., television monitoring or
surveillance by guards or facility personnel) which continuously
monitors and controls entry onto the active portion of the facility; or
(2)(i) An artificial or natural barrier (e.g., a fence in good repair
or a fence combined with a cliff), which completely surrounds the active
portion of the facility; and
(ii) A means to control entry, at all times, through the gates or
other entrances to the active portion of the facility (e.g., an
attendant, television monitors, locked entrance, or controlled roadway
access to the facility).
(Comment: The requirements of paragraph (b) of this section are
satisfied if the facility or plant within which the active portion is
located itself has a surveillance system, or a barrier and a means to
control entry, which complies with the requirements of paragraph (b)(1)
or (2) of this section.)
(c) Unless the owner or operator has made a successful demonstration
under paragraphs (a)(1) and (2) of this section, a sign with the legend,
''Danger -- Unauthorized Personnel Keep Out'', must be posted at each
entrance to the active portion of a facility, and at other locations, in
sufficient numbers to be seen from any approach to this active portion.
The legend must be written in English and in any other language
predominant in the area surrounding the facility (e.g., facilities in
counties bordering the Canadian province of Quebec must post signs in
French; facilities in counties bordering Mexico must post signs in
Spanish), and must be legible from a distance of at least 25 feet.
Existing signs with a legend other than ''Danger -- Unauthorized
Personnel Keep Out'' may be used if the legend on the sign indicates
that only authorized personnel are allowed to enter the active portion,
and that entry onto the active portion can be dangerous.
(Comment: See 264.117(b) for discussion of security requirements at
disposal facilities during the post-closure care period.)
(Approved by the Office of Management and Budget under control number
2050-0012)
(45 FR 33221, May 19, 1980, as amended at 46 FR 2848, Jan. 12, 1981;
48 FR 14294, Apr. 1, 1983; 50 FR 4514, Jan. 31, 1985)
40 CFR 264.15 General inspection requirements.
(a) The owner or operator must inspect his facility for malfunctions
and deterioration, operator errors, and discharges which may be causing
-- or may lead to -- (1) release of hazardous waste constituents to the
environment or (2) a threat to human health. The owner or operator must
conduct these inspections often enough to identify problems in time to
correct them before they harm human health or the environment.
(b)(1) The owner or operator must develop and follow a written
schedule for inspecting monitoring equipment, safety and emergency
equipment, security devices, and operating and structural equipment
(such as dikes and sump pumps) that are important to preventing,
detecting, or responding to environmental or human health hazards.
(2) He must keep this schedule at the facility.
(3) The schedule must identify the types of problems (e.g.,
malfunctions or deterioration) which are to be looked for during the
inspection (e.g., inoperative sump pump, leaking fitting, eroding dike,
etc.).
(4) The frequency of inspection may vary for the items on the
schedule. However, it should be based on the rate of deterioration of
the equipment and the probability of an environmental or human health
incident if the deterioration, malfunction, or any operator error goes
undetected between inspections. Areas subject to spills, such as
loading and unloading areas, must be inspected daily when in use. At a
minimum, the inspection schedule must include the items and frequencies
called for in 264.174, 264.193, 264.195, 264.226, 264.254, 264.278,
264.303, 264.347, 264.602, 264.1033, 264.1052, 264.1053, and 264.1058,
where applicable.
(Comment: Part 270 of this chapter requires the inspection schedule
to be submitted with part B of the permit application. EPA will evaluate
the schedule along with the rest of the application to ensure that it
adequately protects human health and the environment. As part of this
review, EPA may modify or amend the schedule as may be necessary.)
(c) The owner or operator must remedy any deterioration or
malfunction of equipment or structures which the inspection reveals on a
schedule which ensures that the problem does not lead to an
environmental or human health hazard. Where a hazard is imminent or has
already occurred, remedial action must be taken immediately.
(d) The owner or operator must record inspections in an inspection
log or summary. He must keep these records for at least three years
from the date of inspection. At a minimum, these records must include
the date and time of the inspection, the name of the inspector, a
notation of the observations made, and the date and nature of any
repairs or other remedial actions.
(Approved by the Office of Management and Budget under control number
2050-0012)
(45 FR 33221, May 19, 1980, as amended at 48 FR 14294, Apr. 1, 1983;
50 FR 4514, Jan. 31, 1985; 57 FR 3486, Jan. 29, 1992)
Effectice Date Note: At 57 FR 3486, Jan. 29, 1992, 264.15 was
amended by revising paragraph (b)(4), effective July 29, 1992. For the
convenience of the reader, the superseded text is set forth below:
264.15 General inspection requirements.
(b) * * *
(4) The frequency of inspection may vary for the items on the
schedule. However, it should be based on the rate of possible
deterioration of the equipment and the probability of an environmental
or human health incident if the deterioration or malfunction of any
operator error goes undetected between inspections. Areas subject to
spills, such as loading and unloading areas, must be inspected daily
when in use. At a minimum, the inspection schedule must include the
terms and frequencies called for in 264.174, 264.194, 264.226,
264.253, 264.254, 264.303, 264.347, 264.602, 264.1033, 264.1052,
264.1053, and 264.1058, where applicable.
40 CFR 264.16 Personnel training.
(a)(1) Facility personnel must successfully complete a program of
classroom instruction or on-the-job training that teaches them to
perform their duties in a way that ensures the facility's compliance
with the requirements of this part. The owner or operator must ensure
that this program includes all the elements described in the document
required under paragraph (d)(3) of this section.
(Comment: Part 270 of this chapter requires that owners and
operators submit with part B of the RCRA permit application, an outline
of the training program used (or to be used) at the facility and a brief
description of how the training program is designed to meet actual job
tasks.)
(2) This program must be directed by a person trained in hazardous
waste management procedures, and must include instruction which teaches
facility personnel hazardous waste management procedures (including
contingency plan implementation) relevant to the positions in which they
are employed.
(3) At a minimum, the training program must be designed to ensure
that facility personnel are able to respond effectively to emergencies
by familiarizing them with emergency procedures, emergency equipment,
and emergency systems, including, where applicable:
(i) Procedures for using, inspecting, repairing, and replacing
facility emergency and monitoring equipment;
(ii) Key parameters for automatic waste feed cut-off systems;
(iii) Communications or alarm systems;
(iv) Response to fires or explosions;
(v) Response to ground-water contamination incidents; and
(vi) Shutdown of operations.
(b) Facility personnel must successfully complete the program
required in paragraph (a) of this section within six months after the
effective date of these regulations or six months after the date of
their employment or assignment to a facility, or to a new position at a
facility, whichever is later. Employees hired after the effective date
of these regulations must not work in unsupervised positions until they
have completed the training requirements of paragraph (a) of this
section.
(c) Facility personnel must take part in an annual review of the
initial training required in paragraph (a) of this section.
(d) The owner or operator must maintain the following documents and
records at the facility:
(1) The job title for each position at the facility related to
hazardous waste management, and the name of the employee filling each
job;
(2) A written job description for each position listed under
paragraph (d)(1) of this section. This description may be consistent in
its degree of specificity with descriptions for other similar positions
in the same company location or bargaining unit, but must include the
requisite skill, education, or other qualifications, and duties of
employees assigned to each position;
(3) A written description of the type and amount of both introductory
and continuing training that will be given to each person filling a
position listed under paragraph (d)(1) of this section;
(4) Records that document that the training or job experience
required under paragraphs (a), (b), and (c) of this section has been
given to, and completed by, facility personnel.
(e) Training records on current personnel must be kept until closure
of the facility; training records on former employees must be kept for
at least three years from the date the employee last worked at the
facility. Personnel training records may accompany personnel
transferred within the same company.
(Approved by the Office of Management and Budget under control number
2050-0012)
(45 FR 33221, May 19, 1980, as amended at 46 FR 2848, Jan. 12, 1981;
48 FR 14294, Apr. 1, 1983; 50 FR 4514, Jan. 31, 1985)
40 CFR 264.17 General requirements for ignitable, reactive, or
incompatible wastes.
(a) The owner or operator must take precautions to prevent accidental
ignition or reaction of ignitable or reactive waste. This waste must be
separated and protected from sources of ignition or reaction including
but not limited to: open flames, smoking, cutting and welding, hot
surfaces, frictional heat, sparks (static, electrical, or mechanical),
spontaneous ignition (e.g., from heat-producing chemical reactions), and
radiant heat. While ignitable or reactive waste is being handled, the
owner or operator must confine smoking and open flame to specially
designated locations. ''No Smoking'' signs must be conspicuously placed
wherever there is a hazard from ignitable or reactive waste.
(b) Where specifically required by other sections of this part, the
owner or operator of a facility that treats, stores or disposes
ignitable or reactive waste, or mixes incompatible waste or incompatible
wastes and other materials, must take precautions to prevent reactons
which:
(1) Generate extreme heat or pressure, fire or explosions, or violent
reactions;
(2) Produce uncontrolled toxic mists, fumes, dusts, or gases in
sufficient quantities to threaten human health or the environment;
(3) Produce uncontrolled flammable fumes or gases in sufficient
quantities to pose a risk of fire or explosions;
(4) Damage the structural integrity of the device or facility;
(5) Through other like means threaten human health or the
environment.
(c) When required to comply with paragraph (a) or (b) of this
section, the owner or operator must document that compliance. This
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.
(Approved by the Office of Management and Budget under control number
2050-0012)
(46 FR 2848, Jan. 12, 1981, as amended at 50 FR 4514, Jan. 31, 1985)
40 CFR 264.18 Location standards.
(a) Seismic considerations. (1) Portions of new facilities where
treatment, storage, or disposal of hazardous waste will be conducted
must not be located within 61 meters (200 feet) of a fault which has had
displacement in Holocene time.
(2) As used in paragraph (a)(1) of this section:
(i) ''Fault'' means a fracture along which rocks on one side have
been displaced with respect to those on the other side.
(ii) ''Displacement'' means the relative movement of any two sides of
a fault measured in any direction.
(iii) ''Holocene'' means the most recent epoch of the Quarternary
period, extending from the end of the Pleistocene to the present.
(Comment: Procedures for demonstrating compliance with this standard
in part B of the permit application are specified in 270.14(b)(11).
Facilities which are located in political jurisdictions other than those
listed in appendix VI of this part, are assumed to be in compliance with
this requirement.)
(b) Floodplains. (1) A facility located in a 100-year floodplain
must be designed, constructed, operated, and maintained to prevent
washout or any hazardous waste by a 100-year flood, unless the owner or
operator can demonstrate to the Regional Administrator's satisfaction
that:
(i) Procedures are in effect which will cause the waste to be removed
safely, before flood waters can reach the facility, to a location where
the wastes will not be vulnerable to flood waters; or
(ii) For existing surface impoundments, waste piles, land treatment
units, landfills, and miscellaneous units, no adverse effects on human
health or the environment will result if washout occurs, considering:
(A) The volume and physical and chemical characteristics of the waste
in the facility;
(B) The concentration of hazardous constituents that would
potentially affect surface waters as a result of washout;
(C) The impact of such concentrations on the current or potential
uses of and water quality standards established for the affected surface
waters; and
(D) The impact of hazardous constituents on the sediments of affected
surface waters or the soils of the 100-year floodplain that could result
from washout.
(Comment: The location where wastes are moved must be a facility
which is either permitted by EPA under part 270 of this chapter,
authorized to manage hazardous waste by a State with a hazardous waste
management program authorized under part 271 of this chapter, or in
interim status under parts 270 and 265 of this chapter.)
(2) As used in paragraph (b)(1) of this section:
(i) ''100-year floodplain'' means any land area which is subject to a
one percent or greater chance of flooding in any given year from any
source.
(ii) ''Washout'' means the movement of hazardous waste from the
active portion of the facility as a result of flooding.
(iii) ''100-year flood'' means a flood that has a one percent chance
of being equalled or exeeded in any given year.
(Comment: (1) Requirements pertaining to other Federal laws which
affect the location and permitting of facilities are found in 270.3 of
this chapter. For details relative to these laws, see EPA's manual for
SEA (special environmental area) requirements for hazardous waste
facility permits. Through EPA is responsible for complying with these
requirements, applicants are advised to consider them in planning the
location of a facility to help prevent subsequent project delays.)
(c) Salt dome formations, salt bed formations, underground mines and
caves. The placement of any noncontainerized or bulk liquid hazardous
waste in any salt dome formation, salt bed formation, underground mine
or cave is prohibited, except for the Department of Energy Waste
Isolation Pilot Project in New Mexico.
(Approved by the Office of Management and Budget under control
numbers 2050-0010 and 2050-0012)
(46 FR 2848, Jan. 12, 1981, as amended at 47 FR 32350, July 26, 1982;
48 FR 14294, Apr. 1, 1983; 48 FR 30115, June 30, 1983; 50 FR 4514,
Jan. 31, 1985; 50 FR 28746, July 15, 1985; 52 FR 46963, Dec. 10,
1987)
40 CFR 264.19 Construction quality assurance program.
(a) CQA program. (1) A construction quality assurance (CQA) program
is required for all surface impoundment, waste pile, and landfill units
that are required to comply with 264.221 (c) and (d), 264.251 (c) and
(d), and 264.301 (c) and (d). The program must ensure that the
constructed unit meets or exceeds all design criteria and specifications
in the permit. The program must be developed and implemented under the
direction of a CQA officer who is a registered professional engineer.
(2) The CQA program must address the following physical components,
where applicable:
(i) Foundations;
(ii) Dikes;
(iii) Low-permeability soil liners;
(iv) Geomembranes (flexible membrane liners);
(v) Leachate collection and removal systems and leak detection
systems; and
(vi) Final cover systems.
(b) Written CQA plan. The owner or operator of units subject to the
CQA program under paragraph (a) of this section must develop and
implement a written CQA plan. The plan must identify steps that will be
used to monitor and document the quality of materials and the condition
and manner of their installation. The CQA plan must include:
(1) Identification of applicable units, and a description of how they
will be constructed.
(2) Identification of key personnel in the development and
implementation of the CQA plan, and CQA officer qualifications.
(3) A description of inspection and sampling activities for all unit
components identified in paragraph (a)(2) of this section, 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 the design specifications. The 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 264.73.
(c) Contents of program. (1) The CQA program must include
observations, inspections, tests, and measurements sufficient to ensure:
(i) Structural stability and integrity of all components of the unit
identified in paragraph (a)(2) of this section;
(ii) Proper construction of all components of the liners, leachate
collection and removal system, leak detection system, and final cover
system, according to permit specifications and good engineering
practices, and proper installation of all components (e.g., pipes)
according to design specifications;
(iii) Conformity of all materials used with design and other material
specifications under 264.221, 264.251, and 264.301.
(2) The CQA program shall include test fills for compacted soil
liners, using the same compaction methods as in the full scale unit, to
ensure that the liners are constructed to meet the hydraulic
conductivity requirements of 264.221(c)(1)(i)(B), 264.251(c)(1)(i)(B),
and 264.301(c)(1)(i)(B) in the field. Compliance with the hydraulic
conductivity requirements must be verified by using in-situ testing on
the constructed test fill. The Regional Administrator may accept an
alternative demonstration, in lieu of a test fill, where data are
sufficient to show that a constructed soil liner will meet the hydraulic
conductivity requirements of 264.221(c)(1)(i)(B), 264.251(c)(1)(i)(B),
and 264.301(c)(1)(i)(B) in the field.
(d) Certification. Waste shall not be received in a unit subject to
264.19 until the owner or operator has submitted to the Regional
Administrator by certified mail or hand delivery a certification signed
by the CQA officer that the approved CQA plan has been successfully
carried out and that the unit meets the requirements of 264.221 (c) or
(d), 264.251 (c) or (d), or 264.301 (c) or (d); and the procedure in
270.30(l)(2)(ii) of this chapter has been completed. Documentation
supporting the CQA officer's certification must be furnished to the
Regional Administrator upon request.
(57 FR 3486, Jan. 29, 1992)
Effective Date Note: At 57 FR 3486, Jan. 29, 1992, 264.19 was
added, effective July 29, 1992.
40 CFR 264.19 Subpart C -- Preparedness and Prevention
40 CFR 264.30 Applicability.
The regulations in this subpart apply to owners and operators of all
hazardous waste facilities, except as 264.1 provides otherwise.
40 CFR 264.31 Design and operation of facility.
Facilities must be designed, constructed, maintained, and operated to
minimize the possibility of a fire, explosion, or any unplanned sudden
or non-sudden release of hazardous waste or hazardous waste constituents
to air, soil, or surface water which could threaten human health or the
environment.
40 CFR 264.32 Required equipment.
All facilities must be equipped with the following, unless it can be
demonstrated to the Regional Administrator that none of the hazards
posed by waste handled at the facility could require a particular kind
of equipment specified below:
(a) An internal communications or alarm system capable of providing
immediate emergency instruction (voice or signal) to facility personnel;
(b) A device, such as a telephone (immediately available at the scene
of operations) or a hand-held two-way radio, capable of summoning
emergency assistance from local police departments, fire departments, or
State or local emergency response teams;
(c) Portable fire extinguishers, fire control equipment (including
special extinguishing equipment, such as that using foam, inert gas, or
dry chemicals), spill control equipment, and decontamination equipment;
and
(d) Water at adequate volume and pressure to supply water hose
streams, or foam producing equipment, or automatic sprinklers, or water
spray systems.
(Comment: Part 270 of this chapter requires that an owner or
operator who wishes to make the demonstration referred to above must do
so with part B of the permit application.)
(45 FR 33221, May 19, 1980, as amended at 48 FR 14294, Apr. 1, 1983)
40 CFR 264.33 Testing and maintenance of equipment.
All facility communications or alarm systems, fire protection
equipment, spill control equipment, and decontamination equipment, where
required, must be tested and maintained as necessary to assure its
proper operation in time of emergency.
40 CFR 264.34 Access to communications or alarm system.
(a) Whenever hazardous waste is being poured, mixed, spread, or
otherwise handled, all personnel involved in the operation must have
immediate access to an internal alarm or emergency communication device,
either directly or through visual or voice contact with another
employee, unless the Regional Administrator has ruled that such a device
is not required under 264.32.
(b) If there is ever just one employee on the premises while the
facility is operating, he must have immediate access to a device, such
as a telephone (immediately available at the scene of operation) or a
hand-held two-way radio, capable of summoning external emergency
assistance, unless the Regional Administrator has ruled that such a
device is not required under 264.32.
40 CFR 264.35 Required aisle space.
The owner or operator must maintain aisle space to allow the
unobstructed movement of personnel, fire protection equipment, spill
control equipment, and decontamination equipment to any area of facility
operation in an emergency, unless it can be demonstrated to the Regional
Administrator that aisle space is not needed for any of these purposes.
(Comment: Part 270 of this chapter requires that an owner or
operator who wishes to make the demonstration referred to above must do
so with part B of the permit application.)
(45 FR 33221, May 19, 1980, as amended at 48 FR 14294, Apr. 1, 1983)
264.36 (Reserved)
40 CFR 264.37 Arrangements with local authorities.
(a) The owner or operator must attempt to make the following
arrangements, as appropriate for the type of waste handled at his
facility and the potential need for the services of these organizations:
(1) Arrangements to familiarize police, fire departments, and
emergency response teams with the layout of the facility, properties of
hazardous waste handled at the facility and associated hazards, places
where facility personnel would normally be working, entrances to and
roads inside the facility, and possible evacuation routes;
(2) Where more than one police and fire department might respond to
an emergency, agreements designating primary emergency authority to a
specific police and a specific fire department, and agreements with any
others to provide support to the primary emergency authority;
(3) Agreements with State emergency response teams, emergency
response contractors, and equipment suppliers; and
(4) Arrangements to familiarize local hospitals with the properties
of hazardous waste handled at the facility and the types of injuries or
illnesses which could result from fires, explosions, or releases at the
facility.
(b) Where State or local authorities decline to enter into such
arrangements, the owner or operator must document the refusal in the
operating record.
40 CFR 264.37 Subpart D -- Contingency Plan and Emergency Procedures
40 CFR 264.50 Applicability.
The regulations in this subpart apply to owners and operators of all
hazardous waste facilities, except as 264.1 provides otherwise.
40 CFR 264.51 Purpose and implementation of contingency plan.
(a) Each owner or operator must have a contingency plan for his
facility. The contingency plan must be designed to minimize hazards to
human health or the environment from fires, explosions, or any unplanned
sudden or non-sudden release of hazardous waste or hazardous waste
constituents to air, soil, or surface water.
(b) The provisions of the plan must be carried out immediately
whenever there is a fire, explosion, or release of hazardous waste or
hazardous waste constituents which could threaten human health or the
environment.
(Approved by the Office of Management and Budget under control number
2050-0011)
(45 FR 33221, May 19, 1980, as amended at 50 FR 4514, Jan. 31, 1985)
40 CFR 264.52 Content of contingency plan.
(a) The contingency plan must describe the actions facility personnel
must take to comply with 264.51 and 264.56 in response to fires,
explosions, or any unplanned sudden or non-sudden release of hazardous
waste or hazardous waste constituents to air, soil, or surface water at
the facility.
(b) If the owner or operator has already prepared a Spill Prevention,
Control, and Countermeasures (SPCC) Plan in accordance with part 112 of
this chapter, or part 1510 of chapter V, or some other emergency or
contingency plan, he need only amend that plan to incorporate hazardous
waste management provisions that are sufficient to comply with the
requirements of this part.
(c) The plan must describe arrangements agreed to by local police
departments, fire departments, hospitals, contractors, and State and
local emergency response teams to coordinate emergency services,
pursuant to 264.37.
(d) The plan must list names, addresses, and phone numbers (office
and home) of all persons qualified to act as emergency coordinator (see
264.55), and this list must be kept up to date. Where more than one
person is listed, one must be named as primary emergency coordinator and
others must be listed in the order in which they will assume
responsibility as alternates. For new facilities, this information must
be supplied to the Regional Administrator at the time of certification,
rather than at the time of permit application.
(e) The plan must include a list of all emergency equipment at the
facility (such as fire extinguishing systems, spill control equipment,
communications and alarm systems (internal and external), and
decontamination equipment), where this equipment is required. This list
must be kept up to date. In addition, the plan must include the
location and a physical description of each item on the list, and a
brief outline of its capabilities.
(f) The plan must include an evacuation plan for facility personnel
where there is a possibility that evacuation could be necessary. This
plan must describe signal(s) to be used to begin evacuation, evacuation
routes, and alternate evacuation routes (in cases where the primary
routes could be blocked by releases of hazardous waste or fires).
(Approved by the Office of Management and Budget under control number
2050-0011)
(45 FR 33221, May 19, 1980, as amended at 46 FR 27480, May 20, 1981;
50 FR 4514, Jan. 31, 1985)
40 CFR 264.53 Copies of contingency plan.
A copy of the contingency plan and all revisions to the plan must be:
(a) Maintained at the facility; and
(b) Submitted to all local police departments, fire departments,
hospitals, and State and local emergency response teams that may be
called upon to provide emergency services.
(Comment: The contingency plan must be submitted to the Regional
Administrator with Part B of the permit application under part 270, of
this chapter and, after modification or approval, will become a
condition of any permit issued.)
(Approved by the Office of Management and Budget under control number
2050-0011)
(45 FR 33221, May 19, 1980, as amended at 48 FR 30115, June 30, 1983;
50 FR 4514, Jan. 31, 1985)
40 CFR 264.54 Amendment of contingency plan.
The contingency plan must be reviewed, and immediately amended, if
necessary, whenever:
(a) The facility permit is revised;
(b) The plan fails in an emergency;
(c) The facility changes -- in its design, construction, operation,
maintenance, or other circumstances -- in a way that materially
increases the potential for fires, explosions, or releases of hazardous
waste or hazardous waste constituents, or changes the response necessary
in an emergency;
(d) The list of emergency coordinators changes; or
(e) The list of emergency equipment changes.
(Approved by the Office of Management and Budget under control number
2050-0011)
(45 FR 33221, May 19, 1980, as amended at 50 FR 4514, Jan. 31, 1985;
53 FR 37935, Sept. 28, 1988)
40 CFR 264.55 Emergency coordinator.
At all times, there must be at least one employee either on the
facility premises or on call (i.e., available to respond to an emergency
by reaching the facility within a short period of time) with the
responsibility for coordinating all emergency response measures. This
emergency coordinator must be thoroughly familiar with all aspects of
the facility's contingency plan, all operations and activities at the
facility, the location and characteristics of waste handled, the
location of all records within the facility, and the facility layout.
In addition, this person must have the authority to commit the resources
needed to carry out the contingency plan.
(Comment: The emergency coordinator's responsibilities are more
fully spelled out in 264.56. Applicable responsibilities for the
emergency coordinator vary, depending on factors such as type and
variety of waste(s) handled by the facility, and type and complexity of
the facility.)
40 CFR 264.56 Emergency procedures.
(a) Whenever there is an imminent or actual emergency situation, the
emergency coordinator (or his designee when the emergency coordinator is
on call) must immediately:
(1) Activate internal facility alarms or communication systems, where
applicable, to notify all facility personnel; and
(2) Notify appropriate State or local agencies with designated
response roles if their help is needed.
(b) Whenever there is a release, fire, or explosion, the emergency
coordinator must immediately identify the character, exact source,
amount, and areal extent of any released materials. He may do this by
observation or review of facility records or manifests, and, if
necessary, by chemical analysis.
(c) Concurrently, the emergency coordinator must assess possible
hazards to human health or the environment that may result from the
release, fire, or explosion. This assessment must consider both direct
and indirect effects of the release, fire, or explosion (e.g., the
effects of any toxic, irritating, or asphyxiating gases that are
generated, or the effects of any hazardous surface water run-off from
water or chemical agents used to control fire and heat-induced
explosions).
(d) If the emergency coordinator determines that the facility has had
a release, fire, or explosion which could threaten human health, or the
environment, outside the facility, he must report his findings as
follows:
(1) If his assessment indicates that evacuation of local areas may be
advisable, he must immediately notify appropriate local authorities. He
must be available to help appropriate officials decide whether local
areas should be evacuated; and
(2) He must immediately notify either the government official
designated as the on-scene coordinator for that geographical area, (in
the applicable regional contingency plan under part 1510 of this title)
or the National Response Center (using their 24-hour toll free number
800/424-8802). The report must include:
(i) Name and telephone number of reporter;
(ii) Name and address of facility;
(iii) Time and type of incident (e.g., release, fire);
(iv) Name and quantity of material(s) involved, to the extent known;
(v) The extent of injuries, if any; and
(vi) The possible hazards to human health, or the environment,
outside the facility.
(e) During an emergency, the emergency coordinator must take all
reasonable measures necessary to ensure that fires, explosions, and
releases do not occur, recur, or spread to other hazardous waste at the
facility. These measures must include, where applicable, stopping
processes and operations, collecting and containing release waste, and
removing or isolating containers.
(f) If the facility stops operations in response to a fire,
explosion, or release, the emergency coordinator must monitor for leaks,
pressure buildup, gas generation, or ruptures in valves, pipes, or other
equipment, wherever this is appropriate.
(g) Immediately after an emergency, the emergency coordinator must
provide for treating, storing, or disposing of recovered waste,
contaminated soil or surface water, or any other material that results
from a release, fire, or explosion at the facility.
(Comment: Unless the owner or operator can demonstrate, in
accordance with 261.3(c) or (d) of this chapter, that the recovered
material is not a hazardous waste, the owner or operator becomes a
generator of hazardous waste and must manage it in accordance with all
applicable requirements of parts 262, 263, and 264 of this chapter.)
(h) The emergency coordinator must ensure that, in the affected
area(s) of the facility:
(1) No waste that may be incompatible with the released material is
treated, stored, or disposed of until cleanup procedures are completed;
and
(2) All emergency equipment listed in the contingency plan is cleaned
and fit for its intended use before operations are resumed.
(i) The owner or operator must notify the Regional Administrator, and
appropriate State and local authorities, that the facility is in
compliance with paragraph (h) of this section before operations are
resumed in the affected area(s) of the facility.
(j) The owner or operator must note in the operating record the time,
date, and details of any incident that requires implementing the
contingency plan. Within 15 days after the incident, he must submit a
written report on the incident to the Regional Administrator. The
report must include:
(1) Name, address, and telephone number of the owner or operator;
(2) Name, address, and telephone number of the facility;
(3) Date, time, and type of incident (e.g., fire, explosion);
(4) Name and quantity of material(s) involved;
(5) The extent of injuries, if any;
(6) An assessment of actual or potential hazards to human health or
the environment, where this is applicable; and
(7) Estimated quantity and disposition of recovered material that
resulted from the incident.
(Approved by the Office of Management and Budget under control number
2050-0012)
(45 FR 33221, May 19, 1980, as amended at 50 FR 4514, Jan. 31, 1985)
40 CFR 264.56 Subpart E -- Manifest System, Recordkeeping, and Reporting
40 CFR 264.70 Applicability.
The regulations in this subpart apply to owners and operators of both
on-site and off-site facilities, except as 264.1 provides otherwise.
Sections 264.71, 264.72, and 264.76 do not apply to owners and operators
of on-site facilities that do not receive any hazardous waste from
off-site sources. Section 264.73(b) only applies to permittees who
treat, store, or dispose of hazardous wastes on-site where such wastes
were generated.
(50 FR 28746, July 15, 1985)
40 CFR 264.71 Use of manifest system.
(a) If a facility receives hazardous waste accompanied by a manifest,
the owner or operator, or his agent, must:
(1) Sign and date each copy of the manifest to certify that the
hazardous waste covered by the manifest was received;
(2) Note any significant discrepancies in the manifest (as defined in
264.72(a)) on each copy of the manifest;
(Comment: The Agency does not intend that the owner or operator of a
facility whose procedures under 264.13(c) include waste analysis must
perform that analysis before signing the manifest and giving it to the
transporter. Section 264.72(b), however, requires reporting an
unreconciled discrepancy discovered during later analysis.)
(3) Immediately give the transporter at least one copy of the signed
manifest;
(4) Within 30 days after the delivery, send a copy of the manifest to
the generator; and
(5) Retain at the facility a copy of each manifest for at least three
years from the date of delivery.
(b) If a facility receives, from a rail or water (bulk shipment)
transporter, hazardous waste which is accompanied by a shipping paper
containing all the information required on the manifest (excluding the
EPA identification numbers, generator's certification, and signatures),
the owner or operator, or his agent, must:
(1) Sign and date each copy of the manifest or shipping paper (if the
manifest has not been received) to certify that the hazardous waste
covered by the manifest or shipping paper was received;
(2) Note any significant discrepancies (as defined in 264.72(a)) in
the manifest or shipping paper (if the manifest has not been received)
on each copy of the manifest or shipping paper.
(Comment: The Agency does not intend that the owner or operator of a
facility whose procedures under 264.13(c) include waste analysis must
perform that analysis before signing the shipping paper and giving it to
the transporter. Section 264.72(b), however, requires reporting an
unreconciled discrepancy discovered during later analysis.)
(3) Immediately give the rail or water (bulk shipment) transporter at
least one copy of the manifest or shipping paper (if the manifest has
not been received);
(4) Within 30 days after the delivery, send a copy of the signed and
dated manifest to the generator; however, if the manifest has not been
received within 30 days after delivery, the owner or operator, or his
agent, must send a copy of the shipping paper signed and dated to the
generator; and
(Comment: Section 262.23(c) of this chapter requires the generator
to send three copies of the manifest to the facility when hazardous
waste is sent by rail or water (bulk shipment).)
(5) Retain at the facility a copy of the manifest and shipping paper
(if signed in lieu of the manifest at the time of delivery) for at least
three years from the date of delivery.
(c) Whenever a shipment of hazardous waste is initiated from a
facility, the owner or operator of that facility must comply with the
requirements of part 262 of this chapter.
(Comment: The provisions of 262.34 are applicable to the on-site
accumulation of hazardous wastes by generators. Therefore, the
provisions of 262.34 only apply to owners or operators who are shipping
hazardous waste which they generated at that facility.)
(45 FR 33221, May 19, 1980, as amended at 45 FR 86970, 86974, Dec.
31, 1980)
40 CFR 264.72 Manifest discrepancies.
(a) Manifest discrepancies are differences between the quantity or
type of hazardous waste designated on the manifest or shipping paper,
and the quantity or type of hazardous waste a facility actually
receives. Significant discrepancies in quantity are:
(1) For bulk waste, variations greater than 10 percent in weight, and
(2) for batch waste, any variation in piece count, such as a discrepancy
of one drum in a truckload. Significant discrepancies in type are
obvious differences which can be discovered by inspection or waste
analysis, such as waste solvent substituted for waste acid, or toxic
constituents not reported on the manifest or shipping paper.
(b) Upon discovering a significant discrepancy, the owner or operator
must attempt to reconcile the discrepancy with the waste generator or
transporter (e.g., with telephone conversations). If the discrepancy is
not resolved within 15 days after receiving the waste, the owner or
operator must immediately submit to the Regional Administrator a letter
describing the discrepancy and attempts to reconcile it, and a copy of
the manifest or shipping paper at issue.
(Approved by the Office of Management and Budget under control number
2050-0012)
(45 FR 33221, May 19, 1980, as amended at 50 FR 4514, Jan. 31, 1985)
40 CFR 264.73 Operating record.
(a) The owner or operator must keep a written operating record at his
facility.
(b) The following information must be recorded, as it becomes
available, and maintained in the operating record until closure of the
facility:
(1) 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;
(2) 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. For all facilities, this information must
include cross-references to specific manifest document numbers, if the
waste was accompanied by a manifest;
(Comment: See 264.119 for related requirements.)
(3) Records and results of waste analyses performed as specified in
264.13, 264.17, 264.314, 264.341, 264.1034, 264.1063, 268.4(a), and
268.7 of this chapter.
(4) Summary reports and details of all incidents that require
implementing the contingency plan as specified in 264.56(j);
(5) Records and results of inspections as required by 264.15(d)
(except these data need be kept only three years);
(6) Monitoring, testing or analytical data, and corrective action
where required by subpart F and 264.19, 264.191, 264.193, 264.195,
264.222, 264.223, 264.226, 264.252-264.254, 264.276, 264.278, 264.280,
264.302-264.304, 264.309, 264.347, 264.602, 264.1034(c)-264.1034(f),
264.1035, 264.1063(d)-264.1063(i), and 264.1064.
(7) For off-site facilities, notices to generators as specified in
264.12(b); and
(8) All closure cost estimates under 264.142, and, for disposal
facilities, all post-closure cost estimates under 264.144.
(9) 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 is that practicable method
currently available to the permittee which minimizes the present and
future threat to human health and the environment.
(10) 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 granted
pursuant to 268.5, a petition pursuant to 268.6, or a certification
under 268.8, and the applicable notice required by a generator under
268.7(a);
(11) For an off-site treatment facility, a copy of the notice, and
the certification and demonstration, if applicable, required by the
generator or the owner or operator under 268.7 or 268.8;
(12) For an on-site treatment facility, the information contained in
the notice (except the manifest number), and the certification and
demonstration if applicable, required by the generator or the owner or
operator under 268.7 or 268.8;
(13) For an off-site land disposal facility, a copy of the notice,
and the certification and demonstration if applicable, required by the
generator or the owner or operator of a treatment facility under 268.7
and 268.8, whichever is applicable; and
(14) For an on-site land disposal facility, the information contained
in the notice required by the generator or owner or operator of a
treatment facility under 268.7, except for the manifest number, and the
certification and demonstration if applicable, required under 268.8,
whichever is applicable.
(15) For an off-site storage facility, a copy of the notice, and the
certification and demonstration if applicable, required by the generator
or the owner or operator under 268.7 or 268.8; and
(16) For an on-site storage facility, the information contained in
the notice (except the manifest number), and the certification and
demonstration if applicable, required by the generator or the owner or
operator under 268.7 or 268.8.
(Approved by the Office of Management and Budget under control
numbers 2050-0012, 2050-0013 and 2040-0042. The reporting and
recordkeeping requirements contained in paragraph (b)(9) were approved
by the Office of Management and Budget under control number 2050-0037)
(45 FR 33221, May 19, 1980, as amended at 46 FR 2849, Jan. 12, 1981;
46 FR 7678, Jan. 23, 1981; 50 FR 4514, Jan. 31, 1985; 50 FR 18374,
Apr. 30, 1985; 50 FR 28746, July 15, 1985; 51 FR 40637, Nov. 7, 1986;
52 FR 21016, June 4, 1987; 53 FR 31211, Aug. 17, 1988; 54 FR 26647,
June 23, 1989; 55 FR 25494, June 21, 1990; 57 FR 3487, Jan. 29, 1992)
Effective Date Note: At 57 FR 3487, Jan. 29, 1992, 264.73 was
amended by revising paragraph (b)(6), effective July 29, 1992. For the
convenience of the reader the superseded text is set forth below:
264.73
(b) * * *
(6) Monitoring, testing or analytical data, and corrective action
where required by subpart F and 264.226, 264.253, 264.254, 264.276,
264.278, 264.280, 264.303, 264.309, 264.347, 264.602,
264.1034(c)-264.1034(f), 264.1035, 264.1063(d)-264.1063(i), and
264.1064.
40 CFR 264.74 Availability, retention, and disposition of records.
(a) All records, including plans, required under this part must be
furnished upon request, and made available at all reasonable times for
inspection, by any officer, employee, or representative of EPA who is
duly designated by the Administrator.
(b) The retention period for all records required under this part is
extended automatically during the course of any unresolved enforcement
action regarding the facility or as requested by the Administrator.
(c) A copy of records of waste disposal locations and quantities
under 264.73(b)(2) must be submitted to the Regional Administrator and
local land authority upon closure of the facility.
40 CFR 264.75 Biennial report.
The owner or operator must prepare and submit a single copy of a
biennial report to the Regional Administrator by March 1 of each even
numbered year. The biennial report must be submitted on EPA form
8700-13B. The report must cover facility activities during the previous
calendar year and must include:
(a) The EPA identification number, name, and address of the facility;
(b) The calendar year covered by the report;
(c) For off-site facilities, the EPA identification number of each
hazardous waste generator from which the facility received a hazardous
waste during the year; for imported shipments, the report must give the
name and address of the foreign generator;
(d) A description and the quantity of each hazardous waste the
facility received during the year. For off-site facilities, this
information must be listed by EPA identification number of each
generator;
(e) The method of treatment, storage, or disposal for each hazardous
waste;
(f) (Reserved)
(g) The most recent closure cost estimate under 264.142, and, for
disposal facilities, the most recent post-closure cost estimate under
264.144; and
(h) For generators who treat, store, or dispose of hazardous waste
on-site, a description of the efforts undertaken during the year to
reduce the volume and toxicity of waste generated.
(i) For generators who treat, store, or dispose of hazardous waste
on-site, a description of the changes in volume and toxicity of waste
actually achieved during the year in comparison to previous years to the
extent such information is available for the years prior to 1984.
(j) The certification signed by the owner or operator of the facility
or his authorized representative.
(Approved by the Office of Management and Budget under control number
2050-0024)
(45 FR 33221, May 19, 1980, as amended at 46 FR 2849, Jan. 12, 1981;
48 FR 3982, Jan. 28, 1983; 50 FR 4514, Jan. 31, 1985; 51 FR 28556,
Aug. 8, 1986)
40 CFR 264.76 Unmanifested waste report.
If a facility accepts for treatment, storage, or disposal any
hazardous waste from an off-site source without an accompanying
manifest, or without an accompanying shipping paper as described in
263.20(e)(2) of this chapter, and if the waste is not excluded from the
manifest requirement by 261.5 of this chapter, then the owner or
operator must prepare and submit a single copy of a report to the
Regional Administrator within fifteen days after receiving the waste.
The unmanifested waste report must be submitted on EPA form 8700-13B.
Such report must be designated 'Unmanifested Waste Report' and include
the following information:
(a) The EPA identification number, name, and address of the facility;
(b) The date the facility received the waste;
(c) The EPA identification number, name, and address of the generator
and the transporter, if available;
(d) A description and the quantity of each unmanifested hazardous
waste and facility received;
(e) The method of treatment, storage, or disposal for each hazardous
waste;
(f) The certification signed by the owner or operator of the facility
or his authorized representative; and
(g) A brief explanation of why the waste was unmanifested, if known.
(Comment: Small quantities of hazardous waste are excluded from
regulation under this part and do not require a manifest. Where a
facility receives unmanifested hazardous wastes, the Agency suggests
that the owner or operator obtain from each generator a certification
that the waste qualifies for exclusion. Otherwise, the Agency suggests
that the owner or operator file an unmanifested waste report for the
hazardous waste movement.)
(Approved by the Office of Management and Budget under control number
2050-0012)
(45 FR 33221, May 19, 1980, as amended at 48 FR 3982, Jan. 28, 1983;
50 FR 4514, Jan. 31, 1985)
40 CFR 264.77 Additional reports.
In addition to submitting the biennial reports and unmanifested waste
reports described in 264.75 and 264.76, the owner or operator must
also report to the Regional Administrator:
(a) Releases, fires, and explosions as specified in 264.56(j);
(b) Facility closures specified in 264.115; and
(c) As otherwise required by subparts F, K through N, AA, and BB.
(46 FR 2849, Jan. 12, 1981, as amended at 47 FR 32350, July 26, 1982;
48 FR 3982, Jan. 28, 1983; 55 FR 25494, June 21, 1990)
40 CFR 264.77 Subpart F -- Releases From Solid Waste Management Units
Source: 47 FR 32350, July 26, 1982, unless otherwise noted.
40 CFR 264.90 Applicability.
(a)(1) Except as provided in paragraph (b) of this section, the
regulations in this subpart apply to owners or operators of facilities
that treat, store or dispose of hazardous waste. The owner or operator
must satisfy the requirements identified in paragraph (a)(2) of this
section for all wastes (or constituents thereof) contained in solid
waste management units at the facility, regardless of the time at which
waste was placed in such units.
(2) All solid waste management units must comply with the
requirements in 264.101. A surface impoundment, waste pile, and land
treatment unit or landfill that receives hazardous waste after July 26,
1982 (hereinafter referred to as a ''regulated unit'') must comply with
the requirements of 264.91 through 264.100 in lieu of 264.101 for
purposes of detecting, characterizing and responding to releases to the
uppermost aquifer. The finanical responsibility requirements of
264.101 apply to regulated units.
(b) The owner or operator's regulated unit or units are not subject
to regulation for releases into the uppermost aquifer under this subpart
if:
(1) The owner or operator is exempted under 264.1; or
(2) He operates a unit which the Regional Administrator finds:
(i) Is an engineered structure,
(ii) Does not receive or contain liquid waste or waste containing
free liquids,
(iii) Is designed and operated to exclude liquid, precipitation, and
other run-on and run-off,
(iv) Has both inner and outer layers of containment enclosing the
waste,
(v) Has a leak detection system built into each containment layer,
(vi) The owner or operator will provide continuing operation and
maintenance of these leak detection systems during the active life of
the unit and the closure and post-closure care periods, and
(vii) To a reasonable degree of certainty, will not allow hazardous
constituents to migrate beyond the outer containment layer prior to the
end of the the post-closure care period.
(3) The Regional Administrator finds, pursuant to 264.280(d), that
the treatment zone of a land treatment unit that qualifies as a
regulated unit does not contain levels of hazardous constituents that
are above background levels of those constituents by an amount that is
statistically significant, and if an unsaturated zone monitoring program
meeting the requirements of 264.278 has not shown a statistically
significant increase in hazardous constituents below the treatment zone
during the operating life of the unit. An exemption under this
paragraph can only relieve an owner or operator of responsibility to
meet the requirements of this subpart during the post-closure care
period; or
(4) The Regional Administrator finds that there is no potential for
migration of liquid from a regulated unit to the uppermost aquifer
during the active life of the regulated unit (including the closure
period) and the port-closure care period specified under 264.117. This
demonstration must be certified by a qualified geologist or geotechnical
engineer. In order to provide an adequate margin of safety in the
prediction of potential migration of liquid, the owner or operator must
base any predictions made under this paragraph on assumptions that
maximize the rate of liquid migration.
(5) He designs and operates a pile in compliance with 264.250(c).
(c) The regulations under this subpart apply during the active life
of the regulated unit (including the closure period). After closure of
the regulated unit, the regulations in this subpart:
(1) Do not apply if all waste, waste residues, contaminated
containment system components, and contaminated subsoils are removed or
decontaminated at closure;
(2) Apply during the post-closure care period under 264.117 if the
owner or operator is conducting a detection monitoring program under
264.98; or
(3) Apply during the compliance period under 264.96 if the owner or
operator is conducting a compliance monitoring program under 264.99 or
a corrective action program under 264.100.
(d) Regulations in this subpart may apply to miscellaneous units when
necessary to comply with 264.601 through 264.603.
(47 FR 32350, July 26, 1982, as amended at 50 FR 28746, July 15,
1985; 52 FR 46963, Dec. 10, 1987)
40 CFR 264.91 Required programs.
(a) Owners and operators subject to this subpart must conduct a
monitoring and response program as follows:
(1) Whenever hazardous constituents under 264.93 from a regulated
unit are detected at a compliance point under 264.95, the owner or
operator must institute a compliance monitoring program under 264.99.
Detected is defined as statistically significant evidence of
contamination as described in 264.98(f);
(2) Whenever the ground-water protection standard under 264.92 is
exceeded, the owner or operator must institute a corrective action
program under 264.100. Exceeded is defined as statistically significant
evidence of increased contamination as described in 264.99(d);
(3) Whenever hazardous constituents under 264.93 from a regulated
unit exceed concentration limits under 264.94 in ground water between
the compliance point under 264.95 and the downgradient facility
property boundary, the owner or operator must institute a corrective
action program under 264.100; or
(4) In all other cases, the owner or operator must institute a
detection monitoring program under 264.98.
(b) The Regional Administrator will specify in the facility permit
the specific elements of the monitoring and response program. The
Regional Administrator may include one or more of the programs
identified in paragraph (a) of this section in the facility permit as
may be necessary to protect human health and the environment and will
specify the circumstances under which each of the programs will be
required. In deciding whether to require the owner or operator to be
prepared to institute a particular program, the Regional Administrator
will consider the potential adverse effects on human health and the
environment that might occur before final administrative action on a
permit modification application to incorporate such a program could be
taken.
(47 FR 32350, July 26, 1982, as amended at 53 FR 39728, Oct. 11,
1988)
40 CFR 264.92 Ground-water protection standard.
The owner or operator must comply with conditions specified in the
facility permit that are designed to ensure that hazardous constituents
under 264.93 detected in the ground water from a regulated unit do not
exceed the concentration limits under 264.94 in the uppermost aquifer
underlying the waste management area beyond the point of compliance
under 264.95 during the compliance period under 264.96. The Regional
Administrator will establish this ground-water protection standard in
the facility permit when hazardous constituents have been detected in
the ground water.
(53 FR 39728, Oct. 11, 1988)
40 CFR 264.93 Hazardous constituents.
(a) The Regional Administrator will specify in the facility permit
the hazardous constituents to which the ground-water protection standard
of 264.92 applies. Hazardous constituents are constituents identified
in appendix VIII of part 261 of this chapter that have been detected in
ground water in the uppermost aquifer underlying a regulated unit and
that are reasonably expected to be in or derived from waste contained in
a regulated unit, unless the Regional Administrator has excluded them
under paragraph (b) of this section.
(b) The Regional Administrator will exclude an appendix VIII
constituent from the list of hazardous constituents specified in the
facility permit if he finds that the constituent is not capable of
posing a substantial present or potential hazard to human health or the
environment. In deciding whether to grant an exemption, the Regional
Administrator will consider the following:
(1) Potential adverse effects on ground-water quality, considering:
(i) The physical and chemical characteristics of the waste in the
regulated unit, including its potential for migration;
(ii) The hydrogeological characteristics of the facility and
surrounding land;
(iii) The quantity of ground water and the direction of ground-water
flow;
(iv) The proximity and withdrawal rates of ground-water users;
(v) The current and future uses of ground water in the area;
(vi) The existing quality of ground water, including other sources of
contamination and their cumulative impact on the ground-water quality;
(vii) The potential for health risks caused by human exposure to
waste constituents;
(viii) The potential damage to wildlife, crops, vegetation, and
physical structures caused by exposure to waste constituents;
(ix) The persistence and permanence of the potential adverse effects;
and
(2) Potential adverse effects on hydraulically-connected surface
water quality, considering:
(i) The volume and physical and chemical characteristics of the waste
in the regulated unit;
(ii) The hydrogeological characteristics of the facility and
surrounding land;
(iii) The quantity and quality of ground water, and the direction of
ground-water flow;
(iv) The patterns of rainfall in the region;
(v) The proximity of the regulated unit to surface waters;
(vi) The current and future uses of surface waters in the area and
any water quality standards established for those surface waters;
(vii) The existing quality of surface water, including other sources
of contamination and the cumulative impact on surface-water quality;
(viii) The potential for health risks caused by human exposure to
waste constituents;
(ix) The potential damage to wildlife, crops, vegetation, and
physical structures caused by exposure to waste constituents; and
(x) The persistence and permanence of the potential adverse effects.
(c) In making any determination under paragraph (b) of this section
about the use of ground water in the area around the facility, the
Regional Administrator will consider any identification of underground
sources of drinking water and exempted aquifers made under 144.8 of
this chapter.
(47 FR 32350, July 26, 1982, as amended at 48 FR 14294, Apr. 1, 1983)
40 CFR 264.94 Concentration limits.
(a) The Regional Administrator will specify in the facility permit
concentration limits in the ground water for hazardous constituents
established under 264.93. The concentration of a hazardous constituent:
(1) Must not exceed the background level of that constituent in the
ground water at the time that limit is specified in the permit; or
(2) For any of the constituents listed in Table 1, must not exceed
the respective value given in that table if the background level of the
constituent is below the value given in Table 1; or
(3) Must not exceed an alternate limit established by the Regional
Administrator under paragraph (b) of this section.
(b) The Regional Administrator will establish an alternate
concentration limit for a hazardous constituent if he finds that the
constituent will not pose a substantial present or potential hazard to
human health or the environment as long as the alternate concentration
limit is not exceeded. In establishing alternate concentration limits,
the Regional Administrator will consider the following factors:
(1) Potential adverse effects on ground-water quality, considering:
(i) The physical and chemical characteristics of the waste in the
regulated unit, including its potential for migration;
(ii) The hydrogeological characteristics of the facility and
surrounding land;
(iii) The quantity of ground water and the direction of ground-water
flow;
(iv) The proximity and withdrawal rates of ground-water users;
(v) The current and future uses of ground water in the area;
(vi) The existing quality of ground water, including other sources of
contamination and their cumulative impact on the ground-water quality;
(vii) The potential for health risks caused by human exposure to
waste constituents;
(viii) The potential damage to wildlife, crops, vegetation, and
physical structures caused by exposure to waste constituents;
(ix) The persistence and permanence of the potential adverse effects;
and
(2) Potential adverse effects on hydraulically-connected
surface-water quality, considering:
(i) The volume and physical and chemical characteristics of the waste
in the regulated unit;
(ii) The hydrogeological characteristics of the facility and
surrounding land;
(iii) The quantity and quality of ground water, and the direction of
ground-water flow;
(iv) The patterns of rainfall in the region;
(v) The proximity of the regulated unit to surface waters;
(vi) The current and future uses of surface waters in the area and
any water quality standards established for those surface waters;
(vii) The existing quality of surface water, including other sources
of contamination and the cumulative impact on surface water quality;
(viii) The potential for health risks caused by human exposure to
waste constituents;
(ix) The potential damage to wildlife, crops, vegetation, and
physical structures caused by exposure to waste constituents; and
(x) The persistence and permanence of the potential adverse effects.
(c) In making any determination under paragraph (b) of this section
about the use of ground water in the area around the facility the
Regional Administrator will consider any identification of underground
sources of drinking water and exempted aquifers made under 144.8 of
this chapter.
(47 FR 32350, July 26, 1982, as amended at 48 FR 14294, Apr. 1, 1983)
40 CFR 264.95 Point of compliance.
(a) The Regional Administrator will specify in the facility permit
the point of compliance at which the ground-water protection standard of
264.92 applies and at which monitoring must be conducted. The point of
compliance is a vertical surface located at the hydraulically
downgradient limit of the waste management area that extends down into
the uppermost aquifer underlying the regulated units.
(b) The waste management area is the limit projected in the
horizontal plane of the area on which waste will be placed during the
active life of a regulated unit.
(1) The waste management area includes horizontal space taken up by
any liner, dike, or other barrier designed to contain waste in a
regulated unit.
(2) If the facility contains more than one regulated unit, the waste
management area is described by an imaginary line circumscribing the
several regulated units.
40 CFR 264.96 Compliance period.
(a) The Regional Administrator will specify in the facility permit
the compliance period during which the ground-water protection standard
of 264.92 applies. The compliance period is the number of years equal
to the active life of the waste management area (including any waste
management activity prior to permitting, and the closure period.)
(b) The compliance period begins when the owner or operator initiates
a compliance monitoring program meeting the requirements of 264.99.
(c) If the owner or operator is engaged in a corrective action
program at the end of the compliance period specified in paragraph (a)
of this section, the compliance period is extended until the owner or
operator can demonstrate that the ground-water protection standard of
264.92 has not been exceeded for a period of three consecutive years.
40 CFR 264.97 General ground-water monitoring requirements.
The owner or operator must comply with the following requirements for
any ground-water monitoring program developed to satisfy 264.98,
264.99, or 264.100:
(a) The ground-water monitoring system must consist of a sufficient
number of wells, installed at appropriate locations and depths to yield
ground-water samples from the uppermost aquifer that:
(1) Represent the quality of background water that has not been
affected by leakage from a regulated unit;
(i) A determination of background quality may include sampling of
wells that are not hydraulically upgradient of the waste management area
where:
(A) Hydrogeologic conditions do not allow the owner or operator to
determine what wells are hydraulically upgradient; and
(B) Sampling at other wells will provide an indication of background
ground-water quality that is representative or more representative than
that provided by the upgradient wells; and
(2) Represent the quality of ground water passing the point of
compliance.
(3) Allow for the detection of contamination when hazardous waste or
hazardous constituents have migrated from the waste management area to
the uppermost aquifer.
(b) If a facility contains more than one regulated unit, separate
ground-water monitoring systems are not required for each regulated unit
provided that provisions for sampling the ground water in the uppermost
aquifer will enable detection and measurement at the compliance point of
hazardous constituents from the regulated units that have entered the
ground water in the uppermost aquifer.
(c) All monitoring wells must be cased in a manner that maintains the
integrity of the monitoring-well bore hole. This casing must be
screened or perforated and packed with gravel or sand, where necessary,
to enable collection of ground-water samples. The annular space (i.e.,
the space between the bore hole and well casing) above the sampling
depth must be sealed to prevent contamination of samples and the ground
water.
(d) The ground-water monitoring program must include consistent
sampling and analysis procedures that are designed to ensure monitoring
results that provide a reliable indication of ground-water quality below
the waste management area. At a minimum the program must include
procedures and techniques for:
(1) Sample collection;
(2) Sample preservation and shipment;
(3) Analytical procedures; and
(4) Chain of custody control.
(e) The ground-water monitoring program must include sampling and
analytical methods that are appropriate for ground-water sampling and
that accurately measure hazardous constituents in ground-water samples.
(f) The ground-water monitoring program must include a determination
of the ground-water surface elevation each time ground water is sampled.
(g) In detection monitoring or where appropriate in compliance
monitoring, data on each hazardous constituent specified in the permit
will be collected from background wells and wells at the compliance
point(s). The number and kinds of samples collected to establish
background shall be appropriate for the form of statistical test
employed, following generally accepted statistical principles. The
sample size shall be as large as necessary to ensure with reasonable
confidence that a contaminant release to ground water from a facility
will be detected. The owner or operator will determine an appropriate
sampling procedure and interval for each hazardous constituent listed in
the facility permit which shall be specified in the unit permit upon
approval by the Regional Administrator. This sampling procedure shall
be:
(1) A sequence of at least four samples, taken at an interval that
assures, to the greatest extent technically feasible, 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
(2) an alternate sampling procedure proposed by the owner or operator
and approved by the Regional Administrator.
(h) The owner or operator will specify one of the following
statistical methods to be used in evaluating ground-water monitoring
data for each hazardous constituent which, upon approval by the Regional
Administrator, will be specified in the unit permit. The statistical
test chosen shall be conducted separately for each hazardous constituent
in each well. Where practical quantification limits (pql's) are used in
any of the following statistical procedures to comply with
264.97(i)(5), the pql must be proposed by the owner or operator and
approved by the Regional Administrator. Use of any of the following
statistical methods must be protective of human health and the
environment and must comply with the performance standards outlined in
paragraph (i) of this section.
(1) A parametric analysis of variance (ANOVA) followed by multiple
comparisons procedures to identify statistically significant evidence of
contamination. The method must include estimation and testing of the
contrasts between each compliance well's mean and the background mean
levels for each constituent.
(2) An analysis of variance (ANOVA) based on ranks followed by
multiple comparisons procedures to identify statistically significant
evidence of contamination. The method must include estimation and
testing of the contrasts between each compliance well's median and the
background median levels for each constituent.
(3) A tolerance or prediction interval procedure in which an interval
for each constituent is established from the distribution of the
background data, and the level of each constituent in each compliance
well is compared to the upper tolerance or prediction limit.
(4) A control chart approach that gives control limits for each
constituent.
(5) Another statistical test method submitted by the owner or
operator and approved by the Regional Administrator.
(i) Any statistical method chosen under 264.97(h) for specification
in the unit permit shall comply with the following performance
standards, as appropriate:
(1) The statistical method used to evaluate ground-water monitoring
data shall be appropriate for the distribution of chemical parameters or
hazardous constituents. If the distribution of the chemical parameters
or hazardous constituents is shown by the owner or operator to be
inappropriate for a normal theory test, then the data should be
transformed or a distribution-free theory test should be used. If the
distributions for the constituents differ, more than one statistical
method may be needed.
(2) If an individual well comparison procedure is used to compare an
individual compliance well constituent concentration with background
constituent concentrations or a ground-water protection standard, the
test shall be done at a Type I error level no less than 0.01 for each
testing period. If a multiple comparisons procedure is used, the Type I
experimentwise error rate for each testing period shall be no less than
0.05; however, the Type I error of no less than 0.01 for individual
well comparisons must be maintained. This performance standard does not
apply to tolerance intervals, prediction intervals or control charts.
(3) If a control chart approach is used to evaluate ground-water
monitoring data, the specific type of control chart and its associated
parameter values shall be proposed by the owner or operator and approved
by the Regional Administrator if he or she finds it to be protective of
human health and the environment.
(4) If a tolerance interval or a prediction interval is used to
evaluate groundwater monitoring data, the levels of confidence and, for
tolerance intervals, the percentage of the population that the interval
must contain, shall be proposed by the owner or operator and approved by
the Regional Administrator if he or she finds these parameters to be
protective of human health and the environment. These parameters will
be determined after considering the number of samples in the background
data base, the data distribution, and the range of the concentration
values for each constituent of concern.
(5) The statistical method shall account for data below the limit of
detection with one or more statistical procedures that are protective of
human health and the environment. Any practical quantification limit
(pql) approved by the Regional Administrator under 264.97(h) that is
used in the statistical method shall be the lowest concentration level
tha can be reliably achieved within specified limits of precision and
accuracy during routine laboratory operating conditions that are
available to the facility.
(6) If necessary, the statistical method shall include procedures to
control or correct for seasonal and spatial variability as well as
temporal correlation in the data.
(j) Ground-water monitoring data collected in accordance with
paragraph (g) of this section including actual levels of constituents
must be maintained in the facility operating record. The Regional
Administrator will specify in the permit when the data must be submitted
for review.
(Approved by the Office of Management and Budget under control number
2050-0033)
(47 FR 32350, July 26, 1982, as amended at 50 FR 4514, Jan. 31, 1985;
53 FR 39728, Oct. 11, 1988)
40 CFR 264.98 Detection monitoring program.
An owner or operator required to establish a detection monitoring
program under this subpart must, at a minimum, discharge the following
responsibilities:
(a) The owner or operator must monitor for indicator parameters
(e.g., specific conductance, total organic carbon, or total organic
halogen), waste constituents, or reaction products that provide a
reliable indication of the presence of hazardous constituents in ground
water. The Regional Administrator will specify the parameters or
constituents to be monitored in the facility permit, after considering
the following factors:
(1) The types, quantities, and concentrations of constituents in
wastes managed at the regulated unit;
(2) The mobility, stability, and persistance of waste constituents or
their reaction products in the unsaturated zone beneath the waste
management area;
(3) The detectability of indicator parameters, waste constituents,
and reaction products in ground water; and
(4) The concentrations or values and coefficients of variation of
proposed monitoring parameters or constituents in the ground-water
background.
(b) The owner or operator must install a ground-water monitoring
system at the compliance point as specified under 264.95. The
ground-water monitoring system must comply with 264.97(a)(2), (b), and
(c).
(c) The owner or operator must conduct a ground-water monitoring
program for each chemical parameter and hazardous constituent specified
in the permit pursuant to paragraph (a) of this section in accordance
with 264.97(g). The owner or operator must maintain a record of
ground-water analytical data as measured and in a form necessary for the
determination of statistical significance under 264.97(h).
(d) The Regional Administrator will specify the frequencies for
collecting samples and conducting statistical tests to determine whether
there is statistically significant evidence of contamination for any
parameter or hazardous constituent specified in the permit under
paragraph (a) of this section in accordance with 264.97(g). A sequence
of at least four samples from each well (background and compliance
wells) must be collected at least semi-annually during detection
monitoring.
(e) The owner or operator must determine the ground-water flow rate
and direction in the uppermost aquifer at least annually.
(f) The owner or operator must determine whether there is
statistically significant evidence of contamination for any chemical
parameter of hazardous constituent specified in the permit pursuant to
paragraph (a) of this section at a frequency specified under paragraph
(d) of this section.
(1) In determining whether statistically significant evidence of
contamination exists, the owner or operator must use the method(s)
specified in the permit under 264.97(h). These method(s) must compare
data collected at the compliance point(s) to the background ground-water
quality data.
(2) The owner or operator must determine whether there is
statistically significant evidence of contamination at each monitoring
well as the compliance point within a reasonable period of time after
completion of sampling. The Regional Administrator will specify in the
facility permit what period of time is reasonable, after considering the
complexity of the statistical test and the availability of laboratory
facilities to perform the analysis of ground-water samples.
(g) If the owner or operator determines pursuant to paragraph (f) of
this section that there is statistically significant evidence of
contamination for chemical parameters or hazardous constituents
specified pursuant to paragraph (a) of this section at any monitoring
well at the compliance point, he or she must:
(1) Notify the Regional Administrator of this finding in writing
within seven days. The notification must indicate what chemical
parameters or hazardous constituents have shown statistically
significant evidence of contamination;
(2) Immediately sample the ground water in all monitoring wells and
determine whether constituents in the list of appendix IX of part 264
are present, and if so, in what concentration.
(3) For any appendix IX compounds found in the analysis pursuant to
paragraph (g)(2) of this section, the owner or operator may resample
within one month and repeat the analysis for those compounds detected.
If the results of the second analysis confirm the initial results, then
these constituents will form the basis for compliance monitoring. If
the owner or operator does not resample for the compounds found pursuant
to paragraph (g)(2) of this section, the hazardous constituents found
during this initial appendix IX analysis will form the basis for
compliance monitoring.
(4) Within 90 days, submit to the Regional Administrator an
application for a permit modification to establish a compliance
monitoring program meeting the requirements of 264.99. The application
must include the following information:
(i) An identification of the concentration or any appendix IX
constituent detected in the ground water at each monitoring well at the
compliance point;
(ii) Any proposed changes to the ground-water monitoring system at
the facility necessary to meet the requirements of 264.99;
(iii) Any proposed additions or changes to the monitoring frequency,
sampling and analysis procedures or methods, or statistical methods used
at the facility necessary to meet the requirements of 264.99;
(iv) For each hazardous constituent detected at the compliance point,
a proposed concentration limit under 264.94(a) (1) or (2), or a notice
of intent to seek an alternate concentration limit under 264.94(b);
and
(5) Within 180 days, submit to the Regional Administrator:
(i) All data necessary to justify an alternate concentration limit
sought under 264.94(b); and
(ii) An engineering feasibility plan for a corrective action program
necessary to meet the requirement of 264.100, unless:
(A) All hazardous constituents identified under paragraph (g)(2) of
this section are listed in Table 1 of 264.94 and their concentrations
do not exceed the respective values given in that Table; or
(B) The owner or operator has sought an alternate concentration limit
under 264.94(b) for every hazardous constituent identified under
paragraph (g)(2) of this section.
(6) If the owner or operator determines, pursuant to paragraph (f) of
this section, that there is a statistically significant difference for
chemical parameters or hazardous constituents specified pursuant to
paragraph (a) of this section at any monitoring well at the compliance
point, he or she may demonstrate that a source other than a regulated
unit caused the contamination or that the detection is an artifact
caused by an error in sampling, analysis, or statistical evaluation or
natural variation in the ground water. The owner operator may make a
demonstration under this paragraph in addition to, or in lieu of,
submitting a permit modification application under paragraph (g)(4) of
this section; however, the owner or operator is not relieved of the
requirement to submit a permit modification application within the time
specified in paragraph (g)(4) of this section unless the demonstration
made under this paragraph successfully shows that a source other than a
regulated unit caused the increase, or that the increase resulted from
error in sampling, analysis, or evaluation. In making a demonstration
under this paragraph, the owner or operator must:
(i) Notify the Regional Administrator in writing within seven days of
determining statistically significant evidence of contamination at the
compliance point that he intends to make a demonstration under this
paragraph;
(ii) Within 90 days, submit a report to the Regional Administrator
which demonstrates that a source other than a regulated unit caused the
contamination or that the contamination resulted from error in sampling,
analysis, or evaluation;
(iii) Within 90 days, submit to the Regional Administrator an
application for a permit modification to make any appropriate changes to
the detection monitoring program facility; and
(iv) Continue to monitor in accordance with the detection monitoring
program established under this section.
(h) If the owner or operator determines that the detection monitoring
program no longer satisfies the requirements of this section, he or she
must, within 90 days, submit an application for a permit modification to
make any appropriate changes to the program.
(Approved by the Office of Management and Budget under control number
2050-0033)
(47 FR 32350, July 26, 1982, as amended at 50 FR 4514, Jan. 31, 1985;
52 FR 25946, July 9, 1987; 53 FR 39729, Oct. 11, 1988)
40 CFR 264.99 Compliance monitoring program.
An owner or operator required to establish a compliance monitoring
program under this subpart must, at a minimum, discharge the following
responsibilities:
(a) The owner or operator must monitor the ground water to determine
whether regulated units are in compliance with the ground-water
protection standard under 264.92. The Regional Administrator will
specify the ground-water protection standard in the facility permit,
including:
(1) A list of the hazardous constituents identified under 264.93;
(2) Concentration limits under 264.94 for each of those hazardous
constituents;
(3) The compliance point under 264.95; and
(4) The compliance period under 264.96.
(b) The owner or operator must install a ground-water monitoring
system at the compliance point as specified under 264.95. The
ground-water monitoring system must comply with 264.97(a)(2), (b), and
(c).
(c) The Regional Administrator will specify the sampling procedures
and statistical methods appropriate for the constituents and the
facility, consistent with 264.97 (g) and (h).
(1) The owner or operator must conduct a sampling program for each
chemical parameter or hazardous constituent in accordance with
264.97(g).
(2) The owner or operator must record ground-water analytical data as
measured and in form necessary for the determination of statistical
significance under 264.97(h) for the compliance period of the facility.
(d) The owner or operator must determine whether there is
statistically significant evidence of increased contamination for any
chemical parameter or hazardous constituent specified in the permit,
pursuant to paragraph (a) of this section, at a frequency specified
under paragraph (f) under this section.
(1) In determining whether statistically significant evidence of
increased contamination exists, the owner or operator must use the
method(s) specified in the permit under 264.97(h). The methods(s) must
compare data collected at the compliance point(s) to a concentration
limit developed in accordance with 264.94.
(2) The owner or operator must determine whether there is
statistically significant evidence of increased contamination at each
monitoring well at the compliance point within a reasonable time period
after completion of sampling. The Regional Administrator will specify
that time period in the facility permit, after considering the
complexity of the statistical test and the availability of laboratory
facilities to perform the analysis of ground-water samples.
(e) The owner or operator must determine the ground-water flow rate
and direction in the uppermost aquifer at least annually.
(f) The Regional Administrator will specify the frequencies for
collecting samples and conducting statistical tests to determine
statistically significant evidence of increased contamination in
accordance with 264.97(g). A sequence of at least four samples from
each well (background and compliance wells) must be collected at least
semi-annually during the compliance period of the facility.
(g) The owner or operator must analyze samples from all monitoring
wells at the compliance point for all constituents contained in appendix
IX of part 264 at least annually to determine whether additional
hazardous constituents are present in the uppermost aquifer and, if so,
at what concentration, pursuant to procedures in 264.98(f). If the
owner or operator finds appendix IX constituents in the ground water
that are not already identified in the permit as monitoring
constituents, the owner or operator may resample within one month and
repeat the appendix IX analysis. If the second analysis confirms the
presence of new constituents, the owner or operator must report the
concentration of these additional constituents to the Regional
Administrator within seven days after the completion of the second
analysis and add them to the monitoring list. If the owner or operator
chooses not to resample, then he or she must report the concentrations
of these additional constituents to the Regional Administrator within
seven days after completion of the intiial analysis and add them to the
monitoring list.
(h) If the owner or operator determines pursuant to paragraph (d) of
this section that any concentration limits under 264.94 are being
exceeded at any monitoring well at the point of compliance he or she
must:
(1) Notify the Regional Administrator of this finding in writing
within seven days. The notification must indicate what concentration
limits have been exceeded.
(2) Submit to the Regional Administrator an application for a permit
modification to establish a corrective action program meeting the
requirements of 264.100 within 180 days, or within 90 days if an
engineering feasibility study has been previously submitted to the
Regional Administrator under 264.98(h)(5). The application must at a
minimum include the following information:
(i) A detailed description of corrective actions that will achieve
compliance with the ground-water protection standard specified in the
permit under paragraph (a) of this section; and
(ii) A plan for a ground-water monitoring program that will
demonstrate the effectiveness of the corrective action. Such a
ground-water monitoring program may be based on a compliance monitoring
program developed to meet the requirements of this section.
(i) If the owner or operator determines, pursuant to paragraph (d) of
this section, that the ground-water concentration limits under this
section are being exceeded at any monitoring well at the point of
compliance, he or she may demonstrate that a source other than a
regulated unit caused the contamination or that the detection is an
artifact caused by an error in sampling, analysis, or statistical
evaluation or natural variation in the ground water. In making a
demonstration under this paragraph, the owner or operator must:
(1) Notify the Regional Administrator in writing within seven days
that he intends to make a demonstration under this paragraph;
(2) Within 90 days, submit a report to the Regional Administrator
which demonstrates that a source other than a regulated unit caused the
standard to be exceeded or that the apparent noncompliance with the
standards resulted from error in sampling, analysis, or evaluation;
(3) Within 90 days, submit to the Regional Administrator an
application for a permit modification to make any appropriate changes to
the compliance monitoring program at the facility; and
(4) Continue to monitor in accord with the compliance monitoring
program established under this section.
(j) If the owner or operator determines that the compliance
monitoring program no longer satisfies the requirements of this section,
he must, within 90 days, submit an application for a permit modification
to make any appropriate changes to the program.
(Approved by the Office of Management and Budget under control number
2050-0033)
(47 FR 32350, July 26, 1982, as amended at 50 FR 4514, Jan. 31, 1985;
52 FR 25946, July 9, 1987; 53 FR 39730, Oct. 11, 1988)
40 CFR 264.100 Corrective action program.
An owner or operator required to establish a corrective action
program under this subpart must, at a minimum, discharge the following
responsibilities:
(a) The owner or operator must take corrective action to ensure that
regulated units are in compliance with the ground-water protection
standard under 264.92. The Regional Administrator will specify the
ground-water protection standard in the facility permit, including:
(1) A list of the hazardous constituents identified under 264.93;
(2) Concentration limits under 264.94 for each of those hazardous
constituents;
(3) The compliance point under 264.95; and
(4) The compliance period under 264.96.
(b) The owner or operator must implement a corrective action program
that prevents hazardous constituents from exceeding their respective
concentration limits at the compliance point by removing the hazardous
waste constituents or treating them in place. The permit will specify
the specific measures that will be taken.
(c) The owner or operator must begin corrective action within a
reasonable time period after the ground-water protection standard is
exceeded. The Regional Administrator will specify that time period in
the facility permit. If a facility permit includes a corrective action
program in addition to a compliance monitoring program, the permit will
specify when the corrective action will begin and such a requirement
will operate in lieu of 264.99(i)(2).
(d) In conjunction with a corrective action program, the owner or
operator must establish and implement a ground-water monitoring program
to demonstrate the effectiveness of the corrective action program. Such
a monitoring program may be based on the requirements for a compliance
monitoring program under 264.99 and must be as effective as that
program in determining compliance with the ground-water protection
standard under 264.92 and in determining the success of a corrective
action program under paragraph (e) of this section, where appropriate.
(e) In addition to the other requirements of this section, the owner
or operator must conduct a corrective action program to remove or treat
in place any hazardous constituents under 264.93 that exceed
concentration limits under 264.94 in groundwater:
(1) Between the compliance point under 264.95 and the downgradient
property boundary; and
(2) Beyond the facility boundary, where necessary to protect human
health and the environment, unless the owner or operator demonstrates to
the satisfaction of the Regional Administrator that, despite the owner's
or operator's best efforts, the owner or operator was unable to obtain
the necessary permission to undertake such action. The owner/operator
is not relieved of all responsibility to clean up a release that has
migrated beyond the facility boundary where off-site access is denied.
On-site measures to address such releases will be determined on a
case-by-case basis.
(3) Corrective action measures under this paragraph must be initiated
and completed within a reasonable period of time considering the extent
of contamination.
(4) Corrective action measures under this paragraph may be terminated
once the concentration of hazardous constituents under 264.93 is
reduced to levels below their respective concentration limits under
264.94.
(f) The owner or operator must continue corrective action measures
during the compliance period to the extent necessary to ensure that the
ground-water protection standard is not exceeded. If the owner or
operator is conducting corrective action at the end of the compliance
period, he must continue that corrective action for as long as necessary
to achieve compliance with the ground-water protection standard. The
owner or operator may terminate corrective action measures taken beyond
the period equal to the active life of the waste management area
(including the closure period) if he can demonstrate, based on data from
the ground-water monitoring program under paragraph (d) of this section,
that the ground-water protection standard of 264.92 has not been
exceeded for a period of three consecutive years.
(g) The owner or operator must report in writing to the Regional
Administrator on the effectiveness of the corrective action program.
The owner or operator must submit these reports semi-annually.
(h) If the owner or operator determines that the corrective action
program no longer satisfies the requirements of this section, he must,
within 90 days, submit an application for a permit modification to make
any appropriate changes to the program.
(Approved by the Office of Management and Budget under control number
2050-0033)
(47 FR 32350, July 26, 1985, as amended at 50 FR 4514, Jan. 31, 1985;
52 FR 45798, Dec. 1, 1987)
40 CFR 264.101 Corrective action for solid waste management units.
(a) The owner or operator of a facility seeking a permit for the
treatment, storage or disposal of hazardous waste must institute
corrective action as necessary to protect human health and the
environment for all releases of hazardous waste or constituents from any
solid waste management unit at the facility, regardless of the time at
which waste was placed in such unit.
(b) Corrective action will be specified in the permit. The permit
will contain schedules of compliance for such corrective action (where
such corrective action cannot be completed prior to issuance of the
permit) and assurances of financial responsibility for completing such
corrective action.
(c) The owner or operator must implement corrective actions beyond
the facility property boundary, where necessary to protect human health
and the environment, unless the owner or operator demonstrates to the
satisfaction of the Regional Administrator that, despite the owner's or
operator's best efforts, the owner or operator was unable to obtain the
necessary permission to undertake such actions. The owner/operator is
not relieved of all responsibility to clean up a release that has
migrated beyond the facility boundary where off-site access is denied.
On-site measures to address such releases will be determined on a
case-by-case basis. Assurances of financial responsibility for such
corrective action must be provided.
(50 FR 28747, July 15, 1985, as amended at 52 FR 45798, Dec. 1, 1987)
40 CFR 264.101 Subpart G -- Closure and Post-Closure
Source: 51 FR 16444, May 2, 1986, unless otherwise noted.
40 CFR 264.110 Applicability.
Except as 264.1 provides otherwise:
(a) Sections 264.111 through 264.115 (which concern closure) apply to
the owners and operators of all hazardous waste management facilities;
and
(b) Sections 264.116 through 264.120 (which concern post-closure
care) apply to the owners and operators of:
(1) All hazardous waste disposal facilities; and
(2) Waste piles and surface impoundments from which the owner or
operator intends to remove the wastes at closure to the extent that
these sections are made applicable to such facilities in 264.228 or
264.258.
(3) Tank systems that are required under 264.197 to meet the
requirements for landfills.
(51 FR 16444, May 2, 1986, as amended at 51 FR 25472, July 14, 1986)
40 CFR 264.111 Closure performance standard.
The owner or operator must close the facility in a manner that:
(a) Minimizes the need for further maintenance; and
(b) Controls, minimizes or eliminates, to the extent necessary to
protect human health and the environment, post-closure escape of
hazardous waste, hazardous constituents, leachate, contaminated run-off,
or hazardous waste decomposition products to the ground or surface
waters or to the atmosphere; and
(c) Complies with the closure requirements of this subpart,
including, but not limited to, the requirements of 264.178, 264.197,
264.228, 264.258, 264.280, 264.310, 264.351, and 264.601 through
264.603.
(51 FR 16444, May 2, 1986, as amended at 52 FR 46963, Dec. 10, 1987)
40 CFR 264.112 Closure plan; amendment of plan.
(a) Written plan. (1) The owner or operator of a hazardous waste
management facility must have a written closure plan. In addition,
certain 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)(i) and
264.258(c)(1)(i) to have contingent closure plans. The plan must be
submitted with the permit application, in accordance with 270.14(b)(13)
of this chapter, and approved by the Regional Administrator as part of
the permit issuance procedures under part 124 of this chapter. In
accordance with 270.32 of this chapter, the approved closure plan will
become a condition of any RCRA permit.
(2) The Director's approval of the plan must ensure that the approved
closure plan is consistent with 264.111 through 264.115 and the
applicable requirements of 264.90 et seq., 264.178, 264.197, 264.228,
264.258, 264.280, 264.310, 264.351, and 264.601. Until final clsoure is
completed and certified in accordance with 264.115, a copy of the
approved plan and all approved revisions must be furnished to the
Director upon request, including request by mail.
(b) Content of plan. The plan must identify steps necessary to
perform partial and/or final closure of the facility at any point during
its active life. The closure plan must include, at least:
(1) A description of how each hazardous waste management unit at the
facility will be closed in accordance with 264.111;
(2) A description of how final closure of the facility will be
conducted in accordance with 264.111. The description must identify the
maximum extent of the operations which will be unclosed during the
active life of the facility; and
(3) An estimate of the maximum inventory of hazardous wastes ever
on-site over the active life of the facility and a detailed description
of the methods to be used during partial closures and final closure,
including, but not limited to, methods for removing, transporting,
treating, storing, or disposing of all hazardous wastes, and
identification of the type(s) of the off-site hazardous waste management
units to be used, if applicable; and
(4) 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, including, but not limited to, procedures for cleaning
equipment and removing contaminated soils, methods for sampling and
testing surrounding soils, and criteria for determining the extent of
decontamination required to satisfy the closure performance standard;
and
(5) 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, but not limited
to, ground-water monitoring, leachate collection, and run-on and run-off
control; and
(6) 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 the time required for intervening closure activities
which will allow tracking of the progress of partial and final closure.
(For example, in the case of a landfill unit, estimates of the time
required to treat or dispose of all hazardous waste inventory and of the
time required to place a final cover must be included.)
(7) For facilities that use trust funds to establish financial
assurance under 264.143 or 264.145 and that are expected to close
prior to the expiration of the permit, an estimate of the expected year
of final closure.
(c) Amendment of plan. The owner or operator must submit a written
notification of or request for a permit modification to authorize a
change in operating plans, facility design, or the approved closure plan
in accordance with the applicable procedures in parts 124 and 270. The
written notification or request must include a copy of the amended
closure plan for review or approval by the Regional Administrator.
(1) The owner or operator may submit a written notification or
request to the Regional Administrator for a permit modification to amend
the closure plan at any time prior to the notification of partial or
final closure of the facility.
(2) The owner or operator must submit a written notification of or
request for a permit modification to authorize a change in the approved
closure plan whenever:
(i) Changes in operating plans or facility design affect the closure
plan, or
(ii) There is a change in the expected year of closure, if
applicable, or
(iii) In conducting partial or final closure activities, unexpected
events require a modification of the approved closure plan.
(3) The owner or operator must submit a written request for a permit
modification including a copy of the amended closure plan for approval
at least 60 days prior to the proposed change in facility design or
operation, or no later than 60 days after an unexpected event has
occurred which has affected the closure plan. If an unexpected event
occurs during the partial or final closure period, the owner or operator
must request a permit modification no later than 30 days after the
unexpected event. An owner or operator of a surface impoundment or
waste pile that intends to remove all hazardous waste at closure and is
not otherwise required to prepare a contingent closure plan under
264.228(c)(1)(i) or 264.258(c)(1)(i), must submit an amended closure
plan to the Regional Administrator no later than 60 days from the date
that the owner or operator or Regional Administrator determines that the
hazardous waste management unit must be closed as a landfill, subject to
the requirements of 264.310, or no later than 30 days from that date if
the determination is made during partial or final closure. The Regional
Administrator will approve, disapprove, or modify this amended plan in
accordance with the procedures in parts 124 and 270. In accordance with
270.32 of this chapter, the approved closure plan will become a
condition of any RCRA permit issued.
(4) The Regional Administrator may request modifications to the plan
under the conditions described in 264.112(c)(2). The owner or operator
must submit the modified plan within 60 days of the Regional
Administrator's request, or within 30 days if the change in facility
conditions occurs during partial or final closure. Any modifications
requested by the Regional Administrator will be approved in accordance
with the procedures in parts 124 and 270.
(d) Notification of partial closure and final closure. (1) The owner
or operator must notify the Regional Administrator in writing at least
60 days prior to the date on which he expects to begin closure of a
surface impoundment, waste pile, land treatment or landfill unit, or
final closure of a facility with such a unit. The owner or operator
must notify the Regional Administrator in writing at least 45 days prior
to the date on which he expects to begin final closure of a facility
with only treatment or storage tanks, container storage, or incinerator
units to be closed. The owner or operator must notify the Regional
Administrator in writing at least 45 days prior to the date on which he
expects to begin partial or final closure of a boiler or industrial
furnace, whichever is earlier.
(2) The date when he ''expects to begin closure'' must be either:
(i) No later than 30 days after the date on which any hazardous waste
management unit receives the known final volume of hazardous wastes, 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. If the owner or operator of a hazardous waste
management unit can demonstrate to the Regional Administrator that the
hazardous waste management unit or facility has the capacity to receive
additional hazardous wastes and he has taken all steps to prevent
threats to human health and the environment, including compliance with
all applicable permit requirements, the Regional Administrator may
approve an extension to this one-year limit; or
(ii) For units meeting the requirements of 264.113(d), no later than
30 days after the date on which the hazardous waste management unit
receives the known final volume of non-hazardous wastes, or if there is
a reasonable possibility that the hazardous waste management unit will
receive additional non-hazardous wastes, no later than one year after
the date on which the unit received the most recent volume of
non-hazardous wastes. If the owner or operator can demonstrate to the
Regional Administrator that the hazardous waste management unit has the
capacity to receive additional non-hazardous wastes and he has taken,
and will continue to take, all steps to prevent threats to human health
and the environment, including compliance with all applicable permit
requirements, the Regional Administrator may approve an extension to
this one-year limit.
(3) If the facility's permit is terminated, or if the facility is
otherwise ordered, by judicial decree or final order under section 3008
of RCRA, to cease receiving hazardous wastes or to close, then the
requirements of this paragraph do not apply. However, the owner or
operator must close the facility in accordance with the deadlines
established in 264.113.
(e) Removal of wastes and decontamination or dismantling of
equipment. Nothing in this section shall preclude the owner or operator
from removing hazardous wastes and decontaminating or dismantling
equipment in accordance with the approved partial or final closure plan
at any time before or after notification of partial or final closure.
(51 FR 16444, May 2, 1986, as amended at 52 FR 46963, Dec. 10, 1987;
53 FR 37935, Sept. 28, 1988; 54 FR 33394, Aug. 14, 1989; 56 FR 7207,
Feb. 21, 1991)
40 CFR 264.113 Closure; time allowed for closure.
(a) Within 90 days after receiving the final volume of hazardous
wastes, or the final volume of non-hazardous wastes if the owner or
operator complies with all applicable requirements in paragraphs (d) and
(e) of this section, at a hazardous waste management unit or facility,
the owner or operator must treat, remove from the unit or facility, or
dispose of on-site, all hazardous wastes in accordance with the approved
closure plan. The Regional Administrator may approve a longer period if
the owner or operator complies with all applicable requirements for
requesting a modification to the permit and demonstrates that:
(1)(i) The activities required to comply with this paragraph will, of
necessity, take longer than 90 days to complete; or
(ii)(A) The hazardous waste management unit or facility has the
capacity to receive additional hazardous wastes, or has the capacity to
receive non-hazardous wastes if the owner or operator complies with
paragraphs (d) and (e) of this section; and
(B) There is a reasonable likelihood that he or another person will
recommence operation of the hazardous waste management unit or the
facility within one year; and
(C) Closure of the hazardous waste management unit or facility would
be incompatible with continued operation of the site; and
(2) He has taken and will continue to take all steps to prevent
threats to human health and the environment, including compliance with
all applicable permit requirements.
(b) The owner or operator must complete partial and final closure
activities in accordance with the approved closure plan and within 180
days after receiving the final volume of hazardous wastes, or the final
volume of non-hazardous wastes if the owner or operator complies with
all applicable requirements in paragraphs (d) and (e) of this section,
at the hazardous waste management unit or facility. The Regional
Administrator may approve an extension to the closure period if the
owner or operator complies with all applicable requirements for
requesting a modification to the permit and demonstrates that:
(1)(i) The partial or final closure activities will, of necessity,
take longer than 180 days to complete; or
(ii)(A) The hazardous waste management unit or facility has the
capacity to receive additional hazardous wastes, or has the capacity to
receive non-hazardous wastes if the owner or operator complies with
paragraphs (d) and (e) of this section; and
(B) There is reasonable likelihood that he or another person will
recommence operation of the hazardous waste management unit or the
facility within one year; and
(C) Closure of the hazardous waste management unit or facility would
be incompatible with continued operation of the site; and
(2) He has taken and will continue to take all steps to prevent
threats to human health and the environment from the unclosed but not
operating hazardous waste management unit or facility, including
compliance with all applicable permit requirements.
(c) The demonstrations referred to in paragraphs (a)(1) and (b)(1) of
this section must be made as follows:
(1) The demonstrations in paragraph (a)(1) of this section must be
made at least 30 days prior to the expiration of the 90-day period in
paragraph (a) of this section; and
(2) The demonstration in paragraph (b)(1) of this section must be
made at least 30 days prior to the expiration of the 180-day period in
paragraph (b) of this section, unless the owner or operator is otherwise
subject to the deadlines in paragraph (d) of this section.
(d) The Regional Administrator may allow an owner or operator to
receive only non-hazardous wastes in a landfill, land treatment, or
surface impoundment unit after the final receipt of hazardous wastes at
that unit if:
(1) The owner or operator requests a permit modification in
compliance with all applicable requirements in parts 270 and 124 of this
title and in the permit modification request demonstrates that:
(i) The unit has the existing design capacity as indicated on the
part A application to receive non-hazardous wastes; and
(ii) There is a reasonable likelihood that the owner or operator or
another person will receive non-hazardous wastes in the unit within one
year after the final receipt of hazardous wastes; and
(iii) The non-hazardous wastes will not be incompatible with any
remaining wastes in the unit, or with the facility design and operating
requirements of the unit or facility under this part; and
(iv) Closure of the hazardous waste management unit would be
incompatible with continued operation of the unit or facility; and
(v) The owner or operator is operating and will continue to operate
in compliance with all applicable permit requirements; and
(2) The request to modify the permit includes an amended waste
analysis plan, ground-water monitoring and response program, human
exposure assessment required under RCRA section 3019, and closure and
post-closure plans, and updated cost estimates and demonstrations of
financial assurance for closure and post-closure care as necessary and
appropriate, to reflect any changes due to the presence of hazardous
constituents in the non-hazardous wastes, and changes in closure
activities, including the expected year of closure if applicable under
264.112(b)(7), as a result of the receipt of non-hazardous wastes
following the final receipt of hazardous wastes; and
(3) The request to modify the permit includes revisions, as necessary
and appropriate, to affected conditions of the permit to account for the
receipt of non-hazardous wastes following receipt of the final volume of
hazardous wastes; and
(4) The request to modify the permit and the demonstrations referred
to in paragraphs (d)(1) and (d)(2) of this section are submitted to the
Regional Administrator no later than 120 days prior to the date on which
the owner or operator of the facility receives the known final volume of
hazardous wastes at the unit, or no later than 90 days after the
effective date of this rule in the state in which the unit is located,
whichever is later.
(e) In addition to the requirements in paragraph (d) of this section,
an owner or operator of a hazardous waste surface impoundment that is
not in compliance with the liner and leachate collection system
requirements in 42 U.S.C. 3004(o)(1) and 3005(j)(1) or 42 U.S.C. 3004(o)
(2) or (3) or 3005(j) (2), (3), (4) or (13) must:
(1) Submit with the request to modify the permit:
(i) A contingent corrective measures plan, unless a corrective action
plan has already been submitted under 264.99; and
(ii) A plan for removing hazardous wastes in compliance with
paragraph (e)(2) of this section; and
(2) Remove all hazardous wastes from the unit by removing all
hazardous liquids, and removing all hazardous sludges to the extent
practicable without impairing the integrity of the liner(s), if any.
(3) Removal of hazardous wastes must be completed no later than 90
days after the final receipt of hazardous wastes. The Regional
Administrator may approve an extension to this deadline if the owner or
operator demonstrates that the removal of hazardous wastes will, of
necessity, take longer than the allotted period to complete and that an
extension will not pose a threat to human health and the environment.
(4) If a release that is a statistically significant increase (or
decrease in the case of pH) over background values for detection
monitoring parameters or constituents specified in the permit or that
exceeds the facility's ground-water protection standard at the point of
compliance, if applicable, is detected in accordance with the
requirements in subpart F of this part, the owner or operator of the
unit:
(i) Must implement corrective measures in accordance with the
approved contingent corrective measures plan required by paragraph
(e)(1) of this section no later than one year after detection of the
release, or approval of the contingent corrective measures plan,
whichever is later;
(ii) May continue to receive wastes at the unit following detection
of the release only if the approved corrective measures plan includes a
demonstration that continued receipt of wastes will not impede
corrective action; and
(iii) May be required by the Regional Administrator to implement
corrective measures in less than one year or to cease the receipt of
wastes until corrective measures have been implemented if necessary to
protect human health and the environment.
(5) During the period of corrective action, the owner or operator
shall provide semi-annual reports to the Regional Administrator that
describe the progress of the corrective action program, compile all
ground-water monitoring data, and evaluate the effect of the continued
receipt of non-hazardous wastes on the effectiveness of the corrective
action.
(6) The Regional Administrator may require the owner or operator to
commence closure of the unit if the owner or operator fails to implement
corrective action measures in accordance with the approved contingent
corrective measures plan within one year as required in paragraph (e)(4)
of this section, or fails to make substantial progress in implementing
corrective action and achieving the facility's ground-water protection
standard or background levels if the facility has not yet established a
ground-water protection standard.
(7) If the owner or operator fails to implement corrective measures
as required in paragraph (e)(4) of this section, or if the Regional
Administrator determines that substantial progress has not been made
pursuant to paragraph (e)(6) of this section he shall:
(i) Notify the owner or operator in writing that the owner or
operator must begin closure in accordance with the deadlines in
paragraphs (a) and (b) of this section and provide a detailed statement
of reasons for this determination, and
(ii) Provide the owner or operator and the public, through a
newspaper notice, the opportunity to submit written comments on the
decision no later than 20 days after the date of the notice.
(iii) If the Regional Administrator receives no written comments, the
decision will become final five days after the close of the comment
period. The Regional Administrator will notify the owner or operator
that the decision is final, and that a revised closure plan, if
necessary, must be submitted within 15 days of the final notice and that
closure must begin in accordance with the deadlines in paragraphs (a)
and (b) of this section.
(iv) If the Regional Administrator receives written comments on the
decision, he shall make a final decision within 30 days after the end of
the comment period, and provide the owner or operator in writing and the
public through a newspaper notice, a detailed statement of reasons for
the final decision. If the Regional Administrator determines that
substantial progress has not been made, closure must be initiated in
accordance with the deadlines in paragraphs (a) and (b) of this section.
(v) The final determinations made by the Regional Administrator under
paragraphs (e)(7) (iii) and (iv) of this section are not subject to
administrative appeal.
(51 FR 16444, May 2, 1986, as amended at 54 FR 33394, Aug. 14, 1989)
40 CFR 264.114 Disposal or decontamination of equipment, structures and
soils.
During the partial and final closure periods, all contaminated
equipment, structures and soils must be properly disposed of or
decontaminated unless otherwise specified in 264.197, 264.228,
264.258, 264.280 or 264.310. By removing any hazardous wastes or
hazardous constituents during partial and final closure, the owner or
operator may become a generator of hazardous waste and must handle that
waste in accordance with all applicable requirements of part 262 of this
chapter.
(51 FR 16444, May 2, 1986, as amended at 52 FR 46963, Dec. 10, 1987;
53 FR 34086, Sept. 2, 1988)
40 CFR 264.115 Certification of closure.
Within 60 days of completion of closure of each hazardous waste
surface impoundment, waste pile, land treatment, and landfill unit, and
within 60 days of the completion of final closure, the owner or operator
must submit to the Regional Administrator, by registered mail, a
certification that the hazardous waste management unit or facility, as
applicable, has been closed in accordance with the specifications in the
approved closure plan. The certification must be signed by the owner or
operator and by an independent registered professional engineer.
Documentation supporting the independent registered professional
engineer's certification must be furnished to the Regional Administrator
upon request until he releases the owner or operator from the financial
assurance requirements for closure under 264.143(i).
40 CFR 264.116 Survey plat.
No later than the submission of the certification of closure of each
hazardous waste disposal unit, the owner or operator must submit to the
local zoning authority, or the authority with jurisdiction over local
land use, and to the Regional Administrator, a survey plat indicating
the location and dimensions of landfills cells or other hazardous waste
disposal units with respect to permanently surveyed benchmarks. This
plat must be prepared and certified by a professional land surveyor.
The plat filed with the local zoning authority, or the authority with
jurisdiction over local land use, must contain a note, prominently
displayed, which states the owner's or operator's obligation to restrict
disturbance of the hazardous waste disposal unit in accordance with the
applicable subpart G regulations.
40 CFR 264.117 Post-closure care and use of property.
(a)(1) Post-closure care for each hazardous waste management unit
subject to the requirements of 264.117 through 264.120 must begin
after completion of closure of the unit and continue for 30 years after
that date and must consist of at least the following:
(i) Monitoring and reporting in accordance with the requirements of
subparts F, K, L, M, N, and X of this part; and
(ii) Maintenance and monitoring of waste containment systems in
accordance with the requirements of subparts F, K, L, M, N, and X of
this part.
(2) Any time preceding partial closure of a hazardous waste
management unit subject to post-closure care requirements or final
closure, or any time during the post-closure period for a particular
unit, the Regional Administrator may, in accordance with the permit
modification procedures in parts 124 and 270:
(i) Shorten the post-closure care period applicable to the hazardous
waste management unit, or facility, if all disposal units have been
closed, if he finds that the reduced period is sufficient to protect
human health and the environment (e.g., leachate or ground-water
monitoring results, characteristics of the hazardous wastes, application
of advanced technology, or alternative disposal, treatment, or re-use
techniques indicate that the hazardous waste management unit or facility
is secure); or
(ii) Extend the post-closure care period applicable to the hazardous
waste management unit or facility if he finds that the extended period
is necessary to protect human health and the environment (e.g., leachate
or ground-water monitoring results indicate a potential for migration of
hazardous wastes at levels which may be harmful to human health and the
environment).
(b) The Regional Administrator may require, at partial and final
closure, continuation of any of the security requirements of 264.14
during part or all of the post-closure period when:
(1) Hazardous wastes may remain exposed after completion of partial
or final closure; or
(2) Access by the public or domestic livestock may pose a hazard to
human health.
(c) Post-closure use of property on or in which hazardous wastes
remain after partial or final closure must never be allowed to disturb
the integrity of the final cover, liner(s), or any other components of
the containment system, or the function of the facility's monitoring
systems, unless the Regional Administrator finds that the disturbance:
(1) Is necessary to the proposed use of the property, and will not
increase the potential hazard to human health or the environment; or
(2) Is necessary to reduce a threat to human health or the
environment.
(d) All post-closure care activities must be in accordance with the
provisions of the approved post-closure plan as specified in 264.118.
(51 FR 16444, May 2, 1986, as amended at 52 FR 46963, Dec. 10, 1987)
40 CFR 264.118 Post-closure plan; amendment of plan.
(a) Written Plan. The owner or operator of a hazardous waste
disposal unit must have a written post-closure plan. In addition,
certain surface impoundments and waste piles from which the owner or
operator intends to remove or decontaminate the hazardous wastes 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. Owners or
operators of surface impoundments and waste piles not otherwise required
to prepare contingent post-closure plans under 264.228(c)(1)(ii) and
264.258(c)(1)(ii) must submit a post-closure plan to the Regional
Administrator within 90 days from the date that the owner or operator or
Regional administrator determines that the hazardous waste management
unit must be closed as a landfill, subject to the requirements of
264.117 through 264.120. The plan must be submitted with the permit
application, in accordance with 270.14(b)(13) of this chapter, and
approved by the Regional Administrator as part of the permit issuance
procedures under part 124 of this chapter. In accordance with 270.32
of this chapter, the approved post-closure plan will become a condition
of any RCRA permit issued.
(b) For each hazardous waste management unit subject to the
requirements of this section, the post-closure plan must identify the
activities that will be carried on after closure of each disposal unit
and the frequency of these activities, and include at least:
(1) A description of the planned monitoring activities and
frequencies at which they will be performed to comply with subparts F,
K, L, M, N, and X of this part during the post-closure care period; and
(2) A description of the planned maintenance activities, and
frequencies at which they will be performed, to ensure:
(i) The integrity of the cap and final cover or other containment
systems in accordance with the requirements of subparts F, K, L, M, N,
and X of this part; and
(ii) The function of the monitoring equipment in accordance with the
requirements of subparts, F, K, L, M, N, and X of this part; and
(3) 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.
(c) Until final closure of the facility, a copy of the approved
post-closure plan must be furnished to the Regional Administrator upon
request, including request by mail. After final closure has been
certified, the person or office specified in 264.188(b)(3) must keep
the approved post-closure plan during the remainder of the post-closure
period.
(d) Amendment of plan. The owner or operator must submit a written
notification of or request for a permit modification to authorize a
change in the approved post-closure plan in accordance with the
applicable requirements in parts 124 and 270. The written notification
or request must include a copy of the amended post-closure plan for
review or approval by the Regional Administrator.
(1) The owner or operator may submit a written notification or
request to the Regional Administrator for a permit modification to amend
the post-closure plan at any time during the active life of the facility
or during the post-closure care period.
(2) The owner or operator must submit a written notification of or
request for a permit modification to authorize a change in the approved
post-closure plan whenever:
(i) Changes in operating plans or facility design affect the approved
post-closure plan, or
(ii) There is a change in the expected year of final closure, if
applicable, or
(iii) Events which occur during the active life of the facility,
including partial and final closures, affect the approved post-closure
plan.
(3) The owner or operator must submit a written request for a permit
modification at least 60 days prior to the proposed change in facility
design or operation, or no later than 60 days after an unexpected event
has occurred which has affected the post-closure plan. An owner or
operator of a surface impoundment or waste pile that intends to remove
all hazardous waste at closure and is not otherwise required to submit a
contingent post-closure plan under 264.228(c)(1)(ii) and
264.258(c)(1)(ii) must submit a post-closure plan to the Regional
Administrator no later than 90 days after the date that the owner or
operator or Regional Administrator determines that the hazardous waste
management unit must be closed as a landfill, subject to the
requirements of 264.310. The Regional Administrator will approve,
disapprove or modify this plan in accordance with the procedures in
parts 124 and 270. In accordance with 270.32 of this chapter, the
approved post-closure plan will become a permit condition.
(4) The Regional Administrator may request modifications to the plan
under the conditions described in 264.118(d)(2). 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 post-closure plan. Any modifications requested by the
Regional Administrator will be approved, disapproved, or modified in
accordance with the procedures in parts 124 and 270.
(51 FR 16444, May 2, 1986, as amended at 52 FR 46964, Dec. 10, 1987;
53 FR 37935, Sept. 28,1988)
40 CFR 264.119 Post-closure notices.
(a) No later than 60 days after certification of closure of each
hazardous waste disposal unit, the owner or operator must submit to the
local zoning authority, or 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. For hazardous wastes disposed
of before January 12, 1981, the owner or operator must identify the
type, location, and quantity of the hazardous wastes to the best of his
knowledge and in accordance with any records he has kept.
(b) Within 60 days of certification of closure of the first hazardous
waste disposal unit and within 60 days of certification of closure of
the last hazardous waste disposal unit, the owner or operator must:
(1) Record, in accordance with State law, a notation on the deed to
the facility property -- or on some other instrument which is normally
examined during title search -- that will in perpetuity notify any
potential purchaser of the property that:
(i) The land has been used to manage hazardous wastes; and
(ii) Its use is restricted under 40 CFR subpart G regulations; and
(iii) The survey plat and record of the type, location, and quantity
of hazardous wastes disposed of within each cell or other hazardous
waste disposal unit of the facility required by 264.116 and 264.119(a)
have been filed with the local zoning authority or the authority with
jurisdiction over local land use and with the Regional Administrator;
and
(2) Submit a certification, signed by the owner or operator, that he
has recorded the notation specified in paragraph (b)(1) of this section,
including a copy of the document in which the notation has been placed,
to the Regional Administrator.
(c) If the owner or operator or any subsequent owner or operator of
the land upon which a hazardous waste disposal unit is located wishes to
remove hazardous wastes and hazardous waste residues, the liner, if any,
or contaminated soils, he must request a modification to the
post-closure permit in accordance with the applicable requirements in
parts 124 and 270. The owner or operator must demonstrate that the
removal of hazardous wastes will satisfy the criteria of 264.117(c). By
removing hazardous waste, the owner or operator may become a generator
of hazardous waste and must manage it in accordance with all applicable
requirements of this chapter. If he is granted a permit modification or
otherwise granted approval to conduct such removal activities, the owner
or operator may request that the Regional Administrator approve either:
(1) The removal of the notation on the deed to the facility property
or other instrument normally examined during title search; or
(2) The addition of a notation to the deed or instrument indicating
the removal of the hazardous waste.
40 CFR 264.120 Certification of completion of post-closure care.
No later than 60 days after completion of the established
post-closure care period for each hazardous waste disposal unit, the
owner or operator must submit to the Regional Administrator, by
registered mail, a certification that the post-closure care period for
the hazardous waste disposal unit was performed in accordance with the
specifications in the approved post-closure plan. The certification
must be signed by the owner or operator and an independent registered
professional engineer. Documentation supporting the independent
registered professional engineer's certification must be furnished to
the Regional Administrator upon request until he releases the owner or
operator from the financial assurance requirements for post-closure care
under 264.145(i).
(The information collection requirements in subpart G are approved by
the Office of Management and Budget under control number 2050-0008)
40 CFR 264.120 Subpart H -- Financial Requirements
Source: 47 FR 15047, Apr. 7, 1982, unless otherwise noted.
40 CFR 264.140 Applicability.
(a) The requirements of 264.142, 264.143, and 264.147 through
264.151 apply to owners and operators of all hazardous waste facilities,
except as provided otherwise in this section or in 264.1.
(b) The requirements of 264.144 and 264.145 apply only to owners
and operators of:
(1) Disposal facilities, and
(2) Piles, and surface impoundments from which the owner or operator
intends to remove the wastes at closure, to the extent that these
sections are made applicable to such facilities in 264.228 and
264.258.
(3) Tank systems that are required under 264.197 to meet the
requirements for landfills.
(c) States and the Federal government are exempt from the
requirements of this subpart.
(47 FR 15047, Apr. 7, 1982, as amended at 47 FR 32357, July 26, 1982;
51 FR 25472, July 14, 1986)
40 CFR 264.141 Definitions of terms as used in this subpart.
(a) Closure plan means the plan for closure prepared in accordance
with the requirements of 264.112.
(b) Current closure cost estimate means the most recent of the
estimates prepared in accordance with 264.142 (a), (b), and (c).
(c) Current post-closure cost estimate means the most recent of the
estimates prepared in accordance with 264.144 (a), (b), and (c).
(d) Parent corporation means a corporation which directly owns at
least 50 percent of the voting stock of the corporation which is the
facility owner or operator; the latter corporation is deemed a
''subsidiary'' of the parent corporation.
(e) Post-closure plan means the plan for post-closure care prepared
in accordance with the requirements of 264.117 through 264.120.
(f) The following terms are used in the specifications for the
financial tests for closure, post-closure care, and liability coverage.
The definitions are intended to assist in the understanding of these
regulations and are not intended to limit the meanings of terms in a way
that conflicts with generally accepted accounting practices.
Assets means all existing and all probable future economic benefits
obtained or controlled by a particular entity.
Current assets means cash or other assets or resources commonly
identified as those which are reasonably expected to be realized in cash
or sold or consumed during the normal operating cycle of the business.
Current liabilities means obligations whose liquidation is reasonably
expected to require the use of existing resources properly classifiable
as current assets or the creation of other current liabilities.
Current plugging and abandonment cost estimate means the most recent
of the estimates prepared in accordance with 144.62(a), (b), and (c) of
this title.
Independently audited refers to an audit performed by an independent
certified public accountant in accordance with generally accepted
auditing standards.
Liabilities means probable future sacrifices of economic benefits
arising from present obligations to transfer assets or provide services
to other entities in the future as a result of past transactions or
events.
Net working capital means current assets minus current liabilities.
Net worth means total assets minus total liabilities and is
equivalent to owner's equity.
Tangible net worth means the tangible assets that remain after
deducting liabilities; such assets would not include intangibles such
as goodwill and rights to patents or royalties.
(g) In the liability insurance requirements the terms bodily injury
and property damage shall have the meanings given these terms by
applicable State law. However, these terms do not include those
liabilities which, consistent with standard industry practices, are
excluded from coverage in liability policies for bodily injury and
property damage. The Agency intends the meanings of other terms used in
the liability insurance requirements to be consistent with their common
meanings within the insurance industry. The definitions given below of
several of the terms are intended to assist in the understanding of
these regulations and are not intended to limit their meanings in a way
that conflicts with general insurance industry usage.
Accidental occurrence means an accident, including continuous or
repeated exposure to conditions, which results in bodily injury or
property damage neither expected nor intended from the standpoint of the
insured.
Legal defense costs means any expenses that an insurer incurs in
defending against claims of third parties brought under the terms and
conditions of an insurance policy.
Nonsudden accidental occurrence means an occurrence which takes place
over time and involves continuous or repeated exposure.
Sudden accidental occurrence means an occurrence which is not
continuous or repeated in nature.
(h) Substantial business relationship means the extent of a business
relationship necessary under applicable State law to make a guarantee
contract issued incident to that relationship valid and enforceable. A
''substantial business relationship'' must arise from a pattern of
recent or ongoing business transactions, in addition to the guarantee
itself, such that a currently existing business relationship between the
guarantor and the owner or operator is demonstrated to the satisfaction
of the applicable EPA Regional Administrator.
(47 FR 16554, Apr. 16, 1982, as amended at 51 FR 16447, May 2, 1986;
53 FR 33950, Sept. 1, 1988)
40 CFR 264.142 Cost estimate for closure.
(a) The owner or operator must have a detailed written estimate, in
current dollars, of the cost of closing the facility in accordance with
the requirements in 264.111 through 264.115 and applicable closure
requirements in 264.178, 264.197, 264.228, 264.258, 264.280, 264.310,
264.351, and 264.601 through 264.603.
(1) The estimate must equal the cost 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
(see 264.112(b)); and
(2) The closure cost estimate must be based on the costs to the owner
or operator of hiring a third party to close the facility. A third
party is a party who is neither a parent nor a subsidiary of the owner
or operator. (See definition of parent corporation in 264.141(d).) The
owner or operator may use costs for on-site disposal if he can
demonstrate that on-site disposal capacity will exist at all times over
the life of the facility.
(3) The closure cost estimate may not incorporate any salvage value
that may be realized with the sale of hazardous wastes, or non-hazardous
wastes if applicable under 264.113(d), facility structures or
equipment, land, or other assets associated with the facility at the
time of partial or final closure.
(4) The owner or operator may not incorporate a zero cost for
hazardous wastes, or non-hazardous wastes if applicable under
264.113(d), that might have economic value.
(b) During the active life of the facility, the owner or operator
must adjust the closure cost estimate for inflation within 60 days prior
to the anniversary date of the establishment of the financial
instrument(s) used to comply with 264.143. For owners and operators
using the financial test or corporate guarantee, the closure cost
estimate must be updated for inflation within 30 days after the close of
the firm's fiscal year and before submission of updated information to
the Regional Administrator as specified in 264.143(f)(3). The
adjustment may be made by recalculating the maximum costs of closure in
current dollars, or by using an inflation factor derived from the most
recent Implicit Price Deflator for Gross National Product published by
the U.S. Department of Commerce in its Survey of Current Business, as
specified in paragraphs (b)(1) and (2) of this section. The inflation
factor is the result of dividing the latest published annual Deflator by
the Deflator for the previous year.
(1) The first adjustment is made by multiplying the closure cost
estimate by the inflation factor. The result is the adjusted closure
cost estimate.
(2) Subsequent adjustments are made by mutliplying the lastest
adjusted closure cost estimate by the latest inflation factor.
(c) During the active life of the facility, the owner or operator
must revise the closure cost estimate no later than 30 days after the
Regional Administrator has approved the request to modify the closure
plan, if the change in the closure plan increases the cost of closure.
The revised closure cost estimate must be adjusted for inflation as
specified in 264.142(b).
(d) The owner or operator must keep the following at the facility
during the operating life of the facility: The latest closure cost
estimate prepared in accordance with 264.142 (a) and (c) and, when this
estimate has been adjusted in accordance with 264.142(b), the latest
adjusted closure cost estimate.
(Approved by the Office of Management and Budget under control number
2050-0036)
(47 FR 15047, Apr. 7, 1982, as amended at 50 FR 4514, Jan. 31, 1985;
51 FR 16447, May 2, 1986; 52 FR 46964, Dec. 10, 1987; 54 FR 33395,
Aug. 14, 1989)
40 CFR 264.143 Financial assurance for closure.
An owner or operator of each facility must establish financial
assurance for closure of the facility. He must choose from the options
as specified in paragraphs (a) through (f) of this section.
(a) Closure trust fund. (1) An owner or operator may satisfy the
requirements of this section by establishing a closure trust fund which
conforms to the requirements of this paragraph and submitting an
originally signed duplicate of the trust agreement to the Regional
Administrator. An owner or operator of a new facility must submit the
originally signed duplicate of the trust agreement to the Regional
Administrator at least 60 days before the date on which hazardous waste
is first received for treatment, storage, or disposal. The trustee must
be an entity which has the authority to act as a trustee and whose trust
operations are regulated and examined by a Federal or State agency.
(2) The wording of the trust agreement must be identical to the
wording specified in 264.151(a)(1), and the trust agreement must be
accompanied by a formal certification of acknowledgment (for example,
see 264.151(a)(2)). Schedule A of the trust agreement must be updated
within 60 days after a change in the amount of the current closure cost
estimate covered by the agreement.
(3) Payments into the trust fund must be made annually by the owner
or operator over the term of the initial RCRA permit or over the
remaining operating life of the facility as estimated in the closure
plan, whichever period is shorter; this period is hereafter referred to
as the ''pay-in period.'' The payments into the closure trust fund must
be made as follows:
(i) For a new facility, the first payment must be made before the
initial receipt of hazardous waste for treatment, storage, or disposal.
A receipt from the trustee for this payment must be submitted by the
owner or operator to the Regional Administrator before this initial
receipt of hazardous waste. The first payment must be at least equal to
the current closure cost estimate, except as provided in 264.143(g),
divided by the number of years in the pay-in period. Subsequent
payments must be made no later than 30 days after each anniversary date
of the first payment. The amount of each subsequent payment must be
determined by this formula:
where CE is the current closure cost estimate, CV is the current
value of the trust fund, and Y is the number of years remaining in the
pay-in period.
(ii) If an owner or operator establishes a trust fund as specified in
265.143(a) of this chapter, and the value of that trust fund is less
than the current closure cost estimate when a permit is awarded for the
facility, the amount of the current closure cost estimate still to be
paid into the trust fund must be paid in over the pay-in period as
defined in paragraph (a)(3) of this section. Payments must continue to
be made no later than 30 days after each anniversary date of the first
payment made pursuant to part 265 of this chapter. The amount of each
payment must be determined by this formula:
where CE is the current closure cost estimate, CV is the current
value of the trust fund, and Y is the number of years remaining in the
pay-in period.
(4) The owner or operator may accelerate payments into the trust fund
or he may deposit the full amount of the current closure cost estimate
at the time the fund is established. However, he must maintain the
value of the fund at no less than the value that the fund would have if
annual payments were made as specified in paragraph (a)(3) of this
section.
(5) If the owner or operator establishes a closure trust fund after
having used one or more alternate mechanisms specified in this section
or in 265.143 of this chapter, his first payment must be in at least
the amount that the fund would contain if the trust fund were
established initially and annual payments made according to
specifications of this paragraph and 265.143(a) of this chapter, as
applicable.
(6) After the pay-in period is completed, whenever the current
closure cost estimate changes, the owner or operator must compare the
new estimate with the trustee's most recent annual valuation of the
trust fund. If the value of the fund is less than the amount of the new
estimate, the owner or operator, within 60 days after the change in the
cost estimate, must either deposit an amount into the fund so that its
value after this deposit at least equals the amount of the current
closure cost estimate, or obtain other financial assurance as specified
in this section to cover the difference.
(7) If the value of the trust fund is greater than the total amount
of the current closure cost estimate, the owner or operator may submit a
written request to the Regional Administrator for release of the amount
in excess of the current closure cost estimate.
(8) If an owner or operator substitutes other financial assurance as
specified in this section for all or part of the trust fund, he may
submit a written request to the Regional Administrator for release of
the amount in excess of the current closure cost estimate covered by the
trust fund.
(9) Within 60 days after receiving a request from the owner or
operator for release of funds as specified in paragraph (a) (7) or (8)
of this section, the Regional Administrator will instruct the trustee to
release to the owner or operator such funds as the Regional
Administrator specifies in writing.
(10) After beginning partial or final closure, an owner or operator
or another person authorized to conduct partial or final closure may
request reimbursements for partial or final closure expenditures by
submitting itemized bills to the Regional Administrator. The owner or
operator may request reimbursements for partial closure only if
sufficient funds are remaining in the trust fund to cover the maximum
costs of closing the facility over its remaining operating life. Within
60 days after receiving bills for partial or final closure activities,
the Regional Administrator will instruct the trustee to make
reimbursements in those amounts as the Regional Administrator specifies
in writing, if the Regional Administrator determines that the partial or
final closure expenditures are in accordance with the approved closure
plan, or otherwise justified. If the Regional Administrator has reason
to believe that the maximum cost of closure over the remaining life of
the facility will be significantly greater than the value of the trust
fund, he may withhold reimbursements of such amounts as he deems prudent
until he determines, in accordance with 264.143(i) that the owner or
operator is no longer required to maintain financial assurance for final
closure of the facility. If the Regional Administrator does not
instruct the trustee to make such reimbursements, he will provide the
owner or operator with a detailed written statement of reasons.
(11) The Regional Administrator will agree to termination of the
trust when:
(i) An owner or operator substitutes alternate financial assurance as
specified in this section; or
(ii) The Regional Administrator releases the owner or operator from
the requirements of this section in accordance with 264.143(i).
(b) Surety bond guaranteeing payment into a closure trust fund. (1)
An owner or operator may satisfy the requirements of this section by
obtaining a surety bond which conforms to the requirements of this
paragraph and submitting the bond to the Regional Administrator. An
owner or operator of a new facility must submit the bond to the Regional
Administrator at least 60 days before the date on which hazardous waste
is first received for treatment, storage, or disposal. The bond must be
effective before this initial receipt of hazardous waste. The surety
company issuing the bond must, at a minimum, be among those listed as
acceptable sureties on Federal bonds in Circular 570 of the U.S.
Department of the Treasury.
(2) The wording of the surety bond must be identical to the wording
specified in 264.151(b).
(3) The owner or operator who uses a surety bond to satisfy the
requirements of this section must also establish a standby trust fund.
Under the terms of the bond, all payments made thereunder will be
deposited by the surety directly into the standby trust fund in
accordance with instructions from the Regional Administrator. This
standby trust fund must meet the requirements specified in 264.143(a),
except that:
(i) An originally signed duplicate of the trust agreement must be
submitted to the Regional Administrator with the surety bond; and
(ii) Until the standby trust fund is funded pursuant to the
requirements of this section, the following are not required by these
regulations:
(A) Payments into the trust fund as specified in 264.143(a);
(B) Updating of Schedule A of the trust agreement (see 264.151(a))
to show current closure cost estimates;
(C) Annual valuations as required by the trust agreement; and
(D) Notices of nonpayment as required by the trust agreement.
(4) The bond must guarantee that the owner or operator will:
(i) Fund the standby trust fund in an amount equal to the penal sum
of the bond before the beginning of final closure of the facility; or
(ii) Fund the standby trust fund in an amount equal to the penal sum
within 15 days after an administrative order to begin final closure
issued by the Regional Administrator becomes final, or within 15 days
after an order to begin final closure is issued by a U.S. district
court or other court of competent jurisdiction; or
(iii) Provide alternate financial assurance as specified in this
section, and obtain the Regional Administrator's written approval of the
assurance provided, within 90 days after receipt by both the owner or
operator and the Regional Administrator of a notice of cancellation of
the bond from the surety.
(5) Under the terms of the bond, the surety will become liable on the
bond obligation when the owner or operator fails to perform as
guaranteed by the bond.
(6) The penal sum of the bond must be in an amount at least equal to
the current closure cost estimate, except as provided in 264.143(g).
(7) Whenever the current closure cost estimate increases to an amount
greater then the penal sum, the owner or operator, within 60 days after
the increase, must either cause the penal sum to be increased to an
amount at least equal to the current closure cost estimate and submit
evidence of such increase to the Regional Administrator, or obtain other
financial assurance as specified in this section to cover the increase.
Whenever the current closure cost estimate decreases, the penal sum may
be reduced to the amount of the current closure cost estimate following
written approval by the Regional Administrator.
(8) Under the terms of the bond, the surety may cancel the bond by
sending notice of cancellation by certified mail to the owner or
operator and to the Regional Administrator. Cancellation may not occur,
however, during the 120 days beginning on the date of receipt of the
notice of cancellation by both the owner or operator and the Regional
Administrator, as evidence by the return receipts.
(9) The owner or operator may cancel the bond if the Regional
Administrator has given prior written consent based on his receipt of
evidence of alternate financial assurance as specified in this section.
(c) Surety bond guaranteeing performance of closure. (1) An owner or
operator may satisfy the requirements of this section by obtaining a
surety bond which conforms to the requirements of this paragraph and
submitting the bond to the Regional Administrator. An owner or operator
of a new facility must submit the bond to the Regional Administrator at
least 60 days before the date on which hazardous waste is first received
for treatment, storage, or disposal. The bond must be effective before
this initial receipt of hazardous waste. The surety company issuing the
bond must, at a minimum, be among those listed as acceptable sureties on
Federal bonds in Circular 570 of the U.S. Department of the Treasury.
(2) The wording of the surety bond must be identical to the wording
specified in 264.151(c).
(3) The owner or operator who uses a surety bond to satisfy the
requirements of this section must also establish a standby trust fund.
Under the terms of the bond, all payments made thereunder will be
deposited by the surety directly into the standby trust fund in
accordance with instructions from the Regional Administrator. This
standby trust must meet the requirements specified in 264.143(a),
except that:
(i) An originally signed duplicate of the trust agreement must be
submitted to the Regional Administrator with the surety bond; and
(ii) Unless the standby trust fund is funded pursuant to the
requirements of this section, the following are not required by these
regulations:
(A) Payments into the trust fund as specified in 264.143(a);
(B) Updating of Schedule A of the trust agreement (see 264.151(a))
to show current closure cost estimates;
(C) Annual valuations as required by the trust agreement; and
(D) Notices of nonpayment as required by the trust agreement.
(4) The bond must guarantee that the owner or operator will:
(i) Perform final closure in accordance with the closure plan and
other requirements of the permit for the facility whenever required to
do so; or
(ii) Provide alternate financial assurance as specified in this
section, and obtain the Regional Administrator's written approval of the
assurance provided, within 90 days after receipt by both the owner or
operator and the Regional Administrator of a notice of cancellation of
the bond from the surety.
(5) Under the terms of the bond, the surety will become liable on the
bond obligation when the owner or operator fails to perform as
guaranteed by the bond. Following a final administrative determination
pursuant to section 3008 of RCRA that the owner or operator has failed
to perform final closure in accordance with the approved closure plan
and other permit requirements when required to do so, under the terms of
the bond the surety will perform final closure as guaranteed by the bond
or will deposit the amount of the penal sum into the standby trust fund.
(6) The penal sum of the bond must be in an amount at least equal to
the current closure cost estimate.
(7) Whenever the current closure cost estimate increases to an amount
greater than the penal sum, the owner or operator, within 60 days after
the increase, must either cause the penal sum to be increased to an
amount at least equal to the current closure cost estimate and submit
evidence of such increase to the Regional Administrator, or obtain other
financial assurance as specified in this section. Whenever the current
closure cost estimate decreases, the penal sum may be reduced to the
amount of the current closure cost estimate following written approval
by the Regional Administrator.
(8) Under the terms of the bond, the surety may canel the bond by
sending notice of cancellation by certified mail to the owner or
operator and to the Regional Administrator. Cancellation may not occur,
however, during the 120 days beginning on the date of receipt of the
notice of cancellation by both the owner or operator and the Regional
Administrator, as evidenced by the return receipts.
(9) The owner or operator may cancel the bond if the Regional
Administrator has given prior written consent. The Regional
Administrator will provide such written consent when:
(i) An owner or operator substitutes alternate financial assurance as
specified in this section; or
(ii) The Regional Administrator releases the owner or operator from
the requirements of this section in accordance with 264.143(i).
(10) The surety will not be liable for deficiencies in the
performance of closure by the owner or operator after the Regional
Administrator releases the owner or operator from the requirements of
this section in accordance with 264.143(i).
(d) Closure letter of credit. (1) An owner or operator may satisfy
the requirements of this section by obtaining an irrevocable standby
letter of credit which conforms to the requirements of this paragraph
and submitting the letter to the Regional Administrator. An owner or
operator of a new facility must submit the letter of credit to the
Regional Administrator at least 60 days before the date on which
hazardous waste is first received for treatment, storage, or disposal.
The letter of credit must be effective before this initial receipt of
hazardous waste. The issuing institution must be an entity which has
the authority to issue letters of credit and whose letter-of-credit
operations are regulated and examined by a Federal or State agency.
(2) The wording of the letter of credit must be identical to the
wording specified in 264.151(d).
(3) An owner or operator who uses a letter of credit to satisfy the
requirements of this section must also establish a standby trust fund.
Under the terms of the letter of credit, all amounts paid pursuant to a
draft by the Regional Administrator will be deposited by the issuing
institution directly into the standby trust fund in accordance with
instructions from the Regional Administrator. This standby trust fund
must meet the requirements of the trust fund specified in 264.143(a),
except that:
(i) An originally signed duplicate of the trust agreement must be
submitted to the Regional Administrator with the letter of credit; and
(ii) Unless the standby trust fund is funded pursuant to the
requirements of this section, the following are not required by these
regulations:
(A) Payments into the trust fund as specified in 264.143(a);
(B) Updating of Schedule A of the trust agreement (see 264.151(a))
to show current closure cost estimates;
(C) Annual valuations as required by the trust agreement; and
(D) Notices of nonpayment as required by the trust agreement.
(4) The letter of credit must be accompanied by a letter from the
owner or operator referring to the letter of credit by number, issuing
institution, and date, and providing the following information: the EPA
Identification Number, name, and address of the facility, and the amount
of funds assured for closure of the facility by the letter of credit.
(5) The letter of credit must be irrevocable and issued for a period
of at least 1 year. The letter of credit must provide that the
expiration date will be automatically extended for a period of at least
1 year unless, at least 120 days before the current expiration date, the
issuing institution notifies both the owner or operator and the Regional
Administrator by certified mail of a decision not to extend the
expiration date. Under the terms of the letter of credit, the 120 days
will begin on the date when both the owner or operator and the Regional
Administrator have received the notice, as evidenced by the return
receipts.
(6) The letter of credit must be issued in an amount at least equal
to the current closure cost estimate, except as provided in 264.143(g).
(7) Whenever the current closure cost estimate increases to an amount
greater than the amount of the credit, the owner or operator, within 60
days after the increase, must either cause the amount of the credit to
be increased so that it at least equals the current closure cost
estimate and submit evidence of such increase to the Regional
Administrator, or obtain other financial assurance as specified in this
section to cover the increase. Whenever the current closure cost
estimate decreases, the amount of the credit may be reduced to the
amount of the current closure cost estimate following written approval
by the Regional Administrator.
(8) Following a final administrative determination pursuant to
section 3008 of RCRA that the owner or operator has failed to perform
final closure in accordance with the closure plan and other permit
requirements when required to do so, the Regional Administrator may draw
on the letter of credit.
(9) If the owner or operator does not establish alternate financial
assurance as specified in this section and obtain written approval of
such alternate assurance from the Regional Administrator within 90 days
after receipt by both the owner or operator and the Regional
Administrator of a notice from issuing institution that it has decided
not to extend the letter of credit beyond the current expiration date,
the Regional Administrator will draw on the letter of credit. The
Regional Administrator may delay the drawing if the issuing institution
grants an extension of the term of the credit. During the last 30 days
of any such extension the Regional Administrator will draw on the letter
of credit if the owner or operator has failed to provide alternate
financial assurance as specified in this section and obtain written
approval of such assurance from the Regional Administrator.
(10) The Regional Administrator will return the letter of credit to
the issuing institution for termination when:
(i) An owner or operator substitutes alternate financial assurance as
specified in this section; or
(ii) The Regional Administrator releases the owner or operator from
the requirements of this section in accordance with 264.143(i).
(e) Closure insurance. (1) An owner or operator may satisfy the
requirements of this section by obtaining closure insurance which
conforms to the requirements of this paragraph and submitting a
certificate of such insurance to the Regional Administrator. An owner
or operator of a new facility must submit the certificate of insurance
to the Regional Administrator at least 60 days before the date on which
hazardous waste is first received for treatment, storage, or disposal.
The insurance must be effective before this initial receipt of hazardous
waste. At a minimum, the insurer must be licensed to transact the
business of insurance, or eligible to provide insurance as an excess or
suplus lines insurer, in one or more States.
(2) The wording of the certificate of insurance must be identical to
the wording specified in 264.151(e).
(3) The closure insurance policy must be issued for a face amount at
least equal to the current closure cost estimate, except as provided in
264.143(g). The term ''face amount'' means the total amount the insurer
is obligated to pay under the policy. Actual payments by the insurer
will not change the face amount, although the insurer's future liability
will be lowered by the amount of the payments.
(4) The closure insurance policy must guarantee that funds will be
available to close the facility whenever final closure occurs. The
policy must also guarantee that once final closure begins, the insurer
will be responsible for paying out funds, up to an amount equal to the
face amount of the policy, upon the direction of the Regional
Administrator, to such party or parties as the Regional Administrator
specifies.
(5) After beginning partial or final closure, an owner or operator or
any other person authorized to conduct closure may request
reimbursements for closure expenditures by submitting itemized bills to
the Regional Administrator. The owner or operator may request
reimbursements for partial closure only if the remaining value of the
policy is sufficient to cover the maximum costs of closing the facility
over its remaining operating life. Within 60 days after receiving bills
for closure activities, the Regional Administrator will instruct the
insurer to make reimbursements in such amounts as the Regional
Administrator specifies in writing, if the Regional Administrator
determines that the partial or final closure expenditures are in
accordance with the approved closure plan or otherwise justified. If
the Regional Administrator has reason to believe that the maximum cost
of closure over the remaining life of the facility will be signficantly
greater than the face amount of the policy, he may withhold
reimbursements of such amounts as he deems prudent until he determines,
in accordance with 264.143(i), that the owner or operator is no longer
required to maintain financial assurance for final closure of the
facility. If the Regional Administrator does not instruct the insurer
to make such reimbursements, he will provide the owner or operator with
a detailed written statement of reasons.
(6) The owner or operator must maintain the policy in full force and
effect until the Regional Administrator consents to termination of the
policy by the owner or operator as specified in paragraph (e)(10) of
this section. Failure to pay the premium, without substitution of
alternate financial assurance as specified in this section, will
constitute a significant violation of these regulations, warranting such
remedy as the Regional Administrator deems necessary. Such violation
will be deemed to begin upon receipt by the Regional Adminstrator of a
notice of future cancellation, termination, or failure to renew due to
nonpayment of the premium, rather than upon the date of expiration.
(7) Each policy must contain a provision allowing assignment of the
policy to a successor owner or operator. Such assignment may be
conditional upon consent of the insurer, provided such consent is not
unreasonably refused.
(8) The policy must provide that the insurer may not cancel,
terminate, or fail to renew the policy except for failure to pay the
premium. The automatic renewal of the policy must, at a minimum,
provide the insured with the option of renewal at the face amount of the
expiring policy. If there is a failure to pay the premium, the insurer
may elect to cancel, terminate, or fail to renew the policy by sending
notice by certified mail to the owner or operator and the Regional
Administrator. Cancellation, termination, or failure to renew may not
occur, however, during the 120 days beginning with the date of receipt
of the notice by both the Regional Administrator and the owner or
operator, as evidenced by the return receipts. Cancellation,
termination, or failure to renew may not occur and the policy will
remain in full force and effect in the event that on or before the date
of expiration:
(i) The Regional Administrator deems the facility abandoned; or
(ii) The permit is terminated or revoked or a new permit is denied;
or
(iii) Closure is ordered by the Regional Administrator or a U.S.
district court or other court of competent jurisdiction; or
(iv) The owner or operator is named as debtor in a voluntary or
involuntary proceeding under Title 11 (Bankruptcy), U.S. Code; or
(v) The premium due is paid.
(9) Whenever the current closure cost estimate increases to an amount
greater than the face amount of the policy, the owner or operator,
within 60 days after the increase, must either cause the face amount to
be increased to an amount at least equal to the current closure cost
estimate and submit evidence of such increase to the Regional
Administrator, or obtain other financial assurance as specified in this
section to cover the increase. Whenever the current closure cost
estimate decreases, the face amount may be reduced to the amount of the
current closure cost estimate following written approval by the Regional
Administrator.
(10) The Regional Administrator will give written consent to the
owner or operator that he may terminate the insurance policy when:
(i) An owner or operator substitutes alternate financial assurance as
specified in this section; or
(ii) The Regional Administrator releases the owner or operator from
the requirements of this section in accordance with 264.143(i).
(f) Financial test and corporate guarantee for closure. (1) An owner
or operator may satisfy the requirements of this section by
demonstrating that he passes a financial test as specified in this
paragraph. To pass this test the owner or operator must meet the
criteria of either paragraph (f)(1)(i) or (ii) of this section:
(i) The owner or operator must have:
(A) Two of the following three ratios: a ratio of total liabilities
to net worth less than 2.0; a ratio of the sum of net income plus
depreciation, depletion, and amortization to total liabilities greater
than 0.1; and a ratio of current assets to current liabilities greater
than 1.5; and
(B) Net working capital and tangible net worth each at least six
times the sum of the current closure and post-closure cost estimates and
the current plugging and abandonment cost estimates; and
(C) Tangible net worth of at least $10 million; and
(D) Assets located in the United States amounting to at least 90
percent of total assets or at least six times the sum of the current
closure and post-closure cost estimates and the current plugging and
abandonment cost estimates.
(ii) The owner or operator must have:
(A) A current rating for his most recent bond issuance of AAA, AA, A,
or BBB as issued by Standard and Poor's or Aaa, Aa, A, or Baa as issued
by Moody's; and
(B) Tangible net worth at least six times the sum of the current
closure and post-closure cost estimates and the current plugging and
abandonment cost estimates; and
(C) Tangible net worth of at least $10 million; and
(D) Assets located in the United States amounting to at least 90
percent of total assets or at least six times the sum of the current
closure and post-closure cost estimates and the current plugging and
abandonment cost estimates.
(2) The phrase ''current closure and post-closure cost estimates'' as
used in paragraph (f)(1) of this section refers to the cost estimates
required to be shown in paragraphs 1-4 of the letter from the owner's or
operator's chief financial officer ( 264.151(f)). The phrase ''current
plugging and abandonment cost estimates'' as used in paragraph (f)(1) of
this section refers to the cost estimates required to be shown in
paragraphs 1-4 of the letter from the owner's or operator's chief
financial officer ( 144.70(f) of this title).
(3) To demonstrate that he meets this test, the owner or operator
must submit the following items to the Regional Administrator:
(i) A letter signed by the owner's or operator's chief financial
officer and worded as specified in 264.151(f); and
(ii) A copy of the independent certified public accountant's report
on examination of the owner's or operator's financial statements for the
latest completed fiscal year; and
(iii) A special report from the owner's or operator's independent
certified public accountant to the owner or operator stating that:
(A) He has compared the data which the letter from the chief
financial officer specifies as having been derived from the
independently audited, year-end financial statements for the latest
fiscal year with the amounts in such financial statements; and
(B) In connection with that procedure, no matters came to his
attention which caused him to believe that the specified data should be
adjusted.
(4) An owner or operator of a new facility must submit the items
specified in paragraph (f)(3) of this section to the Regional
Administrator at least 60 days before the date on which hazardous waste
is first received for treatment, storage, or disposal.
(5) After the initial submission of items specified in paragraph
(f)(3) of this section, the owner or operator must send updated
information to the Regional Administrator within 90 days after the close
of each succeeding fiscal year. This information must consist of all
three items specified in paragraph (f)(3) of this section.
(6) If the owner or operator no longer meets the requirements of
paragraph (f)(1) of this section, he must send notice to the Regional
Administrator of intent to establish alternate financial assurance as
specified in this section. The notice must be sent by certified mail
within 90 days after the end of the fiscal year for which the year-end
financial data show that the owner or operator no longer meets the
requirements. The owner or operator must provide the alternate
financial assurance within 120 days after the end of such fiscal year.
(7) The Regional Administrator may, based on a reasonable belief that
the owner or operator may no longer meet the requirements of paragraph
(f)(1) of this section, require reports of financial condition at any
time from the owner or operator in addition to those specified in
paragraph (f)(3) of this section. If the Regional Administrator finds,
on the basis of such reports or other information, that the owner or
operator no longer meets the requirements of paragraph (f)(1) of this
section, the owner or operator must provide alternate financial
assurance as specified in this section within 30 days after notification
of such a finding.
(8) The Regional Administrator may disallow use of this test on the
basis of qualifications in the opinion expressed by the independent
certified public accountant in his report on examination of the owner's
or operator's financial statements (see paragraph (f)(3)(ii) of this
section). An adverse opinion or a disclaimer of opinion will be cause
for disallowance. The Regional Administrator will evaluate other
qualifications on an individual basis. The owner or operator must
provide alternate financial assurance as specified in this section
within 30 days after notification of the disallowance.
(9) The owner or operator is no longer required to submit the items
specified in paragraph (f)(3) of this section when:
(i) An owner or operator substitutes alternate financial assurance as
specified in this section; or
(ii) The Regional Administrator releases the owner or operator from
the requirements of this section in accordance with 264.143(i).
(10) An owner or operator may meet the requirements of this section
by obtaining a written guarantee, hereafter referred to as ''corporate
guarantee.'' The guarantor must be the parent corporation of the owner
or operator. The guarantor must meet the requirements for owners or
operators in paragraphs (f)(1) through (8) of this section and must
comply with the terms of the corporate guarantee. The wording of the
corporate guarantee must be identical to the wording specified in
264.151(h). The corporate guarantee must accompany the items sent to the
Regional Administrator as specified in paragraph (f)(3) of this section.
The terms of the corporate guarantee must provide that:
(i) If the owner or operator fails to perform final closure of a
facility covered by the corporate guarantee in accordance with the
closure plan and other permit requirements whenever required to do so,
the guarantor will do so or establish a trust fund as specified in
264.143(a) in the name of the owner or operator.
(ii) The corporate guarantee will remain in force unless the
guarantor sends notice of cancellation by certified mail to the owner or
operator and to the Regional Administrator. Cancellation may not occur,
however, during the 120 days beginning on the date of receipt of the
notice of cancellation by both the owner or operator and the Regional
Administrator, as evidenced by the return receipts.
(iii) If the owner or operator fails to provide alternate financial
assurance as specified in this section and obtain the written approval
of such alternate assurance from the Regional Administrator within 90
days after receipt by both the owner or operator and the Regional
Administrator of a notice of cancellation of the corporate guarantee
from the guarantor, the guarantor will provide such alternative
financial assurance in the name of the owner or operator.
(g) Use of multiple financial mechanisms. An owner or operator may
satisfy the requirements of this section by establishing more than one
financial mechanism per facility. These mechanisms are limited to trust
funds, surety bonds guaranteeing payment into a trust fund, letters of
credit, and insurance. The mechanisms must be as specified in
paragraphs (a), (b), (d), and (e), respectively, of this section, except
that it is the combination of mechanisms, rather than the single
mechanism, which must provide financial assurance for an amount at least
equal to the current closure cost estimate. If an owner or operator
uses a trust fund in combination with a surety bond or a letter of
credit, he may use the trust fund as the standby trust fund for the
other mechanisms. A single standby trust fund may be established for
two or more mechanisms. The Regional Administrator may use any or all
of the mechanisms to provide for closure of the facility.
(h) Use of a financial mechanism for multiple facilities. An owner
or operator may use a financial assurance mechanism specified in this
section to meet the requirements of this section for more than one
facility. Evidence of financial assurance submitted to the Regional
Administrator must include a list showing, for each facility, the EPA
Identification Number, name, address, and the amount of funds for
closure assured by the mechanism. If the facilities covered by the
mechanism are in more than one Region, identical evidence of financial
assurance must be submitted to and maintained with the Regional
Administrators of all such Regions. The amount of funds available
through the mechanism must be no less than the sum of funds that would
be available if a separate mechanism had been established and maintained
for each facility. In directing funds available through the mechanism
for closure of any of the facilities covered by the mechanism, the
Regional Administrator may direct only the amount of funds designated
for that facility, unless the owner or operator agrees to the use of
additional funds available under the mechanism.
(i) Release of the owner or operator from the requirements of this
section. Within 60 days after receiving certifications from the owner
or operator and an independent registered professional engineer that
final closure has been completed in accordance with the approved closure
plan, the Regional Administrator will notify the owner or operator in
writing that he is no longer required by this section to maintain
financial assurance for final closure of the facility, unless the
Regional Administrator has reason to believe that final closure has not
been in accordance with the approved closure plan. The Regional
Administrator shall provide the owner or operator a detailed written
statement of any such reason to believe that closure has not been in
accordance with the approved closure plan.
(47 FR 15047, Apr. 7, 1982, as amended at 51 FR 16448, May 2, 1986)
40 CFR 264.144 Cost estimate for post-closure care.
(a) The owner or operator of a disposal surface impoundment, disposal
miscellaneous unit, land treatment unit, or landfill unit, or of a
surface impoundment or waste pile required under 264.228 and 264.258
to prepare a contingent closure and post-closure plan, must have a
detailed written estimate, in current dollars, of the annual cost of
post-closure monitoring and maintenance of the facility in accordance
with the applicable post-closure regulations in 264.117 through
264.120, 264.228, 264.258, 264.280, 264.310, and 264.603.
(1) The post-closure cost estimate must be based on the costs to the
owner or operator of hiring a third party to conduct post-closure care
activities. A third party is a party who is neither a parent nor a
subsidiary of the owner or operator. (See definition of parent
corporation in 264.141(d).)
(2) The post-closure cost estimate is calculated by multiplying the
annual post-closure cost estimate by the number of years of post-closure
care required under 264.117.
(b) During the active life of the facility, the owner or operator
must adjust the post-closure cost estimate for inflation within 60 days
prior to the anniversary date of the establishment of the financial
instrument(s) used to comply with 264.145. For owners or operators
using the financial test or corporate guarantee, the post-closure cost
estimate must be updated for inflation within 30 days after the close of
the firm's fiscal year and before the submission of updated information
to the Regional Administrator as specified in 264.145(f)(5). The
adjustment may be made by recalculating the post-closure cost estimate
in current dollars or by using an inflation factor derived from the most
recent Implicit Price Deflator for Gross National Product published by
the U.S. Department of Commerce in its Survey of Current Business as
specified in 264.145(b)(1) and (2). The inflation factor is the result
of dividing the latest published annual Deflator by the Deflator for the
previous year.
(1) The first adjustment is made by multiplying the post-closure cost
estimate by the inflation factor. The result is the adjusted
post-closure cost estimate.
(2) Subsequent adjustments are made by multiplying the latest
adjusted post-closure cost estimate by the latest inflation factor.
(c) During the active life of the facility, the owner or operator
must revise the post-closure cost estimate within 30 days after the
Regional Administrator has approved the request to modify the
post-closure plan, if the change in the post-closure plan increases the
cost of post-closure care. The revised post-closure cost estimate must
be adjusted for inflation as specified in 264.144(b).
(d) The owner or operator must keep the following at the facility
during the operating life of the facility: The latest post-closure cost
estimate prepared in accordance with 264.144 (a) and (c) and, when this
estimate has been adjusted in accordance with 264.144(b), the latest
adjusted post-closure cost estimate.
(Approved by the Office of Management and Budget under control number
2050-0036)
(47 FR 15047, Apr. 7, 1982, as amended at 47 FR 32357, July 26, 1982;
50 FR 4514, Jan. 31, 1985; 51 FR 16449, May 2, 1986; 52 FR 46964,
Dec. 10, 1987)
40 CFR 264.145 Financial assurance for post-closure care.
The owner or operator of a hazardous waste management unit subject to
the requirements of 264.144 must establish financial assurance for
post-closure care in accordance with the approved post-closure plan for
the facility 60 days prior to the initial receipt of hazardous waste or
the effective date of the regulation, whichever is later. He must
choose from the following options:
(a) Post-closure trust fund. (1) An owner or operator may satisfy
the requirements of this section by establishing a post-closure trust
fund which conforms to the requirements of this paragraph and submitting
an originally signed duplicate of the trust agreement to the Regional
Administrator. An owner or operator of a new facility must submit the
originally signed duplicate of the trust agreement to the Regional
Administrator at least 60 days before the date on which hazardous waste
is first received for disposal. The trustee must be an entity which has
the authority to act as a trustee and whose trust operations are
regulated and examined by a Federal or State agency.
(2) The wording of the trust agreement must be identical to the
wording specified in 264.151(a)(1), and the trust agreement must be
accompanied by a formal certification of acknowledgment (for example,
see 264.151(a)(2)). Schedule A of the trust agreement must be updated
within 60 days after a change in the amount of the current post-closure
cost estimate covered by the agreement.
(3) Payments into the trust fund must be made annually by the owner
or operator over the term of the initial RCRA permit or over the
remaining operating life of the facility as estimated in the closure
plan, whichever period is shorter; this period is hereafter referred to
as the ''pay-in period.'' The payments into the post-closure trust fund
must be made as follows:
(i) For a new facility, the first payment must be made before the
initial receipt of hazardous waste for disposal. A receipt from the
trustee for this payment must be submitted by the owner or operator to
the Regional Administrator before this initial receipt of hazardous
waste. The first payment must be at least equal to the current
post-closure cost estimate, except as provided in 264.145(g), divided
by the number of years in the pay-in period. Subsequent payments must
be made no later than 30 days after each anniversay date of the first
payment. The amount of each subsequent payment must be determined by
this formula:
where CE is the current post-closure cost estimate, CV is the current
value of the trust fund, and Y is the number of years remaining in the
pay-in period.
(ii) If an owner or operator establishes a trust fund as specified in
265.145(a) of this chapter, and the value of that trust fund is less
than the current post-closure cost estimate when a permit is awarded for
the facility, the amount of the current post-closure cost estimate still
to be paid into the fund must be paid in over the pay-in period as
defined in paragraph (a)(3) of this section. Payments must continue to
be made no later than 30 days after each anniversary date of the first
payment made pursuant to Part 265 of this chapter. The amount of each
payment must be determined by this formula:
where CE is the current post-closure cost estimate, CV is the current
value of the trust fund, and Y is the number of years remaining in the
pay-in period.
(4) The owner or operator may accelerate payments into the trust fund
or he may deposit the full amount of the current post-closure cost
estimate at the time the fund is established. However, he must maintain
the value of the fund at no less than the value that the fund would have
if annual payments were made as specified in paragraph (a)(3) of this
section.
(5) If the owner or operator establishes a post-closure trust fund
after having used one or more alternate mechanisms specified in this
section or in 265.145 of this chapter, his first payment must be in at
least the amount that the fund would contain if the trust fund were
established initially and annual payments made according to
specifications of this paragraph and 265.145(a) of this chapter, as
applicable.
(6) After the pay-in period is completed, whenever the current
post-closure cost estimate changes during the operating life of the
facility, the owner or operator must compare the new estimate with the
trustee's most recent annual valuation of the trust fund. If the value
of the fund is less than the amount of the new estimate, the owner or
operator, within 60 days after the change in the cost estimate, must
either deposit an amount into the fund so that its value after this
deposit at least equals the amount of the current post-closure cost
estimate, or obtain other financial assurance as specified in this
section to cover the difference.
(7) During the operating life of the facility, if the value of the
trust fund is greater than the total amount of the current post-closure
cost estimate, the owner or operator may submit a written request to the
Regional Administrator for release of the amount in excess of the
current post-closure cost estimate.
(8) If an owner or operator substitutes other financial assurance as
specified in this section for all or part of the trust fund, he may
submit a written request to the Regional Administrator for release of
the amount in excess of the current post-closure cost estimate covered
by the trust fund.
(9) Within 60 days after receiving a request from the owner or
operator for release of funds as specified in paragraph (a) (7) or (8)
of this section, the Regional Administrator will instruct the trustee to
release to the owner or operator such funds as the Regional
Administrator specifies in writing.
(10) During the period of post-closure care, the Regional
Administrator may approve a release of funds if the owner or operator
demonstrates to the Regional Administrator that the value of the trust
fund exceeds the remaining cost of post-closure care.
(11) An owner or operator or any other person authorized to conduct
post-closure care may request reimbursements for post-closure care
expenditures by submitting itemized bills to the Regional Administrator.
Within 60 days after receiving bills for post-closure care activities,
the Regional Administrator will instruct the trustee to make
reimbursements in those amounts as the Regional Administrator specifies
in writing, if the Regional Administrator determines that the
post-closure care expenditures are in accordance with the approved
post-closure plan or otherwise justified. If the Regional Administrator
does not instruct the trustee to make such reimbursements, he will
provide the owner or operator with a detailed written statement of
reasons.
(12) The Regional Administrator will agree to termination of the
trust when:
(i) An owner or operator substitutes alternate financial assurance as
specified in this section; or
(ii) The Regional Administrator releases the owner or operator from
the requirements of this section in accordance with 264.145(i).
(b) Surety bond guaranteeing payment into a post-closure trust fund.
(1) An owner or operator may satisfy the requirements of this section by
obtaining a surety bond which conforms to the requirements of this
paragraph and submitting the bond to the Regional Administrator. An
owner or operator of a new facility must submit the bond to the Regional
Administrator at least 60 days before the date on which hazardous waste
is first received for disposal. The bond must be effective before this
initial receipt of hazardous waste. The surety company issuing the bond
must, at a minimum, be among those listed as acceptable sureties on
Federal bonds in Circular 570 of the U.S. Department of the Treasury.
(2) The wording of the surety bond must be identical to the wording
specified in 264.151(b).
(3) The owner or operator who uses a surety bond to satisfy the
requirements of this section must also establish a standby trust fund.
Under the terms of the bond, all payments made thereunder will be
deposited by the surety directly into the standby trust fund in
accordance with instructions from the Regional Administrator. This
standby trust fund must meet the requirements specified in 264.145(a),
except that:
(i) An originally signed duplicate of the trust agreement must be
submitted to the Regional Administrator with the surety bond; and
(ii) Until the standby trust fund is funded pursuant to the
requirements of this section, the following are not required by these
regulations:
(A) Payments into the trust fund as specified in 264.145(a);
(B) Updating of Schedule A of the trust agreement (see 264.151(a))
to show current post-closure cost estimates;
(C) Annual valuations as required by the trust agreement; and
(D) Notices of nonpayment as required by the trust agreement.
(4) The bond must guarantee that the owner or operator will:
(i) Fund the standby trust fund in an amount equal to the penal sum
of the bond before the beginning of final closure of the facility; or
(ii) Fund the standby trust fund in an amount equal to the penal sum
within 15 days after an administrative order to begin final closure
issued by the Regional Administrator becomes final, or within 15 days
after an order to begin final closure is issued by a U.S. district
court or other court of competent jurisdiction; or
(iii) Provide alternate financial assurance as specified in this
section, and obtain the Regional Administrator's written approval of the
assurance provided, within 90 days after receipt by both the owner or
operator and the Regional Administrator of a notice of cancellation of
the bond from the surety.
(5) Under the terms of the bond, the surety will become liable on the
bond obligation when the owner or operator fails to perform as
guaranteed by the bond.
(6) The penal sum of the bond must be in an amount at least equal to
the current post-closure cost estimate, except as provided in
264.145(g).
(7) Whenever the current post-closure cost estimate increases to an
amount greater than the penal sum, the owner or operator, within 60 days
after the increase, must either cause the penal sum to be increased to
an amount at least equal to the current post-closure cost estimate and
submit evidence of such increase to the Regional Administrator, or
obtain other financial assurance as specified in this section to cover
the increase. Whenever the current post-closure cost estimate
decreases, the penal sum may be reduced to the amount of the current
post-closure cost estimate following written approval by the Regional
Administrator.
(8) Under the terms of the bond, the surety may cancel the bond by
sending notice of cancellation by certified mail to the owner or
operator and to the Regional Administrator. Cancellation may not occur,
however, during the 120 days beginning on the date of receipt of the
notice of cancellation by both the owner or operator and the Regional
Administrator, as evidenced by the return receipts.
(9) The owner or operator may cancel the bond if the Regional
Administrator has given prior written consent based on his receipt of
evidence of alternate financial assurance as specified in this section.
(c) Surety bond guaranteeing performance of post-closure care. (1)
An owner or operator may satisfy the requirements of this section by
obtaining a surety bond which conforms to the requirements of this
paragraph and submitting the bond to the Regional Administrator. An
owner or operator of a new facility must submit the bond to the Regional
Administrator at least 60 days before the date on which hazardous waste
is first received for disposal. The bond must be effective before this
initial receipt of hazardous waste. The surety company issuing the bond
must, at a minimum, be among those listed as acceptable sureties on
Federal bonds in Circular 570 of the U.S. Department of the Treasury.
(2) The wording of the surety bond must be identical to the wording
specified in 264.151(c).
(3) The owner or operator who uses a surety bond to satisfy the
requirements of this section must also establish a standby trust fund.
Under the terms of the bond, all payments made thereunder will be
deposited by the surety directly into the standby trust fund in
accordance with instructions from the Regional Administrator. This
standby trust fund must meet the requirements specified in 264.145(a),
except that:
(i) An originally signed duplicate of the trust agreement must be
submitted to the Regional Administrator with the surety bond; and
(ii) Unless the standby trust fund is funded pursuant to the
requirements of this section, the following are not required by these
regulations:
(A) Payments into the trust fund as specified in 264.145(a);
(B) Updating of Schedule A of the trust agreement (see 264.151(a))
to show current post-closure cost estimates;
(C) Annual valuations as required by the trust agreement; and
(D) Notices of nonpayment as required by the trust agreement.
(4) The bond must guarantee that the owner or operator will:
(i) Perform post-closure care in accordance with the post-closure
plan and other requirements of the permit for the facility; or
(ii) Provide alternate financial assurance as specified in this
section, and obtain the Regional Administrator's written approval of the
assurance provided, within 90 days of receipt by both the owner or
operator and the Regional Administrator of a notice of cancellation of
the bond from the surety.
(5) Under the terms of the bond, the surety will become liable on the
bond obligation when the owner or operator fails to perform as
guaranteed by the bond. Following a final administrative determination
pursuant to section 3008 of RCRA that the owner or operator has failed
to perform post-closure care in accordance with the approved
post-closure plan and other permit requirements, under the terms of the
bond the surety will perform post-closure care in accordance with the
post-closure plan and other permit requirements or will deposit the
amount of the penal sum into the standby trust fund.
(6) The penal sum of the bond must be in an amount at least equal to
the current post-closure cost estimate.
(7) Whenever the current post-closure cost estimate increases to an
amount greater than the penal sum during the operating life of the
facility, the owner or operator, within 60 days after the increase, must
either cause the penal sum to be increased to an amount at least equal
to the current post-closure cost estimate and submit evidence of such
increase to the Regional Administrator, or obtain other financial
assurance as specified in this section. Whenever the current
post-closure cost estimate decreases during the operating life of the
facility, the penal sum may be reduced to the amount of the current
post-closure cost estimate following written approval by the Regional
Administrator.
(8) During the period of post-closure care, the Regional
Administrator may approve a decrease in the penal sum if the owner or
operator demonstrates to the Regional Administrator that the amount
exceeds the remaining cost of post-closure care.
(9) Under the terms of the bond, the surety may cancel the bond by
sending notice of cancellation by certified mail to the owner or
operator and to the Regional Administrator. Cancellation may not occur,
however, during the 120 days beginning on the date of receipt of the
notice of cancellation by both the owner or operator and the Regional
Administrator, as evidenced by the return receipts.
(10) The owner or operator may cancel the bond if the Regional
Administrator has given prior written consent. The Regional
Administrator will provide such written consent when:
(i) An owner or operator substitutes alternate financial assurance as
specified in this section; or
(ii) The Regional Administrator releases the owner or operator from
the requirements of this section in accordance with 264.145(i).
(11) The surety will not be liable for deficiencies in the
performance of post-closure care by the owner or operator after the
Regional Administrator releases the owner or operator from the
requirements of this section in accordance with 264.145(i).
(d) Post-closure letter of credit. (1) An owner or operator may
satisfy the requirements of this section by obtaining an irrevocable
standby letter of credit which conforms to the requirements of this
paragraph and submitting the letter to the Regional Administrator. An
owner or operator of a new facility must submit the letter of credit to
the Regional Administrator at least 60 days before the date on which
hazardous waste is first received for disposal. The letter of credit
must be effective before this initial receipt of hazardous waste. The
issuing institution must be an entity which has the authority to issue
letters of credit and whose letter-of-credit operations are regulated
and examined by a Federal or State agency.
(2) The wording of the letter of credit must be identical to the
wording specified in 264.151(d).
(3) An owner or operator who uses a letter of credit to satisfy the
requirements of this section must also establish a standby trust fund.
Under the terms of the letter of credit, all amounts paid pursuant to a
draft by the Regional Administrator will be deposited by the issuing
institution directly into the standby trust fund in accordance with
instructions from the Regional Administrator. This standby trust fund
must meet the requirements of the trust fund specified in 264.145(a),
except that:
(i) An originally signed duplicate of the trust agreement must be
submitted to the Regional Administrator with the letter of credit; and
(ii) Unless the standby trust fund is funded pursuant to the
requirements of this section, the following are not required by these
regulations:
(A) Payments into the trust fund as specified in 264.145(a);
(B) Updating of Schedule A of the trust agreement (see 264.151(a))
to show current post-closure cost estimates;
(C) Annual valuations as required by the trust agreement; and
(D) Notices of nonpayment as required by the trust agreement.
(4) The letter of credit must be accompanied by a letter from the
owner or operator referring to the letter of credit by number, issuing
institution, and date, and providing the following information: the EPA
Identification Number, name, and address of the facility, and the amount
of funds assured for post-closure care of the facility by the letter of
credit.
(5) The letter of credit must be irrevocable and issued for a period
of at least 1 year. The letter of credit must provide that the
expiration date will be automatically extended for a period of at least
1 year unless, at least 120 days before the current expiration date, the
issuing institution notifies both the owner or operator and the Regional
Administrator by certified mail of a decision not to extend the
expiration date. Under the terms of the letter of credit, the 120 days
will begin on the date when both the owner or operator and the Regional
Administrator have received the notice, as evidenced by the return
receipts.
(6) The letter of credit must be issued in a amount at least equal to
the current post-closure cost estimate, except as provided in
264.145(g).
(7) Whenever the current post-closure cost estimate increases to an
amount greater than the amount of the credit during the operating life
of the facility, the owner or operator, within 60 days after the
increase, must either cause the amount of the credit to be increased so
that it at least equals the current post-closure cost estimate and
submit evidence of such increase to the Regional Administrator, or
obtain other financial assurance as specified in this section to cover
the increase. Whenever the current post-closure cost estimate decreases
during the operating life of the facility, the amount of the credit may
be reduced to the amount of the current post-closure cost estimate
following written approval by the Regional Administrator.
(8) During the period of post-closure care, the Regional
Administrator may approve a decrease in the amount of the letter of
credit if the owner or operator demonstrates to the Regional
Administrator that the amount exceeds the remaining cost of post-closure
care.
(9) Following a final administrative determination pursuant to
section 3008 of RCRA that the owner or operator has failed to perform
post-closure care in accordance with the approved post-closure plan and
other permit requirements, the Regional Administrator may draw on the
letter of credit.
(10) If the owner or operator does not establish alternate financial
assurance as specified in this section and obtain written approval of
such alternate assurance from the Regional Administrator within 90 days
after receipt by both the owner or operator and the Regional
Administrator of a notice from the issuing institution that it has
decided not to extend the letter of credit beyond the current expiration
date, the Regional Administrator will draw on the letter of credit. The
Regional Administrator may delay the drawing if the issuing institution
grants an extension of the term of the credit. During the last 30 days
of any such extension the Regional Administrator will draw on the letter
of credit if the owner or operator has failed to provide alternate
financial assurance as specified in this section and obtain written
approval of such assurance from the Regional Administrator.
(11) The Regional Administrator will return the letter of credit to
the issuing institution for termination when:
(i) An owner or operator substitutes alternate financial assurance as
specified in this section; or
(ii) The Regional Administrator releases the owner or operator from
the requirements of this section in accordance with 264.145(i).
(e) Post-closure insurance. (1) An owner or operator may satisfy the
requirements of this section by obtaining post-closure insurance which
conforms to the requirements of this paragraph and submitting a
certificate of such insurance to the Regional Administrator. An owner
or operator of a new facility must submit the certificate of insurance
to the Regional Administrator at least 60 days before the date on which
hazardous waste is first received for disposal. The insurance must be
effective before this initial receipt of hazardous waste. At a minimum,
the insurer must be licensed to transact the business of insurance, or
eligible to provide insurance as an excess or surplus lines insurer, in
one or more States.
(2) The wording of the certificate of insurance must be identical to
the wording specified in 264.151(e).
(3) The post-closure insurance policy must be issued for a face
amount at least equal to the current post-closure cost estimate, except
as provided in 264.145(g). The term ''face amount'' means the total
amount the insurer is obligated to pay under the policy. Actual
payments by the insurer will not change the face amount, although the
insurer's future liability will be lowered by the amount of the
payments.
(4) The post-closure insurance policy must guarantee that funds will
be available to provide post-closure care of the facility whenever the
post-closure period begins. The policy must also guarantee that once
post-closure care begins, the insurer will be responsible for paying out
funds, up to an amount equal to the face amount of the policy, upon the
direction of the Regional Administrator, to such party or parties as the
Regional Administrator specifies.
(5) An owner or operator or any other person authorized to conduct
post-closure care may request reimbursements for post-closure care
expenditures by submitting itemized bills to the Regional Administrator.
Within 60 days after receiving bills for post-closure care activities,
the Regional Administrator will instruct the insurer to make
reimbursements in those amounts as the Regional Administrator specifies
in writing, if the Regional Administrator determines that the
post-closure care expenditures are in accordance with the approved
post-closure plan or otherwise justified. If the Regional Administrator
does not instruct the insurer to make such reimbursements, he will
provide the owner or operator with a detailed written statement of
reasons.
(6) The owner or operator must maintain the policy in full force and
effect until the Regional Administrator consents to termination of the
policy by the owner or operator as specified in paragraph (e)(11) of
this section. Failure to pay the premium, without substitution of
alternate financial assurance as specified in this section, will
constitute a significant violation of these regulations, warranting such
remedy as the Regional Administrator deems necessary. Such violation
will be deemed to begin upon receipt by the Regional Administrator of a
notice of future cancellation, termination, or failure to renew due to
nonpayment of the premium, rather than upon the date of expiration.
(7) Each policy must contain a provision allowing assignment of the
policy to a successor owner or operator. Such assignment may be
conditional upon consent of the insurer, provided such consent is not
unreasonably refused.
(8) The policy must provide that the insurer may not cancel,
terminate, or fail to renew the policy except for failure to pay the
premium. The automatic renewal of the policy must, at a minimum,
provide the insured with the option of renewal at the face amount of the
expiring policy. If there is a failure to pay the premium, the insurer
may elect to cancel, terminate, or fail to renew the policy by sending
notice by certified mail to the owner or operator and the Regional
Administrator. Cancellation, termination, or failure to renew may not
occur, however, during the 120 days beginning with the date of receipt
of the notice by both the Regional Administrator and the owner or
operator, as evidenced by the return receipts. Cancellation,
termination, or failure to renew may not occur and the policy will
remain in full force and effect in the event that on or before the date
of expiration:
(i) The Regional Administrator deems the facility abandoned; or
(ii) The permit is terminated or revoked or a new permit is denied;
or
(iii) Closure is ordered by the Regional Administrator or a U.S.
district court or other court of competent jurisdiction; or
(iv) The owner or operator is named as debtor in a voluntary or
involuntary proceeding under Title 11 (Bankruptcy), U.S. Code; or
(v) The premium due is paid.
(9) Whenever the current post-closure cost estimate increases to an
amount greater than the face amount of the policy during the operating
life of the facility, the owner or operator, within 60 days after the
increase, must either cause the face amount to be increased to an amount
at least equal to the current post-closure cost estimate and submit
evidence of such increase to the Regional Administrator, or obtain other
financial assurance as specified in this section to cover the increase.
Whenever the current post-closure cost estimate decreases during the
operating life of the facility, the face amount may be reduced to the
amount of the current post-closure cost estimate following written
approval by the Regional Administrator.
(10) Commencing on the date that liability to make payments pursuant
to the policy accrues, the insurer will thereafter annually increase the
face amount of the policy. Such increase must be equivalent to the face
amount of the policy, less any payments made, multiplied by an amount
equivalent to 85 percent of the most recent investment rate or of the
equivalent coupon-issue yield announced by the U.S. Treasury for 26-week
Treasury securities.
(11) The Regional Administrator will give written consent to the
owner or operator that he may terminate the insurance policy when:
(i) An owner or operator substitutes alternate financial assurance as
specified in this section; or
(ii) The Regional Administrator releases the owner or operator from
the requirements of this section in accordance with 264.145(i).
(f) Financial test and corporate guarantee for post-closure care.
(1) An owner or operator may satisfy the requirements of this section by
demonstrating that he passes a financial test as specified in this
paragraph. To pass this test the owner or operator must meet the
criteria of either paragraph (f)(1)(i) or (ii) of this section:
(i) The owner or operator must have:
(A) Two of the following three ratios: a ratio of total liabilities
to net worth less than 2.0; a ratio of the sum of net income plus
depreciation, depletion, and amortization to total liabilities greater
than 0.1; and a ratio of current assets to current liabilities greater
than 1.5; and
(B) Net working capital and tangible net worth each at least six
times the sum of the current closure and post-closure cost estimates and
the current plugging and abandonment cost estimates; and
(C) Tangible net worth of at least $10 million; and
(D) Assets in the United States amounting to at least 90 percent of
his total assets or at least six times the sum of the current closure
and post-closure cost estimates and the current plugging and abandonment
cost estimates.
(ii) The owner or operator must have:
(A) A current rating for his most recent bond issuance of AAA, AA, A,
or BBB as issued by Standard and Poor's or Aaa, Aa, A or Baa as issued
by Moody's; and
(B) Tangible net worth at least six times the sum of the current
closure and post-closure cost estimates and the current plugging and
abandonment cost estimates; and
(C) Tangible net worth of at least $10 million; and
(D) Assets located in the United States amounting to at least 90
percent of his total assets or at least six times the sum of the current
closure and post-closure cost estimates and the current plugging and
abandonment cost estimates.
(2) The phrase ''current closure and post-closure cost estimates'' as
used in paragraph (f)(1) of this section refers to the cost estimates
required to be shown in paragraphs 1-4 of the letter from the owner's or
operator's chief financial officer ( 264.151(f)). The phrase ''current
plugging and abandonment cost estimates'' as used in paragraph (f)(1) of
this section refers to the cost estimates required to be shown in
paragraphs 1-4 of the letter from the owner's or operator's chief
financial officer ( 144.70(f) of this title).
(3) To demonstrate that he meets this test, the owner or operator
must submit the following items to the Regional Administrator:
(i) A letter signed by the owner's or operator's chief financial
officer and worded as specified in 264.151(f); and
(ii) A copy of the independent certified public accountant's report
on examination of the owner's or operator's financial statements for the
latest completed fiscal year; and
(iii) A special report from the owner's or operator's independent
certified public accountant to the owner or operator stating that:
(A) He has compared the data which the letter from the chief
financial officer specifies as having been derived from the
independently audited, year-end financial statements for the latest
fiscal year with the amounts in such financial statements; and
(B) In connection with that procedure, no matters came to his
attention which caused him to believe that the specified data should be
adjusted.
(4) An owner or operator of a new facility must submit the items
specified in paragraph (f)(3) of this section to the Regional
Administrator at least 60 days before the date on which hazardous waste
is first received for disposal.
(5) After the initial submission of items specified in paragraph
(f)(3) of this section, the owner or operator must send updated
information to the Regional Administrator within 90 days after the close
of each succeeding fiscal year. This information must consist of all
three items specified in paragraph (f)(3) of this section.
(6) If the owner or operator no longer meets the requirements of
paragraph (f)(1) of this section, he must send notice to the Regional
Administrator of intent to establish alternate financial assurance as
specified in this section. The notice must be sent by certified mail
within 90 days after the end of the fiscal year for which the year-end
financial data show that the owner or operator no longer meets the
requirements. The owner or operator must provide the alternate
financial assurance within 120 days after the end of such fiscal year.
(7) The Regional Administrator may, based on a reasonable belief that
the owner or operator may no longer meet the requirements of paragraph
(f)(1) of this section, require reports of financial condition at any
time from the owner or operator in addition to those specified in
paragraph (f)(3) of this section. If the Regional Administrator finds,
on the basis of such reports or other information, that the owner or
operator no longer meets the requirements of paragraph (f)(1) of this
section, the owner or operator must provide alternate financial
assurance as specified in this section within 30 days after notification
of such a finding.
(8) The Regional Administrator may disallow use of this test on the
basis of qualifications in the opinion expressed by the independent
certified public accountant in his report on examination of the owner's
or operator's financial statements (see paragraph (f)(3)(ii) of this
section). An adverse opinion or a disclaimer of opinion will be cause
for disallowance. The Regional Administrator will evaluate other
qualifications on an individual basis. The owner or operator must
provide alternate financial assurance as specified in this section
within 30 days after notification of the disallowance.
(9) During the period of post-closure care, the Regional
Administrator may approve a decrease in the current post-closure cost
estimate for which this test demonstrates financial assurance if the
owner or operator demonstrates to the Regional Administrator that the
amount of the cost estimate exceeds the remaining cost of post-closure
care.
(10) The owner or operator is no longer required to submit the items
specified in paragraph (f)(3) of this section when:
(i) An owner or operator substitutes alternate financial assurance as
specified in this section; or
(ii) The Regional Administrator releases the owner or operator from
the requirements of this section in accordance with 264.145(i).
(11) An owner or operator may meet the requirements of this section
by obtaining a written guarantee, hereafter referred to as ''corporate
guarantee.'' The guarantor must be the parent corporation of the owner
or operator. The guarantor must meet the requirements for owners or
operators in paragraphs (f)(1) through (9) of this section and must
comply with the terms of the corporate guarantee. The wording of the
corporate guarantee must be identical to the wording specified in
264.151(h). The corporate guarantee must accompany the items sent to the
Regional Administrator as specified in paragraph (f)(3) of this section.
The terms of the corporate guarantee must provide that:
(i) If the owner or operator fails to perform post-closure care of a
facility covered by the corporate guarantee in accordance with the
post-closure plan and other permit requirements whenever required to do
so, the guarantor will do so or establish a trust fund as specified in
264.145(a) in the name of the owner or operator.
(ii) The corporate guarantee will remain in force unless the
guarantor sends notice of cancellation by certified mail to the owner or
operator and to the Regional Administrator. Cancellation may not occur,
however, during the 120 days beginning on the date of receipt of the
notice of cancellation by both the owner or operator and the Regional
Administrator, as evidenced by the return receipts.
(iii) If the owner or operator fails to provide alternate financial
assurance as specified in this section and obtain the written approval
of such alternate assurance from the Regional Administrator within 90
days after receipt by both the owner or operator and the Regional
Administrator of a notice of cancellation of the corporate guarantee
from the guarantor, the guarantor will provide such alternate financial
assurance in the name of the owner or operator.
(g) Use of multiple financial mechanisms. An owner or operator may
satisfy the requirements of this section by establishing more than one
financial mechanism per facility. These mechanisms are limited to trust
funds, surety bonds guaranteeing payment into a trust fund, letters of
credit, and insurance. The mechanisms must be as specified in
paragraphs (a), (b), (d), and (e), respectively, of this section, except
that it is the combination of mechanisms, rather than the single
mechanism, which must provide financial assurance for an amount at least
equal to the current post-closure cost estimate. If an owner or
operator uses a trust fund in combination with a surety bond or a letter
of credit, he may use the trust fund as the standby trust fund for the
other mechanisms. A single standby trust fund may be established for
two or more mechanisms. The Regional Administrator may use any or all
of the mechanisms to provide for post-closure care of the facility.
(h) Use of a financial mechanism for multiple facilities. An owner
or operator may use a financial assurance mechanism specified in this
section to meet the requirements of this section for more than one
facility. Evidence of financial assurance submitted to the Regional
Administrator must include a list showing, for each facility, the EPA
Identification Number, name, address, and the amount of funds for
post-closure care assured by the mechanism. If the facilities covered
by the mechanism are in more than one Region, identical evidence of
financial assurance must be submitted to and maintained with the
Regional Administrators of all such Regions. The amount of funds
available through the mechanism must be no less than the sum of funds
that would be available if a separate mechanism had been established and
maintained for each facility. In directing funds available through the
mechanism for post-closure care of any of the facilities covered by the
mechanism, the Regional Administrator may direct only the amount of
funds designated for that facility, unless the owner or operator agrees
to the use of additional funds available under the mechanism.
(i) Release of the owner or operator from the requirements of this
section. Within 60 days after receiving certifications from the owner
or operator and an independent registered professional engineer that the
post-closure care period has been completed for a hazardous waste
disposal unit in accordance with the approved plan, the Regional
Administrator will notify the owner or operator that he is no longer
required to maintain financial assurance for post-closure care of that
unit, unless the Regional Administrator has reason to believe that
post-closure care has not been in accordance with the approved
post-closure plan. The Regional Administrator shall provide the owner
or operator with a detailed written statement of any such reason to
believe that post-closure care has not been in accordance with the
approved post-closure plan.
(47 FR 15047, Apr. 7, 1982, as amended at 51 FR 16449, May 2, 1986)
40 CFR 264.146 Use of a mechanism for financial assurance of both
closure and post-closure care.
An owner or operator may satisfy the requirements for financial
assurance for both closure and post-closure care for one or more
facilities by using a trust fund, surety bond, letter of credit,
insurance, financial test, or corporate guarantee that meets the
specifications for the mechanism in both 264.143 and 264.145. The
amount of funds available through the mechanism must be no less than the
sum of funds that would be available if a separate mechanism had been
established and maintained for financial assurance of closure and of
post-closure care.
40 CFR 264.147 Liability requirements.
(a) Coverage for sudden accidental occurrences. An owner or operator
of a hazardous waste treatment, storage, or disposal facility, or a
group of such 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. The owner or operator must have and maintain liability
coverage for sudden accidental occurrences in the amount of at least $1
million per occurrence with an annual aggregate of at least $2 million,
exclusive of legal defense costs. This liability coverage may be
demonstrated as specified in paragraphs (a) (1), (2), (3), (4), (5), or
(6) of this section:
(1) An owner or operator may demonstrate the required liability
coverage by having liability insurance as specified in this paragraph.
(i) Each insurance policy must be amended by attachment of the
Hazardous Waste Facility Liability Endorsement or evidenced by a
Certificate of Liability Insurance. The wording of the endorsement must
be identical to the wording specified in 264.151(i). The wording of the
certificate of insurance must be identical to the wording specified in
264.151(j). The owner or operator must submit 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. If requested by a Regional
Administrator, the owner or operator must provide a signed duplicate
original of the insurance policy. An owner or operator of a new
facility must submit the signed duplicate original of the Hazardous
Waste Facility Liability Endorsement or the Certificate of Liability
Insurance to the Regional Administrator at least 60 days before the date
on which hazardous waste is first received for treatment, storage, or
disposal. The insurance must be effective before this initial receipt
of hazardous waste.
(ii) Each insurance policy must be issued by an insurer which, at a
minimum, is licensed to transact the business of insurance, or eligible
to provide insurance as an excess or surplus lines insurer, in one or
more States.
(2) An owner or operator may meet the requirements of this section by
passing a financial test or using the guarantee for liability coverage
as specified in paragraphs (f) and (g) of this section.
(3) An owner or operator may meet the requirements of this section by
obtaining a letter of credit for liability coverage as specified in
paragraph (h) of this section.
(4) An owner or operator may meet the requirements of this section by
obtaining a surety bond for liability coverage as specified in paragraph
(i) of this section.
(5) An owner or operator may meet the requirements of this section by
obtaining a trust fund for liability coverage as specified in paragraph
(j) of this section.
(6) An owner or operator may demonstrate the required liability
coverage through the use of combinations of insurance, financial test,
guarantee, letter of credit, surety bond, and trust fund, except that
the owner or operator may not combine a financial test covering part of
the liability coverage requirement with a guarantee unless the financial
statement of the owner or operator is not consolidated with the
financial statement of the guarantor. The amounts of coverage
demonstrated must total at least the minimum amounts required by this
section. If the owner or operator demonstrates the required coverage
through the use of a combination of financial assurances under this
paragraph, the owner or operator shall specify at least one such
assurance as ''primary'' coverage and shall specify other assurance as
''excess'' coverage.
(7) An owner or operator shall notify the Regional Administrator in
writing within 30 days (i) whenever a 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 or
an instrument providing financial assurance for liability coverage under
this section and (ii) whenever the amount of financial assurance for
liability coverage under this section provided by a financial instrument
authorized by paragraphs (a)(1) through (a)(6) of this section is
reduced.
(b) Coverage for nonsudden accidental occurrences. An owner or
operator of a surface impoundment, landfill, land treatment facility, or
disposal miscellaneous unit that is used to manage hazardous waste, or a
group of such facilities, must demonstrate financial responsibility for
bodily injury and property damage to third parties caused by nonsudden
accidental occurrences arising from operations of the facility or group
of facilities. The owner or operator must have and maintain liability
coverage for nonsudden accidental occurrences in the amount of at least
$3 million per occurrence with an annual aggregate of at least $6
million, exclusive of legal defense costs. An owner or operator who
must meet the requirements of this section may combine the required
per-occurrence coverage levels for sudden and nonsudden accidental
occurrences into a single per-occurrence level, and combine the required
annual aggregate coverage levels for sudden and nonsudden accidental
occurrences into a single annual aggregate level. Owners or operators
who combine coverage levels for sudden and nonsudden accidental
occurrences must maintain liability coverage in the amount of at least
$4 million per occurrence and $8 million annual aggregate. This
liability coverage may be demonstrated as specified in paragraphs (b)
(1), (2), (3), (4), (5), or (6), of this section:
(1) An owner or operator may demonstrate the required liability
coverage by having liability insurance as specified in this paragraph.
(i) Each insurance policy must be amended by attachment of the
Hazardous Waste Facility Liability Endorsement or evidenced by a
Certificate of Liability Insurance. The wording of the endorsement must
be identical to the wording specified in 264.151(i). The wording of the
certificate of insurance must be identical to the wording specified in
264.151(j). The owner or operator must submit 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. If requested by a Regional
Administrator, the owner or operator must provide a signed duplicate
original of the insurance policy. An owner or operator of a new
facility must submit the signed duplicate original of the Hazardous
Waste Facility Liability Endorsement or the Certificate of Liability
Insurance to the Regional Administrator at least 60 days before the date
on which hazardous waste is first received for treatment, storage, or
disposal. The insurance must be effective before this initial receipt
of hazardous waste.
(ii) Each insurance policy must be issued by an insurer which, at a
minimum, is licensed to transact the business of insurance, or eligible
to provide insurance as an excess or surplus lines insurer, in one or
more States.
(2) An owner or operator may meet the requirements of this section by
passing a financial test or using the guarantee for liability coverage
as specified in paragraphs (f) and (g) of this section.
(3) An owner or operator may meet the requirements of this section by
obtaining a letter of credit for liability coverage as specified in
paragraph (h) of this section.
(4) An owner or operator may meet the requirements of this section by
obtaining a surety bond for liability coverage as specified in paragraph
(i) of this section.
(5) An owner or operator may meet the requirements of this section by
obtaining a trust fund for liability coverage as specified in paragraph
(j) of this section.
(6) An owner or operator may demonstrate the required liability
coverage through the use of combinations of insurance, financial test,
guarantee, letter of credit, surety bond, and trust fund, except that
the owner or operator may not combine a financial test covering part of
the liability coverage requirement with a guarantee unless the financial
statement of the owner or operator is not consolidated with the
financial statement of the guarantor. The amounts of coverage
demonstrated must total at least the minimum amount required by this
section. If the owner or operator demonstrates the required coverage
through the use of a combination of financial assurances under this
paragraph, the owner or operator shall specify at least one such
assurance as ''primary'' coverage and shall specify other assurance as
''excess'' coverage.
(7) An owner or operator shall notify the Regional Administrator in
writing within 30 days (i) whenever a 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 or
an instrument providing financial assurance for liability coverage under
this section and (ii) whenever the amount of financial assurance for
liability coverage under this section provided by a financial instrument
authorized by paragraphs (a)(1) through (a)(6) of this section is
reduced.
(c) Request for variance. If an owner or operator can demonstrate to
the satisfaction of the Regional Administrator that the levels of
financial responsibility required by paragraph (a) or (b) of this
section are not consistent with the degree and duration of risk
associated with treatment, storage, or disposal at the facility or group
of facilities, the owner or operator may obtain a variance from the
Regional Administrator. The request for a variance must be submitted to
the Regional Administrator as part of the application under 270.14 of
this chapter for a facility that does not have a permit, or pursuant to
the procedures for permit modification under 124.5 of this chapter for
a facility that has a permit. If granted, the variance will take the
form of an adjusted level of required liability coverage, such level to
be based on the Regional Administrator's assessment of the degree and
duration of risk associated with the ownership or operation of the
facility or group of facilities. The Regional Administrator may require
an owner or operator who requests a variance to provide such technical
and engineering information as is deemed necessary by the Regional
Administrator to determine a level of financial responsibility other
than that required by paragraph (a) or (b) of this section. Any request
for a variance for a permitted facility will be treated as a request for
a permit modification under 270.41(a)(5) and 124.5 of this chapter.
(d) Adjustments by the Regional Administrator. If the Regional
Administrator determines that the levels of financial responsibility
required by paragraph (a) or (b) of this section are not consistent with
the degree and duration of risk associated with treatment, storage, or
disposal at the facility or group of facilities, the Regional
Administrator may adjust the level of financial responsibility required
under paragraph (a) or (b) of this section as may be necessary to
protect human health and the environment. This adjusted level will be
based on the Regional Administrator's assessment of the degree and
duration of risk associated with the ownership or operation of the
facility or group of facilities. In addition, if the Regional
Administrator determines that there is a significant risk to human
health and the environment from nonsudden accidental occurrences
resulting from the operations of a facility that is not a surface
impoundment, landfill, or land treatment facility, he may require that
an owner or operator of the facility comply with paragraph (b) of this
section. An owner or operator must furnish to the Regional
Administrator, within a reasonable time, any information which the
Regional Administrator requests to determine whether cause exists for
such adjustments of level or type of coverage. Any adjustment of the
level or type of coverage for a facility that has a permit will be
treated as a permit modification under 270.41(a)(5) and 124.5 of this
chapter.
(e) Period of coverage. Within 60 days after receiving
certifications from the owner or operator and an independent registered
professional engineer that final closure has been completed in
accordance with the approved closure plan, the Regional Administrator
will notify the owner or operator in writing that he is no longer
required by this section to maintain liability coverage for that
facility, unless the Regional Administrator has reason to believe that
closure has not been in accordance with the approved closure plan.
(f) Financial test for liability coverage. (1) An owner or operator
may satisfy the requirements of this section by demonstrating that he
passes a financial test as specified in this paragraph. To pass this
test the owner or operator must meet the criteria of paragraph (f)(1)(i)
or (ii):
(i) The owner or operator must have:
(A) Net working capital and tangible net worth each at least six
times the amount of liability coverage to be demonstrated by this test;
and
(B) Tangible net worth of at least $10 million; and
(C) Assets in the United States amounting to either: (1) At least 90
percent of his total assets; or (2) at least six times the amount of
liability coverage to be demonstrated by this test.
(ii) The owner or operator must have:
(A) A current rating for his most recent bond issuance of AAA, AA, A,
or BBB as issued by Standard and Poor's, or Aaa, Aa, A, or Baa as issued
by Moody's; and
(B) Tangible net worth of at least $10 million; and
(C) Tangible net worth at least six times the amount of liability
coverage to be demonstrated by this test; and
(D) Assets in the United States amounting to either: (1) At least 90
percent of his total assets; or (2) at least six times the amount of
liability coverage to be demonstrated by this test.
(2) The phrase ''amount of liability coverage'' as used in paragraph
(f)(1) of this section refers to the annual aggregate amounts for which
coverage is required under paragraphs (a) and (b) of this section.
(3) To demonstrate that he meets this test, the owner or operator
must submit the following three items to the Regional Administrator:
(i) A letter signed by the owner's or operator's chief financial
officer and worded as specified in 264.151(g). If an owner or operator
is using the financial test to demonstrate both assurance for closure or
post-closure care, as specified by 264.143(f), 264.145(f), 265.143(e),
and 265.145(e), and liability coverage, he must submit the letter
specified in 264.151(g) to cover both forms of financial
responsibility; a separate letter as specified in 264.151(f) is not
required.
(ii) A copy of the independent certified public accountant's report
on examination of the owner's or operator's financial statements for the
latest completed fiscal year.
(iii) A special report from the owner's or operator's independent
certified public accountant to the owner or operator stating that:
(A) He has compared the data which the letter from the chief
financial officer specifies as having been derived from the
independently audited, year-end financial statements for the latest
fiscal year with the amounts in such financial statements; and
(B) In connection with that procedure, no matters came to his
attention which caused him to believe that the specified data should be
adjusted.
(4) An owner or operator of a new facility must submit the items
specified in paragraph (f)(3) of this section to the Regional
Administrator at least 60 days before the date on which hazardous waste
is first received for treatment, storage, or disposal.
(5) After the initial submission of items specified in paragraph
(f)(3) of this section, the owner or operator must send updated
information to the Regional Administrator within 90 days after the close
of each succeeding fiscal year. This information must consist of all
three items specified in paragraph (f)(3) of this section.
(6) If the owner or operator no longer meets the requirements of
paragraph (f)(1) of this section, he must obtain insurance for the
entire amount of required liability coverage as specified in this
section. Evidence of insurance must be submitted to the Regional
Administrator within 90 days after the end of the fiscal year for which
the year-end financial data show that the owner or operator no longer
meets the test requirements.
(7) The Regional Administrator may disallow use of this test on the
basis of qualifications in the opinion expressed by the independent
certified public accountant in his report on examination of the owner's
or operator's financial statements (see paragraph (f)(3)(ii) of this
section). An adverse opinion or a disclaimer of opinion will be cause
for disallowance. The Regional Administrator will evaluate other
qualifications on an individual basis. The owner or operator must
provide evidence of insurance for the entire amount of required
liability coverage as specified in this section within 30 days after
notification of disallowance.
(g) Guarantee for liability coverage. (1) Subject to paragraph
(g)(2) of this section, an owner or operator may meet the requirements
of this section by obtaining a written guarantee, hereinafter referred
to as ''guarantee.'' The guarantor must be the direct or higher-tier
parent corporation of the owner or operator, 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. The guarantor must meet the requirements for owners or
operators in paragraphs (f)(1) through (f)(6) of this section. The
wording of the guarantee must be identical to the wording specified in
264.151(h)(2) of this part. A certified copy of the guarantee must
accompany the items sent to the Regional Administrator as specified in
paragraph (f)(3) of this section. One of these items must be the letter
from the guarantor's chief financial officer. If the guarantor's parent
corporation is also the parent corporation of the owner or operator,
this letter must describe the value received in consideration of the
guarantee. If the guarantor is a firm with a ''substantial business
relationship'' with the owner or operator, this letter must describe
this ''substantial business relationship'' and the value received in
consideration of the guarantee.
(i) If the owner or operator fails to satisfy a judgment based on a
determination of liability for bodily injury or property damage to third
parties caused by sudden or nonsudden accidental occurrences (or both as
the case may be), arising from the operation of facilities covered by
this corporate guarantee, or fails to pay an amount agreed to in
settlement of claims arising from or alleged to arise from such injury
or damage, the guarantor will do so up to the limits of coverage.
(ii) (Reserved)
(2)(i) In the case of corporations incorporated in the United States,
a guarantee may be used to satisfy the requirements of this section only
if the Attorneys General or Insurance Commissioners of (A) the State in
which the guarantor is incorporated, and (B) each State in which a
facility covered by the guarantee is located have submitted a written
statement to EPA that a guarantee executed as described in this section
and 264.151(h)(2) is a legally valid and enforceable obligation in that
State.
(ii) In the case of corporations incorporated outside the United
States, a guarantee may be used to satisfy the requirements of this
section only if (A) the non-U.S. corporation has identified a registered
agent for service of process in each State in which a facility covered
by the guarantee is located and in the State in which it has its
principal place of business, and (B) the Attorney General or Insurance
Commissioner of each State in which a facility covered by the guarantee
is located and the State in which the guarantor corporation has its
principal place of business, has submitted a written statement to EPA
that a guarantee executed as described in this section and
264.151(h)(2) is a legally valid and enforceable obligation in that
State.
(h) Letter of credit for liability coverage. (1) An owner or
operator may satisfy the requirements of this section by obtaining an
irrevocable standby letter or credit that conforms to the requirements
of this paragraph and submitting a copy of the letter of credit to the
Regional Administrator.
(2) The financial institution issuing the letter of credit must be an
entity that has the authority to issue letters of credit and whose
letter of credit operations are regulated and examined by a Federal or
State agency.
(3) The wording of the letter of credit must be identical to the
wording specified in 264.151(k) of this part.
(i) Surety bond for liability coverage. (1) An owner or operator may
satisfy the requirements of this section by obtaining a surety bond that
conforms to the requirements of this paragraph and submitting a copy of
the bond to the Regional Administrator.
(2) The surety company issuing the bond must be among those listed as
acceptable sureties on Federal bonds in the most recent Circular 570 of
the U.S. Department of the Treasury.
(3) The wording of the surety bond must be identical to the wording
specified in 264.151(l) of this part.
(4) A surety bond may be used to satisfy the requirements of this
section only if the Attorneys General or Insurance Commissioners of (i)
the State in which the surety is incorporated, and (ii) each State in
which a facility covered by the surety bond is located have submitted a
written statement to EPA that a surety bond executed as described in
this section and 264.151(l) of this part is a legally valid and
enforceable obligation in that State.
(j) Trust fund for liability coverage. (1) An owner or operator may
satisfy the requirements of this section by establishing a trust fund
that conforms to the requirements of this paragraph and submitting an
originally signed duplicate of the trust agreement to the Regional
Administrator.
(2) The trustee must be an entity which has the authority to act as a
trustee and whose trust operations are regulated and examined by a
Federal or State agency.
(3) The trust fund for liability coverage must be funded for the full
amount of the liability coverage to be provided by the trust fund before
it may be relied upon to satisfy the requirements of this section. If
at any time after the trust fund is created the amount of funds in the
trust fund is reduced below the full amount of the liability coverage to
be provided, the owner or operator, by the anniversary date of the
establishment of the fund, must either add sufficient funds to the trust
fund to cause its value to equal the full amount of liability coverage
to be provided, or obtain other financial assurance as specified in this
section to cover the difference. For purposes of this paragraph, ''the
full amount of the liability coverage to be provided'' means the amount
of coverage for sudden and/or nonsudden occurrences required to be
provided by the owner or operator by this section, less the amount of
financial assurance for liability coverage that is being provided by
other financial assurance mechanisms being used to demonstrate financial
assurance by the owner or operator.
(4) The wording of the trust fund must be identical to the wording
specified in 264.151(m) of this part.
(k) Notwithstanding any other provision of this part, an owner or
operator using liability insurance to satisfy the requirements of this
section may use, until October 16, 1982, a Hazardous Waste Facility
Liability Endorsement or Certificate of Liability Insurance that does
not certify that the insurer is licensed to transact the business of
insurance, or eligible as an excess or surplus lines insurer, in one or
more States.
(Approved by the Office of Management and Budget under control number
2000-0445, for paragraphs (a)(1)(i), (b)(1)(i), (c), (d), and (f)(3)
through (6))
(47 FR 16554, Apr. 16, 1982, as amended at 47 FR 28627, July 1, 1982;
47 FR 30447, July 13, 1982; 48 FR 30115, June 30, 1983; 51 FR 16450,
May 2, 1986; 51 FR 25354, July 11, 1986; 52 FR 44320, Nov. 18, 1987;
52 FR 46964, Dec. 10, 1987; 53 FR 33950, Sept. 1, 1988; 56 FR 30200,
July 1, 1991)
40 CFR 264.148 Incapacity of owners or operators, guarantors, or
financial institutions.
(a) An owner or operator must notify the Regional Administrator by
certified mail of the commencement of a voluntary or involuntary
proceeding under Title 11 (Bankruptcy), U.S. Code, naming the owner or
operator as debtor, within 10 days after commencement of the proceeding.
A guarantor of a corporate guarantee as specified in 264.143(f) and
264.145(f) must make such a notification if he is named as debtor, as
required under the terms of the corporate guarantee ( 264.151(h)).
(b) An owner or operator who fulfills the requirements of 264.143,
264.145, or 264.147 by obtaining a trust fund, surety bond, letter of
credit, or insurance policy will be deemed to be without the required
financial assurance or liability coverage in the event of bankruptcy of
the trustee or issuing institution, or a suspension or revocation of the
authority of the trustee institution to act as trustee or of the
institution issuing the surety bond, letter of credit, or insurance
policy to issue such instruments. The owner or operator must establish
other financial assurance or liability coverage within 60 days after
such an event.
40 CFR 264.149 Use of State-required mechanisms.
(a) For a facility located in a State where EPA is administering the
requirements of this subpart but where the State has hazardous waste
regulations that include requirements for financial assurance of closure
or post-closure care or liability coverage, an owner or operator may use
State-required financial mechanisms to meet the requirements of
264.143, 264.145, or 264.147, if the Regional Administrator determines
that the State mechanisms are at least equivalent to the financial
mechanism specified in this subpart. The Regional Administrator will
evaluate the equivalency of the mechanisms principally in terms of (1)
certainty of the availability of funds for the required closure or
post-closure care activities or liability coverage and (2) the amount of
funds that will be made available. The Regional Administrator may also
consider other factors as he deems appropriate. The owner or operator
must submit to the Regional Administrator evidence of the establishment
of the mechanism together with a letter requesting that the
State-required mechanism be considered acceptable for meeting the
requirements of this subpart. The submission must include 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. The Regional Administrator
will notify the owner or operator of his determination regarding the
mechanism's acceptability in lieu of financial mechanisms specified in
this subpart. The Regional Administrator may require the owner or
operator to submit additional information as is deemed necessary to make
this determination. Pending this determination, the owner or operator
will be deemed to be in compliance with the requirements of 264.143,
264.145, or 264.147, as applicable.
(b) If a State-required mechanism is found acceptable as specified in
paragraph (a) of this section except for the amount of funds available,
the owner or operator may satisfy the requirements of this subpart by
increasing the funds available through the State-required mechanism or
using additional financial mechanisms as specified in this subpart. The
amount of funds available through the State and Federal mechanisms must
at least equal the amount required by this subpart.
40 CFR 264.150 State assumption of responsibility.
(a) If a State either assumes legal responsibility for an owner's or
operator's compliance with the closure, post-closure care, or liability
requirements of this part or assures that funds will be available from
State sources to cover those requirements, the owner or operator will be
in compliance with the requirements of 264.143, 264.145, or 264.147
if the Regional Administrator determines that the State's assumption of
responsibility is at least equivalent to the financial mechanisms
specified in this subpart. The Regional Administrator will evaluate the
equivalency of State guarantees principally in terms of (1) certainty of
the availability of funds for the required closure or post-closure care
activities or liability coverage and (2) the amount of funds that will
be made available. The Regional Administrator may also consider other
factors as he deems appropriate. The owner or operator must submit to
the Regional Administrator a letter from the State describing the nature
of the State's assumption of responsibility together with 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. The letter from the State must include, or have attached
to it, 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. The Regional Administrator will notify the owner or operator of
his determination regarding the acceptability of the State's guarantee
in lieu of financial mechanisms specified in this subpart. The Regional
Administrator may require the owner or operator to submit additional
information as is deemed necessary to make this determination. Pending
this determination, the owner or operator will be deemed to be in
compliance with the requirements of 264.143, 264.145, or 264.147, as
applicable.
(b) If a State's assumption of responsibility is found acceptable as
specified in paragraph (a) of this section except for the amount of
funds available, the owner or operator may satisfy the requirements of
this subpart by use of both the State's assurance and additional
financial mechanisms as specified in this subpart. The amount of funds
available through the State and Federal mechanisms must at least equal
the amount required by this subpart.
40 CFR 264.151 Wording of the instruments.
(a)(1) A trust agreement for a trust fund, as specified in
264.143(a) or 264.145(a) or 265.143(a) or 265.145(a) of this chapter,
must be worded as follows, except that instructions in brackets are to
be replaced with the relevant information and the brackets deleted:
Trust Agreement, the ''Agreement,'' entered into as of (date) by and
between (name of the owner or operator), a (name of State) (insert
''corporation,'' ''partnership,'' ''association,'' or
''proprietorship''), the ''Grantor,'' and (name of corporate trustee),
(insert ''incorporated in the State of ---- '' or ''a national bank''),
the ''Trustee.''
Whereas, the United States Environmental Protection Agency, ''EPA,''
an agency of the United States Government, has established certain
regulations applicable to the Grantor, requiring that an owner or
operator of a hazardous waste management facility shall provide
assurance that funds will be available when needed for closure and/or
post-closure care of the facility,
Whereas, the Grantor has elected to establish a trust to provide all
or part of such financial assurance for the facilities identified
herein,
Whereas, the Grantor, acting through its duly authorized officers,
has selected the Trustee to be the trustee under this agreement, and the
Trustee is willing to act as trustee,
Now, Therefore, the Grantor and the Trustee agree as follows:
Section 1. Definitions. As used in this Agreement:
(a) The term ''Grantor'' means the owner or operator who enters into
this Agreement and any successors or assigns of the Grantor.
(b) The term ''Trustee'' means the Trustee who enters into this
Agreement and any successor Trustee.
Section 2. Identification of Facilities and Cost Estimates. This
Agreement pertains to the facilities and cost estimates identified on
attached Schedule A (on Schedule A, for each facility list the EPA
Identification Number, name, address, and the current closure and/or
post-closure cost estimates, or portions thereof, for which financial
assurance is demonstrated by this Agreement).
Section 3. Establishment of Fund. The Grantor and the Trustee
hereby establish a trust fund, the ''Fund,'' for the benefit of EPA.
The Grantor and the Trustee intend that no third party have access to
the Fund except as herein provided. The Fund is established initially
as consisting of the property, which is acceptable to the Trustee,
described in Schedule B attached hereto. Such property and any other
property subsequently transferred to the Trustee is referred to as the
Fund, together with all earnings and profits thereon, less any payments
or distributions made by the Trustee pursuant to this Agreement. The
Fund shall be held by the Trustee, IN TRUST, as hereinafter provided.
The Trustee shall not be responsible nor shall it undertake any
responsibility for the amount or adequacy of, nor any duty to collect
from the Grantor, any payments necessary to discharge any liabilities of
the Grantor established by EPA.
Section 4. Payment for Closure and Post-Closure Care. The Trustee
shall make payments from the Fund as the EPA Regional Administrator
shall direct, in writing, to provide for the payment of the costs of
closure and/or post-closure care of the facilities covered by this
Agreement. The Trustee shall reimburse the Grantor or other persons as
specified by the EPA Regional Administrator from the Fund for closure
and post-closure expenditures in such amounts as the EPA Regional
Administrator shall direct in writing. In addition, the Trustee shall
refund to the Grantor such amounts as the EPA Regional Administrator
specifies in writing. Upon refund, such funds shall no longer
constitute part of the Fund as defined herein.
Section 5. Payments Comprising the Fund. Payments made to the
Trustee for the Fund shall consist of cash or securities acceptable to
the Trustee.
Section 6. Trustee Management. The Trustee shall invest and
reinvest the principal and income of the Fund and keep the Fund invested
as a single fund, without distinction between principal and income, in
accordance with general investment policies and guidelines which the
Grantor may communicate in writing to the Trustee from time to time,
subject, however, to the provisions of this section. In investing,
reinvesting, exchanging, selling, and managing the Fund, the Trustee
shall discharge his duties with respect to the trust fund solely in the
interest of the beneficiary and with the care, skill, prudence, and
diligence under the circumstances then prevailing which persons of
prudence, acting in a like capacity and familiar with such matters,
would use in the conduct of an enterprise of a like character and with
like aims; except that:
(i) Securities or other obligations of the Grantor, or any other
owner or operator of the facilities, or any of their affiliates as
defined in the Investment Company Act of 1940, as amended, 15 U.S.C.
80a-2.(a), shall not be acquired or held, unless they are securities or
other obligations of the Federal or a State government;
(ii) The Trustee is authorized to invest the Fund in time or demand
deposits of the Trustee, to the extent insured by an agency of the
Federal or State government; and
(iii) The Trustee is authorized to hold cash awaiting investment or
distribution uninvested for a reasonable time and without liability for
the payment of interest thereon.
Section 7. Commingling and Investment. The Trustee is expressly
authorized in its discretion:
(a) To tranfer from time to time any or all of the assets of the Fund
to any common, commingled, or collective trust fund created by the
Trustee in which the Fund is eligible to participate, subject to all of
the provisions thereof, to be commingled with the assets of other trusts
participating therein; and
(b) To purchase shares in any investment company registered under the
Investment Company Act of 1940, 15 U.S.C. 80a-1 et seq., including one
which may be created, managed, underwritten, or to which investment
advice is rendered or the shares of which are sold by the Trustee. The
Trustee may vote such shares in its discretion.
Section 8. Express Powers of Trustee. Without in any way limiting
the powers and discretions conferred upon the Trustee by the other
provisions of this Agreement or by law, the Trustee is expressly
authorized and empowered:
(a) To sell, exchange, convey, transfer, or otherwise dispose of any
property held by it, by public or private sale. No person dealing with
the Trustee shall be bound to see to the application of the purchase
money or to inquire into the validity or expediency of any such sale or
other disposition;
(b) To make, execute, acknowledge, and deliver any and all documents
of transfer and conveyance and any and all other instruments that may be
necessary or appropriate to carry out the powers herein granted;
(c) To register any securities held in the Fund in its own name or in
the name of a nominee and to hold any security in bearer form or in book
entry, or to combine certificates representing such securities with
certificates of the same issue held by the Trustee in other fiduciary
capacities, or to deposit or arrange for the deposit of such securities
in a qualified central depositary even though, when so deposited, such
securities may be merged and held in bulk in the name of the nominee of
such depositary with other securities deposited therein by another
person, or to deposit or arrange for the deposit of any securities
issued by the United States Government, or any agency or instrumentality
thereof, with a Federal Reserve bank, but the books and records of the
Trustee shall at all times show that all such securities are part of the
Fund;
(d) To deposit any cash in the Fund in interest-bearing accounts
maintained or savings certificates issued by the Trustee, in its
separate corporate capacity, or in any other banking institution
affiliated with the Trustee, to the extent insured by an agency of the
Federal or State government; and
(e) To compromise or otherwise adjust all claims in favor of or
against the Fund.
Section 9. Taxes and Expenses. All taxes of any kind that may be
assessed or levied against or in respect of the Fund and all brokerage
commissions incurred by the Fund shall be paid from the Fund. All other
expenses incurred by the Trustee in connection with the administration
of this Trust, including fees for legal services rendered to the
Trustee, the compensation of the Trustee to the extent not paid directly
by the Grantor, and all other proper charges and disbursements of the
Trustee shall be paid from the Fund.
Section 10. Annual Valuation. The Trustee shall annually, at least
30 days prior to the anniversary date of establishment of the Fund,
furnish to the Grantor and to the appropriate EPA Regional Administrator
a statement confirming the value of the Trust. Any securities in the
Fund shall be valued at market value as of no more than 60 days prior to
the anniversary date of establishment of the Fund. The failure of the
Grantor to object in writing to the Trustee within 90 days after the
statement has been furnished to the Grantor and the EPA Regional
Administrator shall constitute a conclusively binding assent by the
Grantor, barring the Grantor from asserting any claim or liability
against the Trustee with respect to matters disclosed in the statement.
Section 11. Advice of Counsel. The Trustee may from time to time
consult with counsel, who may be counsel to the Grantor, with respect to
any question arising as to the construction of this Agreement or any
action to be taken hereunder. The Trustee shall be fully protected, to
the extent permitted by law, in acting upon the advice of counsel.
Section 12. Trustee Compensation. The Trustee shall be entitled to
reasonable compensation for its services as agreed upon in writing from
time to time with the Grantor.
Section 13. Successor Trustee. The Trustee may resign or the
Grantor may replace the Trustee, but such resignation or replacement
shall not be effective until the Grantor has appointed a successor
trustee and this successor accepts the appointment. The successor
trustee shall have the same powers and duties as those conferred upon
the Trustee hereunder. Upon the successor trustee's acceptance of the
appointment, the Trustee shall assign, transfer, and pay over to the
successor trustee the funds and properties then constituting the Fund.
If for any reason the Grantor cannot or does not act in the event of the
resignation of the Trustee, the Trustee may apply to a court of
competent jurisdiction for the appointment of a successor trustee or for
instructions. The successor trustee shall specify the date on which it
assumes administration of the trust in a writing sent to the Grantor,
the EPA Regional Administrator, and the present Trustee by certified
mail 10 days before such change becomes effective. Any expenses
incurred by the Trustee as a result of any of the acts contemplated by
this Section shall be paid as provided in Section 9.
Section 14. Instructions to the Trustee. All orders, requests, and
instructions by the Grantor to the Trustee shall be in writing, signed
by such persons as are designated in the attached Exhibit A or such
other designees as the Grantor may designate by amendment to Exhibit A.
The Trustee shall be fully protected in acting without inquiry in
accordance with the Grantor's orders, requests, and instructions. All
orders, requests, and instructions by the EPA Regional Administrator to
the Trustee shall be in writing, signed by the EPA Regional
Administrators of the Regions in which the facilities are located, or
their designees, and the Trustee shall act and shall be fully protected
in acting in accordance with such orders, requests, and instructions.
The Trustee shall have the right to assume, in the absence of written
notice to the contrary, that no event constituting a change or a
termination of the authority of any person to act on behalf of the
Grantor or EPA hereunder has occurred. The Trustee shall have no duty
to act in the absence of such orders, requests, and instructions from
the Grantor and/or EPA, except as provided for herein.
Section 15. Notice of Nonpayment. The Trustee shall notify the
Grantor and the appropriate EPA Regional Administrator, by certified
mail within 10 days following the expiration of the 30-day period after
the anniversary of the establishment of the Trust, if no payment is
received from the Grantor during that period. After the pay-in period
is completed, the Trustee shall not be required to send a notice of
nonpayment.
Section 16. Amendment of Agreement. This Agreement may be amended
by an instrument in writing executed by the Grantor, the Trustee, and
the appropriate EPA Regional Administrator, or by the Trustee and the
appropriate EPA Regional Administrator if the Grantor ceases to exist.
Section 17. Irrevocability and Termination. Subject to the right of
the parties to amend this Agreement as provided in Section 16, this
Trust shall be irrevocable and shall continue until terminated at the
written agreement of the Grantor, the Trustee, and the EPA Regional
Administrator, or by the Trustee and the EPA Regional Administrator, if
the Grantor ceases to exist. Upon termination of the Trust, all
remaining trust property, less final trust administration expenses,
shall be delivered to the Grantor.
Section 18. Immunity and Indemnification. The Trustee shall not
incur personal liability of any nature in connection with any act or
omission, made in good faith, in the administration of this Trust, or in
carrying out any directions by the Grantor or the EPA Regional
Administrator issued in accordance with this Agreement. The Trustee
shall be indemnified and saved harmless by the Grantor or from the Trust
Fund, or both, from and against any personal liability to which the
Trustee may be subjected by reason of any act or conduct in its official
capacity, including all expenses reasonably incurred in its defense in
the event the Grantor fails to provide such defense.
Section 19. Choice of Law. This Agreement shall be administered,
construed, and enforced according to the laws of the State of (insert
name of State).
Section 20. Interpretation. As used in this Agreement, words in the
singular include the plural and words in the plural include the
singular. The descriptive headings for each Section of this Agreement
shall not affect the interpretation or the legal efficacy of this
Agreement.
In Witness Whereof the parties have caused this Agreement to be
executed by their respective officers duly authorized and their
corporate seals to be hereunto affixed and attested as of the date first
above written: The parties below certify that the wording of this
Agreement is identical to the wording specified in 40 CFR 264.151(a)(1)
as such regulations were constituted on the date first above written.
(Signature of Grantor)
(Title)
Attest:
(Title) (Seal) (Signature of Trustee)
Attest:
(Title) (Seal)
(2) The following is an example of the certification of
acknowledgment which must accompany the trust agreement for a trust fund
as specified in 264.143(a) and 264.145(a) or 265.143(a) or
265.145(a) of this chapter. State requirements may differ on the proper
content of this acknowledgment.
State of
County of
On this (date), before me personally came (owner or operator) to me
known, who, being by me duly sworn, did depose and say that she/he
resides at (address), that she/he is (title) of (corporation), the
corporation described in and which executed the above instrument; that
she/he knows the seal of said corporation; that the seal affixed to
such instrument is such corporate seal; that it was so affixed by order
of the Board of Directors of said corporation, and that she/he signed
her/his name thereto by like order.
(Signature of Notary Public)
(b) A surety bond guaranteeing payment into a trust fund, as
specified in 264.143(b) or 264.145(b) or 265.143(b) or 265.145(b) of
this chapter, must be worded as follows, except that instructions in
brackets are to be replaced with the relevant information and the
brackets deleted:
Date bond executed:
Effective date:
Principal: (legal name and business address of owner or operator)
Type of Organization: (insert ''individual,'' ''joint venture,''
''partnership,'' or ''corporation'')
State of incorporation:
Surety(ies): (name(s) and business address(es))
EPA Identification Number, name, address and closure and/or
post-closure amount(s) for each facility guaranteed by this bond
(indicate closure and post-closure
amounts separately):
Total penal sum of
bond: $
Surety's bond number:
Know All Persons By These Presents, That we, the Principal and
Surety(ies) hereto are firmly bound to the U.S. Environmental Protection
Agency (hereinafter called EPA), in the above penal sum for the payment
of which we bind ourselves, our heirs, executors, administrators,
successors, and assigns jointly and severally; provided that, where the
Surety(ies) are corporations acting as co-sureties, we, the Sureties,
bind ourselves in such sum ''jointly and severally'' only for the
purpose of allowing a joint action or actions against any or all of us,
and for all other purposes each Surety binds itself, jointly and
severally with the Principal, for the payment of such sum only as is set
forth opposite the name of such Surety, but if no limit of liability is
indicated, the limit of liability shall be the full amount of the penal
sum.
Whereas said Principal is required, under the Resource Conservation
and Recovery Act as amended (RCRA), to have a permit or interim status
in order to own or operate each hazardous waste management facility
identified above, and
Whereas said Principal is required to provide financial assurance for
closure, or closure and post-closure care, as a condition of the permit
or interim status, and
Whereas said Principal shall establish a standby trust fund as is
required when a surety bond is used to provide such financial assurance;
Now, Therefore, the conditions of the obligation are such that if the
Principal shall faithfully, before the beginning of final closure of
each facility identified above, fund the standby trust fund in the
amount(s) identified above for the facility,
Or, if the Principal shall fund the standby trust fund in such
amount(s) within 15 days after a final order to begin closure is issued
by an EPA Regional Administrator or a U.S. district court or other court
of competent jurisdiction,
Or, if the Principal shall provide alternate financial assurance, as
specified in subpart H of 40 CFR part 264 or 265, as applicable, and
obtain the EPA Regional Administrator's written approval of such
assurance, within 90 days after the date notice of cancellation is
received by both the Principal and the EPA Regional Administrator(s)
from the Surety(ies), then this obligation shall be null and void;
otherwise it is to remain in full force and effect.
The Surety(ies) shall become liable on this bond obligation only when
the Principal has failed to fulfill the conditions described above.
Upon notification by an EPA Regional Administrator that the Principal
has failed to perform as guaranteed by this bond, the Surety(ies) shall
place funds in the amount guaranteed for the facility(ies) into the
standby trust fund as directed by the EPA Regional Administrator.
The liability of the Surety(ies) shall not be discharged by any
payment or succession of payments hereunder, unless and until such
payment or payments shall amount in the aggregate to the penal sum of
the bond, but in no event shall the obligation of the Surety(ies)
hereunder exceed the amount of said penal sum.
The Surety(ies) may cancel the bond by sending notice of cancellation
by certified mail to the Principal and to the EPA Regional
Administrator(s) for the Region(s) in which the facility(ies) is (are)
located, provided, however, that cancellation shall not occur during the
120 days beginning on the date of receipt of the notice of cancellation
by both the Principal and the EPA Regional Administrator(s), as
evidenced by the return receipts.
The Principal may terminate this bond by sending written notice to
the Surety(ies), provided, however, that no such notice shall become
effective until the Surety(ies) receive(s) written authorization for
termination of the bond by the EPA Regional Administrator(s) of the EPA
Region(s) in which the bonded facility(ies) is (are) located.
(The following paragraph is an optional rider that may be included
but is not required.)
Principal and Surety(ies) hereby agree to adjust the penal sum of the
bond yearly so that it guarantees a new closure and/or post-closure
amount, provided that the penal sum does not increase by more than 20
percent in any one year, and no decrease in the penal sum takes place
without the written permission of the EPA Regional Administrator(s).
In Witness Whereof, the Principal and Surety(ies) have executed this
Financial Guarantee Bond and have affixed their seals on the date set
forth above.
The persons whose signatures appear below hereby certify that they
are authorized to execute this surety bond on behalf of the Principal
and Surety(ies) and that the wording of this surety bond is identical to
the wording specified in 40 CFR 264.151(b) as such regulations were
constituted on the date this bond was executed.
(Signature(s))
(Name(s))
(Title(s))
(Corporate seal)
(Name and address)
State of incorporation:)
Liability limit: $
(Signature(s))
(Name(s) and title(s))
(Corporate seal)
(For every co-surety, provide signature(s), corporate seal, and other
information in the same manner as for Surety above.)
Bond premium: $
(c) A surety bond guaranteeing performance of closure and/or
post-closure care, as specified in 264.143(c) or 264.145(c), must be
worded as follows, except that the instructions in brackets are to be
replaced with the relevant information and the brackets deleted:
Date bond executed:
Effective date:
Principal: (legal name and business address of owner or operator)
Type of organization: (insert ''individual,'' ''joint venture,''
''partnership,'' or ''corporation'')
State of incorporation:
Surety(ies): (name(s) and business address(es))
EPA Identification Number, name, address, and closure and/or
post-closure amount(s) for each facility guaranteed by this bond
(indicate closure and post-closure amounts separately): ------
Total penal sum of bond: $
Surety's bond number:
Know All Persons By These Presents, That we, the Principal and
Surety(ies) hereto are firmly bound to the U.S. Environmental Protection
Agency (hereinafter called EPA), in the above penal sum for the payment
of which we bind ourselves, our heirs, executors, administrators,
successors, and assigns jointly and severally; provided that, where the
Surety(ies) are corporations acting as co-sureties, we, the Sureties,
bind ourselves in such sum ''jointly and severally'' only for the
purpose of allowing a joint action or actions against any or all of us,
and for all other purposes each Surety binds itself, jointly and
severally with the Principal, for the payment of such sum only as is set
forth opposite the name of such Surety, but if no limit of liability is
indicated, the limit of liability shall be the full amount of the penal
sum.
Whereas said Principal is required, under the Resource Conservation
and Recovery Act as amended (RCRA), to have a permit in order to own or
operate each hazardous waste management facility indentified above, and
Whereas said Principal is required to provide financial assurance for
closure, or closure and post-closure care, as a condition of the permit,
and
Whereas said Principal shall establish a standby trust fund as is
required when a surety bond is used to provide such financial assurance;
Now, Therefore, the conditions of this obligation are such that if
the Principal shall faithfully perform closure, whenever required to do
so, of each facility for which this bond guarantees closure, in
accordance with the closure plan and other requirements of the permit as
such plan and permit may be amended, pursuant to all applicable laws,
statutes, rules, and regulations, as such laws, statutes, rules, and
regulations may be amended,
And, if the Principal shall faithfully perform post-closure care of
each facility for which this bond guarantees post-closure care, in
accordance with the post-closure plan and other requirements of the
permit, as such plan and permit may be amended, pursuant to all
applicable laws, statutes, rules, and regulations, as such laws,
statutes, rules, and regulations may be amended,
Or, if the Principal shall provide alternate financial assurance as
specified in subpart H of 40 CFR part 264, and obtain the EPA Regional
Administrator's written approval of such assurance, within 90 days after
the date notice of cancellation is received by both the Principal and
the EPA Regional Administrator(s) from the Surety(ies), then this
obligation shall be null and void, otherwise it is to remain in full
force and effect.
The Surety(ies) shall become liable on this bond obligation only when
the Principal has failed to fulfill the conditions described above.
Upon notification by an EPA Regional Administrator that the Principal
has been found in violation of the closure requirements of 40 CFR part
264, for a facility for which this bond guarantees performance of
closure, the Surety(ies) shall either perform closure in accordance with
the closure plan and other permit requirements or place the closure
amount guaranteed for the facility into the standby trust fund as
directed by the EPA Regional Administrator.
Upon notification by an EPA Regional Administrator that the Principal
has been found in violation of the post-closure requirements of 40 CFR
part 264 for a facility for which this bond guarantees performance of
post-closure care, the Surety(ies) shall either perform post-closure
care in accordance with the post-closure plan and other permit
requirements or place the post-closure amount guaranteed for the
facility into the standby trust fund as directed by the EPA Regional
Administrator.
Upon notification by an EPA Regional Administrator that the Principal
has failed to provide alternate financial assurance as specified in
subpart H of 40 CFR part 264, and obtain written approval of such
assurance from the EPA Regional Administrator(s) during the 90 days
following receipt by both the Principal and the EPA Regional
Administrator(s) of a notice of cancellation of the bond, the
Surety(ies) shall place funds in the amount guaranteed for the
facility(ies) into the standby trust fund as directed by the EPA
Regional Administrator.
The surety(ies) hereby waive(s) notification of amendments to closure
plans, permits, applicable laws, statutes, rules, and regulations and
agrees that no such amendment shall in any way alleviate its (their)
obligation on this bond.
The liability of the Surety(ies) shall not be discharged by any
payment or succession of payments hereunder, unless and until such
payment or payments shall amount in the aggregate to the penal sum of
the bond, but in no event shall the obligation of the Surety(ies)
hereunder exceed the amount of said penal sum.
The Surety(ies) may cancel the bond by sending notice of cancellation
by certified mail to the owner or operator and to the EPA Regional
Administrator(s) for the Region(s) in which the facility(ies) is (are)
located, provided, however, that cancellation shall not occur during the
120 days beginning on the date of receipt of the notice of cancellation
by both the Principal and the EPA Regional Administrator(s), as
evidenced by the return receipts.
The principal may terminate this bond by sending written notice to
the Surety(ies), provided, however, that no such notice shall become
effective until the Surety(ies) receive(s) written authorization for
termination of the bond by the EPA Regional Administrator(s) of the EPA
Region(s) in which the bonded facility(ies) is (are) located.
(The following paragraph is an optional rider that may be included
but is not required.)
Principal and Surety(ies) hereby agree to adjust the penal sum of the
bond yearly so that it guarantees a new closure and/or post-closure
amount, provided that the penal sum does not increase by more than 20
percent in any one year, and no decrease in the penal sum takes place
without the written permission of the EPA Regional Administrator(s).
In Witness Whereof, The Principal and Surety(ies) have executed this
Performance Bond and have affixed their seals on the date set forth
above.
The persons whose signatures appear below hereby certify that they
are authorized to execute this surety bond on behalf of the Principal
and Surety(ies) and that the wording of this surety bond is identical to
the wording specified in 40 CFR 264.151(c) as such regulation was
constituted on the date this bond was executed.
(Signature(s))
(Name(s))
(Title(s))
(Corporate seal)
(Name and address)
State of incorporation:
Liability limit: $
(Signature(s))
(Name(s) and title(s))
(Corporate seal)
(For every co-surety, provide signature(s), corporate seal, and other
information in the same manner as for Surety above.)
Bond premium: $
(d) A letter of credit, as specified in 264.143(d) or 264.145(d) or
265.143(c) or 265.145(c) of this chapter, must be worded as follows,
except that instructions in brackets are to be replaced with the
relevant information and the brackets deleted:
Regional Administrator(s)
Region(s)
U.S. Environmental Protection Agency
Dear Sir or Madam: We hereby establish our Irrevocable Standby
Letter of Credit No. ---- in your favor, at the request and for the
account of (owner's or operator's name and address) up to the aggregate
amount of (in words) U.S. dollars $ ---- , available upon presentation
(insert, if more than one Regional Administrator is a beneficiary, ''by
any one of you'') of
(1) your sight draft, bearing reference to this letter of credit No.
---- , and
(2) your signed statement reading as follows: ''I certify that the
amount of the draft is payable pursuant to regulations issued under
authority of the Resource Conservation and Recovery Act of 1976 as
amended.''
This letter of credit is effective as of (date) and shall expire on
(date at least 1 year later), but such expiration date shall be
automatically extended for a period of (at least 1 year) on (date) and
on each successive expiration date, unless, at least 120 days before the
current expiration date, we notify both you and (owner's or operator's
name) by certified mail that we have decided not to extend this letter
of credit beyond the current expiration date. In the event you are so
notified, any unused portion of the credit shall be available upon
presentation of your sight draft for 120 days after the date of receipt
by both you and (owner's or operator's name), as shown on the signed
return receipts.
Whenever this letter of credit is drawn on under and in compliance
with the terms of this credit, we shall duly honor such draft upon
presentation to us, and we shall deposit the amount of the draft
directly into the standby trust fund of (owner's or operator's name) in
accordance with your instructions.
We certify that the wording of this letter of credit is identical to
the wording specified in 40 CFR 264.151(d) as such regulations were
constituted on the date shown immediately below.
(Signature(s) and title(s) of official(s) of issuing institution)
(Date)
This credit is subject to (insert ''the most recent edition of the
Uniform Customs and Practice for Documentary Credits, published by the
International Chamber of Commerce,'' or ''the Uniform Commercial
Code'').
(e) A certificate of insurance, as specified in 264.143(e) or
264.145(e) or 265.143(d) or 265.145(d) of this chapter, must be worded
as follows, except that instructions in brackets are to be replaced with
the relevant information and the brackets deleted:
Name and Address of Insurer
(herein called the ''Insurer''):
Name and Address of Insured
(herein called the ''Insured''):
Facilities Covered: (List for each facility: The EPA Identification
Number, name, address, and the amount of insurance for closure and/or
the amount for post-closure care (these amounts for all facilities
covered must total the face amount shown below).)
Face Amount:
Policy Number:
Effective Date:
The Insurer hereby certifies that it has issued to the Insured the
policy of insurance identified above to provide financial assurance for
(insert ''closure'' or ''closure and post-closure care'' or
''post-closure care'') for the facilities identified above. The Insurer
further warrants that such policy conforms in all respects with the
requirements of 40 CFR 264.143(e), 264.145(e), 265.143(d), and
265.145(d), as applicable and as such regulations were constituted on
the date shown immediately below. It is agreed that any provision of
the policy inconsistent with such regulations is hereby amended to
eliminate such inconsistency.
Whenever requested by the EPA Regional Administrator(s) of the U.S.
Environmental Protection Agency, the Insurer agrees to furnish to the
EPA Regional Administrator(s) a duplicate original of the policy listed
above, including all endorsements thereon.
I hereby certify that the wording of this certificate is identical to
the wording specified in 40 CFR 264.151(e) as such regulations were
constituted on the date shown immediately below.
(Authorized signature for Insurer)
(Name of person signing)
(Title of person signing)
Signature of witness or notary:
(Date)
(f) A letter from the chief financial officer, as specified in
264.143(f) or 264.145(f) or 265.143(e) or 265.145(e) of this chapter,
must be worded as follows, except that instructions in brackets are to
be replaced with the relevant information and the brackets deleted:
(Address to Regional Administrator of every Region in which
facilities for which financial responsibility is to be demonstrated
through the financial test are located.)
I am the chief financial officer of (name and address of firm). This
letter is in support of this firm's use of the financial test to
demonstrate financial assurance, as specified in subpart H of 40 CFR
parts 264 and 265.
(Fill out the following four paragraphs regarding facilities and
associated cost estimates. If your firm has no facilities that belong in
a particular paragraph, write ''None'' in the space indicated. For each
facility, include its EPA Identification Number, name, address, and
current closure and/or post-closure cost estimates. Identify each cost
estimate as to whether it is for closure or post-closure care.)
1. This firm is the owner or operator of the following facilities for
which financial assurance for closure or post-closure care is
demonstrated through the financial test specified in subpart H of 40 CFR
parts 264 and 265. The current closure and/or post-closure cost
estimates covered by the test are shown for each facility: -------- .
2. This firm guarantees, through the corporate guarantee specified in
subpart H of 40 CFR parts 264 and 265, the closure or post-closure care
of the following facilities owned or operated by subsidiaries of this
firm. The current cost estimates for the closure or post-closure care
so guaranteed are shown for each facility: -------- .
3. In States where EPA is not administering the financial
requirements of subpart H of 40 CFR part 264 or 265, this firm, as owner
or operator or guarantor, is demonstrating financial assurance for the
closure or post-closure care of the following facilities through the use
of a test equivalent or substantially equivalent to the financial test
specified in subpart H of 40 CFR parts 264 and 265. The current closure
and/or post-closure cost estimates covered by such a test are shown for
each facility: -------- .
4. This firm is the owner or operator of the following hazardous
waste management facilities for which financial assurance for closure
or, if a disposal facility, post-closure care, is not demonstrated
either to EPA or a State through the financial test or any other
financial assurance mechanism specified in subpart H of 40 CFR parts 264
and 265 or equivalent or substantially equivalent State mechanisms. The
current closure and/or post-closure cost estimates not covered by such
financial assurance are shown for each facility: -------- .
This firm (insert ''is required'' or ''is not required'') to file a
Form 10K with the Securities and Exchange Commission (SEC) for the
latest fiscal year.
The fiscal year of this firm ends on (month, day). The figures for
the following items marked with an asterisk are derived from this firm's
independently audited, year-end financial statements for the latest
completed fiscal year, ended (date).
(Fill in Alternative I if the criteria of paragraph (f)(1)(i) of
264.143 or 264.145, or of paragraph (e)(1)(i) of 265.143 or 265.145
of this chapter are used. Fill in Alternative II if the criteria of
paragraph (f)(1)(ii) of 264.143 or 264.145, or of paragraph (e)(1)(ii)
of 265.143 or 265.145 of this chapter are
I hereby certify that the wording of this letter is identical to the
wording specified in 40 CFR 264.151(f) as such regulations were
constituted on the date shown immediately below.
(Signature)
(Name)
(Title)
(Date)
5. This firm is the owner or operator of the following UIC facilities
for which financial assurance for plugging and abandonment is required
under part 144. The current closure cost estimates as required by 40
CFR 144.62 are shown for each facility:
(g) A letter from the chief financial officer, as specified in
264.147(f) or 265.147(f) of this chapter, must be worded as follows,
except that instructions in brackets are to be replaced with the
relevant information and the brackets deleted.
(Address to Regional Administrator of every Region in which
facilities for which financial responsibility is to be demonstrated
through the financial test are located.)
I am the chief financial officer of (firm's name and address). This
letter is in support of the use of the financial test to demonstrate
financial responsibility for liability coverage (insert ''and closure
and/or post-closure care'' if applicable) as specified in subpart H of
40 CFR parts 264 and 265.
(Fill out the following paragraphs regarding facilities and liability
coverage. If there are no facilities that belong in a particular
paragraph, write ''None'' in the space indicated. For each facility,
include its EPA Identification Number, name, and address.)
The firm identified above is the owner or operator of the following
facilities for which liability coverage for (insert ''sudden'' or
''nonsudden'' or ''both sudden and nonsudden'') accidental occurrences
is being demonstrated through the financial test specified in subpart H
of 40 CFR parts 264 and 265: XXXX.
The firm identified above guarantees, through the guarantee specified
in subpart H or 40 CFR parts 264 and 265, liability coverage for (insert
''sudden'' or ''nonsudden'' or ''both sudden and nonsudden'') accidental
occurrences at the following facilities owned or operated by the
following: XXXX. The firm identified above is (insert one or more: (1)
The direct or higher-tier parent corporation of the owner or operator;
(2) owned by the same parent corporation as the parent corporation of
the owner or operator, and receiving the following value in
consideration of this guarantee XXXX; or (3) engaged in the following
substantial business relationship with the owner or operator XXXX, and
receiving the following value in consideration of this guarantee XXXX.)
(Attach a written description of the business relationship or a copy of
the contract establishing such relationship to this letter.)
(If you are using the financial test to demonstrate coverage of both
liability and closure and post-closure care, fill in the following four
paragraphs regarding facilities and associated closure and post-closure
cost estimates. If there are no facilities that belong in a particular
paragraph, write ''None'' in the space indicated. For each facility,
include its EPA Identification Number, name, address, and current
closure and/or post-closure cost estimates. Identify each cost estimate
as to whether it is for closure or post-closure care.)
1. The firm identified above owns or operates the following
facilities for which financial assurance for closure or post-closure
care or liability coverage is demonstrated through the financial test
specified in subpart H of 40 CFR parts 264 and 265. The current closure
and/or post-closure cost estimate covered by the test are shown for each
facility: XXXX.
2. The firm identified above guarantees, through the guarantee
specified in subpart H of 40 CFR parts 264 and 265, the closure and
post-closure care or liability coverage of the following facilities
owned or operated by the guaranteed party. The current cost estimates
for the closure or post-closure care so guaranteed are shown for each
facility: XXXX.
3. In States where EPA is not administering the financial
requirements of subpart H of 40 CFR parts 264 and 265, this firm is
demonstrating financial assurance for the closure or post-closure care
of the following facilities through the use of a test equivalent or
substantially equivalent to the financial test specified in subpart H of
40 CFR parts 264 and 265. The current closure or post-closure cost
estimates covered by such a test are shown for each facility: XXXX.
4. The firm identified above owns or operates the following hazardous
waste management facilities for which financial assurance for closure
or, if a disposal facility, post-closure care, is not demonstrated
either to EPA or a State through the financial test or any other
financial assurance mechanisms specified in subpart H of 40 CFR parts
264 and 265 or equivalent or substantially equivalent State mechanisms.
The current closure and/or post-closure cost estimates not covered by
such financial assurance are shown for each facility: XXXX.
5. This firm is the owner or operator of the following UIC facilities
for which financial assurance for plugging and abandonment is required
under 40 CFR part 144. The current closure cost estimates as required
by 40 CFR 144.62 are shown for each facility: XXXX.
This firm (insert ''is required'' or ''is not required'') to file a
Form 10K with the Securities and Exchange Commission (SEC) for the
latest fiscal year.
The fiscal year of this firm ends on (month, day). The figures for
the following items marked with an asterisk are derived from this firm's
independently audited, year-end financial statements for the latest
completed fiscal year, ended (date).
(Fill in part A if you are using the financial test to demonstrate
coverage only for the liability requirements.)
(Fill in Alternative I if the criteria of paragraph (f)(1)(i) of
264.147 or 265.147 are used. Fill in Alternative II if the criteria of
paragraph (f)(1)(ii) of 264.147 or 265.147 are used.)
(Fill in part B if you are using the financial test to demonstrate
assurance of both liability coverage and closure or post-closure care.)
Coverage
(Fill in Alternative I if the criteria of paragraphs (f)(1)(i) of
264.143 or 264.145 and (f)(1)(i) of 264.147 are used or if the
criteria of paragraphs (e)(1)(i) of 265.143 or 265.145 and (f)(1)(i)
of 265.147 are used. Fill in Alternative II if the criteria of
paragraphs (f)(1)(ii) of 264.143 or 264.145 and (f)(1)(ii) of 264.147
are used or if the criteria of paragraphs (e)(1)(ii) of 265.143 or
265.145 and (f)(1)(ii) of 265.147 are used.)
I hereby certify that the wording of this letter is identical to the
wording specified in 40 CFR 264.151(g) as such regulations were
constituted on the date shown immediately below.
(Signature)
(Name)
(Title)
(Date)
(h)(1) A corporate guarantee, as specified in 264.143(f) or
264.145(f) or 265.143(e) or 265.145(e) of this chapter, must be worded
as follows, except that instructions in brackets are to be replaced with
the relevant information and the brackets deleted:
Guarantee made this (date) by (name of guaranteeing entity), a
business corporation organized under the laws of the State of (insert
name of State), herein referred to as guarantor, to the United States
Environmental Protection Agency (EPA), obligee, on behalf of our
subsidiary (owner or operator) of (business address).
Recitals
1. Guarantor meets or exceeds the financial test criteria and agrees
to comply with the reporting requirements for guarantors as specified in
40 CFR 264.143(f), 264.145(f), 265.143(e), and 265.145(e).
2. (Owner or operator) owns or operates the following hazardous waste
management facility(ies) covered by this guarantee: (List for each
facility: EPA Identification Number, name, and address. Indicate for
each whether guarantee is for closure, post-closure care, or both.)
3. ''Closure plans'' and ''post-closure plans'' as used below refer
to the plans maintained as required by subpart G of 40 CFR parts 264 and
265 for the closure and post-closure care of facilities as identified
above.
4. For value received from (owner or operator), guarantor guarantees
to EPA that in the event that (owner or operator) fails to perform
(insert ''closure,'' ''post-closure care'' or ''closure and post-closure
care'') of the above facility(ies) in accordance with the closure or
post-closure plans and other permit or interim status requirements
whenever required to do so, the guarantor shall do so or establish a
trust fund as specified in subpart H of 40 CFR part 264 or 265, as
applicable, in the name of (owner or operator) in the amount of the
current closure or post-closure cost estimates as specified in subpart H
of 40 CFR parts 264 and 265.
5. Guarantor agrees that if, at the end of any fiscal year before
termination of this guarantee, the guarantor fails to meet the financial
test criteria, guarantor shall send within 90 days, by certified mail,
notice to the EPA Regional Administrator(s) for the Region(s) in which
the facility(ies) is (are) located and to (owner or operator) that he
intends to provide alternate financial assurance as specified in subpart
H of 40 CFR part 264 or 265, as applicable, in the name of (owner or
operator). Within 120 days after the end of such fiscal year, the
guarantor shall establish such financial assurance unless (owner or
operator) has done so.
6. The guarantor agrees to notify the EPA Regional Administrator by
certified mail, of a voluntary or involuntary proceeding under Title 11
(Bankruptcy), U.S. Code, naming guarantor as debtor, within 10 days
after commencement of the proceeding.
7. Guarantor agrees that within 30 days after being notified by an
EPA Regional Administrator of a determination that guarantor no longer
meets the financial test criteria or that he is disallowed from
continuing as a guarantor of closure or post-closure care, he shall
establish alternate financial assurance as specified in subpart H of 40
CFR part 264 or 265, as applicable, in the name of (owner or operator)
unless (owner or operator) has done so.
8. Guarantor agrees to remain bound under this guarantee
notwithstanding any or all of the following: amendment or modification
of the closure or post-closure plan, amendment or modification of the
permit, the extension or reduction of the time of performance of closure
or post-closure, or any other modification or alteration of an
obligation of the owner or operator pursuant to 40 CFR part 264 or 265.
9. Guarantor agrees to remain bound under this guarantee for so long
as (owner or operator) must comply with the applicable financial
assurance requirements of subpart H of 40 CFR parts 264 and 265 for the
above-listed facilities, except that guarantor may cancel this guarantee
by sending notice by certified mail to the EPA Regional Administrator(s)
for the Region(s) in which the facility(ies) is (are) located and to
(owner or operator), such cancellation to become effective no earlier
than 120 days after receipt of such notice by both EPA and (owner or
operator), as evidenced by the return receipts.
10. Guarantor agrees that if (owner or operator) fails to provide
alternate financial assurance as specified in subpart H of 40 CFR part
264 or 265, as applicable, and obtain written approval of such assurance
from the EPA Regional Administrator(s) within 90 days after a notice of
cancellation by the guarantor is received by an EPA Regional
Administrator from guarantor, guarantor shall provide such alternate
financial assurance in the name of (owner or operator).
11. Guarantor expressly waives notice of acceptance of this guarantee
by the EPA or by (owner or operator). Guarantor also expressly waives
notice of amendments or modifications of the closure and/or post-closure
plan and of amendments or modifications of the facility permit(s).
I hereby certify that the wording of this guarantee is identical to
the wording specified in 40 CFR 264.151(h) as such regulations were
constitituted on the date first above written.
Effective date:
(Name of guarantor)
(Authorized signature for guarantor)
(Name of person signing)
(Title of person signing)
Signature of witness or notary:
(2) A guarantee, as specified in 264.147(g) or 265.147(g) of this
chapter, must be worded as follows, except that instructions in brackets
are to be replaced with the relevant information and the brackets
deleted:
Guarantee made this (date) by (name of guaranteeing entity), a
business corporation organized under the laws of (if incorporated within
the United States insert ''the State of ---- '' and insert name of
State; if incorporated outside the United States insert the name of the
country in which incorporated, the principal place of business within
the United States, and the name and address of the registered agent in
the State of the principal place of business), herein referred to as
guarantor. This guarantee is made on behalf of our subsidiary (owner or
operator) of (business address), to any and all third parties who have
sustained or may sustain bodily injury or property damage caused by
(sudden and/or nonsudden) accidental occurrences arising from operation
of the facility(ies) covered by this guarantee.
1. Guarantor meets or exceeds the financial test criteria and agrees
to comply with the reporting requirements for guarantors as specified in
40 CFR 264.147(g) and 265.147(g).
2. (Owner or operator) owns or operates the following hazardous waste
management facility(ies) covered by this guarantee: (List for each
facility: EPA Identification Number, name, and address; and if
guarantor is incorporated outside the United States list the name and
address of the guarantor's registered agent in each State.) This
corporate guarantee satisfies RCRA third-party liability requirements
for (insert ''sudden'' or ''nonsudden'' or ''both sudden and
nonsudden'') accidental occurrences in above-named owner or operator
facilities for coverage in the amount of (insert dollar amount) for each
occurrence and (insert dollar amount) annual aggregate.
3. For value received from (owner or operator), guarantor guarantees
to any and all third parties who have sustained or may sustain bodily
injury or property damage caused by (sudden and/or nonsudden) accidental
occurrences arising from operations of the facility(ies) covered by this
guarantee that in the event that (owner or operator) fails to satisfy a
judgment or award based on a determination of liability for bodily
injury or property damage to third parties caused by (sudden and/or
nonsudden) accidental occurrences, arising from the operation of the
above-named facilities, or fails to pay an amount agreed to in
settlement of a claim arising from or alleged to arise from such injury
or damage, the guarantor will satisfy such judgment(s), award(s) or
settlement agreement(s) up to the limits of coverage identified above.
4. Such obligation does not apply to any of the following:
(a) Bodily injury or property damage for which (insert owner or
operator) is obligated to pay damages by reason of the assumption of
liability in a contract or agreement. This exclusion does not apply to
liability for damages that (insert owner or operator) would be obligated
to pay in the absnce of the contract or agreement.
(b) Any obligation of (insert owner or operator) under a workers'
compensation, disability benefits, or unemployment compensation law or
any similar law.
(c) Bodily injury to:
(1) An employee of (insert owner or operator) arising from, and in
the course of, employment by (insert owner or operator); or
(2) The spouse, child, parent, brother or sister of that employee as
a consequence of, or arising from, and in the course of employment by
(insert owner or operator). This exclusion applies:
(A) Whether (insert owner or operator) may be liable as an employer
or in any other capacity; and
(B) To any obligation to share damages with or repay another person
who must pay damages because of the injury to persons identified in
paragraphs (1) and (2).
(d) Bodily injury or property damage arising out of the ownership,
maintenance, use, or entrustment to others of any aircraft, motor
vehicle or watercraft.
(e) Property damage to:
(1) Any property owned, rented, or occupied by (insert owner or
operator);
(2) Premises that are sold, given away or abandoned by (insert owner
or operator) if the property damage arises out of any part of those
premises;
(3) Property loaned to (insert owner or operator);
(4) Personal property in the care, custody or control of (insert
owner or operator);
(5) That particular part of real property on which (insert owner or
operator) or any contractors or subcontractors working directly or
indirectly on behalf of (insert owner or operator) are performing
operations, if the property damage arises out of these operations.
5. Guarantor agrees that if, at the end of any fiscal year before
termination of this guarantee, the guarantor fails to meet the financial
test criteria, guarantor shall send within 90 days, by certified mail,
notice to the EPA Regional Administrator(s) for the Region(s) in which
the facility(ies) is(are) located and to (owner or operator) that he
intends to provide alternate liability coverage as specified in 40 CFR
264.147 and 265.147, as applicable, in the name of (owner or operator).
Within 120 days after the end of such fiscal year, the guarantor shall
establish such liability coverage unless (owner or operator) has done
so.
6. The guarantor agrees to notify the EPA Regional Administrator by
certified mail of a voluntary or involuntary proceeding under Title 11
(Bankruptcy), U.S. Code, naming guarantor as debtor, within 10 days
after commencement of the proceeding.
7. Guarantor agrees that within 30 days after being notified by an
EPA Regional Administrator of a determination that guarantor no longer
meets the financial test criteria or that he is disallowed from
continuing as a guarantor, he shall establish alternate liability
coverage as specified in 40 CFR 264.147 or 265.147 in the name of (owner
or operator), unless (owner or operator) has done so.
8. Guarantor reserves the right to modify this agreement to take into
account amendment or modification of the liability requirements set by
40 CFR 264.147 and 265.147, provided that such modification shall become
effective only if a Regional Administrator does not disapprove the
modification within 30 days of receipt of notification of the
modification.
9. Guarantor agrees to remain bound under this guarantee for so long
as (owner or operator) must comply with the applicable requirements of
40 CFR 264.147 and 265.147 for the above-listed facility(ies), except as
provided in paragraph 9 of this agreement.
10. (Insert the following language if the guarantor is (a) a direct
or higher-tier corporate parent, or (b) a firm whose parent corporation
is also the parent corporation of the owner or operator):
Guarantor may terminate this guarantee by sending notice by certified
mail to the EPA Regional Administrator(s) for the Region(s) in which the
facility(ies) is(are) located and to (owner or operator), provided that
this guarantee may not be terminated unless and until (the owner or
operator) obtains, and the EPA Regional Administrator(s) approve(s),
alternate liability coverage complying with 40 CFR 264.147 and/or
265.147.
(Insert the following language if the guarantor is a firm qualifying
as a guarantor due to its ''substantial business relationship'' with the
owner or operator):
Guarantor may terminate this guarantee 120 days following receipt of
notification, through certified mail, by the EPA Regional
Administrator(s) for the Region(s) in which the facility(ies) is(are)
located and by (the owner or operator).
11. Guarantor hereby expressly waives notice of acceptance of this
guarantee by any party.
12. Guarantor agrees that this guarantee is in addition to and does
not affect any other responsibility or liability of the guarantor with
respect to the covered facilities.
13. The Guarantor shall satisfy a third-party liability claim only on
receipt of one of the following documents:
(a) Certification from the Principal and the third-party claimant(s)
that the liability claim should be paid. The certification must be
worded as follows, except that instructions in brackets are to be
replaced with the relevant information and the brackets deleted:
The undersigned, as parties (insert Principal) and (insert name and
address of third-party claimant(s)), hereby certify that the claim of
bodily injury and/or property damage cuased by a (sudden or nonsudden)
accidental occurrence arising from operating (Principal's) hazardous
waste treatment, storage, or disposal facility should be paid in the
amount of $( ).
(Signatures)
Principal
(Notary) Date
(Signatures)
Claimant(s)
(Notary) Date
(b) A valid final court order establishing a judgment against the
Principal for bodily injury or property damage caused by sudden or
nonsudden accidental occurrences arising from the operation of the
Principal's facility or group of facilities.
14. In the event of combination of this guarantee with another
mechanism to meet liability requirements, this guarantee will be
considered (insert ''primary'' or ''excess'') coverage.
I hereby certify that the wording of the guarantee is identical to
the wording specified in 40 CFR 264.151(h)(2) as such regulations were
constituted on the date shown immediately below.
Effective date:
(Name of guarantor)
(Authorized signature for guarantor)
(Name of person signing)
(Title of person signing)
Signature of witness of notary:
--
(i) A hazardous waste facility liability endorsement as required in
264.147 or 265.147 must be worded as follows, except that instructions
in brackets are to be replaced with the relevant information and the
brackets deleted:
1. This endorsement certifies that the policy to which the
endorsement is attached provides liability insurance covering bodily
injury and property damage in connection with the insured's obligation
to demonstrate financial responsibility under 40 CFR 264.147 or 265.147.
The coverage applies at (list EPA Identification Number, name, and
address for each facility) for (insert ''sudden accidental
occurrences,'' ''nonsudden accidental occurrences,'' or ''sudden and
nonsudden accidental occurrences''; if coverage is for multiple
facilities and the coverage is different for different facilities,
indicate which facilities are insured for sudden accidental occurrences,
which are insured for nonsudden accidental occurrences, and which are
insured for both). The limits of liability are (insert the dollar
amount of the ''each occurrence'' and ''annual aggregate'' limits of the
Insurer's liability), exclusive of legal defense costs.
2. The insurance afforded with respect to such occurrences is subject
to all of the terms and conditions of the policy; provided, however,
that any provisions of the policy inconsistent with subsections (a)
through (e) of this Paragraph 2 are hereby amended to conform with
subsections (a) through (e):
(a) Bankruptcy or insolvency of the insured shall not relieve the
Insurer of its obligations under the policy to which this endorsement is
attached.
(b) The Insurer is liable for the payment of amounts within any
deductible applicable to the policy, with a right of reimbursement by
the insured for any such payment made by the Insurer. This provision
does not apply with respect to that amount of any deductible for which
coverage is demonstrated as specified in 40 CFR 264.147(f) or
265.147(f).
(c) Whenever requested by a Regional Administrator of the U.S.
Environmental Protection Agency (EPA), the Insurer agrees to furnish to
the Regional Administrator a signed duplicate original of the policy and
all endorsements.
(d) Cancellation of this endorsement, whether by the Insurer, the
insured, a parent corporation providing insurance coverage for its
subsidiary, or by a firm having an insurable interest in and obtaining
liability insurance on behalf of the owner or operator of the hazardous
waste management facility, will be effective only upon written notice
and only after the expiration of 60 days after a copy of such written
notice is received by the Regional Administrator(s) of the EPA Region(s)
in which the facility(ies) is(are) located.
(e) Any other termination of this endorsement will be effective only
upon written notice and only after the expiration of thirty (30) days
after a copy of such written notice is received by the Regional
Administrator(s) of the EPA Region(s) in which the facility(ies) is
(are) located.
Attached to and forming part of policy No. ------ issued by (name of
Insurer), herein called the Insurer, of (address of Insurer) to (name of
insured) of (address) this -- day of ------ , 19 -- . The effective
date of said policy is -- day of ------ , 19 -- .
I hereby certify that the wording of this endorsement is identical to
the wording specified in 40 CFR 264.151(i) as such regulation was
constituted on the date first above written, and that the Insurer is
licensed to transact the business of insurance, or eligible to provide
insurance as an excess or surplus lines insurer, in one or more States.
(Signature of Authorized Representative of Insurer)
(Type name)
(Title), Authorized Representive of (name of Insurer)
(Address of Representative)
(j) A certificate of liability insurance as required in 264.147 or
265.147 must be worded as follows, except that the instructions in
brackets are to be replaced with the relevant information and the
brackets deleted:
1. (Name of Insurer), (the ''Insurer''), of (address of Insurer)
hereby certifies that it has issued liability insurance covering bodily
injury and property damage to (name of insured), (the ''insured''), of
(address of insured) in connection with the insured's obligation to
demonstrate financial responsibility under 40 CFR 264.147 or 265.147.
The coverage applies at (list EPA Identification Number, name, and
address for each facility) for (insert ''sudden accidental
occurrences,'' ''nonsudden accidental occurrences,'' or ''sudden and
nonsudden accidental occurrences''; if coverage is for multiple
facilities and the coverage is different for different facilities,
indicate which facilities are insured for sudden accidental occurrences,
which are insured for nonsudden accidental occurrences, and which are
insured for both). The limits of liability are (insert the dollar
amount of the ''each occurrence'' and ''annual aggregate'' limits of the
Insurer's liability), exclusive of legal defense costs. The coverage is
provided under policy number ------ , issued on (date). The effective
date of said policy is (date).
2. The Insurer further certifies the following with respect to the
insurance described in Paragraph 1:
(a) Bankruptcy or insolvency of the insured shall not relieve the
Insurer of its obligations under the policy.
(b) The Insurer is liable for the payment of amounts within any
deductible applicable to the policy, with a right of reimbursement by
the insured for any such payment made by the Insurer. This provision
does not apply with respect to that amount of any deductible for which
coverage is demonstrated as specified in 40 CFR 264.147(f) or
265.147(f).
(c) Whenever requested by a Regional Administrator of the U.S.
Environmental Protection Agency (EPA), the Insurer agrees to furnish to
the Regional Administrator a signed duplicate original of the policy and
all endorsements.
(d) Cancellation of the insurance, whether by the insurer, the
insured, a parent corportation providing insurance coverage for its
subsidiary, or by a firm having an insurable interest in and obtaining
liability insurance on behalf of the owner or operator of the hazardous
waste management facility, will be effective only upon written notice
and only after the expiration of 60 days after a copy of such written
notice is received by the Regional Administrator(s) of the EPA Region(s)
in which the facility(ies) is(are) located.
(e) Any other termination of the insurance will be effective only
upon written notice and only after the expiration of thirty (30) days
after a copy of such written notice is received by the Regional
Administrator(s) of the EPA Region(s) in which the facility(ies) is
(are) located.
I hereby certify that the wording of this instrument is identical to
the wording specified in 40 CFR 264.151(j) as such regulation was
constituted on the date first above written, and that the Insurer is
licensed to transact the business of insurance, or eligible to provide
insurance as an excess or surplus lines insurer, in one or more States.
(Signature of authorized representative of Insurer)
(Type name)
(Title), Authorized Representative of (name of Insurer)
(Address of Representative)
(k) A letter of credit, as specified in 264.147(h) or 265.147(h) of
this chapter, must be worded as follows, except that instructions in
brackets are to be replaced with the relevant information and the
brackets deleted:
Name and Address of Issuing Institution
Regional Administrator(s)
Region(s)
U.S. Environmental Protection Agency
Dear Sir or Madam: We hereby establish our Irrevocable Standby
Letter of Credit No. XXXX in the favor of any and all third-party
liability claimants, at the request and for the account of (owner's or
operator's name and address) for third-party liability awards or
settlements up to (in words) U.S. dollars $XXXX per occurrence and the
annual aggregate amount of (in words) U.S. dollars $XXXX, for sudden
accidental occurrences and/or for third-party liability awards or
settlements up to the amount of (in words) U.S. dollars $XXXX per
occurrence, and the annual aggregate amount of (in words) U.S. dollars
$XXXX, for nonsudden accidental occurrences available upon presentation
of a sight draft, bearing reference to this letter of credit No. XXXX,
and (1) a signed certificate reading as follows:
The undersigned, as parties (insert principal) and (insert name and
address of third-party claimants), hereby certify that the claim of
bodily injury (and/or) property damage caused by a (sudden or nonsudden)
accidental occurrence arising from operations of (principal's) hazardous
waste treatment, storage, or disposal facility should be paid in the
amount of $XXXX. We hereby certify that the claim does not apply to any
of the following:
(a) Bodily injury or property damage for which (insert principal) is
obligated to pay damages by reason of the assumption of liability in a
contract or agreement. This exclusion does not apply to liability for
damages that (insert principal) would be obligated to pay in the absence
of the contract or agreement.
(b) Any obligation of (insert principal) under a workers'
compensation, disability benefits, or unemployment compensation law or
any similar law.
(c) Bodily injury to:
(1) An employee of (insert principal) arising from, and in the course
of, employment by (insert principal); or
(2) The spouse, child, parent, brother or sister of that employee as
a consequence of, or arising from, and in the course of employment by
(insert principal).
This exclusion applies:
(A) Whether (insert principal) may be liable as an employer or in any
other capacity; and
(B) To any obligation to share damages with or repay another person
who must pay damages because of the injury to persons identified in
paragraphs (1) and (2).
(d) Bodily injury or property damage arising out of the ownership,
maintenance, use, or entrustment to others of any aircraft, motor
vehicle or watercraft.
(e) Property damage to:
(1) Any property owned, rented, or occupied by (insert principal);
(2) Premises that are sold, given away or abandoned by (insert
principal) if the property damage arises out of any part of those
premises;
(3) Property loaned to (insert principal);
(4) Personal property in the care, custody or control of (insert
principal);
(5) That particular part of real property on which (insert principal)
or any contractors or subcontractors working directly or indirectly on
behalf of (insert principal) are performing operations, if the property
damage arises out of these operations.
(Signatures)
Principal
(Signatures)
Claimant(s)
or (2) a valid final court order establishing a judgment against the
principal for bodily injury or property damage caused by a sudden or
nonsudden accidental occurrence arising from operation of the
principal's facility or group of facilities.
This letter of credit is effective as of (date) and shall expire on
(date at least one year later), but such expiration date shall be
automatically extended for a period of (at least one year) on (date) and
on each successive expiration date, unless, at least 120 days before the
current expiration date, we notify you, the USEPA Regional Administrator
for Region (Region ), and (owner's or operator's name) by certified
mail that we have decided not to extend this letter of credit beyond the
current expiration date.
Whenever this letter of credit is drawn on under and in compliance
with the terms of this credit, we shall duly honor such draft upon
presentation to us.
In the event that this letter of credit is used in combination with
another mechanism for liability coverage, this letter of credit shall be
considered (insert ''primary'' or ''excess'') coverage.
We certify that the wording of this letter of credit is identical to
the wording specified in 40 CFR 264.151(k) as such regulations were
constituted on the date shown immediately below.
(Signature(s) and title(s) of official(s) of issuing institution)
(Date)
This credit is subject to (insert ''the most recent edition of the
Uniform Customs and Practice for Documentary Credits, published by the
International Chamber of Commerce'' or ''the Uniform Commercial Code'').
(l) A surety bond, as specified in 264.147(h) or 265.147(h) of this
chapter, must be worded as follows: except that instructions in
brackets are to be replaced with the relevant information and the
brackets deleted:
Surety Bond No. (Insert number)
Parties (Insert name and address of owner or operator), Principal,
incorporated in (Insert State of incorporation) of (Insert city and
State of principal place of business) and (Insert name and address of
surety company(ies)), Surety Company(ies), of (Insert surety(ies) place
of business).
EPA Identification Number, name, and address for each facility
guaranteed by this bond: XXXX
Purpose: This is an agreement between the Surety(ies) and the
Principal under which the Surety(ies), its(their) successors and
assignees, agree to be responsible for the payment of claims against the
Principal for bodily injury and/or property damage to third parties
caused by (''sudden'' and/or ''nonsudden'') accidental occurrences
arising from operations of the facility or group of facilities in the
sums prescribed herein; subject to the governing provisions and the
following conditions.
Governing Provisions:
(1) Section 3004 of the Resource Conservation and Recovery Act of
1976, as amended.
(2) Rules and regulations of the U.S. Environmental Protection Agency
(EPA), particularly 40 CFR ('' 264.147'' or '' 265.147'') (if
applicable).
(3) Rules and regulations of the governing State agency (if
applicable) (insert citation).
Conditions:
(1) The Principal is subject to the applicable governing provisions
that require the Principal to have and maintain liability coverage for
bodily injury and property damage to third parties caused by (''sudden''
and/or ''nonsudden'') accidental occurrences arising from operations of
the facility or group of facilities. Such obligation does not apply to
any of the following:
(a) Bodily injury or property damage for which (insert principal) is
obligated to pay damages by reason of the assumption of liability in a
contract or agreement. This exclusion does not apply to liability for
damages that (insert principal) would be obligated to pay in the absence
of the contract or agreement.
(b) Any obligation of (insert principal) under a workers'
compensation, disability benefits, or unemployment compensation law or
similar law.
(c) Bodily injury to:
(1) An employee of (insert principal) arising from, and in the course
of, employment by (insert principal); or
(2) The spouse, child, parent, brother or sister of that employee as
a consequence of, or arising from, and in the course of employment by
(insert principal). This exclusion applies:
(A) Whether (insert principal) may be liable as an employer or in any
other capacity; and
(B) To any obligation to share damages with or repay another person
who must pay damages because of the injury to persons identified in
paragraphs (1) and (2).
(d) Bodily injury or property damage arising out of the ownership,
maintenance, use, or entrustment to others of any aircraft, motor
vehicle or watercraft.
(e) Property damage to:
(1) Any property owned, rented, or occupied by (insert principal);
(2) Premises that are sold, given away or abandoned by (insert
principal) if the property damage arises out of any part of those
premises;
(3) Property loaned to (insert principal);
(4) Personal property in the care, custody or control of (insert
principal);
(5) That particular part of real property on which (insert principal)
or any contractors or subcontractors working directly or indirectly on
behalf of (insert principal) are performing operations, if the property
damage arises out of these operations.
(2) This bond assures that the Principal will satisfy valid third
party liability claims, as described in condition 1.
(3) If the Principal fails to satisfy a valid third party liability
claim, as described above, the Surety(ies) becomes liable on this bond
obligation.
(4) The Surety(ies) shall satisfy a third party liability claim only
upon the receipt of one of the following documents:
(a) Certification from the Principal and the third party claimant(s)
that the liability claim should be paid. The certification must be
worded as follows, except that instructions in brackets are to be
replaced with the relevant information and the brackets deleted:
The undersigned, as parties (insert name of Principal) and (insert
name and address of third party claimant(s)), hereby certify that the
claim of bodily injury and/or property damage caused by a (sudden or
nonsudden) accidential occurrence arising from operating (Principal's)
hazardous waste treatment, storage, or disposal facility should be paid
in the amount of $( ).
(Signature)
Principal
(Notary) Date
(Signature(s))
Claimant(s)
(Notary) Date
or (b) A valid final court order establishing a judgment against the
Principal for bodily injury or property damage caused by sudden or
nonsudden accidental occurrences arising from the operation of the
Principal's facility or group of facilities.
(5) In the event of combination of this bond with another mechanism
for liability coverage, this bond will be considered (insert ''primary''
or ''excess'') coverage.
(6) The liability of the Surety(ies) shall not be discharged by any
payment or succession of payments hereunder, unless and until such
payment or payments shall amount in the aggregate to the penal sum of
the bond. In no event shall the obligation of the Surety(ies) hereunder
exceed the amount of said annual aggregate penal sum, provided that the
Surety(ies) furnish(es) notice to the Regional Administrator forthwith
of all claims filed and payments made by the Surety(ies) under this
bond.
(7) The Surety(ies) may cancel the bond by sending notice of
cancellation by certified mail to the Principal and the USEPA Regional
Administrator for Region (Region ), provided, however, that
cancellation shall not occur during the 120 days beginning on the date
of receipt of the notice of cancellation by the Principal and the
Regional Administrator, as evidenced by the return receipt.
(8) The Principal may terminate this bond by sending written notice
to the Surety(ies) and to the EPA Regional Administrator(s) of the EPA
Region(s) in which the bonded facility(ies) is (are) located.
(9) The Surety(ies) hereby waive(s) notification of amendments to
applicable laws, statutes, rules and regulations and agree(s) that no
such amendment shall in any way alleviate its (their) obligation on this
bond.
(10) This bond is effective from (insert date) (12:01 a.m., standard
time, at the address of the Principal as stated herein) and shall
continue in force until terminated as described above.
In Witness Whereof, the Principal and Surety(ies) have executed this
Bond and have affixed their seals on the date set forth above.
The persons whose signatures appear below hereby certify that they
are authorized to execute this surety bond on behalf of the Principal
and Surety(ies) and that the wording of this surety bond is identical to
the wording specified in 40 CFR 264.151(1), as such regulations were
constituted on the date this bond was executed.
(Signature(s))
(Name(s))
(Title(s))
(Corporate Seal)
(Name and address)
State of incorporation:
Liability Limit: $
(Signature(s))
(Name(s) and title(s))
(Corporate seal)
(For every co-surety, provide signature(s), corporate seal, and other
information in the same manner as for Surety above.)
Bond premium: $
(m)(1) A trust agreement, as specified in 264.147(j) or 265.147(j)
of this chapter, must be worded as follows, except that instructions in
brackets are to be replaced with the relevant information and the
brackets deleted:
Trust Agreement, the ''Agreement,'' entered into as of (date) by and
between (name of the owner or operator) a (name of State) (insert
''corporation,'' ''partnership,'' ''association,'' or
''proprietorship''), the ''Grantor,'' and (name of corporate trustee),
(insert, ''incorporated in the State of XXXX'' or ''a national bank''),
the ''trustee.''
Whereas, the United States Environmental Protection Agency, ''EPA,''
an agency of the United States Government, has established certain
regulations applicable to the Grantor, requiring that an owner or
operator of a hazardous waste management facility or group of facilities
must demonstrate financial responsibility for bodily injury and property
damage to third parties caused by sudden accidental and/or nonsudden
accidental occurrences arising from operations of the facility or group
of facilities.
Whereas, the Grantor has elected to establish a trust to assure all
or part of such financial responsibility for the facilities identified
herein.
Whereas, the Grantor, acting through its duly authorized officers,
has selected the Trustee to be the trustee under this agreement, and the
Trustee is willing to act as trustee.
Now, therefore, the Grantor and the Trustee agree as follows:
Section 1. Definitions. As used in this Agreement:
(a) The term ''Grantor'' means the owner or operator who enters into
this Agreement and any successors or assigns of the Grantor.
(b) The term ''Trustee'' means the Trustee who enters into this
Agreement and any successor Trustee.
Section 2. Identification of Facilities. This agreement pertains to
the facilities identified on attached schedule A (on schedule A, for
each facility list the EPA Identification Number, name, and address of
the facility(ies) and the amount of liability coverage, or portions
thereof, if more than one instrument affords combined coverage as
demonstrated by this Agreement).
Section 3. Establishment of Fund. The Grantor and the Trustee
hereby establish a trust fund, hereinafter the ''Fund,'' for the benefit
of any and all third parties injured or damaged by (sudden and/or
nonsudden) accidental occurrences arising from operation of the
facility(ies) covered by this guarantee, in the amounts of XXXXXX (up to
$1 million) per occurrence and XXXXXX (up to $2 million) annual
aggregate for sudden accidental occurrences and XXXXXX (up to $3
million) per occurrence and XXXXXX (up to $6 million) annual aggregate
for nonsudden occurrences, except that the Fund is not established for
the benefit of third parties for the following:
(a) Bodily injury or property damage for which (insert Grantor) is
obligated to pay damages by reason of the assumption of liability in a
contract or agreement. This exclusion does not apply to liability for
damages that (insert Grantor) would be obligated to pay in the absence
of the contract or agreement.
(b) Any obligation of (insert Grantor) under a workers' compensation,
disability benefits, or unemployment compensation law or any similar
law.
(c) Bodily injury to:
(1) An employee of (insert Grantor) arising from, and in the course
of, employment by (insert Grantor); or
(2) The spouse, child, parent, brother or sister of that employee as
a consequence of, or arising from, and in the course of employment by
(insert Grantor).
This exclusion applies:
(A) Whether (insert Grantor) may be liable as an employer or in any
other capacity; and
(B) To any obligation to share damages with or repay another person
who must pay damages because of the injury to persons identified in
paragraphs (1) and (2).
(d) Bodily injury or property damage arising out of the ownership,
maintenance, use, or entrustment to others of any aircraft, motor
vehicle or watercraft.
(e) Property damage to:
(1) Any property owned, rented, or occupied by (insert Grantor);
(2) Premises that are sold, given away or abandoned by (insert
Grantor) if the property damage arises out of any part of those
premises;
(3) Property loaned to (insert Grantor);
(4) Personal property in the care, custody or control of (insert
Grantor);
(5) That particular part of real property on which (insert Grantor)
or any contractors or subcontractors working directly or indirectly on
behalf of (insert Grantor) are performing operations, if the property
damage arises out of these operations.
In the event of combination with another mechanism for liability
coverage, the fund shall be considered (insert ''primary'' or
''excess'') coverage.
The Fund is established initially as consisting of the property,
which is acceptable to the Trustee, described in Schedule B attached
hereto. Such property and any other property subsequently transferred
to the Trustee is referred to as the Fund, together with all earnings
and profits thereon, less any payments or distributions made by the
Trustee pursuant to this Agreement. The Fund shall be held by the
Trustee, IN TRUST, as hereinafter provided. The Trustee shall not be
responsible nor shall it undertake any responsibility for the amount or
adequacy of, nor any duty to collect from the Grantor, any payments
necessary to discharge any liabilities of the Grantor established by
EPA.
Section 4. Payment for Bodily Injury or Property Damage. The
Trustee shall satisfy a third party liability claim by making payments
from the Fund only upon receipt of one of the following documents;
(a) Certification from the Grantor and the third party claimant(s)
that the liability claim should be paid. The certification must be
worded as follows, except that instructions in brackets are to be
replaced with the relevant information and the brackets deleted:
The undersigned, as parties (insert Grantor) and (insert name and
address of third party claimant(s)), hereby certify that the claim of
bodily injury and/or property damage caused by a (sudden or nonsudden)
accidental occurrence arising from operating (Grantor's) hazardous waste
treatment, storage, or disposal facility should be paid in the amount of
$( ).
(Signatures)
Grantor
(Signatures)
Claimant(s)
(b) A valid final court order establishing a judgment against the
Grantor for bodily injury or property damage caused by sudden or
nonsudden accidental occurrences arising from the operation of the
Grantor's facility or group of facilities.
Section 5. Payments Comprising the Fund. Payments made to the
Trustee for the Fund shall consist of cash or securities acceptable to
the Trustee.
Section 6. Trustee Management. The Trustee shall invest and
reinvest the principal and income, in accordance with general investment
policies and guidelines which the Grantor may communicate in writing to
the Trustee from time to time, subject, however, to the provisions of
this section. In investing, reinvesting, exchanging, selling, and
managing the Fund, the Trustee shall discharge his duties with respect
to the trust fund solely in the interest of the beneficiary and with the
care, skill, prudence, and diligence under the circumstance then
prevailing which persons of prudence, acting in a like capacity and
familiar with such matters, would use in the conduct of an enterprise of
a like character and with like aims; except that:
(i) Securities or other obligations of the Grantor, or any other
owner or operator of the facilities, or any of their affiliates as
defined in the Investment Company Act of 1940, as amended, 15 U.S.C.
80a-2.(a), shall not be acquired or held unless they are securities or
other obligations of the Federal or a State government;
(ii) The Trustee is authorized to invest the Fund in time or demand
deposits of the Trustee, to the extent insured by an agency of the
Federal or State government; and
(iii) The Trustee is authorized to hold cash awaiting investment or
distribution uninvested for a reasonable time and without liability for
the payment of interest thereon.
Section 7. Commingling and Investment. The Trustee is expressly
authorized in its discretion:
(a) To transfer from time to time any or all of the assets of the
Fund to any common commingled, or collective trust fund created by the
Trustee in which the fund is eligible to participate, subject to all of
the provisions thereof, to be commingled with the assets of other trusts
participating therein; and
(b) To purchase shares in any investment company registered under the
Investment Company Act of 1940, 15 U.S.C. 81a-1 et seq., including one
which may be created, managed, underwritten, or to which investment
advice is rendered or the shares of which are sold by the Trustee. The
Trustee may vote such shares in its discretion.
Section 8. Express Powers of Trustee. Without in any way limiting
the powers and discretions conferred upon the Trustee by the other
provisions of this Agreement or by law, the Trustee is expressly
authorized and empowered:
(a) To sell, exchange, convey, transfer, or otherwise dispose of any
property held by it, by public or private sale. No person dealing with
the Trustee shall be bound to see to the application of the purchase
money or to inquire into the validity or expediency of any such sale or
other disposition;
(b) To make, execute, acknowledge, and deliver any and all documents
of transfer and conveyance and any and all other instruments that may be
necessary or appropriate to carry out the powers herein granted;
(c) To register any securities held in the Fund in its own name or in
the name of a nominee and to hold any security in bearer form or in book
entry, or to combine certificates representing such securities with
certificates of the same issue held by the Trustee in other fiduciary
capacities, or to deposit or arrange for the deposit of such securities
in a qualified central depositary even though, when so deposited, such
securities may be merged and held in bulk in the name of the nominee of
such depositary with other securities deposited therein by another
person, or to deposit or arrange for the deposit of any securities
issued by the United States Government, or any agency or instrumentality
thereof, with a Federal Reserve bank, but the books and records of the
Trustee shall at all times show that all such securities are part of the
Fund;
(d) To deposit any cash in the Fund in interest-bearing accounts
maintained or savings certificates issued by the Trustee, in its
separate corporate capacity, or in any other banking institution
affiliated with the Trustee, to the extent insured by an agency of the
Federal or State government; and
(e) To compromise or otherwise adjust all claims in favor of or
against the Fund.
Section 9. Taxes and Expenses. All taxes of any kind that may be
assessed or levied against or in respect of the Fund and all brokerage
commissions incurred by the Fund shall be paid from the Fund. All other
expenses incurred by the Trustee in connection with the administration
of this Trust, including fees for legal services rendered to the
Trustee, the compensation of the Trustee to the extent not paid directly
by the Grantor, and all other proper charges and disbursements of the
Trustee shall be paid from the Fund.
Section 10. Annual Valuations. The Trustee shall annually, at least
30 days prior to the anniversary date of establishment of the Fund,
furnish to the Grantor and to the appropriate EPA Regional Administrator
a statement confirming the value of the Trust. Any securities in the
Fund shall be valued at market value as of no more than 60 days prior to
the anniversary date of establishment of the Fund. The failure of the
Grantor to object in writing to the Trustee within 90 days after the
statement has been furnished to the Grantor and the EPA Regional
Administrator shall constitute a conclusively binding assent by the
Grantor barring the Grantor from asserting any claim or liability
against the Trustee with respect to matters disclosed in the statement.
Section 11. Advice of Counsel. The Trustee may from time to time
consult with counsel, who may be counsel to the Grantor with respect to
any question arising as to the construction of this Agreement or any
action to be taken hereunder. The Trustee shall be fully protected, to
the extent permitted by law, in acting upon the advice of counsel.
Section 12. Trustee Compensation. The Trustee shall be entitled to
reasonable compensation for its services as agreed upon in writing from
time to time with the Grantor.
Section 13. Successor Trustee. The Trustee may resign or the
Grantor may replace the Trustee, but such resignation or replacement
shall not be effective until the Grantor has appointed a successor
trustee and this successor accepts the appointment. The successor
trustee shall have the same powers and duties as those conferred upon
the Trustee hereunder. Upon the successor trustee's acceptance of the
appointment, the Trustee shall assign, transfer, and pay over to the
successor trustee the funds and properties then constituting the Fund.
If for any reason the Grantor cannot or does not act in the event of the
resignation of the Trustee, the Trustee may apply to a court of
competent jurisdiction for the appointment of a successor trustee or for
instructions. The successor trustee shall specify the date on which it
assumes administration of the trust in a writing sent to the Grantor,
the EPA Regional Administrator, and the present Trustee by certified
mail 10 days before such change becomes effective. Any expenses
incurred by the Trustee as a result of any of the acts contemplated by
this section shall be paid as provided in Section 9.
Section 14. Instructions to the Trustee. All orders, requests, and
instructions by the Grantor to the Trustee shall be in writing, signed
by such persons as are designated in the attached Exhibit A or such
other designees as the Grantor may designate by amendments to Exhibit A.
The Trustee shall be fully protected in acting without inquiry in
accordance with the Grantor's orders, requests, and instructions. All
orders, requests, and instructions by the EPA Regional Administrator to
the Trustee shall be in writing, signed by the EPA Regional
Administrators of the Regions in which the facilities are located, or
their designees, and the Trustee shall act and shall be fully protected
in acting in accordance with such orders, requests, and instructions.
The Trustee shall have the right to assume, in the absence of written
notice to the contrary, that no event constituting a change or a
termination of the authority of any person to act on behalf of the
Grantor or EPA hereunder has occurred. The Trustee shall have no duty
to act in the absence of such orders, requests, and instructions from
the Grantor and/or EPA, except as provided for herein.
Section 15. Notice of Nonpayment. If a payment for bodily injury or
property damage is made under Section 4 of this trust, the Trustee shall
notify the Grantor of such payment and the amount(s) thereof within five
(5) working days. The Grantor shall, on or before the anniversary date
of the establishment of the Fund following such notice, either make
payments to the Trustee in amounts sufficient to cause the trust to
return to its value immediately prior to the payment of claims under
Section 4, or shall provide written proof to the Trustee that other
financial assurance for liability coverage has been obtained equalling
the amount necessary to return the trust to its value prior to the
payment of claims. If the Grantor does not either make payments to the
Trustee or provide the Trustee with such proof, the Trustee shall within
10 working days after the anniversary date of the establishment of the
Fund provide a written notice of nonpayment to the EPA Regional
Administrator.
Section 16. Amendment of Agreement. This Agreement may be amended
by an instrument in writing executed by the Grantor, the Trustee, and
the appropriate EPA Regional Administrator, or by the Trustee and the
appropriate EPA Regional Administrator if the Grantor ceases to exist.
Section 17. Irrevocability and Termination. Subject to the right of
the parties to amend this Agreement as provided in Section 16, this
Trust shall be irrevocable and shall continue until terminated at the
written agreement of the Grantor, the Trustee, and the EPA Regional
Administrator, or by the Trustee and the EPA Regional Administrator, if
the Grantor ceases to exist. Upon termination of the Trust, all
remaining trust property, less final trust administration expenses,
shall be delivered to the Grantor.
The Regional Administrator will agree to termination of the Trust
when the owner or operator substitutes alternate financial assurance as
specified in this section.
Section 18. Immunity and Indemnification. The Trustee shall not
incur personal liability of any nature in connection with any act or
omission, made in good faith, in the administration of this Trust, or in
carrying out any directions by the Grantor or the EPA Regional
Administrator issued in accordance with this Agreement. The Trustee
shall be indemnified and saved harmless by the Grantor or from the Trust
Fund, or both, from and against any personal liability to which the
Trustee may be subjected by reason of any act or conduct in its official
capacity, including all expenses reasonably incurred in its defense in
the event the Grantor fails to provide such defense.
Section 19. Choice of Law. This Agreement shall be administered,
construed, and enforced according to the laws of the State of (enter
name of State).
Section 20. Interpretation. As used in this Agreement, words in the
singular include the plural and words in the plural include the
singular. The descriptive headings for each section of this Agreement
shall not affect the interpretation or the legal efficacy of this
Agreement.
In Witness Whereof the parties have caused this Agreement to be
executed by their respective officers duly authorized and their
corporate seals to be hereunto affixed and attested as of the date first
above written. The parties below certify that the wording of this
Agreement is identical to the wording specified in 40 CFR 264.151(m) as
such regulations were constituted on the date first above written.
--
(Signature of Grantor)
(Title)
Attest:
(Title)
(Seal)
--
(Signature of Trustee)
Attest:
(Title)
(Seal)
(2) The following is an example of the certification of
acknowledgement which must accompany the trust agreement for a trust
fund as specified in 264.147(j) or 265.147(j) of this chapter. State
requirements may differ on the proper content of this acknowledgement.
State of
County of
On this (date), before me personally came (owner or operator) to me
known, who, being by me duly sworn, did depose and say that she/he
resides at (address), that she/he is (title) of (corporation), the
corporation described in and which executed the above instrument; that
she/he knows the seal of said corporation; that the seal affixed to
such instrument is such corporate seal; that it was so affixed by order
of the Board of Directors of said corporation, and that she/he signed
her/his name thereto by like order.
--
(Signature of Notary Public)
(Approved by the Office of Management and Budget under control number
2000-0445, for paragraphs (g), (i), and (j))
(47 FR 15059, Apr. 7, 1982, as amended at 47 FR 16556, Apr. 16, 1982;
47 FR 17989, Apr. 27, 1982; 47 FR 19995, May 10, 1982; 47 FR 28627,
July 1, 1982; 51 FR 16450, May 2, 1986; 51 FR 25354, July 11, 1986;
52 FR 44320, Nov. 18, 1987; 53 FR 33952, Sept. 1, 1988)
40 CFR 264.151 Subpart I -- Use and Management of Containers
Source: 46 FR 2866, Jan. 12, 1981, unless otherwise noted.
40 CFR 264.170 Applicability.
The regulations in this subpart apply to owners and operators of all
hazardous waste facilities that store containers of hazardous waste,
except as 264.1 provides otherwise.
(Comment: Under 261.7 and 261.33(c), if a hazardous waste is
emptied from a container the residue remaining in the container is not
considered a hazardous waste if the container is ''empty'' as defined in
261.7. In that event, management of the container is exempt from the
requirements of this subpart.)
40 CFR 264.171 Condition of containers.
If a container holding hazardous waste is not in good condition
(e.g., severe rusting, apparent structural defects) or if it begins to
leak, the owner or operator must transfer the hazardous waste from this
container to a container that is in good condition or manage the waste
in some other way that complies with the requirements of this part.
40 CFR 264.172 Compatibility of waste with containers.
The owner or operator must use a container made of or lined with
materials which will not react with, and are otherwise compatible with,
the hazardous waste to be stored, so that the ability of the container
to contain the waste is not impaired.
40 CFR 264.173 Management of containers.
(a) A container holding hazardous waste must always be closed during
storage, except when it is necessary to add or remove waste.
(b) A container holding hazardous waste must not be opened, handled,
or stored in a manner which may rupture the container or cause it to
leak.
(Comment: Reuse of containers in transportation is governed by U.S.
Department of Transportation regulations including those set forth in 49
CFR 173.28.)
40 CFR 264.174 Inspections.
At least weekly, the owner or operator must inspect areas where
containers are stored, looking for leaking containers and for
deterioration of containers and the containment system caused by
corrosion or other factors.
(Comment: See 264.15(c) and 264.171 for remedial action required
if deterioration or leaks are detected.)
40 CFR 264.175 Containment.
(a) Container storage areas must have a containment system that is
designed and operated in accordance with paragraph (b) of this section,
except as otherwise provided by paragraph (c) of this section.
(b) A containment system must be designed and operated as follows:
(1) A base must underly the containers which is free of cracks or
gaps and is sufficiently impervious to contain leaks, spills, and
accumulated precipitation until the collected material is detected and
removed;
(2) The base must be sloped or the containment system must be
otherwise designed and operated to drain and remove liquids resulting
from leaks, spills, or precipitation, unless the containers are elevated
or are otherwise protected from contact with accumulated liquids;
(3) The containment system must have sufficient capacity to contain
10% of the volume of containers or the volume of the largest container,
whichever is greater. Containers that do not contain free liquids need
not be considered in this determination;
(4) Run-on into the containment system must be prevented unless the
collection system has sufficient excess capacity in addition to that
required in paragraph (b)(3) of this section to contain any run-on which
might enter the system; and
(5) Spilled or leaked waste and accumulated precipitation must be
removed from the sump or collection area in as timely a manner as is
necessary to prevent overflow of the collection system.
(Comment: If the collected material is a hazardous waste under part
261 of this Chapter, it must be managed as a hazardous waste in
accordance with all applicable requirements of parts 262 through 266 of
this chapter. If the collected material is discharged through a point
source to waters of the United States, it is subject to the requirements
of section 402 of the Clean Water Act, as amended.)
(c) Storage areas that store containers holding only wastes that do
not contain free liquids need not have a containment system defined by
paragraph (b) of this section, except as provided by paragraph (d) of
this section or provided that:
(1) The storage area is sloped or is otherwise designed and operated
to drain and remove liquid resulting from precipitation, or
(2) The containers are elevated or are otherwise protected from
contact with accumulated liquid.
(d) Storage areas that store containers holding the wastes listed
below that do not contain free liquids must have a containment system
defined by paragraph (b) of this section:
(1) FO20, FO21, FO22, FO23, FO26, and FO27.
(2) (Reserved)
(46 FR 55112, Nov. 6, 1981, as amended at 50 FR 2003, Jan. 14, 1985)
40 CFR 264.176 Special requirements for ignitable or reactive waste.
Containers holding ignitable or reactive waste must be located at
least 15 meters (50 feet) from the facility's property line.
(Comment: See 264.17(a) for additional requirements.)
40 CFR 264.177 Special requirements for incompatible wastes.
(a) Incompatible wastes, or incompatible wastes and materials (see
appendix V for examples), must not be placed in the same container,
unless 264.17(b) is complied with.
(b) Hazardous waste must not be placed in an unwashed container that
previously held an incompatible waste or material.
(Comment: As required by 264.13, the waste analysis plan must
include analyses needed to comply with 264.177. Also, 264.17(c)
requires wastes analyses, trial tests or other documentation to assure
compliance with 264.17(b). As required by 264.73, the owner or
operator must place the results of each waste analysis and trial test,
and any documented information, in the operating record of the
facility.)
(c) A storage container holding a hazardous waste that is
incompatible with any waste or other materials stored nearby in other
containers, piles, open tanks, or surface impoundments must be separated
from the other materials or protected from them by means of a dike,
berm, wall, or other device.
(Comment: The purpose of this section is to prevent fires,
explosions, gaseous emission, leaching, or other discharge of hazardous
waste or hazardous waste constituents which could result from the mixing
of incompatible wastes or materials if containers break or leak.)
40 CFR 264.178 Closure.
At closure, all hazardous waste and hazardous waste residues must be
removed from the containment system. Remaining containers, liners,
bases, and soil containing or contaminated with hazardous waste or
hazardous waste residues must be decontaminated or removed.
(Comment: At closure, as throughout the operating period, unless the
owner or operator can demonstrate in accordance with 261.3(d) of this
chapter that the solid waste removed from the containment system is not
a hazardous waste, the owner or operator becomes a generator of
hazardous waste and must manage it in accordance with all applicable
requirements of parts 262 through 266 of this chapter).
40 CFR 264.178 Subpart J -- Tank Systems
Source: 51 FR 25472, July 14, 1986, unless otherwise noted.
40 CFR 264.190 Applicability.
The requirements of this subpart apply to owners and operators of
facilities that use tank systems for storing or treating hazardous waste
except as otherwise provided in paragraphs (a), (b), and (c) of this
section or in 264.1 of this part.
(a) Tank systems that are used to store or treat hazardous waste
which contains no free liquids and are situated inside a building with
an impermeable floor are exempted from the requirements in 264.193. To
demonstrate the absence or presence of free liquids in the
stored/treated waste, EPA Method 9095 (Paint Filter Liquids Test) as
described in ''Test Methods for Evaluating Solid Wastes,
Physical/Chemical Methods'' (EPA Publication No. SW-846) must be used.
(b) Tank systems, including sumps, as defined in 260.10, that serve
as part of a secondary containment system to collect or contain releases
of hazardous wastes are exempted from the requirements in 264.193(a).
(c) Tanks, sumps, and other such collection devices or systems used
in conjunction with drip pads, as defined in 260.10 of this chapter and
regulated under 40 CFR part 264 subpart W, must meet the requirements of
this subpart.
(Information collection requirement contained in paragraph (a) was
approved by the Office of Management and Budget under control number
2050-0050)
(51 FR 25472, July 14, 1986; 51 FR 29430, Aug. 15, 1986, as amended
at 53 FR 34086, Sept. 2, 1988; 55 FR 50484, Dec. 6, 1990)
40 CFR 264.191 Assessment of existing tank system's integrity.
(a) For each existing tank system that does not have secondary
containment meeting the requirements of 264.193, the owner or operator
must determine that the tank system is not leaking or is unfit for use.
Except as provided in paragraph (c) of this section, the owner or
operator must obtain and keep on file at the facility a written
assessment reviewed and certified by an independent, qualified
registered professional engineer, in accordance with 270.11(d), that
attests to the tank system's integrity by January 12, 1988.
(b) This assessment must determine that the tank system is adequately
designed and has sufficient structural strength and compatibility with
the waste(s) to be stored or treated, to ensure that it will not
collapse, rupture, or fail. At a minimum, this assessment must consider
the following:
(1) Design standard(s), if available, according to which the tank and
ancillary equipment were constructed;
(2) Hazardous characteristics of the waste(s) that have been and will
be handled;
(3) Existing corrosion protection measures;
(4) Documented age of the tank system, if available (otherwise, an
estimate of the age); and
(5) Results of a leak test, internal inspection, or other tank
integrity examination such that:
(i) For non-enterable underground tanks, the assessment must include
a leak test that is capable of taking into account the effects of
temperature variations, tank end deflection, vapor pockets, and high
water table effects, and
(ii) For other than non-enterable underground tanks and for ancillary
equipment, this assessment must include either a leak test, as described
above, or other integrity examination, that is certified by an
independent, qualified, registered professional engineer in accordance
with 270.11(d), that addresses cracks, leaks, corrosion, and erosion.
(Note: The practices described in the American Petroleum Institute
(API) Publication, Guide for Inspection of Refinery Equipment, Chapter
XIII, ''Atmospheric and Low-Pressure Storage Tanks,'' 4th edition, 1981,
may be used, where applicable, as guidelines in conducting other than a
leak test.)
(c) Tank systems that store or treat materials that become hazardous
wastes subsequent to July 14, 1986, must conduct this assessment within
12 months after the date that the waste becomes a hazardous waste.
(d) If, as a result of the assessment conducted in accordance with
paragraph (a), a tank system is found to be leaking or unfit for use,
the owner or operator must comply with the requirements of 264.196.
(Information collection requirements contained in paragraphs (a)
through (d) were approved by the Office of Management and Budget under
control number 2050-0050)
(51 FR 25472, July 14, 1986; 51 FR 29430, Aug. 15, 1986)
40 CFR 264.192 Design and installation of new tank systems or
components.
(a) Owners or operators of new tank systems or components must obtain
and submit to the Regional Administrator, at time of submittal of part B
information, a written assessment, reviewed and certified by an
independent, qualified registered professional engineer, in accordance
with 270.11(d), attesting that the tank system has sufficient
structural integrity and is acceptable for the storing and treating of
hazardous waste. The assessment must show that the foundation,
structural support, seams, connections, and pressure controls (if
applicable) are adequately designed and that the tank system has
sufficient structural strength, compatibility with the waste(s) to be
stored or treated, and corrosion protection to ensure that it will not
collapse, rupture, or fail. This assessment, which will be used by the
Regional Administrator to review and approve or disapprove the
acceptability of the tank system design, must include, at a minimum, the
following information:
(1) Design standard(s) according to which tank(s) and/or the
ancillary equipment are constructed;
(2) Hazardous characteristics of the waste(s) to be handled;
(3) For new tank systems or components in which the external shell of
a metal tank or any external metal component of the tank system will be
in contact with the soil or with water, a determination by a corrosion
expert of:
(i) Factors affecting the potential for corrosion, including but not
limited to:
(A) Soil moisture content;
(B) Soil pH;
(C) Soil sulfides level;
(D) Soil resistivity;
(E) Structure to soil potential;
(F) Influence of nearby underground metal structures (e.g., piping);
(G) Existence of stray electric current;
(H) Existing corrosion-protection measures (e.g., coating, cathodic
protection), and
(ii) The type and degree of external corrosion protection that are
needed to ensure the integrity of the tank system during the use of the
tank system or component, consisting of one or more of the following:
(A) Corrosion-resistant materials of construction such as special
alloys, fiberglass reinforced plastic, etc.;
(B) Corrosion-resistant coating (such as epoxy, fiberglass, etc.)
with cathodic protection (e.g., impressed current or sacrificial
anodes); and
(C) Electrical isolation devices such as insulating joints, flanges,
etc.
(Note: The practices described in the National Association of
Corrosion Engineers (NACE) standard, ''Recommended Practice (RP-02-85)
-- Control of External Corrosion on Metallic Buried, Partially Buried,
or Submerged Liquid Storage Systems,'' and the American Petroleum
Institute (API) Publication 1632, ''Cathodic Protection of Underground
Petroleum Storage Tanks and Piping Systems,'' may be used, where
applicable, as guidelines in providing corrosion protection for tank
systems.)
(4) For underground tank system components that are likely to be
adversely affected by vehicular traffic, a determination of design or
operational measures that will protect the tank system against potential
damage; and
(5) Design considerations to ensure that:
(i) Tank foundations will maintain the load of a full tank;
(ii) Tank systems will be anchored to prevent flotation or
dislodgment where the tank system is placed in a saturated zone, or is
located within a seismic fault zone subject to the standards of
264.18(a); and
(iii) Tank systems will withstand the effects of frost heave.
(b) The owner or operator of a new tank system must ensure that
proper handling procedures are adhered to in order to prevent damage to
the system during installation. Prior to covering, enclosing, or
placing a new tank system or component in use, an independent, qualified
installation inspector or an independent, qualified, registered
professional engineer, either of whom is trained and experienced in the
proper installation of tank systems or components, must inspect the
system for the presence of any of the following items:
(1) Weld breaks;
(2) Punctures;
(3) Scrapes of protective coatings;
(4) Cracks;
(5) Corrosion;
(6) Other structural damage or inadequate construction/installation.
All discrepancies must be remedied before the tank system is covered,
enclosed, or placed in use.
(c) New tank systems or components that are placed underground and
that are backfilled must be provided with a backfill material that is a
noncorrosive, porous, homogeneous substance and that is installed so
that the backfill is placed completely around the tank and compacted to
ensure that the tank and piping are fully and uniformly supported.
(d) All new tanks and ancillary equipment must be tested for
tightness prior to being covered, enclosed, or placed in use. If a tank
system is found not to be tight, all repairs necessary to remedy the
leak(s) in the system must be performed prior to the tank system being
covered, enclosed, or placed into use.
(e) Ancillary equipment must be supported and protected against
physical damage and excessive stress due to settlement, vibration,
expansion, or contraction.
(Note: The piping system installation procedures described in
American Petroleum Institute (API) Publication 1615 (November 1979),
''Installation of Underground Petroleum Storage Systems,'' or ANSI
Standard B31.3, ''Petroleum Refinery Piping,'' and ANSI Standard B31.4
''Liquid Petroleum Transportation Piping System,'' may be used, where
applicable, as guidelines for proper installation of piping systems.)
(f) The owner or operator must provide the type and degree of
corrosion protection recommended by an independent corrosion expert,
based on the information provided under paragraph (a)(3) of this
section, or other corrosion protection if the Regional Administrator
believes other corrosion protection is necessary to ensure the integrity
of the tank system during use of the tank system. The installation of a
corrosion protection system that is field fabricated must be supervised
by an independent corrosion expert to ensure proper installation.
(g) The owner or operator must obtain and keep on file at the
facility written statements by those persons required to certify the
design of the tank system and supervise the installation of the tank
system in accordance with the requirements of paragraphs (b) through (f)
of this section, that attest that the tank system was properly designed
and installed and that repairs, pursuant to paragraphs (b) and (d) of
this section, were performed. These written statements must also
include the certification statement as required in 270.11(d) of this
chapter.
(Information collection requirements contained in paragraphs (a) and
(g) were approved by the Office of Management and Budget under control
number 2050-0050)
(51 FR 25472, July 14, 1986; 51 FR 29430, Aug. 15, 1986)
40 CFR 264.193 Containment and detection of releases.
(a) In order to prevent the release of hazardous waste or hazardous
constituents to the environment, secondary containment that meets the
requirements of this section must be provided (except as provided in
paragraphs (f) and (g) of this section):
(1) For all new tank systems or components, prior to their being put
into service;
(2) For all existing tank systems used to store or treat EPA
Hazardous Waste Nos. F020, F021, F022, F023, F026, and F027, within two
years after January 12, 1987;
(3) For those existing tank systems of known and documented age,
within two years after January 12, 1987 or when the tank system has
reached 15 years of age, whichever comes later;
(4) For those existing tank systems for which the age cannot be
documented, within eight years of January 12, 1987; but if the age of
the facility is greater than seven years, secondary containment must be
provided by the time the facility reaches 15 years of age, or within two
years of January 12, 1987, whichever comes later; and
(5) For tank systems that store or treat materials that become
hazardous wastes subsequent to January 12, 1987, within the time
intervals required in paragraphs (a)(1) through (a)(4) of this section,
except that the date that a material becomes a hazardous waste must be
used in place of January 12, 1987.
(b) Secondary containment systems must be:
(1) Designed, installed, and operated to prevent any migration of
wastes or accumulated liquid out of the system to the soil, ground
water, or surface water at any time during the use of the tank system;
and
(2) Capable of detecting and collecting releases and accumulated
liquids until the collected material is removed.
(c) To meet the requirements of paragraph (b) of this section,
secondary containment systems must be at a minimum:
(1) Constructed of or lined with materials that are compatible with
the wastes(s) to be placed in the tank system and must have sufficient
strength and thickness to prevent failure owing to pressure gradients
(including static head and external hydrological forces), physical
contact with the waste to which it is exposed, climatic conditions, and
the stress of daily operation (including stresses from nearby vehicular
traffic).
(2) Placed on a foundation or base capable of providing support to
the secondary containment system, resistance to pressure gradients above
and below the system, and capable of preventing failure due to
settlement, compression, or uplift;
(3) Provided with a leak-detection system that is designed and
operated so that it will detect the failure of either the primary or
secondary containment structure or the presence of any release of
hazardous waste or accumulated liquid in the secondary containment
system within 24 hours, or at the earliest practicable time if the owner
or operator can demonstrate to the Regional Administrator that existing
detection technologies or site conditions will not allow detection of a
release within 24 hours; and
(4) Sloped or otherwise designed or operated to drain and remove
liquids resulting from leaks, spills, or precipitation. Spilled or
leaked waste and accumulated precipitation must be removed from the
secondary containment system within 24 hours, or in as timely a manner
as is possible to prevent harm to human health and the environment, if
the owner or operator can demonstrate to the Regional Administrator that
removal of the released waste or accumulated precipitation cannot be
accomplished within 24 hours.
(Note: If the collected material is a hazardous waste under part 261
of this chapter, it is subject to management as a hazardous waste in
accordance with all applicable requirements of parts 262 through 265 of
this chapter. If the collected material is discharged through a point
source to waters of the United States, it is subject to the requirements
of sections 301, 304, and 402 of the Clean Water Act, as amended. If
discharged to a Publicly Owned Treatment Works (POTW), it is sub)ect to
the requirements of section 307 of the Clean Water Act, as amended. If
the collected material is released to the environment, it may be subject
to the reporting requirements of 40 CFR part 302.)
(d) Secondary containment for tanks must include one or more of the
following devices:
(1) A liner (external to the tank);
(2) A vault;
(3) A double-walled tank; or
(4) An equivalent device as approved by the Regional Administrator
(e) In addition to the requirements of paragraphs (b), (c), and (d)
of this section, secondary containment systems must satisfy the
following requirements:
(1) External liner systems must be:
(i) Designed or operated to contain 100 percent of the capacity of
the largest tank within its boundary;
(ii) Designed or operated to prevent run-on or infiltration of
precipitation into the secondary containment system unless the
collection system has sufficient excess capacity to contain run-on or
infiltration. Such additional capacity must be sufficient to contain
precipitation from a 25-year, 24-hour rainfall event.
(iii) Free of cracks or gaps; and
(iv) Designed and installed to surround the tank completely and to
cover all surrounding earth likely to come into contact with the waste
if the waste is released from the tank(s) (i.e., capable of preventing
lateral as well as vertical migration of the waste).
(2) Vault systems must be:
(i) Designed or operated to contain 100 percent of the capacity of
the largest tank within its boundary;
(ii) Designed or operated to prevent run-on or infiltration of
precipitation into the secondary containment system unless the
collection system has sufficient excess capacity to contain run-on or
infiltration. Such additional capacity must be sufficient to contain
precipitation from a 25-year, 24-hour rainfall event:
(iii) Constructed with chemical-resistant water stops in place at all
joints (if any):
(iv) Provided with an impermeable interior coating or lining that is
compatible with the stored waste and that will prevent migration of
waste into the concrete;
(v) Provided with a means to protect against the formation of and
ignition of vapors within the vault, if the waste being stored or
treated:
(A) Meets the definition of ignitable waste under 262.21 of this
chapter; or
(B) Meets the definition of reactive waste under 262.21 of this
chapter, and may form an ignitable or explosive vapor.
(vi) Provided with an exterior moisture barrier or be otherwise
designed or operated to prevent migration of moisture into the vault if
the vault is subject to hydraulic pressure.
(3) Double-walled tanks must be:
(i) Designed as an integral structure (i.e., an inner tank completely
enveloped within an outer shell) so that any release from the inner tank
is contained by the outer shell.
(ii) Protected, if constructed of metal, from both corrosion of the
primary tank interior and of the external surface of the outer shell:
and
(iii) Provided with a built-in continuous leak detection system
capable of detecting a release within 24 hours, or at the earliest
practicable time, if the owner or operator can demonstrate to the
Regional Administrator, and the Regional Administrator concludes, that
the existing detection technology or site conditions would not allow
detection of a release within 24 hours.
(Note: The provisions outlined in the Steel Tank Institute's (STI)
''Standard for Dual Wall Underground Steel Storage Tanks'' may be used
as guidelines for aspects of the design of underground steel
double-walled tanks.)
(f) Ancillary equipment must be provided with secondary containment
(e.g., trench, jacketing, double-walled piping) that meets the
requirements of paragraphs (b) and (c) of this section except for:
(1) Aboveground piping (exclusive of flanges, joints, valves, and
other connections) that are visually inspected for leaks on a daily
basis;
(2) Welded flanges, welded joints, and welded connections, that are
visually inspected for leaks on a daily basis;
(3) Sealless or magnetic coupling pumps and sealless valves, that are
visually inspected for leaks on a daily basis; and
(4) Pressurized aboveground piping systems with automatic shut-off
devices (e.g., excess flow check valves, flow metering shutdown devices,
loss of pressure actuated shut-off devices) that are visually inspected
for leaks on a daily basis.
(g) The owner or operator may obtain a variance from the requirements
of this section if the Regional Administrator finds, as a result of a
demonstration by the owner or operator that alternative design and
operating practices, together with location characteristics, will
prevent the migration of any hazardous waste or hazardous constituents
into the ground water; or surface water at least as effectively as
secondary containment during the active life of the tank system or that
in the event of a release that does migrate to ground water or surface
water, no substantial present or potential hazard will be posed to human
health or the environment. New underground tank systems may not, per a
demonstration in accordance with paragraph (g)(2) of this section, be
exempted from the secondary containment requirements of this section.
(1) In deciding whether to grant a variance based on a demonstration
of equivalent protection of ground water and surface water, the Regional
Administrator will consider:
(i) The nature and quantity of the wastes;
(ii) The proposed alternate design and operation;
(iii) The hydrogeologic setting of the facility, including the
thickness of soils present between the tank system and ground water, and
(iv) All other factors that would influence the quality and mobility
of the hazardous constituents and the potential for them to migrate to
ground water or surface water
(2) In deciding whether to grant a variance based on a demonstration
of no substantial present or potential hazard, the Regional
Administrator will consider:
(i) The potential adverse effects on ground water, surface water, and
land quality taking into account:
(A) The physical and chemical characteristics of the waste in the
tank system, including its potential for migration.
(B) The hydrogeological characteristics of the facility and
surrounding land,
(C) The potential for health risks caused by human exposure to waste
constituents,
(D) The potential for damage to wildlife, crops, vegetation, and
physical structures caused by exposure to waste constituents, and
(E) The persistence and permanence of the potential adverse effects;
(ii) The potential adverse effects of a release on ground-water
quality, taking into account:
(A) The quantity and quality of ground water and the direction of
ground-water flow,
(B) The proximity and withdrawal rates of ground-water users,
(C) The current and future uses of ground water in the area, and
(D) The existing quality of ground water, including other sources of
contamination and their cumulative impact on the ground-water quality;
(iii) The potential adverse effects of a release on surface water
quality, taking into account:
(A) The quantity and quality of ground water and the direction of
ground-water flow,
(B) The patterns of rainfall in the region,
(C) The proximity of the tank system to surface waters,
(D) The current and future uses of surface waters in the area and any
water quality standards established for those surface waters, and
(E) The existing quality of surface water, including other sources of
contamination and the cumulative impact on surface-water quality; and
(iv) The potential adverse effects of a release on the land
surrounding the tank system, taking into account:
(A) The patterns of rainfall in the region, and
(B) The current and future uses of the surrounding land.
(3) The owner or operator of a tank system, for which a variance from
secondary containment had been granted in accordance with the
requirements of paragraph (g)(1) of this section, at which a release of
hazardous waste has occurred from the primary tank system but has not
migrated beyond the zone of engineering control (as established in the
variance), must:
(i) Comply with the requirements of 264.196, except paragraph (d),
and
(ii) Decontaminate or remove contaminated soil to the extent
necessary to:
(A) Enable the tank system for which the variance was granted to
resume operation with the capability for the detection of releases at
least equivalent to the capability it had prior to the release; and
(B) Prevent the migration of hazardous waste or hazardous
constituents to ground water or surface water; and
(iii) If contaminated soil cannot be removed or decontaminated in
accordance with paragraph (g)(3)(ii) of this section, comply with the
requirement of 264.197(b).
(4) The owner or operator of a tank system, for which a variance from
secondary containment had been granted in accordance with the
requirements of paragraph (g)(1) of this section, at which a release of
hazardous waste has occurred from the primary tank system and has
migrated beyond the zone of engineering control (as established in the
variance), must:
(i) Comply with the requirements of 264.196 (a), (b), (c), and (d);
and
(ii) Prevent the migration of hazardous waste or hazardous
constituents to ground water or surface water, if possible, and
decontaminate or remove contaminated soil. If contaminated soil cannot
be decontaminated or removed or if ground water has been contaminated,
the owner or operator must comply with the requirements of 264.197(b);
and
(iii) If repairing, replacing, or reinstalling the tank system,
provide secondary containment in accordance with the requirements of
paragraphs (a) through (f) of this section or reapply for a variance
from secondary containment and meet the requirements for new tank
systems in 264.192 if the tank system is replaced. The owner or
operator must comply with these requirements even if contaminated soil
can be decontaminated or removed and ground water or surface water has
not been contaminated.
(h) The following procedures must be followed in order to request a
variance from secondary containment:
(1) The Regional Administrator must be notified in writing by the
owner or operator that he intends to conduct and submit a demonstration
for a variance from secondary containment as allowed in paragraph (g) of
this section according to the following schedule:
(i) For existing tank systems, at least 24 months prior to the date
that secondary containment must be provided in accordance with paragraph
(a) of this section.
(ii) For new tank systems, at least 30 days prior to entering into a
contract for installation.
(2) As part of the notification, the owner or operator must also
submit to the Regional Administrator a description of the steps
necessary to conduct the demonstration and a timetable for completing
each of the steps. The demonstration must address each of the factors
listed in paragraph (g)(1) or paragraph (g)(2) of this section;
(3) The demonstration for a variance must be completed within 180
days after notifying the Regional Administrator of an intent to conduct
the demonstration; and
(4) If a variance is granted under this paragraph, the Regional
Administrator will require the permittee to construct and operate the
tank system in the manner that was demonstrated to meet the requirements
for the variance.
(i) All tank systems, until such time as secondary containment that
meets the requirements of this section is provided, must comply with the
following:
(1) For non-enterable underground tanks, a leak test that meets the
requirements of 264.191(b)(5) or other tank integrity method, as
approved or required by the Regional Administrator, must be conducted at
least annually.
(2) For other than non-enterable underground tanks, the owner or
operator must either conduct a leak test as in paragraph (i)(1) of this
section or develop a schedule and procedure for an assessment of the
overall condition of the tank system by an independent, qualified
registered professional engineer. The schedule and procedure must be
adequate to detect obvious cracks, leaks, and corrosion or erosion that
may lead to cracks and leaks. The owner or operator must remove the
stored waste from the tank, if necessary, to allow the condition of all
internal tank surfaces to be assessed. The frequency of these
assessments must be based on the material of construction of the tank
and its ancillary equipment, the age of the system, the type of
corrosion or erosion protection used, the rate of corrosion or erosion
observed during the previous inspection, and the characteristics of the
waste being stored or treated.
(3) For ancillary equipment, a leak test or other integrity
assessment as approved by the Regional Administrator must be conducted
at least annually.
(Note: The practices described in the American Petroleum Institute
(API) Publication Guide for Inspection of Refinery Equipment, Chapter
XIII, ''Atmospheric and Low-Pressure Storage Tanks,'' 4th edition, 1981,
may be used, where applicable, as guidelines for assessing the overall
condition of the tank system.)
(4) The owner or operator must maintain on file at the facility a
record of the results of the assessments conducted in accordance with
paragraphs (i)(1) through (i)(3) of this section.
(5) If a tank system or component is found to be leaking or unfit for
use as a result of the leak test or assessment in paragraphs (i)(1)
through (i)(3) of this section, the owner or operator must comply with
the requirements of 264.196.
(Information collection requirements contained in paragraphs (c),
(d), (e), (g), (h), and (i) were approved by the Office of Management
and Budget under control number 2050-0050)
(51 FR 25472, July 14, 1986; 51 FR 29430, Aug. 15, 1986, as amended
at 53 FR 34086, Sept. 2, 1988)
40 CFR 264.194 General operating requirements.
(a) Hazardous wastes or treatment reagents must not be placed in a
tank system if they could cause the tank, its ancillary equipment, or
the containment system to rupture, leak, corrode, or otherwise fail.
(b) The owner or operator must use appropriate controls and practices
to prevent spills and overflows from tank or containment systems. These
include at a minimum:
(1) Spill prevention controls (e.g., check valves, dry disconnect
couplings);
(2) Overfill prevention controls (e.g., level sensing devices, high
level alarms, automatic feed cutoff, or bypass to a standby tank); and
(3) Maintenance of sufficient freeboard in uncovered tanks to prevent
overtopping by wave or wind action or by precipitation.
(c) The owner or operator must comply with the requirements of
264.196 if a leak or spill occurs in the tank system.
(Information collection requirements contained in paragraph (c) were
approved by the Office of Management and Budget under control number
2050-0050)
40 CFR 264.195 Inspections.
(a) The owner or operator must develop and follow a schedule and
procedure for inspecting overfill controls.
(b) The owner or operator must inspect at least once each operating
day:
(1) Aboveground portions of the tank system, if any, to detect
corrosion or releases of waste;
(2) Data gathered from monitoring and leak detection equipment (e.g.,
pressure or temperature gauges, monitoring wells) to ensure that the
tank system is being operated according to its design; and
(3) The construction materials and the area immediately surrounding
the externally accessible portion of the tank system, including the
secondary containment system (e.g., dikes) to detect erosion or signs of
releases of hazardous waste (e.g., wet spots, dead vegetation).
(Note: Section 264.15(c) requires the owner or operator to remedy
any deterioration or malfunction he finds. Section 264.196 requires the
owner or operator to notify the Regional Administrator within 24 hours
of confirming a leak. Also, 40 CFR part 302 may require the owner or
operator to notify the National Response Center of a release.)
(c) The owner or operator must inspect cathodic protection systems,
if present, according to, at a minimum, the following schedule to ensure
that they are functioning properly:
(1) The proper operation of the cathodic protection system must be
confirmed within six months after initial installation and annually
thereafter; and
(2) All sources of impressed current must be inspected and/or tested,
as appropriate, at least bimonthly (i.e., every other month).
(Note: The practices described in the National Association of
Corrosion Engineers (NACE) standard, ''Recommended Practice (RP-02-85)
-- Control of External Corrosion on Metallic Buried, Partially Buried,
or Submerged Liquid Storage Systems,'' and the American Petroleum
Institute (API) Publication 1632, ''Cathodic Protection of Underground
Petroleum Storage Tanks and Piping Systems,'' may be used, where
applicable, as guidelines in maintaining and inspecting cathodic
protection systems.)
(d) The owner or operator must document in the operating record of
the facility an inspection of those items in paragraphs (a) through (c)
of this section.
(Information collection requirements contained in paragraph (a) and
(d) were approved by the Office of Management and Budget under control
number 2050-0050)
40 CFR 264.196 Response to leaks or spills and disposition of leaking
or unfit-for-use tank systems.
A tank system or secondary containment system from which there has
been a leak or spill, or which is unfit for use, must be removed from
service immediately, and the owner or operator must satisfy the
following requirements:
(a) Cessation of use; prevent flow or addition of wastes. The owner
or operator must immediately stop the flow of hazardous waste into the
tank system or secondary containment system and inspect the system to
determine the cause of the release.
(b) Removal of waste from tank system or secondary containment
system. (1) If the release was from the tank system, the owner/operator
must, within 24 hours after detection of the leak or, if the
owner/operator demonstrates that it is not possible, at the earliest
practicable time, remove as much of the waste as is necessary to prevent
further release of hazardous waste to the environment and to allow
inspection and repair of the tank system to be performed.
(2) If the material released was to a secondary containment system,
all released materials must be removed within 24 hours or in as timely a
manner as is possible to prevent harm to human health and the
environment.
(c) Containment of visible releases to the environment. The
owner/operator must immediately conduct a visual inspection of the
release and, based upon that inspection:
(1) Prevent further migration of the leak or spill to soils or
surface water; and
(2) Remove, and properly dispose of, any visible contamination of the
soil or surface water.
(d) Notifications, reports. (1) Any release to the environment,
except as provided in paragraph (d)(2) of this section, must be reported
to the Regional Administrator within 24 hours of its detection. If the
release has been reported pursuant to 40 CFR part 302, that report will
satisfy this requirement.
(2) A leak or spill of hazardous waste is exempted from the
requirements of this paragraph if it is:
(i) Less than or equal to a quantity of one (1) pound, and
(ii) Immediately contained and cleaned up.
(3) Within 30 days of detection of a release to the environment, a
report containing the following information must be submitted to the
Regional Administrator:
(i) Likely route of migration of the release;
(ii) Characteristics of the surrounding soil (soil composition,
geology, hydrogeology, climate);
(iii) Results of any monitoring or sampling conducted in connection
with the release (if available). If sampling or monitoring data
relating to the release are not available within 30 days, these data
must be submitted to the Regional Administrator as soon as they become
available.
(iv) Proximity to downgradient drinking water, surface water, and
populated areas; and
(v) Description of response actions taken or planned.
(e) Provision of secondary containment, repair, or closure. (1)
Unless the owner/operator satisfies the requirements of paragraphs
(e)(2) through (4) of this section, the tank system must be closed in
accordance with 264.197.
(2) If the cause of the release was a spill that has not damaged the
integrity of the system, the owner/operator may return the system to
service as soon as the released waste is removed and repairs, if
necessary, are made.
(3) If the cause of the release was a leak from the primary tank
system into the secondary containment system, the system must be
repaired prior to returning the tank system to service.
(4) If the source of the release was a leak to the environment from a
component of a tank system without secondary containment, the
owner/operator must provide the component of the system from which the
leak occurred with secondary containment that satisfies the requirements
of 264.193 before it can be returned to service, unless the source of
the leak is an aboveground portion of a tank system that can be
inspected visually. If the source is an aboveground component that can
be inspected visually, the component must be repaired and may be
returned to service without secondary containment as long as the
requirements of paragraph (f) of this section are satisfied. If a
component is replaced to comply with the requirements of this
subparagraph, that component must satisfy the requirements for new tank
systems or components in 264.192 and 264.193. Additionally, if a leak
has occurred in any portion of a tank system component that is not
readily accessible for visual inspection (e.g., the bottom of an
inground or onground tank), the entire component must be provided with
secondary containment in accordance with 264.193 prior to being
returned to use.
(f) Certification of major repairs. If the owner/operator has
repaired a tank system in accordance with paragraph (e) of this section,
and the repair has been extensive (e.g., installation of an internal
liner; repair of a ruptured primary containment or secondary
containment vessel), the tank system must not be returned to service
unless the owner/operator has obtained a certification by an
independent, qualified, registered, professional engineer in accordance
with 270.11(d) that the repaired system is capable of handling
hazardous wastes without release for the intended life of the system.
This certification must be submitted to the Regional Administrator
within seven days after returning the tank system to use.
(Note: The Regional Administrator may, on the basis of any
information received that there is or has been a release of hazardous
waste or hazardous constituents into the environment, issue an order
under RCRA section 3004(v), 3008(h), or 7003(a) requiring corrective
action or such other response as deemed necessary to protect human
health or the environment.)
(Note: See 264.15(c) for the requirements necessary to remedy a
failure. Also, 40 CFR part 302 may require the owner or operator to
notify the National Response Center of certain releases.)
(Information collection requirements contained in paragraphs (d),
(e), and (f) were approved by the Office of Management and Budget under
control number 2050-0050)
(51 FR 25472, July 14, 1986; 51 FR 29430, Aug. 15, 1986, as amended
at 53 FR 34086, Sept. 2, 1988)
40 CFR 264.197 Closure and post-closure care.
(a) At closure of a tank system, the owner or operator must remove or
decontaminate all waste residues, contaminated containment system
components (liners, etc.), contaminated soils, and structures and
equipment contaminated with waste, and manage them as hazardous waste,
unless 261.3(d) of this chapter applies. The closure plan, closure
activities, cost estimates for closure, and financial responsibility for
tank systems must meet all of the requirements specified in subparts G
and H of this part.
(b) If the owner or operator demonstrates that not all contaminated
soils can be practicably removed or decontaminated as required in
paragraph (a) of this section, then the owner or operator must close the
tank system and perform post-closure care in accordance with the closure
and post-closure care requirements that apply to landfills ( 264.310).
In addition, for the purposes of closure, post-closure, and financial
responsibility, such a tank system is then considered to be a landfill,
and the owner or operator must meet all of the requirements for
landfills specified in subparts G and H of this part.
(c) If an owner or operator has a tank system that does not have
secondary containment that meets the requirements of 264.193 (b)
through (f) and has not been granted a variance from the secondary
containment requirements in accordance with 264.193(g), then:
(1) The closure plan for the tank system must include both a plan for
complying with paragraph (a) of this section and a contingent plan for
complying with paragraph (b) of this section.
(2) A contingent post-closure plan for complying with paragraph (b)
of this section must be prepared and submitted as part of the permit
application.
(3) The cost estimates calculated for closure and post-closure care
must reflect the costs 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 paragraph (a) of this section.
(4) Financial assurance must be based on the cost estimates in
paragraph (c)(3) of this section.
(5) For the purposes of the contingent closure and post-closure
plans, such a tank system is considered to be a landfill, and the
contingent plans must meet all of the closure, post-closure, and
financial responsibility requirements for landfills under subparts G and
H of this part.
(Information collection requirements contained in paragraphs (a)
through (c) were approved by the Office of Management and Budget under
control number 2050-0050)
(51 FR 25472, July 14, 1986; 51 FR 29430, Aug. 15, 1986)
40 CFR 264.198 Special requirements for ignitable or reactive wastes.
(a) Ignitable or reactive waste must not be placed in tank systems,
unless:
(1) The waste is treated, rendered, or mixed before or immediately
after placement in the tank system so that:
(i) The resulting waste, mixture, or dissolved material no longer
meets the definition of ignitable or reactive waste under 261.21 or
261.23 of this chapter, and
(ii) Section 264.17(b) is complied with; or
(2) The waste is stored or treated in such a way that it is protected
from any material or conditions that may cause the waste to ignite or
react; or
(3) The tank system is used solely for emergencies.
(b) The owner or operator of a facility where ignitable or reactive
waste is stored or treated in a tank must comply with the requirements
for the maintenance of protective distances between the waste management
area and any public ways, streets, alleys, or an adjoining property line
that can be built upon as required in Tables 2-1 through 2-6 of the
National Fire Protection Association's ''Flammable and Combustible
Liquids Code,'' (1977 or 1981), (incorporated by reference, see
260.11).
40 CFR 264.199 Special requirements for incompatible wastes.
(a) Incompatible wastes, or incompatible wastes and materials, must
not be placed in the same tank system, unless 264.17(b) is complied
with.
(b) Hazardous waste must not be placed in a tank system that has not
been decontaminated and that previously held an incompatible waste or
material, unless 264.17(b) is complied with.
40 CFR 264.199 Subpart K -- Surface Impoundments
Source: 47 FR 32357, July 26, 1982, unless otherwise noted.
40 CFR 264.220 Applicability.
The regulations in this subpart apply to owners and operators of
facilities that use surface impoundments to treat, store, or dispose of
hazardous waste except as 264.1 provides otherwise.
40 CFR 264.221 Design and operating requirements.
(a) Any surface impoundment that is not covered by paragraph (c) of
this section or 265.221 of this chapter must have a liner for all
portions of the impoundment (except for existing portions of such
impoundments). The liner must be designed, constructed, and installed
to prevent any migration of wastes out of the impoundment to the
adjacent subsurface soil or ground water or surface water at any time
during the active life (including the closure period) of the
impoundment. The liner may be constructed of materials that may allow
wastes to migrate into the liner (but not into the adjacent subsurface
soil or ground water or surface water) during the active life of the
facility, provided that the impoundment is closed in accordance with
264.228(a)(1). For impoundments that will be closed in accordance with
264.228(a)(2), the liner must be constructed of materials that can
prevent wastes from migrating into the liner during the active life of
the facility. The liner must be:
(1) Constructed of materials that have appropriate chemical
properties and sufficient strength and thickness to prevent failure due
to pressure gradients (including static head and external hydrogeologic
forces), physical contact with the waste or leachate to which they are
exposed, climatic conditions, the stress of installation, and the stress
of daily operation;
(2) Placed upon a foundation or base capable of providing support to
the liner and resistance to pressure gradients above and below the liner
to prevent failure of the liner due to settlement, compression, or
uplift; and
(3) Installed to cover all surrounding earth likely to be in contact
with the waste or leachate.
(b) The owner or operator will be exempted from the requirements of
paragraph (a) of this section if the Regional Administrator finds, based
on a demonstration by the owner or operator, that alternate design and
operating practices, together with location characteristics, will
prevent the migration of any hazardous constituents (see 264.93) into
the ground water or surface water at any future time. In deciding
whether to grant an exemption, the Regional Administrator will consider:
(1) The nature and quantity of the wastes;
(2) The proposed alternate design and operation;
(3) The hydrogeologic setting of the facility, including the
attenuative capacity and thickness of the liners and soils present
between the impoundment and ground water or surface water; and
(4) All other factors which would influence the quality and mobility
of the leachate produced and the potential for it to migrate to ground
water or surface water.
(c) The owner or operator of each new surface impoundment unit on
which construction commences after January 29, 1992, each lateral
expansion of a surface impoundment unit on which construction commences
after July 29, 1992 and each replacement of an existing surface
impoundment unit that is to commence reuse after July 29, 1992 must
install two or more liners and a leachate collection and removal system
between such liners. ''Construction commences'' is as defined in
260.10 of this chapter under ''existing facility''.
(1)(i) The liner system must include:
(A) A top liner designed and constructed of materials (e.g., a
geomembrane) to prevent the migration of hazardous constituents into
such liner during the active life and post-closure care period; and
(B) A composite bottom liner, consisting of at least two components.
The upper component must be designed and constructed of materials (e.g.,
a geomembrane) to prevent the migration of hazardous constituents into
this component during the active life and post-closure care period. The
lower component must be designed and constructed of materials to
minimize the migration of hazardous constituents if a breach in the
upper component were to occur. The lower component must be constructed
of at least 3 feet (91 cm) of compacted soil material with a hydraulic
conductivity of no more than 1 10/^7/ cm/sec.
(ii) The liners must comply with paragraphs (a) (1), (2), and (3) of
this section.
(2) The leachate collection and removal system between the liners,
and immediately above the bottom composite liner in the case of multiple
leachate collection and removal systems, is also a leak detection
system. This leak detection system must be capable of detecting,
collecting, and removing leaks of hazardous constituents at the earliest
practicable time through all areas of the top liner likely to be exposed
to waste or leachate during the active life and post-closure care
period. The requirements for a leak detection system in this paragraph
are satisfied by installation of a system that is, at a minimum:
(i) Constructed with a bottom slope of one percent or more;
(ii) Constructed of granular drainage materials with a hydraulic
conductivity of 1 10/^1/ cm/sec or more and a thickness of 12 inches
(30.5 cm) or more; or constructed of synthetic or geonet drainage
materials with a transmissivity of 3 10/^4/ m /2/ sec or more;
(iii) Constructed of materials that are chemically resistant to the
waste managed in the surface impoundment and the leachate expected to be
generated, and of sufficient strength and thickness to prevent collapse
under the pressures exerted by overlying wastes and any waste cover
materials or equipment used at the surface impoundment;
(iv) Designed and operated to minimize clogging during the active
life and post-closure care period; and
(v) Constructed with sumps and liquid removal methods (e.g., pumps)
of sufficient size to collect and remove liquids from the sump and
prevent liquids from backing up into the drainage layer. Each unit must
have its own sump(s). The design of each sump and removal system must
provide a method for measuring and recording the volume of liquids
present in the sump and of liquids removed.
(3) The owner or operator shall collect and remove pumpable liquids
in the sumps to minimize the head on the bottom liner.
(4) The owner or operator of a leak detection system that is not
located completely above the seasonal high water table must demonstrate
that the operation of the leak detection system will not be adversely
affected by the presence of ground water.
(d) The Regional Administrator may approve alternative design or
operating practices to those specified in paragraph (c) of this section
if the owner or operator demonstrates to the Regional Administrator that
such design and operating practices, together with location
characteristics:
(1) Will prevent the migration of any hazardous constituent into the
ground water or surface water at least as effectively as the liners and
leachate collection and removal system specified in paragraph (c) of
this section; and
(2) Will allow detection of leaks of hazardous constituents through
the top liner at least as effectively.
(e) The double liner requirement set forth in paragraph (c) of this
section may be waived by the Regional Administrator for any monofill,
if:
(1) The monofill contains only hazardous wastes from foundry furnace
emission controls or metal casting molding sand, and such wastes do not
contain constituents which would render the wastes hazardous for reasons
other than the EP toxicity characteristics in 261.24 of this chapter;
and
(2)(i)(A) The monofill has at least one liner for which there is no
evidence that such liner is leaking. For the purposes of this
paragraph, the term ''liner'' means a liner designed, constructed,
installed, and operated to prevent hazardous waste from passing into the
liner at any time during the active life of the facility, or a liner
designed, constructed, installed, and operated to prevent hazardous
waste from migrating beyond the liner to adjacent subsurface soil,
ground water, or surface water at any time during the active life of the
facility. In the case of any surface impoundment which has been
exempted from the requirements of paragraph (c) of this section on the
basis of a liner designed, constructed, installed, and operated to
prevent hazardous waste from passing beyond the liner, at the closure of
such impoundment, the owner or operator must remove or decontaminate all
waste residues, all contaminated liner material, and contaminated soil
to the extent practicable. If all contaminated soil is not removed or
decontaminated, the owner or operator of such impoundment will comply
with appropriate post-closure requirements, including but not limited to
ground-water monitoring and corrective action;
(B) The monofill is located more than one-quarter mile from an
underground source of drinking water (as that term is defined in 144.3
of this chapter); and
(C) The monofill is in compliance with generally applicable
ground-water monitoring requrements for facilities with permits under
RCRA section 3005(c); or
(ii) The owner or operator demonstrates that the monofill is located,
designed and operated so as to assure that there will be no migration of
any hazardous constituent into ground water or surface water at any
future time.
(f) The owner or operator of any replacement surface impoundment unit
is exempt from paragraph (c) of this section if:
(1) The existing unit was constructed in compliance with the design
standards of sections 3004 (o)(1)(A)(i) and (o)(5) of the Resource
Conservation and Recovery Act; and
(2) There is no reason to believe that the liner is not functioning
as designed.
(g) A surface impoundment must be designed, constructed, maintained,
and operated to prevent overtopping resulting from normal or abnormal
operations; overfilling; wind and wave action; rainfall; run-on;
malfunctions of level controllers, alarms, and other equipment; and
human error.
(h) A surface impoundment must have dikes that are designed,
constructed, and maintained with sufficient structural integrity to
prevent massive failure of the dikes. In ensuring structural integrity,
it must not be presumed that the liner system will function without
leakage during the active life of the unit.
(i) The Regional Administrator will specify in the permit all design
and operating practices that are necessary to ensure that the
requirements of this section are satisfied.
(Approved by the Office of Management and Budget under control number
2050-0007)
(47 FR 32357, July 26, 1982, as amended at 50 FR 4514, Jan. 31, 1985;
50 FR 28747, July 15, 1985; 57 FR 3487, Jan. 29, 1992)
Effective Date Note: At 57 FR 3487, Jan. 29, 1992, 264.221 was
amended by redesignating paragraphs (f), (g), and (h) as paragraphs (g),
(h), and (i), by revising paragraphs (c) and (d) and by adding new
paragraph (f), effective July 29, 1992. For the convenience of the
reader, the superseded text is set forth below.
264.221 Design and operating requirements.
(c) The owner or operator of each new surface impoundment, each new
surface impoundment unit at an existing facility, each replacement of an
existing surface impoundment unit, and each lateral expansion of an
existing surface impoundment unit, must install two or more liners and
leachate collection system between such liners. The liners and leachate
collection system must protect human health and the environment. The
requirements of this paragraph shall apply with respect to all waste
received after insurance of the permit for units where the part B of the
permit application is received by the Regional Administrator after
November 8, 1984. The requirement for the installation of two or more
liners in this paragraph may be satisfied by the installation of a top
liner designed, operated, and constructed of materials to prevent the
migration of any constituent into such liner during the period such
facility remains in operation (including any post-closure monitoring
period), and a lower liner designed, operated, and constructed to
prevent the migration of any constituent through such liner during such
period. For the purpose of the preceding sentence, a lower liner shall
be deemed to satisfy such requirement if it is constructed of at least a
3-foot thick layer of recompacted clay or other natural material with a
permeability of no more than 1 10^ /7/ centimeter per second.
(d) Paragraph (c) of this section will not apply if the owner or
operator demonstrates to the Regional Administrator, and the Regional
Administrator finds for such surface impoundment, that alternative
design and operating practices, together with location characteristics,
will prevent the migration of any hazardous constituent into the ground
water or surface water at least as effectively as such liners and
leachate collection systems.
40 CFR 264.222 Action leakage rate.
(a) The Regional Administrator shall approve an action leakage rate
for surface impoundment units subject to 264.221 (c) or (d). The
action leakage rate is the maximum design flow rate that the leak
detection system (LDS) can remove without the fluid head on the bottom
liner exceeding 1 foot. The action leakage rate must include an
adequate safety margin to allow for uncertainties in the design (e.g.,
slope, hydraulic conductivity, thickness of drainage material),
construction, operation, and location of the LDS, waste and leachate
characteristics, likelihood and amounts of other sources of liquids in
the LDS, and proposed response actions (e.g., the action leakage rate
must consider decreases in the flow capacity of the system over time
resulting from siltation and clogging, rib layover and creep of
synthetic components of the system, overburden pressures, etc.).
(b) To determine if the action leakage rate has been exceeded, the
owner or operator must convert the weekly or monthly flow rate from the
monitoring data obtained under 264.226(d) to an average daily flow rate
(gallons per acre per day) for each sump. Unless the Regional
Administrator approves a different calculation, the average daily flow
rate for each sump must be calculated weekly during the active life and
closure period, and if the unit is closed in accordance with
264.228(b), monthly during the post-closure care period when monthly
monitoring is required under 264.226(d).
(57 FR 3487, Jan. 29, 1992)
Effective Date Note: At 57 FR 3487, Jan. 29, 1992 264.222 was
added, effective July 29, 1992.
40 CFR 264.223 Response actions.
(a) The owner or operator of surface impoundment units subject to
264.221 (c) or (d) must have an approved response action plan before
receipt of waste. The response action plan must set forth the actions
to be taken if the action leakage rate has been exceeded. At a minimum,
the response action plan must describe the actions specified in
paragraph (b) of this section.
(b) If the flow rate into the leak detection system exceeds the
action leakage rate for any sump, the owner or operator must:
(1) Notify the Regional Administrator in writing of the exceedence
within 7 days of the determination;
(2) Submit a preliminary written assessment to the Regional
Administrator within 14 days of the determination, as to the amount of
liquids, likely sources of liquids, possible location, size, and cause
of any leaks, and short-term actions taken and planned;
(3) Determine to the extent practicable the location, size, and cause
of any leak;
(4) Determine whether waste receipt should cease or be curtailed,
whether any waste should be removed from the unit for inspection,
repairs, or controls, and whether or not the unit should be closed;
(5) Determine any other short-term and longer-term actions to be
taken to mitigate or stop any leaks; and
(6) Within 30 days after the notification that the action leakage
rate has been exceeded, submit to the Regional Administrator the results
of the analyses specified in paragraphs (b) (3), (4), and (5) of this
section, the results of actions taken, and actions planned. Monthly
thereafter, as long as the flow rate in the leak detection system
exceeds the action leakage rate, the owner or operator must submit to
the Regional Administrator a report summarizing the results of any
remedial actions taken and actions planned.
(c) To make the leak and/or remediation determinations in paragraphs
(b) (3), (4), and (5) of this section, the owner or operator must:
(1)(i) Assess the source of liquids and amounts of liquids by source,
(ii) Conduct a fingerprint, hazardous constituent, or other analyses
of the liquids in the leak detection system to identify the source of
liquids and possible location of any leaks, and the hazard and mobility
of the liquid; and
(iii) Assess the seriousness of any leaks in terms of potential for
escaping into the environment; or
(2) Document why such assessments are not needed.
(57 FR 3488, Jan. 29, 1992)
Effective Date Note: At 57 FR 3488, Jan. 29, 1992, 264.223 was
added, effective July 29, 1992.
264.224 -- 264.225 (Reserved)
40 CFR 264.226 Monitoring and inspection.
(a) During construction and installation, liners (except in the case
of existing portions of surface impoundments exempt from 264.221(a))
and cover systems (e.g., membranes, sheets, or coatings) must be
inspected for uniformity, damage, and imperfections (e.g., holes,
cracks, thin spots, or foreign materials). Immediately after
construction or installation:
(1) Synthetic liners and covers must be inspected to ensure tight
seams and joints and the absence of tears, punctures, or blisters; and
(2) Soil-based and admixed liners and covers must be inspected for
inperfections including lenses, cracks, channels, root holes, or other
structural non-uniformities that may cause an increase in the
permeability of the liner or cover.
(b) While a surface impoundment is in operation, it must be inspected
weekly and after storms to detect evidence of any of the following:
(1) Deterioration, malfunctions, or improper operation of overtopping
control systems;
(2) Sudden drops in the level of the impoundment's contents; and
(3) Severe erosion or other signs of deterioration in dikes or other
containment devices.
(c) Prior to the issuance of a permit, and after any extended period
of time (at least six months) during which the impoundment was not in
service, the owner or operator must obtain a certification from a
qualified engineer that the impoundment's dike, including that portion
of any dike which provides freeboard, has structural integrity. The
certification must establish, in particular, that the dike:
(1) Will withstand the stress of the pressure exerted by the types
and amounts of wastes to be placed in the impoundment; and
(2) Will not fail due to scouring or piping, without dependence on
any liner system included in the surface impoundment construction.
(d)(1) An owner or operator required to have a leak detection system
under 264.221 (c) or (d) must record the amount of liquids removed from
each leak detection system sump at least once each week during the
active life and closure period.
(2) After the final cover is installed, the amount of liquids removed
from each leak detection system sump must be recorded at least monthly.
If the liquid level in the sump stays below the pump operating level for
two consecutive months, the amount of liquids in the sumps must be
recorded at least quarterly. If the liquid level in the sump stays
below the pump operating level for two consecutive quarters, the amount
of liquids in the sumps must be recorded at least semi-annually. If at
any time during the post-closure care period the pump operating level is
exceeded at units on quarterly or semi-annual recording schedules, the
owner or operator must return to monthly recording of amounts of liquids
removed from each sump until the liquid level again stays below the pump
operating level for two consecutive months.
(3) ''Pump operating level'' is a liquid level proposed by the owner
or operator and approved by the Regional Administrator based on pump
activation level, sump dimensions, and level that avoids backup into the
drainage layer and minimizes head in the sump.
(Approved by the Office of Management and Budget under control number
2050-0007)
(47 FR 32357, July 26, 1982, as amended at 50 FR 4514, Jan. 31, 1985;
50 FR 28748, July 15, 1985; 57 FR 3488, Jan. 29, 1992)
Effective Date Note: At 57 FR 3488, Jan. 29, 1992 264.226 was
amended by adding paragraph (d), effective July 29, 1992.
40 CFR 264.227 Emergency repairs; contingency plans.
(a) A surface impoundment must be removed from service in accordance
with paragraph (b) of this section when:
(1) The level of liquids in the impoundment suddenly drops and the
drop is not known to be caused by changes in the flows into or out of
the impoundment; or
(2) The dike leaks.
(b) When a surface impoundment must be removed from service as
required by paragraph (a) of this section, the owner or operator must:
(1) Immediately shut off the flow or stop the addition of wastes into
the impoundment;
(2) Immediately contain any surface leakage which has occurred or is
occurring;
(3) Immediately stop the leak;
(4) Take any other necessary steps to stop or prevent catastrophic
failure;
(5) If a leak cannot be stopped by any other means, empty the
impoundment; and
(6) Notify the Regional Administrator of the problem in writing
within seven days after detecting the problem.
(c) As part of the contingency plan required in subpart D of this
part, the owner or operator must specify a procedure for complying with
the requirements of paragraph (b) of this section.
(d) No surface impoundment that has been removed from service in
accordance with the requirements of this section may be restored to
service unless the portion of the impoundment which was failing is
repaired and the following steps are taken:
(1) If the impoundment was removed from service as the result of
actual or imminent dike failure, the dike's structural integrity must be
recertified in accordance with 264.226(c).
(2) If the impoundment was removed from service as the result of a
sudden drop in the liquid level, then:
(i) For any existing portion of the impoundment, a liner must be
installed in compliance with 264.221(a); and
(ii) For any other portion of the impoundment, the repaired liner
system must be certified by a qualified engineer as meeting the design
specifications approved in the permit.
(e) A surface impoundment that has been removed from service in
accordance with the requirements of this section and that is not being
repaired must be closed in accordance with the provisions of 264.228.
(47 FR 32357, July 26, 1982, as amended at 50 FR 28748, July 15,
1985)
40 CFR 264.228 Closure and post-closure care.
(a) At closure, the owner or operator must:
(1) Remove or decontaminate all waste residues, contaminated
containment system components (liners, etc.), contaminated subsoils, and
structures and equipment contaminated with waste and leachate, and
manage them as hazardous waste unless 261.3(d) of this chapter applies;
or
(2)(i) Eliminate free liquids by removing liquid wastes or
solidifying the remaining wastes and waste residues;
(ii) Stabilize remaining wastes to a bearing capacity sufficient to
support final cover; and
(iii) Cover the surface impoundment with a final cover designed and
constructed to:
(A) Provide long-term minimization of the migration of liquids
through the closed impoundment;
(B) Function with minimum maintenance;
(C) Promote drainage and minimize erosion or abrasion of the final
cover;
(D) Accommodate settling and subsidence so that the cover's integrity
is maintained; and
(E) Have a permeability less than or equal to the permeability of any
bottom liner system or natural subsoils present.
(b) If some waste residues or contaminated materials are left in
place at final closure, the owner or operator must comply with all
post-closure requirements contained in 264.117 through 264.120,
including maintenance and monitoring throughout the post-closure care
period (specified in the permit under 264.117). The owner or operator
must:
(1) Maintain the integrity and effectiveness of the final cover,
including making repairs to the cap as necessary to correct the effects
of settling, subsidence, erosion, or other events;
(2) Maintain and monitor the leak detection system in accordance with
264.221(c)(2)(iv) and (3) and 264.226(d), and comply with all other
applicable leak detection system requirements of this part;
(3) Maintain and monitor the ground-water monitoring system and
comply with all other applicable requirements of subpart F of this part;
and
(4) Prevent run-on and run-off from eroding or otherwise damaging the
final cover.
(c)(1) If an owner or operator plans to close a surface impoundment
in accordance with paragraph (a)(1) of this section, and the impoundment
does not comply with the liner requirements of 264.221(a) and is not
exempt from them in accordance with 264.221(b), then:
(i) The closure plan for the impoundment under 264.112 must include
both a plan for complying with paragraph (a)(1) of this section and a
contingent plan for complying with paragraph (a)(2) of this section in
case not all contaminated subsoils can be practicably removed at
closure; and
(ii) The owner or operator must prepare a contingent post-closure
plan under 264.118 for complying with paragraph (b) of this section in
case not all contaminated subsoils can be practicably removed at
closure.
(2) The cost estimates calculated under 264.142 and 264.144 for
closure and post-closure care of an impoundment subject to this
paragraph must include the cost of complying with the contingent closure
plan and the contingent post-closure plan, but are not required to
include the cost of expected closure under paragraph (a)(1) of this
section.
(47 FR 32357, July 26, 1982, as amended at 50 FR 28748, July 15,
1985; 57 FR 3488, Jan. 29, 1992)
Effective Date Note: At 57 FR 3488, Jan. 29, 1992 264.228 was
amended by redesignating paragraphs (b)(2) and (b)(3) as paragraphs
(b)(3) and (b)(4), and by adding a new paragraph (b)(2), effective July
29, 1992.
40 CFR 264.229 Special requirements for ignitable or reactive waste.
Ignitable or reactive waste must not be placed in a surface
impoundment, unless the waste and impoundment satisfy all applicable
requirements of 40 CFR part 268, and:
(a) The waste is treated, rendered, or mixed before or immediately
after placement in the impoundment so that:
(1) The resulting waste, mixture, or dissolution of material no
longer meets the definition of ignitable or reactive waste under 261.21
or 261.23 of this chapter; and
(2) Section 264.17(b) is complied with; or
(b) The waste is managed in such a way that it is protected from any
material or conditions which may cause it to ignite or react; or
(c) The surface impoundment is used solely for emergencies.
(47 FR 32357, July 26, 1982, as amended at 55 FR 22685, June 1, 1990)
40 CFR 264.230 Special requirements for incompatible wastes.
Incompatible wastes, or incompatible wastes and materials, (see
appendix V of this part for examples) must not be placed in the same
surface impoundment, unless 264.17(b) is complied with.
40 CFR 264.231 Special requirements for hazardous wastes FO20, FO21,
FO22, FO23, FO26, and FO27.
(a) Hazardous Wastes FO20, FO21, FO22, FO23, FO26, and FO27 must not
be placed in a surface impoundment unless the owner or operator operates
the surface impoundment in accordance with a management plan for these
wastes that is approved by the Regional Administrator pursuant to the
standards set out in this paragraph, and in accord with all other
applicable requirements of this part. The factors to be considered are:
(1) The volume, physical, and chemical characteristics of the wastes,
including their potential to migrate through soil or to volatilize or
escape into the atmosphere;
(2) The attenuative properties of underlying and surrounding soils or
other materials;
(3) The mobilizing properties of other materials co-disposed with
these wastes; and
(4) The effectiveness of additional treatment, design, or monitoring
techniques.
(b) The Regional Administrator may determine that additional design,
operating, and monitoring requirements are necessary for surface
impoundments managing hazardous wastes FO20, FO21, FO22, FO23, FO26, and
FO27 in order to reduce the possibility of migration of these wastes to
ground water, surface water, or air so as to protect human health and
the environment.
(50 FR 2004, Jan. 14, 1985)
40 CFR 264.231 Subpart L -- Waste Piles
Source: 47 FR 32359, July 26, 1982, unless otherwise noted.
40 CFR 264.250 Applicability.
(a) The regulations in this subpart apply to owners and operators of
facilities that store or treat hazardous waste in piles, except as
264.1 provides otherwise.
(b) The regulations in this subpart do not apply to owners or
operators of waste piles that are closed with wastes left in place.
Such waste piles are subject to regulation under subpart N of this part
(Landfills).
(c) The owner or operator of any waste pile that is inside or under a
structure that provides protection from precipitation so that neither
run-off nor leachate is generated is not subject to regulation under
264.251 or under subpart F of this part, provided that:
(1) Liquids or materials containing free liquids are not placed in
the pile;
(2) The pile is protected from surface water run-on by the structure
or in some other manner;
(3) The pile is designed and operated to control dispersal of the
waste by wind, where necessary, by means other than wetting; and
(4) The pile will not generate leachate through decomposition or
other reactions.
40 CFR 264.251 Design and operating requirements.
(a) A waste pile (except for an existing portion of a waste pile)
must have:
(1) A liner that is designed, constructed, and installed to prevent
any migration of wastes out of the pile into the adjacent subsurface
soil or ground water or surface water at any time during the active life
(including the closure period) of the waste pile. The liner may be
constructed of materials that may allow waste to migrate into the liner
itself (but not into the adjacent subsurface soil or ground water or
surface water) during the active life of the facility. The liner must
be:
(i) Constructed of materials that have appropriate chemical
properties and sufficient strength and thickness to prevent failure due
to pressure gradients (including static head and external hydrogeologic
forces), physical contact with the waste or leachate to which they are
exposed, climatic conditions, the stress of installation, and the stress
of daily operation;
(ii) Placed upon a foundation or base capable of providing support to
the liner and resistance to pressure gradients above and below the liner
to prevent failure of the liner due to settlement, compression, or
uplift; and
(iii) Installed to cover all surrounding earth likely to be in
contact with the waste or leachate; and
(2) A leachate collection and removal system immediately above the
liner that is designed, constructed, maintained, and operated to collect
and remove leachate from the pile. The Regional Administrator will
specify design and operating conditions in the permit to ensure that the
leachate depth over the liner does not exceed 30 cm (one foot). The
leachate collection and removal system must be:
(i) Constructed of materials that are:
(A) Chemically resistent to the waste managed in the pile and the
leachate expected to be generated; and
(B) Of sufficient strength and thickness to prevent collapse under
the pressures exerted by overlaying wastes, waste cover materials, and
by any equipment used at the pile; and
(ii) Designed and operated to function without clogging through the
scheduled closure of the waste pile.
(b) The owner or operator will be exempted from the requirements of
paragraph (a) of this section, if the Regional Administrator finds,
based on a demonstration by the owner or operator, that alternate design
and operating practices, together with location characteristics, will
prevent the migration of any hazardous constituents (see 264.93) into
the ground water or surface water at any future time. In deciding
whether to grant an exemption, the Regional Administrator will consider:
(1) The nature and quantity of the wastes;
(2) The proposed alternate design and operation;
(3) The hydrogeologic setting of the facility, including attenuative
capacity and thickness of the liners and soils present between the pile
and ground water or surface water; and
(4) All other factors which would influence the quality and mobility
of the leachate produced and the potential for it to migrate to ground
water or surface water.
(c) The owner or operator of each new waste pile unit on which
construction commences after January 29, 1992, each lateral expansion of
a waste pile unit on which construction commences after July 29, 1992,
and each replacement of an existing waste pile unit that is to commence
reuse after July 29, 1992 must install two or more liners and a leachate
collection and removal system above and between such liners.
''Construction commences'' is as defined in 260.10 under ''existing
facility''.
(1)(i) The liner system must include:
(A) A top liner designed and constructed of materials (e.g., a
geomembrane) to prevent the migration of hazardous constituents into
such liner during the active life and post-closure care period; and
(B) A composite bottom liner, consisting of at least two components.
The upper component must be designed and constructed of materials (e.g.,
a geomembrane) to prevent the migration of hazardous constituents into
this component during the active life and post-closure care period. The
lower component must be designed and constructed of materials to
minimize the migration of hazardous constituents if a breach in the
upper component were to occur. The lower component must be constructed
of at least 3 feet (91 cm) of compacted soil material with a hydraulic
conductivity of no more than 1 10^7 cm/sec.
(ii) The liners must comply with paragraphs (a)(1)(i), (ii), and
(iii) of this section.
(2) The leachate collection and removal system immediately above the
top liner must be designed, constructed, operated, and maintained to
collect and remove leachate from the waste pile during the active life
and post-closure care period. The Regional Administrator will specify
design and operating conditions in the permit to ensure that the
leachate depth over the liner does not exceed 30 cm (one foot). The
leachate collection and removal system must comply with paragraphs
(c)(3)(iii) and (iv) of this section.
(3) The leachate collection and removal system between the liners,
and immediately above the bottom composite liner in the case of multiple
leachate collection and removal systems, is also a leak detection
system. This leak detection system must be capable of detecting,
collecting, and removing leaks of hazardous constituents at the earliest
practicable time through all areas of the top liner likely to be exposed
to waste or leachate during the active life and post-closure care
period. The requirements for a leak detection system in this paragraph
are satisfied by installation of a system that is, at a minimum:
(i) Constructed with a bottom slope of one percent or more;
(ii) Constructed of granular drainage materials with a hydraulic
conductivity of 1 10^2 cm/sec or more and a thickness of 12 inches (30.5
cm) or more; or constructed of synthetic or geonet drainage materials
with a transmissivity of 3 10^5 m /2/ /sec or more:
(iii) Constructed of materials that are chemically resistant to the
waste managed in the waste pile and the leachate expected to be
generated, and of sufficient strength and thickness to prevent collapse
under the pressures exerted by overlying wastes, waste cover materials,
and equipment used at the waste pile;
(iv) Designed and operated to minimize clogging during the active
life and post-closure care period; and
(v) Constructed with sumps and liquid removal methods (e.g., pumps)
of sufficient size to collect and remove liquids from the sump and
prevent liquids from backing up into the drainage layer. Each unit must
have its own sump(s). The design of each sump and removal system must
provide a method for measuring and recording the volume of liquids
present in the sump and of liquids removed.
(4) The owner or operator shall collect and remove pumpable liquids
in the leak detection system sumps to minimize the head on the bottom
liner.
(5) The owner or operator of a leak detection system that is not
located completely above the seasonal high water table must demonstrate
that the operation of the leak detection system will not be adversely
affected by the presence of ground water.
(d) The Regional Administrator may approve alternative design or
operating practices to those specified in paragraph (c) of this section
if the owner or operator demonstrates to the Regional Administrator that
such design and operating practices, together with location
characteristics:
(1) Will prevent the migration of any hazardous constituent into the
ground water or surface water at least as effectively as the liners and
leachate collection and removal systems specified in paragraph (c) of
this section; and
(2) Will allow detection of leaks of hazardous constituents through
the top liner at least as effectively.
(e) Paragraph (c) of this section does not apply to monofills that
are granted a waiver by the Regional Administrator in accordance with
264.221(e).
(f) The owner or operator of any replacement waste pile unit is
exempt from paragraph (c) of this section if:
(1) The existing unit was constructed in compliance with the design
standards of section 3004(o)(1)(A)(i) and (o)(5) of the Resource
Conservation and Recovery Act; and
(2) There is no reason to believe that the liner is not functioning
as designed.
(g) The owner or operator must design, construct, operate, and
maintain a run-on control system capable of preventing flow onto the
active portion of the pile during peak discharge from at least a 25-year
storm.
(h) The owner or operator must design, construct, operate, and
maintain a run-off management system to collect and control at least the
water volume resulting from a 24-hour, 25-year storm.
(i) Collection and holding facilities (e.g., tanks or basins)
associated with run-on and run-off control systems must be emptied or
otherwise managed expeditiously after storms to maintain design capacity
of the system.
(j) If the pile contains any particulate matter which may be subject
to wind dispersal, the owner or operator must cover or otherwise manage
the pile to control wind dispersal.
(k) The Regional Administrator will specify in the permit all design
and operating practices that are necessary to ensure that the
requirements of this section are satisfied.
(Approved by the Office of Management and Budget under control number
2050-0007)
(47 FR 32359, July 26, 1982, as amended at 50 FR 4514, Jan. 31, 1985;
57 FR 3488, Jan. 29, 1992)
Effective Date Note: At 57 FR 3488, Jan. 29, 1992 264.251 was
amended by redesignating paragraphs (c) through (g) as paragraphs (g)
through (k), and by adding new paragraphs (c), (d), (e), and (f)
effective July 29, 1992.
40 CFR 264.252 Action leakage rate.
(a) The Regional Administrator shall approve an action leakage rate
for surface impoundment units subject to 264.251(c) or (d). The action
leakage rate is the maximum design flow rate that the leak detection
system (LDS) can remove without the fluid head on the bottom liner
exceeding 1 foot. The action leakage rate must include an adequate
safety margin to allow for uncertainties in the design (e.g., slope,
hydraulic conductivity, thickness of drainage material), construction,
operation, and location of the LDS, waste and leachate characteristics,
likelihood and amounts of other sources of liquids in the LDS, and
proposed response actions (e.g., the action leakage rate must consider
decreases in the flow capacity of the system over time resulting from
siltation and clogging, rib layover and creep of synthetic components of
the system, overburden pressures, etc.).
(b) To determine if the action leakage rate has been exceeded, the
owner or operator must convert the weekly flow rate from the monitoring
data obtained under 264.254(c), to an average daily flow rate (gallons
per acre per day) for each sump. Unless the Regional Administrator
approves a different calculation, the average daily flow rate for each
sump must be calculated weekly during the active life and closure
period.
(57 FR 3489, Jan. 29, 1992)
Effective Date Note: At 57 FR 3489, Jan. 29, 1992 264.252 was
added, effective July 29, 1992.
40 CFR 264.253 Response actions.
(a) The owner or operator of waste pile units subject to 264.251 (c)
or (d) must have an approved response action plan before receipt of
waste. The response action plan must set forth the actions to be taken
if the action leakage rate has been exceeded. At a minimum, the
response action plan must describe the actions specified in paragraph
(b) of this section.
(b) If the flow rate into the leak detection system exceeds the
action leakage rate for any sump, the owner or operator must:
(1) Notify the Regional Administrator in writing of the exceedance
within 7 days of the determination;
(2) Submit a preliminary written assessment to the Regional
Administrator within 14 days of the determination, as to the amount of
liquids, likely sources of liquids, possible location, size, and cause
of any leaks, and short-term actions taken and planned;
(3) Determine to the extent practicable the location, size, and cause
of any leak;
(4) Determine whether waste receipt should cease or be curtailed,
whether any waste should be removed from the unit for inspection,
repairs, or controls, and whether or not the unit should be closed;
(5) Determine any other short-term and long-term actions to be taken
to mitigate or stop any leaks; and
(6) Within 30 days after the notification that the action leakage
rate has been exceeded, submit to the Regional Administrator the results
of the analyses specified in paragraphs (b) (3), (4), and (5) of this
section, the results of actions taken, and actions planned. Monthly
thereafter, as long as the flow rate in the leak detection system
exceeds the action leakage rate, the owner or operator must submit to
the Regional Administrator a report summarizing the results of any
remedial actions taken and actions planned.
(c) To make the leak and/or remediation determinations in paragraphs
(b) (3), (4), and (5) of this section, the owner or operator must:
(1)(i) Assess the source of liquids and amounts of liquids by source,
(ii) Conduct a fingerprint, hazardous constituent, or other analyses
of the liquids in the leak detection system to identify the source of
liquids and possible location of any leaks, and the hazard and mobility
of the liquid; and
(iii) Assess the seriousness of any leaks in terms of potential for
escaping into the environment; or
(2) Document why such assessments are not needed.
(57 FR 3489, Jan. 29, 1992)
Effective Date Note: At 57 FR 3489, Jan. 29, 1992 264.253 was
added effective July 29, 1992.
40 CFR 264.254 Monitoring and inspection.
(a) During construction or installation, liners (except in the case
of existing portions of piles exempt from 264.251(a)) and cover systems
(e.g., membranes, sheets, or coatings) must be inspected for uniformity,
damage, and imperfections (e.g., holes, cracks, thin spots, or foreign
materials). Immediately after construction or installation:
(1) Synthetic liners and covers must be inspected to ensure tight
seams and joints and the absence of tears, punctures, or blisters; and
(2) Soil-based and admixed liners and covers must be inspected for
imperfections including lenses, cracks, channels, root holes, or other
structural non-uniformities that may cause an increase in the
permeability of the liner or cover.
(b) While a waste pile is in operation, it must be inspected weekly
and after storms to detect evidence of any of the following:
(1) Deterioration, malfunctions, or improper operation of run-on and
run-off control systems;
(2) Proper functioning of wind dispersal control systems, where
present; and
(3) The presence of leachate in and proper functioning of leachate
collection and removal systems, where present.
(c) An owner or operator required to have a leak detection system
under 264.251(c) must record the amount of liquids removed from each
leak detection system sump at least once each week during the active
life and closure period.
(Approved by the Office of Management and Budget under control number
2050-0007)
(47 FR 32359, July 26, 1982, as amended at 50 FR 4514, Jan. 31, 1985;
50 FR 28748, July 15, 1985; 57 FR 3489, Jan. 29, 1992)
Effective Date Note: At 57 FR 3489, Jan. 29, 1992 264.254 was
amended by adding paragraph (c), effective July 29, 1992.
264.255 (Reserved)
40 CFR 264.256 Special requirements for ignitable or reactive waste.
Ignitable or reactive waste must not be place in a waste pile unless
the waste and waste pile satisfy all applicable requirements of 40 CFR
part 268, and:
(a) The waste is treated, rendered, or mixed before or immediately
after placement in the pile so that:
(1) The resulting waste, mixture, or dissolution of material no
longer meets the definition of ignitable or reactive waste under 261.21
or 261.23 of this chapter; and
(2) Section 264.17(b) is complied with; or
(b) The waste is managed in such a way that it is protected from any
material or conditions which may cause it to ignite or react.
(47 FR 32359, July 26, 1982, as amended at 55 FR 22685, June 1, 1990)
40 CFR 264.257 Special requirements for incompatible wastes.
(a) Incompatible wastes, or incompatible wastes and materials, (see
appendix V of this part for examples) must not be placed in the same
pile, unless 264.17(b) is complied with.
(b) A pile of hazardous waste that is incompatible with any waste or
other material stored nearby in containers, other piles, open tanks, or
surface impoundments must be separated from the other materials, or
protected from them by means of a dike, berm, wall, or other device.
(c) Hazardous waste must not be piled on the same base where
incompatible wastes or materials were previously piled, unless the base
has been decontaminated sufficiently to ensure compliance with
264.17(b).
40 CFR 264.258 Closure and post-closure care.
(a) At closure, the owner or operator must remove or decontaminate
all waste residues, contaminated containment system components (liners,
etc.), contaminated subsoils, and structures and equipment contaminated
with waste and leachate, and manage them as hazardous waste unless
261.3(d) of this chapter applies.
(b) If, after removing or decontaminating all residues and making all
reasonable efforts to effect removal or decontamination of contaminated
components, subsoils, structures, and equipment as required in paragraph
(a) of this section, the owner or operator finds that not all
contaminated subsoils can be practicably removed or decontaminated, he
must close the facility and perform post-closure care in accordance with
the closure and post-closure care requirements that apply to landfills (
264.310).
(c)(1) The owner or operator of a waste pile that does not comply
with the liner requirements of 264.251(a)(1) and is not exempt from
them in accordance with 264.250(c) or 264.251(b), must:
(i) Include in the closure plan for the pile under 264.112 both a
plan for complying with paragraph (a) of this section and a contingent
plan for complying with paragraph (b) of this section in case not all
contaminated subsoils can be practicably removed at closure; and
(ii) Prepare a contingent post-closure plan under 264.118 for
complying with paragraph (b) of this section in case not all
contaminated subsoils can be practicably removed at closure.
(2) The cost estimates calculated under 264.142 and 264.144 for
closure and post-closure care of a pile subject to this paragraph must
include the cost of complying with the contingent closure plan and the
contingent post-closure plan, but are not required to include the cost
of expected closure under paragraph (a) of this section.
40 CFR 264.259 Special requirements for hazardous wastes FO20, FO21,
FO22, FO23, FO26, and FO27.
(a) Hazardous Wastes FO20, FO21, FO22, FO23, FO26, and FO27 must not
be placed in waste piles that are not enclosed (as defined in
264.250(c)) unless the owner or operator operates the waste pile in
accordance with a management plan for these wastes that is approved by
the Regional Administrator pursuant to the standards set out in this
paragraph, and in accord with all other applicable requirements of this
part. The factors to be considered are:
(1) The volume, physical, and chemical characteristics of the wastes,
including their potential to migrate through soil or to volatilize or
escape into the atmosphere;
(2) The attenuative properties of underlying and surrounding soils or
other materials;
(3) The mobilizing properties of other materials co-disposed with
these wastes; and
(4) The effectiveness of additional treatment, design, or monitoring
techniques.
(b) The Regional Administrator may determine that additional design,
operating, and monitoring requirements are necessary for piles managing
hazardous wastes FO20, FO21, FO22, FO23, FO26, and, FO27 in order to
reduce the possibility of migration of these wastes to ground water,
surface water, or air so as to protect human health and the environment.
(50 FR 2004, Jan. 14, 1985)
40 CFR 264.259 Subpart M -- Land Treatment
Source: 47 FR 32361, July 26, 1982, unless otherwise noted.
40 CFR 264.270 Applicability.
The regulations in this subpart apply to owners and operators of
facilities that treat or dispose of hazardous waste in land treatment
units, except as 264.1 provides otherwise.
40 CFR 264.271 Treatment program.
(a) An owner or operator subject to this subpart must establish a
land treatment program that is designed to ensure that hazardous
constituents placed in or on the treatment zone are degraded,
transformed, or immobilized within the treatment zone. The Regional
Administrator will specify in the facility permit the elements of the
treatment program, including:
(1) The wastes that are capable of being treated at the unit based on
a demonstration under 264.272;
(2) Design measures and operating practices necessary to maximize the
success of degradation, transformation, and immobilization processes in
the treatment zone in accordance with 264.273(a); and
(3) Unsaturated zone monitoring provisions meeting the requirements
of 264.278.
(b) The Regional Administrator will specify in the facility permit
the hazardous constituents that must be degraded, transformed, or
immobilized under this subpart. Hazardous constituents are constituents
identified in appendix VIII of part 261 of this chapter that are
reasonably expected to be in, or derived from, waste placed in or on the
treatment zone.
(c) The Regional Administrator will specify the vertical and
horizontal dimensions of the treatment zone in the facility permit. The
treatment zone is the portion of the unsaturated zone below and
including the land surface in which the owner or operator intends to
maintain the conditions necessary for effective degradation,
transformation, or immobilization of hazardous constituents. The
maximum depth of the treatment zone must be:
(1) No more than 1.5 meters (5 feet) from the initial soil surface;
and
(2) More than 1 meter (3 feet) above the seasonal high water table.
(Approved by the Office of Management and Budget under control number
2050-0007)
(47 FR 32361, July 26, 1982, as amended at 50 FR 4514, Jan. 31, 1985)
40 CFR 264.272 Treatment demonstration.
(a) For each waste that will be applied to the treatment zone, the
owner or operator must demonstrate, prior to application of the waste,
that hazardous constituents in the waste can be completely degraded,
transformed, or immobilized in the treatment zone.
(b) In making this demonstration, the owner or operator may use field
tests, laboratory analyses, available data, or, in the case of existing
units, operating data. If the owner or operator intends to conduct
field tests or laboratory analyses in order to make the demonstration
required under paragraph (a) of this section, he must obtain a treatment
or disposal permit under 270.63. The Regional Administrator will
specify in this permit the testing, analytical, design, and operating
requirements (including the duration of the tests and analyses, and, in
the case of field tests, the horizontal and vertical dimensions of the
treatment zone, monitoring procedures, closure and clean-up activities)
necessary to meet the requirements in paragraph (c) of this section.
(c) Any field test or laboratory analysis conducted in order to make
a demonstration under paragraph (a) of this section must:
(1) Accurately simulate the characteristics and operating conditions
for the proposed land treatment unit including:
(i) The characteristics of the waste (including the presence of
appendix VIII of part 261 of this chapter constituents);
(ii) The climate in the area;
(iii) The topography of the surrounding area;
(iv) The characteristics of the soil in the treatment zone (including
depth); and
(v) The operating practices to be used at the unit.
(2) Be likely to show that hazardous constituents in the waste to be
tested will be completely degraded, transformed, or immobilized in the
treatment zone of the proposed land treatment unit; and
(3) Be conducted in a manner that protects human health and the
environment considering:
(i) The characteristics of the waste to be tested;
(ii) The operating and monitoring measures taken during the course of
the test;
(iii) The duration of the test;
(iv) The volume of waste used in the test;
(v) In the case of field tests, the potential for migration of
hazardous constituents to ground water or surface water.
(47 FR 32361, July 26, 1982, as amended at 48 FR 14294, Apr. 1, 1983)
40 CFR 264.273 Design and operating requirements.
The Regional Administrator will specify in the facility permit how
the owner or operator will design, construct, operate, and maintain the
land treatment unit in compliance with this section.
(a) The owner or operator must design, construct, operate, and
maintain the unit to maximize the degradation, transformation, and
immobilization of hazardous constituents in the treatment zone. The
owner or operator must design, construct, operate, and maintain the unit
in accord with all design and operating conditions that were used in the
treatment demonstration under 264.272. At a minimum, the Regional
Administrator will specify the following in the facility permit:
(1) The rate and method of waste application to the treatment zone;
(2) Measures to control soil pH;
(3) Measures to enhance microbial or chemical reactions (e.g.,
fertilization, tilling); and
(4) Measures to control the moisture content of the treatment zone.
(b) The owner or operator must design, construct, operate, and
maintain the treatment zone to minimize run-off of hazardous
constituents during the active life of the land treatment unit.
(c) The owner or operator must design, construct, operate, and
maintain a run-on control system capable of preventing flow onto the
treatment zone during peak discharge from at least a 25-year storm.
(d) The owner or operator must design, construct, operate, and
maintain a run-off management system to collect and control at least the
water volume resulting from a 24-hour, 25-year storm.
(e) Collection and holding facilities (e.g., tanks or basins)
associated with run-on and run-off control systems must be emptied or
otherwise managed expeditiously after storms to maintain the design
capacity of the system.
(f) If the treatment zone contains particulate matter which may be
subject to wind dispersal, the owner or operator must manage the unit to
control wind dispersal.
(g) The owner or operator must inspect the unit weekly and after
storms to detect evidence of:
(1) Deterioration, malfunctions, or improper operation of run-on and
run-off control systems; and
(2) Improper functioning of wind dispersal control measures.
(Approved by the Office of Management and Budget under control number
2050-0007)
(47 FR 32361, July 26, 1982, as amended at 50 FR 4514, Jan. 31, 1985)
264.274 -- 264.275 (Reserved)
40 CFR 264.276 Food-chain crops.
The Regional Administrator may allow the growth of food-chain crops
in or on the treatment zone only if the owner or operator satisfies the
conditions of this section. The Regional Administrator will specify in
the facility permit the specific food-chain crops which may be grown.
(a)(1) The owner or operator must demonstrate that there is no
substantial risk to human health caused by the growth of such crops in
or on the treatment zone by demonstrating, prior to the planting of such
crops, that hazardous constituents other than cadmium:
(i) Will not be transferred to the food or feed portions of the crop
by plant uptake or direct contact, and will not otherwise be ingested by
food-chain animals (e.g., by grazing); or
(ii) Will not occur in greater concentrations in or on the food or
feed portions of crops grown on the treatment zone than in or on
identical portions of the same crops grown on untreated soils under
similar conditions in the same region.
(2) The owner or operator must make the demonstration required under
this paragraph prior to the planting of crops at the facility for all
constituents identified in appendix VIII of part 261 of this chapter
that are reasonably expected to be in, or derived from, waste placed in
or on the treatment zone.
(3) In making a demonstration under this paragraph, the owner or
operator may use field tests, greenhouse studies, available data, or, in
the case of existing units, operating data, and must:
(i) Base the demonstration on conditions similar to those present in
the treatment zone, including soil characteristics (e.g., pH, cation
exchange capacity), specific wastes, application rates, application
methods, and crops to be grown; and
(ii) Describe the procedures used in conducting any tests, including
the sample selection criteria, sample size, analytical methods, and
statistical procedures.
(4) If the owner or operator intends to conduct field tests or
greenhouse studies in order to make the demonstration required under
this paragraph, he must obtain a permit for conducting such activities.
(b) The owner or operator must comply with the following conditions
if cadmium is contained in wastes applied to the treatment zone:
(1)(i) The pH of the waste and soil mixture must be 6.5 or greater at
the time of each waste application, except for waste containing cadmium
at concentrations of 2 mg/kg (dry weight) or less;
(ii) The annual application of cadmium from waste must not exceed 0.5
kilograms per hectare (kg/ha) on land used for production of tobacco,
leafy vegetables, or root crops grown for human consumption. For other
food-chain crops, the annual cadmium application rate must not exceed:
(iii) The cumulative application of cadmium from waste must not
exceed 5 kg/ha if the waste and soil mixture has a pH of less than 6.5;
and
(iv) If the waste and soil mixture has a pH of 6.5 or greater or is
maintained at a pH of 6.5 or greater during crop growth, the cumulative
application of cadmium from waste must not exceed: 5 kg/ha if soil
cation exchange capacity (CEC) is less than 5 meq/100g; 10 kg/ha if
soil CEC is 5-15 meq/100g; and 20 kg/ha if soil CEC is greater than 15
meq/100g; or
(2)(i) Animal feed must be the only food-chain crop produced;
(ii) The pH of the waste and soil mixture must be 6.5 or greater at
the time of waste application or at the time the crop is planted,
whichever occurs later, and this pH level must be maintained whenever
food-chain crops are grown;
(iii) There must be an operating plan which demonstrates how the
animal feed will be distributed to preclude ingestion by humans. The
operating plan must describe the measures to be taken to safeguard
against possible health hazards from cadmium entering the food chain,
which may result from alternative land uses; and
(iv) Future property owners must be notified by a stipulation in the
land record or property deed which states that the property has received
waste at high cadmium application rates and that food-chain crops must
not be grown except in compliance with paragraph (b)(2) of this section.
264.277 (Reserved)
40 CFR 264.278 Unsaturated zone monitoring.
An owner or operator subject to this subpart must establish an
unsaturated zone monitoring program to discharge the following
responsibilities:
(a) The owner or operator must monitor the soil and soil-pore liquid
to determine whether hazardous constituents migrate out of the treatment
zone.
(1) The Regional Administrator will specify the hazardous
constituents to be monitored in the facility permit. The hazardous
constituents to be monitored are those specified under 264.271(b).
(2) The Regional Administrator may require monitoring for principal
hazardous constituents (PHCs) in lieu of the constituents specified
under 264.271(b). PHCs are hazardous constituents contained in the
wastes to be applied at the unit that are the most difficult to treat,
considering the combined effects of degradation, transformation, and
immobilization. The Regional Administrator will establish PHCs if he
finds, based on waste analyses, treatment demonstrations, or other data,
that effective degradation, transformation, or immobilization of the
PHCs will assure treatment at at least equivalent levels for the other
hazardous constituents in the wastes.
(b) The owner or operator must install an unsaturated zone monitoring
system that includes soil monitoring using soil cores and soil-pore
liquid monitoring using devices such as lysimeters. The unsaturated
zone monitoring system must consist of a sufficient number of sampling
points at appropriate locations and depths to yield samples that:
(1) Represent the quality of background soil-pore liquid quality and
the chemical make-up of soil that has not been affected by leakage from
the treatment zone; and
(2) Indicate the quality of soil-pore liquid and the chemical make-up
of the soil below the treatment zone.
(c) The owner or operator must establish a background value for each
hazardous constituent to be monitored under paragraph (a) of this
section. The permit will specify the background values for each
constituent or specify the procedures to be used to calculate the
background values.
(1) Background soil values may be based on a one-time sampling at a
background plot having characteristics similar to those of the treatment
zone.
(2) Background soil-pore liquid values must be based on at least
quarterly sampling for one year at a background plot having
characteristics similar to those of the treatment zone.
(3) The owner or operator must express all background values in a
form necessary for the determination of statistically significant
increases under paragraph (f) of this section.
(4) In taking samples used in the determination of all background
values, the owner or operator must use an unsaturated zone monitoring
system that complies with paragraph (b)(1) of this section.
(d) The owner or operator must conduct soil monitoring and soil-pore
liquid monitoring immediately below the treatment zone. The Regional
Administrator will specify the frequency and timing of soil and
soil-pore liquid monitoring in the facility permit after considering the
frequency, timing, and rate of waste application, and the soil
permeability. The owner or operator must express the results of soil
and soil-pore liquid monitoring in a form necessary for the
determination of statistically significant increases under paragraph (f)
of this section.
(e) The owner or operator must use consistent sampling and analysis
procedures that are designed to ensure sampling results that provide a
reliable indication of soil-pore liquid quality and the chemical make-up
of the soil below the treatment zone. At a minimum, the owner or
operator must implement procedures and techniques for:
(1) Sample collection;
(2) Sample preservation and shipment;
(3) Analytical procedures; and
(4) Chain of custody control.
(f) The owner or operator must determine whether there is a
statistically significant change over background values for any
hazardous constituent to be monitored under paragraph (a) of this
section below the treatment zone each time he conducts soil monitoring
and soil-pore liquid monitoring under paragraph (d) of this section.
(1) In determining whether a statistically significant increase has
occurred, the owner or operator must compare the value of each
constituent, as determined under paragraph (d) of this section, to the
background value for that constituent according to the statistical
procedure specified in the facility permit under this paragraph.
(2) The owner or operator must determine whether there has been a
statistically significant increase below the treatment zone within a
reasonable time period after completion of sampling. The Regional
Administrator will specify that time period in the facility permit after
considering the complexity of the statistical test and the availability
of laboratory facilities to perform the analysis of soil and soil-pore
liquid samples.
(3) The owner or operator must determine whether there is a
statistically significant increase below the treatment zone using a
statistical procedure that provides reasonable confidence that migration
from the treatment zone will be identified. The Regional Administrator
will specify a statistical procedure in the facility permit that he
finds:
(i) Is appropriate for the distribution of the data used to establish
background values; and
(ii) Provides a reasonable balance between the probability of falsely
identifying migration from the treatment zone and the probability of
failing to identify real migration from the treatment zone.
(g) If the owner or operator determines, pursuant to paragraph (f) of
this section, that there is a statistically significant increase of
hazardous constituents below the treatment zone, he must:
(1) Notify the Regional Administrator of this finding in writing
within seven days. The notification must indicate what constituents
have shown statistically significant increases.
(2) Within 90 days, submit to the Regional Administrator an
application for a permit modification to modify the operating practices
at the facility in order to maximize the success of degradation,
transformation, or immobilization processes in the treatment zone.
(h) If the owner or operator determines, pursuant to paragraph (f) of
this section, that there is a statistically significant increase of
hazardous constituents below the treatment zone, he may demonstrate that
a source other than regulated units caused the increase or that the
increase resulted from an error in sampling, analysis, or evaluation.
While the owner or operator may make a demonstration under this
paragraph in addition to, or in lieu of, submitting a permit
modification application under paragraph (g)(2) of this section, he is
not relieved of the requirement to submit a permit modification
application within the time specified in paragraph (g)(2) of this
section unless the demonstration made under this paragraph successfully
shows that a source other than regulated units caused the increase or
that the increase resulted from an error in sampling, analysis, or
evaluation. In making a demonstration under this paragraph, the owner
or operator must:
(1) Notify the Regional Administrator in writing within seven days of
determining a statistically significant increase below the treatment
zone that he intends to make a determination under this paragraph;
(2) Within 90 days, submit a report to the Regional Administrator
demonstrating that a source other than the regulated units caused the
increase or that the increase resulted from error in sampling, analysis,
or evaluation;
(3) Within 90 days, submit to the Regional Administrator an
application for a permit modification to make any appropriate changes to
the unsaturated zone monitoring program at the facility; and
(4) Continue to monitor in accordance with the unsaturated zone
monitoring program established under this section.
(Approved by the Office of Management and Budget under control number
2050-0038)
(47 FR 32361, July 26, 1982, as amended at 50 FR 4514, Jan. 31, 1985)
40 CFR 264.279 Recordkeeping.
The owner or operator must include hazardous waste application dates
and rates in the operating record required under 264.73.
(Approved by the Office of Management and Budget under control number
2050-0007)
(47 FR 32361, July 26, 1982, as amended at 50 FR 4514, Jan. 31, 1985)
40 CFR 264.280 Closure and post-closure care.
(a) During the closure period the owner or operator must:
(1) Continue all operations (including pH control) necessary to
maximize degradation, transformation, or immobilization of hazardous
constituents within the treatment zone as required under 264.273(a),
except to the extent such measures are inconsistent with paragraph
(a)(8) of this section.
(2) Continue all operations in the treatment zone to minimize run-off
of hazardous constituents as required under 264.273(b);
(3) Maintain the run-on control system required under 264.273(c);
(4) Maintain the run-off management system required under
264.273(d);
(5) Control wind dispersal of hazardous waste if required under
264.273(f);
(6) Continue to comply with any prohibitions or conditions concerning
growth of food-chain crops under 264.276;
(7) Continue unsaturated zone monitoring in compliance with 264.278,
except that soil-pore liquid monitoring may be terminated 90 days after
the last application of waste to the treatment zone; and
(8) Establish a vegetative cover on the portion of the facility being
closed at such time that the cover will not substantially impede
degradation, transformation, or immobilization of hazardous constituents
in the treatment zone. The vegetative cover must be capable of
maintaining growth without extensive maintenance.
(b) For the purpose of complying with 264.115, when closure is
completed the owner or operator may submit to the Regional Administrator
certification by an independent qualified soil scientist, in lieu of an
independent registered professional engineer, that the facility has been
closed in accordance with the specifications in the approved closure
plan.
(c) During the post-closure care period the owner or operator must:
(1) Continue all operations (including pH control) necessary to
enhance degradation and transformation and sustain immobilization of
hazardous constituents in the treatment zone to the extent that such
measures are consistent with other post-closure care activities;
(2) Maintain a vegetative cover over closed portions of the facility;
(3) Maintain the run-on control system required under 264.273(c);
(4) Maintain the run-off management system required under
264.273(d);
(5) Control wind dispersal of hazardous waste if required under
264.273(f);
(6) Continue to comply with any prohibitions or conditions concerning
growth of food-chain crops under 264.276; and
(7) Continue unsaturated zone monitoring in compliance with 264.278,
expect that soil-pore liquid monitoring may be terminated 90 days after
the last application of waste to the treatment zone.
(d) The owner or operator is not subject to regulation under
paragraphs (a)(8) and (c) of this section if the Regional Administrator
finds that the level of hazardous constituents in the treatment zone
soil does not exceed the background value of those constituents by an
amount that is statistically significant when using the test specified
in paragraph (d)(3) of this section. The owner or operator may submit
such a demonstration to the Regional Administrator at any time during
the closure of post-closure care periods. For the purposes of this
paragraph:
(1) The owner or operator must establish background soil values and
determine whether there is a statistically significant increase over
those values for all hazardous constituents specified in the facility
permit under 264.271 (b).
(i) Background soil values may be based on a one-time sampling of a
background plot having characteristics similar to those of the treatment
zone.
(ii) The owner or operator must express background values and values
for hazardous constituents in the treatment zone in a form necessary for
the determination of statistically significant increases under paragraph
(d)(3) of this section.
(2) In taking samples used in the determination of background and
treatment zone values, the owner or operator must take samples at a
sufficient number of sampling points and at appropriate locations and
depths to yield samples that represent the chemical make-up of soil that
has not been affected by leakage from the treatment zone and the soil
within the treatment zone, respectively.
(3) In determining whether a statistically significant increase has
occurred, the owner or operator must compare the value of each
constituent in the treatment zone to the background value for that
constituent using a statistical procedure that provides reasonable
confidence that constituent presence in the treatment zone will be
identified. The owner or operator must use a statistical procedure
that:
(i) Is appropriate for the distribution of the data used to establish
background values; and
(ii) Provides a reasonable balance between the probability of falsely
identifying hazardous constituent presence in the treatment zone and the
probability of failing to identify real presence in the treatment zone.
(e) The owner or operator is not subject to regulation under Subpart
F of this chapter if the Regional Administrator finds that the owner or
operator satisfies paragraph (d) of this section and if unsaturated zone
monitoring under 264.278 indicates that hazardous constituents have not
migrated beyond the treatment zone during the active life of the land
treatment unit.
40 CFR 264.281 Special requirements for ignitable or reactive waste.
The owner or operator must not apply ignitable or reactive waste to
the treatment zone unless the waste and the treatment zone meet all
applicable requirements of 40 CFR part 268, and:
(a) The waste is immediately incorporated into the soil so that:
(1) The resulting waste, mixture, or dissolution of material no
longer meets the definition of ignitable or reactive waste under 261.21
or 261.23 of this chapter; and
(2) Section 264.17(b) is complied with; or
(b) The waste is managed in such a way that it is protected from any
material or conditions which may cause it to ignite or react.
(47 FR 32361, July 26, 1982, as amended at 55 FR 22685, June 1, 1990)
40 CFR 264.282 Special requirements for incompatible wastes.
The owner or operator must not place incompatible wastes, or
incompatible wastes and materials (see appendix V of this part for
examples), in or on the same treatment zone, unless 264.17(b) is
complied with.
40 CFR 264.283 Special requirements for hazardous wastes FO20, FO21,
FO22, FO23, FO26, and FO27.
(a) Hazardous Wastes FO20, FO21, FO22, FO23, FO26 and, FO27 must not
be placed in a land treatment unit unless the owner or operator operates
the facility in accordance with a management plan for these wastes that
is approved by the Regional Administrator pursuant to the standards set
out in this paragraph, and in accord with all other applicable
requirements of this part. The factors to be considered are:
(1) The volume, physical, and chemical characteristics of the wastes,
including their potential to migrate through soil or to volatilize or
escape into the atmosphere;
(2) The attenuative properties of underlying and surrounding soils or
other materials;
(3) The mobilizing properties of other materials co-disposed with
these wastes; and
(4) The effectiveness of additional treatment, design, or monitoring
techniques.
(b) The Regional Administrator may determine that additional design,
operating, and monitoring requirements are necessary for land treatment
facilities managing hazardous wastes FO20, FO21, FO22, FO23, FO26, and
FO27 in order to reduce the possibility of migration of these wastes to
ground water, surface water, or air so as to protect human health and
the environment.
(50 FR 2004, Jan. 14, 1985)
40 CFR 264.283 Subpart N -- Landfills
Source: 47 FR 32365, July 26, 1982, unless otherwise noted.
40 CFR 264.300 Applicability.
The regulations in this subpart apply to owners and operators of
facilities that dispose of hazardous waste in landfills, except as
264.1 provides otherwise.
40 CFR 264.301 Design and operating requirements.
(a) Any landfill that is not covered by paragraph (c) of this section
or 265.301(a) of this chapter must have a liner system for all portions
of the landfill (except for existing portions of such landfill). The
liner system must have:
(1) A liner that is designed, constructed, and installed to prevent
any migration of wastes out of the landfill to the adjacent subsurface
soil or ground water or surface water at anytime during the active life
(including the closure period) of the landfill. The liner must be
constructed of materials that prevent wastes from passing into the liner
during the active life of the facility. The liner must be:
(i) Constructed of materials that have appropriate chemical
properties and sufficient strength and thickness to prevent failure due
to pressure gradients (including static head and external hydrogeologic
forces), physical contact with the waste or leachate to which they are
exposed, climatic conditions, the stress of installation, and the stress
of daily operation;
(ii) Placed upon a foundation or base capable of providing support to
the liner and resistance to pressure gradients above and below the liner
to prevent failure of the liner due to settlement, compression, or
uplift; and
(iii) Installed to cover all surrounding earth likely to be in
contact with the waste or leachate; and
(2) A leachate collection and removal system immediately above the
liner that is designed, constructed, maintained, and operated to collect
and remove leachate from the landfill. The Regional Administrator will
specify design and operating conditions in the permit to ensure that the
leachate depth over the liner does not exceed 30 cm (one foot). The
leachate collection and removal system must be:
(i) Constructed of materials that are:
(A) Chemically resistant to the waste managed in the landfill and the
leachate expected to be generated; and
(B) Of sufficient strength and thickness to prevent collapse under
the pressures exerted by overlying wastes, waste cover materials, and by
any equipment used at the landfill; and
(ii) Designed and operated to function without clogging through the
scheduled closure of the landfill.
(b) The owner or operator will be exempted from the requirements of
paragraph (a) of this section if the Regional Administrator finds, based
on a demonstration by the owner or operator, that alternative design and
operating practices, together with location characteristics, will
prevent the migration of any hazardous constituents (see 264.93) into
the ground water or surface water at any future time. In deciding
whether to grant an exemption, the Regional Administrator will consider:
(1) The nature and quantity of the wastes;
(2) The proposed alternate design and operation;
(3) The hydrogeologic setting of the facility, including the
attenuative capacity and thickness of the liners and soils present
between the landfill and ground water or surface water; and
(4) All other factors which would influence the quality and mobility
of the leachate produced and the potential for it to migrate to ground
water or surface water.
(c) The owner or operator of each new landfill unit on which
construction commences after January 29, 1992, each lateral expansion of
a landfill unit on which construction commences after July 29, 1992, and
each replacement of an existing landfill unit that is to commence reuse
after July 29, 1992 must install two or more liners and a leachate
collection and removal system above and between such liners.
''Construction commences'' is as defined in 260.10 of this chapter
under ''existing facility''.
(1)(i) The liner system must include:
(A) A top liner designed and constructed of materials (e.g., a
geomembrane) to prevent the migration of hazardous constituents into
such liner during the active life and post-closure care period; and
(B) A composite bottom liner, consisting of at least two components.
The upper component must be designed and constructed of materials (e.g.,
a geomembrane) to prevent the migration of hazardous constituents into
this component during the active life and post-closure care period. The
lower component must be designed and constructed of materials to
minimize the migration of hazardous constituents if a breach in the
upper component were to occur. The lower component must be constructed
of at least 3 feet (91 cm) of compacted soil material with a hydraulic
conductivity of no more than 1 10^7 cm/sec.
(ii) The liners must comply with paragraphs (a)(1) (i), (ii), and
(iii) of this section.
(2) The leachate collection and removal system immediately above the
top liner must be designed, constructed, operated, and maintained to
collect and remove leachate from the landfill during the active life and
post-closure care period. The Regional Administrator will specify
design and operating conditions in the permit to ensure that the
leachate depth over the liner does not exceed 30 cm (one foot). The
leachate collection and removal system must comply with paragraphs
(3)(c) (iii) and (iv) of this section.
(3) The leachate collection and removal system between the liners,
and immediately above the bottom composite liner in the case of multiple
leachate collection and removal systems, is also a leak detection
system. This leak detection system must be capable of detecting,
collecting, and removing leaks of hazardous constituents at the earliest
practicable time through all areas of the top liner likely to be exposed
to waste or leachate during the active life and post-closure care
period. The requirements for a leak detection system in this paragraph
are satisfied by installation of a system that is, at a minimum:
(i) Constructed with a bottom slope of one percent or more;
(ii) Constructed of granular drainage materials with a hydraulic
conductivity of 1 10^2 cm/sec or more and a thickness of 12 inches (30.5
cm) or more; or constructed of synthetic or geonet drainage materials
with a transmissivity of 3 10^5 m2/sec or more;
(iii) Constructed of materials that are chemically resistant to the
waste managed in the landfill and the leachate expected to be generated,
and of sufficient strength and thickness to prevent collapse under the
pressures exerted by overlying wastes, waste cover materials, and
equipment used at the landfill;
(iv) Designed and operated to minimize clogging during the active
life and post-closure care period; and
(v) Constructed with sumps and liquid removal methods (e.g., pumps)
of sufficient size to collect and remove liquids from the sump and
prevent liquids from backing up into the drainage layer. Each unit must
have its own sump(s). The design of each sump and removal system must
provide a method for measuring and recording the volume of liquids
present in the sump and of liquids removed.
(4) The owner or operator shall collect and remove pumpable liquids
in the leak detection system sumps to minimize the head on the bottom
liner.
(5) The owner or operator of a leak detection system that is not
located completely above the seasonal high water table must demonstrate
that the operation of the leak detection system will not be adversely
affected by the presence of ground water.
(d) The Regional Administrator may approve alternative design or
operating practices to those specified in paragraph (c) of this section
if the owner or operator demonstrates to the Regional Administrator that
such design and operating practices, together with location
characteristics:
(1) Will prevent the migration of any hazardous constituent into the
ground water or surface water at least as effectively as the liners and
leachate collection and removal systems specified in paragraph (c) of
this section; and
(2) Will allow detection of leaks of hazardous constituents through
the top liner at least as effectively.
(e) The double liner requirement set forth in paragraph (c) of this
section may be waived by the Regional Administrator for any monofill,
if:
(1) The monofill contains only hazardous wastes from foundry furnace
emission controls or metal casting molding sand, and such wastes do not
contain constituents which would render the wastes hazardous for reasons
other than the Toxicity Characteristic in 261.24 of this chapter, with
EPA Hazardous Waste Numbers D004 through D017; and
(2)(i)(A) The monofill has at least one liner for which there is no
evidence that such liner is leaking;
(B) The monofill is located more than one-quarter mile from an
underground source of drinking water (as that term is defined in 144.3
of this chapter); and
(C) The monofill is in compliance with generally applicable
ground-water monitoring requirements for facilities with permits under
RCRA 3005(c); or
(ii) The owner or operator demonstrates that the monofill is located,
designed and operated so as to assure that there will be no migration of
any hazardous constituent into ground water or surface water at any
future time.
(f) The owner or operator of any replacement landfill unit is exempt
from paragraph (c) of this section if:
(1) The existing unit was constructed in compliance with the design
standards of section 3004(o)(1)(A)(i) and (o)(5) of the Resource
Conservation and Recovery Act; and
(2) There is no reason to believe that the liner is not functioning
as designed.
(g) The owner or operator must design, construct, operate, and
maintain a run-on control system capable of preventing flow onto the
active portion of the landfill during peak discharge from at least a
25-year storm.
(h) The owner or operator must design, construct, operate, and
maintain a run-off management system to collect and control at least the
water volume resulting from a 24-hour, 25-year storm.
(i) Collection and holding facilities (e.g., tanks or basins)
associated with run-on and run-off control systems must be emptied or
otherwise managed expeditiously after storms to maintain design capacity
of the system.
(j) If the landfill contains any particulate matter which may be
subject to wind dispersal, the owner or operator must cover or otherwise
manage the landfill to control wind dispersal.
(k) The Regional Administrator will specify in the permit all design
and operating practices that are necessary to ensure that the
requirements of this section are satisfied.
(l) Any permit under RCRA 3005(c) which is issued for a landfill
located within the State of Alabama shall require the installation of
two or more liners and a leachate collection system above and between
such liners, notwithstanding any other provision of RCRA.
(Approved by the Office of Management and Budget under control number
2050-0007)
(47 FR 32365, July 26, 1982, as amended at 50 FR 4514, Jan. 31, 1985;
50 FR 28748, July 15, 1985; 55 FR 11875, Mar. 29, 1990; 57 FR 3489,
Jan. 29, 1992)
Effective Date Note: At 57 FR 3489, Jan. 29, 1992 264.301 was
amended by redesignating paragraphs (f) through (k) as (g) through (l),
by revising paragraphs (c) and (d), and by adding new paragraph (f),
effective July 29, 1992. For the convenience of the reader, the
superseded text is set forth below.
264.301 Monitoring and inspection.
(c) The owner or operator of each new landfill, each new landfill
unit at an existing facility, each replacement of an existing landfill
unit, and each lateral expansion of an existing landfill unit, must
install two or more liners and a leachate collection system above and
between the liners. The liners and leachate collection systems must
protect human health and the environment. The requirements of this
paragraph shall apply with respect to all waste received after issuance
of the permit for units where the part B of the permit application is
received by the Regional Administrator after November 8, 1984. The
requirement for the installation of two or more liners in this paragraph
may be satisfied by the installation of a top liner designed, operated,
and constructed of materials to prevent the migration of any constituent
into such liner during the period such facility remains in operation
(including any post-closure monitoring period), and a lower liner
designed, operated, and constructed to prevent the migration of any
constituent through such liner during such period. For the purpose of
the preceding sentence, a lower liner shall be deemed to satisfy such
requirement if it is constructed of at least a 3-foot thick layer of
recompacted clay or other natural material with a permeability of no
more than 1 10^ /7/ centimeter per second.
(d) Paragraph (c) of this section will not apply if the owner or
operator demonstrates to the Regional Administrator, and the Regional
Administrator finds for such landfill, that alternative design and
operating practices, together with location characteristics, will
prevent the migration of any hazardous constituent into the ground water
or surface water at least as effectively as such liners and leachate
collection systems.
40 CFR 264.302 Action leakage rate.
(a) The Regional Administrator shall approve an action leakage rate
for surface impoundment units subject to 264.301(c) or (d). The action
leakage rate is the maximum design flow rate that the leak detection
system (LDS) can remove without the fluid head on the bottom liner
exceeding l foot. The action leakage rate must include an adequate
safety margin to allow for uncertainties in the design (e.g., slope,
hydraulic conductivity, thickness of drainage material), construction,
operation, and location of the LDS, waste and leachate characteristics,
likelihood and amounts of other sources of liquids in the LDS, and
proposed response actions (e.g., the action leakage rate must consider
decreases in the flow capacity of the system over time resulting from
siltation and clogging, rib layover and creep of synthetic components of
the system, overburden pressures, etc.).
(b) To determine if the action leakage rate has been exceeded, the
owner or operator must convert the weekly or monthly flow rate from the
monitoring data obtained under 264.303(c), to an average daily flow
rate (gallons per acre per day) for each sump. Unless the Regional
Administrator approves a different calculation, the average daily flow
rate for each sump must be calculated weekly during the active life and
closure period, and monthly during the post-closure care period when
monthly monitoring is required under 264.303(c).
(57 FR 3490, Jan. 29, 1992)
Effective Date Note: At 57 FR 3490, Jan. 29, 1992 264.302 was
added effective July 29, 1992.
40 CFR 264.303 Monitoring and inspection.
(a) During construction or installation, liners (except in the case
of existing portions of landfills exempt from 264.301(a)) and cover
systems (e.g., membranes, sheets, or coatings) must be inspected for
uniformity, damage, and imperfections (e.g., holes, cracks, thin spots,
or foreign materials). Immediately after construction or installation:
(1) Synthetic liners and covers must be inspected to ensure tight
seams and joints and the absence of tears, punctures, or blisters; and
(2) Soil-based and admixed liners and covers must be inspected for
imperfections including lenses, cracks, channels, root holes, or other
structural non-uniformities that may cause an increase in the
permeability of the liner or cover.
(b) While a landfill is in operation, it must be inspected weekly and
after storms to detect evidence of any of the following:
(1) Deterioration, malfunctions, or improper operation of run-on and
run-off control systems;
(2) Proper functioning of wind dispersal control systems, where
present; and
(3) The presence of leachate in and proper functioning of leachate
collection and removal systems, where present.
(c)(1) An owner or operator required to have a leak detection system
under 264.301(c) or (d) must record the amount of liquids removed from
each leak detection system sump at least once each week during the
active life and closure period.
(2) After the final cover is installed, the amount of liquids removed
from each leak detection system sump must be recorded at least monthly.
If the liquid level in the sump stays below the pump operating level for
two consecutive months, the amount of liquids in the sumps must be
recorded at least quarterly. If the liquid level in the sump stays
below the pump operating level for two consecutive quarters, the amount
of liquids in the sumps must be recorded at least semi-annually. If at
any time during the post-closure care period the pump operating level is
exceeded at units on quarterly or semi-annual recording schedules, the
owner or operator must return to monthly recording of amounts of liquids
removed from each sump until the liquid level again stays below the pump
operating level for two consecutive months.
(3) ''Pump operating level'' is a liquid level proposed by the owner
or operator and approved by the Regional Administrator based on pump
activation level, sump dimensions, and level that avoids backup into the
drainage layer and minimizes head in the sump.
(47 FR 32365, July 26, 1982, as amended at 50 FR 28748, July 15,
1985; 57 FR 3490, Jan. 29, 1992)
Effective Date Note: At 57 FR 3490, Jan. 29, 1992, 264.303 was
amended by adding paragraph (c), effective July 29, 1992.
40 CFR 264.304 Response actions.
(a) The owner or operator of landfill units subject to 264.301(c) or
(d) must have an approved response action plan before receipt of waste.
The response action plan must set forth the actions to be taken if the
action leakage rate has been exceeded. At a minimum, the response
action plan must describe the actions specified in paragraph (b) of this
section.
(b) If the flow rate into the leak detection system exceeds the
action leakage rate for any sump, the owner or operator must:
(1) Notify the Regional Administrator in writing of the exceedence
within 7 days of the determination;
(2) Submit a preliminary written assessment to the Regional
Administrator within 14 days of the determination, as to the amount of
liquids, likely sources of liquids, possible location, size, and cause
of any leaks, and short-term actions taken and planned;
(3) Determine to the extent practicable the location, size, and cause
of any leak;
(4) Determine whether waste receipt should cease or be curtailed,
whether any waste should be removed from the unit for inspection,
repairs, or controls, and whether or not the unit should be closed;
(5) Determine any other short-term and longer-term actions to be
taken to mitigate or stop any leaks; and
(6) Within 30 days after the notification that the action leakage
rate has been exceeded, submit to the Regional Administrator the results
of the analyses specified in paragraphs (b)(3), (4), and (5) of this
section, the results of actions taken, and actions planned. Monthly
thereafter, as long as the flow rate in the leak detection system
exceeds the action leakage rate, the owner or operator must submit to
the Regional Administrator a report summarizing the results of any
remedial actions taken and actions planned.
(c) To make the leak and/or remediation determinations in paragraphs
(b)(3), (4), and (5) of this section, the owner or operator must:
(1)(i) Assess the source of liquids and amounts of liquids by source,
(ii) Conduct a fingerprint, hazardous constituent, or other analyses
of the liquids in the leak detection system to identify the source of
liquids and possible location of any leaks, and the hazard and mobility
of the liquid; and
(iii) Assess the seriousness of any leaks in terms of potential for
escaping into the environment; or
(2) Document why such assessments are not needed.
(57 FR 3491, Jan. 29, 1992)
Effective Date Note: At 57 FR 3491, Jan. 29, 1992, 264.304 was
added effective July 29, 1992.
264.305 -- 264.308 (Reserved)
40 CFR 264.309 Surveying and recordkeeping.
The owner or operator of a landfill must maintain the following items
in the operating record required under 264.73:
(a) On a map, the exact location and dimensions, including depth, of
each cell with respect to permanently surveyed benchmarks; and
(b) The contents of each cell and the approximate location of each
hazardous waste type within each cell.
(Approved by the Office of Management and Budget under control number
2050-0007)
(47 FR 32365, July 26, 1982, as amended at 50 FR 4514, Jan. 31, 1985)
40 CFR 264.310 Closure and post-closure care.
(a) At final closure of the landfill or upon closure of any cell, the
owner or operator must cover the landfill or cell with a final cover
designed and constructed to:
(1) Provide long-term minimization of migration of liquids through
the closed landfill;
(2) Function with minimum maintenance;
(3) Promote drainage and minimize erosion or abrasion of the cover;
(4) Accommodate settling and subsidence so that the cover's integrity
is maintained; and
(5) Have a permeability less than or equal to the permeability of any
bottom liner system or natural subsoils present.
(b) After final closure, the owner or operator must comply with all
post-closure requirements contained in 264.117 through 264.120,
including maintenance and monitoring throughout the post-closure care
period (specified in the permit under 264.117). The owner or operator
must:
(1) Maintain the integrity and effectiveness of the final cover,
including making repairs to the cap as necessary to correct the effects
of settling, subsidence, erosion, or other events;
(2) Continue to operate the leachate collection and removal system
until leachate is no longer detected;
(3) Maintain and monitor the leak detection system in accordance with
264.301(c)(3)(iv) and (4) and 264.303(c), and comply with all other
applicable leak detection system requirements of this part;
(4) Maintain and monitor the ground-water monitoring system and
comply with all other applicable requirements of subpart F of this part;
(5) Prevent run-on and run-off from eroding or otherwise damaging the
final cover; and
(6) Protect and maintain surveyed benchmarks used in complying with
264.309.
(47 FR 32365, July 26, 1982, as amended at 50 FR 28748, July 15,
1985; 57 FR 3491, Jan. 29, 1992)
Effective Date Note: At 57 FR 3491, Jan. 29, 1992, 264.310 was
amended by redesignating paragraphs (b)(3), (4), and (5) as paragraphs
(b)(4), (5), and (6) respectively, and by adding a new paragraph (b)(3)
effective July 29, 1992.
264.311 (Reserved)
40 CFR 264.312 Special requirements for ignitable or reactive waste.
(a) Except as provided in paragraph (b) of this section, and in
264.316, ignitable or reactive waste must not be placed in a landfill,
unless the waste and landfill meet all applicable requirements of part
268, and:
(1) The resulting waste, mixture, or dissolution of material no
longer meets the definition of ignitable or reactive waste under 261.21
or 261.23 of this chapter; and
(2) Section 264.17(b) is complied with.
(b) Except for prohibited wastes which remain subject to treatment
standards in subpart D of part 268, ignitable wastes in containers may
be landfilled without meeting the requirements of paragraph (a) of this
section, provided that the wastes are disposed of in such a way that
they are protected from any material or conditions which may cause them
to ignite. At a minimum, ignitable wastes must be disposed of in
non-leaking containers which are carefully handled and placed so as to
avoid heat, sparks, rupture, or any other condition that might cause
ignition of the wastes; must be covered daily with soil or other
non-combustible material to minimize the potential for ignition of the
wastes; and must not be disposed of in cells that contain or will
contain other wastes which may generate heat sufficient to cause
ignition of the waste.
(47 FR 32365, July 26, 1982, as amended at 55 FR 22685, June 1, 1990)
40 CFR 264.313 Special requirements for incompatible wastes.
Incompatible wastes, or incompatible wastes and materials, (see
appendix V of this part for examples) must not be placed in the same
landfill cell, unless 264.17(b) is complied with.
40 CFR 264.314 Special requirements for bulk and containerized liquids.
(a) Bulk or non-containerized liquid waste or waste containing free
liquids may be placed in a landfill prior to May 8, 1985 only if:
(1) The landfill has a liner and leachate collection and removal
system that meet the requirements of 264.301(a); or
(2) Before disposal, the liquid waste or waste containing free
liquids is treated or stabilized, chemically or physically (e.g., by
mixing with an absorbent solid), so that free liquids are no longer
present.
(b) Effective May 8, 1985, the placement of bulk or non-containerized
liquid hazardous waste or hazardous waste containing free liquids
(whether or not absorbents have been added) in any landfill is
prohibited.
(c) To demonstrate the absence or presence of free liquids in either
a containerized or a bulk waste, the following test must be used:
Method 9095 (Paint Filter Liquids Test) as described in ''Test Methods
for Evaluating Solid Wastes, Physical/Chemical Methods.'' (EPA
Publication No. SW-846).
(d) Containers holding free liquids must not be placed in a landfill
unless:
(1) All free-standing liquid: (i) has been removed by decanting, or
other methods; (ii) has been mixed with absorbent or solidified so that
free-standing liquid is no longer observed; or (iii) has been otherwise
eliminated; or
(2) The container is very small, such as an ampule; or
(3) The container is designed to hold free liquids for use other than
storage, such as a battery or capacitor; or
(4) The container is a lab pack as defined in 264.316 and is
disposed of in accordance with 264.316.
(e) Effective November 8, 1985, the placement of any liquid which is
not a hazardous waste in a landfill is prohibited unless the owner or
operator of such landfill demonstrates to the Regional Administrator, or
the Regional Administrator determines, that:
(1) The only reasonably available alternative to the placement in
such landfill is placement in a landfill or unlined surface impoundment,
whether or not permitted or operating under interim status, which
contains, or may reasonably be anticipated to contain, hazardous waste;
and
(2) Placement in such owner or operator's landfill will not present a
risk of contamination of any underground source of drinking water (as
that term is defined in 144.3 of this chapter.)
(Approved by the Office of Management and Budget under control number
2050-0037)
(47 FR 32365, July 26, 1982, as amended at 50 FR 18374, Apr. 30,
1985; 50 FR 28748, July 15, 1985)
40 CFR 264.315 Special requirements for containers.
Unless they are very small, such as an ampule, containers must be
either:
(a) At least 90 percent full when placed in the landfill; or
(b) Crushed, shredded, or similarly reduced in volume to the maximum
practical extent before burial in the landfill.
40 CFR 264.316 Disposal of small containers of hazardous waste in
overpacked drums (lab packs).
Small containers of hazardous waste in overpacked drums (lab packs)
may be placed in a landfill if the following requirements are met:
(a) Hazardous waste must be packaged in non-leaking inside
containers. The inside containers must be of a design and constructed
of a material that will not react dangerously with, be decomposed by, or
be ignited by the contained waste. Inside containers must be tightly
and securely sealed. The inside containers must be of the size and type
specified in the Department of Transportation (DOT) hazardous materials
regulations (49 CFR parts 173, 178, and 179), if those regulations
specify a particular inside container for the waste.
(b) The inside containers must be overpacked in an open head
DOT-specification metal shipping container (49 CFR parts 178 and 179) of
no more than 416-liter (110 gallon) capacity and surrounded by, at a
minimum, a sufficient quantity of absorbent material to completely
absorb all of the liquid contents of the inside containers. The metal
outer container must be full after packing with inside containers and
absorbent material.
(c) The absorbent material used must not be capable of reacting
dangerously with, being decomposed by, or being ignited by the contents
of the inside containers in accordance with 264.17(b).
(d) Incompatible wastes, as defined in 260.10 of this chapter, must
not be placed in the same outside container.
(e) Reactive wastes, other than cyanide- or sulfide-bearing waste as
defined in 261.23(a)(5) of this chapter, must be treated or rendered
non-reactive prior to packaging in accordance with paragraphs (a)
through (d) of this section. Cyanide- and sulfide-bearing reactive
waste may be packed in accordance with paragraphs (a) through (d) of
this section without first being treated or rendered non-reactive.
(f) Such disposal is in compliance with the requirements of part 268.
Persons who incinerate lab packs according to the requirements in 40
CFR 268.42(c)(1) may use fiber drums in place of metal outer containers.
Such fiber drums must meet the DOT specifications in 49 CFR 173.12 and
be overpacked according to the requirements in paragraph (b) of this
section.
(47 FR 32365, July 26, 1982, as amended at 55 FR 22685, June 1, 1990)
40 CFR 264.317 Special requirements for hazardous wastes FO20, FO21,
FO22, FO23, FO26, and FO27.
(a) Hazardous Wastes FO20, FO21, FO22, FO23, FO26, and FO27 must not
be placed in a landfills unless the owner or operator operates the
landfill in accord with a management plan for these wastes that is
approved by the Regional Administrator pursuant to the standards set out
in this paragraph, and in accord with all other applicable requirements
of this part. The factors to be considered are:
(1) The volume, physical, and chemical characteristics of the wastes,
including their potential to migrate through the soil or to volatilize
or escape into the atmosphere;
(2) The attenuative properties of underlying and surrounding soils or
other materials;
(3) The mobilizing properties of other materials co-disposed with
these wastes; and
(4) The effectiveness of additional treatment, design, or monitoring
requirements.
(b) The Regional Administrator may determine that additional design,
operating, and monitoring requirements are necessary for landfills
managing hazardous wastes FO20, FO21, FO22, FO23, FO26, and FO27 in
order to reduce the possibility of migration of these wastes to ground
water, surface water, or air so as to protect human health and the
environment.
(50 FR 2004, Jan. 14, 1985)
40 CFR 264.317 Subpart O -- Incinerators
40 CFR 264.340 Applicability.
(a) The regulations of this subpart apply to owners and operators of
hazardous waste incinerators (as defined in 260.10 of this chapter),
except as 264.1 provides otherwise.
(b) After consideration of the waste analysis included with part B of
the permit application, the Regional Administrator, in establishing the
permit conditions, must exempt the applicant from all requirements of
this subpart except 264.341 (Waste analysis) and 264.351 (Closure),
(1) If the Regional Administrator finds that the waste to be burned
is:
(i) Listed as a hazardous waste in part 261, subpart D, of this
chapter solely because it is ignitable (Hazard Code I), corrosive
(Hazard Code C), or both; or
(ii) Listed as a hazardous waste in part 261, subpart D, of this
chapter solely because it is reactive (Hazard Code R) for
characteristics other than those listed in 261.23(a) (4) and (5), and
will not be burned when other hazardous wastes are present in the
combustion zone; or
(iii) A hazardous waste solely because it possesses the
characteristic of ignitability, corrosivity, or both, as determined by
the test for characteristics of hazardous wastes under part 261, subpart
C, of this chapter; or
(iv) A hazardous waste solely because it possesses any of the
reactivity characteristics described by 261.23(a) (1), (2), (3), (6),
(7), and (8) of this chapter, and will not be burned when other
hazardous wastes are present in the combustion zone; and
(2) If the waste analysis shows that the waste contains none of the
hazardous constituents listed in part 261, appendix VIII, of this
chapter, which would reasonably be expected to be in the waste.
(c) If the waste to be burned is one which is described by paragraphs
(b)(1)(i), (ii), (iii), or (iv) of this section and contains
insignificant concentrations of the hazardous constituents listed in
part 261, appendix VIII, of this chapter, then the Regional
Administrator may, in establishing permit conditions, exempt the
applicant from all requirements of this subpart, except 264.341 (Waste
analysis) and 264.351 (Closure), after consideration of the waste
analysis included with part B of the permit application, unless the
Regional Administrator finds that the waste will pose a threat to human
health and the environment when burned in an incinerator.
(d) The owner or operator of an incinerator may conduct trial burns
subject only to the requirements of 270.62 of this chapter (Short term
and incinerator permits).
(46 FR 7678, Jan. 23, 1981, as amended at 47 FR 27532, June 24, 1982;
48 FR 14295, Apr. 1, 1983; 50 FR 665, Jan. 4, 1985; 50 FR 49203, Nov.
29, 1985; 56 FR 7207, Feb. 21, 1991)
40 CFR 264.341 Waste analysis.
(a) As a portion of the trial burn plan required by 270.62 of this
chapter, or with part B of the permit application, the owner or operator
must have included an analysis of the waste feed sufficient to provide
all information required by 270.62(b) or 270.19 of this chapter.
Owners or operators of new hazardous waste incinerators must provide the
information required by 270.62(c) or 270.19 of this chapter to the
greatest extent possible.
(b) Throughout normal operation the owner or operator must conduct
sufficient waste analysis to verify that waste feed to the incinerator
is within the physical and chemical composition limits specified in his
permit (under 264.345(b)).
(Approved by the Office of Management and Budget under control number
2050-0002)
(46 FR 7678, Jan. 23, 1981, as amended at 47 FR 27532, June 24, 1982;
48 FR 14295, Apr. 1, 1983; 48 FR 30115, June 30, 1983; 50 FR 4514,
Jan. 31, 1985)
40 CFR 264.342 Principal organic hazardous constituents (POHCs).
(a) Principal Organic Hazardous Constituents (POHCs) in the waste
feed must be treated to the extent required by the performance standard
of 264.343.
(b)(1) One or more POHCs will be specified in the facility's permit,
from among those constituents listed in part 261, appendix VIII of this
chapter, for each waste feed to be burned. This specification will be
based on the degree of difficulty of incineration of the organic
constituents in the waste and on their concentration or mass in the
waste feed, considering the results of waste analyses and trial burns or
alternative data submitted with part B of the facility's permit
application. Organic constituents which represent the greatest degree
of difficulty of incineration will be those most likely to be designated
as POHCs. Constituents are more likely to be designated as POHCs if
they are present in large quantities or concentrations in the waste.
(2) Trial POHCs will be designated for performance of trial burns in
accordance with the procedure specified in 270.62 of this chapter for
obtaining trial burn permits.
(46 FR 7678, Jan. 23, 1981, as amended at 48 FR 14295, Apr. 1, 1983)
40 CFR 264.343 Performance standards.
An incinerator burning hazardous waste must be designed, constructed,
and maintained so that, when operated in accordance with operating
requirements specified under 264.345, it will meet the following
performance standards:
(a)(1) Except as provided in paragraph (a)(2) of this section, an
incinerator burning hazardous waste must achieve a destruction and
removal efficiency (DRE) of 99.99% for each principal organic hazardous
constituent (POHC) designated (under 264.342) in its permit for each
waste feed. DRE is determined for each POHC from the following
equation:
where:
Win=mass feed rate of one principal organic hazardous constituent
(POHC) in the waste stream feeding the incinerator
and
Wout=mass emission rate of the same POHC present in exhaust emissions
prior to release to the atmosphere.
(2) An incinerator burning hazardous wastes FO20, FO21, FO22, FO23,
FO26, or FO27 must achieve a destruction and removal efficiency (DRE) of
99.9999% for each principal organic hazardous constituent (POHC)
designated (under 264.342) in its permit. This performance must be
demonstrated on POHCs that are more difficult to incinerate than tetra-,
penta-, and hexachlorodibenzo-p-dioxins and dibenzofurans. DRE is
determined for each POHC from the equation in 264.343(a)(1). In
addition, the owner or operator of the incinerator must notify the
Regional Administrator of his intent to incinerate hazardous wastes
FO20, FO21, FO22, FO23, FO26, or FO27.
(b) An incinerator burning hazardous waste and producing stack
emissions of more than 1.8 kilograms per hour (4 pounds per hour) of
hydrogen chloride (HCl) must control HCl emissions such that the rate of
emission is no greater than the larger of either 1.8 kilograms per hour
or 1% of the HCl in the stack gas prior to entering any pollution
control equipment.
(c) An incinerator burning hazardous waste must not emit particulate
matter in excess of 180 milligrams per dry standard cubic meter (0.08
grains per dry standard cubic foot) when corrected for the amount of
oxygen in the stack gas according to the formula:
Where Pc is the corrected concentration of particulate matter, Pm is
the measured concentration of particulate matter, and Y is the measured
concentration of oxygen in the stack gas, using the Orsat method for
oxygen analysis of dry flue gas, presented in part 60, appendix A
(Method 3), of this chapter. This correction procedure is to be used by
all hazardous waste incinerators except those operating under conditions
of oxygen enrichment. For these facilities, the Regional Administrator
will select an appropriate correction procedure, to be specified in the
facility permit.
(d) For purposes of permit enforcement, compliance with the operating
requirements specified in the permit (under 264.345) will be regarded
as compliance with this section. However, evidence that compliance with
those permit conditions is insufficient to ensure compliance with the
performance requirements of this section may be ''information''
justifying modification, revocation, or reissuance of a permit under
270.41 of this chapter.
(46 FR 7678, Jan. 23, 1981, as amended at 47 FR 27532, June 24, 1982;
48 FR 14295, Apr. 1, 1983; 50 FR 2005, Jan. 14, 1985)
40 CFR 264.344 Hazardous waste incinerator permits.
(a) The owner or operator of a hazardous waste incinerator may burn
only wastes specified in his permit and only under operating conditions
specified for those wastes under 264.345, except:
(1) In approved trial burns under 270.62 of this chapter; or
(2) Under exemptions created by 264.340.
(b) Other hazardous wastes may be burned only after operating
conditions have been specified in a new permit or a permit modification
as applicable. Operating requirements for new wastes may be be based on
either trial burn results or alternative data included with part B of a
permit application under 270.19 of this chapter.
(c) The permit for a new hazardous waste incinerator must establish
appropriate conditions for each of the applicable requirements of this
subpart, including but not limited to allowable waste feeds and
operating conditions necessary to meet the requirements of 264.345,
sufficient to comply with the following standards:
(1) For the period beginning with initial introduction of hazardous
waste to the incinerator and ending with initiation of the trial burn,
and only for the minimum time required to establish operating conditions
required in paragraph (c)(2) of this section, not to exceed a duration
of 720 hours operating time for treatment of hazardous waste, the
operating requirements must be those most likely to ensure compliance
with the performance standards of 264.343, based on the Regional
Administrator's engineering judgment. The Regional Administrator may
extend the duration of this period once for up to 720 additional hours
when good cause for the extension is demonstrated by the applicant.
(2) For the duration of the trial burn, the operating requirements
must be sufficient to demonstrate compliance with the performance
standards of 264.343 and must be in accordance with the approved trial
burn plan;
(3) For the period immediately following completion of the trial
burn, and only for the minimum period sufficient to allow sample
analysis, data computation, and submission of the trial burn results by
the applicant, and review of the trial burn results and modification of
the facility permit by the Regional Administrator, the operating
requirements must be those most likely to ensure compliance with the
performance standards of 264.343, based on the Regional Administrator's
engineering judgement.
(4) For the remaining duration of the permit, the operating
requirements must be those demonstrated, in a trial burn or by
alternative data specified in 270.19(c) of this chapter, as sufficient
to ensure compliance with the performance standards of 264.343.
(Approved by the Office of Management and Budget under control number
2050-0002)
(46 FR 7678, Jan. 23, 1981, as amended at 47 FR 27532, June 24, 1982;
48 FR 14295, Apr. 1, 1983; 50 FR 4514, Jan. 31, 1985)
40 CFR 264.345 Operating requirements.
(a) An incinerator must be operated in accordance with operating
requirements specified in the permit. These will be specified on a
case-by-case basis as those demonstrated (in a trial burn or in
alternative data as specified in 264.344(b) and included with part B of
a facility's permit application) to be sufficient to comply with the
performance standards of 264.343.
(b) Each set of operating requirements will specify the composition
of the waste feed (including acceptable variations in the physical or
chemical properties of the waste feed which will not affect compliance
with the performance requirement of 264.343) to which the operating
requirements apply. For each such waste feed, the permit will specify
acceptable operating limits including the following conditions:
(1) Carbon monoxide (CO) level in the stack exhaust gas;
(2) Waste feed rate;
(3) Combustion temperature;
(4) An appropriate indicator of combustion gas velocity;
(5) Allowable variations in incinerator system design or operating
procedures; and
(6) Such other operating requirements as are necessary to ensure that
the performance standards of 264.343 are met.
(c) During start-up and shut-down of an incinerator, hazardous waste
(except wastes exempted in accordance with 264.340) must not be fed
into the incinerator unless the incinerator is operating within the
conditions of operation (temperature, air feed rate, etc.) specified in
the permit.
(d) Fugitive emissions from the combustion zone must be controlled
by:
(1) Keeping the combustion zone totally sealed against fugitive
emissions; or
(2) Maintaining a combustion zone pressure lower than atmospheric
pressure; or
(3) An alternate means of control demonstrated (with part B of the
permit application) to provide fugitive emissions control equivalent to
maintenance of combustion zone pressure lower than atmospheric pressure.
(e) An incinerator must be operated with a functioning system to
automatically cut off waste feed to the incinerator when operating
conditions deviate from limits established under paragraph (a) of this
section.
(f) An incinerator must cease operation when changes in waste feed,
incinerator design, or operating conditions exceed limits designated in
its permit.
(Approved by the Office of Management and Budget under control number
2050-0002)
(46 FR 7678, Jan. 23, 1981, as amended at 47 FR 27532, June 24, 1982;
50 FR 4514, Jan. 31, 1985)
264.346 (Reserved)
40 CFR 264.347 Monitoring and inspections.
(a) The owner or operator must conduct, as a minimum, the following
monitoring while incinerating hazardous waste:
(1) Combustion temperature, waste feed rate, and the indicator of
combustion gas velocity specified in the facility permit must be
monitored on a continuous basis.
(2) CO must be monitored on a continuous basis at a point in the
incinerator downstream of the combustion zone and prior to release to
the atmosphere.
(3) Upon request by the Regional Administrator, sampling and analysis
of the waste and exhaust emissions must be conducted to verify that the
operating requirements established in the permit achieve the performance
standards of 264.343.
(b) The incinerator and associated equipment (pumps, valves,
conveyors, pipes, etc.) must be subjected to thorough visual inspection,
at least daily, for leaks, spills, fugitive emissions, and signs of
tampering.
(c) The emergency waste feed cutoff system and associated alarms must
be tested at least weekly to verify operability, unless the applicant
demonstrates to the Regional Administrator that weekly inspections will
unduly restrict or upset operations and that less frequent inspection
will be adequate. At a minimum, operational testing must be conducted
at least monthly.
(d) This monitoring and inspection data must be recorded and the
records must be placed in the operating log required by 264.73.
(Approved by the Office of Management and Budget under control number
2050-0002)
(46 FR 7678, Jan. 23, 1981, as amended at 47 FR 27533, June 24, 1982;
50 FR 4514, Jan. 31, 1985)
264.348 -- 264.350 (Reserved)
40 CFR 264.351 Closure.
At closure the owner or operator must remove all hazardous waste and
hazardous waste residues (including, but not limited to, ash, scrubber
waters, and scrubber sludges) from the incinerator site.
(Comment: At closure, as throughout the operating period, unless the
owner or operator can demonstrate, in accordance with 261.3(d) of this
chapter, that the residue removed from the incinerator is not a
hazardous waste, the owner or operator becomes a generator of hazardous
waste and must manage it in accordance with applicable requirements of
parts 262 through 266 of this chapter.)
(46 FR 7678, Jan. 23, 1981)
40 CFR 264.351 Subparts P-V (Reserved)
40 CFR 264.351 Subpart W -- Drip Pads
Source: 56 FR 30196, July 1, 1991, unless otherwise noted.
40 CFR 264.570 Applicability.
(a) The requirements of this subpart apply to owners and operators of
facilities that use new or existing drip pads to convey treated wood
drippage, precipitation, and/or surface water run-on to an associated
collection system. Existing drip pads are those constructed before
December 6, 1990 and those for which the owner or operator has a design
and has entered into binding financial or other agreements for
construction prior to December 6, 1990. All other drip pads are new
drip pads.
(b) The owner or operator of any drip pad that is inside or under a
structure that provides protection from precipitation so that neither
run-off nor run-on is generated is not subject to regulation under
264.573(e) or 264.573(f), as appropriate.
40 CFR 264.571 Assessment of existing drip pad integrity.
(a) For each existing drip pad as defined in 264.570 of this
subpart, the owner or operator must evaluate the drip pad and determine
that it meets all of the requirements of this subpart, except the
requirements for liners and leak detection systems of 264.573(b). No
later than the effective date of this rule, the owner or operator must
obtain and keep on file at the facility a written assessment of the drip
pad, reviewed and certified by an independent, qualified registered
professional engineer that attests to the results of the evaluation.
The assessment must be reviewed, updated and re-certified annually until
all upgrades, repairs, or modifications necessary to achieve compliance
with all of the standards of 264.573 of this subpart are complete. The
evaluation must document the extent to which the drip pad meets each of
the design and operating standards of 264.573 of this subpart, except
the standards for liners and leak detection systems, specified in
264.573(b) of this subpart, and must document the age of the drip pad to
the extent possible, to document compliance with paragraph (b) of this
section.
(b) The owner or operator must develop a written plan for upgrading,
repairing, and modifying the drip pad to meet the requirements of
264.573(b) of this subpart, and submit the plan to the Regional
Administrator no later than 2 years before the date that all repairs,
upgrades, and modifications will be complete. This written plan must
describe all changes to be made to the drip pad insufficient detail to
document compliance with all the requirements of 263.573 of this
subpart and must document the age of the drip pad to the extent
possible. The plan must be reviewed and certified by an independent
qualified registered professional engineer. All upgrades, repairs, and
modifications must be completed in accordance with the following:
(1) For existing drip pads of known and documentable age, all
upgrades, repairs, and modifications must be completed within two years
of the effective date of this rule, or when the drip has reached 15
years of age, whichever comes later.
(2) For existing drip pads for which the age cannot be documented,
within 8 years of the effective date of this rule, but if the age of the
facility is greater than 7 years, all upgrades, repairs and
modifications must be completed by the time the facility reaches 15
years of age or by two years after the effective date of this rule,
whichever comes later.
(3) If the owner or operator believes that the drip pad will continue
to meet all of the requirements of 264.573 of this subpart after the
date upon which all upgrades, repairs and modifications must be
completed as established under paragraphs (b)(1) and (2) of this
section, the owner or operator may petition the Regional Administrator
for an extension of the deadline specified in paragraph (b)(1) or (2) of
this section. The Regional Administrator will grant the petition for
extension based on a finding that the drip pad meets all of the
requirements of 264.573, except for those for liners and lead detection
systems specified in 264.573(b), and that it will continue to be
protective of human health and the environment.
(c) Upon completion of all upgrades, repairs, and modifications, the
owner or operator must submit to the Regional Administrator or State
Director, the as-built drawings for the drip pad together with a
certification by an independent qualified registered professional
engineer attesting that the drip pad conforms to the drawings.
(d) If the drip pad is found to be leaking or unfit for use, the
owner or operator must comply with the provisions of 264.573 (m) of
this subpart or close the drip pad in accordance with 264.575 of this
subpart.
40 CFR 264.572 Design and installation of new drip pads.
Owners and operators of drip pads must ensure that the pads are
designed, installed, and operated in accordance with all of the
applicable requirements of 264.573, 264.574 and 264.575 of this
subpart.
40 CFR 264.573 Design and operating requirements.
(a) Drip pads must: (1) Be constructed of non-earthern materials,
excluding wood and non-structurally supported asphalt:
(2) Be sloped to free-drain treated wood drippage, rain and other
waters, or solutions of drippage and water or other wastes to the
associated collection system;
(3) Have a curb or berm around the perimeter;
(4) Be impermeable, e.g., concrete pads must be sealed, coated, or
covered with an impermeable material such that the entire surface where
drippage occurs or may run across is capable of containing such drippage
and mixtures of drippage and precipitation, materials, or other wastes
while being routed to an associated collection system.
Note: The requirement that existing drip pads be impermeable, e.g.,
that drip pads be sealed, coated, or covered, with an impermeable
material is administratively stayed. The stay will remain in effect
until October 30, 1992.
(5) Be of sufficient structural strength and thickness to prevent
failure due to physical contact, climatic conditions, the stress of
daily perations, e.g., variable and moving loads such as vehicle
traffic, movement of wood, etc.
Note: EPA will generally consider applicable standards established
by professional organizations generally recognized by the industry such
as the American Concrete Institute (ACI) or the American Society of
Testing and Materials (ASTM) in judging the structural integrity
requirement of this paragraph.
(b) A new drip pad or an existing drip pad, after the deadline
established in 264.571(b) of this subpart, must have:
(1) A synthetic liner installed below the drip pad that is designed,
constructed, and installed to prevent leakage from the drip pad into the
adjacent subsurface soil or groundwater or surface water at any time
during the active life (including the closure period) of the drip pad.
The liner must be constructed of materials that will prevent waste from
being absorbed into the liner and to prevent releases into the adjacent
subsurface soil or groundwater or surface water during the active life
of the facility. The liner must be:
(i) Constructed of materials that have appropriate chemical
properties and sufficient strength and thickness to prevent failure due
to pressure gradients (including static head and external hydrogeologic
forces), physical contact with the waste or drip pad leakage to which
they are exposed, climatic conditions, the stress of installation, and
the stress of daily operation (including stresses from vehicular traffic
on the drip pad);
(ii) Placed upon a foundation or base capable of providing support to
the liner and resistance to pressure gradients above and below the liner
to prevent failure of the liner due to settlement, compression or
uplift; and
(iii) Installed to cover all surrounding earth that could come in
contact with the waste or leakage; and
(2) A leakage detection system immediately above the liner that is
designed, constructed, maintained and operated to detect leakage from
the drip pad. The leakage detection system must be:
(i) Constructed of materials that are:
(A) Chemically resistant to the waste managed in the drip pad and the
leakage that might be generated; and
(B) Of sufficient strength and thickness to prevent collapse under
the pressures exerted by overlaying materials and by any equipment used
at the drip pad;
(ii) Designed and operated to function without clogging through the
scheduled closure of the drip pad; and
(iii) Designed so that it will detect the failure of the drip pad or
the presence of a release of hazardous waste or accumulated liquid at
the earliest practicable time.
(c) Drip pads must be maintained such that they remain free of
cracks, gaps, corrosion, or other deterioration that could cause
hazardous waste to be released from the drip pad.
Note: See 264.573(m) for remedial action required if deterioration
or leakage is detected.
(d) The drip pad and associated collection system must be designed
and operated to convey, drain, and collect liquid resulting from
drippage or precipitation in order to prevent run-off.
(e) Unless protected by a structure, as described in 264.570(b) of
this subpart, the owner or operator must design, construct, operate and
maintain a run-on control system capable of preventing flow onto the
drip pad during peak discharge from at least a 24-hour, 25-year storm,
unless the system has sufficient excess capacity to contain any run-off
that might enter the system.
(f) Unless protected by a structure or cover as described in
264.570(b) of this subpart, the owner or operator must design,
construct, operate and maintain a run-off management system to collect
and control at least the water volume resulting from a 24-hour, 25-year
storm.
(g) The drip pad must be evaluated to determine that it meets the
requirements of paragraphs (a) through (f) of this section and the owner
or operator must obtain a statement from an independent, qualified
registered professional engineer certifying that the drip pad design
meets the requirements of this section.
(h) Drippage and accumulated precipitation must be removed from the
associated collection system as necessary to prevent overflow onto the
drip pad.
(i) The drip pad surface must be cleaned thoroughly at least once
every seven days such that accumulated residues of hazardous waste or
other materials are removed, using an appropriate and effective cleaning
technique, including but not limited to, rinsing, washing with
detergents or other appropriate solvents, or steam cleaning. The owner
or operator must document the date and time of each cleaning and the
cleaning procedure used in the facility's operating log.
(j) Drip pads must be operated and maintained in a manner to minimize
tracking of hazardous waste or hazardous waste constituents off the drip
pad as a result of activities by personnel or equipment.
(k) After being removed from the treatment vessel, treated wood from
pressure and non-pressure processes must be held on the drip pad until
drippage has ceased. The owner or operator must maintain records
sufficient to document that all treated wood is held on the pad
following treatment in accordance with this requirement.
(l) Collection and holding units associated with run-on and run-off
control systems must be emptied or otherwise managed as soon as possible
after storms to maintain design capacity of the system.
(m) Throughout the active life of the drip pad and as specified in
the permit, if the owner or operator detects a condition that may have
caused or has caused a release of hazardous waste, the condition must be
repaired within a reasonably prompt period of time following discovery,
in accordance with the following procedures:
(1) Upon detection of a condition that may have caused or has caused
a release of hazardous waste (e.g., upon detection of leakage in the
leak detection system), the owner or operator must:
(i) Enter a record of the discovery in the facility operating log;
(ii) Immediately remove the portion of the drip pad affected by the
condition from service;
(iii) Determine what steps must be taken to repair the drip pad and
clean up any leakage from below the drip pad, and establish a schedule
for accomplishing the repairs;
(iv) Within 24 hours after discovery of the condition, notify the
Regional Administrator of the condition and, within 10 working days,
provide written notice to the Regional Administrator with a description
of the steps that will be taken to repair the drip pad and clean up any
leakage, and the schedule for accomplishing this work.
(2) The Regional Administrator will review the information submitted,
make a determination regarding whether the pad must be removed from
service completely or partially until repairs and clean up are complete
and notify the owner or operator of the determination and the underlying
rationale in writing.
(3) Upon completing all repairs and clean up, the owner or operator
must notify the Regional Administrator in writing and provide a
certification signed by an independent, qualified registered
professional engineer, that the repairs and clean up have been completed
according to the written plan submitted in accordance with paragraph
(m)(1)(iv) of this section.
(n) Should a permit be necessary, the Regional Administrator will
specify in the permit all design and operating practices that are
necessary to ensure that the requirements of this section are satisfied.
(o) The owner or operator must maintain, as part of the facility
operating log, documentation of past operating and waste handling
practices. This must include identification of preservative
formulations used in the past, a description of drippage management
practices, and a description of treated wood storage and handling
practices.
(45 FR 33221, May 19, 1980, as amended at 57 FR 5861, Feb. 18, 1992)
40 CFR 264.574 Inspections.
(a) During construction or installation, liners and cover systems
(e.g., membranes, sheets, or coatings) must be inspected for uniformity,
damage and imperfections (e.g., holes, cracks, thin spots, or foreign
materials). Immediately after construction or installation, liners must
be inspected and certified as meeting the requirements of 264.573 of
this subpart by an independent qualified, registered professional
engineer. This certification must be maintained at the facility as part
of the facility operating record. After installation, liners and covers
must be inspected to ensure tight seams and joints and the absence of
tears, punctures, or blisters.
(b) While a drip pad is in operation, it must be inspected weekly and
after storms to detect evidence of any of the following:
(1) Deterioration, malfunctions or improper operation of run-on and
run-off control systems;
(2) The presence of leakage in and proper functioning of leak
detection system.
(3) Deterioration or cracking of the drip pad surface.
Note: See 264.573(m) for remedial action required if deterioration
or leakage is detected.
40 CFR 264.575 Closure.
(a) At closure, the owner or operator must remove or decontaminate
all waste residues, contaminated containment system components (pad,
liners, etc.), contaminated subsoils, and structures and equipment
contaminated with waste and leakage, and manage them as hazardous waste.
(b) If, after removing or decontaminating all residues and making all
reasonable efforts to effect removal or decontamination of contaminated
components, subsoils, structures, and equipment as required in paragraph
(a) of this section, the owner or operator finds that not all
contaminated subsoils can be practicably removed or decontaminated, he
must close the facility and perform post-closure care in accordance with
closure and post-closure care requirements that apply to landfills (
264.310). For permitted units, the requirement to have a permit
continues throughout the post-closure period. In addition, for the
purpose of closure, post-closure, and financial responsibility, such a
drip pad is then considered to be landfill, and the owner or operator
must meet all of the requirements for landfills specified in subparts G
and H of this part.
(c)(1) The owner or operator of an existing drip pad, as defined in
264.570 of this subpart, that does not comply with the liner
requirements of 264.573(b)(1) must:
(i) Include in the closure plan for the drip pad under 264.112 both
a plan for complying with paragraph (a) of this section and a contingent
plan for complying with paragraph (b) of this section in case not all
contaminated subsoils can be practicably removed at closure; and
(ii) Prepare a contingent post-closure plan under 264.118 of this
part for complying with paragraph (b) of this section in case not all
contaminated subsoils can be practicably removed at closure.
(2) The cost estimates calculated under 264.112 and 264.144 of this
part for closure and post-closure care of a drip pad subject to this
paragraph must include the cost of complying with the contingent closure
plan and the contingent post-closure plan, but are not required to
include the cost of expected closure under paragraph (a) of this
section.
40 CFR 264.575 Subpart X -- Miscellaneous Units
Source: 52 FR 46964, Dec. 10, 1987, unless otherwise noted.
40 CFR 264.600 Applicability.
The requirements in this subpart apply to owners and operators of
facilities that treat, store, or dispose of hazardous waste in
miscellanenous units, except as 264.1 provide otherwise.
40 CFR 264.601 Environmental performance standards.
A miscellaneous unit must be located, designed, constructed,
operated, maintained, and closed in a manner that will ensure protection
of human health and the environment. Permits for miscellaneous units
are to contain such terms and provisions as necessary to protect human
health and the environment, including, but not limited to, as
appropriate, design and operating requirements, detection and monitoring
requirements, and requirements for responses to releases of hazardous
waste or hazardous constituents from the unit. Permit terms and
provisions shall include those requirements of subparts I through O of
this part, part 270, and part 146 that are appropriate for the
miscellaneous unit being permitted. Protection of human health and the
environment includes, but is not limited to:
(a) Prevention of any releases that may have adverse effects on human
heath or the environment due to migration of waste constituents in the
ground water or subsurface environment, considering:
(1) The volume and physical and chemical characteristics of the waste
in the unit, including its potential for migration through soil, liners,
or other containing structures;
(2) The hydrologic and geologic characteristics of the unit and the
surrounding area;
(3) The existing quality of ground water, including other sources of
contamination and their cumulative impact on the ground water;
(4) The quantity and direction of ground-water flow;
(5) The proximity to and withdrawal rates of current and potential
ground-water users;
(6) The patterns of land use in the region;
(7) The potential for deposition or migration of waste constituents
into subsurface physical structures, and into the root zone of
food-chain crops and other vegetation;
(8) The potential for health risks caused by human exposure to waste
constituents; and
(9) The potential for damage to domestic animals, wildlife, crops,
vegetation, and physical structures caused by exposure to waste
constituents;
(b) Prevention of any releases that may have adverse effects on human
health or the environment due to migration of waste constituents in
surface water, or wetlands or on the soil surface considering:
(1) The volume and physical and chemical characteristics of the waste
in the unit;
(2) The effectiveness and reliability of containing, confining, and
collecting systems and structures in preventing migration;
(3) The hydrologic characteristics of the unit and the surrounding
area, including the topography of the land around the unit;
(4) The patterns of precipitation in the region;
(5) The quantity, quality, and direction of ground-water flow;
(6) The proximity of the unit to surface waters;
(7) The current and potential uses of nearby surface waters and any
water quality standards established for those surface waters;
(8) The existing quality of surface waters and surface soils,
including other sources of contamination and their cumulative impact on
surface waters and surface soils;
(9) The patterns of land use in the region;
(10) The potential for health risks caused by human exposure to waste
constituents; and
(11) The potential for damage to domestic animals, wildlife, crops,
vegetation, and physical structures caused by exposure to waste
constitutents.
(c) Prevention of any release that may have adverse effects on human
health or the environment due to migration of waste constituents in the
air, considering:
(1) The volume and physical and chemical characteristics of the waste
in the unit, including its potential for the emission and dispersal of
gases, aerosols and particulates;
(2) The effectiveness and reliability of systems and structures to
reduce or prevent emissions of hazardous constituents to the air;
(3) The operating characteristics of the unit;
(4) The atmospheric, metorologic, and topographic characteristics of
the unit and the surrounding area;
(5) The existing quality of the air, including other sources of
contamination and their cumulative impact on the air;
(6) The potential for health risks caused by human exposure to waste
constituents; and
(7) The potential for damage to domestic animals, wildlife, crops,
vegetation, and physical structures caused by exposure to waste
constituents.
40 CFR 264.602 Monitoring, analysis, inspection, response, reporting,
and corrective action.
Monitoring, testing, analytical data, inspections, response, and
reporting procedures and frequencies must ensure compliance with
264.601, 264.15, 264.33, 264.75, 264.76, 264,77, and 264.101 as well as
meet any additional requirements needed to protect human health and the
environment as specified in the permit.
40 CFR 264.603 Post-closure care.
A miscellaneous unit that is a disposal unit must be maintained in a
manner that complies with 264.601 during the post-closure care period.
In addition, if a treatment or storage unit has contaminated soils or
ground water that cannot be completely removed or decontaminated during
closure, then that unit must also meet the requirements of 264.601
during post-closure care. The post-closure plan under 264.118 must
specify the procedures that will be used to satisfy this requirement.
40 CFR 264.603 Subparts Y -- Z (Reserved)
40 CFR 264.603 Subpart AA -- Air Emission Standards for Process Vents
Source: 55 FR 25494, June 21, 1990, unless otherwise noted.
40 CFR 264.1030 Applicability.
(a) The regulations in this subpart apply to owners and operators of
facilities that treat, store, or dispose of hazardous wastes (except as
provided in 264.1).
(b) Except for 264.1034(d) and (e), this subpart applies to process
vents associated with distillation, fractionation, thin-film
evaporation, solvent extraction, or air or steam stripping operations
that manage hazardous wastes with organic concentrations of at least
10-ppmw, if these operations are conducted in:
(1) Units that are subject to the permitting requirements of part
270, or
(2) Hazardous waste recycling units that are located on hazardous
waste management facilities otherwise subject to the permitting
requirements of part 270.
(c) If the owner or operator of process vents subject to the
requirements of 264.1032 through 264.1036 has received a permit under
section 3005 of RCRA prior to December 21, 1990 the requirements of
264.1032 through 264.1036 must be incorporated when the permit is
reissued under 124.15 or reviewed under 270.50.
(Note: The requirements of 264.1032 through 264.1036 apply to
process vents on hazardous waste recycling units previously exempt under
261.6(c)(1). Other exemptions under 261.4, 262.34, and 264.1(g) are
not affected by these requirements.)
(55 FR 25494, June 21, 1990, as amended at 56 FR 19290, Apr. 26,
1991)
40 CFR 264.1031 Definitions.
As used in this subpart, all terms not defined herein shall have the
meaning given them in the Act and parts 260-266.
Air stripping operation is a desorption operation employed to
transfer one or more volatile components from a liquid mixture into a
gas (air) either with or without the application of heat to the liquid.
Packed towers, spray towers, and bubble-cap, sieve, or valve-type plate
towers are among the process configurations used for contacting the air
and a liquid.
Bottoms receiver means a container or tank used to receive and
collect the heavier bottoms fractions of the distillation feed stream
that remain in the liquid phase.
Closed-vent system means a system that is not open to the atmosphere
and that is composed of piping, connections, and, if necessary,
flow-inducing devices that transport gas or vapor from a piece or pieces
of equipment to a control device.
Condenser means a heat-transfer device that reduces a thermodynamic
fluid from its vapor phase to its liquid phase.
Connector means flanged, screwed, welded, or other joined fittings
used to connect two pipelines or a pipeline and a piece of equipment.
For the purposes of reporting and recordkeeping, connector means flanged
fittings that are not covered by insulation or other materials that
prevent location of the fittings.
Continuous recorder means a data-recording device recording an
instantaneous data value at least once every 15 minutes.
Control device means an enclosed combustion device, vapor recovery
system, or flare. Any device the primary function of which is the
recovery or capture of solvents or other organics for use, reuse, or
sale (e.g., a primary condenser on a solvent recovery unit) is not a
control device.
Control device shutdown means the cessation of operation of a control
device for any purpose.
Distillate receiver means a container or tank used to receive and
collect liquid material (condensed) from the overhead condenser of a
distillation unit and from which the condensed liquid is pumped to
larger storage tanks or other process units.
Distillation operation means an operation, either batch or
continuous, separating one or more feed stream(s) into two or more exit
streams, each exit stream having component concentrations different from
those in the feed stream(s). The separation is achieved by the
redistribution of the components between the liquid and vapor phase as
they approach equilibrium within the distillation unit.
Double block and bleed system means two block valves connected in
series with a bleed valve or line that can vent the line between the two
block valves.
Equipment means each valve, pump, compressor, pressure relief device,
sampling connection system, open-ended valve or line, or flange, and any
control devices or systems required by this subpart.
Flame zone means the portion of the combustion chamber in a boiler
occupied by the flame envelope.
Flow indicator means a device that indicates whether gas flow is
present in a vent stream.
First attempt at repair means to take rapid action for the purpose of
stopping or reducing leakage of organic material to the atmosphere using
best practices.
Fractionation operation means a distillation operation or method used
to separate a mixture of several volatile components of different
boiling points in successive stages, each stage removing from the
mixture some proportion of one of the components.
Hazardous waste management unit shutdown means a work practice or
operational procedure that stops operation of a hazardous waste
management unit or part of a hazardous waste management unit. An
unscheduled work practice or operational procedure that stops operation
of a hazardous waste management unit or part of a hazardous waste
management unit for less than 24 hours is not a hazardous waste
management unit shutdown. The use of spare equipment and technically
feasible bypassing of equipment without stopping operation are not
hazardous waste management unit shutdowns.
Hot well means a container for collecting condensate as in a steam
condenser serving a vacuum-jet or steam-jet ejector.
In gas/vapor service means that the piece of equipment contains or
contacts a hazardous waste stream that is in the gaseous state at
operating conditions.
In heavy liquid service means that the piece of equipment is not in
gas/vapor service or in light liquid service.
In liqht liquid service means that the piece of equipment contains or
contacts a waste stream where the vapor pressure of one or more of the
components in the stream is greater than 0.3 kilopascals (kPa) at 20 C,
the total concentration of the pure components having a vapor pressure
greater than 0.3 kPa at 20 C is equal to or greater than 20 percent by
weight, and the fluid is a liquid at operating conditions.
In situ sampling systems means nonextractive samplers or in-line
samplers.
In vacuum service means that equipment is operating at an internal
pressure that is at least 5 kPa below ambient pressure.
Malfunction means any sudden failure of a control device or a
hazardous waste management unit or failure of a hazardous waste
management unit to operate in a normal or usual manner, so that organic
emissions are increased.
Open-ended valve or line means any valve, except pressure relief
valves, having one side of the valve seat in contact with process fluid
and one side open to the atmosphere, either directly or through open
piping.
Pressure release means the emission of materials resulting from the
system pressure being greater than the set pressure of the pressure
relief device.
Process heater means a device that transfers heat liberated by
burning fuel to fluids contained in tubes, including all fluids except
water that are heated to produce steam.
Process vent means any open-ended pipe or stack that is vented to the
atmosphere either directly, through a vacuum-producing system, or
through a tank (e.g., distillate receiver, condenser, bottoms receiver,
surge control tank, separator tank, or hot well) associated with
hazardous waste distillation, fractionation, thin-film evaporation,
solvent extraction, or air or steam stripping operations.
Repaired means that equipment is adjusted, or otherwise altered, to
eliminate a leak.
Sensor means a device that measures a physical quantity or the change
in a physical quantity, such as temperature, pressure, flow rate, pH, or
liquid level.
Separator tank means a device used for separation of two immiscible
liquids.
Solvent extraction operation means an operation or method of
separation in which a solid or solution is contacted with a liquid
solvent (the two being mutually insoluble) to preferentially dissolve
and transfer one or more components into the solvent.
Startup means the setting in operation of a hazardous waste
management unit or control device for any purpose.
Steam stripping operation means a distillation operation in which
vaporization of the volatile constituents of a liquid mixture takes
place by the introduction of steam directly into the charge.
Surge control tank means a large-sized pipe or storage reservoir
sufficient to contain the surging liquid discharge of the process tank
to which it is connected.
Thin-film evaporation operation means a distillation operation that
employs a heating surface consisting of a large diameter tube that may
be either straight or tapered, horizontal or vertical. Liquid is spread
on the tube wall by a rotating assembly of blades that maintain a close
clearance from the wall or actually ride on the film of liquid on the
wall.
Vapor incinerator means any enclosed combustion device that is used
for destroying organic compounds and does not extract energy in the form
of steam or process heat.
Vented means discharged through an opening, typically an open-ended
pipe or stack, allowing the passage of a stream of liquids, gases, or
fumes into the atmosphere. The passage of liquids, gases, or fumes is
caused by mechanical means such as compressors or vacuum-producing
systems or by process-related means such as evaporation produced by
heating and not caused by tank loading and unloading (working losses) or
by natural means such as diurnal temperature changes.
40 CFR 264.1032 Standards: Process vents.
(a) The owner or operator of a facility with process vents associated
with distillation, fractionation, thin-film evaporation, solvent
extraction, or air or steam stripping operations managing hazardous
wastes with organic concentrations of at least 10 ppmw shall either:
(1) Reduce total organic emissions from all affected process vents at
the facility below 1.4 kg/h (3 lb/h) and 2.8 Mg/yr (3.1 tons/yr), or
(2) Reduce, by use of a control device, total organic emissions from
all affected process vents at the facility by 95 weight percent.
(b) If the owner or operator installs a closed-vent system and
control device to comply with the provisions of paragraph (a) of this
section the closed-vent system and control device must meet the
requirements of 264.1033.
(c) Determinations of vent emissions and emission reductions or total
organic compound concentrations achieved by add-on control devices may
be based on engineering calculations or performance tests. If
performance tests are used to determine vent emissions, emission
reductions, or total organic compound concentrations achieved by add-on
control devices, the performance tests must conform with the
requirements of 264.1034(c).
(d) When an owner or operator and the Regional Administrator do not
agree on determinations of vent emissions and/or emission reductions or
total organic compound concentrations achieved by add-on control devices
based on engineering calculations, the procedures in 264.1034(c) shall
be used to resolve the disagreement.
40 CFR 264.1033 Standards: Closed-vent systems and control devices.
(a)(1) Owners or operators of closed-vent systems and control devices
used to comply with provisions of this part shall comply with the
provisions of this section.
(2) The owner or operator of an existing facility who cannot install
a closed-vent system and control device to comply with the provisions of
this subpart on the effective date that the facility becomes subject to
the provisions of this subpart must prepare an implementation schedule
that includes dates by which the closed-vent system and control device
will be installed and in operation. The controls must be installed as
soon as possible, but the implementation schedule may allow up to 18
months after the effective date that the facility becomes subject to
this subpart for installation and startup. All units that begin
operation after December 21, 1990, must comply with the rules
immediately (i.e., must have control devices installed and operating on
startup of the affected unit); the 2-year implementation schedule does
not apply to these units.
(b) A control device involving vapor recovery (e.g., a condenser or
adsorber) shall be designed and operated to recover the organic vapors
vented to it with an efficiency of 95 weight percent or greater unless
the total organic emission limits of 264.1032(a)(1) for all affected
process vents can be attained at an efficiency less than 95 weight
percent.
(c) An enclosed combustion device (e.g., a vapor incinerator, boiler,
or process heater) shall be designed and operated to reduce the organic
emissions vented to it by 95 weight percent or greater; to achieve a
total organic compound concentration of 20 ppmv, expressed as the sum of
the actual compounds, not carbon equivalents, on a dry basis corrected
to 3 percent oxygen; or to provide a minimum residence time of 0.50
seconds at a minimum temperature of 760 C. If a boiler or process
heater is used as the control device, then the vent stream shall be
introduced into the flame zone of the boiler or process heater.
(d)(1) A flare shall be designed for and operated with no visible
emissions as determined by the methods specified in paragraph (e)(1) of
this section, except for periods not to exceed a total of 5 minutes
during any 2 consecutive hours.
(2) A flare shall be operated with a flame present at all times, as
determined by the methods specified in paragraph (f)(2)(iii) of this
section.
(3) A flare shall be used only if the net heating value of the gas
being combusted is 11.2 MJ/scm (300 Btu/scf) or greater if the flare is
steam-assisted or air-assisted; or if the net heating value of the gas
being combusted is 7.45 MJ/scm (200 Btu/scf) or greater if the flare is
nonassisted. The net heating value of the gas being combusted shall be
determined by the methods specified in paragraph (e)(2) of this section.
(4)(i) A steam-assisted or nonassisted flare shall be designed for
and operated with an exit velocity, as determined by the methods
specified in paragraph (e)(3) of this section, less than 18.3 m/s (60
ft/s), except as provided in paragraphs (d)(4) (ii) and (iii) of this
section.
(ii) A steam-assisted or nonassisted flare designed for and operated
with an exit velocity, as determined by the methods specified in
paragraph (e)(3) of this section, equal to or greater than 18.3 m/s (60
ft/s) but less than 122 m/s (400 ft/s) is allowed if the net heating
value of the gas being combusted is greater than 37.3 MJ/scm (1,000
Btu/scf).
(iii) A steam-assisted or nonassisted flare designed for and operated
with an exit velocity, as determined by the methods specified in
paragraph (e)(3) of this section, less than the velocity, Vmax, as
determined by the method specified in paragraph (e)(4) of this section
and less than 122 m/s (400 ft/s) is allowed.
(5) An air-assisted flare shall be designed and operated with an exit
velocity less than the velocity, Vmax, as determined by the method
specified in paragraph (e)(5) of this section.
(6) A flare used to comply with this section shall be steam-assisted,
air-assisted, or nonassisted.
(e)(1) Reference Method 22 in 40 CFR part 60 shall be used to
determine the compliance of a flare with the visible emission provisions
of this subpart. The observation period is 2 hours and shall be used
according to Method 22.
(2) The net heating value of the gas being combusted in a flare shall
be calculated using the following equation:
where:
HT=Net heating value of the sample, MJ/scm; where the net enthalpy
per mole of offgas is based on combustion at 25 C and 760 mm Hg, but
the standard temperature for determining the volume corresponding to 1
mol is 20 C;
K=Constant, 1.74 10^7 (1/ppm) (g mol/scm) (MJ/kcal) where standard
temperature for (g mol/scm) is 20 C;
Ci=Concentration of sample component i in ppm on a wet basis, as
measured for organics by Reference Method 18 in 40 CFR part 60 and
measured for hydrogen and carbon monoxide by ASTM D 1946-82
(incorporated by reference as specified in 260.11); and
Hi=Net heat of combustion of sample component i, kcal/9 mol at 25 C
and 760 mm Hg. The heats of combustion may be determined using ASTM D
2382-83 (incorporated by reference as specified in 260.11) if published
values are not available or cannot be calculated.
(3) The actual exit velocity of a flare shall be determined by
dividing the volumetric flow rate (in units of standard temperature and
pressure), as determined by Reference Methods 2, 2A, 2C, or 2D in 40 CFR
part 60 as appropriate, by the unobstructed (free) cross-sectional area
of the flare tip.
(4) The maximum allowed velocity in m/s, Vmax, for a flare complying
with paragraph (d)(4)(iii) of this section shall be determined by the
following equation:
Log10(Vmax)=(HT+28.8)/31.7
where:
28.8=Constant,
31.7=Constant,
HT=The net heating value as determined in paragraph (e)(2) of this
section.
(5) The maximum allowed velocity in m/s, Vmax, for an air-assisted
flare shall be determined by the following equation:
Vmax=8.706+0.7084 (HT)
where:
8.706=Constant,
0.7084=Constant,
HT=The net heating value as determined in paragraph (e)(2) of this
section.
(f) The owner or operator shall monitor and inspect each control
device required to comply with this section to ensure proper operation
and maintenance of the control device by implementing the following
requirements:
(1) Install, calibrate, maintain, and operate according to the
manufacturer's specifications a flow indicator that provides a record of
vent stream flow from each affected process vent to the control device
at least once every hour. The flow indicator sensor shall be installed
in the vent stream at the nearest feasible point to the control device
inlet but before the point at which the vent streams are combined.
(2) Install, calibrate, maintain, and operate according to the
manufacturer's specifications a device to continuously monitor control
device operation as specified below:
(i) For a thermal vapor incinerator, a temperature monitoring device
equipped with a continuous recorder. The device shall have an accuracy
of 1 percent of the temperature being monitored in C or 0.5 C,
whichever is greater. The temperature sensor shall be installed at a
location in the combustion chamber downstream of the combustion zone.
(ii) For a catalytic vapor incinerator, a temperature monitoring
device equipped with a continuous recorder. The device shall be capable
of monitoring temperature at two locations and have an accuracy of 1
percent of the temperature being monitored in C or 0.5 C, whichever
is greater. One temperature sensor shall be installed in the vent
stream at the nearest feasible point to the catalyst bed inlet and a
second temperature sensor shall be installed in the vent stream at the
nearest feasible point to the catalyst bed outlet.
(iii) For a flare, a heat sensing monitoring device equipped with a
continuous recorder that indicates the continuous ignition of the pilot
flame.
(iv) For a boiler or process heater having a design heat input
capacity less than 44 MW, a temperature monitoring device equipped with
a continuous recorder. The device shall have an accuracy of 1 percent
of the temperature being monitored in C or 0.5 C, whichever is
greater. The temperature sensor shall be installed at a location in the
furnace downstream of the combustion zone.
(v) For a boiler or process heater having a design heat input
capacity greater than or equal to 44 MW, a monitoring device equipped
with a continuous recorder to measure a parameter(s) that indicates good
combustion operating practices are being used.
(vi) For a condenser, either:
(A) A monitoring device equipped with a continuous recorder to
measure the concentration level of the organic compounds in the exhaust
vent stream from the condenser, or
(B) A temperature monitoring device equipped with a continuous
recorder. The device shall be capable of monitoring temperature at two
locations and have an accuracy of 1 percent of the temperature being
monitored in C or 0.5 C, whichever is greater. One temperature
sensor shall be installed at a location in the exhaust vent stream from
the condenser, and a second temperature sensor shall be installed at a
location in the coolant fluid exiting the condenser.
(vii) For a carbon adsorption system that regenerates the carbon bed
directly in the control device such as a fixed-bed carbon adsorber,
either:
(A) A monitoring device equipped with a continuous recorder to
measure the concentration level of the organic compounds in the exhaust
vent stream from the carbon bed, or
(B) A monitoring device equipped with a continuous recorder to
measure a parameter that indicates the carbon bed is regenerated on a
regular. predetermined time cycle.
(3) Inspect the readings from each monitoring device required by
paragraphs (f)(1) and (2) of this section at least once each operating
day to check control device operation and, if necessary, immediately
implement the corrective measures necessary to ensure the control device
operates in compliance with the requirements of this section.
(g) An owner or operator using a carbon adsorption system such as a
fixed-bed carbon adsorber that regenerates the carbon bed directly
onsite in the control device shall replace the existing carbon in the
control device with fresh carbon at a regular, predetermined time
interval that is no longer than the carbon service life established as a
requirement of 264.1035(b)(4)(iii)(F).
(h) An owner or operator using a carbon adsorption system such as a
carbon canister that does not regenerate the carbon bed directly onsite
in the control device shall replace the existing carbon in the control
device with fresh carbon on a regular basis by using one of the
following procedures:
(1) Monitor the concentration level of the organic compounds in the
exhaust vent stream from the carbon adsorption system on a regular
schedule, and replace the existing carbon with fresh carbon immediately
when carbon breakthrough is indicated. The monitoring frequency shall
be daily or at an interval no greater than 20 percent of the time
required to consume the total carbon working capacity established as a
requirement of 264.1035(b)(4)(iii)(G), whichever is longer.
(2) Replace the existing carbon with fresh carbon at a regular,
predetermined time interval that is less than the design carbon
replacement interval established as a requirement of
264.1035(b)(4)(iii)(G).
(i) An alternative operational or process parameter may be monitored
if it can be demonstrated that another parameter will ensure that the
control device is operated in conformance with these standards and the
control device's design specifications.
(j) An owner or operator of an affected facility seeking to comply
with the provisions of this part by using a control device other than a
thermal vapor incinerator, catalytic vapor incinerator, flare, boiler,
process heater, condenser, or carbon adsorption system is required to
develop documentation including sufficient information to describe the
control device operation and identify the process parameter or
parameters that indicate proper operation and maintenance of the control
device.
(k)(1) Closed-vent systems shall be designed for and operated with no
detectable emissions, as indicated by an instrument reading of less than
500 ppm above background and by visual inspections, as determined by the
methods specified as 264.1034(b).
(2) Closed-vent systems shall be monitored to determine compliance
with this section during the initial leak detection monitoring, which
shall be conducted by the date that the facility becomes subject to the
provisions of this section, annually, and at other times as requested by
the Regional Administrator.
(3) Detectable emissions, as indicated by an instrument reading
greater than 500 ppm and visual inspections, shall be controlled as soon
as practicable, but not later than 15 calendar days after the emission
is detected.
(4) A first attempt at repair shall be made no later than 5 calendar
days after the emission is detected.
(l) Closed-vent systems and control devices used to comply with
provisions of this subpart shall be operated at all times when emissions
may be vented to them.
(55 FR 25494, June 21, 1990, as amended at 56 FR 19290, Apr. 26,
1991)
40 CFR 264.1034 Test methods and procedures.
(a) Each owner or operator subject to the provisions of this subpart
shall comply with the test methods and procedures requirements provided
in this section.
(b) When a closed-vent system is tested for compliance with no
detectable emissions, as required in 264.1033(k), the test shall comply
with the following requirements:
(1) Monitoring shall comply with Reference Method 21 in 40 CFR part
60.
(2) The detection instrument shall meet the performance criteria of
Reference Method 21.
(3) The instrument shall be calibrated before use on each day of its
use by the procedures specified in Reference Method 21.
(4) Calibration gases shall be:
(i) Zero air (less than 10 ppm of hydrocarbon in air).
(ii) A mixture of methane or n-hexane and air at a concentration of
approximately, but less than, 10,000 ppm methane or n-hexane.
(5) The background level shall be determined as set forth in
Reference Method 21.
(6) The instrument probe shall be traversed around all potential leak
interfaces as close to the interface as possible as described in
Reference Method 21.
(7) The arithmetic difference between the maximum concentration
indicated by the instrument and the background level is compared with
500 ppm for determining compliance.
(c) Performance tests to determine compliance with 264.1032(a) and
with the total organic compound concentration limit of 264.1033(c)
shall comply with the following:
(1) Performance tests to determine total organic compound
concentrations and mass flow rates entering and exiting control devices
shall be conducted and data reduced in accordance with the following
reference methods and calculation procedures:
(i) Method 2 in 40 CFR part 60 for velocity and volumetric flow rate.
(ii) Method 18 in 40 CFR part 60 for organic content.
(iii) Each performance test shall consist of three separate runs;
each run conducted for at least 1 hour under the conditions that exist
when the hazardous waste management unit is operating at the highest
load or capacity level reasonably expected to occur. For the purpose of
determining total organic compound concentrations and mass flow rates,
the average of results of all runs shall apply. The average shall be
computed on a time-weighted basis.
(iv) Total organic mass flow rates shall be determined by the
following equation:
where:
Eh=Total organic mass flow rate, kg/h;
Qsd=Volumetric flow rate of gases entering or exiting control device,
as determined by Method 2, dscm/h;
n=Number of organic compounds in the vent gas;
Ci=Organic concentration in ppm, dry basis, of compound i in the vent
gas, as determined by Method 18;
MWi=Molecular weight of organic compound i in the vent gas,
kg/kg-mol;
0.0416=Conversion factor for molar volume, kg-mol/m3 (@ 293 K and 760
mm Hg);
10^6=Conversion from ppm, ppm^1.
(v) The annual total organic emission rate shall be determined by the
following equation:
EA=(Eh)(H)
where:
EA=Total organic mass emission rate, kg/y;
Eh=Total organic mass flow rate for the process vent, kg/h;
H=Total annual hours of operations for the affected unit, h.
(vi) Total organic emissions from all affected process vents at the
facility shall be determined by summing the hourly total organic mass
emission rates (Eh as determined in paragraph (c)(1)(iv) of this
section) and by summing the annual total organic mass emission rates
(EA, as determined in paragraph (c)(1)(v) of this section) for all
affected process vents at the facility.
(2) The owner or operator shall record such process information as
may be necessary to determine the conditions of the performance tests.
Operations during periods of startup, shutdown, and malfunction shall
not constitute representative conditions for the purpose of a
performance test.
(3) The owner or operator of an affected facility shall provide, or
cause to be provided, performance testing facilities as follows:
(i) Sampling ports adequate for the test methods specified in
paragraph (c)(1) of this section.
(ii) Safe sampling platform(s).
(iii) Safe access to sampling platform(s).
(iv) Utilities for sampling and testing equipment.
(4) For the purpose of making compliance determinations, the
time-weighted average of the results of the three runs shall apply. In
the event that a sample is accidentally lost or conditions occur in
which one of the three runs must be discontinued because of forced
shutdown, failure of an irreplaceable portion of the sample train,
extreme meteorological conditions, or other circumstances beyond the
owner or operator's control, compliance may, upon the Regional
Administrator's approval, be determined using the average of the results
of the two other runs.
(d) To show that a process vent associated with a hazardous waste
distillation, fractionation, thin-film evaporation, solvent extraction,
or air or steam stripping operation is not subject to the requirements
of this subpart, the owner or operator must make an initial
determination that the time-weighted, annual average total organic
concentration of the waste managed by the waste management unit is less
than 10 ppmw using one of the following two methods:
(1) Direct measurement of the organic concentration of the waste
using the following procedures:
(i) The owner or operator must take a minimum of four grab samples of
waste for each waste stream managed in the affected unit under process
conditions expected to cause the maximum waste organic concentration.
(ii) For waste generated onsite, the grab samples must be collected
at a point before the waste is exposed to the atmosphere such as in an
enclosed pipe or other closed system that is used to transfer the waste
after generation to the first affected distillation, fractionation,
thin-film evaporation, solvent extraction, or air or steam stripping
operation. For waste generated offsite, the grab samples must be
collected at the inlet to the first waste management unit that receives
the waste provided the waste has been transferred to the facility in a
closed system such as a tank truck and the waste is not diluted or mixed
with other waste.
(iii) Each sample shall be analyzed and the total organic
concentration of the sample shall be computed using Method 9060 or 8240
of SW-846 (incorporated by reference under 260.11).
(iv) The arithmetic mean of the results of the analyses of the four
samples shall apply for each waste stream managed in the unit in
determining the time-weighted, annual average total organic
concentration of the waste. The time-weighted average is to be
calculated using the annual quantity of each waste stream processed and
the mean organic concentration of each waste stream managed in the unit.
(2) Using knowledge of the waste to determine that its total organic
concentration is less than 10 ppmw. Documentation of the waste
determination is required. Examples of documentation that shall be used
to support a determination under this provision include production
process information documenting that no organic compounds are used,
information that the waste is generated by a process that is identical
to a process at the same or another facility that has previously been
demonstrated by direct measurement to generate a waste stream having a
total organic content less than 10 ppmw, or prior speciation analysis
results on the same waste stream where it can also be documented that no
process changes have occurred since that analysis that could affect the
waste total organic concentration.
(e) The determination that distillation, fractionation, thin-film
evaporation, solvent extraction, or air or steam stripping operations
manage hazardous wastes with time-weighted, annual average total organic
concentrations less than 10 ppmw shall be made as follows:
(1) By the effective date that the facility becomes subject to the
provisions of this subpart or by the date when the waste is first
managed in a waste management unit, whichever is later, and
(2) For continuously generated waste, annually, or
(3) Whenever there is a change in the waste being managed or a change
in the process that generates or treats the waste.
(f) When an owner or operator and the Regional Administrator do not
agree on whether a distillation, fractionation, thin-film evaporation,
solvent extraction, or air or steam stripping operation manages a
hazardous waste with organic concentrations of at least 10 ppmw based on
knowledge of the waste, the procedures in Method 8240 may be used to
resolve the dispute.
40 CFR 264.1035 Recordkeeping requirements.
(a)(1) Each owner or operator subject to the provisions of this
subpart shall comply with the recordkeeping requirements of this
section.
(2) An owner or operator of more than one hazardous waste management
unit subject to the provisions of this subpart may comply with the
recordkeeping requirements for these hazardous waste management units in
one recordkeeping system if the system identifies each record by each
hazardous waste management unit.
(b) Owners and operators must record the following information in the
facility operating record:
(1) For facilities that comply with the provisions of
264.1033(a)(2), an implementation schedule that includes dates by which
the closed-vent system and control device will be installed and in
operation. The schedule must also include a rationale of why the
installation cannot be completed at an earlier date. The implementation
schedule must be in the facility operating record by the effective date
that the facility becomes subject to the provisions of this subpart.
(2) Up-to-date documentation of compliance with the process vent
standards in 264.1032, including:
(i) Information and data identifying all affected process vents,
annual throughput and operating hours of each affected unit, estimated
emission rates for each affected vent and for the overall facility
(i.e., the total emissions for all affected vents at the facility), and
the approximate location within the facility of each affected unit
(e.g., identify the hazardous waste management units on a facility plot
plan).
(ii) Information and data supporting determinations of vent emissions
and emission reductions achieved by add-on control devices based on
engineering calculations or source tests. For the purpose of
determining compliance, determinations of vent emissions and emission
reductions must be made using operating parameter values (e.g.,
temperatures, flow rates, or vent stream organic compounds and
concentrations) that represent the conditions that result in maximum
organic emissions, such as when the waste management unit is operating
at the highest load or capacity level reasonably expected to occur. If
the owner or operator takes any action (e.g., managing a waste of
different composition or increasing operating hours of affected waste
management units) that would result in an increase in total organic
emissions from affected process vents at the facility, then a new
determination is required.
(3) Where an owner or operator chooses to use test data to determine
the organic removal efficiency or total organic compound concentration
achieved by the control device, a performance test plan. The test plan
must include:
(i) A description of how it is determined that the planned test is
going to be conducted when the hazardous waste management unit is
operating at the highest load or capacity level reasonably expected to
occur. This shall include the estimated or design flow rate and organic
content of each vent stream and define the acceptable operating ranges
of key process and control device parameters during the test program.
(ii) A detailed engineering description of the closed-vent system and
control device including:
(A) Manufacturer's name and model number of control device.
(B) Type of control device.
(C) Dimensions of the control device.
(D) Capacity.
(E) Construction materials.
(iii) A detailed description of sampling and monitoring procedures,
including sampling and monitoring locations in the system, the equipment
to be used, sampling and monitoring frequency, and planned analytical
procedures for sample analysis.
(4) Documentation of compliance with 264.1033 shall include the
following information:
(i) A list of all information references and sources used in
preparing the documentation.
(ii) Records, including the dates, of each compliance test required
by 264.1033(k).
(iii) If engineering calculations are used, a design analysis,
specifications, drawings, schematics, and piping and instrumentation
diagrams based on the appropriate sections of ''APTI Course 415:
Control of Gaseous Emissions'' (incorporated by reference as specified
in 260.11) or other engineering texts acceptable to the Regional
Administrator that present basic control device design information.
Documentation provided by the control device manufacturer or vendor that
describes the control device design in accordance with paragraphs
(b)(4)(iii)(A) through (b)(4)(iii)(G) of this section may be used to
comply with this requirement. The design analysis shall address the
vent stream characteristics and control device operation parameters as
specified below.
(A) For a thermal vapor incinerator, the design analysis shall
consider the vent stream composition, constituent concentrations, and
flow rate. The design analysis shall also establish the design minimum
and average temperature in the combustion zone and the combustion zone
residence time.
(B) For a catalytic vapor incinerator, the design analysis shall
consider the vent stream composition, constituent concentrations, and
flow rate. The design analysis shall also establish the design minimum
and average temperatures across the catalyst bed inlet and outlet.
(C) For a boiler or process heater, the design analysis shall
consider the vent stream composition, constituent concentrations, and
flow rate. The design analysis shall also establish the design minimum
and average flame zone temperatures, combustion zone residence time, and
description of method and location where the vent stream is introduced
into the combustion zone.
(D) For a flare, the design analysis shall consider the vent stream
composition, constituent concentrations, and flow rate. The design
analysis shall also consider the requirements specified in 264.1033(d).
(E) For a condenser, the design analysis shall consider the vent
stream composition, constituent concentrations, flow rate, relative
humidity, and temperature. The design analysis shall also establish the
design outlet organic compound concentration level, design average
temperature of the condenser exhaust vent stream, and design average
temperatures of the coolant fluid at the condenser inlet and outlet.
(F) For a carbon adsorption system such as a fixed-bed adsorber that
regenerates the carbon bed directly onsite in the control device, the
design analysis shall consider the vent stream composition, constituent
concentrations, flow rate, relative humidity, and temperature. The
design analysis shall also establish the design exhaust vent stream
organic compound concentration level, number and capacity of carbon
beds, type and working capacity of activated carbon used for carbon
beds, design total steam flow over the period of each complete carbon
bed regeneration cycle, duration of the carbon bed steaming and
cooling/drying cycles, design carbon bed temperature after regeneration,
design carbon bed regeneration time, and design service life of carbon.
(G) For a carbon adsorption system such as a carbon canister that
does not regenerate the carbon bed directly onsite in the control
device, the design analysis shall consider the vent stream composition,
constituent concentrations, flow rate, relative humidity, and
temperature. The design analysis shall also establish the design outlet
organic concentration level, capacity of carbon bed, type and working
capacity of activated carbon used for carbon bed, and design carbon
replacement interval based on the total carbon working capacity of the
control device and source operating schedule.
(iv) A statement signed and dated by the owner or operator certifying
that the operating parameters used in the design analysis reasonably
represent the conditions that exist when the hazardous waste management
unit is or would be operating at the highest load or capacity level
reasonably expected to occur.
(v) A statement signed and dated by the owner or operator certifying
that the control device is designed to operate at an efficiency of 95
percent or greater unless the total organic concentration limit of
264.1032(a) is achieved at an efficiency less than 95 weight percent or
the total organic emission limits of 264.1032(a) for affected process
vents at the facility can be attained by a control device involving
vapor recovery at an efficiency less than 95 weight percent. A
statement provided by the control device manufacturer or vendor
certifying that the control equipment meets the design specifications
may be used to comply with this requirement.
(vi) If performance tests are used to demonstrate compliance, all
test results.
(c) Design documentation and monitoring, operating, and inspection
information for each closed-vent system and control device required to
comply with the provisions of this part shall be recorded and kept
up-to-date in the facility operating record. The information shall
include:
(1) Description and date of each modification that is made to the
closed-vent system or control device design.
(2) Identification of operating parameter, description of monitoring
device, and diagram of monitoring sensor location or locations used to
comply with 264.1033 (f)(1) and (f)(2).
(3) Monitoring, operating, and inspection information required by
paragraphs (f) through (k) of 264.1033.
(4) Date, time, and duration of each period that occurs while the
control device is operating when any monitored parameter exceeds the
value established in the control device design analysis as specified
below:
(i) For a thermal vapor incinerator designed to operate with a
minimum residence time of 0.50 second at a minimum temperature of 760
C. period when the combustion temperature is below 760 C.
(ii) For a thermal vapor incinerator designed to operate with an
organic emission reduction efficiency of 95 weight percent or greater
period when the combustion zone temperature is more than 28 C below the
design average combustion zone temperature established as a requirement
of paragraph (b)(4)(iii)(A) of this section.
(iii) For a catalytic vapor incinerator, period when:
(A) Temperature of the vent stream at the catalyst bed inlet is more
than 28 C below the average temperature of the inlet vent stream
established as a requirement of paragraph (b)(4)(iii)(B) of this
section, or
(B) Temperature difference across the catalyst bed is less than 80
percent of the design average temperature difference established as a
requirement of paragraph (b)(4)(iii)(B) of this section.
(iv) For a boiler or process heater, period when:
(A) Flame zone temperature is more than 28 C below the design
average flame zone temperature established as a requirement of paragraph
(b)(4)(iii)(C) of this section, or
(B) Position changes where the vent stream is introduced to the
combustion zone from the location established as a requirement of
paragraph (b)(4)(iii)(C) of this section.
(v) For a flare, period when the pilot flame is not ignited.
(vi) For a condenser that complies with 264.1033(f)(2)(vi)(A),
period when the organic compound concentration level or readings of
organic compounds in the exhaust vent stream from the condenser are more
than 20 percent greater than the design outlet organic compound
concentration level established as a requirement of paragraph
(b)(4)(iii)(E) of this section.
(vii) For a condenser that complies with 264.1033(f)(2)(vi)(B),
period when:
(A) Temperature of the exhaust vent stream from the condenser is more
than 6 C above the design average exhaust vent stream temperature
established as a requirement of paragraph (b)(4)(iii)(E) of this
section; or
(B) Temperature of the coolant fluid exiting the condenser is more
than 6 C above the design average coolant fluid temperature at the
condenser outlet established as a requirement of paragraph
(b)(4)(iii)(E) of this section.
(viii) For a carbon adsorption system such as a fixed-bed carbon
adsorber that regenerates the carbon bed directly onsite in the control
device and complies with 264.1033(f)(2)(vii)(A), period when the
organic compound concentration level or readings of organic compounds in
the exhaust vent stream from the carbon bed are more than 20 percent
greater than the design exhaust vent stream organic compound
concentration level established as a requirement of paragraph
(b)(4)(iii)(F) of this section.
(ix) For a carbon adsorption system such as a fixed-bed carbon
adsorber that regenerates the carbon bed directly onsite in the control
device and complies with 264.1033(f)(2)(vii)(B), period when the vent
stream continues to flow through the control device beyond the
predetermined carbon bed regeneration time established as a requirement
of paragraph (b)(4)(iii)(F) of this section.
(5) Explanation for each period recorded under paragraph (4) of the
cause for control device operating parameter exceeding the design value
and the measures implemented to correct the control device operation.
(6) For a carbon adsorption system operated subject to requirements
specified in 264.1033(g) or 264.1033(h)(2), date when existing carbon
in the control device is replaced with fresh carbon.
(7) For a carbon adsorption system operated subject to requirements
specified in 264.1033(h)(1), a log that records:
(i) Date and time when control device is monitored for carbon
breakthrough and the monitoring device reading.
(ii) Date when existing carbon in the control device is replaced with
fresh carbon.
(8) Date of each control device startup and shutdown.
(d) Records of the monitoring, operating, and inspection information
required by paragraphs (c)(3)-(c)(8) of this section need be kept only 3
years.
(e) For a control device other than a thermal vapor incinerator,
catalytic vapor incinerator, flare, boiler, process heater, condenser,
or carbon adsorption system, the Regional Administrator will specify the
appropriate recordkeeping requirements.
(f) Up-to-date information and data used to determine whether or not
a process vent is subject to the requirements in 264.1032 including
supporting documentation as required by 264.1034(d)(2) when application
of the knowledge of the nature of the hazardous waste stream or the
process by which it was produced is used, shall be recorded in a log
that is kept in the facility operating record.
(Approved by the Office of Management and Budget under control number
2060-0195)
(55 FR 25494, June 21, 1990, as amended at 56 FR 19290, Apr. 26,
1991)
40 CFR 264.1036 Reporting requirements.
(a) A semiannual report shall be submitted by owners and operators
subject to the requirements of this subpart to the Regional
Administrator by dates specified by the Regional Administrator. The
report shall include the following information:
(1) The Environmental Protection Agency identification number, name,
and address of the facility.
(2) For each month during the semiannual reporting period, dates when
the control device exceeded or operated outside of the design
specifications as defined in 264.1035(c)(4) and as indicated by the
control device monitoring required by 264.1033(f) and such exceedances
were not corrected within 24 hours, or that a flare operated with
visible emissions as defined in 264.1033(d) and as determined by Method
22 monitoring, the duration and cause of each exceedance or visible
emissions, and any corrective measures taken.
(b) If, during the semiannual reporting period, the control device
does not exceed or operate outside of the design specifications as
defined in 264.1035(c)(4) for more than 24 hours or a flare does not
operate with visible emissions as defined in 264.1033(d), a report to
the Regional Administrator is not required.
(Approved by the Office of Management and Budget under control number
2060-0195)
264.1037 -- 264.1049 (Reserved)
40 CFR 264.1036 Subpart BB -- Air Emission Standards for Equipment
Leaks
Source: 55 FR 25501, June 21, 1990, unless otherwise noted.
40 CFR 264.1050 Applicability.
(a) The regulations in this subpart apply to owners and operators of
facilities that treat, store, or dispose of hazardous wastes (except as
provided in 264.1).
(b) Except as provided in 264.1064(k), this subpart applies to
equipment that contains or contacts hazardous wastes with organic
concentrations of at least 10 percent by weight that are managed in:
(1) Units that are subject to the permitting requirements of part
270, or
(2) Hazardous waste recycling units that are located on hazardous
waste management facilities otherwise subject to the permitting
requirements of part 270.
(c) If the owner or operator of equipment subject to the requirements
of 264.1052 through 264.1065 has received a permit under section 3005
of RCRA prior to December 21, 1990, the requirements of 264.1052
through 264.1065 must be incorporated when the permit is reissued under
124.15 or reviewed under 270.50.
(d) Each piece of equipment to which this subpart applies shall be
marked in such a manner that it can be distinguished readily from other
pieces of equipment.
(e) Equipment that is in vacuum service is excluded from the
requirements of 264.1052 to 264.1060 if it is identified as required
in 264.1064(g)(5).
(Note: The requirements of 264.1052 through 264.1065 apply to
equipment associated with hazardous waste recycling units previously
exempt under 261.6(c)(1). Other exemptions under 261.4, 262.34, and
264.1(g) are not affected by these requirements.)
40 CFR 264.1051 Definitions.
As used in this subpart, all terms shall have the meaning given them
in 264.1031, the Act, and parts 260-266.
40 CFR 264.1052 Standards: Pumps in light liquid service.
(a)(1) Each pump in light liquid service shall be monitored monthly
to detect leaks by the methods specified in 264.1063(b), except as
provided in paragraphs (d), (e), and (f) of this section.
(2) Each pump in light liquid service shall be checked by visual
inspection each calendar week for indications of liquids dripping from
the pump seal.
(b)(1) If an instrument reading of 10,000 ppm or greater is measured,
a leak is detected.
(2) If there are indications of liquids dripping from the pump seal,
a leak is detected.
(c)(1) When a leak is detected, it shall be repaired as soon as
practicable, but not later than 15 calendar days after it is detected,
except as provided in 264.1059.
(2) A first attempt at repair (e.g., tightening the packing gland)
shall be made no later than 5 calendar days after each leak is detected.
(d) Each pump equipped with a dual mechanical seal system that
includes a barrier fluid system is exempt from the requirements of
paragraph (a) of this section, provided the following requirements are
met:
(1) Each dual mechanical seal system must be:
(i) Operated with the barrier fluid at a pressure that is at all
times greater than the pump stuffing box pressure, or
(ii) Equipped with a barrier fluid degassing reservoir that is
connected by a closed-vent system to a control device that complies with
the requirements of 264.1060, or
(iii) Equipped with a system that purges the barrier fluid into a
hazardous waste stream with no detectable emissions to the atmosphere.
(2) The barrier fluid system must not be a hazardous waste with
organic concentrations 10 percent or greater by weight.
(3) Each barrier fluid system must be equipped with a sensor that
will detect failure of the seal system, the barrier fluid system, or
both.
(4) Each pump must be checked by visual inspection, each calendar
week, for indications of liquids dripping from the pump seals.
(5)(i) Each sensor as described in paragraph (d)(3) of this section
must be checked daily or be equipped with an audible alarm that must be
checked monthly to ensure that it is functioning properly.
(ii) The owner or operator must determine, based on design
considerations and operating experience, a criterion that indicates
failure of the seal system, the barrier fluid system, or both.
(6)(i) If there are indications of liquids dripping from the pump
seal or the sensor indicates failure of the seal system, the barrier
fluid system, or both based on the criterion determined in paragraph
(d)(5)(ii) of this section, a leak is detected.
(ii) When a leak is detected, it shall be repaired as soon as
practicable, but not later than 15 calendar days after it is detected,
except as provided in 264.1059.
(iii) A first attempt at repair (e.g., relapping the seal) shall be
made no later than 5 calendar days after each leak is detected.
(e) Any pump that is designated, as described in 264.1064(g)(2), for
no detectable emissions, as indicated by an instrument reading of less
than 500 ppm above background, is exempt from the requirements of
paragraphs (a), (c), and (d) of this section if the pump meets the
following requirements:
(1) Must have no externally actuated shaft penetrating the pump
housing.
(2) Must operate with no detectable emissions as indicated by an
instrument reading of less than 500 ppm above background as measured by
the methods specified in 264.1063(c).
(3) Must be tested for compliance with paragraph (e)(2) of this
section initially upon designation, annually, and at other times as
requested by the Regional Administrator.
(f) If any pump is equipped with a closed-vent system capable of
capturing and transporting any leakage from the seal or seals to a
control device that complies with the requirements of 264.1060, it is
exempt from the requirements of paragraphs (a) through (e) of this
section.
(55 FR 25501, June 21, 1990, as amended at 56 FR 19290, Apr. 26,
1991)
40 CFR 264.1053 Standards: Compressors.
(a) Each compressor shall be equipped with a seal system that
includes a barrier fluid system and that prevents leakage of total
organic emissions to the atmosphere, except as provided in paragraphs
(h) and (i) of this section.
(b) Each compressor seal system as required in paragraph (a) of this
section shall be:
(1) Operated with the barrier fluid at a pressure that is at all
times greater than the compressor stuffing box pressure, or
(2) Equipped with a barrier fluid system that is connected by a
closed-vent system to a control device that complies with the
requirements of 264.1060, or
(3) Equipped with a system that purges the barrier fluid into a
hazardous waste stream with no detectable emissions to atmosphere.
(c) The barrier fluid must not be a hazardous waste with organic
concentrations 10 percent or greater by weight.
(d) Each barrier fluid system as described in paragraphs (a) through
(c) of this section shall be equipped with a sensor that will detect
failure of the seal system, barrier fluid system, or both.
(e)(1) Each sensor as required in paragraph (d) of this section shall
be checked daily or shall be equipped with an audible alarm that must be
checked monthly to ensure that it is functioning properly unless the
compressor is located within the boundary of an unmanned plant site, in
which case the sensor must be checked daily.
(2) The owner or operator shall determine, based on design
considerations and operating experience, a criterion that indicates
failure of the seal system, the barrier fluid system, or both.
(f) If the sensor indicates failure of the seal system, the barrier
fluid system, or both based on the criterion determined under paragraph
(e)(2) of this section, a leak is detected.
(g)(1) When a leak is detected, it shall be repaired as soon as
practicable, but not later than 15 calendar days after it is detected,
except as provided in 264.1059.
(2) A first attempt at repair (e.g., tightening the packing gland)
shall be made no later than 5 calendar days after each leak is detected.
(h) A compressor is exempt from the requirements of paragraphs (a)
and (b) of this section if it is equipped with a closed-vent system
capable of capturing and transporting any leakage from the seal to a
control device that complies with the requirements of 264.1060, except
as provided in paragraph (i) of this section.
(i) Any compressor that is designated, as described in
264.1064(g)(2), for no detectable emissions as indicated by an
instrument reading of less than 500 ppm above background is exempt from
the requirements of paragraphs (a) through (h) of this section if the
compressor:
(1) Is determined to be operating with no detectable emissions, as
indicated by an instrument reading of less than 500 ppm above
background, as measured by the method specified in 264.1063(c).
(2) Is tested for compliance with paragraph (i)(1) of this section
initially upon designation, annually, and at other times as requested by
the Regional Administrator.
40 CFR 264.1054 Standards: Pressure relief devices in gas/vapor
service.
(a) Except during pressure releases, each pressure relief device in
gas/vapor service shall be operated with no detectable emissions, as
indicated by an instrument reading of less than 500 ppm above
background, as measured by the method specified in 264.1063(c).
(b)(1) After each pressure release, the pressure relief device shall
be returned to a condition of no detectable emissions, as indicated by
an instrument reading of less than 500 ppm above background, as soon as
practicable, but no later than 5 calendar days after each pressure
release, except as provided in 264.1059.
(2) No later than 5 calendar days after the pressure release, the
pressure relief device shall be monitored to confirm the condition of no
detectable emissions, as indicated by an instrument reading of less than
500 ppm above background, as measured by the method specified in
264.1063(c).
(c) Any pressure relief device that is equipped with a closed-vent
system capable of capturing and transporting leakage from the pressure
relief device to a control device as described in 264.1060 is exempt
from the requirements of paragraphs (a) and (b) of this section.
40 CFR 264.1055 Standards: Sampling connecting systems.
(a) Each sampling connection system shall be equipped with a closed
purge system or closed-vent system.
(b) Each closed-purge system or closed-vent system as required in
paragraph (a) shall:
(1) Return the purged hazardous waste stream directly to the
hazardous waste management process line with no detectable emissions to
atmosphere, or
(2) Collect and recycle the purged hazardous waste stream with no
detectable emissions to atmosphere, or
(3) Be designed and operated to capture and transport all the purged
hazardous waste stream to a control device that complies with the
requirements of 264.1060.
(c) In situ sampling systems are exempt from the requirements of
paragraphs (a) and (b) of this section.
40 CFR 264.1056 Standards: Open-ended valves or lines.
(a)(1) Each open-ended valve or line shall be equipped with a cap,
blind flange, plug, or a second valve.
(2) The cap, blind flange, plug, or second valve shall seal the open
end at all times except during operations requiring hazardous waste
stream flow through the open-ended valve or line.
(b) Each open-ended valve or line equipped with a second valve shall
be operated in a manner such that the valve on the hazardous waste
stream end is closed before the second valve is closed.
(c) When a double block and bleed system is being used, the bleed
valve or line may remain open during operations that require venting the
line between the block valves but shall comply with paragraph (a) of
this section at all other times.
40 CFR 264.1057 Standards: Valves in gas/vapor service or in light
liquid service.
(a) Each valve in gas/vapor or light liquid service shall be
monitored monthly to detect leaks by the methods specified in
264.1063(b) and shall comply with paragraphs (b) through (e) of this
section, except as provided in paragraphs (f), (g), and (h) of this
section, and 264.1061 and 264.1062.
(b) If an instrument reading of 10,000 ppm or greater is measured, a
leak is detected.
(c)(1) Any valve for which a leak is not detected for two successive
months may be monitored the first month of every succeeding quarter,
beginning with the next quarter, until a leak is detected.
(2) If a leak is detected, the valve shall be monitored monthly until
a leak is not detected for two successive months,
(d)(1) When a leak is detected, it shall be repaired as soon as
practicable, but no later than 15 calendar days after the leak is
detected, except as provided in 264.1059.
(2) A first attempt at repair shall be made no later than 5 calendar
days after each leak is detected.
(e) First attempts at repair include, but are not limited to, the
following best practices where practicable:
(1) Tightening of bonnet bolts.
(2) Replacement of bonnet bolts.
(3) Tightening of packing gland nuts.
(4) Injection of lubricant into lubricated packing.
(f) Any valve that is designated, as described in 264.1064(g)(2),
for no detectable emissions, as indicated by an instrument reading of
less than 500 ppm above background, is exempt from the requirements of
paragraph (a) of this section if the valve:
(1) Has no external actuating mechanism in contact with the hazardous
waste stream.
(2) Is operated with emissions less than 500 ppm above background as
determined by the method specified in 264.1063(c).
(3) Is tested for compliance with paragraph (f)(2) of this section
initially upon designation, annually, and at other times as requested by
the Regional Administrator.
(g) Any valve that is designated, as described in 264.1064(h)(1), as
an unsafe-to-monitor valve is exempt from the requirements of paragraph
(a) of this section if:
(1) The owner or operator of the valve determines that the valve is
unsafe to monitor because monitoring personnel would be exposed to an
immediate danger as a consequence of complying with paragraph (a) of
this section.
(2) The owner or operator of the valve adheres to a written plan that
requires monitoring of the valve as frequently as practicable during
safe-to-monitor times.
(h) Any valve that is designated, as described in 264.1064(h)(2), as
a difficult-to-monitor valve is exempt from the requirements of
paragraph (a) of this section if:
(1) The owner or operator of the valve determines that the valve
cannot be monitored without elevating the monitoring personnel more than
2 meters above a support surface.
(2) The hazardous waste management unit within which the valve is
located was in operation before June 21, 1990.
(3) The owner or operator of the valve follows a written plan that
requires monitoring of the valve at least once per calendar year.
40 CFR 264.1058 Standards: Pumps and valves in heavy liquid service,
pressure relief devices in light liquid or heavy liquid service, and
flanges and other connectors.
(a) Pumps and valves in heavy liquid service, pressure relief devices
in light liquid or heavy liquid service, and flanges and other
connectors shall be monitored within 5 days by the method specified in
264.1063(b) if evidence of a potential leak is found by visual, audible,
olfactory, or any other detection method.
(b) If an instrument reading of 10,000 ppm or greater is measured, a
leak is detected.
(c)(1) When a leak is detected, it shall be repaired as soon as
practicable, but not later than 15 calendar days after it is detected.
except as provided in 264.1059.
(2) The first attempt at repair shall be made no later than 5
calendar days after each leak is detected.
(d) First attempts at repair include, but are not limited to, the
best practices described under 264.1057(e).
40 CFR 264.1059 Standards: Delay of repair.
(a) Delay of repair of equipment for which leaks have been detected
will be allowed if the repair is technically infeasible without a
hazardous waste management unit shutdown. In such a case, repair of
this equipment shall occur before the end of the next hazardous waste
management unit shutdown.
(b) Delay of repair of equipment for which leaks have been detected
will be allowed for equipment that is isolated from the hazardous waste
management unit and that does not continue to contain or contact
hazardous waste with organic concentrations at least 10 percent by
weight.
(c) Delay of repair for valves will be allowed if:
(1) The owner or operator determines that emissions of purged
material resulting from immediate repair are greater than the emissions
likely to result from delay of repair.
(2) When repair procedures are effected, the purged material is
collected and destroyed or recovered in a control device complying with
264.1060.
(d) Delay of repair for pumps will be allowed if:
(1) Repair requires the use of a dual mechanical seal system that
includes a barrier fluid system.
(2) Repair is completed as soon as practicable, but not later than 6
months after the leak was detected.
(e) Delay of repair beyond a hazardous waste management unit shutdown
will be allowed for a valve if valve assembly replacement is necessary
during the hazardous waste management unit shutdown, valve assembly
supplies have been depleted, and valve assembly supplies had been
sufficiently stocked before the supplies were depleted. Delay of repair
beyond the next hazardous waste management unit shutdown will not be
allowed unless the next hazardous waste management unit shutdown occurs
sooner than 6 months after the first hazardous waste management unit
shutdown.
40 CFR 264.1060 Standards: Closed-vent systems and control devices.
Owners or operators of closed-vent systems and control devices shall
comply with the provisions of 264.1033.
40 CFR 264.1061 Alternative standards for valves in gas/vapor service
or in light liquid service: percentage of valves allowed to leak.
(a) An owner or operator subject to the requirements of 264.1057 may
elect to have all valves within a hazardous waste management unit comply
with an alternative standard that allows no greater than 2 percent of
the valves to leak.
(b) The following requirements shall be met if an owner or operator
decides to comply with the alternative standard of allowing 2 percent of
valves to leak:
(1) An owner or operator must notify the Regional Administrator that
the owner or operator has elected to comply with the requirements of
this section.
(2) A performance test as specified in paragraph (c) of this section
shall be conducted initially upon designation, annually, and at other
times requested by the Regional Administrator.
(3) If a valve leak is detected, it shall be repaired in accordance
with 264.1057(d) and (e).
(c) Performance tests shall be conducted in the following manner:
(1) All valves subject to the requirements in 264.1057 within the
hazardous waste management unit shall be monitored within 1 week by the
methods specified in 264.1063(b).
(2) If an instrument reading of 10,000 ppm or greater is measured, a
leak is detected.
(3) The leak percentage shall be determined by dividing the number of
valves subject to the requirements in 264.1057 for which leaks are
detected by the total number of valves subject to the requirements in
264.1057 within the hazardous waste management unit.
(d) If an owner or operator decides to comply with this section no
longer, the owner or operator must notify the Regional Administrator in
writing that the work practice standard described in 264.1057(a)
through (e) will be followed.
40 CFR 264.1062 Alternative standards for valves in gas/vapor service
or in light liquid service: skip period leak detection and repair.
(a)(1) An owner or operator subject to the requirements of 264.1057
may elect for all valves within a hazardous waste management unit to
comply with one of the alternative work practices specified in
paragraphs (b) (2) and (3) of this section.
(2) An owner or operator must notify the Regional Administrator
before implementing one of the alternative work practices.
(b)(1) An owner or operator shall comply with the requirements for
valves, as described in 264.1057, except as described in paragraphs
(b)(2) and (b)(3) of this section.
(2) After two consecutive quarterly leak detection periods with the
percentage of valves leaking equal to or less than 2 percent, an owner
or operator may begin to skip one of the quarterly leak detection
periods for the valves subject to the requirements in 264.1057.
(3) After five consecutive quarterly leak detection periods with the
percentage of valves leaking equal to or less than 2 percent, an owner
or operator may begin to skip three of the quarterly leak detection
periods for the valves subject to the requirements in 264.1057.
(4) If the percentage of valves leaking is greater than 2 percent,
the owner or operator shall monitor monthly in compliance with the
requirements in 264.1057, but may again elect to use this section after
meeting the requirements of 264.1057(c)(1).
(Approved by the Office of Management and Budget under control number
2060-0195)
40 CFR 264.1063 Test methods and procedures.
(a) Each owner or operator subject to the provisions of this subpart
shall comply with the test methods and procedures requirements provided
in this section.
(b) Leak detection monitoring, as required in 264.1052-264.1062,
shall comply with the following requirements:
(1) Monitoring shall comply with Reference Method 21 in 40 CFR part
60.
(2) The detection instrument shall meet the performance criteria of
Reference Method 21.
(3) The instrument shall be calibrated before use on each day of its
use by the procedures specified in Reference Method 21.
(4) Calibration gases shall be:
(i) Zero air (less than 10 ppm of hydrocarbon in air).
(ii) A mixture of methane or n-hexane and air at a concentration of
approximately, but less than, 10,000 ppm methane or n-hexane.
(5) The instrument probe shall be traversed around all potential leak
interfaces as close to the interface as possible as described in
Reference Method 21.
(c) When equipment is tested for compliance with no detectable
emissions. as required in 264.1052(e), 264.1053(i), 264.1054, and
264.1057(f), the test shall comply with the following requirements:
(1) The requirements of paragraphs (b)(1) through (4) of this section
shall apply.
(2) The background level shall be determined as set forth in
Reference Method 21.
(3) The instrument probe shall be traversed around all potential leak
interfaces as close to the interface as possible as described in
Reference Method 21.
(4) The arithmetic difference between the maximum concentration
indicated by the instrument and the background level is compared with
500 ppm for determining compliance.
(d) In accordance with the waste analysis plan required by
264.13(b), an owner or operator of a facility must determine, for each
piece of equipment, whether the equipment contains or contacts a
hazardous waste with organic concentration that equals or exceeds 10
percent by weight using the following:
(1) Methods described in ASTM Methods D 2267-88, E 169-87, E 168-88,
E 260-85 (incorporated by reference under 260.11);
(2) Method 9060 or 8240 of SW-846 (incorporated by reference under
260.11); or
(3) Application of the knowledge of the nature of the hazardous waste
stream or the process by which it was produced. Documentation of a
waste determination by knowledge is required. Examples of documentation
that shall be used to support a determination under this provision
include production process information documenting that no organic
compounds are used, information that the waste is generated by a process
that is identical to a process at the same or another facility that has
previously been demonstrated by direct measurement to have a total
organic content less than 10 percent, or prior speciation analysis
results on the same waste stream where it can also be documented that no
process changes have occurred since that analysis that could affect the
waste total organic concentration.
(e) If an owner or operator determines that a piece of equipment
contains or contacts a hazardous waste with organic concentrations at
least 10 percent by weight, the determination can be revised only after
following the procedures in paragraph (d)(1) or (d)(2) of this section.
(f) When an owner or operator and the Regional Administrator do not
agree on whether a piece of equipment contains or contacts a hazardous
waste with organic concentrations at least 10 percent by weight, the
procedures in paragraph (d)(1) or (d)(2) of this section can be used to
resolve the dispute.
(g) Samples used in determining the percent organic content shall be
representative of the highest total organic content hazardous waste that
is expected to be contained in or contact the equipment.
(h) To determine if pumps or valves are in light liquid service, the
vapor pressures of constituents may be obtained from standard reference
texts or may be determined by ASTM D-2879-86 (incorporated by reference
under 260.11).
(i) Performance tests to determine if a control device achieves 95
weight percent organic emission reduction shall comply with the
procedures of 264.1034(c)(1) through (c)(4).
40 CFR 264.1064 Recordkeeping requirements.
(a)(1) Each owner or operator subject to the provisions of this
subpart shall comply with the recordkeeping requirements of this
section.
(2) An owner or operator of more than one hazardous waste management
unit subject to the provisions of this subpart may comply with the
recordkeeping requirements for these hazardous waste management units in
one recordkeeping system if the system identifies each record by each
hazardous waste management unit.
(b) Owners and operators must record the following information in the
facility operating record:
(1) For each piece of equipment to which subpart BB of part 264
applies:
(i) Equipment identification number and hazardous waste management
unit identification.
(ii) Approximate locations within the facility (e.g., identify the
hazardous waste management unit on a facility plot plan).
(iii) Type of equipment (e.g.. a pump or pipeline valve).
(iv) Percent-by-weight total organics in the hazardous waste stream
at the equipment.
(v) Hazardous waste state at the equipment (e.g., gas/vapor or
liquid).
(vi) Method of compliance with the standard (e.g., ''monthly leak
detection and repair'' or ''equipped with dual mechanical seals'').
(2) For facilities that comply with the provisions of
264.1033(a)(2), an implementation schedule as specified in
264.1033(a)(2).
(3) Where an owner or operator chooses to use test data to
demonstrate the organic removal efficiency or total organic compound
concentration achieved by the control device, a performance test plan as
specified in 264.1035(b)(3).
(4) Documentation of compliance with 264.1060, including the
detailed design documentation or performance test results specified in
264.1035(b)(4).
(c) When each leak is detected as specified in 264.1052, 264.1053,
264.1057, and 264.1058, the following requirements apply:
(1) A weatherproof and readily visible identification, marked with
the equipment identification number, the date evidence of a potential
leak was found in accordance with 264.1058(a), and the date the leak
was detected, shall be attached to the leaking equipment.
(2) The identification on equipment, except on a valve, may be
removed after it has been repaired.
(3) The identification on a valve may be removed after it has been
monitored for 2 successive months as specified in 264.1057(c) and no
leak has been detected during those 2 months.
(d) When each leak is detected as specified in 264.1052, 264.1053,
264.1057, and 264.1058, the following information shall be recorded in
an inspection log and shall be kept in the facility operating record:
(1) The instrument and operator identification numbers and the
equipment identification number.
(2) The date evidence of a potential leak was found in accordance
with 264.1058(a).
(3) The date the leak was detected and the dates of each attempt to
repair the leak.
(4) Repair methods applied in each attempt to repair the leak.
(5) ''Above 10,000'' if the maximum instrument reading measured by
the methods specified in 264.1063(b) after each repair attempt is equal
to or greater than 10,000 ppm.
(6) ''Repair delayed'' and the reason for the delay if a leak is not
repaired within 15 calendar days after discovery of the leak.
(7) Documentation supporting the delay of repair of a valve in
compliance with 264.1059(c).
(8) The signature of the owner or operator (or designate) whose
decision it was that repair could not be effected without a hazardous
waste management unit shutdown.
(9) The expected date of successful repair of the leak if a leak is
not repaired within 15 calendar days.
(10) The date of successful repair of the leak.
(e) Design documentation and monitoring, operating, and inspection
information for each closed-vent system and control device required to
comply with the provisions of 264.1060 shall be recorded and kept
up-to-date in the facility operating record as specified in
264.1035(c). Design documentation is specified in 264.1035 (c)(1) and
(c)(2) and monitoring, operating, and inspection information in
264.1035(c)(3)-(c)(8).
(f) For a control device other than a thermal vapor incinerator,
catalytic vapor incinerator, flare, boiler, process heater, condenser,
or carbon adsorption system, the Regional Administrator will specify the
appropriate recordkeeping requirements.
(g) The following information pertaining to all equipment subject to
the requirements in 264.1052 through 264.1060 shall be recorded in a
log that is kept in the facility operating record:
(1) A list of identification numbers for equipment (except welded
fittings) subject to the requirements of this subpart.
(2)(i) A list of identification numbers for equipment that the owner
or operator elects to designate for no detectable emissions, as
indicated by an instrument reading of less than 500 ppm above
background, under the provisions of 264.1052(e), 264.1053(i), and
264.1057(f).
(ii) The designation of this equipment as subject to the requirements
of 264.1052(e), 264.1053(i), or 264.1057(f) shall be signed by the
owner or operator.
(3) A list of equipment identification numbers for pressure relief
devices required to comply with 264.1054(a).
(4)(i) The dates of each compliance test required in 264.1052(e),
264.1053(i), 264.1054, and 264.1057(f).
(ii) The background level measured during each compliance test.
(iii) The maximum instrument reading measured at the equipment during
each compliance test.
(5) A list of identification numbers for equipment in vacuum service.
(h) The following information pertaining to all valves subject to the
requirements of 264.1057 (g) and (h) shall be recorded in a log that is
kept in the facility operating record:
(1) A list of identification numbers for valves that are designated
as unsafe to monitor, an explanation for each valve stating why the
valve is unsafe to monitor, and the plan for monitoring each valve.
(2) A list of identification numbers for valves that are designated
as difficult to monitor, an explanation for each valve stating why the
valve is difficult to monitor, and the planned schedule for monitoring
each valve.
(i) The following information shall be recorded in the facility
operating record for valves complying with 264.1062:
(1) A schedule of monitoring.
(2) The percent of valves found leaking during each monitoring
period.
(j) The following information shall be recorded in a log that is kept
in the facility operating record:
(1) Criteria required in 264.1052(d)(5)(ii) and 264.1053(e)(2) and
an explanation of the design criteria.
(2) Any changes to these criteria and the reasons for the changes.
(k) The following information shall be recorded in a log that is kept
in the facility operating record for use in determining exemptions as
provided in the applicability section of this subpart and other specific
subparts:
(1) An analysis determining the design capacity of the hazardous
waste management unit.
(2) A statement listing the hazardous waste influent to and effluent
from each hazardous waste management unit subject to the requirements in
264.1052 through 264.1060 and an analysis determining whether these
hazardous wastes are heavy liquids.
(3) An up-to-date analysis and the supporting information and data
used to determine whether or not equipment is subject to the
requirements in 264.1052 through 264.1060. The record shall include
supporting documentation as required by 264.1063(d)(3) when application
of the knowledge of the nature of the hazardous waste stream or the
process by which it was produced is used. If the owner or operator
takes any action (e.g., changing the process that produced the waste)
that could result in an increase in the total organic content of the
waste contained in or contacted by equipment determined not to be
subject to the requirements in 264.1052 through 264.1060, then a new
determination is required.
(l) Records of the equipment leak information required by paragraph
(d) of this section and the operating information required by paragraph
(e) of this section need be kept only 3 years.
(m) The owner or operator of any facility that is subject to this
subpart and to regulations at 40 CFR part 60, subpart VV, or 40 CFR part
61, subpart V, may elect to determine compliance with this subpart by
documentation either pursuant to 264.1064 of this subpart, or pursuant
to those provisions of 40 CFR part 60 or 61, to the extent that the
documentation under the regulation at 40 CFR part 60 or part 61
duplicates the documentation required under this subpart. The
documentation under the regulation at 40 CFR part 60 or part 61 shall be
kept with or made readily available with the facility operating record.
(Approved by the Office of Management and Budget under control number
2060-0195)
40 CFR 264.1065 Reporting requirements.
(a) A semiannual report shall be submitted by owners and operators
subject to the requirements of this subpart to the Regional
Administrator by dates specified by the Regional Administrator. The
report shall include the following information:
(1) The Environmental Protection Agency identification number, name,
and address of the facility.
(2) For each month during the semiannual reporting period:
(i) The equipment identification number of each valve for which a
leak was not repaired as required in 264.1057(d).
(ii) The equipment identification number of each pump for which a
leak was not repaired as required in 264.1052 (c) and (d)(6).
(iii) The equipment identification number of each compressor for
which a leak was not repaired as required in 264.1053(g).
(3) Dates of hazardous waste management unit shutdowns that occurred
within the semiannual reporting period.
(4) For each month during the semiannual reporting period, dates when
the control device installed as required by 264.1052, 264.1053,
264.1054, or 264.1055 exceeded or operated outside of the design
specifications as defined in 264.1064(e) and as indicated by the
control device monitoring required by 264.1060 and was not corrected
within 24 hours, the duration and cause of each exceedance, and any
corrective measures taken.
(b) If, during the semiannual reporting period, leaks from valves,
pumps, and compressors are repaired as required in 264.1057 (d),
264.1052 (c) and (d)(6), and 264.1053 (g), respectively, and the control
device does not exceed or operate outside of the design specifications
as defined in 264.1064(e) for more than 24 hours, a report to the
Regional Administrator is not required.
(Approved by the Office of Management and Budget under control number
2060-0195)
264.1066 -- 264.1079 (Reserved)
40 CFR 264.1065 Appendices to Part 264
40 CFR 264.1065 Pt. 264, App. I
40 CFR 264.1065 Appendix I to Part 264 -- Recordkeeping Instructions
The recordkeeping provisions of 264.73 specify that an owner or
operator must keep a written operating record at his facility. This
appendix provides additional instructions for keeping portions of the
operating record. See 264.73(b) for additional recordkeeping
requirements.
The following information must be recorded, as it becomes available,
and maintained in the operating record until closure of the facility in
the following manner:
Records of each hazardous waste received, treated, stored, or
disposed of at the facility which include the following:
(1) A description by its common name and the EPA Hazardous Waste
Number(s) from part 261 of this chapter which apply to the waste. The
waste description also must include the waste's physical form, i.e.,
liquid, sludge, solid, or contained gas. If the waste is not listed in
part 261, subpart D, of this chapter, the description also must include
the process that produced it (for example, solid filter cake from
production of ----, EPA Hazardous Waste Number W051).
Each hazardous waste listed in part 261, subpart D, of this chapter,
and each hazardous waste characteristic defined in part 261, subpart C,
of this chapter, has a four-digit EPA Hazardous Waste Number assigned to
it. This number must be used for recordkeeping and reporting purposes.
Where a hazardous waste contains more than one listed hazardous waste,
or where more than one hazardous waste characteristic applies to the
waste, the waste description must include all applicable EPA Hazardous
Waste Numbers.
(2) The estimated or manifest-reported weight, or volume and density,
where applicable, in one of the units of measure specified in Table 1;
(3) The method(s) (by handling code(s) as specified in Table 2) and
date(s) of treatment, storage, or disposal.
Enter the handling code(s) listed below that most closely represents
the technique(s) used at the facility to treat, store, or dispose of
each quantity of hazardous waste received.
1. Storage
S01 Container (barrel, drum, etc.)
S02 Tank
S03 Waste pile
S04 Surface impoundment
S05 Other (specify)
2. Treatment
(a) Thermal Treatment
T06 Liquid injection incinerator
T07 Rotary kiln incinerator
T08 Fluidized bed incinerator
T09 Multiple hearth incinerator
T10 Infrared furnace incinerator
T11 Molten salt destructor
T12 Pyrolysis
T13 Wet Air oxidation
T14 Calcination
T15 Microwave discharge
T16 Cement kiln
T17 Lime kiln
T18 Other (specify)
(b) Chemical Treatment
T19 Absorption mound
T20 Absorption field
T21 Chemical fixation
T22 Chemical oxidation
T23 Chemical precipitation
T24 Chemical reduction
T25 Chlorination
T26 Chlorinolysis
T27 Cyanide destruction
T28 Degradation
T29 Detoxification
T30 Ion exchange
T31 Neutralization
T32 Ozonation
T33 Photolysis
T34 Other (specify)
(c) Physical Treatment (1) Separation of components
T35 Centrifugation
T36 Clarification
T37 Coagulation
T38 Decanting
T39 Encapsulation
T40 Filtration
T41 Flocculation
T42 Flotation
T43 Foaming
T44 Sedimentation
T45 Thickening
T46 Ultrafiltration
T47 Other (specify)
(2) Removal of Specific Components
T48 Absorption-molecular sieve
T49 Activated carbon
T50 Blending
T51 Catalysis
T52 Crystallization
T53 Dialysis
T54 Distillation
T55 Electrodialysis
T56 Electrolysis
T57 Evaporation
T58 High gradient magnetic separation
T59 Leaching
T60 Liquid ion exchange
T61 Liquid-liquid extraction
T62 Reverse osmosis
T63 Solvent recovery
T64 Stripping
T65 Sand filter
T66 Other (specify)
(d) Biological Treatment
T67 Activated sludge
T68 Aerobic lagoon
T69 Aerobic tank
T70 Anaerobic lagoon
T71 Composting
T72 Septic tank
T73 Spray irrigation
T74 Thickening filter
T75 Tricking filter
T76 Waste stabilization pond
T77 Other (specify)
T78-79 (Reserved)
3. Disposal
D80 Underground injection
D81 Landfill
D82 Land treatment
D83 Ocean disposal
D84 Surface impoundment (to be closed as a landfill)
D85 Other (specify)
40 CFR 264.1065 Appendices II -- III to Part 264 -- (Reserved)
40 CFR 264.1065 Appendix IV to Part 264 -- Cochran's Approximation to the Behrens-Fisher Students' t-test
40 CFR 264.1065 Pt. 264, App. IV
Using all the available background data (nb readings), calculate the
background mean (Xb) and background variance (sb2). For the single
monitoring well under investigation (nm reading), calculate the
monitoring mean (Xm) and monitoring variance (sm2).
For any set of data (X1, X2, . . ., Xn) the mean is calculated by:
and the variance is calculated by:
where ''n'' denotes the number of
observations in the set of data.
The t-test uses these data summary measures to calculate a
t-statistic (t*) and a comparison t-statistic (tc). The t* value is
compared to the tc value and a conclusion reached as to whether there
has been a statistically significant change in any indicator parameter.
The t-statistic for all parameters except pH and similar monitoring
parameters is:
If the value of this t-statistic is negative then there is no
significant difference between the monitoring data and background data.
It should be noted that significantly small negative values may be
indicative of a failure of the assumption made for test validity or
errors have been made in collecting the background data.
The t-statistic (tc), against which t* will be compared, necessitates
finding tb and tm from standard (one-tailed) tables where,
tb=t-tables with (nb^1) degrees of freedom, at the 0.05 level of
significance.
tm=t-tables with (nm^1) degrees of freedom, at the 0.05 level of
significance.
Finally, the special weightings Wb and Wm are defined as:
and so the comparison t-statistic is:
The t-statistic (t*) is now compared with the comparison t-statistic
(tc) using the following decision-rule:
If t* is equal to or larger than tc, then conclude that there
most likely has been a significant increase in this specific parameter.
If t* is less than tc, then conclude that most likely there has
not been a change in this specific parameter.
The t-statistic for testing pH and similar monitoring parameters is
constructed in the same manner as previously described except the
negative sign (if any) is discarded and the caveat concerning the
negative value is ignored. The standard (two-tailed) tables are used in
the construction tc for pH and similar monitoring parameters.
If t* is equal to or larger than tc, then conclude that there most
likely has been a significant increase (if the initial t* had been
negative, this would imply a significant decrease). If t* is less than
tc, then conclude that there most likely has been no change.
A further discussion of the test may be found in Statistical Methods
(6th Edition, Section 4.14) by G. W. Snedecor and W. G. Cochran, or
Principles and Procedures of Statistics (1st Edition, Section 5.8) by R.
G. D. Steel and J. H. Torrie.
(47 FR 32367, July 26, 1982)
40 CFR 264.1065 Pt. 264, App. V
40 CFR 264.1065 Appendix V to Part 264 -- Examples of Potentially
Incompatible Waste
Many hazardous wastes, when mixed with other waste or materials at a
hazardous waste facility, can produce effects which are harmful to human
health and the environment, such as (1) heat or pressure, (2) fire or
explosion, (3) violent reaction, (4) toxic dusts, mists, fumes, or
gases, or (5) flammable fumes or gases.
Below are examples of potentially incompatible wastes, waste
components, and materials, along with the harmful consequences which
result from mixing materials in one group with materials in another
group. The list is intended as a guide to owners or operators of
treatment, storage, and disposal facilities, and to enforcement and
permit granting officials, to indicate the need for special precautions
when managing these potentially incompatible waste materials or
components.
This list is not intended to be exhaustive. An owner or operator
must, as the regulations require, adequately analyze his wastes so that
he can avoid creating uncontrolled substances or reactions of the type
listed below, whether they are listed below or not.
It is possible for potentially incompatible wastes to be mixed in a
way that precludes a reaction (e.g., adding acid to water rather than
water to acid) or that neutralizes them (e.g., a strong acid mixed with
a strong base), or that controls substances produced (e.g., by
generating flammable gases in a closed tank equipped so that ignition
cannot occur, and burning the gases in an incinerator).
In the lists below, the mixing of a Group A material with a Group B
material may have the potential consequence as noted.
Acetylene sludge
Alkaline caustic liquids
Alkaline cleaner
Alkaline corrosive liquids
Alkaline corrosive battery fluid
Caustic wastewater
Lime sludge and other corrosive alkalies
Lime wastewater
Lime and water
Spent caustic
Acid sludge
Acid and water
Battery acid
Chemical cleaners
Electrolyte, acid
Etching acid liquid or solvent
Pickling liquor and other corrosive acids
Spent acid
Spent mixed acid
Spent sulfuric acid
Potential consequences: Heat generation; violent reaction.
Aluminum
Beryllium
Calcium
Lithium
Magnesium
Potassium
Sodium
Zinc powder
Other reactive metals and metal hydrides
Any waste in Group 1-A or
1-B
Potential consequences: Fire or explosion; generation of flammable
hydrogen gas.
Alcohols
Water
Any concentrated waste in Groups 1-A or 1-B
Calcium
Lithium
Metal hydrides
Potassium
SO2Cl2, SOCl2, PCl3, CH3SiCl3
Other water-reactive waste
Potential consequences: Fire, explosion, or heat generation;
generation of flammable or toxic gases.
Alcohols
Aldehydes
Halogenated hydrocarbons
Nitrated hydrocarbons
Unsaturated hydrocarbons
Other reactive organic compounds and solvents
Concentrated Group 1-A or 1-B wastes
Group 2-A wastes
Potential consequences: Fire, explosion, or violent reaction.
Spent cyanide and sulfide solutions
Group 1-B wastes
Potential consequences: Generation of toxic hydrogen cyanide or
hydrogen sulfide gas.
Chlorates
Chlorine
Chlorites
Chromic acid
Hypochlorites
Nitrates
Nitric acid, fuming
Perchlorates
Permanganates
Peroxides
Other strong oxidizers
Acetic acid and other organic acids
Concentrated mineral acids
Group 2-A wastes
Group 4-A wastes
Other flammable and combustible wastes
Potential consequences: Fire, explosion, or violent reaction.
Source: ''Law, Regulations, and Guidelines for Handling of Hazardous
Waste.'' California Department of Health, February 1975.
(46 FR 2872, Jan. 12, 1981)
40 CFR 264.1065 Pt. 264, App. VI
40 CFR 264.1065 Appendix VI to Part 264 -- Political Jurisdictions /1/
in Which Compliance With 264.18(a) Must Be Demonstrated
Aleutian Islands
Anchorage
Bethel
Bristol Bay
Cordova-Valdez
Fairbanks-Fort Yukon
Juneau
Kenai-Cook Inlet
Ketchikan-Prince of Wales
Kodiak
Lynn Canal-Icy Straits
Palmer-Wasilla-Talkeena
Seward
Sitka
Wade Hampton
Wrangell Petersburg
Yukon-Kuskokwim
Cochise
Graham
Greenlee
Yuma
All
Archuleta
Conejos
Hinsdale
Mineral
Rio Grande
Saguache
Hawaii
Bannock
Bear Lake
Bingham
Bonneville
Caribou
Cassia
Clark
Franklin
Fremont
Jefferson
Madison
Oneida
Power
Teton
Beaverhead
Broadwater
Cascade
Deer Lodge
Flathead
Gallatin
Granite
Jefferson
Lake
Lewis and Clark
Madison
Meagher
Missoula
Park
Powell
Sanders
Silver Bow
Stillwater
Sweet Grass
Teton
Wheatland
All
Bernalillo
Catron
Grant
Hidalgo
Los Alamos
Rio Arriba
Sandoval
Sante Fe
Sierra
Socorro
Taos
Torrance
Valencia
Beaver
Box Elder
Cache
Carbon
Davis
Duchesne
Emery
Garfield
Iron
Juab
Millard
Morgan
Piute
Rich
Salt Lake
Sanpete
Sevier
Summit
Tooele
Utah
Wasatch
Washington
Wayne
Weber
Chelan
Clallam
Clark
Cowlitz
Douglas
Ferry
Grant
Grays Harbor
Jefferson
King
Kitsap
Kittitas
Lewis
Mason
Okanogan
Pacific
Pierce
San Juan Islands
Skagit
Skamania
Snohomish
Thurston
Wahkiakum
Whatcom
Yakima
Fremont
Lincoln
Park
Sublette
Teton
Uinta
Yellowstone National Park
(46 FR 57285, Nov. 23, 1981; 47 FR 953, Jan. 8, 1982)
/1/ These include counties, city-county consolidations, and
independent cities. In the case of Alaska, the political jurisdictions
are election districts, and, in the case of Hawaii, the political
jurisdiction listed is the island of Hawaii.
40 CFR 264.1065 Appendices VII -- VIII to Part 264 -- (Reserved)
40 CFR 264.1065 Appendix IX to Part 264 -- Ground-Water Monitoring List /1/
40 CFR 264.1065 Pt. 264, App. IX
(52 FR 25947, July 9, 1987)
40 CFR 264.1065 Pt. 265
40 CFR 264.1065 PART 265 -- INTERIM STATUS STANDARDS FOR OWNERS AND OPERATORS OF HAZARDOUS WASTE TREATMENT, STORAGE, AND DISPOSAL FACILITIES
40 CFR 264.1065 Subpart A -- General
Sec.
265.1 Purpose, scope, and applicability.
265.2 -- 265.3 (Reserved)
265.4 Imminent hazard action.
40 CFR 264.1065 Subpart B -- General Facility Standards
265.10 Applicability.
265.11 Identification number.
265.12 Required notices.
265.13 General waste analysis.
265.14 Security.
265.15 General inspection requirements.
265.16 Personnel training.
265.17 General requirements for ignitable, reactive, or incompatible
wastes.
265.18 Location standards.
265.19 Construction quality assurance program.
40 CFR 264.1065 Subpart C -- Preparedness and Prevention
265.30 Applicability.
265.31 Maintenance and operation of facility.
265.32 Required equipment.
265.33 Testing and maintenance of equipment.
265.34 Access to communications or alarm system.
265.35 Required aisle space.
265.36 (Reserved)
265.37 Arrangements with local authorities.
40 CFR 264.1065 Subpart D -- Contingency Plan and Emergency Procedures
265.50 Applicability.
265.51 Purpose and implementation of contingency plan.
265.52 Content of contingency plan.
265.53 Copies of contingency plan.
265.54 Amendment of contingency plan.
265.55 Emergency coordinator.
265.56 Emergency procedures.
40 CFR 264.1065 Subpart E -- Manifest System, Recordkeeping, and
Reporting
265.70 Applicability.
265.71 Use of manifest system.
265.72 Manifest discrepancies.
265.73 Operating record.
265.74 Availability, retention, and disposition of records.
265.75 Biennial report.
265.76 Unmanifested waste report.
265.77 Additional reports.
40 CFR 264.1065 Subpart F -- Ground-Water Monitoring
265.90 Applicability.
265.91 Ground-water monitoring system.
265.92 Sampling and analysis.
265.93 Preparation, evaluation, and response.
265.94 Recordkeeping and reporting.
40 CFR 264.1065 Subpart G -- Closure and Post-Closure
265.110 Applicability.
265.111 Closure performance standard.
265.112 Closure plan; amendment of plan.
265.113 Closure; time allowed for closure.
265.114 Disposal or decontamination of equipment, structures and
soils.
265.115 Certification of closure.
265.116 Survey plat.
265.117 Post-closure care and use of property.
265.118 Post-closure plan; amendment of plan.
265.119 Post-closure notices.
265.120 Certification of completion of post-closure care.
40 CFR 264.1065 Subpart H -- Financial Requirements
265.140 Applicability.
265.141 Definitions of terms as used in this subpart.
265.142 Cost estimate for closure.
265.143 Financial assurance for closure.
265.144 Cost estimate for post-closure care.
265.145 Financial assurance for post-closure care.
265.146 Use of a mechanism for financial assurance of both closure
and post-closure care.
265.147 Liability requirements.
265.148 Incapacity of owners or operators, guarantors, or financial
institutions.
265.149 Use of State-required mechanisms.
265.150 State assumption of responsibility.
40 CFR 264.1065 Subpart I -- Use and Management of Containers
265.170 Applicability.
265.171 Condition of containers.
265.172 Compatibility of waste with container.
265.173 Management of containers.
265.174 Inspections.
265.175 (Reserved)
265.176 Special requirements for ignitable or reactive waste.
265.177 Special requirements for incompatible wastes.
40 CFR 264.1065 Subpart J -- Tank Systems
265.190 Applicability.
265.191 Assessment of existing tank system's integrity.
265.192 Design and installation of new tank systems or components.
265.193 Containment and detection of releases.
265.194 General operating requirements.
265.195 Inspections.
265.196 Response to leaks or spills and disposition of leaking or
unfit-for-use tank systems.
265.197 Closure and post-closure care.
265.198 Special requirements for ignitable or reactive wastes.
265.199 Special requirements for incompatible wastes.
265.200 Waste analysis and trial tests.
265.201 Special requirements for generators of between 100 and 1,000
kg/mo that accumulate hazardous waste in tanks.
40 CFR 264.1065 Subpart K -- Surface Impoundments
265.220 Applicability.
265.221 Design and operating requirements.
265.222 Action leakage rate.
265.223 Containment system.
265.224 (Reserved)
265.225 Waste analysis and trial tests.
265.226 Monitoring and inspection.
265.227 (Reserved)
265.228 Closure and post-closure care.
265.229 Special requirements for ignitable or reactive waste.
265.230 Special requirements for incompatible wastes.
40 CFR 264.1065 Subpart L -- Waste Piles
265.250 Applicability.
265.251 Protection from wind.
265.252 Waste analysis.
265.253 Containment.
265.254 Design and operating requirements.
265.255 Action leakage rates.
265.256 Special requirements for ignitable or reactive waste.
265.257 Special requirements for incompatible wastes.
265.258 Closure and post-closure care.
265.259 Response actions.
265.260 Monitoring and inspection.
40 CFR 264.1065 Subpart M -- Land Treatment
265.270 Applicability.
265.271 (Reserved)
265.272 General operating requirements.
265.273 Waste analysis.
265.274 -- 265.275 (Reserved)
265.276 Food chain crops.
265.277 (Reserved)
265.278 Unsaturated zone (zone of aeration) monitoring.
265.279 Recordkeeping.
265.280 Closure and post-closure.
265.281 Special requirements for ignitable or reactive waste.
265.282 Special requirements for incompatible wastes.
40 CFR 264.1065 Subpart N -- Landfills
265.300 Applicability.
265.301 Design and operating requirements.
265.302 Action leakage rate.
265.303 Response actions.
265.304 Monitoring and inspection.
265.305 -- 265.308 (Reserved)
265.309 Surveying and recordkeeping.
265.310 Closure and post-closure care.
265.311 (Reserved)
265.312 Special requirements for ignitable or reactive waste.
265.313 Special requirements for incompatible wastes.
265.314 Special requirements for bulk and containerized liquids.
265.315 Special requirements for containers.
265.316 Disposal of small containers of hazardous waste in overpacked
drums (lab packs).
40 CFR 264.1065 Subpart O -- Incinerators
265.340 Applicability.
265.341 Waste analysis.
265.342 -- 265.344 (Reserved)
265.345 General operating requirements.
265.346 (Reserved)
265.347 Monitoring and inspections.
265.348 -- 265.350 (Reserved)
265.351 Closure.
265.352 Interim status incinerators burning particular hazardous
wastes.
265.353 -- 265.369 (Reserved)
40 CFR 264.1065 Subpart P -- Thermal Treatment
265.370 Other thermal treatment.
265.371 -- 265.372 (Reserved)
265.373 General operating requirements.
265.374 (Reserved)
265.375 Waste analysis.
265.376 (Reserved)
265.377 Monitoring and inspections.
265.378 -- 265.380 (Reserved)
265.381 Closure.
265.382 Open burning; waste explosives.
265.383 Interim status thermal treatment devices burning particular
hazardous waste.
40 CFR 264.1065 Subpart Q -- Chemical, Physical, and Biological
Treatment
265.400 Applicability.
265.401 General operating requirements.
265.402 Waste analysis and trial tests.
265.403 Inspections.
265.404 Closure.
265.405 Special requirements for ignitable or reactive waste.
265.406 Special requirements for incompatible wastes.
40 CFR 264.1065 Subpart R -- Underground Injection
265.430 Applicability.
40 CFR 264.1065 Subparts S -- V (Reserved)
40 CFR 264.1065 Subpart W -- Drip Pads
265.440 Applicability.
265.441 Assessment of existing drip pad integrity.
265.442 Design and installation of new drip pads.
265.443 Design and operating requirements.
265.444 Inspections.
265.445 Closure.
40 CFR 264.1065 Subparts X -- Z (Reserved)
40 CFR 264.1065 Subpart AA -- Air Emission Standards for Process Vents
265.1030 Applicability.
265.1031 Definitions.
265.1032 Standards: Process vents.
265.1033 Standards: Closed-vent systems and control devices.
265.1034 Test methods and procedures.
265.1035 Recordkeeping requirements.
265.1036 -- 265.1049 (Reserved)
40 CFR 264.1065 Subpart BB -- Air Emission Standards for Equipment
Leaks
265.1050 Applicability.
265.1051 Definitions.
265.1052 Standards: Pumps in light liquid service.
265.1053 Standards: Compressors.
265.1054 Standards: Pressure relief devices in gas/vapor service.
265.1055 Standards: Sampling connecting systems.
265.1056 Standards: Open-ended valves or lines.
265.1057 Standards: Valves in gas/vapor service or in light liquid
service.
265.1058 Standards: Pumps and valves in heavy liquid service,
pressure relief devices in light liquid or heavy liquid service, and
flanges and other connectors.
265.1059 Standards: Delay of repair.
265.1060 Standards: Closed-vent systems and control devices.
265.1061 Alternative standards for valves in gas/vapor service or in
light liquid service: percentage of valves allowed to leak.
265.1062 Alternative standards for valves in gas/vapor service or in
light liquid service: skip period leak detection and repair.
265.1063 Test methods and procedures.
265.1064 Recordkeeping requirements.
265.1065 -- 265.1079 (Reserved)
40 CFR 264.1065 Appendices to Part 265
Appendix I -- Recordkeeping Instructions
Appendix II -- (Reserved)
Appendix III -- EPA Interim Primary Drinking Water Standards
Appendix IV -- Tests for Significance
Appendix V -- Examples of Potentially Incompatible Waste
Authority: 42 U.S.C. 6905, 6912(a), 6924, 6925, 6935, and 6936,
unless otherwise noted.
Source: 45 FR 33232, May 19, 1980, unless otherwise noted.
Effective Date Note: The reporting or recordkeeping provisions
included in the final rule published at 47 FR 32274, July 26, 1982, will
be submitted for approval to the Office of Management and Budget and
will not become effective until OMB approval has been obtained. EPA
will publish a notice in the Federal Register after it obtains OMB
approval.
40 CFR 264.1065 Subpart A -- General
40 CFR 265.1 Purpose, scope, and applicability.
(a) The purpose of this part is to establish minimum national
standards that define the acceptable management of hazardous waste
during the period of interim status and until certification of final
closure or, if the facility is subject to post-closure requirements,
until post-closure responsibilities are fulfilled.
(b) The standards of this part apply to owners and operators of
facilities that treat, store or dispose of hazardous waste who have
fully complied with the requirements for interim status under section
3005(e) of RCRA and 270.10 of this chapter until either a permit is
issued under section 3005 of RCRA or until applicable part 265 closure
and post-closure responsibilities are fulfilled, and to those owners and
operators of facilities in existence on November 19, 1980 who have
failed to provide timely notification as required by section 3010(a) of
RCRA and/or failed to file part A of the permit application as required
by 40 CFR 270.10 (e) and (g). These standards apply to all treatment,
storage and disposal of hazardous waste at these facilities after the
effective date of these regulations, except as specifically provided
otherwise in this part or part 261 of this chapter.
(Comment: As stated in section 3005(a) of RCRA, after the effective
date of regulations under that section (i.e., parts 270 and 124 of this
chapter), the treatment, storage and disposal of hazardous waste is
prohibited except in accordance with a permit. Section 3005(e) of RCRA
provides for the continued operation of an existing facility that meets
certain conditions, until final administrative disposition of the
owner's and operator's permit application is made.)
(c) The requirements of this part do not apply to:
(1) A person disposing of hazardous waste by means of ocean disposal
subject to a permit issued under the Marine Protection, Research, and
Sanctuaries Act;
(Comment: These part 265 regulations do apply to the treatment or
storage of hazardous waste before it is loaded onto an ocean vessel for
incineration or disposal at sea, as provided in paragraph (b) of this
section.)
(2) (Reserved)
(3) The owner or operator of a POTW which treats, stores, or disposes
of hazardous waste;
(Comment: The owner or operator of a facility under paragraphs
(c)(1) through (3) of this section is subject to the requirements of
part 264 of this chapter to the extent they are included in a permit by
rule granted to such a person under part 122 of this chapter, or are
required by 144.14 of this chapter.)
(4) A person who treats, stores, or disposes of hazardous waste in a
State with a RCRA hazardous waste program authorized under subpart A or
B of part 271 of this chapter, except that the requirements of this part
will continue to apply:
(i) As stated in paragraph (c)(2) of this section, if the authorized
State RCRA program does not cover disposal of hazardous waste by means
of underground injection; or
(ii) To a person who treats, stores, or disposes of hazardous waste
in a State authorized under subpart A or B of part 271 of this chapter
if the State has not been authorized to carry out the requirements and
prohibitions applicable to the treatment, storage, or disposal of
hazardous waste at his facility which are imposed pursuant to the
Hazardous and Solid Waste Act Amendments of 1984. The requirements and
prohibitions that are applicable until a State receives authorization to
carry them out include all Federal program requirements identified in
271.1(j);
(5) The owner or operator of a facility permitted, licensed, or
registered by a State to manage municipal or industrial solid waste, if
the only hazardous waste the facility treats, stores, or disposes of is
excluded from regulation under this part by 261.5 of this chapter;
(6) The owner and operator of a facility managing recyclable
materials described in 261.6 (a) (2) and (3) of this chapter (except to
the extent that requirements of this part are referred to in subparts C,
D, F, or G of part 266 of this chapter).
(7) A generator accumulating waste on-site in compliance with 262.34
of this chapter, except to the extent the requirements are included in
262.34 of this chapter;
(8) A farmer disposing of waste pesticides from his own use in
compliance with 262.70 of this chapter; or
(9) The owner or operator of a totally enclosed treatment facility,
as defined in 260.10.
(10) The owner or operator of an elementary neutralization unit or a
wastewater treatment unit as defined in 260.10 of this chapter.
(11)(i) Except as provided in paragraph (c)(11)(ii) of this section,
a person engaged in treatment or containment activities during immediate
response to any of the following situations:
(A) A discharge of a hazardous waste;
(B) An imminent and substantial threat of a discharge of a hazardous
waste;
(C) A discharge of a material which, when discharged, becomes a
hazardous waste.
(ii) An owner or operator of a facility otherwise regulated by this
part must comply with all applicable requirements of subparts C and D.
(iii) Any person who is covered by paragraph (c)(11)(i) of this
section and who continues or initiates hazardous waste treatment or
containment activities after the immediate response is over is subject
to all applicable requirements of this part and parts 122 through 124 of
this chapter for those activities.
(12) A transporter storing manifested shipments of hazardous waste in
containers meeting the requirements of 40 CFR 262.30 at a transfer
facility for a period of ten days or less.
(13) The addition of absorbent material to waste in a container (as
defined in 260.10 of this chapter) or the addition of waste to the
absorbent material in a container provided that these actions occur at
the time waste is first placed in the containers; and 265.17(b),
265.171, and 265.172 are complied with.
(d) The following hazardous wastes must not be managed at facilities
subject to regulation under this part.
(1) EPA Hazardous Waste Nos. FO20, FO21, FO22, FO23, FO26, or FO27
unless:
(i) The wastewater treatment sludge is generated in a surface
impoundment as part of the plant's wastewater treatment system;
(ii) The waste is stored in tanks or containers;
(iii) The waste is stored or treated in waste piles that meet the
requirements of 264.250(c) as well as all other applicable requirements
of subpart L of this part;
(iv) The waste is burned in incinerators that are certified pursuant
to the standards and procedures in 265.352; or
(v) The waste is burned in facilities that thermally treat the waste
in a device other than an incinerator and that are certified pursuant to
the standards and procedures in 265.383.
(e) The requirements of this part apply to owners or operators of all
facilities which treat, store or dispose of hazardous waste referred to
in 40 CFR part 268, and the 40 CFR part 268 standards are considered
material conditions or requirements of the part 265 interim status
standards.
(45 FR 33232, May 19, 1980)
Editorial Note: For Federal Register citations affecting 265.1, see
the List of CFR Sections Affected in the Finding Aids section of this
volume.
265.2 -- 265.3 (Reserved)
40 CFR 265.4 Imminent hazard action.
Notwithstanding any other provisions of these regulations,
enforcement actions may be brought pursuant to section 7003 of RCRA.
40 CFR 265.4 Subpart B -- General Facility Standards
40 CFR 265.10 Applicability
The regulations in this subpart apply to owners and operators of all
hazardous waste facilities, except as 265.1 provides otherwise.
40 CFR 265.11 Identification number.
Every facility owner or operator must apply to EPA for an EPA
identification number in accordance with the EPA notification procedures
(45 FR 12746).
40 CFR 265.12 Required notices.
(a) The owner or operator of a facility that has arranged to receive
hazardous waste from a foreign source must notify the Regional
Administrator in writing at least four weeks in advance of the date of
the waste is expected to arrive at the facility. Notice of subsequent
shipments of the same waste from the same foreign source is not
required.
(b) Before transferring ownership or operation of a facility during
its operating life, or of a disposal facility during the post-closure
care period, the owner or operator must notify the new owner or operator
in writing of the requirements of this part and part 270 of this
chapter. (Also see 270.72 of this chapter.)
(Comment: An owner's or operator's failure to notify the new owner
or operator of the requirements of this part in no way relieves the new
owner or operator of his obligation to comply with all applicable
requirements.)
(Approved by the Office of Management and Budget under control number
2050-0013)
(45 FR 33232, May 19, 1980, as amended at 48 FR 14295, Apr. 1, 1983;
50 FR 4514, Jan. 31, 1985)
40 CFR 265.13 General waste analysis.
(a)(1) Before an owner or operator treats, stores, or disposes of any
hazardous wastes, or nonhazardous wastes if applicable under
265.113(d), he must obtain a detailed chemical and physical analysis of
a representative sample of the wastes. At a minimum, the analysis must
contain all the information which must be known to treat, store, or
dispose of the waste in accordance with this part and part 268 of this
chapter.
(2) The analysis may include data developed under part 261 of this
chapter, and existing published or documented data on the hazardous
waste or on waste generated from similar processes.
Comment: For example, the facility's records of analyses performed
on the waste before the effective date of these regulations, or studies
conducted on hazardous waste generated from processes similar to that
which generated the waste to be managed at the facility, may be included
in the data base required to comply with paragraph (a)(1) of this
section. The owner or operator of an off-site facility may arrange for
the generator of the hazardous waste to supply part of the information
required by paragraph (a)(1) of this section, except as otherwise
specified in 40 CFR 268.7 (b) and (c). If the generator does not supply
the information, and the owner or operator chooses to accept a hazardous
waste, the owner or operator is responsible for obtaining the
information required to comply with this section.)
(3) The analysis must be repeated as necessary to ensure that it is
accurate and up to date. At a minimum, the analysis must be repeated:
(i) When the owner or operator is notified, or has reason to believe,
that the process or operation generating the hazardous wastes or
non-hazardous wastes, if applicable, under 265.113(d) has changed; and
(ii) For off-site facilities, when the results of the inspection
required in paragraph (a)(4) of this section indicate that the hazardous
waste received at the facility does not match the waste designated on
the accompanying manifest or shipping paper.
(4) The owner or operator of an off-site facility must inspect and,
if necessary, analyze each hazardous waste movement received at the
facility to determine whether it matches the identity of the waste
specified on the accompanying manifest or shipping paper.
(b) The owner or operator must develop and follow a written waste
analysis plan which describes the procedures which he will carry out to
comply with paragraph (a) of this section. He must keep this plan at
the facility. At a minimum, the plan must specify:
(1) The parameters for which each hazardous waste, or non-hazardous
waste if applicable under 265.113(d), will be analyzed and the
rationale for the selection of these parameters (i.e., how analysis for
these parameters will provide sufficient information on the waste's
properties to comply with paragraph (a) of this section);
(2) The test methods which will be used to test for these parameters;
(3) The sampling method which will be used to obtain a representative
sample of the waste to be analyzed. A representative sample may be
obtained using either:
(i) One of the sampling methods described in appendix I of part 261
of this chapter; or
(ii) An equivalent sampling method.
(Comment: See 260.20(c) of this chapter for related discussion.)
(4) The 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;
(5) For off-site facilities, the waste analyses that hazardous waste
generators have agreed to supply; and
(6) Where applicable, the methods that will be used to meet the
additional waste analysis requirements for specific waste management
methods as specified in 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 of this
chapter.
(7) For surface impoundments exempted from land disposal restrictions
under 268.4(a) of this chapter, the procedures and schedule for:
(i) The sampling of impoundment contents;
(ii) The analysis of test data; and,
(iii) The annual removal of residues which are not delisted under
260.22 of this chapter or which exhibit a characteristic of hazardous
waste and either:
(A) Do not meet applicable treatment standards of part 268, subpart
D; or
(B) Where no treatment standards have been established;
(1) Such residues are prohibited from land disposal under 268.32 or
RCRA section 3004(d); or
(2) Such residues are prohibited from land disposal under 268.33(f).
(c) For off-site facilities, the waste analysis plan required in
paragraph (b) of this section must also specify the procedures which
will be used to inspect and, if necessary, analyze each movement of
hazardous waste received at the facility to ensure that it matches the
identity of the waste designated on the accompanying manifest or
shipping paper. At a minimum, the plan must describe:
(1) The procedures which will be used to determine the identity of
each movement of waste managed at the facility; and
(2) The sampling method which will be used to obtain a representative
sample of the waste to be identified, if the identification method
includes sampling.
(Approved by the Office of Management and Budget under control number
2050-0012)
(45 FR 33232, May 19, 1980, as amended at 50 FR 4514, Jan. 31, 1985;
50 FR 18374, Apr. 30, 1985; 51 FR 40638, Nov. 7, 1986; 52 FR 25788,
July 8, 1987; 54 FR 33396, Aug. 14, 1989; 55 FR 22685, June 1, 1990;
55 FR 25506, June 21, 1990; 56 FR 19290, Apr. 26, 1991; 57 FR 8088,
Mar. 6, 1992)
40 CFR 265.14 Security.
(a) The owner or operator must prevent the unknowing entry, and
minimize the possibility for the unauthorized entry, of persons or
livestock onto the active portion of his facility, unless:
(1) Physical contact with the waste, structures, or equipment with
the active portion of the facility will not injure unknowing or
unauthorized persons or livestock which may enter the active portion of
a facility, and
(2) Disturbance of the waste or equipment, by the unknowing or
unauthorized entry of persons or livestock onto the active portion of a
facility, will not cause a violation of the requirements of this part.
(b) Unless exempt under paragraphs (a)(1) and (2) of this section, a
facility must have:
(1) A 24-hour surveillance system (e.g., television monitoring or
surveillance by guards of facility personnel) which continuously
monitors and controls entry onto the active portion of the facility; or
(2)(i) An artificial or natural barrier (e.g., a fence in good repair
or a fence combined with a cliff), which completely surrounds the active
portion of the facility; and
(ii) A means to control entry, at all times, through the gates or
other entrances to the active portion of the facility (e.g., an
attendant, television monitors, locked entrance, or controlled roadway
access to the facility).
(Comment: The requirements of paragraph (b) of this section are
satisfied if the facility or plant within which the active portion is
located itself has a surveillance system, or a barrier and a means to
control entry, which complies with the requirements of paragraph (b)(1)
or (2) of this section.)
(c) Unless exempt under paragraphs (a)(1) and (a)(2) of this section,
a sign with the legend, ''Danger -- Unauthorized Personnel Keep Out,''
must be posted at each entrance to the active portion of a facility, and
at other locations, in sufficient numbers to be seen from any approach
to this active portion. The legend must be written in English and in
any other language predominant in the area surrounding the facility
(e.g., facilities in counties bordering the Canadian province of Quebec
must post signs in French; facilities in counties bordering Mexico must
post signs in Spanish), and must be legible from a distance of at least
25 feet. Existing signs with a legend other than ''Danger --
Unauthorized Personnel Keep Out'' may be used if the legend on the sign
indicates that only authorized personnel are allowed to enter the active
portion, and that entry onto the active portion can be dangerous.
(Comment: See 265.117(b) for discussion of security requirements at
disposal facilities during the post-closure care period.)
40 CFR 265.15 General inspection requirements.
(a) The owner or operator must inspect his facility for malfunctions
and deterioration, operator errors, and discharges which may be causing
-- or may lead to: (1) Release of hazardous waste constituents to the
environment or (2) a threat to human health. The owner or operator must
conduct these inspections often enough to identify problems in time to
correct them before they harm human health or the environment.
(b)(1) The owner or operator must develop and follow a written
schedule for inspecting all monitoring equipment, safety and emergency
equipment, security devices, and operating and structural equipment
(such as dikes and sump pumps) that are important to preventing,
detecting, or responding to environmental or human health hazards.
(2) He must keep this schedule at the facility.
(3) The schedule must identify the types of problems (e.g.,
malfunctions or deterioration) which are to be looked for during the
inspection (e.g., inoperative sump pump, leaking fitting, eroding dike,
etc.).
(4) The frequency of inspection may vary for the items on the
schedule. However, it should be based on the rate of deterioration of
the equipment and the probability of an environmental or human health
incident if the deterioration, malfunction, or any operator error goes
undetected between inspections. Areas subject to spills, such as
loading and unloading areas, must be inspected daily when in use. At a
minimum, the inspection schedule must include the items and frequencies
called for in 265.174, 265.193, 265.195, 265.226, 265.260, 265.278,
265.304, 265.347, 265.377, 265.403, 265.1033, 265.1052, 265.1053, and
265.1058, where applicable.
(c) The owner or operator must remedy any deterioration or
malfunction of equipment or structures which the inspection reveals on a
schedule which ensures that the problem does not lead to an
environmental or human health hazard. Where a hazard is imminent or has
already occurred, remedial action must be taken immediately.
(d) The owner or operator must record inspections in an inspection
log or summary. He must keep these records for at least three years
from the date of inspection. At a minimum, these records must include
the date and time of the inspection, the name of the inspector, a
notation of the observations made, and the date and nature of any
repairs or other remedial actions.
(Approved by the Office of Management and Budget under control number
2050-0013)
(45 FR 33232, May 19, 1980, as amended at 50 FR 4514, Jan. 31, 1985;
57 FR 3491, Jan. 29, 1992)
Effective Date Note: At 57 FR 3491, Jan. 29, 1992, 265.15 was
amended by revising paragraph (b)(4), effective July 29, 1992. For the
convenience of the reader, the superseded text is set forth below.
265.15 General inspection requirements.
(b) * * *
(4) The frequency of inspection may vary for the items on the
schedule. However, it should be based on the rate of possible
deterioration of the equipment and the probability of an environmental
or human health incident if the deterioration, or malfunction, or any
operator error goes undetected between inspections. Areas subject to
spills, such as loading and unloading areas, must be inspected daily
when in use. At a minimum, the inspection schedule must include the
terms and frequencies called for in 265.174, 265.193, 265.195,
265.226, 265.347, 265.377, 265.403, 265.1033, 265.1052, 265.1053, and
265.1058.
40 CFR 265.16 Personnel training.
(a)(1) Facility personnel must successfully complete a program of
classroom instruction or on-the-job training that teaches them to
perform their duties in a way that ensures the facility's compliance
with the requirements of this part. The owner or operator must ensure
that this program includes all the elements described in the document
required under paragraph (d)(3) of this section.
(2) This program must be directed by a person trained in hazardous
waste management procedures, and must include instruction which teaches
facility personnel hazardous waste management procedures (including
contingency plan implementation) relevant to the positions in which they
are employed.
(3) At a minimum, the training program must be designed to ensure
that facility personnel are able to respond effectively to emergencies
by familiarizing them with emergency procedures, emergency equipment,
and emergency systems, including where applicable:
(i) Procedures for using, inspecting, repairing, and replacing
facility emergency and monitoring equipment;
(ii) Key parameters for automatic waste feed cut-off systems;
(iii) Communications or alarm systems;
(iv) Response to fires or explosions;
(v) Response to ground-water contamination incidents; and
(vi) Shutdown of operations.
(b) Facility personnel must successfuly complete the program required
in paragraph (a) of this section within six months after the effective
date of these regulations or six months after the date of their
employment or assignment to a facility, or to a new position at a
facility, whichever is later. Employees hired after the effective date
of these regulations must not work in unsupervised positions until they
have completed the training requirements of paragraph (a) of this
section.
(c) Facility personnel must take part in an annual review of the
initial training required in paragraph (a) of this section.
(d) The owner or operator must maintain the following documents and
records at the facility:
(1) The job title for each position at the facility related to
hazardous waste management, and the name of the employee filling each
job;
(2) A written job description for each position listed under
paragraph (d)(1) of this Section. This description may be consistent in
its degree of specificity with descriptions for other similar positions
in the same company location or bargaining unit, but must include the
requisite skill, education, or other qualifications, and duties of
facility personnel assigned to each position;
(3) A written description of the type and amount of both introductory
and continuing training that will be given to each person filling a
position listed under paragraph (d)(1) of this section;
(4) Records that document that the training or job experience
required under paragraphs (a), (b), and (c) of this section has been
given to, and completed by, facility personnel.
(e) Training records on current personnel must be kept until closure
of the facility. Training records on former employees must be kept for
at least three years from the date the employee last worked at the
facility. Personnel training racords may accompany personnel
transferred within the same company.
(Approved by the Office of Management and Budget under control number
2050-0013)
(45 FR 33232, May 19, 1980, as amended at 50 FR 4514, Jan. 31, 1985)
40 CFR 265.17 General requirements for ignitable, reactive, or
incompatible wastes.
(a) The owner or operator must take precautions to prevent accidental
ignition or reaction of ignitable or reactive waste. This waste must be
separated and protected from sources of ignition or reaction including
but not limited to: Open flames, smoking, cutting and welding, hot
surfaces, frictional heat, sparks (static, electrical, or mechanical),
spontaneous ignition (e.g., from heat-producing chemical reactions), and
radiant heat. While ignitable or reactive waste is being handled, the
owner or operator must confine smoking and open flame to specially
designated locations. ''No Smoking'' signs must be conspicuously placed
wherever there is a hazard from ignitable or reactive waste.
(b) Where specifically required by other sections of this part, the
treatment, storage, or disposal of ignitable or reactive waste, and the
mixture or commingling of incompatible wastes, or incompatible wastes
and materials, must be conducted so that it does not:
(1) Generate extreme heat or pressure, fire or explosion, or violent
reaction;
(2) Produce uncontrolled toxic mists, fumes, dusts, or gases in
sufficient quantities to threaten human health;
(3) Produce uncontrolled flammable fumes or gases in sufficient
quantities to pose a risk of fire or explosions;
(4) Damage the structural integrity of the device or facility
containing the waste; or
(5) Through other like means threaten human health or the
environment.
40 CFR 265.18 Location standards.
The placement of any hazardous waste in a salt dome, salt bed
formation, underground mine or cave is prohibited, except for the
Department of Energy Waste Isolation Pilot Project in New Mexico.
(50 FR 28749, July 15, 1985)
40 CFR 265.19 Construction quality assurance program.
(a) CQA program. (1) A construction quality assurance (CQA) program
is required for all surface impoundment, waste pile, and landfill units
that are required to comply with 265.221(a), 265.254, and 265.301(a).
The program must ensure that the constructed unit meets or exceeds all
design criteria and specifications in the permit. The program must be
developed and implemented under the direction of a CQA officer who is a
registered professional engineer.
(2) The CQA program must address the following physical components,
where applicable:
(i) Foundations;
(ii) Dikes;
(iii) Low-permeability soil liners;
(iv) Geomembranes (flexible membrane liners);
(v) Leachate collection and removal systems and leak detection
systems; and
(vi) Final cover systems.
(b) Written CQA plan. Before construction begins on a unit subject
to the CQA program under paragraph (a) of this section, the owner or
operator must develop a written CQA plan. The plan must identify steps
that will be used to monitor and document the quality of materials and
the condition and manner of their installation. The CQA plan must
include:
(1) Identification of applicable units, and a description of how they
will be constructed.
(2) Identification of key personnel in the development and
implementation of the CQA plan, and CQA officer qualifications.
(3) A description of inspection and sampling activities for all unit
components identified in paragraph (a)(2) of this section, 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 the design specifications. The 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.
(c) Contents of program. (1) The CQA program must include
observations, inspections, tests, and measurements sufficient to ensure:
(i) Structural stability and integrity of all components of the unit
identified in paragraph (a)(2) of this section;
(ii) Proper construction of all components of the liners, leachate
collection and removal system, leak detection system, and final cover
system, according to permit specifications and good engineering
practices, and proper installation of all components (e.g., pipes)
according to design specifications;
(iii) Conformity of all materials used with design and other material
specifications under 264.221, 264.251, and 264.301 of this chapter.
(2) The CQA program shall include test fills for compacted soil
liners, using the same compaction methods as in the full-scale unit, to
ensure that the liners are constructed to meet the hydraulic
conductivity requirements of 264.221(c)(1), 264.251(c)(1), and
264.301(c)(1) of this chapter in the field. Compliance with the
hydraulic conductivity requirements must be verified by using in-situ
testing on the constructed test fill. The test fill requirement is
waived where data are sufficient to show that a constructed soil liner
meets the hydraulic conductivity requirements of 264.221(c)(1),
264.254(c)(1), and 264.301(c)(1) of this chapter in the field.
(d) Certification. The owner or operator of units subject to 265.19
must submit to the Regional Administrator by certified mail or hand
delivery, at least 30 days prior to receiving waste, a certification
signed by the CQA officer 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). The owner or operator may receive waste in the
unit after 30 days from the Regional Administrator's receipt of the CQA
certification unless the Regional Administrator determines in writing
that the construction is not acceptable, or extends the review period
for a maximum of 30 more days, or seeks additional information from the
owner or operator during this period. Documentation supporting the CQA
officer's certification must be furnished to the Regional Administrator
upon request.
(57 FR 3491, Jan. 29, 1992)
Effective Date Note: At 57 FR 3491, Jan. 29, 1992, 265.19 was
added effective July 29, 1992.
40 CFR 265.19 Subpart C -- Preparedness and Prevention
40 CFR 265.30 Applicability.
The regulations in this subpart apply to owners and operators of all
hazardous waste facilities, except as 265.1 provides otherwise.
40 CFR 265.31 Maintenance and operation of facility.
Facilities must be maintained and operated to minimize the
possibility of a fire, explosion, or any unplanned sudden or non-sudden
release of hazardous waste or hazardous waste constituents to air, soil,
or surface water which could threaten human health or the environment.
40 CFR 265.32 Required equipment.
All facilities must be equipped with the following, unless none of
the hazards posed by waste handled at the facility could require a
particular kind of equipment specified below:
(a) An internal communications or alarm system capable of providing
immediate emergency instruction (voice or signal) to facility personnel;
(b) A device, such as a telephone (immediately available at the scene
of operations) or a hand-held two-way radio, capable of summoning
emergency assistance from local police departments, fire departments, or
State or local emergency response teams;
(c) Portable fire extinguishers, fire control equipment (including
special extinguishing equipment, such as that using foam, inert gas, or
dry chemicals), spill control equipment, and decontamination equipment;
and
(d) Water at adequate volume and pressure to supply water hose
streams, or foam producing equipment, or automatic sprinklers, or water
spray systems.
40 CFR 265.33 Testing and maintenance of equipment.
All facility communications or alarm systems, fire protection
equipment, spill control equipment, and decontamination equipment, where
required, must be tested and maintained as necessary to assure its
proper operation in time of emergency.
40 CFR 265.34 Access to communications or alarm system.
(a) Whenever hazardous waste is being poured, mixed, spread, or
otherwise handled, all personnel involved in the operation must have
immediate access to an internal alarm or emergency communication device,
either directly or through visual or voice contact with another
employee, unless such a device is not required under 265.32.
(b) If there is ever just one employee on the premises while the
facility is operating, he must have immediate access to a device, such
as a telephone (immediately available at the scene of operation) or a
hand-held two-way radio, capable of summoning external emergency
assistance, unless such a device is not required under 265.32.
40 CFR 265.35 Required aisle space.
The owner or operator must maintain aisle space to allow the
unobstructed movement of personnel, fire protection equipment, spill
control equipment, and decontamination equipment to any area of facility
operation in an emergency, unless aisle space is not needed for any of
these purposes.
265.36 (Reserved)
40 CFR 265.37 Arrangements with local authorities.
(a) The owner or operator must attempt to make the following
arrangements, as appropriate for the type of waste handled at his
facility and the potential need for the services of these organizations:
(1) Arrangements to familiarize police, fire departments, and
emergency response teams with the layout of the facility, properties of
hazardous waste handled at the facility and associated hazards, places
where facility personnel would normally be working, entrances to roads
inside the facility, and possible evacuation routes;
(2) Where more than one police and fire department might respond to
an emergency, agreements designating primary emergency authority to a
specific police and a specific fire department, and agreements with any
others to provide support to the primary emergency authority;
(3) Agreements with State emergency response teams, emergency
response contractors, and equipment suppliers; and
(4) Arrangements to familiarize local hospitals with the properties
of hazardous waste handled at the facility and the types of injuries or
illnesses which could result from fires, explosions, or releases at the
facility.
(b) Where State or local authorities decline to enter into such
arrangements, the owner or operator must document the refusal in the
operating record.
40 CFR 265.37 Subpart D -- Contingency Plan and Emergency Procedures
40 CFR 265.50 Applicability.
The regulations in this subpart apply to owners and operators of all
hazardous waste facilities, except as 265.1 provides otherwise.
40 CFR 265.51 Purpose and implementation of contingency plan.
(a) Each owner or operator must have a contingency plan for his
facility. The contingency plan must be designed to minimize hazards to
human health or the environment from fires, explosions, or any unplanned
sudden or non-sudden release of hazardous waste or hazardous waste
constituents to air, soil, or surface water.
(b) The provisions of the plan must be carried out immediately
whenever there is a fire, explosion, or release of hazardous waste or
hazardous waste constituents which could threaten human health or the
environment.
(Approved by the Office of Management and Budget under control number
2050-0002)
(45 FR 33232, May 19, 1980, as amended at 50 FR 4514, Jan. 31, 1985)
40 CFR 265.52 Content of contingency plan.
(a) The contingency plan must describe the actions facility personnel
must take to comply with 265.51 and 265.56 in response to fires,
explosions, or any unplanned sudden or non-sudden release of hazardous
waste or hazardous waste constituents to air, soil, or surface water at
the facility.
(b) If the owner or operator has already prepared a Spill Prevention,
Control, and Countermeasures (SPCC) Plan in accordance with part 112 of
this chapter, or part 1510 of chapter V, or some other emergency or
contingency plan, he need only amend that plan to incorporate hazardous
waste management provisions that are sufficient to comply with the
requirements of this part.
(c) The plan must describe arrangements agreed to by local police
departments, fire departments, hospitals, contractors, and State and
local emergency response teams to coordinate emergency services,
pursuant to 265.37.
(d) The plan must list names, addresses, and phone numbers (office
and home) of all persons qualified to act as emergency coordinator (see
265.55), and this list must be kept up to date. Where more than one
person is listed, one must be named as primary emergency coordinator and
others must be listed in the order in which they will assume
responsibility as alternates.
(e) The plan must include a list of all emergency equipment at the
facility (such as fire extinguishing systems, spill control equipment,
communications and alarm systems (internal and external), and
decontamination equipment), where this equipment is required. This list
must be kept up to date. In addition, the plan must include the
location and a physical description of each item on the list, and a
brief outline of its capabilities.
(f) The plan must include an evacuation plan for facility personnel
where there is a possibility that evacuation could be necessary. This
plan must describe signal(s) to be used to begin evacuation, evacuation
routes, and alternate evacuation routes (in cases where the primary
routes could be blocked by releases of hazardous waste or fires).
(Approved by the Office of Management and Budget under control number
2050-0002)
(45 FR 33232, May 19, 1980, as amended at 46 FR 27480, May 20, 1981;
50 FR 4514, Jan. 31, 1985)
40 CFR 265.53 Copies of contingency plan.
A copy of the contingency plan and all revisions to the plan must be:
(a) Maintained at the facility; and
(b) Submitted to all local police departments, fire departments,
hospitals, and State and local emergency response teams that may be
called upon to provide emergency services.
(Approved by the Office of Management and Budget under control number
2050-0002)
(45 FR 33232, May 19, 1980, as amended at 50 FR 4514, Jan. 31, 1985)
40 CFR 265.54 Amendment of contingency plan.
The contingency plan must be reviewed, and immediately amended, if
necessary, whenever:
(a) Applicable regulations are revised;
(b) The plan fails in an emergency;
(c) The facility changes -- in its design, construction, operation,
maintenance, or other circumstances -- in a way that materially
increases the potential for fires, explosions, or releases of hazardous
waste or hazardous waste constituents, or changes the response necessary
in an emergency;
(d) The list of emergency coordinators changes; or
(e) The list of emergency equipment changes.
(Approved by the Office of Management and Budget under control number
2050-0002)
(45 FR 33232, May 19, 1980, as amended at 50 FR 4514, Jan. 31, 1985)
40 CFR 265.55 Emergency coordinator.
At all times, there must be at least one employee either on the
facility premises or on call (i.e., available to respond to an emergency
by reaching the facility within a short period of time) with the
responsibility for coordinating all emergency response measures. This
emergency coordinator must be thoroughly familiar with all aspects of
the facility's contingency plan, all operations and activities at the
facility, the location and characteristics of waste handled, the
location of all records within the facility, and the facility layout.
In addition, this person must have the authority to commit the resources
needed to carry out the contingency plan.
(Comment: The emergency coordinator's responsibilities are more
fully spelled out in 265.56. Applicable responsibilities for the
emergency coordinator vary, depending on factors such as type and
variety of waste(s) handled by the facility, and type and complexity of
the facility.)
40 CFR 265.56 Emergency procedures.
(a) Whenever there is an imminent or actual emergency situation, the
emergency coordinator (or his designee when the emergency coordinator is
on call) must immediately:
(1) Activate internal facility alarms or communication systems, where
applicable, to notify all facility personnel; and
(2) Notify appropriate State or local agencies with designated
response roles if their help is needed.
(b) Whenever there is a release, fire, or explosion, the emergency
coordinator must immediately identify the character, exact source,
amount, and a real extent of any released materials. He may do this by
observation or review of facility records or manifests and, if
necessary, by chemical analysis.
(c) Concurrently, the emergency coordinator must assess possible
hazards to human health or the environment that may result from the
release, fire, or explosion. This assessment must consider both direct
and indirect effects of the release, fire, or explosion (e.g., the
effects of any toxic, irritating, or asphyxiating gases that are
generated, or the effects of any hazardous surface water run-offs from
water or chemical agents used to control fire and heat-induced
explosions).
(d) If the emergency coordinator determines that the facility has had
a release, fire, or explosion which could threaten human health, or the
environment, outside the facility, he must report his findings as
follows:
(1) If his assessment indicates that evacuation of local areas may be
advisable, he must immediately notify appropriate local authorities. He
must be available to help appropriate officials decide whether local
areas should be evacuated; and
(2) He must immediately notify either the government official
designated as the on-scene coordinator for that geographical area (in
the applicable regional contingency plan under part 1510 of this title),
or the National Response Center (using their 24-hour toll free number
800/424-8802). The report must include:
(i) Name and telephone number of reporter;
(ii) Name and address of facility;
(iii) Time and type of incident (e.g., release, fire);
(iv) Name and quantity of material(s) involved, to the extent known;
(v) The extent of injuries, if any; and
(vi) The possible hazards to human health, or the environment,
outside the facility.
(e) During an emergency, the emergency coordinator must take all
reasonable measures necessary to ensure that fires, explosions, and
releases do not occur, recur, or spread to other hazardous waste at the
facility. These measures must include, where applicable, stopping
processes and operations, collecting and containing released waste, and
removing or isolating containers.
(f) If the facility stops operations in response to a fire, explosion
or release, the emergency coordinator must monitor for leaks, pressure
buildup, gas generation, or ruptures in valves, pipes, or other
equipment, wherever this is appropriate.
(g) Immediately after an emergency, the emergency coordinator must
provide for treating, storing, or disposing of recovered waste,
contaminated soil or surface water, or any other material that results
from a release, fire, or explosion at the facility.
(Comment: Unless the owner or operator can demonstrate, in
accordance with 261.3(c) or (d) of this chapter, that the recovered
material is not a hazardous waste, the owner or operator becomes a
generator of hazardous waste and must manage it in accordance with all
applicable requirements of parts 262, 263, and 265 of this chapter.)
(h) The emergency coordinator must ensure that, in the affected
area(s) of the facility:
(1) No waste that may be incompatible with the released material is
treated, stored, or disposed of until cleanup procedures are completed;
and
(2) All emergency equipment listed in the contingency plan is cleaned
and fit for its intended use before operations are resumed.
(i) The owner or operator must notify the Regional Administrator, and
appropriate State and local authorities, that the facility is in
compliance with paragraph (h) of this section before operations are
resumed in the affected area(s) of the facility.
(j) The owner or operator must note in the operating record the time,
date, and details of any incident that requires implementing the
contingency plan. Within 15 days after the incident, he must submit a
written report on the incident to the Regional Administrator. The
report must include:
(1) Name, address, and telephone number of the owner or operator;
(2) Name, address, and telephone number of the facility;
(3) Date, time, and type of incident (e.g., fire, explosion);
(4) Name and quantity of material(s) involved;
(5) The extent of injuries, if any;
(6) An assessment of actual or potential hazards to human health or
the environment, where this is applicable; and
(7) Estimated quantity and disposition of recovered material that
resulted from the incident.
(Approved by the Office of Management and Budget under control number
2050-0002)
(45 FR 33232, May 19, 1980, as amended at 50 FR 4514, Jan. 31, 1985)
40 CFR 265.56 Subpart E -- Manifest System, Recordkeeping, and Reporting
40 CFR 265.70 Applicability.
The regulations in this subpart apply to owners and operators of both
on-site and off-site facilities, except as 265.1 provides otherwise.
Sections 265.71, 265.72, and 265.76 do not apply to owners and operators
of on-site facilities that do not receive any hazardous waste from
off-site sources.
40 CFR 265.71 Use of manifest system.
(a) If a facility receives hazardous waste accompanied by a manifest,
the owner or operator, or his agent, must:
(1) Sign and date each copy of the manifest to certify that the
hazardous waste covered by the manifest was received;
(2) Note any significant discrepancies in the manifest (as defined in
265.72(a)) on each copy of the manifest;
(Comment: The Agency does not intend that the owner or operator of a
facility whose procedures under 265.13(c) include waste analysis must
perform that analysis before signing the manifest and giving it to the
transporter. Section 265.72(b), however, requires reporting an
unreconciled discrepancy discovered during later analysis.)
(3) Immediately give the transporter at least one copy of the signed
manifest;
(4) Within 30 days after the delivery, send a copy of the manifest to
the generator; and
(5) Retain at the facility a copy of each manifest for at least three
years from the date of delivery.
(b) If a facility receives, from a rail or water (bulk shipment)
transporter, hazardous waste which is accompanied by a shipping paper
containing all the information required on the manifest (excluding the
EPA identification numbers, generator's certification, and signatures),
the owner or operator, or his agent, must:
(1) Sign and date each copy of the manifest or shipping paper (if the
manifest has not been received) to certify that the hazardous waste
covered by the manifest or shipping paper was received;
(2) Note any significant discrepancies (as defined in 265.72(a)) in
the manifest or shipping paper (if the manifest has not been received)
on each copy of the manifest or shipping paper;
(Comment: The Agency does not intend that the owner or operator of a
facility whose procedures under 265.13(c) include waste analysis must
perform that analysis before signing the shipping paper and giving it to
the transporter. Section 265.72(b), however, requires reporting an
unreconciled discrepancy discovered during later analysis.)
(3) Immediately give the rail or water (bulk shipment) transporter at
least one copy of the manifest or shipping paper (if the manifest has
not been received);
(4) Within 30 days after the delivery, send a copy of the signed and
dated manifest to the generator; however, if the manifest has not been
received within 30 days after delivery, the owner or operator, or his
agent, must send a copy of the shipping paper signed and dated to the
generator; and
(Comment: Section 262.23(c) of this chapter requires the generator
to send three copies of the manifest to the facility when hazardous
waste is sent by rail or water (bulk shipment).)
(5) Retain at the facility a copy of the manifest and shipping paper
(if signed in lieu of the manifest at the time of delivery) for at least
three years from the date of delivery.
(c) Whenever a shipment of hazardous waste is initiated from a
facility, the owner or operator of that facility must comply with the
requirements of part 262 of this chapter.
(Comment: The provisions of 262.34 are applicable to the on-site
accumulation of hazardous wastes by generators. Therefore, the
provisions of 262.34 only apply to owners or operators who are shipping
hazardous waste which they generated at that facility.)
(Approved by the Office of Management and Budget under control number
2050-0039)
(45 FR 33232, May 19, 1980, as amended at 45 FR 86970, 86974, Dec.
31, 1980; 50 FR 4514, Jan. 31, 1985)
40 CFR 265.72 Manifest discrepancies.
(a) Manifest discrepancies are differences between the quantity or
type of hazardous waste designated on the manifest or shipping paper,
and the quantity or type of hazardous waste a facility actually
receives. Significant discrepancies in quantity are: (1) For bulk
waste, variations greater than 10 percent in weight, and (2) for batch
waste, any variation in piece count, such as a discrepancy of one drum
in a truckload. Significant discrepancies in type are obvious
differences which can be discovered by inspection or waste analysis,
such as waste solvent substituted for waste acid, or toxic constituents
not reported on the manifest or shipping paper.
(b) Upon discovering a significant discrepancy, the owner or operator
must attempt to reconcile the discrepancy with the waste generator or
transporter (e.g., with telephone conversations). If the discrepancy is
not resolved within 15 days after receiving the waste, the owner or
operator must immediately submit to the Regional Administrator a letter
describing the discrepancy and attempts to reconcile it, and a copy of
the manifest or shipping paper at issue.
(Approved by the Office of Management and Budget under control number
2050-0039)
(45 FR 33232, May 19, 1980, as amended at 50 FR 4514, Jan. 31, 1985)
40 CFR 265.73 Operating record.
(a) The owner or operator must keep a written operating record at his
facility.
(b) The following information must be recorded, as it becomes
available, and maintained in the operating record until closure of the
facility:
(1) 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;
(2) 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. For all facilities, this information must
include cross-references to specific manifest document numbers, if the
waste was accompanied by a manifest;
(Comment: See 265.119, 265.279, and 265.309 for related
requirements.)
(3) Records and results of waste analyses and trial tests performed
as specified in 265.13, 265.200, 265.225, 265.252, 265.273, 265.314,
265.341, 265.375, 265.402, 265.1034, 265.1063, 268.4(a), and 268.7 of
this chapter.
(4) Summary reports and details of all incidents that require
implementing the contingency plan as specified in 265.56(j);
(5) Records and results of inspections as required by 265.15(d)
(except these data need be kept only three years);
(6) Monitoring, testing, or analytical data, and corrective action
where required by subpart F and 265.19, 265.90, 265.94, 265.191,
265.193, 265.195, 265.222, 265.223, 265.226, 265.255, 265.259, 265.260,
265.276, 265.278, 265.280(d)(1), 265.302-265.304, 265.347, 265.377,
265.1034(c)-265.1034(f), 265.1035, 265.1063(d)-264.1063(i), and
265.1064.
(Comment: As required by 265.94, monitoring data at disposal
facilities must be kept throughout the post-closure period.)
(7) All closure cost estimates under 265.142 and, for disposal
facilities, all post-closure cost estimates under 265.144.
(8) 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 granted
pursuant to 268.5, monitoring data required pursuant to a petition
under 268.6, or a certification under 268.8, and the applicable notice
required by a generator under 268.7(a).
(9) For an off-site treatment facility, a copy of the notice, and the
certification and demonstration if applicable, required by the generator
or the owner or operator under 268.7 or 268.8;
(10) For an on-site treatment facility, the information contained in
the notice (except the manifest number), and the certification and
demonstration if applicable, required by the generator or the owner or
operator under 268.7 or 268.8;
(11) For an off-site land disposal facility, a copy of the notice,
and the certification and demonstration if applicable, required by the
generator or the owner or operator of a treatment facility under 268.7
or 268.8;
(12) For an on-site land disposal facility, the information contained
in the notice (except the manifest number), and the certification and
demonstration if applicable, required by the generator or the owner or
operator of a treatment facility under 268.7 or 268.8.
(13) For an off-site storage facility, a copy of the notice, and the
certification and demonstration if applicable, required by the generator
or the owner or operator under 268.7 or 268.8; and
(14) For an on-site storage facility, the information contained in
the notice (except the manifest number), and the certification and
demonstration if applicable, required by the generator or the owner or
operator of a treatment facility under 268.7 or 268.8.
(Approved by Office of Management and Budget under control numbers
2050-0038 and 2040-0042)
(45 FR 33232, May 19, 1980, as amended at 50 FR 4514, Jan. 31, 1985;
50 FR 18374, Apr. 30, 1985; 51 FR 40638, Nov. 7, 1986; 53 FR 31211,
Aug. 17, 1988; 54 FR 26648, June 23, 1989; 55 FR 25507, June 21, 1990;
56 FR 19290, Apr. 26, 1991; 57 FR 3492, Jan. 29, 1992)
Effective Date Note: At 57 FR 3492, Jan. 29, 1992, 265.73 was
amended by revising paragraph (b)(6), effective July 29, 1992. For the
convenience of the reader, the superseded text is set forth below.
265.73 Operating record.
(b) * * *
(6) Monitoring, testing or analytical data when required by 265.90,
265.94, 265.191, 265.193, 265.195, 265.276, 265.278, 265.280(d)(1),
265.347, 265.377, 265.1034(c)-265.1034(f), 265.1035,
265.1063(d)-265.1063(i), and 265.1064.
40 CFR 265.74 Availability, retention, and disposition of records.
(a) All records, including plans, required under this part must be
furnished upon request, and made available at all reasonable times for
inspection, by any officer, employee, or representative of EPA who is
duly designated by the Administrator.
(b) The retention period for all records required under this part is
extended automatically during the course of any unresolved enforcement
action regarding the facility or as requested by the Administrator.
(c) A copy of records of waste disposal locations and quantities
under 265.73(b)(2) must be submitted to the Regional Administrator and
local land authority upon closure of the facility (see 265.119).
(Approved by the Office of Management and Budget under control number
2050-0013)
(45 FR 33232, May 19, 1980, as amended at 50 FR 4514, Jan. 31, 1985)
40 CFR 265.75 Biennial report.
The owner or operator must prepare and submit a single copy of a
biennial report to the Regional Administrator by March 1 of each even
numbered year. The biennial report must be submitted on EPA Form
8700-13B. The report must cover facility activities during the previous
calendar year and must include the following information:
(a) The EPA identification number, name, and address of the facility;
(b) The calendar year covered by the report;
(c) For off-site facilities, the EPA identification number of each
hazardous waste generator from which the facility received a hazardous
waste during the year; for imported shipments, the report must give the
name and address of the foreign generator;
(d) A description and the quantity of each hazardous waste the
facility received during the year. For off-site facilities, this
information must be listed by EPA identification number of each
generator;
(e) The method of treatment, storage, or disposal for each hazardous
waste;
(f) Monitoring data under 265.94(a)(2)(ii) and (iii), and (b)(2),
where required;
(g) The most recent closure cost estimate under 265.142, and, for
disposal facilities, the most recent post-closure cost estimate under
265.144; and
(h) For generators who treat, store, or dispose of hazardous waste
on-site, a description of the efforts undertaken during the year to
reduce the volume and toxicity of waste generated.
(i) For generators who treat, store, or dispose of hazardous waste
on-site, a description of the changes in volume and toxicity of waste
actually achieved during the year in comparison to previous years to the
extent such information is available for the years prior to 1984.
(j) The certification signed by the owner or operator of the facility
or his authorized representative.
(Approved by the Office of Management and Budget under control number
2050-0024)
(45 FR 33232, May 19, 1980, as amended at 48 FR 3982, Jan. 28, 1983;
50 FR 4514, Jan. 31, 1985; 51 FR 28556, Aug. 8, 1986)
40 CFR 265.76 Unmanifested waste report.
If a facility accepts for treatment, storage, or disposal any
hazardous waste from an off-site source without an accompanying
manifest, or without an accompanying shipping paper as described in
263.20(e)(2) of this chapter, and if the waste is not excluded from the
manifest requirement by 261.5 of this chapter, then the owner or
operator must prepare and submit a single copy of a report to the
Regional Administrator within fifteen days after receiving the waste.
The unmanifested waste report must be submitted on EPA form 8700-13B.
Such report must be designated 'Unmanifested Waste Report' and include
the following information:
(a) The EPA identification number, name, and address of the facility;
(b) The date the facility received the waste;
(c) The EPA identification number, name, and address of the generator
and the transporter, if available;
(d) A description and the quantity of each unmanifested hazardous
waste the facility received;
(e) The method of treatment, storage, or disposal for each hazardous
waste;
(f) The certification signed by the owner or operator of the facility
or his authorized representative; and
(g) A brief explanation of why the waste was unmanifested, if known.
(Comment: Small quantities of hazardous waste are excluded from
regulation under this part and do not require a manifest. Where a
facility receives unmanifested hazardous wastes, the Agency suggests
that the owner or operator obtain from each generator a certification
that the waste qualifies for exclusion. Otherwise, the Agency suggests
that the owner or operator file an unmanifested waste report for the
hazardous waste movement.)
(Approved by the Office of Management and Budget under control number
2050-0013)
(45 FR 33232, May 19, 1980, as amended at 48 FR 3982, Jan. 28, 1983;
50 FR 4514, Jan. 31, 1985)
40 CFR 265.77 Additional reports.
In addition to submitting the biennial report and unmanifested waste
reports described in 265.75 and 265.76, the owner or operator must
also report to the Regional Administrator:
(a) Releases, fires, and explosions as specified in 265.56(j);
(b) Ground-water contamination and monitoring data as specified in
265.93 and 265.94; and
(c) Facility closure as specified in 265.115.
(d) As otherwise required by subparts AA and BB.
(45 FR 33232, May 19, 1980, as amended at 48 FR 3982, Jan. 28, 1983;
55 FR 25507, June 21, 1990)
40 CFR 265.77 Subpart F -- Ground-Water Monitoring
40 CFR 265.90 Applicability.
(a) Within one year after the effective date of these regulations,
the owner or operator of a surface impoundment, landfill, or land
treatment facility which is used to manage hazardous waste must
implement a ground-water monitoring program capable of determining the
facility's impact on the quality of ground water in the uppermost
aquifer underlying the facility, except as 265.1 and paragraph (c) of
this section provide otherwise.
(b) Except as paragraphs (c) and (d) of this section provide
otherwise, the owner or operator must install, operate, and maintain a
ground-water monitoring system which meets the requirements of 265.91,
and must comply with 265.92 through 265.94. This ground-water
monitoring program must be carried out during the active life of the
facility, and for disposal facilities, during the post-closure care
period as well.
(c) All or part of the ground-water monitoring requirements of this
subpart may be waived if the owner or operator can demonstrate that
there is a low potential for migration of hazardous waste or hazardous
waste constituents from the facility via the uppermost aquifer to water
supply wells (domestic, industrial, or agricultural) or to surface
water. This demonstration must be in writing, and must be kept at the
facility. This demonstration must be certified by a qualified geologist
or geotechnical engineer and must establish the following:
(1) The potential for migration of hazardous waste or hazardous waste
constituents from the facility to the uppermost aquifer, by an
evaluation of:
(i) A water balance of precipitation, evapotranspiration, runoff, and
infiltration; and
(ii) Unsaturated zone characteristics (i.e., geologic materials,
physical properties, and depth to ground water); and
(2) The potential for hazardous waste or hazardous waste constituents
which enter the uppermost aquifer to migrate to a water supply well or
surface water, by an evaluation of:
(i) Saturated zone characteristics (i.e., geologic materials,
physical properties, and rate of ground-water flow); and
(ii) The proximity of the facility to water supply wells or surface
water.
(d) If an owner or operator assumes (or knows) that ground-water
monitoring of indicator parameters in accordance with 265.91 and
265.92 would show statistically significant increases (or decreases in
the case of pH) when evaluated under 265.93(b), he may, install,
operate, and maintain an alternate ground-water monitoring system (other
than the one described in 265.91 and 265.92). If the owner or operator
decides to use an alternate ground-water monitoring system he must:
(1) Within one year after the effective date of these regulations,
submit to the Regional Administrator a specific plan, certified by a
qualified geologist or geotechnical engineer, which satisfies the
requirements of 265.93(d)(3), for an alternate ground-water monitoring
system;
(2) Not later than one year after the effective date of these
regulations, initiate the determinations specified in 265.93(d)(4);
(3) Prepare and submit a written report in accordance with
265.93(d)(5);
(4) Continue to make the determinations specified in 265.93(d)(4) on
a quarterly basis until final closure of the facility; and
(5) Comply with the recordkeeping and reporting requirements in
265.94(b).
(e) The ground-water monitoring requirements of this subpart may be
waived with respect to any surface impoundment that (1) Is used to
neutralize wastes which are hazardous solely because they exhibit the
corrosivity characteristic under 261.22 of this chapter or are listed
as hazardous wastes in subpart D of part 261 of this chapter only for
this reason, and (2) contains no other hazardous wastes, if the owner or
operator can demonstrate that there is no potential for migration of
hazardous wastes from the impoundment. The demonstration must
establish, based upon consideration of the characteristics of the wastes
and the impoundment, that the corrosive wastes will be neutralized to
the extent that they no longer meet the corrosivity characteristic
before they can migrate out of the impoundment. The demonstration must
be in writing and must be certified by a qualified professional.
(Approved by the Office of Management and Budget under control number
2050-0033)
(45 FR 33232, May 19, 1980, as amended at 47 FR 1255, Jan. 11, 1982;
50 FR 4514, Jan. 31, 1985)
40 CFR 265.91 Ground-water monitoring system.
(a) A ground-water monitoring system must be capable of yielding
ground-water samples for analysis and must consist of:
(1) Monitoring wells (at least one) installed hydraulically
upgradient (i.e., in the direction of increasing static head) from the
limit of the waste management area. Their number, locations, and depths
must be sufficient to yield ground-water samples that are:
(i) Representative of background ground-water quality in the
uppermost aquifer near the facility; and
(ii) Not affected by the facility; and
(2) Monitoring wells (at least three) installed hydraulically
downgradient (i.e., in the direction of decreasing static head) at the
limit of the waste management area. Their number, locations, and depths
must ensure that they immediately detect any statistically significant
amounts of hazardous waste or hazardous waste constituents that migrate
from the waste management area to the uppermost aquifer.
(3) The facility owner or operator may demonstrate that an alternate
hydraulically downgradient monitoring well location will meet the
criteria outlined below. The demonstration must be in writing and kept
at the facility. The demonstration must be certified by a qualified
ground-water scientist and establish that:
(i) An existing physical obstacle prevents monitoring well
installation at the hydraulically downgradient limit of the waste
management area; and
(ii) The selected alternate downgradient location is as close to the
limit of the waste management area as practical; and
(iii) The location ensures detection that, given the alternate
location, is as early as possible of any statistically significant
amounts of hazardous waste or hazardous waste constituents that migrate
from the waste management area to the uppermost aquifer.
(iv) Lateral expansion, new, or replacement units are not eligible
for an alternate downgradient location under this paragraph.
(b) Separate monitoring systems for each waste management component
of a facility are not required provided that provisions for sampling
upgradient and downgradient water quality will detect any discharge from
the waste management area.
(1) In the case of a facility consisting of only one surface
impoundment, landfill, or land treatment area, the waste management area
is described by the waste boundary (perimeter).
(2) In the case of a facility consisting of more than one surface
impoundment, landfill, or land treatment area, the waste management area
is described by an imaginary boundary line which circumscribes the
several waste management components.
(c) All monitoring wells must be cased in a manner that maintains the
integrity of the monitoring well bore hole. This casing must be
screened or perforated, and packed with gravel or sand where necessary,
to enable sample collection at depths where appropriate aquifer flow
zones exist. The annular space (i.e., the space between the bore hole
and well casing) above the sampling depth must be sealed with a suitable
material (e.g., cement grout or bentonite slurry) to prevent
contamination of samples and the ground water.
(Approved by the Office of Management and Budget under control number
2050-0033)
(45 FR 33232, May 19, 1980, as amended at 50 FR 4514, Jan. 31, 1985;
56 FR 66369, Dec. 23, 1991)
40 CFR 265.92 Sampling and analysis.
(a) The owner or operator must obtain and analyze samples from the
installed ground-water monitoring system. The owner or operator must
develop and follow a ground-water sampling and analysis plan. He must
keep this plan at the facility. The plan must include procedures and
techniques for:
(1) Sample collection;
(2) Sample preservation and shipment;
(3) Analytical procedures; and
(4) Chain of custody control.
(Comment: See ''Procedures Manual For Ground-water Monitoring At
Solid Waste Disposal Facilities,'' EPA-530/SW-611, August 1977 and
''Methods for Chemical Analysis of Water and Wastes,'' EPA-600/4-79-020,
March 1979 for discussions of sampling and analysis procedures.)
(b) The owner or operator must determine the concentration or value
of the following parameters in ground-water samples in accordance with
paragraphs (c) and (d) of this section:
(1) Parameters characterizing the suitability of the ground water as
a drinking water supply, as specified in appendix III.
(2) Parameters establishing ground-water quality:
(i) Chloride
(ii) Iron
(iii) Manganese
(iv) Phenols
(v) Sodium
(vi) Sulfate
(Comment: These parameters are to be used as a basis for comparison
in the event a ground-water quality assessment is required under
265.93(d).)
(3) Parameters used as indicators of ground-water contamination:
(i) pH
(ii) Specific Conductance
(iii) Total Organic Carbon
(iv) Total Organic Halogen
(c)(1) For all monitoring wells, the owner or operator must establish
initial background concentrations or values of all parameters specified
in paragraph (b) of this section. He must do this quarterly for one
year.
(2) For each of the indicator parameters specified in paragraph
(b)(3) of this section, at least four replicate measurements must be
obtained for each sample and the initial background arithmetic mean and
variance must be determined by pooling the replicate measurements for
the respective parameter concentrations or values in samples obtained
from upgradient wells during the first year.
(d) After the first year, all monitoring wells must be sampled and
the samples analyzed with the following frequencies:
(1) Samples collected to establish ground-water quality must be
obtained and analyzed for the parameters specified in paragraph (b)(2)
of this section at least annually.
(2) Samples collected to indicate ground-water contamination must be
obtained and analyzed for the parameters specified in paragraph (b)(3)
of this section at least semi-annually.
(e) Elevation of the ground-water surface at each monitoring well
must be determined each time a sample is obtained.
(Approved by the Office of Management and Budget under control number
2050-0033)
(45 FR 33232, May 19, 1980, as amended at 50 FR 4514, Jan. 31, 1985)
40 CFR 265.93 Preparation, evaluation, and response.
(a) Within one year after the effective date of these regulations,
the owner or operator must prepare an outline of a ground-water quality
assessment program. The outline must describe a more comprehensive
ground-water monitoring program (than that described in 265.91 and
265.92) capable of determining:
(1) Whether hazardous waste or hazardous waste constituents have
entered the ground water;
(2) The rate and extent of migration of hazardous waste or hazardous
waste constituents in the ground water; and
(3) The concentrations of hazardous waste or hazardous waste
constituents in the ground water.
(b) For each indicator parameter specified in 265.92(b)(3), the
owner or operator must calculate the arithmetic mean and variance, based
on at least four replicate measurements on each sample, for each well
monitored in accordance with 265.92(d)(2), and compare these results
with its initial background arithmetic mean. The comparison must
consider individually each of the wells in the monitoring system, and
must use the Student's t-test at the 0.01 level of significance (see
appendix IV) to determine statistically significant increases (and
decreases, in the case of pH) over initial background.
(c)(1) If the comparisons for the upgradient wells made under
paragraph (b) of this section show a significant increase (or pH
decrease), the owner or operator must submit this information in
accordance with 265.94(a)(2)(ii).
(2) If the comparisons for downgradient wells made under paragraph
(b) of this section show a significant increase (or pH decrease), the
owner or operator must then immediately obtain additional ground-water
samples from those downgradient wells where a significant difference was
detected, split the samples in two, and obtain analyses of all
additional samples to determine whether the significant difference was a
result of laboratory error.
(d)(1) If the analyses performed under paragraph (c)(2) of this
section confirm the significant increase (or pH decrease), the owner or
operator must provide written notice to the Regional Administrator --
within seven days of the date of such confirmation -- that the facility
may be affecting ground-water quality.
(2) Within 15 days after the notification under paragraph (d)(1) of
this section, the owner or operator must develop and submit to the
Regional Administrator a specific plan, based on the outline required
under paragraph (a) of this section and certified by a qualified
geologist or geotechnical engineer, for a ground-water quality
assessment program at the facility.
(3) The plan to be submitted under 265.90(d)(1) or paragraph (d)(2)
of this section must specify:
(i) The number, location, and depth of wells;
(ii) Sampling and analytical methods for those hazardous wastes or
hazardous waste constituents in the facility;
(iii) Evaluation procedures, including any use of previously-gathered
ground-water quality information; and
(iv) A schedule of implementation.
(4) The owner or operator must implement the ground-water quality
assessment plan which satisfies the requirements of paragraph (d)(3) of
this section, and, at a minimum, determine:
(i) The rate and extent of migration of the hazardous waste or
hazardous waste constituents in the ground water; and
(ii) The concentrations of the hazardous waste or hazardous waste
constituents in the ground water.
(5) The owner or operator must make his first determination under
paragraph (d)(4) of this section as soon as technically feasible, and,
within 15 days after that determination, submit to the Regional
Administrator a written report containing an assessment of the
ground-water quality.
(6) If the owner or operator determines, based on the results of the
first determination under paragraph (d)(4) of this section, that no
hazardous waste or hazardous waste constituents from the facility have
entered the ground water, then he may reinstate the indicator evaluation
program described in 265.92 and paragraph (b) of this section. If the
owner or operator reinstates the indicator evaluation program, he must
so notify the Regional Administrator in the report submitted under
paragraph (d)(5) of this section.
(7) If the owner or operator determines, based on the first
determination under paragraph (d)(4) of this section, that hazardous
waste or hazardous waste constituents from the facility have entered the
ground water, then he:
(i) Must continue to make the determinations required under paragraph
(d)(4) of this section on a quarterly basis until final closure of the
facility, if the ground-water quality assessment plan was implemented
prior to final closure of the facility; or
(ii) May cease to make the determinations required under paragraph
(d)(4) of this section, if the ground-water quality assessment plan was
implemented during the post-closure care period.
(e) Notwithstanding any other provision of this subpart, any
ground-water quality assessment to satisfy the requirements of
265.93(d)(4) which is initiated prior to final closure of the facility
must be completed and reported in accordance with 265.93(d)(5).
(f) Unless the ground water is monitored to satisfy the requirements
of 265.93(d)(4), at least annually the owner or operator must evaluate
the data on ground-water surface elevations obtained under 265.92(e) to
determine whether the requirements under 265.91(a) for locating the
monitoring wells continues to be satisfied. If the evaluation shows
that 265.91(a) is no longer satisfied, the owner or operator must
immediately modify the number, location, or depth of the monitoring
wells to bring the ground-water monitoring system into compliance with
this requirement.
(Approved by the Office of Management and Budget under control number
2050-0033)
(45 FR 33232, May 19, 1980, as amended at 50 FR 4514, Jan. 31, 1985)
40 CFR 265.94 Recordkeeping and reporting.
(a) Unless the ground water is monitored to satisfy the requirements
of 265.93(d)(4), the owner or operator must:
(1) Keep records of the analyses required in 265.92(c) and (d), the
associated ground-water surface elevations required in 265.92(e), and
the evaluations required in 265.93(b) throughout the active life of the
facility, and, for disposal facilities, throughout the post-closure care
period as well; and
(2) Report the following ground-water monitoring information to the
Regional Administrator:
(i) During the first year when initial background concentrations are
being established for the facility: concentrations or values of the
parameters listed in 265.92(b)(1) for each ground-water monitoring well
within 15 days after completing each quarterly analysis. The owner or
operator must separately identify for each monitoring well any
parameters whose concentration or value has been found to exceed the
maximum contaminant levels listed in appendix III.
(ii) Annually: Concentrations or values of the parameters listed in
265.92(b)(3) for each ground-water monitoring well, along with the
required evaluations for these parameters under 265.93(b). The owner or
operator must separately identify any significant differences from
initial background found in the upgradient wells, in accordance with
265.93(c)(1). During the active life of the facility, this information
must be submitted no later than March 1 following each calendar year.
(iii) No later than March 1 following each calendar year: Results of
the evaluations of ground-water surface elevations under 265.93(f), and
a description of the response to that evaluation, where applicable.
(b) If the ground water is monitored to satisfy the requirements of
265.93(d)(4), the owner or operator must:
(1) Keep records of the analyses and evaluations specified in the
plan, which satisfies the requirements of 265.93(d)(3), throughout the
active life of the facility, and, for disposal facilities, throughout
the post-closure care period as well; and
(2) Annually, until final closure of the facility, submit to the
Regional Administrator a report containing the results of his or her
ground-water quality assessment program which includes, but is not
limited to, the calculated (or measured) rate of migration of hazardous
waste or hazardous waste constituents in the ground water during the
reporting period. This information must be submitted no later than
March 1 following each calendar year.
(Approved by the Office of Management and Budget under control number
2050-0033)
(45 FR 33232, May 19, 1980, as amended at 48 FR 3982, Jan. 28, 1983;
50 FR 4514, Jan. 31, 1985)
40 CFR 265.94 Subpart G -- Closure and Post-Closure
Source: 51 FR 16451, May 2, 1986, unless otherwise noted.
40 CFR 265.110 Applicability.
Except as 265.1 provides otherwise:
(a) Sections 265.111 through 265.115 (which concern closure) apply to
the owners and operators of all hazardous waste management facilities;
and
(b) Sections 265.116 through 265.120 (which concern post-closure
care) apply to the owners and operators of:
(1) All hazardous waste disposal facilities; and
(2) Waste piles and surface impoundments for which the owner or
operator intends to remove the wastes at closure to the extent that
these sections are made applicable to such facilities in 265.228 or
265.258; and
(3) Tank systems that are required under 265.197 to meet
requirements for landfills.
(51 FR 16451, May 2, 1986, as amended at 51 FR 25479, July 14, 1986;
53 FR 34086, Sept. 2, 1988)
40 CFR 265.111 Closure performance standard.
The owner or operator must close the facility in a manner that:
(a) Minimizes the need for further maintenance, and
(b) Controls, minimizes or eliminates, to the extent necessary to
protect human health and the environment, post-closure escape of
hazardous waste, hazardous constituents, leachate, contaminated run-off,
or hazardous waste decomposition products to the ground or surface
waters or to the atmosphere, and
(c) Complies with the closure requirements of this subpart including,
but not limited to, the requirements of 265.197, 265.228, 265.258,
265.280, 265.310, 265.351, 265.381 and 265.404.
40 CFR 265.112 Closure plan; amendment of plan.
(a) Written plan. By May 19, 1981, or by six months after the
effective date of the rule that first subjects a facility to provisions
of this section, the owner or operator of a hazardous waste management
facility must have a written closure plan. Until final closure is
completed and certified in accordance with 265.115, a copy of the most
current plan must be furnished to the Regional Administrator upon
request, including request by mail. In addition, for facilities without
approved plans, it must also be provided during site inspections, on the
day of inspection, to any officer, employee, or representative of the
Agency who is duly designated by the Administrator.
(b) Content of plan. The plan must identify steps necessary to
perform partial and/or final closure of the facility at any point during
its active life. The closure plan must include, at least:
(1) A description of how each hazardous waste management unit at the
facility will be closed in accordance with 265.111; and
(2) A description of how final closure of the facility will be
conducted in accordance with 265.111. The description must identify the
maximum extent of the operation which will be unclosed during the active
life of the facility; and
(3) An estimate of the maximum inventory of hazardous wastes ever
on-site over the active life of the facility and a detailed description
of the methods to be used during partial and final closure, including,
but not limited to methods for removing, transporting, treating, storing
or disposing of all hazardous waste, identification of and the type(s)
of off-site hazardous waste management unit(s) to be used, if
applicable; and
(4) 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 including, but not limited to, procedures for cleaning
equipment and removing contaminated soils, methods for sampling and
testing surrounding soils, and criteria for determining the extent of
decontamination necessary to satisfy the closure performance standard;
and
(5) A detailed description of other activities necessary during the
partial and final closure period to ensure that all partial closures and
final closure satisfy the closure performance standards, including, but
not limited to, ground-water monitoring, leachate collection, and run-on
and run-off control; and
(6) 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 the time required for intervening closure activities
which will allow tracking of the progress of partial and final closure.
(For example, in the case of a landfill unit, estimates of the time
required to treat or dispose of all hazardous waste inventory and of the
time required to place a final cover must be included.); and
(7) An estimate of the expected year of final closure for facilities
that use trust funds to demonstrate financial assurance under 265.143
or 265.145 and whose remaining operating life is less than twenty
years, and for facilities without approved closure plans.
(c) Amendment of plan. The owner or operator may amend the closure
plan at any time prior to the notification of partial or final closure
of the facility. An owner or operator with an approved closure plan
must submit a written request to the Regional Administrator to authorize
a change to the approved closure plan. The written request must include
a copy of the amended closure plan for approval by the Regional
Administrator.
(1) The owner or operator must amend the closure plan whenever:
(i) Changes in operating plans or facility design affect the closure
plan, or
(ii) There is a change in the expected year of closure, if
applicable, or
(iii) In conducting partial or final closure activities, unexpected
events require a modification of the closure plan.
(2) The owner or operator must amend the closure plan at least 60
days prior to the proposed change in facility design or operation, or no
later than 60 days after an unexpected event has occurred which has
affected the closure plan. If an unexpected event occurs during the
partial or final closure period, the owner or operator must amend the
closure plan no later than 30 days after the unexpected event. These
provisions also apply to owners or operators of surface impoundments and
waste piles who intended to remove all hazardous wastes at closure, but
are required to close as landfills in accordance with 265.310.
(3) An owner or operator with an approved closure plan must submit
the modified plan to the Regional Administrator at least 60 days prior
to the proposed change in facility design or operation, or no more than
60 days after an unexpected event has occurred which has affected the
closure plan. If an unexpected event has occurred during the partial or
final closure period, the owner or operator must submit the modified
plan no more than 30 days after the unexpected event. These provisions
also apply to owners or operators of surface impoundments and waste
piles who intended to remove all hazardous wastes at closure but are
required to close as landfills in accordance with 265.310. If the
amendment to the plan is a Class 2 or 3 modification according to the
criteria in 270.42, the modification to the plan will be approved
according to the procedures in 265.112(d)(4).
(4) The Regional Administrator may request modifications to the plan
under the conditions described in paragraph (c)(1) of this section. An
owner or operator with an approved closure plan must submit the modified
plan within 60 days of the request from the Regional Administrator, or
within 30 days if the unexpected event occurs during partial or final
closure. If the amendment is considered a Class 2 or 3 modification
according to the criteria in 270.42, the modification to the plan will
be approved in accordance with the procedures in 265.112(d)(4).
(d) Notification of partial closure and final closure. (1) The owner
or operator must submit the closure plan to the Regional Administrator
at least 180 days prior to the date on which he 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
expects to begin partial or final closure of a boiler or industrial
furnace. The owner or operator must submit the closure plan to the
Regional Administrator at least 45 days prior to the date on which he
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 he expects 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 or operators
with approved closure plans must notify the Regional Administrator in
writing at least 45 days prior to the date on which he expects to begin
partial or final closure of a boiler or industrial furnace. Owners or
operators with approved closure plans must notify the Regional
Administrator in writing at least 45 days prior to the date on which he
expects to begin final closure of a facility with only tanks, container
storage, or incinerator units.
(2) The date when he ''expects to begin closure'' must be either:
(i) Within 30 days after the date on which any hazardous waste
management unit receives the known final volume of hazardous wastes, 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 waste. If the owner or operator of a hazardous waste
management unit can demonstrate to the Regional Administrator that the
hazardous waste management unit or facility has the capacity to receive
additional hazardous wastes and he has taken, and will continue to take,
all steps to prevent threats to human health and the environment,
including compliance with all interim status requirements, the Regional
Administrator may approve an extension to this one-year limit; or
(ii) For units meeting the requirements of 265.113(d), no later than
30 days after the date on which the hazardous waste management unit
receives the known final volume of nonhazardous wastes, or if there is a
reasonable possibility that the hazardous waste management unit will
receive additional nonhazardous wastes, no later than one year after the
date on which the unit received the most recent volume of nonhazardous
wastes. If the owner or operator can demonstrate to the Regional
Administrator that the hazardous waste management unit has the capacity
to receive additional nonhazardous wastes and he has taken, and will
continue to take, all steps to prevent threats to human health and the
environment, including compliance with all applicable interim status
requirements, the Regional Administrator may approve an extension to
this one-year limit.
(3) The owner or operator must submit his closure plan to the
Regional Administrator no later than 15 days after:
(i) Termination of interim status except when a permit is issued
simultaneously with termination of interim status; or
(ii) Issuance of a judicial decree or final order under section 3008
of RCRA to cease receiving hazardous wastes or close.
(4) The Regional Administrator will provide the owner or operator and
the public, through a newspaper notice, the opportunity to submit
written comments on the plan and request modifications to the plan no
later than 30 days from the date of the notice. He will also, in
response to a request or at his own discretion, hold a public hearing
whenever such a hearing might clarify one or more issues concerning a
closure plan. The Regional Administrator will give public notice of the
hearing at least 30 days before it occurs. (Public notice of the
hearing may be given at the same time as notice of the opportunity for
the public to submit written comments, and the two notices may be
combined.) The Regional Administrator will approve, modify, or
disapprove the plan within 90 days of its receipt. If the Regional
Administrator does not approve the 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
Regional Administrator will approve or modify this plan in writing
within 60 days. If the Regional Administrator modifies the plan, this
modified plan becomes the approved closure plan. The Regional
Administrator must assure that the approved plan is consistent with
265.111 through 265.115 and the applicable requirements of 265.90 et
seq., 265.197, 265.228, 265,258, 265.280, 265.310, 265.351, 265.381, and
265.404. A copy of the modified plan with a detailed statement of
reasons for the modifications must be mailed to the owner or operator.
(e) Removal of wastes and decontamination or dismantling of
equipment. Nothing in this section shall preclude the owner or operator
from removing hazardous wastes and decontaminating or dismantling
equipment in accordance with the approved partial or final closure plan
at any time before or after notification of partial or final closure.
(51 FR 16451, May 2, 1986, as amended at 54 FR 37935, Sept. 28, 1988;
56 FR 7207, Feb. 21, 1991; 56 FR 42512, Aug. 27, 1991)
40 CFR 265.113 Closure; time allowed for closure.
(a) Within 90 days after receiving the final volume of hazardous
wastes, or the final volume of nonhazardous wastes if the owner or
operator complies with all applicable requirements in paragraphs (d) and
(e) of this section, at a hazardous waste management unit or facility,
or within 90 days after approval of the closure plan, whichever is
later, the owner or operator must treat, remove from the unit or
facility, or dispose of on-site, all hazardous wastes in accordance with
the approved closure plan. The Regional Administrator may approve a
longer period if the owner or operator demonstrates that:
(1)(i) The activities required to comply with this paragraph will, of
necessity, take longer than 90 days to complete; or
(ii)(A) The hazardous waste management unit or facility has the
capacity to receive additional hazardous wastes, or has the capacity to
receive non-hazardous wastes if the facility owner or operator complies
with paragraphs (d) and (e) of this section; and
(B) There is a reasonable likelihood that he or another person will
recommence operation of the hazardous waste management unit or the
facility within one year; and
(C) Closure of the hazardous waste management unit or facility would
be incompatible with continued operation of the site; and
(2) He has taken and will continue to take all steps to prevent
threats to human health and the environment, including compliance with
all applicable interim status requirements.
(b) The owner or operator must complete partial and final closure
activities in accordance with the approved closure plan and within 180
days after receiving the final volume of hazardous wastes, or the final
volume of nonhazardous wastes if the owner or operator complies with all
applicable requirements in paragraphs (d) and (e) of this section, at
the hazardous waste management unit or facility, or 180 days after
approval of the closure plan, if that is later. The Regional
Administrator may approve an extenstion to the closure period if the
owner or operator demonstrates that:
(1) (i) The partial or final closure activities will, of necessity,
take longer than 180 days to complete; or
(ii)(A) The hazardous waste management unit or facility has the
capacity to receive additional hazardous wastes, or has the capacity to
receive non-hazardous wastes if the facility owner or operator complies
with paragraphs (d) and (e) of this section; and
(B) There is reasonable likelihood that he or another person will
recommence operation of the hazardous waste management unit or the
facility within one year; and
(C) Closure of the hazardous waste management unit or facility would
be incompatible with continued operation of the site; and
(2) He has taken and will continue to take all steps to prevent
threats to human health and the environment from the unclosed but not
operating hazardous waste management unit or facility, including
compliance with all applicable interim status requirements.
(c) The demonstrations referred to in paragraphs (a)(1) and (b)(1) of
this section must be made as follows:
(1) The demonstrations in paragraph (a)(1) of this section must be
made at least 30 days prior to the expiration of the 90-day period in
paragraph (a) of this section; and
(2) The demonstration in paragraph (b)(1) of this section must be
made at least 30 days prior to the expiration of the 180-day period in
paragraph (b) of this section, unless the owner or operator is otherwise
subject to the deadlines in paragraph (d) of this section.
(d) The Regional Administrator may allow an owner or operator to
receive non-hazardous wastes in a landfill, land treatment, or surface
impoundment unit after the final receipt of hazardous wastes at that
unit if:
(1) The owner or operator submits an amended part B application, or a
part B application, if not previously required, and demonstrates that:
(i) The unit has the existing design capacity as indicated on the
part A application to receive non-hazardous wastes; and
(ii) There is a reasonable likelihood that the owner or operator or
another person will receive non-hazardous wastes in the unit within one
year after the final receipt of hazardous wastes; and
(iii) The non-hazardous wastes will not be incompatible with any
remaining wastes in the unit or with the facility design and operating
requirements of the unit or facility under this part; and
(iv) Closure of the hazardous waste management unit would be
incompatible with continued operation of the unit or facility; and
(v) The owner or operator is operating and will continue to operate
in compliance with all applicable interim status requirements; and
(2) The part B application includes an amended waste analysis plan,
ground-water monitoring and response program, human exposure assessment
required under RCRA section 3019, and closure and post-closure plans,
and updated cost estimates and demonstrations of financial assurance for
closure and post- closure care as necessary and appropriate to reflect
any changes due to the presence of hazardous constituents in the
non-hazardous wastes, and changes in closure activities, including the
expected year of closure if applicable under 265.112(b)(7), as a result
of the receipt of non-hazardous wastes following the final receipt of
hazardous wastes; and
(3) The part B application is amended, as necessary and appropriate,
to account for the receipt of non-hazardous wastes following receipt of
the final volume of hazardous wastes; and
(4) The part B application and the demonstrations referred to in
paragraphs (d)(1) and (d)(2) of this section are submitted to the
Regional Administrator no later than 180 days prior to the date on which
the owner or operator of the facility receives the known final volume of
hazardous wastes, or no later than 90 days after the effective date of
this rule in the state in which the unit is located, whichever is later.
(e) In addition to the requirements in paragraph (d) of this section,
an owner or operator of a hazardous waste surface impoundment that is
not in compliance with the liner and leachate collection system
requirements in 42 U.S.C. 3004(o)(1) and 3005(j)(1) or 42 U.S.C.
3004(o)(2) or (3) or 3005(j) (2), (3), (4) or (13) must:
(1) Submit with the part B application:
(i) A contingent corrective measures plan; and
(ii) A plan for removing hazardous wastes in compliance with
paragraph (e)(2) of this section; and
(2) Remove all hazardous wastes from the unit by removing all
hazardous liquids and removing all hazardous sludges to the extent
practicable without impairing the integrity of the liner(s), if any.
(3) Removal of hazardous wastes must be completed no later than 90
days after the final receipt of hazardous wastes. The Regional
Administrator may approve an extension to this deadline if the owner or
operator demonstrates that the removal of hazardous wastes will, of
necessity, take longer than the allotted period to complete and that an
extension will not pose a threat to human health and the environment.
(4) If a release that is a statistically significant increase (or
decrease in the case of pH) in hazardous oonstituents over background
levels is detected in accordance with the requirements in subpart F of
this part, the owner or operator of the unit:
(i) Must implement corrective measures in accordance with the
approved contingent corrective measures plan required by paragraph
(e)(1) of this section no later than one year after detection of the
release, or approval of the contingent corrective measures plan,
whichever is later;
(ii) May receive wastes at the unit following detection of the
release only if the approved corrective measures plan includes a
demonstration that continued receipt of wastes will not impede
corrective action; and
(iii) May be required by the Regional Administrator to implement
corrective measures in less than one year or to cease receipt of wastes
until corrective measures have been implemented if necessary to protect
human health and the environment.
(5) During the period of corrective action, the owner or operator
shall provide semi-annual reports to the Regional Administrator that
describe the progress of the corrective action program, compile all
ground-water monitoring data, and evaluate the effect of the continued
receipt of non-hazardous wastes on the effectiveness of the corrective
action.
(6) The Regional Administrator may require the owner or operator to
commence closure of the unit if the owner or operator fails to implement
corrective action measures in accordance with the approved contingent
corrective measures plan within one year as required in paragraph (e)(4)
of this section, or fails to make substantial progress in implementing
corrective action and achieving the facility's background levels.
(7) If the owner or operator fails to implement corrective measures
as required in paragraph (e)(4) of this section, or if the Regional
Administrator determines that substantial progress has not been made
pursuant to paragraph (e)(6) of this section he shall:
(i) Notify the owner or operator in writing that the owner or
operator must begin closure in accordance with the deadline in
paragraphs (a) and (b) of this section and provide a detailed statement
of reasons for this determination, and
(ii) Provide the owner or operator and the public, through a
newspaper notice, the opportunity to submit written comments on the
decision no later than 20 days after the date of the notice.
(iii) If the Regional Administrator receives no written comments, the
decision will become final five days after the close of the comment
period. The Regional Administrator will notify the owner or operator
that the decision is final, and that a revised closure plan, if
necessary, must be submitted within 15 days of the final notice and that
closure must begin in accordance with the deadlines in paragraphs (a)
and (b) of this section.
(iv) If the Regional Administrator receives written comments on the
decision, he shall make a final decision within 30 days after the end of
the comment period, and provide the owner or operator in writing and the
public through a newspaper notice, a detailed statement of reasons for
the final decision. If the Regional Administrator determines that
substantial progress has not been made, closure must be initiated in
accordance with the deadlines in paragraphs (a) and (b) of this section.
(v) The final determinations made by the Regional Administrator under
paragraphs (e)(7) (iii) and (iv) of this section are not subject to
administrative appeal.
(51 FR 16451, May 2, 1986, as amended at 54 FR 33396, Aug. 14, 1989;
56 FR 42512, Aug. 27, 1991)
40 CFR 265.114 Disposal or decontamination of equipment, structures and
soils.
During the partial and final closure periods, all contaminated
equipment, structures and soil must be properly disposed of, or
decontaminated unless specified otherwise in 265.197, 265.228,
265.258, 265.280, or 265.310. By removing all hazardous wastes or
hazardous constituents during partial and final closure, the owner or
operator may become a generator of hazardous waste and must handle that
hazardous waste in accordance with all applicable requirements of part
262 of this chapter.
(51 FR 16451, May 2, 1986, as amended at 53 FR 34086, Sept. 2, 1988)
40 CFR 265.115 Certification of closure.
Within 60 days of completion of closure of each hazardous waste
surface impoundment, waste pile, land treatment, and landfill unit, and
within 60 days of completion of final closure, the owner or operator
must submit to the Regional Administrator, by registered mail, a
certification that the hazardous waste management unit or facility, as
applicable, has been closed in accordance with the specifications in the
approved closure plan. The certification must be signed by the owner or
operator and by an independent registered professional engineer.
Documentation supporting the independent registered professional
engineer's certification must be furnished to the Regional Administrator
upon request until he releases the owner or operator from the financial
assurance requirements for closure under 265.143(h).
40 CFR 265.116 Survey plat.
No later than the submission of the certification of closure of each
hazardous waste disposal unit, an owner or operator must submit to the
local zoning authority, or the authority with jurisdiction over local
land use, and 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. This
plat must be prepared and certified by a professional land surveyor.
The plat filed with the local zoning authority, or the authority with
jurisdiction over local land use must contain a note, prominently
displayed, which states the owner's or operator's obligation to restrict
disturbance of the hazardous waste disposal unit in accordance with the
applicable subpart G regulations.
40 CFR 265.117 Post-closure care and use of property.
(a)(1) Post-closure care for each hazardous waste management unit
subject to the requirements of 265.117 through 265.120 must begin
after completion of closure of the unit and continue for 30 years after
that date. It must consist of at least the following:
(i) Monitoring and reporting in accordance with the requirements of
subparts F, K, L, M, and N of this part; and
(ii) Maintenance and monitoring of waste containment systems in
accordance with the requirements of subparts F, K, L, M, and N of this
part.
(2) Any time preceding closure of a hazardous waste management unit
subject to post-closure care requirements or final closure, or any time
during the post-closure period for a particular hazardous waste disposal
unit, the Regional Administrator may:
(i) Shorten the post-closure care period applicable to the hazardous
waste management unit, or facility, if all disposal units have been
closed, if he finds that the reduced period is sufficient to protect
human health and the environment (e.g., leachate or ground-water
monitoring results, characteristics of the hazardous waste, application
of advanced technology, or alternative disposal, treatment, or re-use
techniques indicate that the hazardous waste management unit or facility
is secure); or
(ii) Extend the post-closure care period applicable to the hazardous
waste management unit or facility, if he finds that the extended period
is necessary to protect human health and the environment (e.g., leachate
or ground-water monitoring results indicate a potential for migration of
hazardous wastes at levels which may be harmful to human health and the
environment).
(b) The Regional Administator may require, at partial and final
closure, continuation of any of the security requirements of 265.14
during part or all of the post-closure period when:
(1) Hazardous wastes may remain exposed after completion of partial
or final closure; or
(2) Access by the public or domestic livestock may pose a hazard to
human health.
(c) Post-closure use of property on or in which hazardous wastes
remain after partial or final closure must never be allowed to disturb
the integrity of the final cover, liner(s), or any other components of
the containment system, or the function of the facility's monitoring
systems, unless the Regional Administrator finds that the disturbance:
(1) Is necessary to the proposed use of the property, and will not
increase the potential hazard to human health or the environment; or
(2) Is necessary to reduce a threat to human health or the
environment.
(d) All post-closure care activities must be in accordance with the
provisions of the approved post-closure plan as specified in 265.118.
40 CFR 265.118 Post-closure plan; amendment of plan.
(a) Written plan. By May 19, 1981, the owner or operator of a
hazardous waste disposal unit must have a written post-closure plan. An
owner or operator of a surface impoundment or waste pile that intends to
remove all hazardous wastes 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.
(b) Until final closure of the facility, a copy of the most current
post-closure plan must be furnished to the Regional Administrator upon
request, including request by mail. In addition, for facilities without
approved post-closure plans, it must also be provided during site
inspections, on the day of inspection, to any officer, employee or
representative of the Agency who is duly designated by the
Administrator. After final closure has been certified, the person or
office specified in 265.118(c)(3) must keep the approved post-closure
plan during the post-closure period.
(c) For each hazardous waste management unit subject to the
requirements of this section, the post-closure plan must identify the
activities that will be carried on after closure of each disposal unit
and the frequency of these activities, and include at least:
(1) A description of the planned monitoring activities and
frequencies at which they will be performed to comply with subparts F,
K, L, M, and N of this part during the post-closure care period; and
(2) A description of the planned maintenance activities, and
frequencies at which they will be performed, to ensure:
(i) The integrity of the cap and final cover or other containment
systems in accordance with the requirements of subparts K, L, M, and N
of this part; and
(ii) The function of the monitoring equipment in accordance with the
requirements of subparts F, K, L, M, and N of this part; and
(3) 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.
(d) Amendment of plan. The owner or operator may amend the
post-closure plan any time during the active life of the facility or
during the post-closure care period. An owner or operator with an
approved post-closure plan must submit a written request to the Regional
Administrator to authorize a change to the approved plan. The written
request must include a copy of the amended post-closure plan for
approval by the Regional Administrator.
(1) The owner or operator must amend the post-closure plan whenever:
(i) Changes in operating plans or facility design affect the
post-closure plan, or
(ii) Events which occur during the active life of the facility,
including partial and final closures, affect the post-closure plan.
(2) The owner or operator must amend the post-closure plan at least
60 days prior to the proposed change in facility design or operation, or
no later than 60 days after an unexpected event has occurred which has
affected the post-closure plan.
(3) 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 design or operation, or no more
than 60 days after an unexpected event has occurred which has affected
the post-closure plan. 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 as a
landfill. If the amendment to the post-closure plan is a Class 2 or 3
modification according to the criteria in 270.42, the modification to
the plan will be approved according to the procedures in 265.118(f).
(4) The Regional Administrator may request modifications to the plan
under the conditions described in paragraph (d)(1) of this section. An
owner or operator with an approved post-closure plan must submit the
modified plan no later than 60 days of the request from the Regional
Administrator. If the amendment to the plan is considered a Class 2 or
3 modification according to the criteria in 270.42, the modifications
to the post-closure plan will be approved in accordance with the
procedures in 265.118(f). 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.
(e) The owner or operator of a facility with hazardous waste
management units subject to these requirements must submit his
post-closure plan to the Regional Administrator at least 180 days before
the date he 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. The
owner or operator must submit the post-closure plan to the Regional
Administrator no later than 15 days after:
(1) Termination of interim status (except when a permit is issued to
the facility simultaneously with termination of interim status); or
(2) Issuance of a judicial decree or final orders under section 3008
of RCRA to cease receiving wastes or close.
(f) The Regional Administrator will provide the owner or operator and
the public, through a newspaper notice, the opportunity to submit
written comments on the post-closure plan and request modifications to
the plan no later than 30 days from the date of the notice. He will
also, in response to a request or at his own discretion, hold a public
hearing whenever such a hearing might clarify one or more issues
concerning a post-closure plan. The Regional Administrator will give
public notice of the hearing at least 30 days before it occurs. (Public
notice of the hearing may be given at the same time as notice of the
opportunity for the public to submit written comments, and the two
notices may be combined.) The Regional Administrator will approve,
modify, or disapprove the plan within 90 days of its receipt. If the
Regional Administrator does not approve the 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 Regional Administrator will approve or modify this plan in writing
within 60 days. If the Regional Administrator modifies the plan, this
modified plan becomes the approved post-closure plan. The Regional
Administrator must ensure that the approved post-closure plan is
consistent with 265.117 through 265.120. A copy of the modified plan
with a detailed statement of reasons for the modifications must be
mailed to the owner or operator.
(g) The post-closure plan and length of the post-closure care period
may be modified any time prior to the end of the post-closure care
period in either of the following two ways:
(1) The owner or operator or any member of the public may petition
the Regional Administrator to extend or reduce the post-closure care
period applicable to a hazardous waste management unit or facility based
on cause, or alter the requirements of the post-closure care period
based on cause.
(i) The petition must include evidence demonstrating that:
(A) The secure nature of the hazardous waste management unit or
facility makes the post-closure care requirement(s) unnecessary or
supports reduction of the post-closure care period specified in the
current post-closure plan (e.g., leachate or ground-water monitoring
results, characteristics of the wastes, application of advanced
technology, or alternative disposal, treatment, or re-use techniques
indicate that the facility is secure), or
(B) The requested extension in the post-closure care period or
alteration of post-closure care requirements is necessary to prevent
threats to human health and the environment (e.g., leachate or
ground-water monitoring results indicate a potential for migration of
hazardous wastes at levels which may be harmful to human health and the
environment).
(ii) These petitions will be considered by the Regional Administrator
only when they present new and relevant information not previously
considered by the Regional Administrator. Whenever the Regional
Administrator is considering a petition, he will provide the owner or
operator and the public, through a newspaper notice, the opportunity to
submit written comments within 30 days of the date of the notice. He
will also, in response to a request or at his own discretion, hold a
public hearing whenever a hearing might clarify one or more issues
concerning the post-closure plan. The Regional Administrator will give
the public notice of the hearing at least 30 days before it occurs.
(Public notice of the hearing may be given at the same time as notice of
the opportunity for written public comments, and the two notices may be
combined.) After considering the comments, he will issue a final
determination, based upon the criteria set forth in paragraph (g)(1) of
this section.
(iii) If the Regional Administrator denies the petition, he will send
the petitioner a brief written response giving a reason for the denial.
(2) The Regional Administrator may tentatively decide to modify the
post-closure plan if he deems it necessary to prevent threats to human
health and the environment. He may propose to extend or reduce the
post-closure care period applicable to a hazardous waste management unit
or facility based on cause or alter the requirements of the post-closure
care period based on cause.
(i) The Regional Administrator will provide the owner or operator and
the affected public, through a newspaper notice, the opportunity to
submit written comments within 30 days of the date of the notice and the
opportunity for a public hearing as in paragraph (g)(1)(ii) of this
section. After considering the comments, he will issue a final
determination.
(ii) The Regional Administrator will base his final determination
upon the same criteria as required for petitions under paragraph
(g)(1)(i) of this section. A modification of the post-closure plan may
include, where appropriate, the temporary suspension rather than
permanent deletion of one or more post-closure care requirements. At
the end of the specified period of suspension, the Regional
Administrator would then determine whether the requirement(s) should be
permanently discontinued or reinstated to prevent threats to human
health and the environment.
(51 FR 16451, May 2, 1986, as amended at 53 FR 37935, Sept. 28, 1988)
40 CFR 265.119 Post-closure notices.
(a) No later than 60 days after certification of closure of each
hazardous waste disposal unit, the owner or operator must submit to the
local zoning authority, or 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. For hazardous wastes disposed
of before January 12, 1981, the owner or operator must identify the
type, location and quantity of the hazardous wastes to the best of his
knowledge and in accordance with any records he has kept.
(b) Within 60 days of certification of closure of the first hazardous
waste disposal unit and within 60 days of certification of closure of
the last hazardous waste disposal unit, the owner or operator must:
(1) Record, in accordance with State law, a notation on the deed to
the facility property -- or on some other instrument which is normally
examined during title search -- that will in perpetuity notify any
potential purchaser of the property that:
(i) The land has been used to manage hazardous wastes; and
(ii) Its use is restricted under 40 CFR subpart G regulations; and
(iii) The survey plat and record of the type, location, and quantity
of hazardous wastes disposed of within each cell or other hazardous
waste disposal unit of the facility required by 265.116 and 265.119(a)
have been filed with the local zoning authority or the authority with
jurisdiction over local land use and with the Regional Administrator;
and
(2) Submit a certification signed by the owner or operator that he
has recorded the notation specified in paragraph (b)(1) of this section
and a copy of the document in which the notation has been placed, to the
Regional Administrator.
(c) If the owner or operator or any subsequent owner of the land upon
which a hazardous waste disposal unit was located wishes to remove
hazardous wastes and hazardous waste residues, the liner, if any, and
all contaminated structures, equipment, and soils, he must request a
modification to the approved post-closure plan in accordance with the
requirements of 265.118(g). The owner or operator must demonstrate that
the removal of hazardous wastes will satisfy the criteria of
265.117(c). By removing hazardous waste, the owner or operator may
become a generator of hazardous waste and must manage it in accordance
with all applicable requirements of this chapter. If the owner or
operator is granted approval to conduct the removal activities, the
owner or operator may request that the Regional Administrator approve
either:
(1) The removal of the notation on the deed to the facility property
or other instrument normally examined during title search, or
(2) The addition of a notation to the deed or instrument indicating
the removal of the hazardous waste.
40 CFR 265.120 Certification of completion of post-closure care.
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, by
registered mail, a certification that the post-closure care period for
the hazardous waste disposal unit was performed in accordance with the
specifications in the approved post-closure plan. The certification
must be signed by the owner or operator and an independent registered
professional engineer. Documentation supporting the independent
registered professional engineer's certification must be furnished to
the Regional Administrator upon request until he releases the owner or
operator from the financial assurance requirements for post-closure care
under 265.145(h).
(The information collection requirements in subpart G are approved by
the Office of Management and Budget under control number 2050-0008)
40 CFR 265.120 Subpart H -- Financial Requirements
Source: 47 FR 15064, Apr. 7, 1982, unless otherwise noted.
40 CFR 265.140 Applicability.
(a) The requirements of 265.142, 265.143 and 265.147 through
265.150 apply to owners or operators of all hazardous waste facilities,
except as provided otherwise in this section or in 265.1.
(b) The requirements of 265.144 and 265.146 apply only to owners
and operators of disposal facilities and tank systems that are required
under 265.197 to meet the requirements for landfills
(c) States and the Federal government are exempt from the
requirements of this subpart.
(47 FR 15064, Apr. 7, 1982, as amended at 51 FR 16455, May 2, 1986;
51 FR 25479, July 14, 1986)
40 CFR 265.141 Definitions of terms as used in this subpart.
(a) Closure plan means the plan for closure prepared in accordance
with the requirements of 265.112.
(b) Current closure cost estimate means the most recent of the
estimates prepared in accordance with 265.142 (a), (b), and (c).
(c) Current post-closure cost estimate means the most recent of the
estimates prepared in accordance with 265.144 (a), (b), and (c).
(d) Parent corporation means a corporation which directly owns at
least 50 percent of the voting stock of the corporation which is the
facility owner or operator; the latter corporation is deemed a
''subsidiary'' of the parent corporation.
(e) Post-closure plan means the plan for post-closure care prepared
in accordance with the requirements of 265.117 through 265.120.
(f) The following terms are used in the specifications for the
financial tests for closure, post-closure care, and liability coverage.
The definitions are intended to assist in the understanding of these
regulations and are not intended to limit the meanings of terms in a way
that conflicts with generally accepted accounting practices.
Assets means all existing and all probable future economic benefits
obtained or controlled by a particular entity.
Current assets means cash or other assets or resources commonly
identified as those which are reasonably expected to be realized in cash
or sold or consumed during the normal operating cycle of the business.
Current liabilities means obligations whose liquidation is reasonably
expected to require the use of existing resources properly classifiable
as current assets or the creation of other current liabilities.
Current plugging and abandonment cost estimate means the most recent
of the estimates prepared in accordance with 144.62(a), (b), and (c) of
this title.
Independently audited refers to an audit performed by an independent
certified public accountant in accordance with generally accepted
auditing standards.
Liabilities means probable future sacrifices of economic benefits
arising from present obligations to transfer assets or provide services
to other entities in the future as a result of past transactions or
events.
Net working capital means current assets minus current liabilities.
Net worth means total assets minus total liabilities and is
equivalent to owner's equity.
Tangible net worth means the tangible assets that remain after
deducting liabilities; such assets would not include intangibles such
as goodwill and rights to patents or royalties.
(g) In the liability insurance requirements the terms bodily injury
and property damage shall have the meanings given these terms by
applicable State law. However, these terms do not include those
liabilities which, consistent with standard industry practice, are
excluded from coverage in liability policies for bodily injury and
property damage. The Agency intends the meanings of other terms used in
the liability insurance requirements to be consistent with their common
meanings within the insurance industry. The definitions given below of
several of the terms are intended to assist in the understanding of
these regulations and are not intended to limit their meanings in a way
that conflicts with general insurance industry usage.
Accidental occurrence means an accident, including continuous or
repeated exposure to conditions, which results in bodily injury or
property damage neither expected nor intended from the standpoint of the
insured.
Legal defense costs means any expenses that an insurer incurs in
defending against claims of third parties brought under the terms and
conditions of an insurance policy.
Nonsudden accidental occurrence means an occurrence which takes place
over time and involves continuous or repeated exposure.
Sudden accidental occurrence means an occurrence which is not
continuous or repeated in nature.
(h) Substantial business relationship means the extent of a business
relationship necessary under applicable State law to make a guarantee
contract issued incident to that relationship valid and enforceable. A
''substantial business relationship'' must arise from a pattern of
recent or ongoing business transactions, in addition to the guarantee
itself, such that a currently existing business relationship between the
guarantor and the owner or operator is demonstrated to the satisfaction
of the applicable EPA Regional Administrator.
(47 FR 16558, Apr. 16, 1982, as amended at 51 FR 16456, May 2, 1986;
53 FR 33959, Sept. 1, 1988)
40 CFR 265.142 Cost estimate for closure.
(a) The owner or operator must have a detailed written estimate, in
current dollars, of the cost of closing the facility in accordance with
the requirements in 265.111 through 265.115 and applicable closure
requirements of 265.178, 265.197, 265.228, 265.258, 265.280, 265.310,
265.351, 265.381 and 265.404.
(1) The estimate must equal the cost 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
(see 265.112(b)); and
(2) The closure cost estimate must be based on the costs to the owner
or operator of hiring a third party to close the facility. A third
party is a party who is neither a parent nor a subsidiary of the owner
or operator. (See definition of parent corporation in 265.141(d).) The
owner or operator may use costs for on-site disposal if he can
demonstrate that on-site disposal capacity will exist at all times over
the life of the facility.
(3) The closure cost estimate may not incorporate any salvage value
that may be realized with the sale of hazardous wastes, or non-hazardous
wastes if applicable under 265.113(d), facility structures or
equipment, land, or other assets associated with the facility at the
time of partial or final closure.
(4) The owner or operator may not incorporate a zero cost for
hazardous wastes, or non-hazardous wastes if applicable under
265.113(d), that might have economic value.
(b) During the active life of the facility, the owner or operator
must adjust the closure cost estimate for inflation within 60 days prior
to the anniversary date of the establishment of the financial
instrument(s) used to comply with 265.143. For owners and operators
using the financial test or corporate guarantee, the closure cost
estimate must be updated for inflation within 30 days after the close of
the firm's fiscal year and before submission of updated information to
the Regional Administrator as specified in 265.143(e)(3). The
adjustment may be made by recalculating the closure cost estimate in
current dollars, or by using an inflation factor derived from the most
recent Implicit Price Deflator for Gross National Product published by
the U.S. Department of Commerce in its Survey of Current Business, as
specified in paragraphs (b)(1) and (2) of this section. The inflation
factor is the result of dividing the latest published annual Deflator by
the Deflator for the previous year.
(1) The first adjustment is made by multiplying the closure cost
estimate by the inflation factor. The result is the adjusted closure
cost estimate.
(2) Subsequent adjustments are made by multiplying the latest
adjusted closure cost estimate by the latest inflation factor.
(c) During the active life of the facility, the owner or operator
must revise the closure cost estimate no later than 30 days after a
revision has been made to the closure plan which increases the cost of
closure. If the owner or operator has an approved closure plan, the
closure cost estimate must be revised no later than 30 days after the
Regional Administrator has approved the request to modify the closure
plan, if the change in the closure plan increases the cost of closure.
The revised closure cost estimate must be adjusted for inflation as
specified in 265.142(b).
(d) The owner or operator must keep the following at the facility
during the operating life of the facility: The latest closure cost
estimate prepared in accordance with 265.142 (a) and (c) and, when
this estimate has been adjusted in accordance with 265.142(b), the
latest adjusted closure cost estimate.
(Approved by the Office of Management and Budget under control number
2050-0036)
(47 FR 15064, Apr. 7, 1982, as amended at 50 FR 4514, Jan. 31, 1985;
51 FR 16456, May 2, 1986; 54 FR 33397, Aug. 14, 1989)
40 CFR 265.143 Financial assurance for closure.
By the effective date of these regulations, an owner or operator of
each facility must establish financial assurance for closure of the
facility. He must choose from the options as specified in paragraphs
(a) through (e) of this section.
(a) Closure trust fund. (1) An owner or operator may satisfy the
requirements of this section by establishing a closure trust fund which
conforms to the requirements of this paragraph and submitting an
originally signed duplicate of the trust agreement to the Regional
Administrator. The trustee must be an entity which has the authority to
act as a trustee and whose trust operations are regulated and examined
by a Federal or State agency.
(2) The wording of the trust agreement must be identical to the
wording specified in 264.151(a)(1), and the trust agreement must be
accompanied by a formal certification of acknowledgment (for example,
see 264.151(a)(2)). Schedule A of the trust agreement must be updated
within 60 days after a change in the amount of the current closure cost
estimate covered by the agreement.
(3) Payments into the trust fund must be made annually by the owner
or operator over the 20 years beginning with the effective date of these
regulations or over the remaining operating life of the facility as
estimated in the closure plan, whichever period is shorter; this period
is hereafter referred to as the ''pay-in period.'' The payments into the
closure trust fund must be made as follows:
(i) The first payment must be made by the effective date of these
regulations, except as provided in paragraph (a)(5) of this section.
The first payment must be at least equal to the current closure cost
estimate, except as provided in 265.143(f), divided by the number of
years in the pay-in period.
(ii) Subsequent payments must be made no later than 30 days after
each anniversary date of the first payment. The amount of each
subsequent payment must be determined by this formula:
where CE is the current closure cost estimate, CV is the current
value of the trust fund, and Y is the number of years remaining in the
pay-in period.
(4) The owner or operator may accelerate payments into the trust fund
or he may deposit the full amount of the current closure cost estimate
at the time the fund is established. However, he must maintain the
value of the fund at no less than the value that the fund would have if
annual payments were made as specified in paragraph (a)(3) of this
section.
(5) If the owner or operator establishes a closure trust fund after
having used one or more alternate mechanisms specified in this section,
his first payment must be in at least the amount that the fund would
contain if the trust fund were established initially and annual payments
made as specified in paragraph (a)(3) of this section.
(6) After the pay-in period is completed, whenever the current
closure cost estimate changes, the owner or operator must compare the
new estimate with the trustee's most recent annual valuation of the
trust fund. If the value of the fund is less than the amount of the new
estimate, the owner or operator, within 60 days after the change in the
cost estimate, must either deposit an amount into the fund so that its
value after this deposit at least equals the amount of the current
closure cost estimate, or obtain other financial assurance as specified
in this section to cover the difference.
(7) If the value of the trust fund is greater than the total amount
of the current closure cost estimate, the owner or operator may submit a
written request to the Regional Administrator for release of the amount
in excess of the current closure cost estimate.
(8) If an owner or operator substitutes other financial assurance as
specified in this section for all or part of the trust fund, he may
submit a written request to the Regional Administrator for release of
the amount in excess of the current closure cost estimate covered by the
trust fund.
(9) Within 60 days after receiving a request from the owner or
operator for release of funds as specified in paragraph (a) (7) or (8)
of this section, the Regional Administrator will instruct the trustee to
release to the owner or operator such funds as the Regional
Administrator specifies in writing.
(10) After beginning partial or final closure, an owner or operator
or another person authorized to conduct partial or final closure may
request reimbursements for partial or final closure expenditures by
submitting itemized bills to the Regional Administrator. The owner or
operator may request reimbursements for partial closure only if
sufficient funds are remaining in the trust fund to cover the maximum
costs of closing the facility over its remaining operating life. No
later than 60 days after receiving bills for partial or final closure
activities, the Regional Administrator will instruct the trustee to make
reimbursements in those amounts as the Regional Administrator specifies
in writing, if the Regional Administrator determines that the partial or
final closure expenditures are in accordance with the approved closure
plan, or otherwise justified. If the Regional Administrator has reason
to believe that the maximum cost of closure over the remaining life of
the facility will be significantly greater than the value of the trust
fund, he may withhold reimbursements of such amounts as he deems prudent
until he determines, in accordance with 265.143(h) that the owner or
operator is no longer required to maintain financial assurance for final
closure of the facility. If the Regional Administrator does not
instruct the trustee to make such reimbursements, he will provide to the
owner or operator a detailed written statement of reasons.
(11) The Regional Administrator will agree to termination of the
trust when:
(i) An owner or operator substitutes alternate financial assurance as
specified in this section; or
(ii) The Regional Administrator releases the owner or operator from
the requirements of this section in accordance with 265.143(h).
(b) Surety bond guaranteeing payment into a closure trust fund. (1)
An owner or operator may satisfy the requirements of this section by
obtaining a surety bond which conforms to the requirements of this
paragraph and submitting the bond to the Regional Administrator. The
surety company issuing the bond must, at a minimum, be among those
listed as acceptable sureties on Federal bonds in Circular 570 of the
U.S. Department of the Treasury.
(2) The wording of the surety bond must be identical to the wording
specified in 264.151(b).
(3) The owner or operator who uses a surety bond to satisfy the
requirements of this section must also establish a standby trust fund.
Under the terms of the bond, all payments made thereunder will be
deposited by the surety directly into the standby trust fund in
accordance with instructions from the Regional Administrator. This
standby trust fund must meet the requirements specified in 265.143(a),
except that:
(i) An originally signed duplicate of the trust agreement must be
submitted to the Regional Administrator with the surety bond; and
(ii) Until the standby trust fund is funded pursuant to the
requirements of this section, the following are not required by these
regulations:
(A) Payments into the trust fund as specified in 265.143(a);
(B) Updating of Schedule A of the trust agreement (see 264.151(a))
to show current closure cost estimates;
(C) Annual valuations as required by the trust agreement; and
(D) Notices of nonpayment as required by the trust agreement.
(4) The bond must guarantee that the owner or operator will:
(i) Fund the standby trust fund in an amount equal to the penal sum
of the bond before the beginning of final closure of the facility; or
(ii) Fund the standby trust fund in an amount equal to the penal sum
within 15 days after an administrative order to begin final closure
issued by the Regional Administrator becomes final, or within 15 days
after an order to begin final closure is issued by a U.S. district
court or other court of competent jurisdiction; or
(iii) Provide alternate financial assurance as specified in this
section, and obtain the Regional Administrator's written approval of the
assurance provided, within 90 days after receipt by both the owner or
operator and the Regional Administrator of a notice of cancellation of
the bond from the surety.
(5) Under the terms of the bond, the surety will become liable on the
bond obligation when the owner or operator fails to perform as
guaranteed by the bond.
(6) The penal sum of the bond must be in an amount at least equal to
the current closure cost estimate, except as provided in 265.143(f).
(7) Whenever the current closure cost estimate increases to an amount
greater than the penal sum, the owner or operator, within 60 days after
the increase, must either cause the penal sum to be increased to an
amount at least equal to the current closure cost estimate and submit
evidence of such increase to the Regional Administrator, or obtain other
financial assurance as specified in this section to cover the increase.
Whenever the current closure cost estimate decreases, the penal sum may
be reduced to the amount of the current closure cost estimate following
written approval by the Regional Administrator.
(8) Under the terms of the bond, the surety may cancel the bond by
sending notice of cancellation by certified mail to the owner or
operator and to the Regional Administrator. Cancellation may not occur,
however, during the 120 days beginning on the date of receipt of the
notice of cancellation by both the owner or operator and the Regional
Administrator, as evidenced by the return receipts.
(9) The owner or operator may cancel the bond if the Regional
Administrator has given prior written consent based on his receipt of
evidence of alternate financial assurance as specified in this section.
(c) Closure letter of credit. (1) An owner or operator may satisfy
the requirements of this section by obtaining an irrevocable standby
letter of credit which conforms to the requirements of this paragraph
and submitting the letter to the Regional Administrator. The issuing
institution must be an entity which has the authority to issue letters
of credit and whose letter-of-credit operations are regulated and
examined by a Federal or State agency.
(2) The wording of the letter of credit must be identical to the
wording specified in 264.151(d).
(3) An owner or operator who uses a letter of credit to satisfy the
requirements of this section must also establish a standby trust fund.
Under the terms of the letter of credit, all amounts paid pursuant to a
draft by the Regional Administrator will be deposited by the issuing
institution directly into the standby trust fund in accordance with
instructions from the Regional Administrator. This standby trust fund
must meet the requirements of the trust fund specified in 265.143(a),
except that:
(i) An originally signed duplicate of the trust agreement must be
submitted to the Regional Administrator with the letter of credit; and
(ii) Unless the standby trust fund is funded pursuant to the
requirements of this section, the following are not required by these
regulations:
(A) Payments into the trust fund as specified in 265.143(a);
(B) Updating of Schedule A of the trust agreement (see 264.151(a))
to show current closure cost estimates;
(C) Annual valuations as required by the trust agreement; and
(D) Notices of nonpayment as required by the trust agreement.
(4) The letter of credit must be accompanied by a letter from the
owner or operator referring to the letter of credit by number, issuing
institution, and date, and providing the following information: The EPA
Identification Number, name, and address of the facility, and the amount
of funds assured for closure of the facility by the letter of credit.
(5) The letter of credit must be irrevocable and issued for a period
of at least 1 year. The letter of credit must provide that the
expiration date will be automatically extended for a period of at least
1 year unless, at least 120 days before the current expiration date, the
issuing institution notifies both the owner or operator and the Regional
Administrator by certified mail of a decision not to extend the
expiration date. Under the terms of the letter of credit, the 120 days
will begin on the date when both the owner or operator and the Regional
Administrator have received the notice, as evidenced by the return
receipts.
(6) The letter of credit must be issued in an amount at least equal
to the current closure cost estimate, except as provided in 265.143(f).
(7) Whenever the current closure cost estimate increases to an amount
greater than the amount of the credit, the owner or operator, within 60
days after the increase, must either cause the amount of the credit to
be increased so that it at least equals the current closure cost
estimate and submit evidence of such increase to the Regional
Administrator, or obtain other financial assurance as specified in this
section to cover the increase. Whenever the current closure cost
estimate decreases, the amount of the credit may be reduced to the
amount of the current closure cost estimate following written approval
by the Regional Administrator.
(8) Following a final administrative determination pursuant to
section 3008 of RCRA that the owner or operator has failed to perform
final closure in accordance with the approved closure plan when required
to do so, the Regional Administrator may draw on the letter of credit.
(9) If the owner or operator does not establish alternate financial
assurance as specified in this section and obtain written approval of
such alternate assurance from the Regional Administrator within 90 days
after receipt by both the owner or operator and the Regional
Administrator of a notice from the issuing institution that it has
decided not to extend the letter of credit beyond the current expiration
date, the Regional Administrator will draw on the letter of credit. The
Regional Administrator may delay the drawing if the issuing institution
grants an extension of the term of the credit. During the last 30 days
of any such extension the Regional Administrator will draw on the letter
of credit if the owner or operator has failed to provide alternate
financial assurance as specified in this section and obtain written
approval of such assurance from the Regional Administrator.
(10) The Regional Administrator will return the letter of credit to
the issuing institution for termination when:
(i) An owner or operator substitutes alternate financial assurance as
specified in this section; or
(ii) The Regional Administrator releases the owner or operator from
the requirements of this section in accordance with 265.143(h).
(d) Closure insurance. (1) An owner or operator may satisfy the
requirements of this section by obtaining closure insurance which
conforms to the requirements of this paragraph and submitting a
certificate of such insurance to the Regional Administrator. By the
effective date of these regulations the owner or operator must submit to
the Regional Administrator a letter from an insurer stating that the
insurer is considering issuance of closure insurance conforming to the
requirements of this paragraph to the owner or operator. Within 90 days
after the effective date of these regulations, the owner or operator
must submit the certificate of insurance to the Regional Administrator
or establish other financial assurance as specified in this section. At
a minimum, the insurer must be licensed to transact the business of
insurance, or eligible to provide insurance as an excess or surplus
lines insurer, in one or more States.
(2) The wording of the certificate of insurance must be identical to
the wording specified in 264.151(e).
(3) The closure insurance policy must be issued for a face amount at
least equal to the current closure cost estimate, except as provided in
265.143(f). The term ''face amount'' means the total amount the insurer
is obligated to pay under the policy. Actual payments by the insurer
will not change the face amount, although the insurer's future liability
will be lowered by the amount of the payments.
(4) The closure insurance policy must guarantee that funds will be
available to close the facility whenever final closure occurs. The
policy must also guarantee that once final closure begins, the insurer
will be responsible for paying out funds, up to an amount equal to the
face amount of the policy, upon the direction of the Regional
Administrator, to such party or parties as the Regional Administrator
specifies.
(5) After beginning partial or final closure, an owner or operator or
any other person authorized to conduct closure may request
reimbursements for closure expenditures by submitting itemized bills to
the Regional Administrator. The owner or operator may request
reimbursements for partial closure only if the remaining value of the
policy is sufficient to cover the maximum costs of closing the facility
over its remaining operating life. Within 60 days after receiving bills
for closure activities, the Regional Administrator will instruct the
insurer to make reimbursements in such amounts as the Regional
Administrator specifies in writing if the Regional Administrator
determines that the partial or final closure expenditures are in
accordance with the approved closure plan or otherwise justified. If
the Regional Administrator has reason to believe that the maximum cost
of closure over the remaining life of the facility will be significantly
greater than the face amount of the policy, he may withhold
reimbursement of such amounts as he deems prudent until he determines,
in accordance with 265.143(h), that the owner or operator is no longer
required to maintain financial assurance for final closure of the
particular facility. If the Regional Administrator does not instruct
the insurer to make such reimbursements, he will provide to the owner or
operator a detailed written statement of reasons.
(6) The owner or operator must maintain the policy in full force and
effect until the Regional Administrator consents to termination of the
policy by the owner or operator as specified in paragraph (d)(10) of
this section. Failure to pay the premium, without substitution of
alternate financial assurance as specified in this section, will
constitute a significant violation of these regulations, warranting such
remedy as the Regional Administrator deems necessary. Such violation
will be deemed to begin upon receipt by the Regional Administrator of a
notice of future cancellation, termination, or failure to renew due to
nonpayment of the premium, rather than upon the date of expiration.
(7) Each policy must contain a provision allowing assignment of the
policy to a successor owner or operator. Such assignment may be
conditional upon consent of the insurer, provided such consent is not
unreasonably refused.
(8) The policy must provide that the insurer may not cancel,
terminate, or fail to renew the policy except for failure to pay the
premium. The automatic renewal of the policy must, at a minimum,
provide the insured with the option of renewal at the face amount of the
expiring policy. If there is a failure to pay the premium, the insurer
may elect to cancel, terminate, or fail to renew the policy by sending
notice by certified mail to the owner or operator and the Regional
Administrator. Cancellation, termination, or failure to renew may not
occur, however, during the 120 days beginning with the date of receipt
of the notice by both the Regional Administrator and the owner or
operator, as evidenced by the return receipts. Cancellation,
termination, or failure to renew may not occur and the policy will
remain in full force and effect in the event that on or before the date
of expiration:
(i) The Regional Administrator deems the facility abandoned; or
(ii) Interim status is terminated or revoked; or
(iii) Closure is ordered by the Regional Administrator or a U.S.
district court or other court of competent jurisdiction; or
(iv) The owner or operator is named as debtor in a voluntary or
involuntary proceeding under Title 11 (Bankruptcy), U.S. Code; or
(v) The premium due is paid.
(9) Whenever the current closure cost estimate increases to an amount
greater than the face amount of the policy, the owner or operator,
within 60 days after the increase, must either cause the face amount to
be increased to an amount at least equal to the current closure cost
estimate and submit evidence of such increase to the Regional
Administrator, or obtain other financial assurance as specified in this
section to cover the increase. Whenever the current closure cost
estimate decreases, the face amount may be reduced to the amount of the
current closure cost estimate following written approval by the Regional
Administrator.
(10) The Regional Administrator will give written consent to the
owner or operator that he may terminate the insurance policy when:
(i) An owner or operator substitutes alternate financial assurance as
specified in this section; or
(ii) The Regional Administrator releases the owner or operator from
the requirements of this section in accordance with 265.143(h).
(e) Financial test and corporate guarantee for closure. (1) An owner
or operator may satisfy the requirements of this section by
demonstrating that he passes a financial test as specified in this
paragraph. To pass this test the owner or operator must meet the
criteria of either paragraph (e)(1)(i) or (ii) of this section:
(i) The owner or operator must have:
(A) Two of the following three ratios: A ratio of total liabilities
to net worth less than 2.0; a ratio of the sum of net income plus
depreciation, depletion, and amortization to total liabilities greater
than 0.1; and a ratio of current assets to current liabilities greater
than 1.5; and
(B) Net working capital and tangible net worth each at least six
times the sum of the current closure and post-closure cost estimates and
the current plugging and abandonment cost estimates; and
(C) Tangible net worth of at least $10 million; and
(D) Assets located in the United States amounting to at least 90
percent of total assets or at least six times the sum of the current
closure and post-closure cost estimates and the current plugging and
abandonment cost estimates.
(ii) The owner or operator must have:
(A) A current rating for his most recent bond issuance of AAA, AA, A,
or BBB as issued by Standard and Poor's or Aaa, Aa, A, or Baa as issued
by Moody's; and
(B) Tangible net worth at least six times the sum of the current
closure and post-closure cost estimates and the current plugging and
abandonment cost estimates; and
(C) Tangible net worth of at least $10 million; and
(D) Assets located in the United States amounting to at least 90
percent of total assets or at least six times the sum of the current
closure and post-closure cost estimates and the current plugging and
abandonment cost estimates.
(2) The phrase ''current closure and post-closure cost estimates'' as
used in paragraph (e)(1) of this section refers to the cost estimates
required to be shown in paragraphs 1-4 of the letter from the owner's or
operator's chief financial officer ( 264.151(f)). The phrase ''current
plugging and abandonment cost estimates'' as used in paragraph (e)(1) of
this section refers to the cost estimates required to be shown in
paragraphs 1-4 of the letter from the owner's or operator's chief
financial officer ( 144.70(f) of this title).
(3) To demonstrate that he meets this test, the owner or operator
must submit the following items to the Regional Administrator:
(i) A letter signed by the owner's or operator's chief financial
officer and worded as specified in 264.151(f); and
(ii) A copy of the independent certified public accountant's report
on examination of the owner's or operator's financial statements for the
latest completed fiscal year; and
(iii) A special report from the owner's or operator's independent
certified public accountant to the owner or operator stating that:
(A) He has compared the data which the letter from the chief
financial officer specifies as having been derived from the
independently audited, year-end financial statements for the latest
fiscal year with the amounts in such financial statements; and
(B) In connection with that procedure, no matters came to his
attention which caused him to believe that the specified data should be
adjusted.
(4) The owner or operator may obtain an extension of the time allowed
for submission of the documents specified in paragraph (e)(3) of this
section if the fiscal year of the owner or operator ends during the 90
days prior to the effective date of these regulations and if the
year-end financial statements for that fiscal year will be audited by an
independent certified public accountant. The extension will end no
later than 90 days after the end of the owner's or operator's fiscal
year. To obtain the extension, the owner's or operator's chief
financial officer must send, by the effective date of these regulations,
a letter to the Regional Administrator of each Region in which the
owner's or operator's facilities to be covered by the financial test are
located. This letter from the chief financial officer must:
(i) Request the extension;
(ii) Certify that he has grounds to believe that the owner or
operator meets the criteria of the financial test;
(iii) Specify 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;
(iv) Specify the date ending the owner's or operator's last complete
fiscal year before the effective date of these regulations;
(v) Specify the date, no later than 90 days after the end of such
fiscal year, when he will submit the documents specified in paragraph
(e)(3) of this section; and
(vi) Certify that the year-end financial statements of the owner or
operator for such fiscal year will be audited by an independent
certified public accountant.
(5) After the initial submission of items specified in paragraph
(e)(3) of this section, the owner or operator must send updated
information to the Regional Administrator within 90 days after the close
of each succeeding fiscal year. This information must consist of all
three items specified in paragraph (e)(3) of this section.
(6) If the owner or operator no longer meets the requirements of
paragraph (e)(1) of this section, he must send notice to the Regional
Administrator of intent to establish alternate financial assurance as
specified in this section. The notice must be sent by certified mail
within 90 days after the end of the fiscal year for which the year-end
financial data show that the owner or operator no longer meets the
requirements. The owner or operator must provide the alternate
financial assurance within 120 days after the end of such fiscal year.
(7) The Regional Administrator may, based on a reasonable belief that
the owner or operator may no longer meet the requirements of paragraph
(e)(1) of this section, require reports of financial condition at any
time from the owner or operator in addition to those specified in
paragraph (e)(3) of this section. If the Regional Administrator finds,
on the basis of such reports or other information, that the owner or
operator no longer meets the requirements of paragraph (e)(1) of this
section, the owner or operator must provide alternate financial
assurance as specified in this section within 30 days after notification
of such a finding.
(8) The Regional Administrator may disallow use of this test on the
basis of qualifications in the opinion expressed by the independent
certified public accountant in his report on examination of the owner's
or operator's financial statements (see paragraph (e)(3)(ii) of this
section). An adverse opinion or a disclaimer of opinion will be cause
for disallowance. The Regional Administrator will evaluate other
qualifications on an individual basis. The owner or operator must
provide alternate financial assurance as specified in this section
within 30 days after notification of the disallowance.
(9) The owner or operator is no longer required to submit the items
specified in paragraph (e)(3) of this section when:
(i) An owner or operator substitutes alternate financial assurance as
specified in this section; or
(ii) The Regional Administrator releases the owner or operator from
the requirements of this section in accordance with 265.143(h).
(10) An owner or operator may meet the requirements of this section
by obtaining a written guarantee, hereafter referred to as ''corporate
guarantee.'' The guarantor must be the parent corporation of the owner
or operator. The guarantor must meet the requirements for owners or
operators in paragraphs (e)(1) through (8) of this section and must
comply with the terms of the corporate guarantee. The wording of the
corporate guarantee must be identical to the wording specified in
264.151(h). The corporate guarantee must accompany the items sent to the
Regional Administrator as specified in paragraph (e)(3) of this section.
The terms of the corporate guarantee must provide that:
(i) If the owner or operator fails to perform final closure of a
facility covered by the corporate guarantee in accordance with the
closure plan and other interim status requirements whenever required to
do so, the guarantor will do so or establish a trust fund as specified
in 265.143(a) in the name of the owner or operator.
(ii) The corporate guarantee will remain in force unless the
guarantor sends notice of cancellation by certified mail to the owner or
operator and to the Regional Administrator. Cancellation may not occur,
however, during the 120 days beginning on the date of receipt of the
notice of cancellation by both the owner or operator and the Regional
Administrator, as evidenced by the return receipts.
(iii) If the owner or operator fails to provide alternate financial
assurance as specified in this section and obtain the written approval
of such alternate assurance from the Regional Administrator within 90
days after receipt by both the owner or operator and the Regional
Administrator of a notice of cancellation of the corporate guarantee
from the guarantor, the guarantor will provide such alternate financial
assurance in the name of the owner or operator.
(f) Use of multiple financial mechanisms. An owner or operator may
satisfy the requirements of this section by establishing more than one
financial mechanism per facility. These mechanisms are limited to trust
funds, surety bonds, letters of credit, and insurance. The mechanisms
must be as specified in paragraphs (a) through (d), respectively, of
this section, except that it is the combination of mechanisms, rather
than the single mechanism, which must provide financial assurance for an
amount at least equal to the current closure cost estimate. If an owner
or operator uses a trust fund in combination with a surety bond or a
letter of credit, he may use the trust fund as the standby trust fund
for the other mechanisms. A single standby trust fund may be
established for two or more mechanisms. The Regional Administrator may
use any or all of the mechanisms to provide for closure of the facility.
(g) Use of a financial mechanism for multiple facilities. An owner
or operator may use a financial assurance mechanism specified in this
section to meet the requirements of this section for more than one
facility. Evidence of financial assurance submitted to the Regional
Administrator must include a list showing, for each facility, the EPA
Identification Number, name, address, and the amount of funds for
closure assured by the mechanism. If the facilities covered by the
mechanism are in more than one Region, identical evidence of financial
assurance must be submitted to and maintained with the Regional
Administrators of all such Regions. The amount of funds available
through the mechanism must be no less than the sum of funds that would
be available if a separate mechanism had been established and maintained
for each facility. In directing funds available through the mechanism
for closure of any of the facilities covered by the mechanism, the
Regional Administrator may direct only the amount of funds designated
for that facility, unless the owner or operator agrees to the use of
additional funds available under the mechanism.
(h) Release of the owner or operator from the requirements of this
section. Within 60 days after receiving certifications from the owner
or operator and an independent registered professional engineer that
final closure has been completed in accordance with the approved closure
plan, the Regional Administrator will notify the owner or operator in
writing that he is no longer required by this section to maintain
financial assurance for final closure of the facility, unless the
Regional Administrator has reason to believe that final closure has not
been in accordance with the approved closure plan. The Regional
Administrator shall provide the owner or operator a detailed written
statement of any such reason to believe that closure has not been in
accordance with the approved closure plan.
(47 FR 15064, Apr. 7, 1982, as amended at 51 FR 16456, May 2, 1986)
40 CFR 265.144 Cost estimate for post-closure care.
(a) The owner or operator of a hazardous waste disposal unit must
have a detailed written estimate, in current dollars, of the annual cost
of post-closure monitoring and maintenance of the facility in accordance
with the applicable post-closure regulations in 265.117 through
265.120, 265.228, 265.258, 265.280, and 265.310.
(1) The post-closure cost estimate must be based on the costs to the
owner or operator of hiring a third party to conduct post-closure care
activities. A third party is a party who is neither a parent nor
subsidiary of the owner or operator. (See definition of parent
corporation in 265.141(d).)
(2) The post-closure cost estimate is calculated by multiplying the
annual post-closure cost estimate by the number of years of post-closure
care required under 265.117.
(b) During the active life of the facility, the owner or operator
must adjust the post-closure cost estimate for inflation within 60 days
prior to the anniversary date of the establishment of the financial
instrument(s) used to comply with 265.145. For owners or operators
using the financial test or corporate guarantee, the post-closure care
cost estimate must be updated for inflation no later than 30 days after
the close of the firm's fiscal year and before submission of updated
information to the Regional Administrator as specified in
265.145(d)(5). The adjustment may be made by recalculating the
post-closure cost estimate in current dollars or by using an inflation
factor derived from the most recent Implicit Price Deflator for Gross
National Product published by the U.S. Department of Commerce in its
Survey of Current Business as specified in 265.145 (b)(1) and (2). The
inflation factor is the result of dividing the latest published annual
Deflator by the Deflator for the previous year.
(1) The first adjustment is made by multiplying the post-closure cost
estimate by the inflation factor. The result is the adjusted
post-closure cost estimate.
(2) Subsequent adjustments are made by multiplying the latest
adjusted post-closure cost estimate by the latest inflation factor.
(c) During the active life of the facility, the owner or operator
must revise the post-closure cost estimate no later than 30 days after a
revision to the post-closure plan which increases the cost of
post-closure care. If the owner or operator has an approved
post-closure plan, the post-closure cost estimate must be revised no
later than 30 days after the Regional Administrator has approved the
request to modify the plan, if the change in the post-closure plan
increases the cost of post-closure care. The revised post-closure cost
estimate must be adjusted for inflation as specified in 265.144(b).
(d) The owner or operator must keep the following at the facility
during the operating life of the facility: the latest post-closure cost
estimate prepared in accordance with 265.144 (a) and (c) and, when this
estimate has been adjusted in accordance with 265.144(b), the latest
adjusted post-closure cost estimate.
(Approved by the Office of Management and Budget under control number
2050-0036)
(47 FR 15064, Apr. 7, 1982, as amended at 50 FR 4514, Jan. 31, 1985;
51 FR 16457, May 2, 1986)
40 CFR 265.145 Financial assurance for post-closure care.
By the effective date of these regulations, an owner or operator of a
facility with a hazardous waste disposal unit must establish financial
assurance for post-closure care of the disposal unit(s).
(a) Post-closure trust fund. (1) An owner or operator may satisfy
the requirements of this section by establishing a post-closure trust
fund which conforms to the requirements of this paragraph and submitting
an originally signed duplicate of the trust agreement to the Regional
Administrator. The trustee must be an entity which has the authority to
act as a trustee and whose trust operations are regulated and examined
by a Federal or State agency.
(2) The wording of the trust agreement must be identical to the
wording specified in 264.151(a)(1), and the trust agreement must be
accompanied by a formal certification of acknowledgment (for example,
see 264.151(a)(2)). Schedule A of the trust agreement must be updated
within 60 days after a change in the amount of the current post-closure
cost estimate covered by the agreement.
(3) Payments into the trust fund must be made annually by the owner
or operator over the 20 years beginning with the effective date of these
regulations or over the remaining operating life of the facility as
estimated in the closure plan, whichever period is shorter; this period
is hereafter referred to as the ''pay-in period.'' The payments into the
post-closure trust fund must be made as follows:
(i) The first payment must be made by the effective date of these
regulations, except as provided in paragraph (a)(5) of this section.
The first payment must be at least equal to the current post-closure
cost estimate, except as provided in 265.145(f), divided by the number
of years in the pay-in period.
(ii) Subsequent payments must be made no later than 30 days after
each anniversary date of the first payment. The amount of each
subsequent payment must be determined by this formula:
where CE is the current post-closure cost estimate, CV is the current
value of the trust fund, and Y is the number of years remaining in the
pay-in period.
(4) The owner or operator may accelerate payments into the trust fund
or he may deposit the full amount of the current post-closure cost
estimate at the time the fund is established. However, he must maintain
the value of the fund at no less than the value that the fund would have
if annual payments were made as specified in paragraph (a)(3) of this
section.
(5) If the owner or operator establishes a post-closure trust fund
after having used one or more alternate mechanisms specified in this
section, his first payment must be in at least the amount that the fund
would contain if the trust fund were established initially and annual
payments made as specified in paragraph (a)(3) of this section.
(6) After the pay-in period is completed, whenever the current
post-closure cost estimate changes during the operating life of the
facility, the owner or operator must compare the new estimate with the
trustee's most recent annual valuation of the trust fund. If the value
of the fund is less than the amount of the new estimate, the owner or
operator, within 60 days after the change in the cost estimate, must
either deposit an amount into the fund so that its value after this
deposit at least equals the amount of the current post-closure cost
estimate, or obtain other financial assurance as specified in this
section to cover the difference.
(7) During the operating life of the facility, if the value of the
trust fund is greater than the total amount of the current post-closure
cost estimate, the owner or operator may submit a written request to the
Regional Administrator for release of the amount in excess of the
current post-closure cost estimate.
(8) If an owner or operator substitutes other financial assurance as
specified in this section for all or part of the trust fund, he may
submit a written request to the Regional Administrator for release of
the amount in excess of the current post-closure cost estimate covered
by the trust fund.
(9) Within 60 days after receiving a request from the owner or
operator for release of funds as specified in paragraph (a) (7) or (8)
of this section, the Regional Administrator will instruct the trustee to
release to the owner or operator such funds as the Regional
Administrator specifies in writing.
(10) During the period of post-closure care, the Regional
Administrator may approve a release of funds if the owner or operator
demonstrates to the Regional Administrator that the value of the trust
fund exceeds the remaining cost of post-closure care.
(11) An owner or operator or any other person authorized to conduct
post-closure care may request reimbursements for post-closure
expenditures by submitting itemized bills to the Regional Administrator.
Within 60 days after receiving bills for post-closure care activities,
the Regional Administrator will instruct the trustee to make
reimbursements in those amounts as the Regional Administrator specifies
in writing, if the Regional Administrator determines that the
post-closure expenditures are in accordance with the approved
post-closure plan or otherwise justified. If the Regional Administrator
does not instruct the trustee to make such reimbursements, he will
provide the owner or operator with a detailed written statement of
reasons.
(12) The Regional Administrator will agree to termination of the
trust when:
(i) An owner or operator substitutes alternate financial assurance as
specified in this section; or
(ii) The Regional Administrator releases the owner or operator from
the requirements of this section in accordance with 265.145(h).
(b) Surety bond guaranteeing payment into a post-closure trust fund.
(1) An owner or operator may satisfy the requirements of this section by
obtaining a surety bond which conforms to the requirements of this
paragraph and submitting the bond to the Regional Administrator. The
surety company issuing the bond must, at a minimum, be among those
listed as acceptable sureties on Federal bonds in Circular 570 of the
U.S. Department of the Treasury.
(2) The wording of the surety bond must be identical to the wording
specified in 264.151(b).
(3) The owner or operator who uses a surety bond to satisfy the
requirements of this section must also establish a standby trust fund.
Under the terms of the bond, all payments made thereunder will be
deposited by the surety directly into the standby trust fund in
accordance with instructions from the Regional Administrator. This
standby trust fund must meet the requirements specified in 265.145(a),
except that:
(i) An originally signed duplicate of the trust agreement must be
submitted to the Regional Administrator with the surety bond; and
(ii) Until the standby trust fund is funded pursuant to the
requirements of this section, the following are not required by these
regulations:
(A) Payments into the trust fund as specified in 265.145(a);
(B) Updating of Schedule A of the trust agreement (see 264.151(a))
to show current post-closure cost estimates;
(C) Annual valuations as required by the trust agreement; and
(D) Notices of nonpayment as required by the trust agreement.
(4) The bond must guarantee that the owner or operator will:
(i) Fund the standby trust fund in an amount equal to the penal sum
of the bond before the beginning of final closure of the facility; or
(ii) Fund the standby trust fund in an amount equal to the penal sum
within 15 days after an administrative order to begin final closure
issued by the Regional Administrator becomes final, or within 15 days
after an order to begin final closure is issued by a U.S. district
court or other court of competent jurisdiction; or
(iii) Provide alternate financial assurance as specified in this
section, and obtain the Regional Administrator's written approval of the
assurance provided, within 90 days after receipt by both the owner or
operator and the Regional Administrator of a notice of cancellation of
the bond from the surety.
(5) Under the terms of the bond, the surety will become liable on the
bond obligation when the owner or operator fails to perform as
guaranteed by the bond.
(6) The penal sum of the bond must be in an amount at least equal to
the current post-closure cost estimate, except as provided in
265.145(f).
(7) Whenever the current post-closure cost estimate increases to an
amount greater than the penal sum, the owner or operator, within 60 days
after the increase, must either cause the penal sum to be increased to
an amount at least equal to the current post-closure cost estimate and
submit evidence of such increase to the Regional Administrator, or
obtain other financial assurance as specified in this section to cover
the increase. Whenever the current post-closure cost estimate
decreases, the penal sum may be reduced to the amount of the current
post-closure cost estimate following written approval by the Regional
Administrator.
(8) Under the terms of the bond, the surety may cancel the bond by
sending notice of cancellation by certified mail to the owner or
operator and to the Regional Administrator. Cancellation may not occur,
however, during the 120 days beginning on the date of receipt of the
notice of cancellation by both the owner or operator and the Regional
Administrator, as evidenced by the return receipts.
(9) The owner or operator may cancel the bond if the Regional
Administrator has given prior written consent based on his receipt of
evidence of alternate financial assurance as specified in this section.
(c) Post-closure letter of credit. (1) An owner or operator may
satisfy the requirements of this section by obtaining an irrevocable
standby letter of credit which conforms to the requirements of this
paragraph and submitting the letter to the Regional Administrator. The
issuing institution must be an entity which has the authority to issue
letters of credit and whose letter-of-credit operations are regulated
and examined by a Federal or State agency.
(2) The wording of the letter of credit must be identical to the
wording specified in 264.151(d).
(3) An owner or operator who uses a letter of credit to satisfy the
requirements of this section must also establish a standby trust fund.
Under the terms of the letter of credit, all amounts paid pursuant to a
draft by the Regional Administrator will be deposited by the issuing
institution directly into the standby trust fund in accordance with
instructions from the Regional Administrator. This standby trust fund
must meet the requirements of the trust fund specified in 265.145(a),
except that:
(i) An originally signed duplicate of the trust agreement must be
submitted to the Regional Administrator with the letter of credit; and
(ii) Unless the standby trust fund is funded pursuant to the
requirements of this section, the following are not required by these
regulations:
(A) Payments into the trust fund as specified in 265.145(a);
(B) Updating of Schedule A of the trust agreement (see 264.151(a))
to show current post-closure cost estimates;
(C) Annual valuations as required by the trust agreement; and
(D) Notices of nonpayment as required by the trust agreement.
(4) The letter of credit must be accompanied by a letter from the
owner or operator referring to the letter of credit by number, issuing
institution, and date, and providing the following information: The EPA
Identification Number, name, and address of the facility, and the amount
of funds assured for post-closure care of the facility by the letter of
credit.
(5) The letter of credit must be irrevocable and issued for a period
of at least 1 year. The letter of credit must provide that the
expiration date will be automatically extended for a period of at least
1 year unless, at least 120 days before the current expiration date, the
issuing institution notifies both the owner or operator and the Regional
Administrator by certified mail of a decision not to extend the
expiration date. Under the terms of the letter of credit, the 120 days
will begin on the date when both the owner or operator and the Regional
Administrator have received the notice, as evidenced by the return
receipts.
(6) The letter of credit must be issued in an amount at least equal
to the current post-closure cost estimate, except as provided in
265.145(f).
(7) Whenever the current post-closure cost estimate increases to an
amount greater than the amount of the credit during the operating life
of the facility, the owner or operator, within 60 days after the
increase, must either cause the amount of the credit to be increased so
that it at least equals the current post-closure cost estimate and
submit evidence of such increase to the Regional Administrator, or
obtain other financial assurance as specified in this section to cover
the increase. Whenever the current post-closure cost estimate decreases
during the operating life of the facility, the amount of the credit may
be reduced to the amount of the current post-closure cost estimate
following written approval by the Regional Administrator.
(8) During the period of post-closure care, the Regional
Administrator may approve a decrease in the amount of the letter of
credit if the owner or operator demonstrates to the Regional
Administrator that the amount exceeds the remaining cost of post-closure
care.
(9) Following a final administrative determination pursuant to
section 3008 of RCRA that the owner or operator has failed to perform
post-closure care in accordance with the approved post-closure plan and
other permit requirements, the Regional Administrator may draw on the
letter of credit.
(10) If the owner or operator does not establish alternate financial
assurance as specified in this section and obtain written approval of
such alternate assurance from the Regional Administrator within 90 days
after receipt by both the owner or operator and the Regional
Administrator of a notice from the issuing institution that it has
decided not to extend the letter of credit beyond the current expiration
date, the Regional Administrator will draw on the letter of credit. The
Regional Administrator may delay the drawing if the issuing institution
grants an extension of the term of the credit. During the last 30 days
of any such extension the Regional Administrator will draw on the letter
of credit if the owner or operator has failed to provide alternate
financial assurance as specified in this section and obtain written
approval of such assurance from the Regional Administrator.
(11) The Regional Administrator will return the letter of credit to
the issuing institution for termination when:
(i) An owner or operator substitutes alternate financial assurance as
specified in this section; or
(ii) The Regional Administrator releases the owner or operator from
the requirements of this section in accordance with 265.145(h).
(d) Post-closure insurance. (1) An owner or operator may satisfy the
requirements of this section by obtaining post-closure insurance which
conforms to the requirements of this paragraph and submitting a
certificate of such insurance to the Regional Administrator. By the
effective date of these regulations the owner or operator must submit to
the Regional Administrator a letter from an insurer stating that the
insurer is considering issuance of post-closure insurance conforming to
the requirements of this paragraph to the owner or operator. Within 90
days after the effective date of these regulations, the owner or
operator must submit the certificate of insurance to the Regional
Administrator or establish other financial assurance as specified in
this section. At a minimum, the insurer must be licensed to transact
the business of insurance, or eligible to provide insurance as an excess
or surplus lines insurer, in one or more States.
(2) The wording of the certificate of insurance must be identical to
the wording specified in 264.151(e).
(3) The post-closure insurance policy must be issued for a face
amount at least equal to the current post-closure cost estimate, except
as provided in 265.145(f). The term ''face amount'' means the total
amount the insurer is obligated to pay under the policy. Actual
payments by the insurer will not change the face amount, although the
insurer's future liability will be lowered by the amount of the
payments.
(4) The post-closure insurance policy must guarantee that funds will
be available to provide post-closure care of the facility whenever the
post-closure period begins. The policy must also guarantee that once
post-closure care begins the insurer will be responsible for paying out
funds, up to an amount equal to the face amount of the policy, upon the
direction of the Regional Administrator, to such party or parties as the
Regional Administrator specifies.
(5) An owner or operator or any other person authorized to perform
post-closure care may request reimbursement for post-closure care
expenditures by submitting itemized bills to the Regional Administrator.
Within 60 days after receiving bills for post-closure care activities,
the Regional Administrator will instruct the insurer to make
reimbursements in those amounts as the Regional Administrator specifies
in writing, if the Regional Administrator determines that the
post-closure expenditures are in accordance with the approved
post-closure plan or otherwise justified. If the Regional Administrator
does not instruct the insurer to make such reimbursements, he will
provide a detailed written statement of reasons.
(6) The owner or operator must maintain the policy in full force and
effect until the Regional Administrator consents to termination of the
policy by the owner or operator as specified in paragraph (d)(11) of
this section. Failure to pay the premium, without substitution of
alternate financial assurance as specified in the section, will
constitute a significant violation of these regulations, warranting such
remedy as the Regional Administrator deems necessary. Such violation
will be deemed to begin upon receipt by the Regional Administrator of a
notice of future cancellation, termination, or failure to renew due to
nonpayment of the premium, rather than upon the date of expiration.
(7) Each policy most contain a provision allowing assignment of the
policy to a successor owner or operator. Such assignment may be
conditional upon consent of the insurer, provided such consent is not
unreasonably refused.
(8) The policy must provide that the insurer may not cancel,
terminate, or fail to renew the policy except for failure to pay the
premium. The automatic renewal of the policy must, at a minimum,
provide the insured with the option of renewal at the face amount of the
expiring policy. If there is a failure to pay the premium, the insurer
may elect to cancel, terminate, or fail to renew the policy by sending
notice by certified mail to the owner or operator and the Regional
Administrator. Cancellation, termination, or failure to renew may not
occur, however, during the 120 days beginning with the date of receipt
of the notice by both the Regional Administrator and the owner or
operator, as evidenced by the return receipts. Cancellation,
termination, or failure to renew may not occur and the policy will
remain in full force and effect in the event that on or before the date
of expiration:
(i) The Regional Administrator deems the facility abandoned; or
(ii) Interim status is terminated or revoked; or
(iii) Closure is ordered by the Regional Administrator or a U.S.
district court or other court of competent jurisdiction; or
(iv) The owner or operator is named as debtor in a voluntary or
involuntary proceeding under Title 11 (Bankruptcy), U.S. Code; or
(v) The premium due is paid.
(9) Whenever the current post-closure cost estimate increases to an
amount greater than the face amount of the policy during the operating
life of the facility, the owner or operator, within 60 days after the
increase, must either cause the face amount to be increased to an amount
at least equal to the current post-closure cost estimate and submit
evidence of such increase to the Regional Administrator, or obtain other
financial assurance as specified in this section to cover the increase.
Whenever the current post-closure cost estimate decreases during the
operating life of the facility, the face amount may be reduced to the
amount of the current post-closure cost estimate following written
approval by the Regional Administrator.
(10) Commencing on the date that liability to make payments pursuant
to the policy accrues, the insurer will thereafter annually increase the
face amount of the policy. Such increase must be equivalent to the face
amounts of the policy, less any payments made, multiplied by an amount
equivalent to 85 percent of the most recent investment rate or of the
equivalent coupon-issue yield announced by the U.S. Treasury for 26-week
Treasury securities.
(11) The Regional Administrator will give written consent to the
owner or operator that he may terminate the insurance policy when:
(i) An owner or operator substitutes alternate financial assurance as
specified in this section; or
(ii) The Regional Administrator releases the owner or operator from
the requirements of this section in accordance with 265.145(h).
(e) Financial test and corporate guarantee for post-closure care.
(1) An owner or operator may satisfy the requirements of this section by
demonstrating that he passes a financial test as specified in this
paragraph. To pass this test the owner or operator must meet the
criteria either of paragraph (e)(1)(i) or (ii) of this section:
(i) The owner or operator must have:
(A) Two of the following three ratios: a ratio of total liabilities
to net worth less than 2.0; a ratio of the sum of net income plus
depreciation, depletion, and amortization to total liabilities greater
than 0.1; and a ratio of current assets to current liabilities greater
than 1.5; and
(B) Net working capital and tangible net worth each at least six
times the sum of the current closure and post-closure cost estimates and
the current plugging and abandonment cost estimates; and
(C) Tangible net worth of at least $10 million; and
(D) Assets in the United States amounting to at least 90 percent of
his total assets or at least six times the sum of the current closure
and post-closure cost estimates and the current plugging and abandonment
cost estimates.
(ii) The owner or operator must have:
(A) A current rating for his most recent bond issuance of AAA, AA, A,
or BBB as issued by Standard and Poor's or Aaa, Aa, A, or Baa as issued
by Moody's; and
(B) Tangible net worth at least six times the sum of the current
closure and post-closure cost estimates and the current plugging and
abandonment cost estimates; and
(C) Tangible net worth of at least $10 million; and
(D) Assets located in the United States amounting to at least 90
percent of his total assets or at least six times the sum of the current
closure and post-closure cost estimates and the current plugging and
abandonment cost estimates.
(2) The phrase ''current closure and post-closure cost estimates'' as
used in paragraph (e)(1) of this section refers to the cost estimates
required to be shown in paragraphs 1-4 of the letter from the owner's or
operator's chief financial officer ( 264.151(f)). The phrase ''current
plugging and abandonment cost estimates'' as used in paragraph (e)(1) of
this section refers to the cost estimates required to be shown in
paragraphs 1-4 of the letter from the owner's or operator's chief
financial officer ( 144.70(f) of this title).
(3) To demonstrate that he meets this test, the owner or operator
must submit the following items to the Regional Administrator:
(i) A letter signed by the owner's or operator's chief financial
officer and worded as specified in 264.151(f); and
(ii) A copy of the independent certified public accountant's report
on examination of the owner's or operator's financial statements for the
latest completed fiscal year; and
(iii) A special report from the owner's or operator's independent
certified public accountant to the owner or operator stating that:
(A) He has compared the data which the letter from the chief
financial officer specifies as having been derived from the
independently audited, year-end financial statements for the latest
fiscal year with the amounts in such financial statements; and
(B) In connection with that procedure, no matters came to his
attention which caused him to believe that the specified data should be
adjusted.
(4) The owner or operator may obtain an extension of the time allowed
for submission of the documents specified in paragraph (e)(3) of this
section if the fiscal year of the owner or operator ends during the 90
days prior to the effective date of these regulations and if the
year-end financial statements for that fiscal year will be audited by an
independent certified public accountant. The extension will end no
later than 90 days after the end of the owner's or operator's fiscal
year. To obtain the extension, the owner's or operator's chief
financial officer must send, by the effective date of these regulations,
a letter to the Regional Administrator of each Region in which the
owner's or operator's facilities to be covered by the financial test are
located. This letter from the chief financial officer must:
(i) Request the extension;
(ii) Certify that he has grounds to believe that the owner or
operator meets the criteria of the financial test;
(iii) Specify for each facility to be covered by the test the EPA
Identification Number, name, address, and the current closure and
post-closure cost estimates to be covered by the test;
(iv) Specify the date ending the owner's or operator's latest
complete fiscal year before the effective date of these regulations;
(v) Specify the date, no later than 90 days after the end of such
fiscal year, when he will submit the documents specified in paragraph
(e)(3) of this section; and
(vi) Certify that the year-end financial statements of the owner or
operator for such fiscal year will be audited by an independent
certified public accountant.
(5) After the initial submission of items specified in paragraph
(e)(3) of this section, the owner or operator must send updated
information to the Regional Administrator within 90 days after the close
of each succeeding fiscal year. This information must consist of all
three items specified in paragraph (e)(3) of this section.
(6) If the owner or operator no longer meets the requirements of
paragraph (e)(1) of this section, he must send notice to the Regional
Administrator of intent to establish alternate financial assurance as
specified in this section. The notice must be sent by certified mail
within 90 days after the end of the fiscal year for which the year-end
financial data show that the owner or operator no longer meets the
requirements. The owner or operator must provide the alternate
financial assurance within 120 days after the end of such fiscal year.
(7) The Regional Administrator may, based on a reasonable belief that
the owner or operator may no longer meet the requirements of paragraph
(e)(1) of this section, require reports of financial condition at any
time from the owner or operator in addition to those specified in
paragraph (e)(3) of this section. If the Regional Administrator finds,
on the basis of such reports or other information, that the owner or
operator no longer meets the requirements of paragraph (e)(1) of this
section, the owner or operator must provide alternate financial
assurance as specified in this section within 30 days after notification
of such a finding.
(8) The Regional Administrator may disallow use of this test on the
basis of qualifications in the opinion expressed by the independent
certified public accountant in his report on examination of the owner's
or operator's financial statements (see paragraph (e)(3)(ii) of this
section). An adverse opinion or a disclaimer of opinion will be cause
for disallowance. The Regional Administrator will evaluate other
qualifications on an individual basis. The owner or operator must
provide alternate financial assurance as specified in this section
within 30 days after notification of the disallowance.
(9) During the period of post-closure care, the Regional
Administrator may approve a decrease in the current post-closure cost
estimate for which this test demonstrates financial assurance if the
owner or operator demonstrates to the Regional Administrator that the
amount of the cost estimate exceeds the remaining cost of post-closure
care.
(10) The owner or operator is no longer required to submit the items
specified in paragraph (e)(3) of this section when:
(i) An owner or operator substitutes alternate financial assurance as
specified in this section; or
(ii) The Regional Administrator releases the owner or operator from
the requirements of this section in accordance with 265.145(h).
(11) An owner or operator may meet the requirements of this section
by obtaining a written guarantee, hereafter referred to as ''corporate
guarantee.'' The guarantor must be the parent corporation of the owner
or operator. The guarantor must meet the requirements for owners or
operators in paragraphs (e)(1) through (9) of this section and must
comply with the terms of the corporate guarantee. The wording of the
corporate guarantee must be identical to the wording specified in
264.151(h). The corporate guarantee must accompany the items sent to the
Regional Administrator as specified in paragraph (e)(3) of this section.
The terms of the corporate guarantee must provide that:
(i) If the owner or operator fails to perform post-closure care of a
facility covered by the corporate guarantee in accordance with the
post-closure plan and other interim status requirements whenever
required to do so, the guarantor will do so or establish a trust fund as
specified in 265.145(a) in the name of the owner or operator.
(ii) The corporate guarantee will remain in force unless the
guarantor sends notice of cancellation by certified mail to the owner or
operator and to the Regional Administrator. Cancellation may not occur,
however, during the 120 days beginning on the date of receipt of the
notice of cancellation by both the owner or operator and the Regional
Administrator, as evidenced by the return receipts.
(iii) If the owner or operator fails to provide alternate financial
assurance as specified in this section and obtain the written approval
of such alternate assurance from the Regional Administrator within 90
days after receipt by both the owner or operator and the Regional
Administrator of a notice of cancellation of the corporate guarantee
from the guarantor, the guarantor will provide such alternate financial
assurance in the name of the owner or operator.
(f) Use of multiple financial mechanisms. An owner or operator may
satisfy the requirements of this section by establishing more than one
financial mechanism per facility. These mechanisms are limited to trust
funds, surety bonds, letters of credit, and insurance. The mechanisms
must be as specified in paragraphs (a) through (d), respectively, of
this section, except that it is the combination of mechanisms, rather
than the single mechanism, which must provide financial assurance for an
amount at least equal to the current post-closure cost estimate. If an
owner or operator uses a trust fund in combination with a surety bond or
a letter of credit, he may use the trust fund as the standby trust fund
for the other mechanisms. A single standby trust fund may be
established for two or more mechanisms. The Regional Administrator may
use any or all of the mechanisms to provide for post-closure care of the
facility.
(g) Use of a financial mechanism for multiple facilities. An owner
or operator may use a financial assurance mechanism specified in this
section to meet the requirements of this section for more than one
facility. Evidence of financial assurance submitted to the Regional
Administrator must include a list showing, for each facility, the EPA
Identification Number, name, address, and the amount of funds for
post-closure care assured by the mechanism. If the facilities covered
by the mechanism are in more than one Region, identical evidence of
financial assurance must be submitted to and maintained with the
Regional Administrators of all such Regions. The amount of funds
available through the mechanism must be no less than the sum of funds
that would be available if a separate mechanism had been established and
maintained for each facility. In directing funds available through the
mechanism for post-closure care of any of the facilities covered by the
mechanism, the Regional Administrator may direct only the amount of
funds designated for that facility, unless the owner or operator agrees
to the use of additional funds available under the mechanism.
(h) Release of the owner or operator from the requirements of this
section. Within 60 days after receiving certifications from the owner
or operator and an independent registered professional engineer that the
post-closure care period has been completed in accordance with the
approved post-closure plan, the Regional Administrator will notify the
owner or operator in writing that he is no longer required by this
section to maintain financial assurance for post-closure care of that
unit, unless the Regional Administrator has reason to believe that
post-closure care has not been in accordance with the approved
post-closure plan. The Regional Administrator will provide the owner or
operator a detailed written statement of any such reason to believe that
post-closure care has not been in accordance with the approved
post-closure plan.
(47 FR 15064, Apr. 7, 1982, as amended at 51 FR 16457, May 2, 1986)
40 CFR 265.146 Use of a mechanism for financial assurance of both
closure and post-closure care.
An owner or operator may satisfy the requirements for financial
assurance for both closure and post-closure care for one or more
facilities by using a trust fund, surety bond, letter of credit,
insurance, financial test, or corporate guarantee that meets the
specifications for the mechanism in both 265.143 and 265.145. The
amount of funds available through the mechanism must be no less than the
sum of funds that would be available if a separate mechanism had been
established and maintained for financial assurance of closure and of
post-closure care.
40 CFR 265.147 Liability requirements.
(a) Coverage for sudden accidental occurrences. An owner or operator
of a hazardous waste treatment, storage, or disposal facility, or a
group of such 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. The owner or operator must have and maintain liability
coverage for sudden accidental occurrences in the amount of at least $1
million per occurrence with an annual aggregate of at least $2 million,
exclusive of legal defense costs. This liability coverage may be
demonstrated as specified in paragraphs (a) (1), (2), (3), (4), (5), or
(6) of this section:
(1) An owner or operator may demonstrate the required liability
coverage by having liability insurance as specified in this paragraph.
(i) Each insurance policy must be amended by attachment of the
Hazardous Waste Facility Liability Endorsement, or evidenced by a
Certificate of Liability Insurance. The wording of the endorsement must
be identical to the wording specified in 264.151(i). The wording of the
certificate of insurance must be identical to the wording specified in
264.151(j). The owner or operator must submit a signed duplicate
original of the endorsement or the certificate of insurance to the
Regional Administrator, or Regional Administrator if facilities are
located in more than one Region. If requested by a Regional
Administrator, the owner or operator must provide a signed duplicate
original of the insurance policy.
(ii) Each insurance policy must be issued by an insurer which, at a
minimum, is licensed to transact the business of insurance, or eligible
to provide insurance as an excess or surplus lines insurer, in one or
more States.
(2) An owner or operator may meet the requirements of this section by
passing a financial test or using the guarantee for liability coverage
as specified in paragraphs (f) and (g) of this section.
(3) An owner or operator may meet the requirements of this section by
obtaining a letter of credit for liability coverage as specified in
paragraph (h) of this section.
(4) An owner or operator may meet the requirements of this section by
obtaining a surety bond for liability coverage as specified in paragraph
(i) of this section.
(5) An owner or operator may meet the requirements of this section by
obtaining a trust fund for liability coverage as specified in paragraph
(j) of this section.
(6) An owner or operator may demonstrate the required liability
coverage through the use of combinations of insurance, financial test,
guarantee, letter of credit, surety bond, and trust fund, except that
the owner or operator may not combine a financial test covering part of
the liability coverage requirement with a guarantee unless the financial
statement of the owner or operator is not consolidated with the
financial statement of the guarantor. The amounts of coverage
demonstrated must total at least the minimum amounts required by this
section. If the owner or operator demonstrates the required coverage
through the use of a combination of financial assurances under this
paragraph, the owner or operator shall specify at least one such
assurance as ''primary'' coverage and shall specify other assurance as
''excess'' coverage.
(7) An owner or operator shall notify the Regional Administrator in
writing within 30 days (i) whenever a 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 or
an instrument providing financial assurance for liability coverage under
this section and (ii) whenever the amount of financial assurance for
liability coverage under this section provided by a financial instrument
authorized by paragraphs (a)(1) through (a)(6) of this section is
reduced.
(b) Coverage for nonsudden accidental occurrences. An owner or
operator of a surface impoundment, landfill, or land treatment facility
which is used to manage hazardous waste, or a group of such facilities,
must demonstrate financial responsibility for bodily injury and property
damage to third parties caused by nonsudden accidental occurrences
arising from operations of the facility or group of facilities. The
owner or operator must have and maintain liability coverage for
nonsudden accidental occurrences in the amount of at least $3 million
per occurrence with an annual aggregate of at least $6 million,
exclusive of legal defense costs. An owner or operator who must meet
the requirements of this section may combine the required per-occurrence
coverage levels for sudden and nonsudden accidental occurrences into a
single per-occurrence level, and combine the required annual aggregate
coverage levels for sudden and nonsudden accidental occurrences into a
single annual aggregate level. Owners or operators who combine coverage
levels for sudden and nonsudden accidental occurrences must maintain
liability coverage in the amount of at least $4 million per occurrence
and $8 million annual aggregate. This liability coverage may be
demonstrated as specified in paragraph (b) (1), (2), (3), (4), (5), or
(6) of this section:
(1) An owner or operator may demonstrate the required liability
coverage by having liability insurance as specified in this paragraph.
(2) An owner or operator may meet the requirements of this section by
passing a financial test or using the guarantee for liability coverage
as specified in paragraphs (f) and (g) of this section.
(3) An owner or operator may meet the requirements of this section by
obtaining a letter of credit for liability coverage as specified in
paragraph (h) of this section.
(4) An owner or operator may meet the requirements of this section by
obtaining a surety bond for liability coverage as specified in paragraph
(i) of this section.
(5) An owner or operator may meet the requirements of this section by
obtaining a trust fund for liability coverage as specified in paragraph
(j) of this section.
(6) An owner or operator may demonstrate the required liability
coverage through the use of combinations of insurance, financial test,
guarantee, letter of credit, surety bond, and trust fund, except that
the owner or operator may not combine a financial test covering part of
the liability coverage requirement with a guarantee unless the financial
statement of the owner or operator is not consolidated with the
financial statement of the guarantor. The amounts of coverage
demonstrated must total at least the minimum amounts required by this
section. If the owner or operator demonstrates the required coverage
through the use of a combination of financial assurances under this
paragraph, the owner or operator shall specify at least one such
assurance as ''primary'' coverage and shall specify other assurance as
''excess'' coverage.
(7) An owner or operator shall notify the Regional Administrator in
writing within 30 days (i) whenever a 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 or
an instrument providing financial assurance for liability coverage under
this section and (ii) whenever the amount of financial assurance for
liability coverage under this section provided by a financial instrument
authorized by paragraphs (a)(1) through (a)(6) of this section is
reduced.
(c) Request for variance. If an owner or operator can demonstrate to
the satisfaction of the Regional Administrator that the levels of
financial responsibility required by paragraph (a) or (b) of this
section are not consistent with the degree and duration of risk
associated with treatment, storage, or disposal at the facility or group
of facilities, the owner or operator may obtain a variance from the
Regional Administrator. The request for a variance must be submitted in
writing to the Regional Administrator. If granted, the variance will
take the form of an adjusted level of required liability coverage, such
level to be based on the Regional Administrator's assessment of the
degree and duration of risk associated with the ownership or operation
of the facility or group of facilities. The Regional Administrator may
require an owner or operator who requests a variance to provide such
technical and engineering information as is deemed necessary by the
Regional Administrator to determine a level of financial responsibility
other than that required by paragraph (a) or (b) of this section. The
Regional Administrator will process a variance request as if it were a
permit modification request under 270.41(a)(5) of this chapter and
subject to the procedures of 124.5 of this chapter. Notwithstanding
any other provision, the Regional Administrator may hold a public
hearing at his discretion or whenever he finds, on the basis of requests
for a public hearing, a significant degree of pubic interest in a
tentative decision to grant a variance.
(d) Adjustments by the Regional Administrator. If the Regional
Administrator determines that the levels of financial responsibility
required by paragraph (a) or (b) of this section are not consistent with
the degree and duration of risk associated with treatment, storage, or
disposal at the facility or group of facilities, the Regional
Administrator may adjust the level of financial responsibility required
under paragraph (a) or (b) of this section as may be necessary to
protect human health and the environment. This adjusted level will be
based on the Regional Administrator's assessment of the degree and
duration of risk associated with the ownership or operation of the
facility or group of facilities. In addition, if the Regional
Administrator determines that there is a significant risk to human
health and the environment from nonsudden accidental occurrences
resulting from the operations of a facility that is not a surface
impoundment, landfill, or land treatment facility, he may require that
an owner or operator of the facility comply with paragraph (b) of this
section. An owner or operator must furnish to the Regional
Administrator, within a reasonable time, any information which the
Regional Administrator requests to determine whether cause exists for
such adjustments of level or type of coverage. The Regional
Administrator will process an adjustment of the level of required
coverage as if it were a permit modification under 270.41(a)(5) of this
chapter and subject to the procedures of 124.5 of this chapter.
Notwithstanding any other provision, the Regional Administrator may hold
a public hearing at his discretion or whenever he finds, on the basis of
requests for a public hearing, a significant degree of public interest
in a tentative decision to adjust the level or type of required
coverage.
(e) Period of coverage. Within 60 days after receiving
certifications from the owner or operator and an independent registered
professional engineer that final closure has been completed in
accordance with the approved closure plan, the Regional Administrator
will notify the owner or operator in writing that he is no longer
required by this section to maintain liability coverage for that
facility, unless the Regional Administrator has reason to believe that
closure has not been in accordance with the approved closure plan.
(f) Financial test for liability coverage. (1) An owner or operator
may satisfy the requirements of this section by demonstrating that he
passes a financial test as specified in this paragraph. To pass this
test the owner or operator must meet the criteria of paragraph (f)(1)(i)
or (ii) of this section:
(i) The owner or operator must have:
(A) Net working capital and tangible net worth each at least six
times the amount of liability coverage to be demonstrated by this test;
and
(B) Tangible net worth of at least $10 million; and
(C) Assets in the United States amounting to either: (1) At least 90
percent of his total assets; or (2) at least six times the amount of
liability coverage to be demonstrated by this test.
(ii) The owner or operator must have:
(A) A current rating for his most recent bond issuance of AAA, AA, A,
or BBB as issued by Standard and Poor's, or Aaa, Aa, A, or Baa as issued
by Moody's; and
(B) Tangible net worth of at least $10 million; and
(C) Tangible net worth at least six times the amount of liability
coverage to be demonstrated by this test; and
(D) Assets in the United States amounting to either: (1) At least 90
percent of his total assets; or (2) at least six times the amount of
liability coverage to be demonstrated by this test.
(2) The phrase ''amount of liability coverage'' as used in paragraph
(f)(1) of this section refers to the annual aggregate amounts for which
coverage is required under paragraphs (a) and (b) of this section.
(3) To demonstrate that he meets this test, the owner or operator
must submit the following three items to the Regional Administrator:
(i) A letter signed by the owner's or operator's chief financial
officer and worded as specified in 264.151(g). If an owner or operator
is using the financial test to demonstrate both assurance for closure or
post-closure care, as specified by 264.143(f), 264.145(f), 265.143(e),
and 265.145(e), and liability coverage, he must submit the letter
specified in 264.151(g) to cover both forms of financial
responsibility; a separate letter as specified in 264.151(f) is not
required.
(ii) A copy of the independent certified public accountant's report
on examination of the owner's or operator's financial statements for the
latest completed fiscal year.
(iii) A special report from the owner's or operator's independent
certified public accountant to the owner or operator stating that:
(A) He has compared the data which the letter from the chief
financial officer specifies as having been derived from the
independently audited, year-end financial statements for the latest
fiscal year with the amounts in such financial statements; and
(B) In connection with that procedure, no matters came to his
attention which caused him to believe that the specified data should be
adjusted.
(4) The owner or operator may obtain a one-time extension of the time
allowed for submission of the documents specified in paragraph (f)(3) of
this section if the fiscal year of the owner or operator ends during the
90 days prior to the effective date of these regulations and if the
year-end financial statements for that fiscal year will be audited by an
independent certified public accountant. The extension will end no
later than 90 days after the end of the owner's or operator's fiscal
year. To obtain the extension, the owner's or operator's chief
financial officer must send, by the effective date of these regulations,
a letter to the Regional Administrator of each Region in which the
owner's or operator's facilities to be covered by the financial test are
located. This letter from the chief financial officer must:
(i) Request the extension;
(ii) Certify that he has grounds to believe that the owner or
operator meets the criteria of the financial test;
(iii) Specify for each facility to be covered by the test the EPA
Identification Number, name, address, the amount of liability coverage
and, when applicable, current closure and post-closure cost estimates to
be covered by the test;
(iv) Specify the date ending the owner's or operator's last complete
fiscal year before the effective date of these regulations;
(v) Specify the date, no later than 90 days after the end of such
fiscal year, when he will submit the documents specified in paragraph
(f)(3) of this section; and
(vi) Certify that the year-end financial statements of the owner or
operator for such fiscal year will be audited by an independent
certified public accountant.
(5) After the initial submission of items specified in paragraph
(f)(3) of this section, the owner or operator must send updated
information to the Regional Administrator within 90 days after the close
of each succeeding fiscal year. This information must consist of all
three items specified in paragraph (f)(3) of this section.
(6) If the owner or operator no longer meets the requirements of
paragraph (f)(1) of this section, he must obtain insurance for the
entire amount of required liability coverage as specified in this
section. Evidence of insurance must be submitted to the Regional
Administrator within 90 days after the end of the fiscal year for which
the year-end financial data show that the owner or operator no longer
meets the test requirements.
(7) The Regional Administrator may disallow use of this test on the
basis of qualifications in the opinion expressed by the independent
certified public accountant in his report on examination of the owner's
or operator's financial statements (see paragraph (f)(3)(ii) of this
section). An adverse opinion or a disclaimer of opinion will be cause
for disallowance. The Regional Administrator will evaluate other
qualifications on an individual basis. The owner or operator must
provide evidence of insurance for the entire amount of required
liability coverage as specified in this section within 30 days after
notification of disallowance.
(g) Guarantee for liability coverage. (1) Subject to paragraph
(g)(2) of this section, an owner or operator may meet the requirements
of this section by obtaining a written guarantee, hereinafter referred
to as ''guarantee.'' The guarantor must be the direct or higher-tier
parent corporation of the owner or operator, 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. The guarantor must meet the requirements for owners or
operators in paragraphs (f)(1) through (f)(6) of this section. The
wording of the guarantee must be identical to the wording specified in
264.151(h)(2) of this chapter. A certified copy of the guarantee must
accompany the items sent to the Regional Administrator as specified in
paragraph (f)(3) of this section. One of these items must be the letter
from the guarantor's chief financial officer. If the guarantor's parent
corporation is also the parent corporation of the owner or operator,
this letter must describe the value received in consideration of the
guarantee. If the guarantor is a firm with a ''substantial business
relationship'' with the owner or operator, this letter must describe
this ''substantial business relationship'' and the value received in
consideration of the guarantee.
(i) If the owner or operator fails to satisfy a judgment based on a
determination of liability for bodily injury or property damage to third
parties caused by sudden or nonsudden accidental occurrences (or both as
the case may be), arising from the operation of facilities covered by
this corporate guarantee, or fails to pay an amount agreed to in
settlement of claims arising from or alleged to arise from such injury
or damage, the guarantor will do so up to the limits of coverage.
(ii) (Reserved)
(2)(i) In the case of corporations incorporated in the United States,
a guarantee may be used to satisfy the requirements of this section only
if the Attorneys General or Insurance Commissioners of (A) the State in
which the guarantor is incorporated, and (B) each State in which a
facility covered by the guarantee is located have submitted a written
statement to EPA that a guarantee executed as described in this section
and 264.151(h)(2) is a legally valid and enforceable obligation in that
State.
(ii) In the case of corporations incorporated outside the United
States, a guarantee may be used to satisfy the requirements of this
section only if (A) the non-U.S. corporation has identified a registered
agent for service of process in each State in which a facility covered
by the guarantee is located and in the State in which it has its
principal place of business, and if (B) the Attorney General or
Insurance Commissioner of each State in which a facility covered by the
guarantee is located and the State in which the guarantor corporation
has its principal place of business, has submitted a written statement
to EPA that a guarantee executed as described in this section and
264.151(h)(2) is a legally valid and enforceable obligation in that
State.
(h) Letter of credit for liability coverage. (1) An owner or
operator may satisfy the requirements of this section by obtaining an
irrevocable standby letter of credit that conforms to the requirements
of this paragraph and submitting a copy of the letter of credit to the
Regional Administrator.
(2) The financial institution issuing the letter of credit must be an
entity that has the authority to issue letters of credit and whose
letter of credit operations are regulated and examined by a Federal or
State agency.
(3) The wording of the letter of credit must be identical to the
wording specified in 264.151(k) of this chapter.
(i) Surety bond for liability coverage. (1) An owner or operator may
satisfy the requirements of this section by obtaining a surety bond that
conforms to the requirements of this paragraph and submitting a copy of
the bond to the Regional Administrator.
(2) The surety company issuing the bond must be among those listed as
acceptable sureties on Federal bonds in the most recent Circular 570 of
the U.S. Department of the Treasury.
(3) The wording of the surety bond must be identical to the wording
specified in 264.151(l) of this chapter.
(4) A surety bond may be used to satisfy the requirements of this
section only if the Attorneys General or Insurance Commissioners of (i)
the State in which the surety is incorporated, and (ii) each State in
which a facility covered by the surety bond is located have submitted a
written statement to EPA that a surety bond executed as described in
this section and 264.151(l) of this chapter is a legally valid and
enforceable obligation in that State.
(j) Trust fund for liability coverage. (1) An owner or operator may
satisfy the requirements of this section by establishing a trust fund
that conforms to the requirements of this paragraph and submitting an
originally signed duplicate of the trust agreement to the Regional
Administrator.
(2) The trustee must be an entity which has the authority to act as a
trustee and whose trust operations are regulated and examined by a
Federal or State agency.
(3) The trust fund for liability coverage must be funded for the full
amount of the liability coverage to be provided by the trust fund before
it may be relied upon to satisfy the requirements of this section. If
at any time after the trust fund is created the amount of funds in the
trust fund is reduced below the full amount of the liability coverage to
be provided, the owner or operator, by the anniversary date of the
establishment of the Fund, must either add sufficient funds to the trust
fund to cause its value to equal the full amount of liability coverage
to be provided, or obtain other financial assurance as specified in this
section to cover the difference. For purposes of this paragraph, ''the
full amount of the liability coverage to be provided'' means the amount
of coverage for sudden and/or nonsudden occurrences required to be
provided by the owner or operator by this section, less the amount of
financial assurance for liability coverage that is being provided by
other financial assurance mechanisms being used to demonstrate financial
assurance by the owner or operator.
(4) The wording of the trust fund must be identical to the wording
specified in 264.151(m) of this part.
(k) Notwithstanding any other provision of this part, an owner or
operator using liability insurance to satisfy the requirements of this
section may use, until October 16, 1982, a Hazardous Waste Facility
Liability Endorsement or Certificate of Liability Insurance that does
not certify that the insurer is licensed to transact the business of
insurance, or eligible as an excess or surplus lines insurer, in one or
more States.
(Approved by the Office of Management and Budget under control number
2000-0445, for paragraphs (a)(1)(i), (b)(1)(i), (b)(5), (c), (d), and
(f) (3) through (6))
(47 FR 16558, Apr. 16, 1982, as amended at 47 FR 28627, July 1, 1982;
47 FR 30447, July 13, 1982; 48 FR 30115, June 30, 1983; 51 FR 16458,
May 2, 1986; 51 FR 25355, July 11, 1986; 52 FR 44321, Nov. 18, 1987;
53 FR 33959, Sept. 1, 1988; 56 FR 30200, July 1, 1991; 56 FR 47912,
Sept. 23, 1991)
40 CFR 265.148 Incapacity of owners or operators, guarantors, or
financial institutions.
(a) An owner or operator must notify the Regional Administrator by
certified mail of the commencement of a voluntary or involuntary
proceeding under Title 11 (Bankruptcy), U.S. Code, naming the owner or
operator as debtor, within 10 days after commencement of the proceeding.
A guarantor of a corporate guarantee as specified in 265.143(e) and
265.145(e) must make such a notification if he is named as debtor, as
required under the terms of the corporate guarantee ( 264.151(h)).
(b) An owner or operator who fulfills the requirements of 265.143,
265.145, or 265.147 by obtaining a trust fund, surety bond, letter of
credit, or insurance policy will be deemed to be without the required
financial assurance or liability coverage in the event of bankruptcy of
the trustee or issuing institution, or a suspension or revocation of the
authority of the trustee institution to act as trustee or of the
institution issuing the surety bond, letter of credit, or insurance
policy to issue such instruments. The owner or operator must establish
other financial assurance or liability coverage within 60 days after
such an event.
40 CFR 265.149 Use of State-required mechanisms.
(a) For a facility located in a State where EPA is administering the
requirements of this subpart but where the State has hazardous waste
regulations that include requirements for financial assurance of closure
or post-closure care or liability coverage, an owner or operator may use
State-required financial mechanisms to meet the requirements of
265.143, 265.145, or 265.147 if the Regional Administrator determines
that the State mechanisms are at least equivalent to the financial
mechanisms specified in this subpart. The Regional Administrator will
evaluate the equivalency of the mechanisms principally in terms of (1)
certainty of the availability of funds for the required closure or
post-closure care activities or liability coverage and (2) the amount of
funds that will be made available. The Regional Administrator may also
consider other factors as he deems appropriate. The owner or operator
must submit to the Regional Administrator evidence of the establishment
of the mechanism together with a letter requesting that the
State-required mechanism be considered acceptable for meeting the
requirements of this subpart. The submission must include 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. The Regional Administrator
will notify the owner or operator of his determination regarding the
mechanism's acceptability in lieu of financial mechanisms specified in
this subpart. The Regional Administrator may require the owner or
operator to submit additional information as is deemed necessary to make
this determination. Pending this determination, the owner or operator
will be deemed to be in compliance with the requirements of 265.143,
265.145, or 265.147, as applicable.
(b) If a State-required mechanism is found acceptable as specified in
paragraph (a) of this section except for the amount of funds available,
the owner or operator may satisfy the requirements of this subpart by
increasing the funds available through the State-required mechanism or
using additional financial mechanisms as specified in this subpart. The
amount of funds available through the State and Federal mechanisms must
at least equal the amount required by this subpart.
40 CFR 265.150 State assumption of responsibility.
(a) If a State either assumes legal responsibility for an owner's or
operator's compliance with the closure, post-closure care, or liability
requirements of this part or assures that funds will be available from
State sources to cover those requirements, the owner or operator will be
in compliance with the requirements of 265.143, 265.145, or 265.147
if the Regional Administrator determines that the State's assumption of
responsibility is at least equivalent to the financial mechanisms
specified in this subpart. The Regional Administrator will evaluate the
equivalency of State guarantees principally in terms of (1) certainty of
the availability of funds for the required closure or post-closure care
activities or liability coverage and (2) the amount of funds that will
be made available. The Regional Administrator may also consider other
factors as he deems appropriate. The owner or operator must submit to
the Regional Administrator a letter from the State describing the nature
of the State's assumption of responsibility together with 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. The letter from the State must include, or have attached
to it, 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. The Regional Administrator will notify the owner or operator of
his determination regarding the acceptability of the State's guarantee
in lieu of financial mechanisms specified in this subpart. The Regional
Administrator may require the owner or operator to submit additional
information as is deemed necessary to make this determination. Pending
this determination, the owner or operator will be deemed to be in
compliance with the requirements of 265.143, 265.145, or 265.147, as
applicable.
(b) If a State's assumption of responsibility is found acceptable as
specified in paragraph (a) of this section except for the amount of
funds available, the owner or operator may satisfy the requirements of
this subpart by use of both the State's assurance and additional
financial mechanisms as specified in this subpart. The amount of funds
available through the State and Federal mechanisms must at least equal
the amount required by this subpart.
40 CFR 265.150 Subpart I -- Use and Management of Containers
40 CFR 265.170 Applicability.
The regulations in this subpart apply to owners and operators of all
hazardous waste facilities that store containers of hazardous waste,
except as 265.1 provides otherwise.
40 CFR 265.171 Condition of containers.
If a container holding hazardous waste is not in good condition, or
if it begins to leak, the owner or operator must transfer the hazardous
waste from this container to a container that is in good condition, or
manage the waste in some other way that complies with the requirements
of this part.
40 CFR 265.172 Compatibility of waste with container.
The owner or operator must use a container made of or lined with
materials which will not react with, and are otherwise compatible with,
the hazardous waste to be stored, so that the ability of the container
to contain the waste is not impaired.
40 CFR 265.173 Management of containers.
(a) A container holding hazardous waste must always be closed during
storage, except when it is necessary to add or remove waste.
(b) A container holding hazardous waste must not be opened, handled,
or stored in a manner which may rupture the container or cause it to
leak.
(Comment: Re-use of containers in transportation is governed by U.S.
Department of Transportation regulations, including those set forth in
49 CFR 173.28.)
(45 FR 33232, May 19, 1980, as amended at 45 FR 78529, Nov. 25, 1980)
40 CFR 265.174 Inspections.
The owner or operator must inspect areas where containers are stored,
at least weekly, looking for leaks and for deterioration caused by
corrosion or other factors.
(Comment: See 265.171 for remedial action required if deterioration
or leaks are detected.)
265.175 (Reserved)
40 CFR 265.176 Special requirements for ignitable or reactive waste.
Containers holding ignitable or reactive waste must be located at
least 15 meters (50 feet) from the facility's property line.
(Comment: See 265.17(a) for additional requirements.)
40 CFR 265.177 Special requirements for incompatible wastes.
(a) Incompatible wastes, or incompatible wastes and materials, (see
appendix V for examples) must not be placed in the same container,
unless 265.17(b) is complied with.
(b) Hazardous waste must not be placed in an unwashed container that
previously held an incompatible waste or material (see appendix V for
examples), unless 265.17(b) is complied with.
(c) A storage container holding a hazardous waste that is
incompatible with any waste or other materials stored nearby in other
containers, piles, open tanks, or surface impoundments must be separated
from the other materials or protected from them by means of a dike,
berm, wall, or other device.
(Comment: The purpose of this is to prevent fires, explosions,
gaseous emissions, leaching, or other discharge of hazardous waste or
hazardous waste constituents which could result from the mixing of
incompatible wastes or materials if containers break or leak.)
40 CFR 265.177 Subpart J -- Tank Systems
Source: 51 FR 25479, July 14, 1986, unless otherwise noted.
40 CFR 265.190 Applicability.
The requirements of this subpart apply to owners and operators of
facilities that use tank systems for storing or treating hazardous waste
except as otherwise provided in paragraphs (a), (b), and (c) of this
section or in 265.1 of this part.
(a) Tank systems that are used to store or treat hazardous waste
which contains no free liquids and that are situated inside a building
with an impermeable floor are exempted from the requirements in
265.193. To demonstrate the absence or presence of free liquids in the
stored/treated waste, EPA Method 9095 (Paint Filter Liquids Test) as
described in ''Test Methods for Evaluating Solid Wastes,
Physical/Chemical Methods'' (EPA Publication No. SW-846) must be used.
(b) Tank systems, including sumps, as defined in 260.10, that serve
as part of a secondary containment system to collect or contain releases
of hazardous wastes are exempted from the requirements in 265.193(a).
(c) Tanks, sumps, and other collection devices used in conjunction
with drip pads, as defined in 260.10 of this chapter and regulated
under 40 CFR part 265 subpart W, must meet the requirements of this
subpart.
(Information collection requirement contained in paragraph (a) was
approved by the Office of Management and Budget under control number
2050-0050)
(51 FR 25479, July 14, 1986, as amended at 53 FR 34087, Sept. 2,
1988; 55 FR 50486, Dec. 6, 1990)
40 CFR 265.191 Assessment of existing tank system's integrity.
(a) For each existing tank system that does not have secondary
containment meeting the requirements of 265.193, the owner or operator
must determine that the tank system is not leaking or is unfit for use.
Except as provided in paragraph (c) of this section, the owner or
operator must obtain and keep on file at the facility a written
assessment reviewed and certified by an independent, qualified,
registered professional engineer in accordance with 270.11(d), that
attests to the tank system's integrity by January 12, 1988.
(b) This assessment must determine that the tank system is adequately
designed and has sufficient structural strength and compatibility with
the waste(s) to be stored or treated to ensure that it will not
collapse, rupture, or fail. At a minimum, this assessment must consider
the following:
(1) Design standard(s), if available, according to which the tank and
ancillary equipment were constructed;
(2) Hazardous characteristics of the waste(s) that have been or will
be handled;
(3) Existing corrosion protection measures;
(4) Documented age of the tank system, if available, (otherwise, an
estimate of the age); and
(5) Results of a leak test, internal inspection, or other tank
integrity examination such that:
(i) For non-enterable underground tanks, this assessment must consist
of a leak test that is capable of taking into account the effects of
temperature variations, tank end deflection, vapor pockets, and high
water table effects,
(ii) For other than non-enterable underground tanks and for ancillary
equipment, this assessment must be either a leak test, as described
above, or an internal inspection and/or other tank integrity examination
certified by an independent, qualified, registered professional engineer
in accordance with 270.11(d) that addresses cracks, leaks, corrosion,
and erosion.
(Note: The practices described in the American Petroleum Institute
(API) Publication, Guide for Inspection of Refinery Equipment, Chapter
XIII, ''Atmospheric and Low-Pressure Storage Tanks,'' 4th edition, 1981,
may be used, where applicable, as guidelines in conducting the integrity
examination of an other than non-enterable underground tank system.)
(c) Tank systems that store or treat materials that become hazardous
wastes subsequent to July 14, 1986 must conduct this assessment within
12 months after the date that the waste becomes a hazardous waste.
(d) If, as a result of the assessment conducted in accordance with
paragraph (a) of this section, a tank system is found to be leaking or
unfit for use, the owner or operator must comply with the requirements
of 265.196.
(Information collection requirements contained in paragraphs (a)-(d)
were approved by the Office of Management and Budget under control
number 2050-0050)
40 CFR 265.192 Design and installation of new tank systems or
components.
(a) Owners or operators of new tank systems or components must ensure
that the foundation, structural support, seams, connections, and
pressure controls (if applicable) are adequately designed and that the
tank system has sufficient structural strength, compatibility with the
waste(s) to be stored or treated, and corrosion protection so that it
will not collapse, rupture, or fail. The owner or operator must obtain
a written assessment reviewed and certified by an independent,
qualified, registered professional engineer in accordance with
270.11(d) attesting that the system has sufficient structural integrity
and is acceptable for the storing and treating of hazardous waste. This
assessment must include, at a minimum, the following information:
(1) Design standard(s) according to which the tank(s) and ancillary
equipment is or will be constructed.
(2) Hazardous characteristics of the waste(s) to be handled.
(3) For new tank systems or components in which the external shell of
a metal tank or any external metal component of the tank system is or
will be in contact with the soil or with water, a determination by a
corrosion expert of:
(i) Factors affecting the potential for corrosion, including but not
limited to:
(A) Soil moisture content;
(B) Soil pH;
(C) Soil sulfides level;
(D) Soil resistivity;
(E) Structure to soil potential;
(F) Influence of nearby underground metal structures (e.g., piping);
(G) Stray electric current; and,
(H) Existing corrosion-protection measures (e.g., coating, cathodic
protection), and
(ii) The type and degree of external corrosion protection that are
needed to ensure the integrity of the tank system during the use of the
tank system or component, consisting of one or more of the following:
(A) Corrosion-resistant materials of construction such as special
alloys or fiberglass-reinforced plastic;
(B) Corrosion-resistant coating (such as epoxy or fiberglass) with
cathodic protection (e.g., impressed current or sacrificial anodes);
and
(C) Electrical isolation devices such as insulating joints and
flanges.
Note: The practices described in the National Association of
Corrosion Engineers (NACE) standard, ''Recommended Practice (RP-02-85)
-- Control of External Corrosion on Metallic Buried, Partially Buried,
or Submerged Liquid Storage Systems,'' and the American Petroleum
Institute (API) Publication 1632, ''Cathodic Protection of Underground
Petroleum Storage Tanks and Piping Systems,'' may be used, where
applicable, as guidelines in providing corrosion protection for tank
systems.
(4) For underground tank system components that are likely to be
affected by vehicular traffic, a determination of design or operational
measures that will protect the tank system against potential damage;
and
(5) Design considerations to ensure that:
(i) Tank foundations will maintain the load of a full tank;
(ii) Tank systems will be anchored to prevent flotation or
dislodgement where the tank system is placed in a saturated zone, or is
located within a seismic fault zone; and
(iii) Tank systems will withstand the effects of frost heave.
(b) The owner or operator of a new tank system must ensure that
proper handling procedures are adhered to in order to prevent damage to
the system during installation. Prior to covering, enclosing, or
placing a new tank system or component in use, an independent, qualified
installation inspector or an independent, qualified, registered
professional engineer, either of whom is trained and experienced in the
proper installation of tank systems, must inspect the system or
component for the presence of any of the following items:
(1) Weld breaks;
(2) Punctures;
(3) Scrapes of protective coatings;
(4) Cracks;
(5) Corrosion;
(6) Other structural damage or inadequate construction or
installation.
All discrepancies must be remedied before the tank system is covered,
enclosed, or placed in use.
(c) New tank systems or components and piping that are placed
underground and that are backfilled must be provided with a backfill
material that is a noncorrosive, porous, homogeneous substance and that
is carefully installed so that the backfill is placed completely around
the tank and compacted to ensure that the tank and piping are fully and
uniformly supported.
(d) All new tanks and ancillary equipment must be tested for
tightness prior to being covered, enclosed or placed in use. If a tank
system is found not to be tight, all repairs necessary to remedy the
leak(s) in the system must be performed prior to the tank system being
covered, enclosed, or placed in use.
(e) Ancillary equipment must be supported and protected against
physical damage and excessive stress due to settlement, vibration,
expansion or contraction.
Note: The piping system installation procedures described in
American Petroleum Institute (API) Publication 1615 (November 1979),
''Installation of Underground Petroleum Storage Systems,'' or ANSI
Standard B31.3, ''Petroleum Refinery System,'' may be used, where
applicable, as guidelines for proper installation of piping systems.
(f) The owner or operator must provide the type and degree of
corrosion protection necessary, based on the information provided under
paragraph (a)(3) of this section, to ensure the integrity of the tank
system during use of the tank system. The installation of a corrosion
protection system that is field fabricated must be supervised by an
independent corrosion expert to ensure proper installation.
(g) The owner or operator must obtain and keep on file at the
facility written statements by those persons required to certify the
design of the tank system and supervise the installation of the tank
system in accordance with the requirements of paragraphs (b) through (f)
of this section to attest that the tank system was properly designed and
installed and that repairs, pursuant to paragraphs (b) and (d) of this
section were performed. These written statements must also include the
certification statement as required in 270.11(d) of this chapter.
(Information collection requirements contained in paragraphs (a) and
(g) were approved by the Office of Management and Budget under control
number 2050-0050)
(51 FR 25479, July 14, 1986; 51 FR 29430, Aug. 15, 1986)
40 CFR 265.193 Containment and detection of releases.
(a) In order to prevent the release of hazardous waste or hazardous
constituents to the environment, secondary containment that meets the
requirements of this section must be provided (except as provided in
paragraphs (f) and (g) of this section):
(1) For all new tank systems or components, prior to their being put
into service;
(2) For all existing tanks used to store or treat EPA Hazardous Waste
Nos. F020, F021, F022, F023, F026, and F027, within two years after
January 12, 1987;
(3) For those existing tank systems of known and documentable age,
within two years after January 12, 1987, or when the tank systems have
reached 15 years of age, whichever comes later;
(4) For those existing tank system for which the age cannot be
documented, within eight years of January 12, 1987; but if the age of
the facility is greater than seven years, secondary containment must be
provided by the time the facility reaches 15 years of age, or within two
years of January 12, 1987, whichever comes later; and
(5) For tank systems that store or treat materials that become
hazardous wastes subsequent to January 12, 1987, within the time
intervals required in paragraphs (a)(1) through (a)(4) of this section,
except that the date that a material becomes a hazardous waste must be
used in place of January 12, 1987.
(b) Secondary containment systems must be:
(1) Designed, installed, and operated to prevent any migration of
wastes or accumulated liquid out of the system to the soil, ground
water, or surface water at any time during the use of the tank system;
and
(2) Capable of detecting and collecting releases and accumulated
liquids until the collected material is removed.
(c) To meet the requirements of paragraph (b) of this section,
secondary containment systems must be at a minimum:
(1) Constructed of or lined with materials that are compatible with
the waste(s) to be placed in the tank system and must have sufficient
strength and thickness to prevent failure due to pressure gradients
(including static head and external hydrological forces), physical
contact with the waste to which they are exposed, climatic conditions,
the stress of installation, and the stress of daily operation (including
stresses from nearby vehicular traffic);
(2) Placed on a foundation or base capable of providing support to
the secondary containment system and resistance to pressure gradients
above and below the system and capable of preventing failure due to
settlement, compression, or uplift;
(3) Provided with a leak detection system that is designed and
operated so that it will detect the failure of either the primary and
secondary containment structure or any release of hazardous waste or
accumulated liquid in the secondary containment system within 24 hours,
or at the earliest practicable time if the existing detection technology
or site conditions will not allow detection of a release within 24
hours;
(4) Sloped or otherwise designed or operated to drain and remove
liquids resulting from leaks, spills, or precipitation. Spilled or
leaked waste and accumulated precipitation must be removed from the
secondary containment system within 24 hours, or in as timely a manner
as is possible to prevent harm to human health or the environment, if
removal of the released waste or accumulated precipitation cannot be
accomplished within 24 hours.
Note: If the collected material is a hazardous waste under part 261
of this chapter, it is subject to management as a hazardous waste in
accordance with all applicable requirements of parts 262 through 265 of
this chapter. If the collected material is discharged through a point
source to waters of the United States, it is subject to the requirements
of sections 301, 304, and 402 of the Clean Water Act, as amended. If
discharged to Publicly Owned Treatment Works (POTWs), it is subject to
the requirements of section 307 of the Clear Water Act, as amended. If
the collected material is released to the environment, it may be subject
to the reporting requirements of 40 CFR part 302.
(d) Secondary containment for tanks must include one or more of the
following devices:
(1) A liner (external to the tank);
(2) A vault;
(3) A double-walled tank; or
(4) An equivalent device as approved by the Regional Administrator.
(e) In addition to the requirements of paragraphs (b), (c), and (d)
of this section, secondary containment systems must satisfy the
following requirements:
(1) External liner systems must be:
(i) Designed or operated to contain 100 percent of the capacity of
the largest tank within its boundary;
(ii) Designed or operated to prevent run-on or infiltration of
precipitation into the secondary containment system unless the
collection system has sufficient excess capacity to contain run-on or
infiltration. Such additional capacity must be sufficient to contain
precipitation from a 25-year, 24-hour rainfall event;
(iii) Free of cracks or gaps; and
(iv) Designed and installed to completely surround the tank and to
cover all surrounding earth likely to come into contact with the waste
if released from the tank(s) (i.e., capable of preventing lateral as
well as vertical migration of the waste).
(2) Vault systems must be:
(i) Designed or operated to contain 100 percent of the capacity of
the largest tank within its boundary;
(ii) Designed or operated to prevent run-on or infiltration of
precipitation into the secondary containment system unless the
collection system has sufficient excess capacity to contain run-on or
infiltration. Such additional capacity must be sufficient to contain
precipitation from a 25-year, 24-hour rainfall event;
(iii) Constructed with chemical-resistant water stops in place at all
joints (if any);
(iv) Provided with an impermeable interior coating or lining that is
compatible with the stored waste and that will prevent migration of
waste into the concrete;
(v) Provided with a means to protect against the formation of and
ignition of vapors within the vault, if the waste being stored or
treated:
(A) Meets the definition of ignitable waste under 262.21 of this
chapter, or
(B) Meets the definition of reactive waste under 262.21 of this
chapter and may form an ignitable or explosive vapor; and
(vi) Provided with an exterior moisture barrier or be otherwise
designed or operated to prevent migration of moisture into the vault if
the vault is subject to hydraulic pressure.
(3) Double-walled tanks must be:
(i) Designed as an integral structure (i.e., an inner tank within an
outer shell) so that any release from the inner tank is contained by the
outer shell;
(ii) Protected, if constructed of metal, from both corrosion of the
primary tank interior and the external surface of the outer shell; and
(iii) Provided with a built-in, continuous leak detection system
capable of detecting a release within 24 hours or at the earliest
practicable time, if the owner or operator can demonstrate to the
Regional Administrator, and the Regional Administrator concurs, that the
existing leak detection technology or site conditions will not allow
detection of a release within 24 hours.
Note: The provisions outlined in the Steel Tank Institute's (STI)
''Standard for Dual Wall Underground Steel Storage Tank'' may be used as
guidelines for aspects of the design of underground steel double-walled
tanks.
(f) Ancillary equipment must be provided with full secondary
containment (e.g., trench, jacketing, double-walled piping) that meets
the requirements of paragraphs (b) and (c) of this section except for:
(1) Aboveground piping (exclusive of flanges, joints, valves, and
connections) that are visually inspected for leaks on a daily basis;
(2) Welded flanges, welded joints, and welded connections that are
visually inspected for leaks on a daily basis;
(3) Sealless or magnetic coupling pumps and sealless valves, that are
visually inspected for leaks on a daily basis; and
(4) Pressurized aboveground piping systems with automatic shut-off
devices (e.g., excess flow check valves, flow metering shutdown devices,
loss of pressure actuated shut-off devices) that are visually inspected
for leaks on a daily basis.
(g) The owner or operator may obtain a variance from the requirements
of this Section if the Regional Administrator finds, as a result of a
demonstration by the owner or operator, either: that alternative design
and operating practices, together with location characteristics, will
prevent the migration of hazardous waste or hazardous constituents into
the ground water or surface water at least as effectively as secondary
containment during the active life of the tank system or that in the
event of a release that does migrate to ground water or surface water,
no substantial present or potential hazard will be posed to human health
or the environment. New underground tank systems may not, per a
demonstration in accordance with paragraph (g)(2) of this section, be
exempted from the secondary containment requirements of this section.
Application for a variance as allowed in paragraph (g) of this section
does not waive compliance with the requirements of this subpart for new
tank systems. (1) In deciding whether to grant a variance based on a
demonstration of equivalent protection of ground water and surface
water, the Regional Administrator will consider:
(i) The nature and quantity of the waste;
(ii) The proposed alternate design and operation;
(iii) The hydrogeologic setting of the facility, including the
thickness of soils between the tank system and ground water; and
(iv) All other factors that would influence the quality and mobility
of the hazardous constituents and the potential for them to migrate to
ground water or surface water.
(2) In deciding whether to grant a variance, based on a demonstration
of no substantial present or potential hazard, the Regional
Administrator will consider:
(i) The potential adverse effects on ground water, surface water, and
land quality taking into account:
(A) The physical and chemical characteristics of the waste in the
tank system, including its potential for migration,
(B) The hydrogeological characteristics of the facility and
surrounding land,
(C) The potential for health risks caused by human exposure to waste
constituents,
(D) The potential for damage to wildlife, crops, vegetation, and
physical structures caused by exposure to waste constituents, and
(E) The persistence and permanence of the potential adverse effects;
(ii) The potential adverse effects of a release on ground-water
quality, taking into account:
(A) The quantity and quality of ground water and the direction of
ground-water flow,
(B) The proximity and withdrawal rates of water in the area,
(C) The current and future uses of ground water in the area, and
(D) The existing quality of ground water, including other sources of
contamination and their cumulative impact on the ground-water quality;
(iii) The potential adverse effects of a release on surface water
quality, taking into account:
(A) The quantity and quality of ground water and the direction of
ground-water flow,
(B) The patterns of rainfall in the region,
(C) The proximity of the tank system to surface waters,
(D) The current and future uses of surface waters in the area and any
water quality standards established for those surface waters, and
(E) The existing quality of surface water, including other sources of
contamination and the cumulative impact on surface-water quality; and
(iv) The potential adverse effects of a release on the land
surrounding the tank system, taking into account:
(A) The patterns of rainfall in the region, and
(B) The current and future uses of the surrounding land.
(3) The owner or operator of a tank system, for which a variance from
secondary containment had been granted in accordance with the
requirements of paragraph (g)(1) of this section, at which a release of
hazardous waste has occurred from the primary tank system but has not
migrated beyond the zone of engineering control (as established in the
variance), must:
(i) Comply with the requirements of 265.196, except paragraph (d);
and
(ii) Decontaminate or remove contaminated soil to the extent
necessary to:
(A) Enable the tank system, for which the variance was granted, to
resume operation with the capability for the detection of and response
to releases at least equivalent to the capability it had prior to the
release, and
(B) Prevent the migration of hazardous waste or hazardous
constituents to ground water or surface water; and
(iii) If contaminated soil cannot be removed or decontaminated in
accordance with paragraph (g)(3)(ii) of this section, comply with the
requirements of 265.197(b);
(4) The owner or operator of a tank system, for which a variance from
secondary containment had been granted in accordance with the
requirements of paragraph (g)(1) of this section, at which a release of
hazardous waste has occurred from the primary tank system and has
migrated beyond the zone of engineering control (as established in the
variance), must:
(i) Comply with the requirements of 265.196(a), (b), (c), and (d);
and
(ii) Prevent the migration of hazardous waste or hazardous
constituents to ground water or surface water, if possible, and
decontaminate or remove contaminated soil. If contaminated soil cannot
be decontaminated or removed, or if ground water has been contaminated,
the owner or operator must comply with the requirements of 265.197(b);
(iii) If repairing, replacing, or reinstalling the tank system,
provide secondary containment in accordance with the requirements of
paragraphs (a) through (f) of this section or reapply for a variance
from secondary containment and meet the requirements for new tank
systems in 265.192 if the tank system is replaced. The owner or
operator must comply with these requirements even if contaminated soil
can be decontaminated or removed, and ground water or surface water has
not been contaminated.
(h) The following procedures must be followed in order to request a
variance from secondary containment:
(1) The Regional Administrator must be notified in writing by the
owner or operator that he intends to conduct and submit a demonstration
for a variance from secondary containment as allowed in paragraph (g) of
this section according to the following schedule:
(i) For existing tank systems, at least 24 months prior to the date
that secondary containment must be provided in accordance with paragraph
(a) of this section; and
(ii) For new tank systems, at least 30 days prior to entering into a
contract for installation of the tank system.
(2) As part of the notification, the owner or operator must also
submit to the Regional Administrator a description of the steps
necessary to conduct the demonstration and a timetable for completing
each of the steps. The demonstration must address each of the factors
listed in paragraph (g)(1) or paragraph (g)(2) of this section.
(3) The demonstration for a variance must be completed and submitted
to the Regional Administrator within 180 days after notifying the
Regional Administrator of intent to conduct the demonstration.
(4) The Regional Administrator will inform the public, through a
newspaper notice, of the availability of the demonstration for a
variance. The notice shall be placed in a daily or weekly major local
newspaper of general circulation and shall provide at least 30 days from
the date of the notice for the public to review and comment on the
demonstration for a variance. The Regional Administrator also will hold
a public hearing, in response to a request or at his own discretion,
whenever such a hearing might clarify one or more issues concerning the
demonstration for a variance. Public notice of the hearing will be
given at least 30 days prior to the date of the hearing and may be given
at the same time as notice of the opportunity for the public to review
and comment on the demonstration. These two notices may be combined.
(5) The Regional Administrator will approve or disapprove the request
for a variance within 90 days of receipt of the demonstration from the
owner or operator and will notify in writing the owner or operator and
each person who submitted written comments or requested notice of the
variance decision. If the demonstration for a variance is incomplete or
does not include sufficient information, the 90-day time period will
begin when the Regional Administrator receives a complete demonstration,
including all information necessary to make a final determination. If
the public comment period in paragraph (h)(4) of this section is
extended, the 90-day time period will be similarly extended.
(i) All tank systems, until such time as secondary containment
meeting the requirements of this section is provided, must comply with
the following:
(1) For non-enterable underground tanks, a leak test that meets the
requirements of 265.191(b)(5) must be conducted at least annually;
(2) For other than non-enterable underground tanks and for all
ancillary equipment, an annual leak test, as described in paragraph
(i)(1) of this section, or an internal inspection or other tank
integrity examination by an independent, qualified, registered
professional engineer that addresses cracks, leaks, corrosion, and
erosion must be conducted at least annually. The owner or operator must
remove the stored waste from the tank, if necessary, to allow the
condition of all internal tank surfaces to be assessed.
Note: The practices described in the American Petroleum Institute
(API) Publication Guide for Inspection of Refining Equipment, Chapter
XIII, ''Atmospheric and Low Pressure Storage Tanks,'' 4th edition, 1981,
may be used, when applicable, as guidelines for assessing the overall
condition of the tank system.
(3) The owner or operator must maintain on file at the facility a
record of the results of the assessments conducted in accordance with
paragraphs (i)(1) through (i)(3) of this section.
(4) If a tank system or component is found to be leaking or
unfit-for-use as a result of the leak test or assessment in paragraphs
(i)(1) through (i)(3) of this section, the owner or operator must comply
with the requirements of 265.196.
(Information collection requirements contained in paragraphs (c)-(e)
and (g)-(i) were approved by the Office of Management and Budget under
control number 2050-0050)
(51 FR 25479, July 14, 1986; 51 FR 29430, Aug. 15. 1986, as amended
at 53 FR 34087, Sept. 2, 1988)
40 CFR 265.194 General operating requirements.
(a) Hazardous wastes or treatment reagents must not be placed in a
tank system if they could cause the tank, its ancillary equipment, or
the secondary containment system to rupture, leak, corrode, or otherwise
fail.
(b) The owner or operator must use appropriate controls and practices
to prevent spills and overflows from tank or secondary containment
systems. These include at a minimum:
(1) Spill prevention controls (e.g , check valves, dry discount
couplings);
(2) Overfill prevention controls (e.g , level sensing devices, high
level alarms, automatic feed cutoff, or bypass to a standby tank); and
(3) Maintenance of sufficient freeboard in uncovered tanks to prevent
overtopping by wave or wind action or by precipitation.
(c) The owner or operator must comply with the requirements of
265.196 if a leak or spill occurs in the tank system.
(Information collection requirements contained in paragraph (c) were
approved by the Office of Management and Budget under control number
2050-0050)
40 CFR 265.195 Inspections.
(a) The owner or operator must inspect, where present, at least once
each operating day:
(1) Overfill/spill control equipment (e.g., waste-feed cutoff
systems, bypass systems, and drainage systems) to ensure that it is in
good working order;
(2) The aboveground portions of the tank system, if any, to detect
corrosion or releases of waste;
(3) Data gathered from monitoring equipment and leak-detection
equipment, (e.g., pressure and temperature gauges, monitoring wells) to
ensure that the tank system is being operated according to its design;
and
(4) The construction materials and the area immediately surrounding
the externally accessible portion of the tank system including secondary
containment structures (e.g., dikes) to detect erosion or signs of
releases of hazardous waste (e.g., wet spots, dead vegetation);
Note: Section 265.15(c) requires the owner or operator to remedy any
deterioration or malfunction he finds. Section 265.196 requires the
owner or operator to notify the Regional Administrator within 24 hours
of confirming a release. Also, 40 CFR part 302 may require the owner or
operator to notify the National Response Center of a release.
(b) The owner or operator must inspect cathodic protection systems,
if present, according to, at a minimum, the following schedule to ensure
that they are functioning properly:
(1) The proper operation of the cathodic protection system must be
confirmed within six months after initial installation, and annually
thereafter; and
(2) All sources of impressed current must be inspected and/or tested,
as appropriate, at least bimonthly (i.e., every other month).
Note: The practices described in the National Association of
Corrosion Engineers (NACE) standard, ''Recommended Practice (RP-02-85)
-- Control of External Corrosion on Metallic Buried, Partially Buried,
or Submerged Liquid Storage Systems,'' and the American Petroleum
Institute (API) Publication 1632, ''Cathodic Protection of Underground
Petroleum Storage Tanks and Piping Systems,'' may be used, where
applicable, as guidelines in maintaining and inspecting cathodic
protection systems.
(c) The owner or operator must document in the operating record of
the facility an inspection of those items in paragraphs (a) and (b) of
this section.
(Information collection requirements contained in paragraphs (a)-(c)
were approved by the Office of Management and Budget under control
number 2050-0050)
40 CFR 265.196 Response to leaks or spills and disposition of leaking
or unfit-for-use tank systems.
A tank system or secondary containment system from which there has
been a leak or spill, or which is unfit for use, must be removed from
service immediately, and the owner or operator must satisfy the
following requirements:
(a) Cessation of use; prevent flow or addition of wastes. The owner
or operator must immediately stop the flow of hazardous waste into the
tank system or secondary containment system and inspect the system to
determine the cause of the release.
(b) Removal of waste from tank system or secondary containment
system. (1) If the release was from the tank system, the owner or
operator must, within 24 hours after detection of the leak or, if the
owner or operator demonstrates that that is not possible, at the
earliest practicable time remove as much of the waste as is necessary to
prevent further release of hazardous waste to the environment and to
allow inspection and repair of the tank system to be performed.
(2) If the release was to a secondary containment system, all
released materials must be removed within 24 hours or in as timely a
manner as is possible to prevent harm to human health and the
environment.
(c) Containment of visible releases to the environment. The owner or
operator must immediately conduct a visual inspection of the release
and, based upon that inspection:
(1) Prevent further migration of the leak or spill to soils or
surface water; and
(2) Remove, and properly dispose of, any visible contamination of the
soil or surface water.
(d) Notifications, reports. (1) Any release to the environment,
except as provided in paragraph (d)(2) of this section, must be reported
to the Regional Administrator within 24 hours of detection. If the
release has been reported pursuant to 40 CFR part 302, that report will
satisfy this requirement.
(2) A leak or spill of hazardous waste that is:
(i) Less than or equal to a quantity of one (1) pound, and
(ii) Immediately contained and cleaned-up is exempted from the
requirements of this paragraph.
(3) Within 30 days of detection of a release to the environment, a
report containing the following information must be submitted to the
Regional Administrator:
(i) Likely route of migration of the release;
(ii) Characteristics of the surrounding soil (soil composition,
geology, hydrogeology, climate);
(iii) Results of any monitoring or sampling conducted in connection
with the release, (if available). If sampling or monitoring data
relating to the release are not available within 30 days, these data
must be submitted to the Regional Administrator as soon as they become
available.;
(iv) Proximity to downgradient drinking water, surface water, and
population areas; and
(v) Description of response actions taken or planned.
(e) Provision of secondary containment, repair, or closure. (1)
Unless the owner or operator satisfies the requirements of paragraphs
(e) (2) through (4) of this section, the tank system must be closed in
accordance with 265.197.
(2) If the cause of the release was a spill that has not damaged the
integrity of the system, the owner/operator may return the system to
service as soon as the released waste is removed and repairs, if
necessary, are made.
(3) If the cause of the release was a leak from the primary tank
system into the secondary containment system, the system must be
repaired prior to returning the tank system to service.
(4) If the source of the release was a leak to the environment from a
component of a tank system without secondary containment, the
owner/operator must provide the component of the system from which the
leak occurred with secondary containment that satisfies the requirements
of 265.193 before it can be returned to service, unless the source of
the leak is an aboveground portion of a tank system. If the source is
an aboveground component that can be inspected visually, the component
must be repaired and may be returned to service without secondary
containment as long as the requirements of paragraph (f) of this section
are satisfied. If a component is replaced to comply with the
requirements of this subparagraph, that component must satisfy the
requirements for new tank systems or components in 265.192 and
265.193. Additionally, if a leak has occurred in any portion of a tank
system component that is not readily accessible for visual inspection
(e.g., the bottom of an inground or onground tank), the entire component
must be provided with secondary containment in accordance with 265.193
prior to being returned to use.
(f) Certification of major repairs. If the owner or operator has
repaired a tank system in accordance with paragraph (e) of this section,
and the repair has been extensive (e.g., installation of an internal
liner; repair of a ruptured primary containment or secondary
containment vessel), the tank system must not be returned to service
unless the owner/operator has obtained a certification by an
independent, qualified, registered professional engineer in accordance
with 270.11(d) that the repaired system is capable of handling
hazardous wastes without release for the intended life of the system.
This certification must be submitted to the Regional Administrator
within seven days after returning the tank system to use.
Note: The Regional Administrator may, on the basis of any
information received that there is or has been a release of hazardous
waste or hazardous constituents into the environment, issue an order
under RCRA section 3004(v), 3008(h), or 7003(a) requiring corrective
action or such other response as deemed necessary to protect human
health or the environment.
Note: See 265.15(c) for the requirements necessary to remedy a
failure. Also, 40 CFR Part 302 requires the owner or operator to notify
the National Response Center of a release of any ''reportable
quantity.''
(Information collection requirements contained in paragraphs (d)-(f)
were approved by the Office of Management and Budget under control
number 2050-0050)
(51 FR 25479, July 14, 1986, as amended at 53 FR 34087, Sept. 2,
1988)
40 CFR 265.197 Closure and post-closure care.
(a) At closure of a tank system, the owner or operator must remove or
decontaminate all waste residues, contaminated containment system
components (liners, etc.), contaminated soils, and structures and
equipment contaminated with waste, and manage them as hazardous waste,
unless 261.3(d) of this Chapter applies. The closure plan, closure
activities, cost estimates for closure, and financial responsibility for
tank systems must meet all of the requirements specified in subparts G
and H of this part.
(b) If the owner or operator demonstrates that not all contaminated
soils can be practicably removed or decontaminated as required in
paragraph (a) of this section, then the owner or operator must close the
tank system and perform post-closure care in accordance with the closure
and post-closure care requirements that apply to landfills ( 265.310) In
addition, for the purposes of closure, post-closure, and financial
responsibility, such a tank system is then considered to be a landfill,
and the owner or operator must meet all of the requirements for
landfills specified in subparts G and H of this part.
(c) If an owner or operator has a tank system which does not have
secondary containment that meets the requirements of 265.193(b) through
(f) and which is not exempt from the secondary containment requirements
in accordance with 265.193(g), then,
(1) The closure plan for the tank system must include both a plan for
complying with paragraph (a) of this section and a contingent plan for
complying with paragraph (b) of this section.
(2) A contingent post-closure plan for complying with paragraph (b)
of this section must be prepared and submitted as part of the permit
application.
(3) The cost estimates calculated for closure and post-closure care
must reflect the costs of complying with the contingent closure plan and
the contingent post-closure plan, if these costs are greater than the
costs of complying with the closure plan prepared for the expected
closure under paragraph (a) of this section.
(4) Financial assurance must be based on the cost estimates in
paragraph (c)(3) of this section.
(5) For the purposes of the contingent closure and post-closure
plans, such a tank system is considered to be a landfill, and the
contingent plans must meet all of the closure, post-closure, and
financial responsibility requirements for landfills under subparts G and
H of this part.
(Information collection requirements contained in paragraphs (a)-(c)
were approved by the Office of Management and Budget under control
number 2050-0050)
40 CFR 265.198 Special requirements for ignitable or reactive wastes.
(a) Ignitable or reactive waste must not be placed in a tank system,
unless:
(1) The waste is treated, rendered, or mixed before or immediately
after placement in the tank system so that:
(i) The resulting waste, mixture, or dissolved material no longer
meets the definition of ignitable or reactive waste under 261.21 or
261.23 of this chapter; and
(ii) Section 265.17(b) is complied with; or
(2) The waste is stored or treated in such a way that it is protected
from any material or conditions that may cause the waste to ignite or
react; or
(3) The tank system is used solely for emergencies.
(b) The owner or operator of a facility where ignitable or reactive
waste is stored or treated in tanks must comply with the requirements
for the maintenance of protective distances between the waste management
area and any public ways, streets, alleys, or an adjoining property line
that can be built upon as required in Tables 2-1 through 2-6 of the
National Fire Protection Association's ''Flammable and Combustible
Liquids Code,'' (1977 or 1981), (incorporated by reference, see
260.11).
40 CFR 265.199 Special requirements for incompatible wastes.
(a) Incompatible wastes, or incompatible waste and materials, must
not be placed in the same tank system, unless 265.17(b) is complied
with.
(b) Hazardous waste must not be placed in a tank system that has not
been decontaminated and that previously held an incompatible waste or
material, unless 265.17(b) is complied with.
40 CFR 265.200 Waste analysis and trial tests.
In addition to performing the waste analysis required by 265.13, the
owner or operator must, whenever a tank system is to be used to treat
chemically or to store a hazardous waste that is substantially different
from waste previously treated or stored in that tank system; or treat
chemically a hazardous waste with a substantially different process than
any previously used in that tank system:
(a) Conduct waste analyses and trial treatment or storage tests
(e.g., bench-scale or pilot-plant scale tests); or
(b) Obtain written, documented information on similar waste under
similar operating conditions to show that the proposed treatment or
storage will meet the requirements of 265.194(a).
Note: Section 265.13 requires the waste analysis plan to include
analyses needed to comply with 265.198 and 265.199. Section 265.73
requires the owner or operator to place the results from each waste
analysis and trial test, or the documented information, in the operating
record of the facility.
40 CFR 265.201 Special requirements for generators of between 100 and
1,000 kg/mo that accumulate hazardous waste in tanks.
(a) The requirements of this section apply to small quantity
generators of more than 100 kg but less than 1,000 kg of hazardous waste
in a calendar month, that accumulate hazardous waste in tanks for less
than 180 days (or 270 days if the generator must ship the waste greater
than 200 miles), and do not accumulate over 6,000 kg on-site at any
time.
(b) Generators of between 100 and 1,000 kg/mo hazardous waste must
comply with the following general operating requirements:
(1) Treatment or storage of hazardous waste in tanks must comply with
265.17(b).
(2) Hazardous wastes or treatment reagents must not be placed in a
tank if they could cause the tank or its inner liner to rupture, leak,
corrode, or otherwise fail before the end of its intended life.
(3) Uncovered tanks must be operated to ensure at least 60
centimeters (2 feet) of freeboard, unless the tank is equipped with a
containment structure (e.g., dike or trench), a drainage control system,
or a diversion structure (e.g., standby tank) with a capacity that
equals or exceeds the volume of the top 60 centimeters (2 feet) of the
tank.
(4) Where hazardous waste is continuously fed into a tank, the tank
must be equipped with a means to stop this inflow (e.g., waste feed
cutoff system or by-pass system to a stand-by tank).
Note: These systems are intended to be used in the event of a leak
or overflow from the tank due to a system failure (e.g., a malfunction
in the treatment process, a crack in the tank, etc.).
(c) Generators of between 100 and 1,000 kg/mo accumulating hazardous
waste in tanks must inspect, where present:
(1) Discharge control equipment (e.g., waste feed cutoff systems,
by-pass systems, and drainage systems) at least once each operating day,
to ensure that it is in good working order;
(2) Data gathered from monitoring equipment (e.g., pressure and
temperature gauges) at least once each operating day to ensure that the
tank is being operated according to its design;
(3) The level of waste in the tank at least once each operating day
to ensure compliance with 265.201(b)(3);
(4) The construction materials of the tank at least weekly to detect
corrosion or leaking of fixtures or seams; and
(5) The construction materials of, and the area immediately
surrounding, discharge confinement structures (e.g., dikes) at least
weekly to detect erosion or obvious signs of leakage (e.g., wet spots or
dead vegetation).
Note: As required by 265.15(c), the owner or operator must remedy
any deterioration or malfunction he finds.
(d) Generators of between 100 and 1,000 kg/mo accumulating hazardous
waste in tanks must, upon closure of the facility, remove all hazardous
waste from tanks, discharge control equipment, and discharge confinement
structures.
Note: At closure, as throughout the operating period, unless the
owner or operator can demonstrate, in accordance with 261.3(c) or (d)
of this chapter, that any solid waste removed from his tank is not a
hazardous waste, the owner or operator becomes a generator of hazardous
waste and must manage it in accordance with all applicable requirements
of parts 262, 263, and 265 of this chapter.
(e) Generators of between 100 and 1,000 kg/mo must comply with the
following special requirements for ignitable or reactive waste:
(1) Ignitable or reactive waste must not be placed in a tank, unless:
(i) The waste is treated, rendered, or mixed before or immediately
after placement in a tank so that (A) the resulting waste, mixture, or
dissolution of material no longer meets the definition of ignitable or
reactive waste under 261.21 or 261.23 of this chapter, and (B)
265.17(b) is complied with; or
(ii) The waste is stored or treated in such a way that it is
protected from any material or conditions that may cause the waste to
ignite or react; or
(iii) The tank is used solely for emergencies.
(2) The owner or operator of a facility which treats or stores
ignitable or reactive waste in covered tanks must comply with the buffer
zone requirements for tanks contained in Tables 2-1 through 2-6 of the
National Fire Protection Association's ''Flammable and Combustible
Liquids Code,'' (1977 or 1981) (incorporated by reference, see 260.11).
(f) Generators of between 100 and 1,000 kg/mo must comply with the
following special requirements for incompatible wastes:
(1) Incompatible wastes, or incompatible wastes and materials, (see
appendix V for examples) must not be placed in the same tank, unless
265.17(b) is complied with.
(2) Hazardous waste must not be placed in an unwashed tank which
previously held an incompatible waste or material, unless 265.17(b) is
complied with.
(51 FR 25479, July 14, 1986, as amended at 53 FR 34087, Sept. 2,
1988)
40 CFR 265.201 Subpart K -- Surface Impoundments
40 CFR 265.220 Applicability.
The regulations in this subpart apply to owners and operators of
facilities that use surface impoundments to treat, store, or dispose of
hazardous waste, except as 265.1 provides otherwise.
40 CFR 265.221 Design and operating requirements.
(a) The owner or operator of each new surface impoundment unit on
which construction commences after January 29, 1992, each lateral
expansion of a surface impoundment unit on which construction commences
after July 29, 1992, and each replacement of an existing surface
impoundment unit that is to commence reuse after July 29, 1992 must
install two or more liners and a leachate collection and removal system
between such liners, and operate the leachate collection and removal
system, in accordance with 264.221(c), unless exempted under
264.221(d), (e), or (f), of this chapter. ''Construction commences'' is
as defined in 260.10 of this chapter under ''existing facility.''
(b) The owner or operator of each unit referred to in paragraph (a)
of this section must notify the Regional Administrator at least sixty
days prior to receiving waste. The owner or operator of each facility
submitting notice must file a part B application within six months of
the receipt of such notice.
(c) The owner or operator of any replacement surface impoundment unit
is exempt from paragraph (a) of this section if:
(1) The existing unit was constructed in compliance with the design
standards of 3004(o)(1)(A)(i) and (o)(5) of the Resource Conservation
and Recovery Act; and
(2) There is no reason to believe that the liner is not functioning
as designed.
(d) The double liner requirement set forth in paragraph (a) of this
section may be waived by the Regional Administrator for any monofill,
if:
(1) The monofill contains only hazardous wastes from foundry furnace
emission controls or metal casting molding sand, and such wastes do not
contain constituents which would render the wastes hazardous for reasons
other than the Toxicity Characteristic in 261.24 of this chapter, with
EPA Hazardous Waste Numbers D004 through D017; and
(2)(i)(A) The monofill has at least one liner for which there is no
evidence that such liner in leaking. For the purposes of this paragraph
the term ''liner'' means a liner designed, constructed, installed, and
operated to prevent hazardous waste from passing into the liner at any
time during the active life of the facility, or a liner designed,
constructed, installed, and operated to prevent hazardous waste from
migrating beyond the liner to adjacent subsurface soil, ground water, or
surface water at any time during the active life of the facility. In
the case of any surface impoundment which has been exempted from the
requirements of paragraph (a) of this section on the basis of a liner
designed, constructed, installed, and operated to prevent hazardous
waste from passing beyond the liner, at the closure of such impoundment
the owner or operator must remove or decontaminate all waste residues,
all contaminated liner material, and contaminated soil to the extent
practicable. If all contaminated soil it is not removed or
decontaminated, the owner of operator of such impoundment must comply
with appropriate post-closure requirements, including but not limited to
ground-water monitoring and corrective action;
(B) The monofill is located more than one-quarter mile from an
underground source of drinking water (as that term is defined in 144.3
of this chapter); and
(C) The monofill is in compliance with generally applicable
ground-water monitoring requirements for facilities with permits under
RCRA section 3005(c); or
(ii) The owner or operator demonstrates that the monofill is located,
designed and operated so as to assure that there will be no migration of
any hazardous constituent into ground water or surface water at any
future time.
(e) In the case of any unit in which the liner and leachate
collection system has been installed pursuant to the requirements of
paragraph (a) of this section and in good faith compliance with
paragraph (a) of this section and with guidance documents governing
liners and leachate collection systems under paragraph (a) of this
section, no liner or leachate collection system which is different from
that which was so installed pursuant to paragraph (a) of this section
will be required for such unit by the Regional Administrator when
issuing the first permit to such facility, except that the Regional
Administrator will not be precluded from requiring installation of a new
liner when the Regional Administrator has reason to believe that any
liner installed pursuant to the requirements of paragraph (a) of this
section is leaking.
(f) A surface impoundment must maintain enough freeboard to prevent
any overtopping of the dike by overfilling, wave action, or a storm.
Except as provided in paragraph (b) of this section, there must be at
least 60 centimeters (two feet) of freeboard.
(g) A freeboard level less than 60 centimeters (two feet) may be
maintained if the owner or operator obtains certification by a qualified
engineer that alternate design features or operating plans will, to the
best of his knowledge and opinion, prevent overtopping of the dike. The
certification, along with a written identification of alternate design
features or operating plans preventing overtopping, must be maintained
at the facility.
(50 FR 16048, Apr. 23, 1985. Redesignated at 57 FR 3492, Jan. 29,
1992. 50 FR 28749, July 15, 1985, as amended at 55 FR 11876, Mar. 29,
1990; 57 FR 3492, Jan. 29, 1992)
Effective Date Note: At 57 FR 3492, Jan. 29, 1992, 265.221 was
amended by revising the section heading and paragraphs (a) and (c), and
by redesignating paragraphs (a) and (b) of 265.222 as (f) and (g) of
265.221, effective July 29, 1992. For the convenience of the reader,
the superseded text is set forth below.
265.221 Design requirements.
(a) The owner or operator of a surface impoundment must install two
or more liners and leachate collection system in accordance with
264.221(c) of this chapter, with respect to each new unit, replacement
of an existing unit, or lateral expansion of an existing unit that is
within the area identified in the Part A permit application, and with
respect to waste received beginning May 8, 1985.
(c) Paragraph (a) of this section will not apply if the owner or
operator demonstrates to the Regional Administrator, and the Regional
Administrator finds for such surface impoundment, that alternative
design and operating practices, together with location characteristics,
will prevent the migration of any hazardous constituent into the ground
water or surface water at least as effectively as such liners and
leachate collection systems.
40 CFR 265.222 Action leakage rate.
(a) The owner or operator of surface impoundment units subject to
265.221(a) must submit a proposed action leakage rate to the Regional
Administrator when submitting the notice required under 265.221(b).
Within 60 days of receipt of the notification, the Regional
Administrator will: Establish an action leakage rate, either as
proposed by the owner or operator or modified using the criteria in this
section; or extend the review period for up to 30 days. If no action
is taken by the Regional Administrator before the original 60 or
extended 90 day review periods, the action leakage rate will be approved
as proposed by the owner or operator.
(b) The Regional Administrator shall approve an action leakage rate
for surface impoundment units subject to 265.221(a). The action leakage
rate is the maximum design flow rate that the leak detection system
(LDS) can remove without the fluid head on the bottom liner exceeding 1
foot. The action leakage rate must include an adequate safety margin to
allow for uncertainties in the design (e.g., slope, hydraulic
conductivity, thickness of drainage material), construction, operation,
and location of the LDS, waste and leachate characteristics, likelihood
and amounts of other sources of liquids in the LDS, and proposed
response actions (e.g., the action leakage rate must consider decreases
in the flow capacity of the system over time resulting from siltation
and clogging, rib layover and creep of synthetic components of the
system, overburden pressures, etc.).
(c) To determine if the action leakage rate has been exceeded, the
owner or operator must convert the weekly or monthly flow rate from the
monitoring data obtained under 265.226(b), to an average daily flow
rate (gallons per acre per day) for each sump. Unless the Regional
Administrator approves a different calculation, the average daily flow
rate for each sump must be calculated weekly during the active life and
closure period, and if the unit closes in accordance with
265.228(a)(2), monthly during the post-closure care period when monthly
monitoring is required under 265.226(b).
(57 FR 3492, Jan. 29, 1992)
Effective Date Note: At 57 FR 3492, Jan. 29, 1992, 265.222 was
amended by redesignating paragraphs (a) and (b) as (f) and (g) of
265.221, by revising the section heading and by adding new paragraphs
(a) through (c), effective July 29, 1992.
40 CFR 265.223 Containment system.
All earthen dikes must have a protective cover, such as grass, shale,
or rock, to minimize wind and water erosion and to preserve their
structural integrity.
40 CFR 265.223 Response actions.
(a) The owner or operator of surface impoundment units subject to
265.221(a) must submit a response action plan to the Regional
Administrator when submitting the proposed action leakage rate under
265.222. The response action plan must set forth the actions to be taken
if the action leakage rate has been exceeded. At a minimum, the
response action plan must describe the actions specified in paragraph
(b) of this section.
(b) If the flow rate into the leak detection system exceeds the
action leakage rate for any sump, the owner or operator must:
(1) Notify the Regional Administrator in writing of the exceedence
within 7 days of the determination;
(2) Submit a preliminary written assessment to the Regional
Administrator within 14 days of the determination, as to the amount of
liquids, likely sources of liquids, possible location, size, and cause
of any leaks, and short-term actions taken and planned;
(3) Determine to the extent practicable the location, size, and cause
of any leak;
(4) Determine whether waste receipt should cease or be curtailed,
whether any waste should be removed from the unit for inspection,
repairs, or controls, and whether or not the unit should be closed;
(5) Determine any other short-term and longer-term actions to be
taken to mitigate or stop any leaks; and
(6) Within 30 days after the notification that the action leakage
rate has been exceeded, submit to the Regional Administrator the results
of the analyses specified in paragraphs (b)(3), (4), and (5) of this
section, the results of actions taken, and actions planned. Monthly
thereafter, as long as the flow rate in the leak detection system
exceeds the action leakage rate, the owner or operator must submit to
the Regional Administrator a report summarizing the results of any
remedial actions taken and actions planned.
(c) To make the leak and/or remediation determinations in paragraphs
(b)(3), (4), and (5) of this section, the owner or operator must:
(1)(i) Assess the source of liquids and amounts of liquids by source,
(ii) Conduct a fingerprint, hazardous constituent, or other analyses
of the liquids in the leak detection system to identify the source of
liquids and possible location of any leaks, and the hazard and mobility
of the liquid; and
(iii) Assess the seriousness of any leaks in terms of potential for
escaping into the environment; or
(2) Document why such assessments are not needed.
(57 FR 3492, Jan. 29, 1992)
Editorial Note: At 57 FR 3492, Jan. 29, 1992 the Environmental
Protection Agency added 265.223, effective July 29, 1992. Since a
265.223 already exists, both sections appear above. An agency
correction will be published in the Federal Register at a later date.
265.224 (Reserved)
40 CFR 265.225 Waste analysis and trial tests.
(a) In addition to the waste analyses required by 265.13, whenever a
surface impoundment is to be used to:
(1) Chemically treat a hazardous waste which is substantially
different from waste previously treated in that impoundment; or
(2) Chemically treat hazardous waste with a substantially different
process than any previously used in that impoundment; the owner or
operator must, before treating the different waste or using the
different process:
(i) Conduct waste analyses and trial treatment tests (e.g., bench
scale or pilot plant scale tests); or
(ii) Obtain written, documented information on similar treatment of
similar waste under similar operating conditions; to show that this
treatment will comply with 265.17(b).
(Comment: As required by 265.13, the waste analysis plan must
include analyses needed to comply with 265.229 and 265.230. As
required by 265.73, the owner or operator must place the results from
each waste analysis and trial test, or the documented information, in
the operating record of the facility.)
40 CFR 265.226 Monitoring and inspection.
(a) The owner or operator must inspect:
(1) The freeboard level at least once each operating day to ensure
compliance with 265.222, and
(2) The surface impoundment, including dikes and vegetation
surrounding the dike, at least once a week to detect any leaks,
deterioration, or failures in the impoundment.
(b)(1) An owner or operator required to have a leak detection system
under 265.221(a) must record the amount of liquids removed from each
leak detection system sump at least once each week during the active
life and closure period.
(2) After the final cover is installed, the amount of liquids removed
from each leak detection system sump must be recorded at least monthly.
If the liquid level in the sump stays below the pump operating level for
two consecutive months, the amount of liquids in the sumps must be
recorded at least quarterly. If the liquid level in the sump stays
below the pump operating level for two consecutive quarters, the amount
of liquids in the sumps must be recorded at least semi-annually. If at
any time during the post-closure care period the pump operating level is
exceeded at units on quarterly or semi-annual recording schedules, the
owner or operator must return to monthly recording of amounts of liquids
removed from each sump until the liquid level again stays below the pump
operating level for two consecutive months.
(3) ''Pump operating level'' is a liquid level proposed by the owner
or operator and approved by the Regional Administrator based on pump
activation level, sump dimensions, and level that avoids backup into the
drainage layer and minimizes head in the sump. The timing for
submission and approval of the proposed ''pump operating level'' will be
in accordance with 265.222(a).
(Comment: As required by 265.15(c), the owner or operator must
remedy any deterioration or malfunction he finds.)
(45 FR 33232, May 19, 1980, as amended at 57 FR 3493, Jan. 29, 1992)
Effective Date Note: At 57 FR 3493, Jan. 29, 1992, 265.226 was
amended by revising the section heading and adding new paragraph (b),
effective July 29, 1992.
265.227 (Reserved)
40 CFR 265.228 Closure and post-closure care.
(a) At closure, the owner or operator must:
(1) Remove or decontaminate all waste residues, contaminated
containment system components (liners, etc.), contaminated subsoils, and
structures and equipment contaminated with waste and leachate, and
manage them as hazardous waste unless 261.3(d) of this chapter applies;
or
(2) Close the impoundment and provide post-closure care for a
landfill under subpart G and 265.310, including the following:
(i) Eliminate free liquids by removing liquid wastes or solidifying
the remaining wastes and waste residues;
(ii) Stabilize remaining wastes to a bearing capacity sufficient to
support the final cover; and
(iii) Cover the surface impoundment with a final cover designed and
constructed to:
(A) Provide long-term minimization of the migration of liquids
through the closed impoundment;
(B) Function with minimum maintenance;
(C) Promote drainage and minimize erosion or abrasion of the cover;
(D) Accomodate settling and subsidence so that the cover's integrity
is maintained; and
(E) Have a permeability less than or equal to the permeability of any
bottom liner system or natural subsoils present.
(b) In addition to the requirements of subpart G, and 265.310,
during the post-closure care period, the owner or operator of a surface
impoundment in which wastes, waste residues, or contaminated materials
remain after closure in accordance with the provisions of paragraph
(a)(2) of this section must:
(1) Maintain the integrity and effectiveness of the final cover,
including making repairs to the cover as necessary to correct the
effects of settling, subsidence, erosion, or other events;
(2) Maintain and monitor the leak detection system in accordance with
265.221(c)(2)(iv) and (3) of this chapter and 265.226(b) and comply
with all other applicable leak detection system requirements of this
part;
(3) Maintain and monitor the ground-water monitoring system and
comply with all other applicable requirements of subpart F of this part;
and
(4) Prevent run-on and run-off from eroding or otherwise damaging the
final cover.
(52 FR 8708, Mar. 19, 1987, as amended at 57 FR 3493, Jan. 29, 1992)
Effective Date Note: At 57 FR 3493, Jan. 29, 1992, 265.228 was
amended by redesignating paragraphs (b)(2) and (3) as paragraphs (b)(3)
and (4), and by adding a new paragraph (b)(2), effective July 29, 1992.
40 CFR 265.229 Special requirements for ignitable or reactive waste.
Ignitable or reactive waste must not be placed in a surface
impoundment, unless the waste and impoundment satisfy all applicable
requirements of 40 CFR part 268, and:
(a) The waste is treated, rendered, or mixed before or immediately
after placement in the impoundment so that:
(1) The resulting waste, mixture, or dissolution of material no
longer meets the definition of ignitable or reactive waste under 261.21
or 261.23 of this chapter; and
(2) Section 265.17(b) is complied with; or
(b)(1) The waste is managed in such a way that it is protected from
any material or conditions which may cause it to ignite or react; and
(2) Maintain and monitor the leak detection system in accordance with
265.221(c)(2)(iv) and (3) of this chapter and 265.226(b) and comply
with all other applicable leak detection system requirements of this
part;
(3) The owner or operator obtains a certification from a qualified
chemist or engineer that, to the best of his knowledge and opinion, the
design features or operating plans of the facility will prevent ignition
or reaction; and
(4) The certification and the basis for it are maintained at the
facility; or
(c) The surface impoundment is used solely for emergencies.
(Approved by the Office of Management and Budget under control number
2050-0007)
(50 FR 16048, Apr. 23, 1985, as amended at 55 FR 22685, June 1, 1990;
57 FR 3493, Jan. 29, 1992)
Effective Date Note: At 57 FR 3493, Jan. 29, 1992, 265.228 was
amended by redesignating paragraphs (b)(2) and (3) as paragraphs (b)(3)
and (4), and by adding a new paragraph (b)(2), effective July 29, 1992.
40 CFR 265.230 Special requirements for incompatible wastes.
Incompatible wastes, or incompatible wastes and materials, (see
appendix V for examples) must not be placed in the same surface
impoundment, unless 265.17(b) is complied with.
40 CFR 265.230 Subpart L -- Waste Piles
40 CFR 265.250 Applicability.
The regulations in this subpart apply to owners and operators of
facilities that treat or store hazardous waste in piles, except as
265.1 provides otherwise. Alternatively, a pile of hazardous waste may
be managed as a landfill under subpart N.
40 CFR 265.251 Protection from wind.
The owner or operator of a pile containing hazardous waste which
could be subject to dispersal by wind must cover or otherwise manage the
pile so that wind dispersal is controlled.
40 CFR 265.252 Waste analysis.
In addition to the waste analyses required by 265.13, the owner or
operator must analyze a representative sample of waste from each
incoming movement before adding the waste to any existing pile, unless
(1) The only wastes the facility receives which are amenable to piling
are compatible with each other, or (2) the waste received is compatible
with the waste in the pile to which it is to be added. The analysis
conducted must be capable of differentiating between the types of
hazardous waste the owner or operator places in piles, so that mixing of
incompatible waste does not inadvertently occur. The analysis must
include a visual comparison of color and texture.
(Comment: As required by 265.13, the waste analysis plan must
include analyses needed to comply with 265.256 and 265.257. As
required by 265.73, the owner or operator must place the results of
this analysis in the operating record of the facility.)
40 CFR 265.253 Containment.
If leachate or run-off from a pile is a hazardous waste, then either:
(a)(1) The pile must be placed on an impermeable base that is
compatible with the waste under the conditions of treatment or storage;
(2) The owner or operator must design, construct, operate, and
maintain a run-on control system capable of preventing flow onto the
active portion of the pile during peak discharge from at least a 25-year
storm;
(3) The owner or operator must design, construct, operate, and
maintain a run-off management system to collect and control at least the
water volume resulting from a 24-hour, 25-year storm; and
(4) Collection and holding facilities (e.g., tanks or basins)
associated with run-on and run-off control systems must be emptied or
otherwise managed expeditiously to maintain design capacity of the
system; or
(b)(1) The pile must be protected from precipitation and run-on by
some other means; and
(2) No liquids or wastes containing free liquids may be placed in the
pile.
(Comment: If collected leachate or run-off is discharged through a
point source to waters of the United States, it is subject to the
requirements of section 402 of the Clean Water Act, as amended.)
(45 FR 33232, May 19, 1980, as amended at 47 FR 32367, July 26, 1982)
40 CFR 265.254 Design and operating requirements.
The owner or operator of each new waste pile on which construction
commences after January 29, 1992, each lateral expansion of a waste pile
unit on which construction commences after July 29, 1992, and each such
replacement of an existing waste pile unit that is to commence reuse
after July 29, 1992 must install two or more liners and a leachate
collection and removal system above and between such liners, and operate
the leachate collection and removal systems, in accordance with
264.251(c), unless exempted under 264.251(d), (e), or (f), of this
chapter; and must comply with the procedures of 265.221(b).
''Construction commences'' is as defined in 260.10 of this chapter
under ''existing facility''.
(57 FR 3493, Jan. 29, 1992)
Effective Date Note: At 57 FR 3493, Jan. 29, 1992, 265.254 was
revised, effective July 29, 1992. For the convenience of the reader,
the superseded text is set forth below.
265.254 Design requirements.
The owner or operator of a waste pile is subject to the requirements
for liners and leachate collection systems or equivalent protection
provided in 264.251 of this chapter, with respect to each new unit,
replacement of an existing unit, or lateral expansion of an existing
unit that is within the area indentified in the Part A permit
application, and with respect to waste received beginning May 8, 1985.
(50 FR 28750, July 15, 1985)
40 CFR 265.255 Action leakage rates
(a) The owner or operator of waste pile units subject to 265.254
must submit a proposed action leakage rate to the Regional Administrator
when submitting the notice required under 265.254. Within 60 days of
receipt of the notification, the Regional Administrator will: Establish
an action leakage rate, either as proposed by the owner or operator or
modified using the criteria in this section; or extend the review
period for up to 30 days. If no action is taken by the Regional
Administrator before the original 60 or extended 90 day review periods,
the action leakage rate will be approved as proposed by the owner or
operator.
(b) The Regional Administrator shall approve an action leakage rate
for surface impoundment units subject to 265.254. The action leakage
rate is the maximum design flow rate that the leak detection system
(LDS) can remove without the fluid head on the bottom liner exceeding 1
foot. The action leakage rate must include an adequate safety margin to
allow for uncertainties in the design (e.g., slope, hydraulic
conductivity, thickness of drainage material), construction, operation,
and location of the LDS, waste and leachate characteristics, likelihood
and amounts of other sources of liquids in the LDS, and proposed
response actions (e.g., the action leakage rate must consider decreases
in the flow capacity of the system over time resulting from siltation
and clogging, rib layover and creep of synthetic components of the
system, overburden pressures, etc.).
(c) To determine if the action leakage rate has been exceeded, the
owner or operator must convert the weekly flow rate from the monitoring
data obtained under 265.260, to an average daily flow rate (gallons per
acre per day) for each sump. Unless the Regional Administrator approves
a different calculation, the average daily flow rate for each sump must
be calculated weekly during the active life and closure period.
(57 FR 3493, Jan. 29, 1992)
Effective Date Note: At 57 FR 3493, Jan. 29, 1992, 265.255 was
added effective July 29, 1992.
40 CFR 265.256 Special requirements for ignitable or reactive waste.
(a) Ignitable or reactive waste must not be placed in a pile unless
the waste and pile satisfy all applicable requirements of 40 CFR part
268, and:
(1) Addition of the waste to an existing pile (i) results in the
waste or mixture no longer meeting the definition of ignitable or
reactive waste under 261.21 or 261.23 of this chapter, and (ii)
complies with 265.17(b); or
(2) The waste is managed in such a way that it is protected from any
material or conditions which may cause it to ignite or react.
(45 FR 33232, May 19, 1980, as amended at 55 FR 22685, June 1, 1990)
40 CFR 265.257 Special requirements for incompatible wastes.
(a) Incompatible wastes, or incompatible wastes and materials, (see
appendix V for examples) must not be placed in the same pile, unless
265.17(b) is complied with.
(b) A pile of hazardous waste that is incompatible with any waste or
other material stored nearby in other containers, piles, open tanks, or
surface impoundments must be separated from the other materials, or
protected from them by means of a dike, berm, wall, or other device.
(Comment: The purpose of this is to prevent fires, explosions,
gaseous emissions, leaching, or other discharge of hazardous waste or
hazardous waste constituents which could result from the contact or
mixing of incompatible wastes or materials.)
(c) Hazardous waste must not be piled on the same area where
incompatible wastes or materials were previously piled, unless that area
has been decontaminated sufficiently to ensure compliance with
265.17(b).
40 CFR 265.258 Closure and post-closure care.
(a) At closure, the owner or operator must remove or decontaminate
all waste residues, contaminated containment system components (liners,
etc.), contaminated subsoils, and structures and equipment contaminated
with waste and leachate, and manage them as hazardous waste unless
261.3(d) of this chapter applies; or
(b) If, after removing or decontaminating all residues and making all
reasonable efforts to effect removal or decontamination of contaminated
components, subsoils, structures, and equipment as required in paragraph
(a) of this section, the owner or operator finds that not all
contaminated subsoils can be practicably removed or decontaminated, he
must close the facility and perform post-closure care in accordance with
the closure and post-closure requirements that apply to landfills (
265.310).
(47 FR 32368, July 26, 1982)
40 CFR 265.259 Response actions.
(a) The owner or operator of waste pile units subject to 265.254
must submit a response action plan to the Regional Administrator when
submitting the proposed action leakage rate under 265.255. The response
action plan must set forth the actions to be taken if the action leakage
rate has been exceeded. At a minimum, the response action plan must
describe the actions specified in paragraph (b) of this section.
(b) If the flow rate into the leak determination system exceeds the
action leakage rate for any sump, the owner or operator must:
(1) Notify the Regional Administrator in writing of the exceedence
within 7 days of the determination;
(2) Submit a preliminary written assessment to the Regional
Administrator within 14 days of the determination, as to the amount of
liquids, likely sources of liquids, possible location, size, and cause
of any leaks, and short-term actions taken and planned;
(3) Determine to the extent practicable the location, size, and cause
of any leak;
(4) Determine whether waste receipts should cease or be curtailed,
whether any waste should be removed from the unit for inspection,
repairs, or controls, and whether or not the unit should be closed;
(5) Determine any other short-term and longer-term actions to be
taken to mitigate or stop any leaks; and
(6) Within 30 days after the notification that the action leakage
rate has been exceeded, submit to the Regional Administrator the results
of the analyses specified in paragraphs (b)(3), (4), and (5) of this
section, the results of actions taken, and actions planned. Monthly
thereafter, as long as the flow rate in the leak detection system
exceeds the action leakage rate, the owner or operator must submit to
the Regional Administrator a report summarizing the results of any
remedial actions taken and actions planned.
(c) To make the leak and/or remediation determinations in paragraphs
(b)(3), (4), and (5) of this section, the owner or operator must:
(1)(i) Assess the source of liquids and amounts of liquids by source,
(ii) Conduct a fingerprint, hazardous constituent, or other analyses
of the liquids in the leak detection system to identify the source of
liquids and possible location of any leaks, and the hazard and mobility
of the liquid; and
(iii) Assess the seriousness of any leaks in terms of potential for
escaping into the environment; or
(2) Document why such assessments are not needed.
(57 FR 3494, Jan. 29, 1992)
Effective Date Note: At 57 FR 3494, Jan. 29, 1992, 265.259 was
added effective July 29, 1992.
40 CFR 265.260 Monitoring and inspection.
An owner or operator required to have a leak detection system under
265.254 must record the amount of liquids removed from each leak
detection system sump at least once each week during the active life and
closure period.
(57 FR 3494, Jan. 29, 1992)
Effective Date Note: At 57 FR 3494, Jan. 29, 1992, 265.260 was
added effective July 29, 1992.
40 CFR 265.260 Subpart M -- Land Treatment
40 CFR 265.270 Applicability.
The regulations in this subpart apply to owners and operators of
hazardous waste land treatment facilities, except as 265.1 provides
otherwise.
265.271 (Reserved)
40 CFR 265.272 General operating requirements.
(a) Hazardous waste must not be placed in or on a land treatment
facility unless the waste can be made less hazardous or nonhazardous by
degradation, transformation, or immobilization processes occurring in or
on the soil.
(b) The owner or operator must design, construct, operate, and
maintain a run-on control system capable of preventing flow onto the
active portions of the facility during peak discharge from at least a
25-year storm.
(c) The owner or operator must design, construct, operate, and
maintain a run-off management system capable of collecting and
controlling a water volume at least equivalent to a 24-hour, 25-year
storm.
(d) Collection and holding facilities (e.g., tanks or basins)
associated with run-on and run-off control systems must be emptied or
otherwise managed expeditiously after storms to maintain design capacity
of the system.
(e) If the treatment zone contains particulate matter which may be
subject to wind dispersal, the owner or operator must manage the unit to
control wind dispersal.
(45 FR 33232, May 19, 1980, as amended at 47 FR 32368, July 26, 1982;
50 FR 16048, Apr. 23, 1985)
40 CFR 265.273 Waste analysis.
In addition to the waste analyses required by 265.13, before placing
a hazardous waste in or on a land treatment facility, the owner or
operator must:
(a) Determine the concentrations in the waste of any substances which
equal or exceed the maximum concentrations contained in Table 1 of
261.24 of this chapter that cause a waste to exhibit the Toxicity
Characteristic;
(b) For any waste listed in part 261, subpart D, of this chapter,
determine the concentrations of any substances which caused the waste to
be listed as a hazardous waste; and
(c) If food chain crops are grown, determine the concentrations in
the waste of each of the following constituents: arsenic, cadmium,
lead, and mercury, unless the owner or operator has written, documented
data that show that the constituent is not present.
(Comment: Part 261 of this chapter specifies the substances for
which a waste is listed as a hazardous waste. As required by 265.13,
the waste analysis plan must include analyses needed to comply with
265.281 and 265.282. As required by 265.73, the owner or operator must
place the results from each waste analysis, or the documented
information, in the operating record of the facility.)
(45 FR 33232, May 19, 1980, as amended at 55 FR 11876, Mar. 29, 1990)
265.274 -- 265.275 (Reserved)
40 CFR 265.276 Food chain crops.
(a) An owner or operator of a hazardous waste land treatment facility
on which food chain crops are being grown, or have been grown and will
be grown in the future, must notify the Regional Administrator within 60
days after the effective date of this part.
(Comment: The growth of food chain crops at a facility which has
never before been used for this purpose is a significant change in
process under 122.72(c) of this chapter. Owners or operators of such
land treatment facilities who propose to grow food chain crops after the
effective date of this part must comply with 122.72(c) of this
chapter.)
(b)(1) Food chain crops must not be grown on the treated area of a
hazardous waste land treatment facility unless the owner or operator can
demonstrate, based on field testing, that any arsenic, lead, mercury, or
other constituents identified under 265.273(b):
(i) Will not be transferred to the food portion of the crop by plant
uptake or direct contact, and will not otherwise be ingested by food
chain animals (e.g., by grazing); or
(ii) Will not occur in greater concentrations in the crops grown on
the land treatment facility than in the same crops grown on untreated
soils under similar conditions in the same region.
(2) The information necessary to make the demonstration required by
paragraph (b)(1) of this section must be kept at the facility and must,
at a minimum:
(i) Be based on tests for the specific waste and application rates
being used at the facility; and
(ii) Include descriptions of crop and soil characteristics, sample
selection criteria, sample size determination, analytical methods, and
statistical procedures.
(c) Food chain crops must not be grown on a land treatment facility
receiving waste that contains cadmium unless all requirements of
paragraphs (c)(1) (i) through (iii) of this section or all requirements
of paragraphs (c)(2) (i) through (iv) of this section are met.
(1)(i) The pH of the waste and soil mixture is 6.5 or greater at the
time of each waste application, except for waste containing cadmium at
concentrations of 2 mg/kg (dry weight) or less;
(ii) The annual application of cadmium from waste does not exceed 0.5
kilograms per hectare (kg/ha) on land used for production of tobacco,
leafy vegetables, or root crops grown for human consumption. For other
food chain crops, the annual cadmium application rate does not exceed:
(iii) The cumulative application of cadmium from waste does not
exceed the levels in either paragraph (c)(1)(iii)(A) or (B) of this
section.
(A)
(B) For soils with a background pH of less than 6.5, the cumulative
cadmium application rate does not exceed the levels below: Provided,
that the pH of the waste and soil mixture is adjusted to and maintained
at 6.5 or greater whenever food chain crops are grown.
(2)(i) The only food chain crop produced is animal feed.
(ii) The pH of the waste and soil mixture is 6.5 or greater at the
time of waste application or at the time the crop is planted, whichever
occurs later, and this pH level is maintained whenever food chain crops
are grown.
(iii) There is a facility operating plan which demonstrates how the
animal feed will be distributed to preclude ingestion by humans. The
facility operating plan describes the measures to be taken to safeguard
against possible health hazards from cadmium entering the food chain,
which may result from alternative land uses.
(iv) Future property owners are notified by a stipulation in the land
record or property deed which states that the property has received
waste at high cadmium application rates and that food chain crops must
not be grown except in compliance with paragraph (c)(2) of this section.
(Comment: As required by 265.73, if an owner or operator grows food
chain crops on his land treatment facility, he must place the
information developed in this section in the operating record of the
facility.)
(45 FR 33232, May 19, 1980, as amended at 47 FR 32368, July 26, 1982;
48 FR 14295, Apr. 1, 1983)
265.277 (Reserved)
40 CFR 265.278 Unsaturated zone (zone of aeration) monitoring.
(a) The owner or operator must have in writing, and must implement,
an unsaturated zone monitoring plan which is designed to:
(1) Detect the vertical migration of hazardous waste and hazardous
waste constituents under the active portion of the land treatment
facility, and
(2) Provide information on the background concentrations of the
hazardous waste and hazardous waste constituents in similar but
untreated soils nearby; this background monitoring must be conducted
before or in conjunction with the monitoring required under paragraph
(a)(1) of this section.
(b) The unsaturated zone monitoring plan must include, at a minimum:
(1) Soil monitoring using soil cores, and
(2) Soil-pore water monitoring using devices such as lysimeters.
(c) To comply with paragraph (a)(1) of this section, the owner or
operator must demonstrate in his unsaturated zone monitoring plan that:
(1) The depth at which soil and soil-pore water samples are to be
taken is below the depth to which the waste is incorporated into the
soil;
(2) The number of soil and soil-pore water samples to be taken is
based on the variability of:
(i) The hazardous waste constituents (as identified in 265.273(a)
and (b)) in the waste and in the soil; and
(ii) The soil type(s); and
(3) The frequency and timing of soil and soil-pore water sampling is
based on the frequency, time, and rate of waste application, proximity
to ground water, and soil permeability.
(d) The owner or operator must keep at the facility his unsaturated
zone monitoring plan, and the rationale used in developing this plan.
(e) The owner or operator must analyze the soil and soil-pore water
samples for the hazardous waste constituents that were found in the
waste during the waste analysis under 265.273 (a) and (b).
(Comment: As required by 265.73, all data and information developed
by the owner or operator under this section must be placed in the
operating record of the facility.)
40 CFR 265.279 Recordkeeping.
The owner or operator must include hazardous waste application dates
and rates in the operating record required under 265.73.
(47 FR 32368, July 26, 1982)
40 CFR 265.280 Closure and post-closure.
(a) In the closure plan under 265.112 and the post-closure plan
under 265.118, the owner or operator must address the following
objectives and indicate how they will be achieved:
(1) Control of the migration of hazardous waste and hazardous waste
constituents from the treated area into the ground water;
(2) Control of the release of contaminated run-off from the facility
into surface water;
(3) Control of the release of airborne particulate contaminants
caused by wind erosion; and
(4) Compliance with 265.276 concerning the gowth of food-chain
crops.
(b) The owner or operator must consider at least the following
factors in addressing the closure and post-closure care objectives of
paragraph (a) of this section:
(1) Type and amount of hazardous waste and hazardous waste
constituents applied to the land treatment facility;
(2) The mobility and the expected rate of migration of the hazardous
waste and hazardous waste constituents;
(3) Site location, topography, and surrounding land use, with respect
to the potential effects of pollutant migration (e.g., proximity to
ground water, surface water and drinking water sources);
(4) Climate, including amount, frequency, and pH of precipitation;
(5) Geological and soil profiles and surface and subsurface hydrology
of the site, and soil characteristics, including cation exchange
capacity, total organic carbon, and pH;
(6) Unsaturated zone monitoring information obtained under 265.278;
and
(7) Type, concentration, and depth of migration of hazardous waste
constituents in the soil as compared to their background concentrations.
(c) The owner or operator must consider at least the following
methods in addressing the closure and post-closure care objectives of
paragraph (a) of this section:
(1) Removal of contaminated soils;
(2) Placement of a final cover, considering:
(i) Functions of the cover (e.g., infiltration control, erosion and
run-off control, and wind erosion control); and
(ii) Characteristics of the cover, including material, final surface
contours, thickness, porosity and permeability, slope, length of run of
slope, and type of vegetation on the cover; and
(3) Monitoring of ground water.
(d) In addition to the requirements of subpart G of this part, during
the closure period the owner or operator of a land treatment facility
must:
(1) Continue unsaturated zone monitoring in a manner and frequency
specified in the closure plan, except that soil pore liquid monitoring
may be terminated 90 days after the last application of waste to the
treatment zone;
(2) Maintain the run-on control system required under 265.272(b);
(3) Maintain the run-off management system required under
265.272(c); and
(4) Control wind dispersal of particulate matter which may be subject
to wind dispersal.
(e) For the purpose of complying with 265.115, when closure is
completed the owner or operator may submit to the Regional Administrator
certification both by the owner or operator and by an independent
qualified soil scientist, in lieu of an independent registered
professional engineer, that the facility has been closed in accordance
with the specifications in the approved closure plan.
(f) In addition to the requirements of 265.117, during the
post-closure care period the owner or operator of a land treatment unit
must:
(1) Continue soil-core monitoring by collecting and analyzing samples
in a manner and frequency specified in the post-closure plan;
(2) Restrict access to the unit as appropriate for its post-closure
use;
(3) Assure that growth of food chain crops complies with 265.276;
and
(4) Control wind dispersal of hazardous waste.
(45 FR 33232, May 19, 1980, as amended at 47 FR 32368, July 26, 1982)
40 CFR 265.281 Special requirements for ignitable or reactive waste.
The owner or operator must not apply ignitable or reactive waste to
the treatment zone unless the waste and treatment zone meet all
applicable requirements of 40 CFR part 268, and:
(a) The waste is immediately incorporated into the soil so that:
(1) The resulting waste, mixture, or dissolution of material no
longer meets the definition of ignitable or reactive waste under 265.21
or 261.23 of this chapter; and
(2) Section 264.17(b) is complied with; or
(b) The waste is managed in such a way that it is protected from any
material or conditions which may cause it to ignite or react.
(47 FR 32368, July 26, 1982, as amended at 55 FR 22686, June 1, 1990)
40 CFR 265.282 Special requirements for incompatible wastes.
Incompatible wastes, or incompatible wastes and materials (see
appendix V for examples), must not be placed in the same land treatment
area, unless 265.17(b) is complied with.
40 CFR 265.282 Subpart N -- Landfills
40 CFR 265.300 Applicability.
The regulations in this subpart apply to owners and operators of
facilities that dispose of hazardous waste in landfills, except as
265.1 provides otherwise. A waste pile used as a disposal facility is a
landfill and is governed by this subpart.
40 CFR 265.301 Design and operating requirements.
(a) The owner or operator of each new landfill unit on which
construction commences after January 29, 1992, each lateral expansion of
a landfill unit on which construction commences after July 29, 1992, and
each replacement of an existing landfill unit that is to commence reuse
after July 29, 1992 must install two or more liners and a leachate
collection and removal system above and between such liners, and operate
the leachate collection and removal systems, in accordance with
264.301(d), (e), or (f), of this chapter. ''Construction commences'' is
as defined in 260.10 of this chapter under ''existing facility''.
(b) The owner or operator of each unit referred to in paragraph (a)
of this section must notify the Regional Administrator at least sixty
days prior to receiving waste. The owner or operator of each facility
submitting notice must file a part B application within six months of
the receipt of such notice.
(c) The owner or operator of any replacement landfill unit is exempt
from paragraph (a) of this section if:
(1) The existing unit was constructed in compliance with the design
standards of section 3004(o)(1)(A)(i) and (o)(5) of the Resource
Conservation and Recovery Act; and
(2) There is no reason to believe that the liner is not functioning
as designed.
(d) The double liner requirement set forth in paragraph (a) of this
section may be waived by the Regional Administrator for any monofill,
if:
(1) The monofill contains only hazardous wastes from foundry furnace
emission controls or metal casting molding sand, and such wastes do not
contain constituents which would render the wastes hazardous for reasons
other than the EP toxicity characteristics in 261.24 of this chapter;
and
(2)(i)(A) The monofill has at least one liner for which there is no
evidence that such liner is leaking;
(B) The monofill is located more than one-quarter mile from an
underground source of drinking water (as that term is defined in 144.3
of this chapter); and
(C) The monofill is in compliance with generally applicable
ground-water monitoring requirements for facilities with permits under
RCRA section 3005(c); or
(ii) The owner or operator demonstrates that the monofill is located,
designed and operated so as to assure that there will be no migration of
any hazardous constituent into ground water or surface water at any
future time.
(e) In the case of any unit in which the liner and leachate
collection system has been installed pursuant to the requirements of
paragraph (a) of this section and in good faith compliance with
paragraph (a) of this section and with guidance documents governing
liners and leachate collection systems under paragraph (a) of this
section, no liner or leachate collection system which is different from
that which was so installed pursuant to paragraph (a) of this section
will be required for such unit by the Regional Administrator when
issuing the first permit to such facility, except that the Regional
Administrator will not be precluded from requiring installation of a new
liner when the Regional Administrator has reason to believe that any
liner installed pursuant to the requirements of paragraph (a) of this
section is leaking.
(f) The owner or operator must design, construct, operate, and
maintain a run-on control system capable of preventing flow onto the
active portion of the landfill during peak discharge from at least a
25-year storm.
(g) The owner or operator must design, construct, operate and
maintain a run-off management system to collect and control at least the
water volume resulting from a 24-hour, 25-year storm.
(h) Collection and holding facilities (e.g., tanks or basins)
associated with run-on and run-off control systems must be emptied or
otherwise managed expeditiously after storms to maintain design capacity
of the system.
(i) The owner or operator of a landfill containing hazardous waste
which is subject to dispersal by wind must cover or otherwise manage the
landfill so that wind dispersal of the hazardous waste is controlled.
(Comment: As required by 265.13, the waste analysis plan must
include analyses needed to comply with 265.312, 265.313, and 265.314.
As required by 265.73, the owner or operator must place the results of
these analyses in the operating record of the facility.)
(45 FR 33232, May 19, 1980, as amended at 47 FR 32368, July 26, 1982;
50 FR 18374, Apr. 30, 1985. Redesignated from 265.302 at 57 FR 3494,
Jan. 29, 1992. 50 FR 28750, July 15, 1985, as amended at 57 FR 3494,
Jan. 29, 1992)
Effective Date Note: At 57 FR 3494, Jan. 29, 1992, 265.301 was
amended by revising the section heading and paragraphs (a) and (c), and
by redesignating paragraphs (a), (b), (c), and (d) of 265.302 as (f),
(g), (h), and (i) of 265.301, effective July 29, 1992. For the
convenience of the reader the superseded text is set forth below.
265.301 Design requirements.
(a) The owner or operator of a landfill must install two or more
liners and leachate collection systems above and between such liners in
accordance with 264.301(c) of this chapter, with respect to each new
unit, replacement of an existing unit, or lateral expansion of an
existing unit that is within the area identified in the part A permit
application, and with respect to waste received beginning May 8, 1985.
(c) Paragraph (a) of this section will not apply if the owner or
operator demonstrates to the Regional Administrator, and the Regional
Administrator finds for such landfill, that alternative design and
operating practices, together with location characteristics, will
prevent the migration of any hazardous constituent into the ground water
or surface water at least as effectively as such liners and leachate
collection systems.
40 CFR 265.302 Action leakage rate.
(a) The owner or operator of landfill units subject to 265.301(a)
must submit a proposed action leakage rate to the Regional Administrator
when submitting the notice required under 265.301(b). Within 60 days
of receipt of the notification, the Regional Administrator will:
Establish an action leakage rate, either as proposed by the owner or
operator or modified using the criteria in this section; or extend the
review period for up to 30 days. If no action is taken by the Regional
Administrator before the original 60 or extended 90 day review periods,
the action leakage rate will be approved as proposed by the owner or
operator.
(b) The Regional Administrator shall approve an action leakage rate
for surface impoundment units subject to 265.301(a). The action leakage
rate is the maximum design flow rate that the leak detection system
(LDS) can remove without the fluid head on the bottom liner exceeding 1
foot. The action leakage rate must include an adequate safety margin to
allow for uncertainties in the design (e.g., slope, hydraulic
conductivity, thickness of drainage material), construction, operation,
and location of the LDS, waste and leachate characteristics, likelihood
and amounts of other sources of liquids in the LDS, and proposed
response actions (e.g., the action leakage rate must consider decreases
in the flow capacity of the system over time resulting from siltation
and clogging, rib layover and creep of synthetic components of the
system, overburden pressures, etc.).
(c) To determine if the action leakage rate has been exceeded, the
owner or operator must convert the weekly or monthly flow rate from the
monitoring data obtained under 265.304 to an average daily flow rate
(gallons per acre per day) for each sump. Unless the Regional
Administrator approves a different calculation, the average daily flow
rate for each sump must be calculated weekly during the active life and
closure period, and monthly during the post-closure care period when
monthly monitoring is required under 265.304(b).
(57 FR 3494, Jan. 29, 1992)
Effective Date Note: At 57 FR 3494, Jan. 29, 1992, 265.302 was
amended by redesignating paragraphs (a), (b), (c), and (d) as (f), (g),
(h), and (i) of 265.301, by revising the section heading, and by adding
new paragraphs (a) through (c), effective July 29, 1992.
40 CFR 265.303 Response actions.
(a) The owner or operator of landfill units subject to 265.301(a)
must submit a response action plan to the Regional Administrator when
submitting the proposed action leakage rate under 265.302. The response
action plan must set forth the actions to be taken if the action leakage
rate has been exceeded. At a minimum, the response action plan must
describe the actions specified in paragraph (b) of this section.
(b) If the flow rate into the leak detection system exceeds the
action leakage rate for any sump, the owner or operator must:
(1) Notify the Regional Administrator in writing of the exceedence
within 7 days of the determination;
(2) Submit a preliminary written assessment to the Regional
Administrator within 14 days of the determination, as to the amount of
liquids, likely sources of liquids, possible location, size, and cause
of any leaks, and short-term actions taken and planned;
(3) Determine to the extent practicable the location, size, and cause
of any leak;
(4) Determine whether waste receipt should cease or be curtailed,
whether any waste should be removed from the unit for inspection,
repairs, or controls, and whether or not the unit should be closed;
(5) Determine any other short-term and longer-term actions to be
taken to mitigate or stop any leaks; and
(6) Within 30 days after the notification that the action leakage
rate has been exceeded, submit to the Regional Administrator the results
of the analyses specified in paragraphs (b)(3), (4), and (5) of this
section, the results of actions taken, and actions planned. Monthly
thereafter, as long as the flow rate in the leak detection system
exceeds the action leakage rate, the owner or operator must submit to
the Regional Administrator a report summarizing the results of any
remedial actions taken and actions planned.
(c) To make the leak and/or remediation determinations in paragraphs
(b)(3), (4), and (5) of this section, the owner or operator must:
(1)(i) Assess the source of liquids and amounts of liquids by source,
(ii) Conduct a fingerprint, hazardous constituent, or other analyses
of the liquids in the leak detection system to identify the source of
liquids and possible location of any leaks, and the hazard and mobility
of the liquid; and
(iii) Assess the seriousness of any leaks in terms of potential for
escaping into the environment; or
(2) Document why such assessments are not needed.
(57 FR 3494, Jan. 29, 1992)
Effective Date Note: At 57 FR 3494, Jan. 29, 1992 265.303 was
added effective July 29, 1992.
40 CFR 265.304 Monitoring and inspection.
(a) An owner or operator required to have a leak detection system
under 265.301(a) must record the amount of liquids removed from each
leak detection system sump at least once each week during the active
life and closure period.
(b) After the final cover is installed, the amount of liquids removed
from each leak detection system sump must be recorded at least monthly.
If the liquid level in the sump stays below the pump operating level for
two consecutive months, the amount of liquids in the sumps must be
recorded at least quarterly. If the liquid level in the sump stays
below the pump operating level for two consecutive quarters, the amount
of liquids in the sumps must be recorded at least semi-annually. If at
any time during the post-closure care period the pump operating level is
exceeded at units on quarterly or semi-annual recording schedules, the
owner or operator must return to monthly recording of amounts of liquids
removed from each sump until the liquid level again stays below the pump
operating level for two consecutive months.
(c) ''Pump operating level'' is a liquid level proposed by the owner
or operator and approved by the Regional Administrator based on pump
activation level, sump dimensions, and level that avoids backup into the
drainage layer and minimizes head in the sump. The timing for
submission and approval of the proposed ''pump operating level'' will be
in accordance with 265.302(a).
(57 FR 3495, Jan. 29, 1992)
Effective Date Note: At 57 FR 3495, Jan. 29, 1992, 265.304 was
added effective July 29, 1992.
265.305 -- 265.308 (Reserved)
40 CFR 265.309 Surveying and recordkeeping.
The owner or operator of a landfill must maintain the following items
in the operating record required in 265.73:
(a) On a map, the exact location and dimensions, including depth, of
each cell with respect to permanently surveyed benchmarks; and
(b) The contents of each cell and the approximate location of each
hazardous waste type within each cell.
40 CFR 265.310 Closure and post-closure care.
(a) At final closure of the landfill or upon closure of any cell, the
owner or operator must cover the landfill or cell with a final cover
designed and constructed to:
(1) Provide long-term minimization of migration of liquids through
the closed landfill;
(2) Function with minimum maintenance;
(3) Promote drainage and minimize erosion or abrasion of the cover;
(4) Accommodate settling and subsidence so that the cover's integrity
is maintained; and
(5) Have a permeability less than or equal to the permeability of any
bottom liner system or natural subsoils present.
(b) After final closure, the owner or operator must comply with all
post-closure requirements contained in 265.117 through 265.120
including maintenance and monitoring throughout the post-closure care
period. The owner or operator must:
(1) Maintain the integrity and effectiveness of the final cover,
including making repairs to the cover as necessary to correct the
effects of settling, subsidence, erosion, or other events;
(2) Maintain and monitor the leak detection system in accordance with
264.301(c)(3)(iv) and (4) of this chapter and 265.304(b), and comply
with all other applicable leak detection system requirements of this
part;
(3) Maintain and monitor the ground-water monitoring system and
comply with all other applicable requirements of subpart F of this part;
(4) Prevent run-on and run-off from eroding or otherwise damaging the
final cover; and
(5) Protect and maintain surveyed benchmarks used in complying with
265.309.
(50 FR 16048, Apr. 23, 1985, as amended at 57 FR 3495, Jan. 29, 1992)
Effective Date Note: At 57 FR 3495, Jan. 29, 1992 265.310 was
amended by redesignating paragraphs (b)(2), (3), and (4) as (b)(3), (4),
and (5), and by adding a new paragraph (b)(2), effective July 29, 1992.
265.311 (Reserved)
40 CFR 265.312 Special requirements for ignitable or reactive waste.
(a) Except as provided in paragraph (b) of this section, and in
265.316, ignitable or reactive waste must not be placed in a landfill,
unless the waste and landfill meets all applicable requirements of 40
CFR part 268, and:
(1) The resulting waste, mixture, or dissolution or material no
longer meets the definition of ignitable or reactive waste under 261.21
or 261.23 of this chapter; and
(2) Section 265.17(b) is complied with.
(b) Except for prohibited wastes which remain subject to treatment
standards in subpart D of part 268, ignitable wastes in containers may
be landfilled without meeting the requirements of paragraph (a) of this
section, provided that the wastes are disposed of in such a way that
they are protected from any material or conditions which may cause them
to ignite. At a minimum, ignitable wastes must be disposed of in
non-leaking containers which are carefully handled and placed so as to
avoid heat, sparks, rupture, or any other condition that might cause
ignition of the wastes; must be covered daily with soil or other
non-combustible material to minimize the potential for ignition of the
wastes; and must not be disposed of in cells that contain or will
contain other wastes which may generate heat sufficient to cause
ignition of the waste.
(47 FR 32368, July 26, 1982, as amended at 55 FR 22686, June 1, 1990)
40 CFR 265.313 Special requirements for incompatible wastes.
Incompatible wastes, or incompatible wastes and materials, (see
appendix V for examples) must not be placed in the same landfill cell,
unless 265.17(b) is complied with.
40 CFR 265.314 Special requirements for bulk and containerized liquids.
(a) Bulk or non-containerized liquid waste or waste containing free
liquids may be placed in a landfill prior to May 8, 1985 only if:
(1) The landfill has a liner and leachate collection and removal
system that meets the requirements of 264.301(a) of this chapter; or
(2) Before disposal, the liquid waste or waste containing free
liquids is treated or stabilized, chemically or physically (e.g., by
mixing with an absorbent solid), so that free liquids are no longer
present.
(b) Effective May 8, 1985, the placement of bulk or non-containerized
liquid hazardous waste or hazardous waste containing free liquids
(whether or not absorbents have been added) in any landfill is
prohibited.
(c) Containers holding free liquids must not be placed in a landfill
unless:
(1) All free-standing liquid (i) has been removed by decanting, or
other methods, (ii) has been mixed with absorbent or solidified so that
free-standing liquid is no longer observed or (iii) had been otherwise
eliminated; or
(2) The container is very small, such as an ampule; or
(3) The container is designed to hold free liquids for use other than
storage, such as a battery or capacitor; or
(4) The container is a lab pack as defined in 265.316 and is
disposed of in accordance with 265.316.
(d) To demonstrate the absence or presence of free liquids in either
a containerized or a bulk waste, the following test must be used:
Method 9095 (Paint Filter Liquids Test) as described in ''Test Methods
for Evaluating Solid Wastes, Physical/Chemical Methods.'' (EPA
Publication No. SW-846).
(e) The date for compliance with paragraph (a) of this section is
November 19, 1981. The date for compliance with paragraph (c) of this
section is March 22, 1982.
(f) Effective November 8, 1985, the placement of any liquid which is
not a hazardous waste in a landfill is prohibited unless the owner or
operator of such landfill demonstrates to the Regional Administrator, or
the Regional Administrator determines, that:
(1) The only reasonably available alternative to the placement in
such landfill is placement in a landfill or unlined surface impoundment,
whether or not permitted or operating under interim status, which
contains, or may reasonably be anticipated to contain, hazardous waste;
and
(2) Placement in such owner or operator's landfill will not present a
risk of contamination of any underground source of drinking water (as
that term is defined in 144.3 of this chapter).
(Approved by the Office of Management and Budget under control number
2050-0037)
(45 FR 33232, May 19, 1980, as amended at 47 FR 12318, Mar. 22, 1982;
47 FR 32369, July 26, 1982; 50 FR 18374, Apr. 30, 1985; 50 FR 28750,
July 15, 1985; 51 FR 19177, May 28, 1986)
40 CFR 265.315 Special requirements for containers.
Unless they are very small, such as an ampule, containers must be
either:
(a) At least 90 percent full when placed in the landfill; or
(b) Crushed, shredded, or similarly reduced in volume to the maximum
practical extent before burial in the landfill.
(50 FR 16048, Apr. 23, 1985)
40 CFR 265.316 Disposal of small containers of hazardous waste in
overpacked drums (lab packs).
Small containers of hazardous waste in overpacked drums (lab packs)
may be placed in a landfull if the following requirements are met:
(a) Hazardous waste must be packaged in non-leaking inside
containers. The inside containers must be of a design and constructed
of a material that will not react dangerously with, be decomposed by, or
be ignited by the waste held therein. Inside containers must be tightly
and securely sealed. The inside containers must be of the size and type
specified in the Department of Transportation (DOT) hazardous materials
regulations (49 CFR parts 173, 178 and 179), if those regulations
specify a particular inside container for the waste.
(b) The inside containers must be overpacked in an open head
DOT-specification metal shipping container (49 CFR parts 178 and 179) of
no more than 416-liter (110 gallon) capacity and surrounded by, at a
minimum, a sufficient quantity of absorbent material to completely
absorb all of the liquid contents of the inside containers. The metal
outer container must be full after packing with inside containers and
absorbent material.
(c) The absorbent material used must not be capable of reacting
dangerously with, being decomposed by, or being ignited by the contents
of the inside containers, in accordance with 265.17(b).
(d) Incompatible wastes, as defined in 260.10(a) of this chapter,
must not be placed in the same outside container.
(e) Reactive waste, other than cyanide- or sulfide-bearing waste as
defined in 261.23(a)(5) of this chapter, must be treated or rendered
non-reactive prior to packaging in accordance with paragraphs (a)
through (d) of this section. Cyanide- and sulfide-bearing reactive
waste may be packaged in accordance with paragraphs (a) through (d) of
this section without first being treated or rendered non-reactive.
(f) Such disposal is in compliance with the requirements of 40 CFR
part 268. Persons who incinerate lab packs according to the
requirements in 40 CFR 268.42(c)(1) may use fiber drums in place of
metal outer containers. Such fiber drums must meet the DOT
specifications in 49 CFR 173.12 and be overpacked according to the
requirements in paragraph (b) of this section.
(46 FR 56596, Nov. 17, 1981, as amended at 55 FR 22686, June 1, 1990)
40 CFR 265.316 Subpart O -- Incinerators
Source: 46 FR 7680, Jan. 23, 1981, unless otherwise noted.
40 CFR 265.340 Applicability.
(a) The regulations of this subpart apply to owners and operators of
hazardous waste incinerators (as defined in 260.10 of this chapter),
except as 265.1 provides otherwise.
(b) Owners and operators of incinerators burning hazardous waste are
exempt from all of the requirements of this subpart, except 265.351
(Closure), provided that the owner or operator has documented, in
writing, that the waste would not reasonably be expected to contain any
of the hazardous constituents listed in part 261, appendix VIII, of this
chapter, and such documentation is retained at the facility, if the
waste to be burned is:
(1) Listed as a hazardous waste in part 261, subpart D, of this
chapter solely because it is ignitable (Hazard Code I), corrosive
(Hazard Code C), or both; or
(2) Listed as a hazardous waste in part 261, subpart D, of this
chapter solely because it is reactive (Hazard Code R) for
characteristics other than those listed in 261.23(a) (4) and (5), and
will not be burned when other hazardous wastes are present in the
combustion zone; or
(3) A hazardous waste solely because it possesses the characteristic
of ignitability, corrosivity, or both, as determined by the tests for
characteristics of hazardous wastes under part 261, subpart C, of this
chapter; or
(4) A hazardous waste solely because it possesses the reactivity
characteristics described by 261.23(a) (1), (2), (3), (6), (7), or (8)
of this chapter, and will not be burned when other hazardous wastes are
present in the combustion zone.
(47 FR 27533, June 24, 1982 and 50 FR 666, Jan. 4, 1985, as amended
at 50 FR 49203, Nov. 29, 1985; 56 FR 7208, Feb. 21, 1991)
40 CFR 265.341 Waste analysis.
In addition to the waste analyses required by 265.13, the owner or
operator must sufficiently analyze any waste which he has not previously
burned in his incinerator to enable him to establish steady state
(normal) operating conditions (including waste and auxiliary fuel feed
and air flow) and to determine the type of pollutants which might be
emitted. At a minimum, the analysis must determine:
(a) Heating value of the waste;
(b) Halogen content and sulfur content in the waste; and
(c) Concentrations in the waste of lead and mercury, unless the owner
or operator has written, documented data that show that the element is
not present.
(Comment: As required by 265.73, the owner or operator must place
the results from each waste analysis, or the documented information, in
the operating record of the facility.)
265.342 -- 265.344 (Reserved)
40 CFR 265.345 General operating requirements.
During start-up and shut-down of an incinerator, the owner or
operator must not feed hazardous waste unless the incinerator is at
steady state (normal) conditions of operation, including steady state
operating temperature and air flow.
265.346 (Reserved)
40 CFR 265.347 Monitoring and inspections.
The owner or operator must conduct, as a minimum, the following
monitoring and inspections when incinerating hazardous waste:
(a) Existing instruments which relate to combustion and emission
control must be monitored at least every 15 minutes. Appropriate
corrections to maintain steady state combustion conditions must be made
immediately either automatically or by the operator. Instruments which
relate to combustion and emission control would normally include those
measuring waste feed, auxiliary fuel feed, air flow, incinerator
temperature, scrubber flow, scrubber pH, and relevant level controls.
(b) The complete incinerator and associated equipment (pumps, valves,
conveyors, pipes, etc.) must be inspected at least daily for leaks,
spills, and fugitive emissions, and all emergency shutdown controls and
system alarms must be checked to assure proper operation.
(46 FR 7678, Jan. 23, 1981, as amended at 47 FR 27533, June 24, 1982)
265.348 -- 265.350 (Reserved)
40 CFR 265.351 Closure.
At closure, the owner or operator must remove all hazardous waste and
hazardous waste residues (including but not limited to ash, scrubber
waters, and scrubber sludges) from the incinerator.
(Comment: At closure, as throughout the operating period, unless the
owner or operator can demonstrate, in accordance with 261.3(d) of this
chapter, that the residue removed from his incinerator is not a
hazardous waste, the owner or operator becomes a generator of hazardous
waste and must manage it in accordance with all applicable requirements
of parts 262 through 266 of this chapter.)
40 CFR 265.352 Interim status incinerators burning particular hazardous
wastes.
(a) Owners or operators of incinerators subject to this subpart may
burn EPA Hazardous Wastes FO20, FO21, FO22, FO23, FO26, or FO27 if they
receive a certification from the Assistant Administrator for Solid Waste
and Emergency Response that they can meet the performance standards of
subpart O of part 264 when they burn these wastes.
(b) The following standards and procedures will be used in
determining whether to certify an incinerator:
(1) The owner or operator will submit an application to the Assistant
Administrator for Solid Waste and Emergency Response containing
applicable information in 270.19 and 270.62 demonstrating that the
incinerator can meet the performance standards in subpart O of part 264
when they burn these wastes.
(2) The Assistant Administrator for Solid Waste and Emergency
Response will issue a tentative decision as to whether the incinerator
can meet the performance standards in subpart O of part 264.
Notification of this tentative decision will be provided by newspaper
advertisement and radio broadcast in the jurisdiction where the
incinerator is located. The Assistant Administrator for Solid Waste and
Emergency Response will accept comment on the tentative decision for 60
days. The Assistant Administrator for Solid Waste and Emergency
Response also may hold a public hearing upon request or at his
discretion.
(3) After the close of the public comment period, the Assistant
Administrator for Solid Waste and Emergency Response will issue a
decision whether or not to certify the incinerator.
(50 FR 2005, Jan. 14, 1985)
265.353 -- 265.369 (Reserved)
40 CFR 265.352 Subpart P -- Thermal Treatment
40 CFR 265.370 Other thermal treatment.
The regulations in this subpart apply to owners or operators of
facilities that thermally treat hazardous waste in devices other than
enclosed devices using controlled flame combustion, except as 265.1
provides otherwise. Thermal treatment in enclosed devices using
controlled flame combustion is subject to the requirements of subpart O
if the unit is an incinerator, and subpart H of part 266, if the unit is
a boiler or an industrial furnace as defined in 260.10.
(50 FR 666, Jan. 4, 1985, as amended at 56 FR 32692, July 17, 1991)
265.371 -- 265.372 (Reserved)
40 CFR 265.373 General operating requirements.
Before adding hazardous waste, the owner or operator must bring his
thermal treatment process to steady state (normal) conditions of
operation -- including steady state operating temperature -- using
auxiliary fuel or other means, unless the process is a non-continuous
(batch) thermal treatment process which requires a complete thermal
cycle to treat a discrete quantity of hazardous waste.
265.374 (Reserved)
40 CFR 265.375 Waste analysis.
In addition to the waste analyses required by 265.13, the owner or
operator must sufficiently analyze any waste which he has not previously
treated in his thermal process to enable him to establish steady state
(normal) or other appropriate (for a non-continuous process) operating
conditions (including waste and auxiliary fuel feed) and to determine
the type of pollutants which might be emitted. At a minimum, the
analysis must determine:
(a) Heating value of the waste;
(b) Halogen content and sulfur content in the waste; and
(c) Concentrations in the waste of lead and mercury, unless the owner
or operator has written, documented data that show that the element is
not present.
(Comment: As required by 265.73, the owner or operator must place
the results from each waste analysis, or the documented information, in
the operating record of the facility.)
265.376 (Reserved)
40 CFR 265.377 Monitoring and inspections.
(a) The owner or operator must conduct, as a minimum, the following
monitoring and inspections when thermally treating hazardous waste:
(1) Existing instruments which relate to temperature and emission
control (if an emission control device is present) must be monitored at
least every 15 minutes. Appropriate corrections to maintain steady
state or other appropriate thermal treatment conditions must be made
immediately either automatically or by the operator. Instruments which
relate to temperature and emission control would normally include those
measuring waste feed, auxiliary fuel feed, treatment process
temperature, and relevant process flow and level controls.
(2) The stack plume (emissions), where present, must be observed
visually at least hourly for normal appearance (color and opacity). The
operator must immediately make any indicated operating corrections
necessary to return any visible emissions to their normal appearance.
(3) The complete thermal treatment process and associated equipment
(pumps, valves, conveyors, pipes, etc.) must be inspected at least daily
for leaks, spills, and fugitive emissions, and all emergency shutdown
controls and system alarms must be checked to assure proper operation.
265.378 -- 265.380 (Reserved)
40 CFR 265.381 Closure.
At closure, the owner or operator must remove all hazardous waste and
hazardous waste residues (including, but not limited to, ash) from the
thermal treatment process or equipment.
(Comment: At closure, as throughout the operating period, unless the
owner or operator can demonstrate, in accordance with 261.3(c) or (d)
of this chapter, that any solid waste removed from his thermal treatment
process or equipment is not a hazardous waste, the owner or operator
becomes a generator of hazardous waste and must manage it in accordance
with all applicable requirements of parts 262, 263, and 265 of this
chapter.)
40 CFR 265.382 Open burning; waste explosives.
Open burning of hazardous waste is prohibited except for the open
burning and detonation of waste explosives. Waste explosives include
waste which has the potential to detonate and bulk military propellants
which cannot safely be disposed of through other modes of treatment.
Detonation is an explosion in which chemical transformation passes
through the material faster than the speed of sound (0.33
kilometers/second at sea level). Owners or operators choosing to open
burn or detonate waste explosives must do so in accordance with the
following table and in a manner that does not threaten human health or
the environment.
40 CFR 265.383 Interim status thermal treatment devices burning
particular hazardous waste.
(a) Owners or operators of thermal treatment devices subject to this
subpart may burn EPA Hazardous Wastes FO20, FO21, FO22, FO23, FO26, or
FO27 if they receive a certification from the Assistant Administrator
for Solid Waste and Emergency Response that they can meet the
performance standards of subpart O of part 264 when they burn these
wastes.
(b) The following standards and procedures will be used in
determining whether to certify a thermal treatment unit:
(1) The owner or operator will submit an application to the Assistant
Administrator for Solid Waste and Emergency Response containing the
applicable information in 270.19 and 270.62 demonstrating that the
thermal treatment unit can meet the performance standard in subpart O of
part 264 when they burn these wastes.
(2) The Assistant Administrator for Solid Waste and Emergency
Response will issue a tentative decision as to whether the thermal
treatment unit can meet the performance standards in subpart O of part
264. Notification of this tentative decision will be provided by
newspaper advertisement and radio broadcast in the jurisdiction where
the thermal treatment device is located. The Assistant Administrator
for Solid Waste and Emergency Response will accept comment on the
tentative decision for 60 days. The Assistant Administrator for Solid
Waste and Emergency Response also may hold a public hearing upon request
or at his discretion.
(3) After the close of the public comment period, the Assistant
Administrator for Solid Waste and Emergency Response will issue a
decision whether or not to certify the thermal treatment unit.
(50 FR 2005, Jan. 14, 1985)
40 CFR 265.383 Subpart Q -- Chemical, Physical, and Biological Treatment
40 CFR 265.400 Applicability.
The regulations in this subpart apply to owners and operators of
facilities which treat hazardous wastes by chemical, physical, or
biological methods in other than tanks, surface impoundments, and land
treatment facilities, except as 265.1 provides otherwise. Chemical,
physical, and biological treatment of hazardous waste in tanks, surface
impoundments, and land treatment facilities must be conducted in
accordance with subparts J, K, and M, respectively.
40 CFR 265.401 General operating requirements.
(a) Chemical, physical, or biological treatment of hazardous waste
must comply with 265.17(b).
(b) Hazardous wastes or treatment reagents must not be placed in the
treatment process or equipment if they could cause the treatment process
or equipment to rupture, leak, corrode, or otherwise fail before the end
of its intended life.
(c) Where hazardous waste is continuously fed into a treatment
process or equipment, the process or equipment must be equipped with a
means to stop this inflow (e.g., a waste feed cut-off system or by-pass
system to a standby containment device).
(Comment: These systems are intended to be used in the event of a
malfunction in the treatment process or equipment.)
40 CFR 265.402 Waste analysis and trial tests.
(a) In addition to the waste analysis required by 265.13, whenever:
(1) A hazardous waste which is substantially different from waste
previously treated in a treatment process or equipment at the facility
is to be treated in that process or equipment, or
(2) A substantially different process than any previously used at the
facility is to be used to chemically treat hazardous waste;
the owner or operator must, before treating the different waste or
using the different process or equipment:
(i) Conduct waste analyses and trial treatment tests (e.g., bench
scale or pilot plant scale tests); or
(ii) Obtain written, documented information on similar treatment of
similar waste under similar operating conditions;
to show that this proposed treatment will meet all applicable
requirements of 265.401 (a) and (b).
(Comment: As required by 265.13, the waste analysis plan must
include analyses needed to comply with 265.405 and 265.406. As
required by 265.73, the owner or operator must place the results from
each waste analysis and trial test, or the documented information, in
the operating record of the facility.)
40 CFR 265.403 Inspections.
(a) The owner or operator of a treatment facility must inspect, where
present:
(1) Discharge control and safety equipment (e.g., waste feed cut-off
systems, by-pass systems, drainage systems, and pressure relief systems)
at least once each operating day, to ensure that it is in good working
order;
(2) Data gathered from monitoring equipment (e.g., pressure and
temperature gauges), at least once each operating day, to ensure that
the treatment process or equipment is being operated according to its
design;
(3) The construction materials of the treatment process or equipment,
at least weekly, to detect corrosion or leaking of fixtures or seams;
and
(4) The construction materials of, and the area immediately
surrounding, discharge confinement structures (e.g., dikes), at least
weekly, to detect erosion or obvious signs of leakage (e.g., wet spots
or dead vegetation).
(Comment: As required by 265.15(c), the owner or operator must
remedy any deterioration or malfunction he finds.)
40 CFR 265.404 Closure.
At closure, all hazardous waste and hazardous waste residues must be
removed from treatment processes or equipment, discharge control
equipment, and discharge confinement structures.
(Comment: At closure, as throughout the operating period, unless the
owner or operator can demonstrate, in accordance with 261.3 (c) or (d)
of this chapter, that any solid waste removed from his treatment process
or equipment is not a hazardous waste, the owner or operator becomes a
generator of hazardous waste and must manage it in accordance with all
applicable requirements of parts 262, 263, and 265 of this chapter.)
40 CFR 265.405 Special requirements for ignitable or reactive waste.
(a) Ignitable or reactive waste must not be placed in a treatment
process or equipment unless:
(1) The waste is treated, rendered, or mixed before or immediately
after placement in the treatment process or equipment so that (i) the
resulting waste, mixture, or dissolution of material no longer meets the
definition of ignitable or reactive waste under 261.21 or 261.23 or
this chapter, and (ii) 265.17(b) is complied with; or
(2) The waste is treated in such a way that it is protected from any
material or conditions which may cause the waste to ignite or react.
40 CFR 265.406 Special requirements for incompatible wastes.
(a) Incompatible wastes, or incompatible wastes and materials, (see
appendix V for examples) must not be placed in the same treatment
process or equipment, unless 265.17(b) is complied with.
(b) Hazardous waste must not be placed in unwashed treatment
equipment which previously held an incompatible waste or material,
unless 265.17(b) is complied with.
40 CFR 265.406 Subpart R -- Underground Injection
40 CFR 265.430 Applicability.
Except as 265.1 provides otherwise:
(a) The owner or operator of a facility which disposes of hazardous
waste by underground injection is excluded from the requirements of
subparts G and H of this part.
(b) The requirements of this subpart apply to owners and operators of
wells used to dispose of hazardous waste which are classified as Class I
under 144.6(a) of this chapter and which are classified as Class IV
under 144.6(d) of this chapter.
(Comment: In addition to the requirements of subparts A through E of
this part, the owner or operator of a facility which disposes of
hazardous waste by underground injection ultimately must comply with the
requirements of 265.431 through 265.437. These sections are reserved
at this time. The Agency will propose regulations that would establish
those requirements.)
(45 FR 33232, May 19, 1980, as amended at 48 FR 30115, June 30, 1983)
40 CFR 265.430 Subparts S -- V (Reserved)
40 CFR 265.430 Subpart W -- Drip Pads
Source: 55 FR 50486, Dec. 6, 1990, unless otherwise noted.
40 CFR 265.440 Applicability.
(a) The requirements of this subpart apply to owners and operators of
facilities that use new or existing drip pads to convey treated wood
drippage, precipitation, and/or surface water run-on to an associated
collection system. Existing drip pads are those constructed before
December 6, 1990, and those for which the owner or operator has
generated a design and has entered into binding financial or other
agreements for construction prior to December 6, 1990. All other drip
pads are new drip pads.
(b) The owner or operator of any drip pad that is inside or under a
structure that provides protection from precipitation so that neither
run-off nor run-on is generated is not subject to regulation under
265.443(e) or 265.443(f), as appropriate.
(55 FR 50486, Dec. 6, 1990, as amended by 56 FR 30198, July 1, 1991)
40 CFR 265.441 Assessment of existing drip pad integrity.
(a) For each existing drip pad as defined in 265.440 of this
subpart, the owner or operator must evaluate the drip pad and determine
that it meets all of the requirements of this subpart, except the
requirements for liners and leak detection systems of 265.443(b). No
later than the effective date of this rule, the owner or operator must
obtain and keep on file at the facility a written assessment of the drip
pad, reviewed and certified by an independent, qualified registered
professional engineer that attests to the results of the evaluation.
The assessment must be reviewed, updated and re-certified annually until
all upgrades, repairs, or modifications necessary to achieve compliance
with all of the standards of 265.443 of this subpart are complete. The
evaluation must justify and document the extent to which the drip pad
meets each of the design and operating standards of 265.443 of this
subpart, except the standards for liners and leak detection systems,
specified in 265.443(b) of this subpart, and must document the age of
the drip pad to the extent possible, to document compliance with
paragraph (b) of this section.
(b) The owner or operator must develop a written plan for upgrading,
repairing, and modifying the drip pad to meet the requirements of
265.443(b) of this subpart and submit the plan to the Regional
Administrator no later than 2 years before the date that all repairs,
upgrades, and modifications will be complete. This written plan must
describe all changes to be made to the drip pad in sufficient detail to
document compliance with all the requirements of 265.443 of this
subpart and must document the age of the drip pad to the extent
possible. The plan must be reviewed and certified by an independent
qualified, registered professional engineer. All upgrades, repairs, and
modifications must be completed in accordance with the following:
(1) For existing drip pads of known and documentable age, all
upgrades, repairs, and modifications must be completed within two years
of the effective date of this rule, or when the drip pad has reached 15
years of age, whichever comes later.
(2) For existing drip pads for which the age cannot be documented,
within 8 years of the effective date of this rule, but if the age of the
facility is greater than 7 years, all upgrades, repairs and
modifications must be completed by the time the facility reaches 15
years of age or by two years after the effective date of this rule,
whichever comes later.
(3) If the owner or operator believes that the drip pad will continue
to meet all of the requirements of 265.443 of this subpart after the
date upon which all upgrades, repairs and modifications must be
completed as established under paragraphs (b) (1) and (2) of this
section, the owner or operator may petition the Regional Administrator
for an extension of the deadline as specified in paragraph (b) (1) or
(2) of this section. The Regional Administrator will grant the petition
for extension based on a finding that the drip pad meets all of the
requirements of 265.443, except those for liners and leak detection
systems specified in 265.443(b), and that it will continue to be
protective of human health and the environment.
(c) Upon completion of all, repairs, and modifications, the owner or
operator must submit to the Regional Administrator or State Director,
the as-built drawings for the drip pad together with a certification by
an independent, qualified registered professional engineer attesting
that the drip pad conforms to the drawings.
(d) If the drip pad is found to be leaking or unfit for use, the
owner or operator must comply with the provisions of 265.443(m) of this
subpart or close the drip pad in accordance with 265.445 of this
subpart.
Effective Date Note: At 55 FR 50487, Dec. 6, 1990, 265.441 was
added. Paragraph (a) contains information collection and recordkeeping
requirements and will not become effective until approval has been given
by the Office of Management and Budget. A notice will be published in
the Federal Register once approval has been obtained.
40 CFR 265.442 Design and installation of new drip pads.
Owners and operators of new drip pads must ensure that the pads are
designed, installed and operated in accordance with all of the
applicable requirements of 265.443, 265.444 and 265.445 of this
subpart.
40 CFR 265.443 Design and operating requirements.
(a) Drip pads must:
(1) Be constructed of non-earthen materials, excluding wood and
non-structurally supported asphalt;
(2) Be sloped to free-drain treated wood drippage, rain and other
waters, or solutions of drippage and water or other wastes to the
associated collection system;
(3) Have a curb or berm around the perimeter;
(4) Be impermeable, e.g., concrete pads must be sealed, coated, or
covered with an impermeable material such that the entire surface where
drippage occurs or may run across is capable of containing such drippage
and mixtures of drippage and precipitation, materials, or other wastes
while being routed to an associated collection system.
Note: The requirement that existing drip pads be impermeable, e.g.,
that drip pads be sealed, coated, or covered with an impermeable
material is administratively stayed. The stay will remain in effect
until October 30, 1992.
Note: The requirement that new drip pads be impermeable, e.g., that
new drip pads be sealed, coated, or covered with an impermeable material
is administratively stayed. The stay will remain in effect until
further administrative action is taken.
(5) Be of sufficient structural strength and thickness to prevent
failure due to physical contact, climatic conditions, the stress of
installation, and the stress of daily operations, e.g., variable and
moving loads such as vehicle traffic, movement of wood, etc.
Note: EPA will generally consider applicable standards established
by professional organizations generally recognized by industry such as
the American Concrete Institute (ACI) and the American Society of
Testing Materials (ASTM) in judging the structural integrity requirement
of this paragraph.
(b) A new drip pad or an existing drip pad, after the deadline
established in 265.441(b) of this subpart, must have:
(1) A synthetic liner installed below the drip pad that is designed,
constructed, and installed to prevent leakage from the drip pad into the
adjacent subsurface soil or groundwater or surface water at any time
during the active life (including the closure period) of the drip pad.
The liner must be constructed of materials that will prevent waste from
being absorbed into the liner and prevent releases into the adjacent
subsurface soil or ground water or surface water during the active life
of the facility. The liner must be:
(i) Constructed of materials that have appropriate chemical
properties and sufficient strength and thickness to prevent failure due
to pressure gradients (including static head and external hydrogeologic
forces), physical contact with the waste or drip pad leakage to which
they are exposed, climatic conditions, the stress of installation, and
the stress of daily operation (including stresses from vehicular traffic
on the drip pad);
(ii) Placed upon a foundation or base capable of providing support to
the liner and resistance to pressure gradients above and below the liner
to prevent failure of the liner due to settlement, compression or
uplift; and
(iii) Installed to cover all surrounding earth that could come in
contact with the waste or leakage; and
(2) A leakage detection system immediately above the liner that is
designed, constructed, maintained and operated to detect leakage from
the drip pad. The leakage detection system must be:
(i) Constructed of materials that are:
(A) Chemically resistant to the waste managed in the drip pad and the
leakage that might be generated; and
(B) Of sufficient strength and thickness to prevent collapse under
the pressures exerted by overlaying materials and by any equipment used
at the drip pad; and
(ii) Designed and operated to function without clogging through the
scheduled closure of the drip pad.
(iii) Designed so that it will detect the failure of the drip pad or
the presence of a release of hazardous waste or accumulated liquid at
the earliest practicable time.
(c) Drip pads must be maintained such that they remain free of
cracks, gaps, corrosion, or other deterioration that could cause
hazardous waste to be released from the drip pad.
Note: See 265.443(m) for remedial action required if deterioration
or leakage is detected.
(d) The drip pad and associated collection system must be designed
and operated to convey, drain, and collect liquid resulting from
drippage or precipitation in order to prevent run-off.
(e) Unless protected by a structure, as described in 265.440(b) of
this subpart, the owner or operator must design, construct, operate and
maintain a run-on control system capable of preventing flow onto the
drip pad during peak discharge from at least a 24-hour, 25-year storm
unless the system has sufficient excess capacity to contain any run-on
that might enter the system, or the drip pad is protected by a structure
or cover, as described in 265.440(b) of this subpart.
(f) Unless protected by a structure or cover, as described in
265.440(b) of this subpart, the owner or operator must design,
construct, operate and maintain a run-off management system to collect
and control at least the water volume resulting from a 24-hour, 25-year
storm.
(g) The drip pad must be evaluated to determine that it meets the
requirements of paragraphs (a) through (f) of this section and the owner
or operator must obtain a statement from an independent, qualified
registered professional engineer certifying that the drip pad design
meets the requirements of this section.
(h) Drippage and accumulated precipitation must be removed from the
associated collection system as necessary to prevent overflow onto the
drip pad.
(i) The drip pad surface must be cleaned thoroughly at least once
every seven days such that accumulated residues of hazardous waste or
other materials are removed, using an appropriate and effective cleaning
technique, including but not limited to, rinsing, washing with
detergents or other appropriate solvents, or steam cleaning. The owner
or operator must document the date and time of each cleaning and the
cleaning procedure used in the facility's operating log.
(j) Drip pads must be operated and maintained in a manner to minimize
tracking of hazardous waste or hazardous waste constituents off the drip
pad as a result of activities by personnel or equipment.
(k) After being removed from the treatment vessel, treated wood from
pressure and non-pressure processes must be held on the drip pad until
drippage has ceased. The owner or operator must maintain records
sufficient to document that all treated wood is held on the pad
following treatment in accordance with this requirement.
(l) Collection and holding units associated with run-on and run-off
control systems must be emptied or otherwise managed as soon as possible
after storms to maintain design capacity of the system.
(m) Throughout the active life of the drip pad, if the owner or
operator detects a condition that may have caused or has caused a
release of hazardous waste, the condition must be repaired within a
reasonably prompt period of time following discovery, in accordance with
the following procedures:
(1) Upon detection of a condition that may have caused or has caused
a release of hazardous waste (e.g., upon detection of leakage by the
leak detection system), the owner or operator must:
(i) Enter a record of the discovery in the facility operating log;
(ii) Immediately remove the portion of the drip pad affected by the
condition from service;
(iii) Determine what steps must be taken to repair the drip pad,
remove any leakage from below the drip pad, and establish a schedule for
accomplishing the clean up and repairs;
(iv) Within 24 hours after discovery of the condition, notify the
Regional Administrator of the condition and, within 10 working days,
provide a written notice to the Regional Administrator with a
description of the steps that will be taken to repair the drip pad, and
clean up any leakage, and the schedule for accomplishing this work.
(2) The Regional Administrator will review the information submitted,
make a determination regarding whether the pad must be removed from
service completely or partially until repairs and clean up are complete,
and notify the owner or operator of the determination and the underlying
rationale in writing.
(3) Upon completing all repairs and clean up, the owner or operator
must notify the Regional Administrator in writing and provide a
certification, signed by an independent qualified, registered
professional engineer, that the repairs and clean up have been completed
according to the written plan submitted in accordance with paragraph
(m)(1)(iv) of this section.
(n) The owner or operator must maintain, as part of the facility
operating log, documentation of past operating and waste handling
practices. This must include identification of preservative
formulations used in the past, a description of drippage management
practices, and a description of treated wood storage and handling
practices.
(55 FR 50486, Dec. 6, 1990, as amended at 56 FR 30198, July 1, 1991;
57 FR 5861, Feb. 18, 1992)
Effective Date Note: At 56 FR 50486, Dec. 6, 1990, 265.443 was
added. Paragraphs (g), (i), (k), (m)(1)(i), (m)(1)(iv), (m)(3), (n)
contains information collection and recordkeeping requirements and will
not become effective until approval has been given by the Office of
Management and Budget. A notice will be published in the Federal
Register once approval has been obtained.
40 CFR 265.444 Inspections.
(a) During construction or installation, liners and cover systems
(e.g., membranes, sheets, or coatings) must be inspected for uniformity,
damage, and imperfections (e.g., holes, cracks, thin spots, or foreign
materials). Immediately after construction or installation, liners must
be inspected and certified as meeting the requirements of 265.443 of
this subpart by an independent qualified, registered professional
engineer. The certification must be maintained at the facility as part
of the facility operating record. After installation liners and covers
must be inspected to ensure tight seams and joints and the absence of
tears, punctures, or blisters.
(b) While a drip pad is in operation, it must be inspected weekly and
after storms to detect evidence of any of the following:
(1) Deterioration, malfunctions or improper operation of run-on and
run-off control systems;
(2) The presence of leakage in and proper functioning of leakage
detection system.
(3) Deterioration or cracking of the drip pad surface.
Note: See 265.443(m) for remedial action required if deterioration
or leakage is detected.
Effective Date Note: At 56 FR 50486, Dec. 6, 1990, 265.444 was
added. Paragraph (a) contains information collection and recordkeeping
requirements and will not become effective until approval has been given
by the Office of Management and Budget. A notice will be published in
the Federal Register once approval has been obtained.
40 CFR 265.445 Closure.
(a) At closure, the owner or operator must remove or decontaminate
all waste residues, contaminated containment system components (pad,
liners, etc.), contaminated subsoils, and structures and equipment
contaminated with waste and leakage, and manage them as hazardous waste.
(b) If, after removing or decontaminating all residues and making all
reasonable efforts to effect removal or decontamination of contaminated
components, subsoils, structures, and equipment as required in paragraph
(a) of this section, the owner or operator finds that not all
contaminated subsoils can be practically removed or decontaminated, he
must close the facility and perform post/closure care in accordance with
closure and post-closure care requirements that apply to landfills (
265.310). For permitted units, the requirement to have a permit
continues throughout the post-closure period.
(c)(1) The owner or operator of an existing drip pad, as defined in
265.440 of this subpart, that does not comply with the liner
requirements of 265.443(b)(1) must:
(i) Include in the closure plan for the drip pad under 265.112 both
a plan for complying with paragraph (a) of this section and a contingent
plan for complying with paragraph (b) of this section in case not all
contaminated subsoils can be practicably removed at closure; and
(ii) Prepare a contingent post-closure plan under 265.118 of this
part for complying with paragraph (b) of this section in case not all
contaminated subsoils can be practicably removed at closure.
(2) The cost estimates calculated under 265.112 and 265.144 of this
part for closure and post-closure care of a drip pad subject to this
paragraph must include the cost of complying with the contingent closure
plan and the contingent post-closure plan, but are not required to
include the cost of expected closure under paragraph (a) of this
section.
Effective Date Note: At 56 FR 50486, Dec. 6, 1990, 265.445 was
added. Paragraphs (c)(1)(i), and (c)(1)(ii) contains information
collection and recordkeeping requirements and will not become effective
until approval has been given by the Office of Management and Budget. A
notice will be published in the Federal Register once approval has been
obtained.
40 CFR 265.445 Subparts X -- Z (Reserved)
40 CFR 265.445 Subpart AA -- Air Emission Standards for Process Vents
Source: 55 FR 25507, June 21, 1990, unless otherwise noted.
40 CFR 265.1030 Applicability.
(a) The regulations in this subpart apply to owners and operators of
facilities that treat, store, or dispose of hazardous wastes (except as
provided in 265.1).
(b) Except for 265.1034(d) and (e), this subpart applies to process
vents associated with distillation, fractionation, thin-film
evaporation, solvent extraction, or air or steam stripping operations
that manage hazardous wastes with organic concentrations of at least 10
ppmw, if these operations are conducted in:
(1) Units that are subject to the permitting requirements of part
270, or
(2) Hazardous waste recycling units that are located on hazardous
waste management facilities otherwise subject to the permitting
requirements of part 270.
(Note: The requirements of 265.1032 through 265.1036 apply to
process vents on hazardous waste recycling units previously exempt under
paragraph 261.6(c)(1). Other exemptions under 261.4, 262.34, and
265.1(c) are not affected by these requirements.)
(55 FR 25507, June 21, 1990, as amended at 56 FR 19290, Apr. 26,
1991)
40 CFR 265.1031 Definitions.
As used in this subpart, all terms shall have the meaning given them
in 264.1031, the Act, and parts 260-266.
40 CFR 265.1032 Standards: Process vents.
(a) The owner or operator of a facility with process vents associated
with distillation, fractionation, thin-film evaporation, solvent
extraction or air or steam stripping operations managing hazardous
wastes with organic concentrations at least 10 ppmw shall either:
(1) Reduce total organic emissions from all affected process vents at
the facility below 1.4 kg/h (3 lb/h) and 2.8 Mg/yr (3.1 tons/yr), or
(2) Reduce, by use of a control device, total organic emissions from
all affected process vents at the facility by 95 weight percent.
(b) If the owner or operator installs a closed-vent system and
control device to comply with the provisions of paragraph (a) of this
section, the closed-vent system and control device must meet the
requirements of 265.1033.
(c) Determinations of vent emissions and emission reductions or total
organic compound concentrations achieved by add-on control devices may
be based on engineering calculations or performance tests. If
performance tests are used to determine vent emissions, emission
reductions, or total organic compound concentrations achieved by add-on
control devices, the performance tests must conform with the
requirements of 265.1034(c).
(d) When an owner or operator and the Regional Administrator do not
agree on determinations of vent emissions and/or emission reductions or
total organic compound concentrations achieved by add-on control devices
based on engineering calculations, the test methods in 265.1034(c)
shall be used to resolve the disagreement.
40 CFR 265.1033 Standards: Closed-vent systems and control devices.
(a)(1) Owners or operators of closed-vent systems and control devices
used to comply with provisions of this part shall comply with the
provisions of this section.
(2) The owner or operator of an existing facility who cannot install
a closed-vent system and control device to comply with the provisions of
this subpart on the effective date that the facility becomes subject to
the provisions of this subpart must prepare an implementation schedule
that includes dates by which the closed-vent system and control device
will be installed and in operation. The controls must be installed as
soon as possible, but the implementation schedule may allow up to 18
months after the effective date that the facility becomes subject to
this subpart for installation and startup. All units that begin
operation after December 21, 1990 must comply with the rules immediately
(i.e., must have control devices installed and operating on startup of
the affected unit); the 2-year implementation schedule does not apply
to these units.
(b) A control device involving vapor recovery (e.g., a condenser or
adsorber) shall be designed and operated to recover the organic vapors
vented to it with an efficiency of 95 weight percent or greater unless
the total organic emission limits of 265.1032(a)(1) for all affected
process vents can be attained at an efficiency less than 95 weight
percent.
(c) An enclosed combustion device (e.g., a vapor incinerator, boiler,
or process heater) shall be designed and operated to reduce the organic
emissions vented to it by 95 weight percent or greater; to achieve a
total organic compound concentration of 20 ppmv, expressed as the sum of
the actual compounds, not carbon equivalents, on a dry basis corrected
to 3 percent oxygen; or to provide a minimum residence time of 0.50
seconds at a minimum temperature of 760 C. If a boiler or process
heater is used as the control device, then the vent stream shall be
introduced into the flame combustion zone of the boiler or process
heater.
(d)(1) A flare shall be designed for and operated with no visible
emissions as determined by the methods specified in paragraph (e)(1) of
this section, except for periods not to exceed a total of 5 minutes
during any 2 consecutive hours.
(2) A flare shall be operated with a flame present at all times, as
determined by the methods specified in paragraph (f)(2)(iii) of this
section.
(3) A flare shall be used only if the net heating value of the gas
being combusted is 11.2 MJ/scm (300 Btu/scf) or greater, if the flare is
steam-assisted or air-assisted; or if the net heating value of the gas
being combusted is 7.45 MJ/scm (200 Btu/scf) or greater if the flare is
nonassisted. The net heating value of the gas being combusted shall be
determined by the methods specified in paragraph (e)(2) of this section.
(4)(i) A steam-assisted or nonassisted flare shall be designed for
and operated with an exit velocity, as determined by the methods
specified in paragraph (e)(3) of this section, of less than 18.3 m/s (60
ft/s), except as provided in paragraphs (d)(4) (ii) and (iii) of this
section.
(ii) A steam-assisted or nonassisted flare designed for and operated
with an exit velocity, as determined by the methods specified in
paragraph (e)(3) of this section, equal to or greater than 18.3 m/s (60
ft/s) but less than 122 m/s (400 ft/s) is allowed if the net heating
value of the gas being combusted is greater than 37.3 MJ/scm (1,000
Btu/scf).
(iii) A steam-assisted or nonassisted flare designed for and operated
with an exit velocity, as determined by the methods specified in
paragraph (e)(3) of this section, less than the velocity, Vmax, as
determined by the method specified in paragraph (e)(4) of this section,
and less than 122 m/s (400 ft/s) is allowed.
(5) An air-assisted flare shall be designed and operated with an exit
velocity less than the velocity, Vmax, as determined by the method
specified in paragraph (e)(5) of this section.
(6) A flare used to comply with this section shall be steam-assisted.
air-assisted, or nonassisted.
(e)(1) Reference Method 22 in 40 CFR part 60 shall be used to
determine the compliance of a flare with the visible emission provisions
of this subpart. The observation period is 2 hours and shall be used
according to Method 22.
(2) The net heating value of the gas being combusted in a flare shall
be calculated using the following equation:
where:
HT=Net heating value of the sample, MJ/scm; where the net enthalpy
per mole of offgas is based on combustion at 25 C and 760 mm Hg, but
the standard temperature for determining the volume corresponding to 1
mol is 20 C;
K=Constant, 1.74 10^7 (1/ppm) (g mol/scm) (MJ/kcal) where standard
temperature for (g mol/scm) is 20 C;
Ci=Concentration of sample component i in ppm on a wet basis, as
measured for organics by Reference Method 18 in 40 CFR part 60 and
measured for hydrogen and carbon monoxide by ASTM D 1946-82
(incorporated by reference as specified in 260.11); and
Hi=Net heat of combustion of sample component i, kcal/g mol at 25 C
and 760 mm Hg. The heats of combustion may be determined using ASTM D
2382-83 (incorporated by reference as specified in 260.11) if published
values are not available or cannot be calculated.
(3) The actual exit velocity of a flare shall be determined by
dividing the volumetric flow rate (in units of standard temperature and
pressure), as determined by Reference Methods 2, 2A, 2C, or 2D in 40 CFR
part 60 as appropriate, by the unobstructed (free) cross-sectional area
of the flare tip.
(4) The maximum allowed velocity in m/s, Vmax, for a flare complying
with paragraph (d)(4)(iii) of this section shall be determined by the
following equation:
Log10(Vmax)=(HT+28.8)/31.7
where:
HT=The net heating value as determined in paragraph (e)(2) of this
section.
28.8=Constant,
31.7=Constant.
(5) The maximum allowed velocity in m/s, Vmax, for an air-assisted
flare shall be determined by the following equation:
Vmax = 8.706 + 0.7084 (HT)
where:
8.706 = Constant.
0.7084 = Constant.
HT = The net heating value as determined in paragraph (e)(2) of this
section.
(f) The owner or operator shall monitor and inspect each control
device required to comply with this section to ensure proper operation
and maintenance of the control device by implementing the following
requirements:
(1) Install, calibrate, maintain, and operate according to the
manufacturer's specifications a flow indicator that provides a record of
vent stream flow from each affected process vent to the control device
at least once every hour. The flow indicator sensor shall be installed
in the vent stream at the nearest feasible point to the control device
inlet, but before being combined with other vent streams.
(2) Install, calibrate, maintain, and operate according to the
manufacturer's specifications a device to continuously monitor control
device operation as specified below:
(i) For a thermal vapor incinerator, a temperature monitoring device
equipped with a continuous recorder. The device shall have an accuracy
of 1 percent of the temperature being monitored in C or 0.5 C.
whichever is greater. The temperature sensor shall be installed at a
location in the combustion chamber downstream of the combustion zone.
(ii) For a catalytic vapor incinerator, a temperature monitoring
device equipped with a continuous recorder. The device shall be capable
of monitoring temperature at two locations and have an accuracy of 1
percent of the temperature being monitored in C or 0.5 C. whichever
is greater. One temperature sensor shall be installed in the vent
stream at the nearest feasible point to the catalyst bed inlet and a
second temperature sensor shall be installed in the vent stream at the
nearest feasible point to the catalyst bed outlet.
(iii) For a flare, a heat sensing monitoring device equipped with a
continuous recorder that indicates the continuous ignition of the pilot
flame.
(iv) For a boiler or process heater having a design heat input
capacity less than 44 MW, a temperature monitoring device equipped with
a continuous recorder. The device shall have an accuracy of 1 percent
of the temperature being monitored in C or 0.5 C, whichever is
greater. The temperature sensor shall be installed at a location in the
furnace downstream of the combustion zone.
(v) For a boiler or process heater having a design heat input
capacity greater than or equal to 44 MW, a monitoring device equipped
with a continuous recorder to measure a parameter(s) that indicates good
combustion operating practices are being used.
(vi) For a condenser, either:
(A) A monitoring device equipped with a continuous recorder to
measure the concentration level of the organic compounds in the exhaust
vent stream from the condenser; or
(B) A temperature monitoring device equipped with a continuous
recorder. The device shall be capable of monitoring temperature at two
locations and have an accuracy of 1 percent of the temperature being
monitored in C or 0.5 C, whichever is greater. One temperature
sensor shall be installed at a location in the exhaust vent stream from
the condenser, and a second temperature sensor shall be installed at a
location in the coolant fluid exiting the condenser.
(vii) For a carbon adsorption system such as a fixed-bed carbon
adsorber that regenerates the carbon bed directly in the control device,
either:
(A) A monitoring device equipped with a continuous recorder to
measure the concentration level of the organic compounds in the exhaust
vent stream from the carbon bed, or
(B) A monitoring device equipped with a continuous recorder to
measure a parameter that indicates the carbon bed is regenerated on a
regular, predetermined time cycle.
(3) Inspect the readings from each monitoring device required by
paragraphs (f) (1) and (2) of this section at least once each operating
day to check control device operation and, if necessary, immediately
implement the corrective measures necessary to ensure the control device
operates in compliance with the requirements of this section.
(g) An owner or operator using a carbon adsorption system such as a
fixed-bed carbon adsorber that regenerates the carbon bed directly
onsite in the control device, shall replace the existing carbon in the
control device with fresh carbon at a regular, predetermined time
interval that is no longer than the carbon service life established as a
requirement of 265.1035(b)(4)(iii)(F).
(h) An owner or operator using a carbon adsorption system such as a
carbon canister that does not regenerate the carbon bed directly onsite
in the control device shall replace the existing carbon in the control
device with fresh carbon on a regular basis by using one of the
following procedures:
(1) Monitor the concentration level of the organic compounds in the
exhaust vent stream from the carbon adsorption system on a regular
schedule and replace the existing carbon with fresh carbon immediately
when carbon breakthrough is indicated. The monitoring frequency shall
be daily or at an interval no greater than 20 percent of the time
required to consume the total carbon working capacity established as a
requirement of 265.1035(b)(4)(iii)(G), whichever is longer.
(2) Replace the existing carbon with fresh carbon at a regular,
predetermined time interval that is less than the design carbon
replacement interval established as a requirement of
265.1035(b)(4)(iii)(G).
(i) An owner or operator of an affected facility seeking to comply
with the provisions of this part by using a control device other than a
thermal vapor incinerator, catalytic vapor incinerator, flare, boiler,
process heater, condenser, or carbon adsorption system is required to
develop documentation including sufficient information to describe the
control device operation and identify the process parameter or
parameters that indicate proper operation and maintenance of the control
device.
(j)(1) Closed-vent systems shall be designed for and operated with no
detectable emissions, as indicated by an instrument reading of less than
500 ppm above background and by visual inspections, as determined by the
methods specified as 265.1034(b).
(2) Closed-vent systems shall be monitored to determine compliance
with this section during the initial leak detection monitoring which
shall be conducted by the date that the facility becomes subject to the
provisions of this section, annually, and at other times as requested by
the Regional Administrator.
(3) Detectable emissions, as indicated by an instrument reading
greater than 500 ppm and visual inspections, shall be controlled as soon
as practicable, but not later than 15 calendar days after the emission
is detected.
(4) A first attempt at repair shall be made no later than 5 calendar
days after the emission is detected.
(k) Closed-vent systems and control devices used to comply with
provisions of this subpart shall be operated at all times when emissions
may be vented to them.
40 CFR 265.1034 Test methods and procedures.
(a) Each owner or operator subject to the provisions of this subpart
shall comply with the test methods and procedures requirements provided
in this section.
(b) When a closed-vent system is tested for compliance with no
detectable emissions, as required in 265.1033(j), the test shall comply
with the following requirements:
(1) Monitoring shall comply with Reference Method 21 in 40 CFR part
60.
(2) The detection instrument shall meet the performance criteria of
Reference Method 21.
(3) The instrument shall be calibrated before use on each day of its
use by the procedures specified in Reference Method 21.
(4) Calibration gases shall be:
(i) Zero air (less than 10 ppm of hydrocarbon in air).
(ii) A mixture of methane or n-hexane and air at a concentration of
approximately, but less than, 10,000 ppm methane or n-hexane.
(5) The background level shall be determined as set forth in
Reference Method 21.
(6) The instrument probe shall be traversed around all potential leak
interfaces as close to the interface as possible as described in
Reference Method 21.
(7) The arithmetic difference between the maximum concentration
indicated by the instrument and the background level is compared with
500 ppm for determining compliance.
(c) Performance tests to determine compliance with 265.1032(a) and
with the total organic compound concentration limit of 265.1033(c)
shall comply with the following:
(1) Performance tests to determine total organic compound
concentrations and mass flow rates entering and exiting control devices
shall be conducted and data reduced in accordance with the following
reference methods and calculation procedures:
(i) Method 2 in 40 CFR part 60 for velocity and volumetric flow rate.
(ii) Method 18 in 40 CFR part 60 for organic content.
(iii) Each performance test shall consist of three separate runs;
each run conducted for at least 1 hour under the conditions that exist
when the hazardous waste management unit is operating at the highest
load or capacity level reasonably expected to occur. For the purpose of
determining total organic compound concentrations and mass flow rates,
the average of results of all runs shall apply. The average shall be
computed on a time-weighted basis.
(iv) Total organic mass flow rates shall be determined by the
following equation:
where:
Eh=Total organic mass flow rate, kg/h;
Qsd=Volumetric flow rate of gases entering or exiting control device,
as determined by Method 2, dscm/h;
n=Number of organic compounds in the vent gas;
Ci=Organic concentration in ppm, dry basis, of compound i in the vent
gas, as determined by Method 18;
MWi=Molecular weight of organic compound i in the vent gas,
kg/kg-mol;
0.0416=Conversion factor for molar volume, kg-mol/m3 (@ 293 K and 760
mm Hg);
10^6=Conversion from ppm, ppm^1.
(v) The annual total organic emission rate shall be determined by the
following equation:
EA=(Eh) (H)
where:
EA=Total organic mass emission rate, kg/y;
Eh=Total organic mass flow rate for the process vent, kg/h;
H=Total annual hours of operations for the affected unit, h.
(vi) Total organic emissions from all affected process vents at the
facility shall be determined by summing the hourly total organic mass
emission rates (Eh, as determined in paragraph (c)(1)(iv) of this
section) and by summing the annual total organic mass emission rates
(EA, as determined in paragraph (c)(1)(v) of this section) for all
affected process vents at the facility.
(2) The owner or operator shall record such process information as
may be necessary to determine the conditions of the performance tests.
Operations during periods of startup, shutdown, and malfunction shall
not constitute representative conditions for the purpose of a
performance test.
(3) The owner or operator of an affected facility shall provide, or
cause to be provided, performance testing facilities as follows:
(i) Sampling ports adequate for the test methods specified in
paragraph (c)(1) of this section.
(ii) Safe sampling platform(s).
(iii) Safe access to sampling platform(s).
(iv) Utilities for sampling and testing equipment.
(4) For the purpose of making compliance determinations, the
time-weighted average of the results of the three runs shall apply. In
the event that a sample is accidentally lost or conditions occur in
which one of the three runs must be discontinued because of forced
shutdown, failure of an irreplaceable portion of the sample train,
extreme meteorological conditions, or other circumstances beyond the
owner or operator's control, compliance may, upon the Regional
Administrator's approval, be determined using the average of the results
of the two other runs.
(d) To show that a process vent associated with a hazardous waste
distillation, fractionation, thin-film evaporation, solvent extraction,
or air or steam stripping operation is not subject to the requirements
of this subpart, the owner or operator must make an initial
determination that the time-weighted, annual average total organic
concentration of the waste managed by the waste management unit is less
than 10 ppmw using one of the following two methods:
(1) Direct measurement of the organic concentration of the waste
using the following procedures:
(i) The owner or operator must take a minimum of four grab samples of
waste for each waste stream managed in the affected unit under process
conditions expected to cause the maximum waste organic concentration.
(ii) For waste generated onsite, the grab samples must be collected
at a point before the waste is exposed to the atmosphere such as in an
enclosed pipe or other closed system that is used to transfer the waste
after generation to the first affected distillation fractionation,
thin-film evaporation, solvent extraction, or air or steam stripping
operation. For waste generated offsite, the grab samples must be
collected at the inlet to the first waste management unit that receives
the waste provided the waste has been transferred to the facility in a
closed system such as a tank truck and the waste is not diluted or mixed
with other waste.
(iii) Each sample shall be analyzed and the total organic
concentration of the sample shall be computed using Method 9060 or 8240
of SW-846 (incorporated by reference under 260.11).
(iv) The arithmetic mean of the results of the analyses of the four
samples shall apply for each waste stream managed in the unit in
determining the time-weighted, annual average total organic
concentration of the waste. The time-weighted average is to be
calculated using the annual quantity of each waste stream processed and
the mean organic concentration of each waste stream managed in the unit.
(2) Using knowledge of the waste to determine that its total organic
concentration is less than 10 ppmw. Documentation of the waste
determination is required. Examples of documentation that shall be used
to support a determination under this provision include production
process information documenting that no organic compounds are used,
information that the waste is generated by a process that is identical
to a process at the same or another facility that has previously been
demonstrated by direct measurement to generate a waste stream having a
total organic content less than 10 ppmw, or prior speciation analysis
results on the same waste stream where it can also be documented that no
process changes have occurred since that analysis that could affect the
waste total organic concentration.
(e) The determination that distillation fractionation, thin-film
evaporation, solvent extraction, or air or steam stripping operations
manage hazardous wastes with time-weighted annual average total organic
concentrations less than 10 ppmw shall be made as follows:
(1) By the effective date that the facility becomes subject to the
provisions of this subpart or by the date when the waste is first
managed in a waste management unit, whichever is later; and
(2) For continuously generated waste, annually; or
(3) Whenever there is a change in the waste being managed or a change
in the process that generates or treats the waste.
(f) When an owner or operator and the Regional Administrator do not
agree on whether a distillation, fractionation, thin-film evaporation,
solvent extraction, or air or steam stripping operation manages a
hazardous waste with organic concentrations of at least 10 ppmw based on
knowledge of the waste, the procedures in Method 8240 can be used to
resolve the dispute.
(55 FR 25507, June 21, 1990, as amended at 56 FR 19290, Apr. 26,
1991)
40 CFR 265.1035 Recordkeeping requirements.
(a)(1) Each owner or operator subject to the provisions of this
subpart shall comply with the recordkeeping requirements of this
section.
(2) An owner or operator of more than one hazardous waste management
unit subject to the provisions of this subpart may comply with the
recordkeeping requirements for these hazardous waste management units in
one recordkeeping system if the system identifies each record by each
hazardous waste management unit.
(b) Owners and operators must record the following information in the
facility operating record:
(1) For facilities that comply with the provisions of
265.1033(a)(2), an implementation schedule that includes dates by which
the closed-vent system and control device will be installed and in
operation. The schedule must also include a rationale of why the
installation cannot be completed at an earlier date. The implementation
schedule must be in the facility operating record by the effective date
that the facility becomes subject to the provisions of this subpart.
(2) Up-to-date documentation of compliance with the process vent
standards in 265.1032. including:
(i) Information and data identifying all affected process vents,
annual throughput end operating hours of each affected unit, estimated
emission rates for each affected vent and for the overall facility
(i.e., the total emissions for all affected vents at the facility), and
the approximate location within the facility of each affected unit
(e.g., identify the hazardous waste management units on a facility plot
plan); and
(ii) Information and data supporting determinations of vent emissions
and emission reductions achieved by add-on control devices based on
engineering calculations or source tests. For the purpose of
determining compliance, determinations of vent emissions and emission
reductions must be made using operating parameter values (e.g.,
temperatures, flow rates or vent stream organic compounds and
concentrations) that represent the conditions that result in maximum
organic emissions, such as when the waste management unit is operating
at the highest load or capacity level reasonably expected to occur. If
the owner or operator takes any action (e.g., managing a waste of
different composition or increasing operating hours of affected waste
management units) that would result in an increase in total organic
emissions from affected process vents at the facility, then a new
determination is required.
(3) Where an owner or operator chooses to use test data to determine
the organic removal efficiency or total organic compound concentration
achieved by the control device, a performance test plan. The test plan
must include:
(i) A description of how it is determined that the planned test is
going to be conducted when the hazardous waste management unit is
operating at the highest load or capacity level reasonably expected to
occur. This shall include the estimated or design flow rate and organic
content of each vent stream and define the acceptable operating ranges
of key process and control device parameters during the test program.
(ii) A detailed engineering description of the closed-vent system and
control device including:
(A) Manufacturer's name and model number of control device.
(B) Type of control device.
(C) Dimensions of the control device.
(D) Capacity.
(E) Construction materials.
(iii) A detailed description of sampling and monitoring procedures,
including sampling and monitoring locations in the system, the equipment
to be used, sampling and monitoring frequency, and planned analytical
procedures for sample analysis.
(4) Documentation of compliance with 265.1033 shall include the
following information:
(i) A list of all information references and sources used in
preparing the documentation.
(ii) Records, including the dates, of each compliance test required
by 265.1033(j).
(iii) If engineering calculations are used, a design analysis,
specifications, drawings, schematics, and piping and instrumentation
diagrams based on the appropriate sections of ''APTI Course 415:
Control of Gaseous Emissions'' (incorporated by reference as specified
in 260.11) or other engineering texts acceptable to the Regional
Administrator that present basic control device design information.
Documentation provided by the control device manufacturer or vendor that
describes the control device design in accordance with paragraphs
(b)(4)(iii)(A) through (b)(4)(iii)(G) of this section may be used to
comply with this requirement. The design analysis shall address the
vent stream characteristics and control device operation parameters as
specified below.
(A) For a thermal vapor incinerator, the design analysis shall
consider the vent stream composition, constituent concentrations, and
flow rate. The design analysis shall also establish the design minimum
and average temperature in the combustion zone and the combustion zone
residence time.
(B) For a catalytic vapor incinerator, the design analysis shall
consider the vent stream composition, constituent concentrations, and
flow rate. The design analysis shall also establish the design minimum
and average temperatures across the catalyst bed inlet and outlet.
(C) For a boiler or process heater, the design analysis shall
consider the vent stream composition, constituent concentrations, and
flow rate. The design analysis shall also establish the design minimum
and average flame zone temperatures, combustion zone residence time, and
description of method and location where the vent stream is introduced
into the combustion zone.
(D) For a flare, the design analysis shall consider the vent stream
composition, constituent concentrations, and flow rate. The design
analysis shall also consider the requirements specified in 265.1033(d).
(E) For a condenser, the design analysis shall consider the vent
stream composition, constituent concentrations, flow rate, relative
humidity, and temperature. The design analysis shall also establish the
design outlet organic compound concentration level, design average
temperature of the condenser exhaust vent stream, and design average
temperatures of the coolant fluid at the condenser inlet and outlet.
(F) For a carbon adsorption system such as a fixed-bed adsorber that
regenerates the carbon bed directly onsite in the control device, the
design analysis shall consider the vent stream composition, constituent
concentrations, flow rate, relative humidity, and temperature. The
design analysis shall also establish the design exhaust vent stream
organic compound concentration level, number and capacity of carbon
beds, type and working capacity of activated carbon used for carbon
beds, design total steam flow over the period of each complete carbon
bed regeneration cycle, duration of the carbon bed steaming and
cooling/drying cycles, design carbon bed temperature after regeneration,
design carbon bed regeneration time, and design service life of carbon.
(G) For a carbon adsorption system such as a carbon canister that
does not regenerate the carbon bed directly onsite in the control
device, the design analysis shall consider the vent stream composition,
constituent concentrations, flow rate, relative humidity, and
temperature. The design analysis shall also establish the design outlet
organic concentration level, capacity of carbon bed, type and working
capacity of activated carbon used for carbon bed, and design carbon
replacement interval based on the total carbon working capacity of the
control device and source operating schedule.
(iv) A statement signed and dated by the owner or operator certifying
that the operating parameters used in the design analysis reasonably
represent the conditions that exist when the hazardous waste management
unit is or would be operating at the highest load or capacity level
reasonably expected to occur.
(v) A statement signed and dated by the owner or operator certifying
that the control device is designed to operate at an efficiency of 95
percent or greater unless the total organic concentration limit of
265.1032(a) is achieved at an efficiency less than 95 weight percent or
the total organic emission limits of 265.1032(a) for affected process
vents at the facility can be attained by a control device involving
vapor recovery at an efficiency less than 95 weight percent. A
statement provided by the control device manufacturer or vendor
certifying that the control equipment meets the design specifications
may be used to comply with this requirement.
(vi) If performance tests are used to demonstrate compliance, all
test results.
(c) Design documentation and monitoring, operating, and inspection
information for each closed-vent system and control device required to
comply with the provisions of this part shall be recorded and kept
up-to-date in the facility operating record. The information shall
include:
(1) Description and date of each modification that is made to the
closed-vent system or control device design.
(2) Identification of operating parameter, description of monitoring
device, and diagram of monitoring sensor location or locations used to
comply with 265.1033(f)(1) and (f)(2).
(3) Monitoring, operating and inspection information required by
paragraphs (f) through (j) of 265.1033.
(4) Date, time, and duration of each period that occurs while the
control device is operating when any monitored parameter exceeds the
value established in the control device design analysis as specified
below:
(i) For a thermal vapor incinerator designed to operate with a
minimum residence time of 0.50 seconds at a minimum temperature of 760
C. period when the combustion temperature is below 760 C.
(ii) For a thermal vapor incinerator designed to operate with an
organic emission reduction efficiency of 95 percent or greater, period
when the combustion zone temperature is more than 28 C below the design
average combustion zone temperature established as a requirement of
paragraph (b)(4)(iii)(A) of this section.
(iii) For a catalytic vapor incinerator, period when:
(A) Temperature of the vent stream at the catalyst bed inlet is more
than 28 C below the average temperature of the inlet vent stream
established as a requirement of paragraph (b)(4)(iii)(B) of this
section; or
(B) Temperature difference across the catalyst bed is less than 80
percent of the design average temperature difference established as a
requirement of paragraph (b)(4)(iii)(B) of this section.
(iv) For a boiler or process heater, period when:
(A) Flame zone temperature is more than 28 C below the design
average flame zone temperature established as a requirement of paragraph
(b)(4)(iii)(C) of this section; or
(B) Position changes where the vent stream is introduced to the
combustion zone from the location established as a requirement of
paragraph (b)(4)(iii)(C) of this section.
(v) For a flare, period when the pilot flame is not ignited.
(vi) For a condenser that complies with 265.1033(f)(2)(vi)(A),
period when the organic compound concentration level or readings of
organic compounds in the exhaust vent stream from the condenser are more
than 20 percent greater than the design outlet organic compound
concentration level established as a requirement of paragraph
(b)(4)(iii)(E) of this section.
(vii) For a condenser that complies with 265.1033(f)(2)(vi)(B),
period when:
(A) Temperature of the exhaust vent stream from the condenser is more
than 6 C above the design average exhaust vent stream temperature
established as a requirement of paragraph (b)(4)(iii)(E) of this
section; or
(B) Temperature of the coolant fluid exiting the condenser is more
than 6 C above the design average coolant fluid temperature at the
condenser outlet established as a requirement of paragraph
(b)(4)(iii)(E) of this section.
(viii) For a carbon adsorption system such as a fixed-bed carbon
adsorber that regenerates the carbon bed directly onsite in the control
device and complies with 265.1033(f)(2)(vii)(A), period when the
organic compound concentration level or readings of organic compounds in
the exhaust vent stream from the carbon bed are more than 20 percent
greater than the design exhaust vent stream organic compound
concentration level established as a requirement of paragraph
(b)(4)(iii)(F) of this section.
(ix) For a carbon adsorption system such as a fixed-bed carbon
adsorber that regenerates the carbon bed directly onsite in the control
device and complies with 265.1033(f)(2)(vii)(B), period when the vent
stream continues to flow through the control device beyond the
predetermined carbon bed regeneration time established as a requirement
of paragraph (b)(4)(iii)(F) of this section.
(5) Explanation for each period recorded under paragraph (c)(4) of
this section of the cause for control device operating parameter
exceeding the design value and the measures implemented to correct the
control device operation.
(6) For carbon adsorption systems operated subject to requirements
specified in 265.1033(g) or 265.1033(h)(2), date when existing carbon
in the control device is replaced with fresh carbon.
(7) For carbon adsorption systems operated subject to requirements
specified in 265.1033(h)(1), a log that records:
(i) Date and time when control device is monitored for carbon
breakthrough and the monitoring device reading.
(ii) Date when existing carbon in the control device is replaced with
fresh carbon.
(8) Date of each control device startup and shutdown.
(d) Records of the monitoring, operating, and inspection information
required by paragraphs (c)(3) through (c)(8) of this section need be
kept only 3 years.
(e) For a control device other than a thermal vapor incinerator,
catalytic vapor incinerator, flare, boiler, process heater, condenser,
or carbon adsorption system, monitoring and inspection information
indicating proper operation and maintenance of the control device must
be recorded in the facility operating record.
(f) Up-to-date information and data used to determine whether or not
a process vent is subject to the requirements in 265.1032 including
supporting documentation as required by 265.1034(d)(2) when application
of the knowledge of the nature of the hazardous waste stream or the
process by which it was produced is used, shall be recorded in a log
that is kept in the facility operating record.
(Approved by the Office of Management and Budget under control number
2060-0195)
(55 FR 25507, June 21, 1990, as amended at 56 FR 19290, Apr. 26,
1991)
265.1036 -- 265.1049 (Reserved)
40 CFR 265.1035 Subpart BB -- Air Emission Standards for Equipment
Leaks
Source: 55 FR 25512, June 21, 1990, unless otherwise noted.
40 CFR 265.1050 Applicability.
(a) The regulations in this subpart apply to owners and operators of
facilities that treat, store, or dispose of hazardous wastes (except as
provided in 265.1).
(b) Except as provided in 265.1064(j), this subpart applies to
equipment that contains or contacts hazardous wastes with organic
concentrations of at least 10 percent by weight that are managed in:
(1) Units that are subject to the permitting requirements of part
270, or
(2) Hazardous waste recycling units that are located on hazardous
waste management facilities otherwise subject to the permitting
requirements of part 270.
(c) Each piece of equipment to which this subpart applies shall be
marked in such a manner that it can be distinguished readily from other
pieces of equipment.
(d) Equipment that is in vacuum service is excluded from the
requirements of 265.1052 to 265.1060 if it is identified as required
in 265.1064(g)(5).
(Note: The requirements of 265.1052 through 265.1064 apply to
equipment associated with hazardous waste recycling units previously
exempt under paragraph 261.6(c)(1). Other exemptions under 261.4,
262.34, and 265.1(c) are not affected by these requirements.)
40 CFR 265.1051 Definitions.
As used in this subpart, all terms shall have the meaning given them
in 264.1031, the Act, and parts 260-266.
40 CFR 265.1052 Standards: Pumps in light liquid service.
(a)(1) Each pump in light liquid service shall be monitored monthly
to detect leaks by the methods specified in 265.1063(b), except as
provided in paragraphs (d), (e), and (f) of this section.
(2) Each pump in light liquid service shall be checked by visual
inspection each calendar week for indications of liquids dripping from
the pump seal.
(b)(1) If an instrument reading of 10,000 ppm or greater is measured,
a leak is detected.
(2) If there are indications of liquids dripping from the pump seal,
a leak is detected.
(c)(1) When a leak is detected, it shall be repaired as soon as
practicable, but not later than 15 calendar days after it is detected,
except as provided in 265.1059.
(2) A first attempt at repair (e.g., tightening the packing gland)
shall be made no later than 5 calendar days after each leak is detected.
(d) Each pump equipped with a dual mechanical seal system that
includes a barrier fluid system is exempt from the requirements of
paragraph (a), provided the following requirements are met:
(1) Each dual mechanical seal system must be:
(i) Operated with the barrier fluid at a pressure that is at all
times greater than the pump stuffing box pressure, or
(ii) Equipped with a barrier fluid degassing reservoir that is
connected by a closed-vent system to a control device that complies with
the requirements of 265.1060, or
(iii) Equipped with a system that purges the barrier fluid into a
hazardous waste stream with no detectable emissions to the atmosphere.
(2) The barrier fluid system must not be a hazardous waste with
organic concentrations 10 percent or greater by weight.
(3) Each barrier fluid system must be equipped with a sensor that
will detect failure of the seal system, the barrier fluid system or
both.
(4) Each pump must be checked by visual inspection, each calendar
week, for indications of liquids dripping from the pump seals.
(5)(i) Each sensor as described in paragraph (d)(3) of this section
must be checked daily or be equipped with an audible alarm that must be
checked monthly to ensure that it is functioning properly.
(ii) The owner or operator must determine, based on design
considerations and operating experience, a criterion that indicates
failure of the seal system, the barrier fluid system, or both.
(6)(i) If there are indications of liquids dripping from the pump
seal or the sensor indicates failure of the seal system, the barrier
fluid system, or both based on the criterion determined in paragraph
(d)(5)(ii) of this section, a leak is detected.
(ii) When a leak is detected, it shall be repaired as soon as
practicable, but not later than 15 calendar days after it is detected,
except as provided in 265.1059.
(iii) A first attempt at repair (e.g., relapping the seal) shall be
made no later than 5 calendar days after each leak is detected.
(e) Any pump that is designated, as described in 265.1064(g)(2), for
no detectable emissions, as indicated by an instrument reading of less
than 500 ppm above background, is exempt from the requirements of
paragraphs (a), (c), and (d) of this section if the pump meets the
following requirements:
(1) Must have no externally actuated shaft penetrating the pump
housing.
(2) Must operate with no detectable emissions as indicated by an
instrument reading of less than 500 ppm above background as measured by
the methods specified in 265.1063(c).
(3) Must be tested for compliance with paragraph (e)(2) of this
section initially upon designation, annually, and at other times as
requested by the Regional Administrator.
(f) If any pump is equipped with a closed-vent system capable of
capturing and transporting any leakage from the seal or seals to a
control device that complies with the requirements of 265.1060, it is
exempt from the requirements of paragraphs (a) through (e) of this
section.
(55 FR 25512, June 21, 1990, as amended at 56 FR 19290, Apr. 26,
1991)
40 CFR 265.1053 Standards: Compressors.
(a) Each compressor shall be equipped with a seal system that
includes a barrier fluid system and that prevents leakage of total
organic emissions to the atmosphere, except as provided in paragraphs
(h) and (i) of this section.
(b) Each compressor seal system as required in paragraph (a) of this
section shall be:
(1) Operated with the barrier fluid at a pressure that is at all
times greater than the compressor stuffing box pressure, or
(2) Equipped with a barrier fluid system that is connected by a
closed-vent system to a control device that complies with the
requirements of 265.1060, or
(3) Equipped with a system that purges the barrier fluid into a
hazardous waste stream with no detectable emissions to atmosphere.
(c) The barrier fluid must not be a hazardous waste with organic
concentrations 10 percent or greater by weight.
(d) Each barrier fluid system as described in paragraphs (a) through
(c) of this section shall be equipped with a sensor that will detect
failure of the seal system, barrier fluid system, or both.
(e)(1) Each sensor as required in paragraph (d) of this section shall
be checked daily or shall be equipped with an audible alarm that must be
checked monthly to ensure that it is functioning properly unless the
compressor is located within the boundary of an unmanned plant site, in
which case the sensor must be checked daily.
(2) The owner or operator shall determine, based on design
considerations and operating experience, a criterion that indicates
failure of the seal system, the barrier fluid system or both.
(f) If the sensor indicates failure of the seal system, the barrier
fluid system, or both based on the criterion determined under paragraph
(e)(2) of this section, a leak is detected.
(g)(1) When a leak is detected, it shall be repaired as soon as
practicable, but not later than 15 calendar days after it is detected,
except as provided in 265.1059.
(2) A first attempt at repair (e.g., tightening the packing gland)
shall be made no later than 5 calendar days after each leak is detected.
(h) A compressor is exempt from the requirements of paragraphs (a)
and (b) of this section if it is equipped with a closed-vent system
capable of capturing and transporting any leakage from the seal to a
control device that complies with the requirements of 265.1060, except
as provided in paragraph (i) of fhis section.
(i) Any compressor that is designated, as described in
265.1064(g)(2), for no detectable emission as indicated by an instrument
reading of less than 500 ppm above background is exempt from the
requirements of paragraphs (a) through (h) of this section if the
compressor:
(1) Is determined to be operating with no detectable emissions, as
indicated by an instrument reading of less than 500 ppm above
background, as measured by the method specified in 265.1063(c).
(2) Is tested for compliance with paragraph (i)(1) of this section
initially upon designation, annually, and at other times as requested by
the Regional Administrator.
40 CFR 265.1054 Standards: Pressure relief devices in gas/vapor
service.
(a) Except during pressure releases, each pressure relief device in
gas/vapor service shall be operated with no detectable emissions, as
indicated by an instrument reading of less than 500 ppm above
background, as measured by the method specified in 265.1063(c).
(b)(1) After each pressure release, the pressure relief device shall
be returned to a condition of no detectable emissions, as indicated by
an instrument reading of less than 500 ppm above background, as soon as
practicable, but no later than 5 calendar days after each pressure
release, except as provided in 265.1059.
(2) No later than 5 calendar days after the pressure release, the
pressure relief device shall be monitored to confirm the condition of no
detectable emissions, as indicated by an instrument reading of less than
500 ppm above background, as measured by the method specified in
265.1063(c).
(c) Any pressure relief device that is equipped with a closed-vent
system capable of capturing and transporting leakage from the pressure
relief device to a control device as described in 265.1060 is exempt
from the requirements of paragraphs (a) and (b) of this section.
40 CFR 265.1055 Standards: Sampling connecting systems.
(a) Each sampling connection system shall be equipped with a
closed-purge system or closed-vent system.
(b) Each closed-purge system or closed-vent system as required in
paragraph (a) shall:
(1) Return the purged hazardous waste stream directly to the
hazardous waste management process line with no detectable emissions to
atmosphere, or
(2) Collect and recycle the purged hazardous waste stream with no
detectable emissions to atmosphere, or
(3) Be designed and operated to capture and transport all the purged
hazardous waste stream to a control device that complies with the
requirements of 265.1060.
(c) In situ sampling systems are exempt from the requirements of
paragraphs (a) and (b) of this section.
40 CFR 265.1056 Standards: Open-ended valves or lines.
(a)(1) Each open-ended valve or line shall be equipped with a cap,
blind flange, plug, or a second valve.
(2) The cap, blind flange, plug, or second valve shall seal the open
end at all times except during operations requiring hazardous waste
stream flow through the open-ended valve or line.
(b) Each open-ended valve or line equipped with a second valve shall
be operated in a manner such that the valve on the hazardous waste
stream end is closed before the second valve is closed.
(c) When a double block and bleed system is being used, the bleed
valve or line may remain open during operations that require venting the
line between the block valves but shall comply with paragraph (a) of
this section at all other times.
40 CFR 265.1057 Standards: Valves in gas/vapor service or in light
liquid service.
(a) Each valve in gas/vapor or light liquid service shall be
monitored monthly to detect leaks by the methods specified in
265.1063(b) and shall comply with paragraphs (b) through (e) of this
section, except as provided in paragraphs (f), (g), and (h) of this
section' and 265.1061 and 265.1062.
(b) If an instrument reading of 10,000 ppm or greater is measured, a
leak is detected.
(c)(1) Any valve for which a leak is not detected for two successive
months may be monitored the first month of every succeeding quarter,
beginning with the next quarter, until a leak is detected.
(2) If a leak is detected, the valve shall be monitored monthly until
a leak is not detected for 2 successive months.
(d)(1) When a leak is detected, it shall be repaired as soon as
practicable, but no later than 15 calendar days after the leak is
detected, except as provided in 265.1059.
(2) A first attempt at repair shall be made no later than 5 calendar
days after each leak is detected.
(e) First attempts at repair include, but are not limited to, the
following best practices where practicable:
(1) Tightening of bonnet bolts.
(2) Replacement of bonnet bolts.
(3) Tightening of packing gland nuts.
(4) Injection of lubricant into lubricated packing.
(f) Any valve that is designated, as described in 265.1064(g)(2),
for no detectable emissions, as indicated by an instrument reading of
less than 500 ppm above background, is exempt from the requirements of
paragraph (a) of this section if the valve:
(1) Has no external actuating mechanism in contact with the hazardous
waste stream.
(2) Is operated with emissions less than 500 ppm above background as
determined by the method specified in 265.1063(c).
(3) Is tested for compliance with paragraph (f)(2) of this section
initially upon designation, annually, and at other times as requested by
the Regional Administrator.
(g) Any valve that is designated, as described in 265.1064(h)(1), as
an unsafe-to-monitor valve is exempt from the requirements of paragraph
(a) of this section if:
(1) The owner or operator of the valve determines that the valve is
unsafe to monitor because monitoring personnel would be exposed to an
immediate danger as a consequence of complying with paragraph (a) of
this section.
(2) The owner or operator of the valve adheres to a written plan that
requires monitoring of the valve as frequently as practicable during
safe-to-monitor times.
(h) Any valve that is designated, as described in 265.1064(h)(2), as
a difficult-to-monitor valve is exempt from the requirements of
paragraph (a) of this section if:
(1) The owner or operator of the valve determines that the valve
cannot be monitored without elevating the monitoring personnel more than
2 meters above a support surface.
(2) The hazardous waste management unit within which the valve is
located was in operation before June 21, 1990.
(3) The owner or operator of the valve follows a written plan that
requires monitoring of the valve at least once per calendar year.
40 CFR 265.1058 Standards: Pumps and valves in heavy liquid service,
pressure relief devices in light liquid or heavy liquid service, and
flanges and other connectors.
(a) Pumps and valves in heavy liquid service, pressure relief devices
in light liquid or heavy liquid service, and flanges and other
connectors shall be monitored within 5 days by the method specified in
265.1063(b) if evidence of a potential leak is found by visual, audible,
olfactory, or any other detection method.
(b) If an instrument reading of 10,000 ppm or greater is measured, a
leak is detected.
(c)(1) When a leak is detected, it shall be repaired as soon as
practicable, but not later than 15 calendar days after it is detected,
except as provided in 265.1059.
(2) The first attempt at repair shall be made no later than 5
calendar days after each leak is detected.
(d) First attempts at repair include, but are not limited to, the
best practices described under 265.1057(e).
40 CFR 265.1059 Standards: Delay of repair.
(a) Delay of repair of equipment for which leaks have been detected
will be allowed if the repair is technically infeasible without a
hazardous waste management unit shutdown. In such a case, repair of
this equipment shall occur before the end of the next hazardous waste
management unit shutdown.
(b) Delay of repair of equipment for which leaks have been detected
will be allowed for equipment that is isolated from the hazardous waste
management unit and that does not continue to contain or contact
hazardous waste with organic concentrations at least 10 percent by
weight.
(c) Delay of repair for valves will be allowed if:
(1) The owner or operator determines that emissions of purged
material resulting from immediate repair are greater than the emissions
likely to result from delay of repair.
(2) When repair procedures are effected, the purged material is
collected and destroyed or recovered in a control device complying with
265.1060.
(d) Delay of repair for pumps will be allowed if:
(1) Repair requires the use of a dual mechanical seal system that
includes a barrier fluid system.
(2) Repair is completed as soon as practicable, but not later than 6
months after the leak was detected.
(e) Delay of repair beyond a hazardous waste management unit shutdown
will be allowed for a valve if valve assembly replacement is necessary
during the hazardous waste management unit shutdown, valve assembly
supplies have been depleted, and valve assembly supplies had been
sufficiently stocked before the supplies were depleted. Delay of repair
beyond the next hazardous waste management unit shutdown will not be
allowed unless the next hazardous waste management unit shutdown occurs
sooner than 6 months after the first hazardous waste management unit
shutdown.
40 CFR 265.1060 Standards: Closed-vent systems and control devices.
Owners or operators of closed-vent systems and control devices shall
comply with the provisions of 265.1033.
40 CFR 265.1061 Alternative standards for valves in gas/vapor service
or in light liquid service: percentage of valves allowed to leak.
(a) An owner or operator subject to the requirements of 265.1057 may
elect to have all valves within a hazardous waste management unit comply
with an alternative standard which allows no greater than 2 percent of
the valves to leak.
(b) The following requirements shall be met if an owner or operator
decides to comply with the alternative standard of allowing 2 percent of
valves to leak:
(1) An owner or operator must notify the Regional Administrator that
the owner or operator has elected to comply with the requirements of
this section.
(2) A performance test as specified in paragraph (c) of this section
shall be conducted initially upon designation, annually, and at other
times requested by the Regional Administrator.
(3) If a valve leak is detected, it shall be repaired in accordance
with 265.1057 (d) and (e).
(c) Performance tests shall be conducted in the following manner:
(1) All valves subject to the requirements in 265.1057 within the
hazardous waste management unit shall be monitored within 1 week by the
methods specified in 265.1063(b).
(2) If an instrument reading of 10,000 ppm or greater is measured, a
leak is detected.
(3) The leak percentage shall be determined by dividing the number of
valves subject to the requirements in 265.1057 for which leaks are
detected by the total number of valves subject to the requirements in
265.1057 within the hazardous waste management unit.
(d) If an owner or operator decides no longer to comply with this
section, the owner or operator must notify the Regional Administrator in
writing that the work practice standard described in 265.1057 (a)
through (e) will be followed.
40 CFR 265.1062 Alternative standards for valves in gas/vapor service
or in light liquid service: skip period leak detection and repair.
(a)(1) An owner or operator subject to the requirements of 265.1057
may elect for all valves within a hazardous waste management unit to
comply with one of the alternative work practices specified in
paragraphs (b) (2) and (3) of this section.
(2) An owner or operator must notify the Regional Administrator
before implementing one of the alternative work practices.
(b)(1) An owner or operator shall comply with the requirements for
valves, as described in 265.1057, except as described in paragraphs
(b)(2) and (b)(3) of this section.
(2) After two consecutive quarterly leak detection periods with the
percentage of valves leaking equal to or less than 2 percent, an owner
or operator may begin to skip one of the quarterly leak detection
periods for the valves subject to the requirements in 265.1057.
(3) After five consecutive quarterly leak detection periods with the
percentage of valves leaking equal to or less than 2 percent, an owner
or operator may begin to skip three of the quarterly leak detection
periods for the valves subject to the requirements in 265.1057.
(4) If the percentage of valves leaking is greater than 2 percent,
the owner or operators hall monitor monthly in compliance with the
requirements in 265.1057, but may again elect to use this section after
meeting the requirements of 265.1057(c)(1).
40 CFR 265.1063 Test methods and procedures.
(a) Each owner or operator subject to the provisions of this subpart
shall comply with the test methods and procedures requirements provided
in this section.
(b) Leak detection monitoring, as required in 265.1052 through
265.1062, shall comply with the following requirements:
(1) Monitoring shall comply with Reference Method 21 in 40 CFR part
60.
(2) The detection instrument shall meet the performance criteria of
Reference Method 21.
(3) The instrument shall be calibrated before use on each day of its
use by the procedures specified in Reference Method 21.
(4) Calibration gases shall be:
(i) Zero air (less than 10 ppm of hydrocarbon in air).
(ii) A mixture of methane or n-hexane and air at a concentration of
approximately, but less than, 10.000 ppm methane or n-hexane.
(5) The instrument probe shall be traversed around all potential leak
interfaces as close to the interface as possible as described in
Reference Method 21.
(c) When equipment is tested for compliance with no detectable
emissions, as required in 265.1052(e), 265.1053(i), 265.1054, and
265.1057(f), the test shall comply with the following requirements:
(1) The requirements of paragraphs (b) (1) through (4) of this
section shall apply.
(2) The background level shall be determined, as set forth in
Reference Method 21.
(3) The instrument probe shall be traversed around all potential leak
interfaces as close to the interface as possible as described in
Reference Method 21.
(4) The arithmetic difference between the maximum concentration
indicated by the instrument and the background level is compared with
500 ppm for determining compliance.
(d) In accordance with the waste analysis plan required by
265.13(b), an owner or operator of a facility must determine, for each
piece of equipment, whether the equipment contains or contacts a
hazardous waste with organic concentration that equals or exceeds 10
percent by weight using the following:
(1) Methods described in ASTM Methods D 2267-88, E 169-87, E 168-88,
E 260-85 (incorporated by reference under 260.11);
(2) Method 9060 or 8240 of SW-846 (incorporated by reference under
260.11); or
(3) Application of the knowledge of the nature of the hazardous waste
stream or the process by which it was produced. Documentation of a
waste determination by knowledge is required. Examples of documentation
that shall be used to support a determination under this provision
include production process information documenting that no organic
compounds are used, information that the waste is generated by a process
that is identical to a process at the same or another facility that has
previously been demonstrated by direct measurement to have a total
organic content less than 10 percent, or prior speciation analysis
results on the same waste stream where it can also be documented that no
process changes have occurred since that analysis that could affect the
waste total organic concentration.
(e) If an owner or operator determines that a piece of equipment
contains or contacts a hazardous waste with organic concentrations at
least 10 percent by weight, the determination can be revised only after
following the procedures in paragraph (d)(1) or (d)(2) of this section.
(f) When an owner or operator and the Regional Administrator do not
agree on whether a piece of equipment contains or contacts a hazardous
waste with organic concentrations at least 10 percent by weight, the
procedures in paragraph (d)(1) or (d)(2) of this section can be used to
resolve the dispute.
(g) Samples used in determining the percent organic content shall be
representative of the highest total organic content hazardous waste that
is expected to be contained in or contact the equipment.
(h) To determine if pumps or valves are in light liquid service, the
vapor pressures of constituents may be obtained from standard reference
texts or may be determined by ASTM D-2879-86 (incorporated by reference
under 260.11).
(i) Performance tests to determine if a control device achieves 95
weight percent organic emission reduction shall comply with the
procedures of 265.1034 (c)(1) through (c)(4).
40 CFR 265.1064 Recordkeeping requirements.
(a)(1) Each owner or operator subject to the provisions of this
subpart shall comply with the recordkeeping requirements of this
section.
(2) An owner or operator of more than one hazardous waste management
unit subject to the provisions of this subpart may comply with the
recordkeeping requirements for these hazardous waste management units in
one recordkeeping system if the system identifies each record by each
hazardous waste management unit.
(b) Owners and operators must record the following information in the
facility operating record:
(1) For each piece of equipment to which subpart BB of part 265
applies:
(i) Equipment identification number and hazardous waste management
unit identification.
(ii) Approximate locations within the facility (e.g., identify the
hazardous waste management unit on a facility plot plan).
(iii) Type of equipment (e.g., a pump or pipeline valve).
(iv) Percent-by-weight total organics in the hazardous waste stream
at the equipment.
(v) Hazardous waste state at the equipment (e.g., gas/vapor or
liquid).
(vi) Method of compliance with the standard (e.g., ''monthly leak
detection and repair'' or ''equipped with dual mechanical seals'').
(2) For facilities that comply with the provisions of
265.1033(a)(2), an implementation schedule as specified in
265.1033(a)(2).
(3) Where an owner or operator chooses to use test data to
demonstrate the organic removal efficiency or total organic compound
concentration achieved by the control device, a performance test plan as
specified in 265.1035(b)(3).
(4) Documentation of compliance with 265.1060, including the
detailed design documentation or performance test results specified in
265.1035(b)(4).
(c) When each leak is detected as specified in 265.1052, 265.1053,
265.1057, and 265.1058, the following requirements apply:
(1) A weatherproof and readily visible identification, marked with
the equipment identification number, the date evidence of a potential
leak was found in accordance with 265.1058(a), and the date the leak
was detected, shall be attached to the leaking equipment.
(2) The identification on equipment, except on a valve, may be
removed after it has been repaired.
(3) The identification on a valve may be removed after it has been
monitored for 2 successive months as specified in 265.1057(c) and no
leak has been detected during those 2 months.
(d) When each leak is detected as specified in 265.1052, 265.1053,
265.1057, and 265.1058, the following information shall be recorded in
an inspection log and shall be kept in the facility operating record:
(1) The instrument and operator identification numbers and the
equipment identification number.
(2) The date evidence of a potential leak was found in accordance
with 265.1058(a).
(3) The date the leak was detected and the dates of each attempt to
repair the leak.
(4) Repair methods applied in each attempt to repair the leak.
(5) ''Above 10,000'' if the maximum instrument reading measured by
the methods specified in 265.1063(b) after each repair attempt is equal
to or greater than 10,000 ppm.
(6) ''Repair delayed'' and the reason for the delay if a leak is not
repaired within 15 calendar days after discovery of the leak.
(7) Documentation supporting the delay of repair of a valve in
compliance with 265.1059(c).
(8) The signature of the owner or operator (or designate) whose
decision it was that repair could not be effected without a hazardous
waste management unit shutdown.
(9) The expected date of successful repair of the leak if a leak is
not repaired within 15 calendar days.
(10) The date of successful repair of the leak.
(e) Design documentation and monitoring, operating, and inspection
information for each closed-vent system and control device required to
comply with the provisions of 265.1060 shall be recorded and kept
up-to-date in the facility operating record as specified in
265.1035(c). Design documentation is specified in 265.1035 (c)(1) and
(c)(2) and monitoring, operating, and inspection information in
265.1035 (c)(3)-(c)(8).
(f) For a control device other than a thermal vapor incinerator,
catalytic vapor incinerator, flare, boiler, process heater, condenser,
or carbon adsorption system, monitoring and inspection information
indicating proper operation and maintenance of the control device must
be recorded in the facility operating record.
(g) The following information pertaining to all equipment subject to
the requirements in 265.1052 through 265.1060 shall be recorded in a
log that is kept in the facility operating record:
(1) A list of identification numbers for equipment (except welded
fittings) subject to the requirements of this subpart.
(2)(i) A list of identification numbers for equipment that the owner
or operator elects to designate for no detectable emissions, as
indicated by an instrument reading of less than 500 ppm above
background, under the provisions of 265.1052(e), 265.1053(i), and
265.1057(f).
(ii) The designation of this equipment as subject to the requirements
of 265.1052(e), 265.1053(i), or 265.1057(f) shall be signed by the
owner or operator.
(3) A list of equipment identification numbers for pressure relief
devices required to comply with 265.1054(a).
(4)(i) The dates of each compliance test required in 265.1052(e),
265.1053(i), 265.1054, and 265.1057(f).
(ii) The background level measured during each compliance test.
(iii) The maximum instrument reading measured at the equipment during
each compliance test.
(5) A list of identification numbers for equipment in vacuum service.
(h) The following information pertaining to all valves subject to the
requirements of 265.1057 (g) and (h) shall be recorded in a log that is
kept in the facility operating record:
(1) A list of identification numbers for valves that are designated
as unsafe to monitor, an explanation for each valve stating why the
valve is unsafe to monitor, and the plan for monitoring each valve.
(2) A list of identification numbers for valves that are designated
as difficult to monitor, an explanation for each valve stating why the
valve is difficult to monitor, and the planned schedule for monitoring
each valve.
(i) The following information shall be recorded in the facility
operating record for valves complying with 265.1062:
(1) A schedule of monitoring.
(2) The percent of valves found leaking during each monitoring
period.
(j) The following information shall be recorded in a log that is kept
in the facility operating record:
(1) Criteria required in 265.1052(d)(5)(ii) and 265.1053(e)(2) and
an explanation of the criteria.
(2) Any changes to these criteria and the reasons for the changes.
(k) The following information shall be recorded in a log that is kept
in the facility operating record for use in determining exemptions as
provided in the applicability section of this subpart and other specific
subparts:
(1) An analysis determining the design capacity of the hazardous
waste management unit.
(2) A statement listing the hazardous waste influent to and effluent
from each hazardous waste management unit subject to the requirements in
265.1052 through 265.1060 and an analysis determining whether these
hazardous wastes are heavy liquids.
(3) An up-to-date analysis and the supporting information and data
used to determine whether or not equipment is subject to the
requirements in 265.1052 through 265.1060. The record shall include
supporting documentation as required by 265.1063(d)(3) when application
of the knowledge of the nature of the hazardous waste stream or the
process by which it was produced is used. If the owner or operator
takes any action (e.g., changing the process that produced the waste)
that could result in an increase in the total organic content of the
waste contained in or contacted by equipment determined not to be
subject to the requirements in 265.1052 through 265.1060, then a new
determination is required.
(l) Records of the equipment leak information required by paragraph
(d) of this section and the operating information required by paragraph
(e) of this section need be kept only 3 years.
(m) The owner or operator of any facility that is subject to this
subpart and to regulations at 40 CFR part 60, subpart VV, or 40 CFR part
61, subpart V, may elect to determine compliance with this subpart by
documentation either pursuant to 265.1064 of this subpart, or pursuant
to those provisions of 40 CFR part 60 or 61, to the extent that the
documentation under the regulation at 40 CFR part 60 or part 61
duplicates the documentation required under this subpart. The
documentation under the regulation at 40 CFR part 60 or part 61 shall be
kept with or made readily available with the facility operating record.
(Approved by the Office of Management and Budget under control number
2060-0195)
(55 FR 25512, June 21, 1990, as amended at 56 FR 19290, Apr. 26,
1991)
265.1065 -- 265.1079 (Reserved)
40 CFR 265.1064 Appendices to Part 265
40 CFR 265.1064 Pt. 265, App. I
40 CFR 265.1064 Appendix I to Part 265 -- Recordkeeping Instructions
The recordkeeping provisions of 265.73 specify that an owner or
operator must keep a written operating record at his facility. This
appendix provides additional instructions for keeping portions of the
operating record. See 265.73(b) for additional recordkeeping
requirements.
The following information must be recorded, as it becomes available,
and maintained in the operating record until closure of the facility in
the following manner:
Records of each hazardous waste received, treated, stored, or
disposed of at the facility which include the following:
(1) A description by its common name and the EPA Hazardous Waste
Number(s) from part 261 of this chapter which apply to the waste. The
waste description also must include the waste's physical form, i.e.,
liquid, sludge, solid, or contained gas. If the waste is not listed in
part 261, subpart D, of this chapter, the description also must include
the process that produced it (for example, solid filter cake from
production of ------ , EPA Hazardous Waste Number W051).
Each hazardous waste listed in part 261, subpart D, of this chapter,
and each hazardous waste characteristic defined in part 261, subpart C,
of this chapter, has a four-digit EPA Hazardous Waste Number assigned to
it. This number must be used for recordkeeping and reporting purposes.
Where a hazardous waste contains more than one listed hazardous waste,
or where more than one hazardous waste characteristic applies to the
waste, the waste description must include all applicable EPA Hazardous
Waste Numbers.
(2) The estimated or manifest-reported weight, or volume and density,
where applicable, in one of the units of measure specified in Table 1;
and
(3) The method(s) (by handling code(s) as specified in Table 2) and
date(s) of treatment, storage, or disposal.
Enter the handling code(s) listed below that most closely represents
the technique(s) used at the facility to treat, store, or dispose of
each quantity of hazardous waste received.
S01 Container (barrel, drum, etc.)
S02 Tank
S03 Waste pile
S04 Surface impoundment
S05 Other (specify)
(a) Thermal Treatment
T06 Liquid injection incinerator
T07 Rotary kiln incinerator
T08 Fluidized bed incinerator
T09 Multiple hearth incinerator
T10 Infrared furnace incinerator
T11 Molten salt destructor
T12 Pyrolysis
T13 Wet air oxidation
T14 Calcination
T15 Microwave discharge
T16 Cement kiln
T17 Lime kiln
T18 Other (specify)
(b) Chemical Treatment
T19 Absorption mound
T20 Absorption field
T21 Chemical fixation
T22 Chemical oxidation
T23 Chemical precipitation
T24 Chemical reduction
T25 Chlorination
T26 Chlorinolysis
T27 Cyanide destruction
T28 Degradation
T29 Detoxification
T30 Ion exchange
T31 Neutralization
T32 Ozonation
T33 Photolysis
T34 Other (specify)
(c) Physical Treatment:
(1) Separation of components
T35 Centrifugation
T36 Clarification
T37 Coagulation
T38 Decanting
T39 Encapsulation
T40 Filtration
T41 Flocculation
T42 Flotation
T43 Foaming
T44 Sedimentation
T45 Thickening
T46 Ultrafiltration
T47 Other (specify)
(2) Removal of Specific Components
T48 Absorption-molecular sieve
T49 Activated carbon
T50 Blending
T51 Catalysis
T52 Crystallization
T53 Dialysis
T54 Distillation
T55 Electrodialysis
T56 Electrolysis
T57 Evaporation
T58 High gradient magnetic separation
T59 Leaching
T60 Liquid ion exchange
T61 Liquid-liquid extraction
T62 Reverse osmosis
T63 Solvent recovery
T64 Stripping
T65 Sand filter
T66 Other (specify)
(d) Biological Treatment
T67 Activated sludge
T68 Aerobic lagoon
T69 Aerobic tank
T70 Anaerobic lagoon
T71 Composting
T72 Septic tank
T73 Spray irrigation
T74 Thickening filter
T75 Tricking filter
T76 Waste stabilization pond
T77 Other (specify)
T78-79 (Reserved)
D80 Underground injection
D81 Landfill
D82 Land treatment
D83 Ocean disposal
D84 Surface impoundment (to be closed as a landfill)
D85 Other (specify)
40 CFR 265.1064 Appendix II to Part 265 -- (Reserved)
40 CFR 265.1064 Appendix III to Part 265 -- EPA Interim Primary Drinking Water Standards
40 CFR 265.1064 Pt. 265, App. III
40 CFR 265.1064 Pt. 265, App. IV
40 CFR 265.1064 Appendix IV to Part 265 -- Tests for Significance
As required in 265.93(b) the owner or operator must use the
Student's t-test to determine statistically significant changes in the
concentration or value of an indicator parameter in periodic
ground-water samples when compared to the initial background
concentration or value of that indicator parameter. The comparison must
consider individually each of the wells in the monitoring system. For
three of the indicator parameters (specific conductance, total organic
carbon, and total organic halogen) a single-tailed Student's t-test must
be used to test at the 0.01 level of significance for significant
increases over background. The difference test for pH must be a
two-tailed Student's t-test at the overall 0.01 level of significance.
The student's t-test involves calculation of the value of a
t-statistic for each comparison of the mean (average) concentration or
value (based on a minimum of four replicate measurements) of an
indicator parameter with its initial background concentration or value.
The calculated value of the t-statistic must then be compared to the
value of the t-statistic found in a table for t-test of significance at
the specified level of significance. A calculated value of t which
exceeds the value of t found in the table indicates a statistically
significant change in the concentration or value of the indicator
parameter.
Formulae for calculation of the t-statistic and tables for t-test of
significance can be found in most introductory statistics texts.
40 CFR 265.1064 Pt. 265, App. V
40 CFR 265.1064 Appendix V to Part 265 -- Examples of Potentially
Incompatible Waste
Many hazardous wastes, when mixed with other waste or materials at a
hazardous waste facility, can produce effects which are harmful to human
health and the environment, such as (1) heat or pressure, (2) fire or
explosion, (3) violent reaction, (4) toxic dusts, mists, fumes, or
gases, or (5) flammable fumes or gases.
Below are examples of potentially incompatible wastes, waste
components, and materials, along with the harmful consequences which
result from mixing materials in one group with materials in another
group. The list is intended as a guide to owners or operators of
treatment, storage, and disposal facilities, and to enforcement and
permit granting officials, to indicate the need for special precautions
when managing these potentially incompatible waste materials or
components.
This list is not intended to be exhaustive. An owner or operator
must, as the regulations require, adequately analyze his wastes so that
he can avoid creating uncontrolled substances or reactions of the type
listed below, whether they are listed below or not.
It is possible for potentially incompatible wastes to be mixed in a
way that precludes a reaction (e.g., adding acid to water rather than
water to acid) or that neutralizes them (e.g., a strong acid mixed with
a strong base), or that controls substances produced (e.g., by
generating flammable gases in a closed tank equipped so that ignition
cannot occur, and burning the gases in an incinerator).
In the lists below, the mixing of a Group A material with a Group B
material may have the potential consequence as noted.
Potential consequences: Heat generation; violent reaction.
Potential consequences: Fire or explosion; generation of flammable
hydrogen gas.
Potential consequences: Fire, explosion, or heat generation;
generation of flammable or toxic gases.
Potential consequences: Fire, explosion, or violent reaction.
Potential consequences: Generation of toxic hydrogen cyanide or
hydrogen sulfide gas.
Potential consequences: Fire, explosion, or violent reaction.
Source: ''Law, Regulations, and Guidelines for Handling of Hazardous
Waste.'' California Department of Health, February 1975.
40 CFR 265.1064 PART 266 -- STANDARDS FOR THE MANAGEMENT OF SPECIFIC HAZARDOUS WASTES AND SPECIFIC TYPES OF HAZARDOUS WASTE MANAGEMENT FACILITIES
40 CFR 265.1064 Subparts A -- B (Reserved)
40 CFR 265.1064 Subpart C -- Recyclable Materials Used in a Manner
Constituting Disposal
Sec.
266.20 Applicability.
266.21 Standards applicable to generators and transporters of
materials used in a manner that constitute disposal.
266.22 Standards applicable to storers of materials that are to be
used in a manner that constitutes disposal who are not the ultimate
users.
266.23 Standards applicable to users of materials that are used in a
manner that constitutes disposal.
40 CFR 265.1064 Subpart D -- (Reserved)
40 CFR 265.1064 Subpart E -- Used Oil Burned for Energy Recovery
266.40 Applicability.
266.41 Prohibitions.
266.42 Standards applicable to generators of used oil burned for
energy recovery.
266.43 Standards applicable to marketers of used oil burned for
energy recovery.
266.44 Standards applicable to burners of used oil burned for energy
recovery.
40 CFR 265.1064 Subpart F -- Recyclable Materials Utilized for Precious
Metal Recovery
266.70 Applicability and requirements.
40 CFR 265.1064 Subpart G -- Spent Lead-Acid Batteries Being Reclaimed
266.80 Applicability and requirements.
40 CFR 265.1064 Subpart H -- Hazardous Waste Burned in Boilers and
Industrial Furnaces (effective August 21, 1991)
266.100 Applicability.
266.101 Management prior to burning.
266.102 Permit standards for burners.
266.103 Interim status standards for burners.
266.104 Standards to control organic emissions.
266.105 Standards to control particulate matter.
266.106 Standards to control metals emissions.
266.107 Standards to control hydrogen chloride (HCl) and chlorine gas
(Cl2) emissions.
266.108 Small quantity on-site burner exemption.
266.109 Low risk waste exemption.
266.110 Waiver of DRE trial burn for boilers.
266.111 Standards for direct transfer.
266.112 Regulation of residues.
40 CFR 265.1064 Appendices to Part 266
Appendix I -- Tier I and Tier II Feed Rate and Emissions Screening
Limits for Metals
Appendix II -- Tier I Feed Rate Screening Limits for Total Chlorine
and Chloride
Appendix III -- Tier II Emission Rate Screening Limits for Free
Chlorine and Hydrogen Chloride
Appendix IV -- Reference Air Concentrations
Appendix V -- Risk Specific Doses (10^5)
Appendix VI -- Stack Plume Rise
Appendix VII -- Health-Based Limits for Exclusion of Waste-Derived
Residues
Appendix VIII -- Potential PICs for Determination of Exclusion of
Waste-Derived Residues
Appendix IX -- Methods Manual for Compliance With the BIF Regulations
Appendix X -- Guideline on Air Quality Models (Revised)
Authority: Secs. 1006, 2002(a), 3004, and 3014 of the Solid Waste
Disposal Act, as amended by the Resource Conservation and Recovery Act
of 1976, as amended (42 U.S.C. 6905, 6912(a), 6924, and 6934).
Source: 50 FR 666, Jan. 4, 1985, unless otherwise noted.
40 CFR 265.1064 Subparts A -- B (Reserved)
40 CFR 265.1064 Subpart C -- Recyclable Materials Used in a Manner Constituting Disposal
40 CFR 266.20 Applicability.
(a) The regulations of this subpart apply to recyclable materials
that are applied to or placed on the land:
(1) Without mixing with any other substance(s); or
(2) After mixing or conmbination with any other substance(s). These
materials will be referred to throughout this subpart as ''materials
used in a manner that constitutes disposal.''
(b) Products produced for the general public's use that are used in a
manner that constitutes disposal and that contain recyclable materials
are not presently subject to regulation if the recyclable materials have
undergone a chemical reaction in the course of producing the products so
as to become inseparable by physical means and if such products meet the
applicable treatment standards in subpart D of part 268 (or applicable
prohibition levels in 268.32 or RCRA section 3004(d), where no
treatment standards have been established) for each recyclable material
(i.e., hazardous waste) that they contain. Commercial fertilizers that
are produced for the general public's use that contain recyclable
materials also are not presently subject to regulation provided they
meet these same treatment standards or prohibition levels for each
recyclable material that they contain. However, zinc-containing
fertilizers using hazardous waste K061 that are produced for the general
public's use are not presently subject to regulation.
(50 FR 666, Jan. 4, 1985, as amended at 52 FR 21307, June 5, 1987;
54 FR 36970, Sept. 6, 1989)
40 CFR 266.21 Standards applicable to generators and transporters of
materials used in a manner that constitute disposal.
Generators and transporters of materials that are used in a manner
that constitutes disposal are subject to the applicable requirements of
parts 262 and 263 of this chapter, and the notification requirement
under section 3010 of RCRA.
40 CFR 266.22 Standards applicable to storers of materials that are to
be used in a manner that constitutes disposal who are not the ultimate
users.
Owners or operators of facilities that store recyclable materials
that are to be used in a manner that constitutes disposal, but who are
not the ultimate users of the materials, are regulated under all
applicable provisions of subparts A through L of parts 264 and 265 and
parts 270 and 124 of this chapter and the notification requirement under
section 3010 of RCRA.
40 CFR 266.23 Standards applicable to users of materials that are used
in a manner that constitutes disposal.
(a) Owners or operators of facilities that use recyclable materials
in a manner that constitutes disposal are regulated under all applicable
provisions of subparts A through N of parts 264 and 265 and parts 270
and 124 of this chapter and the notification requirement under section
3010 of RCRA. (These requirements do not apply to products which
contain these recyclable materials under the provisions of 266.20(b) of
this chapter.)
(b) The use of waste or used oil or other material, which is
contaminated with dioxin or any other hazardous waste (other than a
waste identified solely on the basis of ignitability), for dust
suppression or road treatment is prohibited.
(50 FR 666, Jan. 4, 1985, as amended at 50 FR 28750, July 15, 1985)
40 CFR 266.23 Subpart D -- (Reserved)
40 CFR 266.23 Subpart E -- Used Oil Burned for Energy Recovery
Source: 50 FR 49205, Nov. 29, 1985, unless otherwise noted.
40 CFR 266.40 Applicability.
(a) The regulations of this subpart apply to used oil that is burned
for energy recovery in any boiler or industrial furnace that is not
regulated under subpart O of part 264 or 265 of this chapter, except as
provided by paragraphs (c) and (e) of this section. Such used oil is
termed ''used oil fuel''. Used oil fuel includes any fuel produced from
used oil by processing, blending, or other treatment.
(b) ''Used oil'' means any oil that has been refined from crude oil,
used, and, as a result of such use, is contaminated by physical or
chemical impurities.
(c) Except as provided by paragraph (d) of this section, used oil
that is mixed with hazardous waste and burned for energy recovery is
subject to regulation as hazardous waste fuel under subpart H of part
266. Used oil containing more than 1000 ppm of total halogens is
presumed to be a hazardous waste because it has been mixed with
halogenated hazardous waste listed in subpart D of part 261 of this
chapter. Persons may rebut this presumption by demonstrating that the
used oil does not contain hazardous waste (for example, by showing that
the used oil does not contain significant concentrations of halogenated
hazardous constituents listed in appendix VIII of part 261 of this
chapter).
(d) Used oil burned for energy recovery is subject to regulation
under this subpart rather than as hazardous waste fuel under subpart H
of this part if it is a hazardous waste solely because it:
(1) Exhibits a characteristic of hazardous waste identified in
subpart C of part 261 of this chapter, provided that it is not mixed
with a hazardous waste; or
(2) Contains hazardous waste generated only by a person subject to
the special requirements for small quantity generators under 261.5 of
this chapter.
(e) Except as provided by paragraph (c) of this section, used oil
burned for energy recovery, and any fuel produced from used oil by
processing, blending, or other treatment, is subject to regulation under
this subpart unless it is shown not to exceed any of the allowable
levels of the constituents and properties in the specification shown in
the following table. Used oil fuel that meets the specification is
subject only to the analysis and recordkeeping requirements under
266.43(b) (1) and (6). Used oil fuel that exceeds any specification
level is termed ''off-specification used oil fuel''.
(50 FR 49205, Nov. 29, 1985, as amended at 56 FR 32692, July 17,
1991; 56 FR 42512, Aug. 27, 1991)
40 CFR 266.41 Prohibitions.
(a) A person may market off-specification used oil for energy
recovery only:
(1) To burners or other marketers who have notified EPA of their used
oil management activities stating the location and general description
of such activities, and who have an EPA identification number; and
(2) To burners who burn the used oil in an industrial furnace or
boiler identified in paragraph (b) of this section.
(b) Off-specification used oil may be burned for energy recovery in
only the following devices:
(1) Industrial furnaces identified in 260.10 of this chapter; or
(2) Boilers, as defined in 260.10 of this chapter, that are
identified as follows:
(i) Industrial boilers located on the site of a facility engaged in a
manufacturing process where substances are transformed into new
products, including the component parts of products, by mechanical or
chemical processes;
(ii) Utility boilers used to produce electric power, steam, or heated
or cooled air or other gases or fluids for sale; or
(iii) Used oil-fired space heaters provided that:
(A) The heater burns only used oil that the owner or operator
generates or used oil received from do-it-yourself oil changers who
generate used oil as household waste;
(B) The heater is designed to have a maximum capacity of not more
than 0.5 million Btu per hour; and
(C) The combustion gases from the heater are vented to the ambient
air.
40 CFR 266.42 Standards applicable to generators of used oil burned for
energy recovery.
(a) Except as provided in paragraphs (b) and (c) of this section,
generators of used oil are not subject to this subpart.
(b) Generators who market used oil directly to a burner are subject
to 266.43.
(c) Generators who burn used oil are subject to 266.44.
40 CFR 266.43 Standards applicable to marketers of used oil burned for
energy recovery.
(a) Persons who market used oil fuel are termed ''marketers''.
Except as provided below, marketers include generators who market used
oil fuel directly to a burner, persons who receive used oil from
generators and produce, process, or blend used oil fuel from these used
oils (including persons sending blended or processed used oil to brokers
or other intermediaries), and persons who distribute but do not process
or blend used oil fuel. The following persons are not marketers subject
to this subpart:
(1) Used oil generators, and collectors who transport used oil
received only from generators, unless the generator or collector markets
the used oil directly to a person who burns it for energy recovery.
However, persons who burn some used oil fuel for purposes of processing
or other treatment to produce used oil fuel for marketing are considered
to be burning incidentally to processing. Thus, generators and
collectors who market to such incidental burners are not marketers
subject to this subpart;
(2) Persons who market only used oil fuel that meets the
specification under 266.40(e) and who are not the first person to claim
the oil meets the specification (i.e., marketers who do not receive used
oil from generators or initial transporters and marketers who neither
receive nor market off-specification used oil fuel).
(b) Marketers are subject to the following requirements:
(1) Analysis of used oil fuel. Used oil fuel is subject to
regulation under this subpart unless the marketer obtains analyses or
other information documenting that the used oil fuel meets the
specification provided under 266.40(e).
(2) Prohibitions. The prohibitions under 266.41(a);
(3) Notification. Notification to EPA stating the location and
general description of used oil management activities. Even if a
marketer has previously notified EPA of his hazardous waste management
activities under section 3010 of RCRA and obtained a U.S. EPA
Identification Number, he must renotify to identify his used oil
management activities.
(4) Invoice system. When a marketer initiates a shipment of
off-specification used oil, he must prepare and send the receiving
facility an invoice containing the following information:
(i) An invoice number;
(ii) His own EPA identification number and the EPA identification
number of the receiving facility;
(iii) The names and addresses of the shipping and receiving
facilities;
(iv) The quantity of off-specification used oil to be delivered;
(v) The date(s) of shipment or delivery; and
(vi) The following statement: ''This used oil is subject to EPA
regulation under 40 CFR part 266'';
Note: Used oil that meets the definition of combustible liquid
(flash point below 200 F but at or greater than 100 F) or flammable
liquid (flash point below 100 F) is subject to Department of
Transportation Hazardous Materials Regulations at 49 CFR parts 100
through 177.
(5) Required notices. (i) Before a marketer initiates the first
shipment of off-specification used oil to a burner or other marketer, he
must obtain a one-time written and signed notice from the burner or
marketer certifying that:
(A) The burner or marketer has notified EPA stating the location and
general description of his used oil management activities; and
(B) If the recipient is a burner, the burner will burn the
off-specification used oil only in an industrial furnace or boiler
identified in 266.41(b); and
(ii) Before a marketer accepts the first shipment of
off-specification used oil from another marketer subject to the
requirements of this section, he must provide the marketer with a
one-time written and signed notice certifying that he has notified EPA
of his used oil management activities; and
(6) Recordkeeping -- (i) Used oil fuel that meets the specification.
A marketer who first claims under paragraph (b)(1) of this section that
used oil fuel meets the specification must keep copies of analysis (or
other information used to make the determination) of used oil for three
years. Such marketers must also record in an operating log and keep for
three years the following information on each shipment of used oil fuel
that meets the specification. Such used oil fuel is not subject to
further regulation, unless it is subsequently mixed with hazardous waste
or unless it is mixed with used oil so that it no longer meets the
specification.
(A) The name and address of the facility receiving the shipment;
(B) The quantity of used oil fuel delivered;
(C) The date of shipment or delivery; and
(D) A cross-reference to the record of used oil analysis (or other
information used to make the determination that the oil meets the
specification) required under paragraph (b)(6)(i) of this section.
(ii) Off-specification used oil fuel. A marketer who receives or
initiates an invoice under the requirements of this section must keep a
copy of each invoice for three years from the date the invoice is
received or prepared. In addition, a marketer must keep a copy of each
certification notice that he receives or sends for three years from the
date he last engages in an off-specification used oil fuel marketing
transaction with the person who sends or receives the certification
notice.
(The analysis requirements contained in paragraph (b)(1) of this
section were approved by OMB under control number 2050-0047. The
notification requirements contained in paragraph (b)(3) of this section
were approved by OMB under control number 2050-0028. The invoice
requirements contained in paragraph (b)(4) of this section were approved
by OMB under control number 2050-0047. The certification requirements
contained in paragraph (b)(5) of this section were approved by OMB under
control number 2050-0047. The recordkeeping requirements contained in
paragraph (b)(6) of this section were approved by OMB under control
number 2050-0047.)
(50 FR 49205, Nov. 29, 1985, as amended at 52 FR 11822, Apr. 13,
1987)
40 CFR 266.44 Standards applicable to burners of used oil burned for
energy recovery.
Owners and operators of facilities that burn used oil fuel are
''burners'' and are subject to the following requirements:
(a) Prohibition. The prohibition under 266.41(b);
(b) Notification. Burners of off-specification used oil fuel, and
burners of used oil fuel who are the first to claim that the oil meets
the specification provided under 266.40(e), except burners who burn
specification oil that they generate, must notify EPA stating the
location and general description of used oil management activities.
Burners of used oil fuel that meets the specification who receive such
oil from a marketer that previously notified EPA are not required to
notify. Owners and operators of used oil-fired space heaters that burn
used oil fuel under the provisions of 266.41(b)(2) are exempt from this
notification requirement. Even if a burner has previously notified EPA
of his hazardous waste management activities under section 3010 of RCRA
and obtained an identification number, he must renotify to identify his
used oil management activities.
(c) Required notices. Before a burner accepts the first shipment of
off-specification used oil fuel from a marketer, he must provide the
marketer a one-time written and signed notice certifying that:
(1) He has notified EPA stating the location and general description
of his used oil management activities; and
(2) He will burn the used oil only in an industrial furnace or boiler
identified in 266.41(b); and
(d) Used oil fuel analysis. (1) Used oil fuel burned by the
generator is subject to regulation under this subpart unless the burner
obtains analysis (or other information) documenting that the used oil
meets the specification provided under 266.40(e).
(2) Burners who treat off-specification used oil fuel by processing,
blending, or other treatment to meet the specification provided under
266.40(e) must obtain analyses (or other information) documenting that
the used oil meets the specification.
(e) Recordkeeping. A burner who receives an invoice under the
requirements of this section must keep a copy of each invoice for three
years from the date the invoice is received. Burners must also keep for
three years copies of analyses of used oil fuel as may be required by
paragraph (d) of this section. In addition, he must keep a copy of each
certification notice that he sends to a marketer for three years from
the date he last receives off-specification used oil from that marketer.
(The notification requirements contained in paragraph (b) of this
section were approved by OMB under control number 2050-0028. The
certification requirements contained in paragraph (c) of this section
were approved by OMB under control number 2050-0047. The analysis
requirements contained in paragraph (d) of this section were approved by
OMB under control number 2050-0047. The recordkeeping requirements
contained in paragraph (e) of this section were approved by OMB under
control number 2050-0047.)
(50 FR 49205, Nov. 29, 1985, as amended at 52 FR 11822, Apr. 13,
1987)
40 CFR 266.44 Subpart F -- Recyclable Materials Utilized for Precious Metal Recovery
40 CFR 266.70 Applicability and requirements.
(a) The regulations of this subpart apply to recyclable materials
that are reclaimed to recover economically significant amounts of gold,
silver, platinum, paladium, irridium, osmium, rhodium, ruthenium, or any
combination of these.
(b) Persons who generate, transport, or store recyclable materials
that are regulated under this subpart are subject to the following
requirements:
(1) Notification requirements under section 3010 of RCRA;
(2) Subpart B of part 262 (for generators), 263.20 and 263.21 (for
transporters), and 265.71 and 265.72 (for persons who store) of this
chapter;
(c) Persons who store recycled materials that are regulated under
this subpart must keep the following records to document that they are
not accumulating these materials speculatively (as defined in 261.1(c)
of this chapter);
(1) Records showing the volume of these materials stored at the
beginning of the calendar year;
(2) The amount of these materials generated or received during the
calendar year; and
(3) The amount of materials remaining at the end of the calendar
year.
(d) Recyclable materials that are regulated under this subpart that
are accumulated speculatively (as defined in 261.1(c) of this chapter)
are subject to all applicable provisions of parts 262 through 265, 270
and 124 of this chapter.
40 CFR 266.70 Subpart G -- Spent Lead-Acid Batteries Being Reclaimed
40 CFR 266.80 Applicability and requirements.
(a) The regulations of this subpart apply to persons who reclaim
spent lead-acid batteries that are recyclable materials (''spent
batteries''). Persons who generate, transport, or collect spent
batteries, or who store spent batteries but do not reclaim them are not
subject to regulation under parts 262 through 266 or part 270 or 124 of
this chapter, and also are not subject to the requirements of section
3010 of RCRA.
(b) Owners or operators of facilities that store spent batteries
before reclaiming them are subject to the following requirements.
(1) Notification requirements under section 3010 of RCRA;
(2) All applicable provisions in subparts A, B (but not 264.13
(waste analysis)), C, D, E (but not 264.71 or 264.72 (dealing with the
use of the manifest and manifest discrepancies)), and F through L of
part 264 of this chapter;
(3) All applicable provisions in subparts A, B (but not 265.13
(waste analysis)), C, D, E (but not 265.71 and 265.72 (dealing with
use of the manifest and manifest discrepancies)), and F through L of
part 265 of this chapter;
(4) All applicable provisions in parts 270 and 124 of this chapter.
(50 FR 666, Jan. 4, 1985, as amended at 50 FR 33543, Aug. 20, 1985)
40 CFR 266.80 Subpart H -- Hazardous Waste Burned in Boilers and
Industrial Furnaces
Source: 56 FR 7208, Feb. 21, 1991, unless otherwise noted.
40 CFR 266.100 Applicability.
(a) The regulations of this subpart apply to hazardous waste burned
or processed in a boiler or industrial furnace (as defined in 260.10 of
this chapter) irrespective of the purpose of burning or processing,
except as provided by paragraphs (b), (c), and (d) of this section. In
this subpart, the term ''burn'' means burning for energy recovery or
destruction, or processing for materials recovery or as an ingredient.
The emissions standards of 266.104, 266.105, 266.106, and 266.107
apply to facilities operating under interim status or under a RCRA
permit as specified in 266.102 and 266.103.
(b) The following hazardous wastes and facilities are not subject to
regulation under this subpart:
(1) Used oil burned for energy recovery that is also a hazardous
waste solely because it exhibits a characteristic of hazardous waste
identified in subpart C of part 261 of this chapter. Such used oil is
subject to regulation under subpart E of part 266 rather than this
subpart;
(2) Gas recovered from hazardous or solid waste landfills when such
gas is burned for energy recovery;
(3) Hazardous wastes that are exempt from regulation under 261.4
and 261.6(a)(3) (v-viii) of this chapter, and hazardous wastes that are
subject to the special requirements for conditionally exempt small
quantity generators under 261.5 of this chapter; and
(4) Coke ovens, if the only hazardous waste burned is EPA Hazardous
Waste No. K087, decanter tank tar sludge from coking operations.
(c) Owners and operators of smelting, melting, and refining furnaces
(including pyrometallurgical devices such as cupolas, sintering
machines, roasters, and foundry furnaces, but not including cement
kilns, aggregate kilns, or halogen acid furnaces burning hazardous
waste) that process hazardous waste solely for metal recovery are
conditionally exempt from regulation under this subpart, except for
266.101 and 266.112.
(1) To be exempt from 266.102 through 266.111, an owner or operator
of a metal recovery furnace must comply with the following requirements,
except that an owner or operator of a lead or a nickel-chromium recovery
furnace, or a metal recovery furnace that burns baghouse bags used to
capture metallic dusts emitted by steel manufacturing, must comply with
the requirements of paragraph (c)(3) of this section:
(i) Provide a one-time written notice to the Director indicating the
following:
(A) The owner or operator claims exemption under this paragraph;
(B) The hazardous waste is burned solely for metal recovery
consistent with the provisions of paragraph (c)(2) of this section;
(C) The hazardous waste contains recoverable levels of metals; and
(D) The owner or operator will comply with the sampling and analysis
and recordkeeping requirements of this paragraph;
(ii) Sample and analyze the hazardous waste and other feedstocks as
necessary to comply with the requirements of this paragraph under
procedures specified by Test Methods for Evaluating Solid Waste,
Physical/Chemical Methods, SW-846, incorporated by reference in 260.11
of this chapter or alternative methods that meet or exceed the SW-846
method performance capabilities. If SW-846 does not prescribe a method
for a particular determination, the owner or operator shall use the best
available method; and
(iii) Maintain at the facility for at least three years records to
document compliance with the provisions of this paragraph including
limits on levels of toxic organic constituents and Btu value of the
waste, and levels of recoverable metals in the hazardous waste compared
to normal nonhazardous waste feedstocks.
(2) A hazardous waste meeting either of the following criteria is not
processed solely for metal recovery:
(i) The hazardous waste has a total concentration of organic
compounds listed in part 261, appendix VIII, of this chapter exceeding
500 ppm by weight, as-fired, and so is considered to be burned for
destruction. The concentration of organic compounds in a waste
as-generated may be reduced to the 500 ppm limit by bona fide treatment
that removes or destroys organic constituents. Blending for dilution to
meet the 500 ppm limit is prohibited and documentation that the waste
has not been impermissibly diluted must be retained in the records
required by paragraph (c)(1)(iii) of this section; or
(ii) The hazardous waste has a heating value of 5,000 Btu/lb or more,
as-fired, and so is considered to be burned as fuel. The heating value
of a waste as-generated may be reduced to below the 5,000 Btu/lb limit
by bona fide treatment that removes or destroys organic constituents.
Blending for dilution to meet the 5,000 Btu/lb limit is prohibited and
documentation that the waste has not been impermissibly diluted must be
retained in the records required by paragraph (c)(1)(iii) of this
section.
(3) To be exempt from 266.102 through 266.111, an owner or operator
of a lead or nickel-chromium recovery furnace, or a metal recovery
furnace that burns baghouse bags used to capture metallic dusts emitted
by steel manufacturing, must provide a one-time written notice to the
Director identifying each hazardous waste burned and specifying whether
the owner or operator claims an exemption for each waste under this
paragraph or paragraph (c)(1) of this section. The owner or operator
must comply with the requirements of paragraph (c)(1) of this section
for those wastes claimed to be exempt under that paragraph and must
comply with the requirements below for those wastes claimed to be exempt
under this paragraph.
(i) The hazardous wastes listed in appendices XI and XII, part 266,
and baghouse bags used to capture metallic dusts emitted by steel
manufacturing are exempt from the requirements of paragraph (c)(1) of
this section, provided that:
(A) A waste listed in appendix XI must contain recoverable levels of
lead, a waste listed in appendix XII must contain recoverable levels of
nickel or chromium, and baghouse bags used to capture metallic dusts
emitted by steel manufacturing must contain recoverable levels of metal;
and
(B) The waste does not exhibit the Toxicity Characteristic of 261.24
of this chapter for an organic constituent; and
(C) The waste is not a hazardous waste listed in subpart D of part
261 of this chapter because it is listed for an organic constituent as
identified in appendix VII of part 261 of this chapter; and
(D) The owner or operator certifies in the one-time notice that
hazardous waste is burned under the provisions of paragraph (c)(3) of
this section and that sampling and analysis will be conducted or other
information will be obtained as necessary to ensure continued compliance
with these requirements. Sampling and analysis shall be conducted
according to paragraph (c)(1)(ii) of this section and records to
document compliance with paragraph (c)(3) of this section shall be kept
for at least three years.
(ii) The Director may decide on a case-by-case basis that the toxic
organic constituents in a material listed in appendix XI or XII of this
part that contains a total concentration of more than 500 ppm toxic
organic compounds listed in appendix VIII, part 261 of this chapter, may
pose a hazard to human health and the environment when burned in a metal
recovery furnace exempt from the requirements of this subpart. In that
situation, after adequate notice and opportunity for comment, the metal
recovery furnace will become subject to the requirements of this subpart
when burning that material. In making the hazard determination, the
Director will consider the following factors:
(A) The concentration and toxicity of organic constituents in the
material; and
(B) The level of destruction of toxic organic constituents provided
by the furnace; and
(C) Whether the acceptable ambient levels established in appendices
IV or V of this part may be exceeded for any toxic organic compound that
may be emitted based on dispersion modeling to predict the maximum
annual average off-site ground level concentration.
(d) The standards for direct transfer operations under 266.111 apply
only to facilities subject to the permit standards of 266.102 or the
interim status standards of 266.103.
(e) The management standards for residues under 266.112 apply to any
boiler or industrial furnace burning hazardous waste.
(f) Owners and operators of smelting, melting, and refining furnaces
(including pyrometallurgical devices such as cupolas, sintering
machines, roasters, and foundry furnaces) that process hazardous waste
for recovery of economically significant amounts of the precious metals
gold, silver, platinum, paladium, irridium, osmium, rhodium, or
ruthenium, or any combination of these are conditionally exempt from
regulation under this subpart, except for 266.112. To be exempt from
266.101 through 261.111, an owner or operator must:
(1) Provide a one-time written notice to the Director indicating the
following:
(i) The owner or operator claims exemption under this paragraph;
(ii) The hazardous waste is burned for legitimate recovery of
precious metal; and
(iii) The owner or operator will comply with the sampling and
analysis and recordkeeping requirements of this paragraph; and
(2) Sample and analyze the hazardous waste as necessary to document
that the waste is burned for recovery of economically significant
amounts of precious metal using procedures specified by Test Methods for
Evaluating Solid Waste, Physical/Chemical Methods, SW-846, incorporated
by reference in 260.11 of this chapter or alternative methods that meet
or exceed the SW-846 method performance capabilities. If SW-846 does
not prescribe a method for a particular determination, the owner or
operator shall use the best available method; and
(3) Maintain at the facility for at least three years records to
document that all hazardous wastes burned are burned for recovery of
economically significant amounts of precious metal.
(Approved by the Office of Management and Budget under control number
2050-0073)
(56 FR 7208, Feb. 21, 1991; 56 FR 32688, July 17, 1991, as amended
at 56 FR 42513, Aug. 27, 1991; 56 FR 43877, Sept. 5, 1991; 57 FR
27888, June 22, 1992)
40 CFR 266.101 Management prior to burning.
(a) Generators. Generators of hazardous waste that is burned in a
boiler or industrial furnace are subject to part 262 of this chapter.
(b) Transporters. Transporters of hazardous waste that is burned in
a boiler or industrial furnace are subject to part 263 of this chapter.
(c) Storage facilities. (1) Owners and operators of facilities that
store hazardous waste that is burned in a boiler or industrial furnace
are subject to the applicable provisions of subparts A through L of part
264, subparts A through L of part 265, and part 270 of this chapter,
except as provided by paragraph (c)(2) of this section. These standards
apply to storage by the burner as well as to storage facilities operated
by intermediaries (processors, blenders, distributors, etc.) between the
generator and the burner.
(2) Owners and operators of facilities that burn, in an on-site
boiler or industrial furnace exempt from regulation under the small
quantity burner provisions of 266.108, hazardous waste that they
generate are exempt from regulation under subparts A through L of part
264, subparts A through L of part 265, and part 270 of this chapter with
respect to the storage of mixtures of hazardous waste and the primary
fuel to the boiler or industrial furnace in tanks that feed the fuel
mixture directly to the burner. Storage of hazardous waste prior to
mixing with the primary fuel is subject to regulation as prescribed in
paragraph (c)(1) of this section.
40 CFR 266.102 Permit standards for burners.
(a) Applicability -- (1) General. Owners and operators of boilers
and industrial furnaces burning hazardous waste and not operating under
interim status must comply with the requirements of this section and
270.22 and 270.66 of this chapter, unless exempt under the small
quantity burner exemption of 266.108.
(2) Applicability of part 264 standards. Owners and operators of
boilers and industrial furnaces that burn hazardous waste are subject to
the following provisions of part 264 of this chapter, except as provided
otherwise by this subpart:
(i) In subpart A (General), 264.4;
(ii) In subpart B (General facility standards), 264.11-264.18;
(iii) In subpart C (Preparedness and prevention), 264.31-264.37;
(iv) In subpart D (Contingency plan and emergency procedures),
264.51-264.56;
(v) In subpart E (Manifest system, recordkeeping, and reporting), the
applicable provisions of 264.71-264.77;
(vi) In subpart F (Corrective Action), 264.90 and 264.101;
(vii) In subpart G (Closure and post-closure), 264.111-264.115;
(viii) In subpart H (Financial requirements), 264.141, 264.142,
264.143, and 264.147-264.151, except that States and the Federal
government are exempt from the requirements of subpart H; and
(ix) Subpart BB (Air emission standards for equipment leaks), except
264.1050(a).
(b) Hazardous waste analysis. (1) The owner or operator must provide
an analysis of the hazardous waste that quantifies the concentration of
any constituent identified in appendix VIII of part 261 of this chapter
that may reasonably be expected to be in the waste. Such constituents
must be identified and quantified if present, at levels detectable by
analytical procedures prescribed by Test Methods for Evaluating Solid
Waste, Physical/Chemical Methods (incorporated by reference, see 260.11
of this chapter). Alternative methods that meet or exceed the method
performance capabilities of SW-846 methods may be used. If SW-846 does
not prescribe a method for a particular determination, the owner or
operator shall use the best available method. The appendix VIII, part
261 constituents excluded from this analysis must be identified and the
basis for their exclusion explained. This analysis will be used to
provide all information required by this subpart and 270.22 and 270.66
of this chapter and to enable the permit writer to prescribe such permit
conditions as necessary to protect human health and the environment.
Such analysis must be included as a portion of the part B permit
application, or, for facilities operating under the interim status
standards of this subpart, as a portion of the trial burn plan that may
be submitted before the part B application under provisions of
270.66(g) of this chapter as well as any other analysis required by the
permit authority in preparing the permit. Owners and operators of
boilers and industrial furnaces not operating under the interim status
standards must provide the information required by 270.22 or 270.66(c)
of this chapter in the part B application to the greatest extent
possible.
(2) Throughout normal operation, the owner or operator must conduct
sampling and analysis as necessary to ensure that the hazardous waste,
other fuels, and industrial furnace feedstocks fired into the boiler or
industrial furnace are within the physical and chemical composition
limits specified in the permit.
(c) Emissions standards. Owners and operators must comply with
emissions standards provided by 266.104 through 266.107.
(d) Permits. (1) The owner or operator may burn only hazardous
wastes specified in the facility permit and only under the operating
conditions specified under paragraph (e) of this section, except in
approved trial burns under the conditions specified in 270.66 of this
chapter.
(2) Hazardous wastes not specified in the permit may not be burned
until operating conditions have been specified under a new permit or
permit modification, as applicable. Operating requirements for new
wastes may be based on either trial burn results or alternative data
included with part B of a permit application under 270.22 of this
chapter.
(3) Boilers and industrial furnaces operating under the interim
status standards of 266.103 are permitted under procedures provided by
270.66(g) of this chapter.
(4) A permit for a new boiler or industrial furnace (those boilers
and industrial furnaces not operating under the interim status
standards) must establish appropriate conditions for each of the
applicable requirements of this section, including but not limited to
allowable hazardous waste firing rates and operating conditions
necessary to meet the requirements of paragraph (e) of this section, in
order to comply with the following standards:
(i) For the period beginning with initial introduction of hazardous
waste and ending with initiation of the trial burn, and only for the
minimum time required to bring the device to a point of operational
readiness to conduct a trial burn, not to exceed a duration of 720 hours
operating time when burning hazardous waste, the operating requirements
must be those most likely to ensure compliance with the emission
standards of 266.104 through 266.107, based on the Director's
engineering judgment. If the applicant is seeking a waiver from a trial
burn to demonstrate conformance with a particular emission standard, the
operating requirements during this initial period of operation shall
include those specified by the applicable provisions of 266.104,
266.105, 266.106, or 266.107. The Director may extend the duration of
this period for up to 720 additional hours when good cause for the
extension is demonstrated by the applicant.
(ii) For the duration of the trial burn, the operating requirements
must be sufficient to demonstrate compliance with the emissions
standards of 266.104 through 266.107 and must be in accordance with
the approved trial burn plan;
(iii) For the period immediately following completion of the trial
burn, and only for the minimum period sufficient to allow sample
analysis, data computation, submission of the trial burn results by the
applicant, review of the trial burn results and modification of the
facility permit by the Director to reflect the trial burn results, the
operating requirements must be those most likely to ensure compliance
with the emission standards 266.104 through 266.107 based on the
Director's engineering judgment.
(iv) For the remaining duration of the permit, the operating
requirements must be those demonstrated in a trial burn or by
alternative data specified in 270.22 of this chapter, as sufficient to
ensure compliance with the emissions standards of 266.104 through
266.107.
(e) Operating requirements -- (1) General. A boiler or industrial
furnace burning hazardous waste must be operated in accordance with the
operating requirements specified in the permit at all times where there
is hazardous waste in the unit.
(2) Requirements to ensure compliance with the organic emissions
standards -- (i) DRE standard. Operating conditions will be specified
either on a case-by-case basis for each hazardous waste burned as those
demonstrated (in a trial burn or by alternative data as specified in
270.22) to be sufficient to comply with the destruction and removal
efficiency (DRE) performance standard of 266.104(a) or as those special
operating requirements provided by 266.104(a)(4) for the waiver of the
DRE trial burn. When the DRE trial burn is not waived under
266.104(a)(4), each set of operating requirements will specify the
composition of the hazardous waste (including acceptable variations in
the physical and chemical properties of the hazardous waste which will
not affect compliance with the DRE performance standard) to which the
operating requirements apply. For each such hazardous waste, the permit
will specify acceptable operating limits including, but not limited to,
the following conditions as appropriate:
(A) Feed rate of hazardous waste and other fuels measured and
specified as prescribed in paragraph (e)(6) of this section;
(B) Minimum and maximum device production rate when producing normal
product expressed in appropriate units, measured and specified as
prescribed in paragraph (e)(6) of this section;
(C) Appropriate controls of the hazardous waste firing system;
(D) Allowable variation in boiler and industrial furnace system
design or operating procedures;
(E) Minimum combustion gas temperature measured at a location
indicative of combustion chamber temperature, measured and specified as
prescribed in paragraph (e)(6) of this section;
(F) An appropriate indicator of combustion gas velocity, measured and
specified as prescribed in paragraph (e)(6) of this section, unless
documentation is provided under 270.66 of this chapter demonstrating
adequate combustion gas residence time; and
(G) Such other operating requirements as are necessary to ensure that
the DRE performance standard of 266.104(a) is met.
(ii) Carbon monoxide and hydrocarbon standards. The permit must
incorporate a carbon monoxide (CO) limit and, as appropriate, a
hydrocarbon (HC) limit as provided by paragraphs (b), (c), (d), (e) and
(f) of 266.104. The permit limits will be specified as follows:
(A) When complying with the CO standard of 266.104(b)(1), the permit
limit is 100 ppmv;
(B) When complying with the alternative CO standard under
266.104(c), the permit limit for CO is based on the trial burn and is
established as the average over all valid runs of the highest hourly
rolling average CO level of each run, and the permit limit for HC is 20
ppmv (as defined in 266.104(c)(1)), except as provided in 266.104(f).
(C) When complying with the alternative HC limit for industrial
furnaces under 266.104(f), the permit limit for HC and CO is the
baseline level when hazardous waste is not burned as specified by that
paragraph.
(iii) Start-up and shut-down. During start-up and shut-down of the
boiler or industrial furnace, hazardous waste (except waste fed solely
as an ingredient under the Tier I (or adjusted Tier I) feed rate
screening limits for metals and chloride/chlorine, and except low risk
waste exempt from the trial burn requirements under 266.104(a)(5),
266.105, 266.106, and 266.107) must not be fed into the device unless
the device is operating within the conditions of operation specified in
the permit.
(3) Requirements to ensure conformance with the particulate standard.
(i) Except as provided in paragraphs (e)(3) (ii) and (iii) of this
section, the permit shall specify the following operating requirements
to ensure conformance with the particulate standard specified in
266.105:
(A) Total ash feed rate to the device from hazardous waste, other
fuels, and industrial furnace feedstocks, measured and specified as
prescribed in paragraph (e)(6) of this section;
(B) Maximum device production rate when producing normal product
expressed in appropriate units, and measured and specified as prescribed
in paragraph (e)(6) of this section;
(C) Appropriate controls on operation and maintenance of the
hazardous waste firing system and any air pollution control system;
(D) Allowable variation in boiler and industrial furnace system
design including any air pollution control system or operating
procedures; and
(E) Such other operating requirements as are necessary to ensure that
the particulate standard in 266.111(b) is met.
(ii) Permit conditions to ensure conformance with the particulate
matter standard shall not be provided for facilities exempt from the
particulate matter standard under 266.105(b);
(iii) For cement kilns and light-weight aggregate kilns, permit
conditions to ensure compliance with the particulate standard shall not
limit the ash content of hazardous waste or other feed materials.
(4) Requirements to ensure conformance with the metals emissions
standard. (i) For conformance with the Tier I (or adjusted Tier I)
metals feed rate screening limits of paragraphs (b) or (e) of 266.106,
the permit shall specify the following operating requirements:
(A) Total feed rate of each metal in hazardous waste, other fuels,
and industrial furnace feedstocks measured and specified under
provisions of paragraph (e)(6) of this section;
(B) Total feed rate of hazardous waste measured and specified as
prescribed in paragraph (e)(6) of this section;
(C) A sampling and metals analysis program for the hazardous waste,
other fuels, and industrial furnace feedstocks;
(ii) For conformance with the Tier II metals emission rate screening
limits under 266.106(c) and the Tier III metals controls under
266.106(d), the permit shall specify the following operating
requirements:
(A) Maximum emission rate for each metal specified as the average
emission rate during the trial burn;
(B) Feed rate of total hazardous waste and pumpable hazardous waste,
each measured and specified as prescribed in paragraph (e)(6)(i) of this
section;
(C) Feed rate of each metal in the following feedstreams, measured
and specified as prescribed in paragraphs (e)(6) of this section:
(1) Total feed streams;
(2) Total hazardous waste feed; and
(3) Total pumpable hazardous waste feed;
(D) Total feed rate of chlorine and chloride in total feed streams
measured and specified as prescribed in paragraph (e)(6) of this
section;
(E) Maximum combustion gas temperature measured at a location
indicative of combustion chamber temperature, and measured and specified
as prescribed in paragraph (e)(6) of this section;
(F) Maximum flue gas temperature at the inlet to the particulate
matter air pollution control system measured and specified as prescribed
in paragraph (e)(6) of this section;
(G) Maximum device production rate when producing normal product
expressed in appropriate units and measured and specified as prescribed
in paragraph (e)(6) of this section;
(H) Appropriate controls on operation and maintenance of the
hazardous waste firing system and any air pollution control system;
(I) Allowable variation in boiler and industrial furnace system
design including any air pollution control system or operating
procedures; and
(J) Such other operating requirements as are necessary to ensure that
the metals standards under 266.106(c) or 266.106(d) are met.
(iii) For conformance with an alternative implementation approach
approved by the Director under 266.106(f), the permit will specify the
following operating requirements:
(A) Maximum emission rate for each metal specified as the average
emission rate during the trial burn;
(B) Feed rate of total hazardous waste and pumpable hazardous waste,
each measured and specified as prescribed in paragraph (e)(6)(i) of this
section;
(C) Feed rate of each metal in the following feedstreams, measured
and specified as prescribed in paragraph (e)(6) of this section:
(1) Total hazardous waste feed; and
(2) Total pumpable hazardous waste feed;
(D) Total feed rate of chlorine and chloride in total feed streams
measured and specified prescribed in paragraph (e)(6) of this section;
(E) Maximum combustion gas temperature measured at a location
indicative of combustion chamber temperature, and measured and specified
as prescribed in paragraph (e)(6) of this section;
(F) Maximum flue gas temperature at the inlet to the particulate
matter air pollution control system measured and specified as prescribed
in paragraph (e)(6) of this section;
(G) Maximum device production rate when producing normal product
expressed in appropriate units and measured and specified as prescribed
in paragraph (e)(6) of this section;
(H) Appropriate controls on operation and maintenance of the
hazardous waste firing system and any air pollution control system;
(I) Allowable variation in boiler and industrial furnace system
design including any air pollution control system or operating
procedures; and
(J) Such other operating requirements as are necessary to ensure that
the metals standards under 266.106(c) or 266.106(d) are met.
(5) Requirements to ensure conformance with the hydrogen chloride and
chlorine gas standards. (i) For conformance with the Tier I total
chloride and chlorine feed rate screening limits of 266.107(b)(1), the
permit will specify the following operating requirements:
(A) Feed rate of total chloride and chlorine in hazardous waste,
other fuels, and industrial furnace feedstocks measured and specified as
prescribed in paragraph (e)(6) of this section;
(B) Feed rate of total hazardous waste measured and specified as
prescribed in paragraph (e)(6) of this section;
(C) A sampling and analysis program for total chloride and chorline
for the hazardous waste, other fuels, and industrial furnace feestocks;
(ii) For conformance with the Tier II HCl and Cl2 emission rate
screening limits under 266.107(b)(2) and the Tier III HCl and Cl2
controls under 266.107(c), the permit will specify the following
operating requirements:
(A ) Maximum emission rate for HCl and for Cl2 specified as the
average emission rate during the trial burn;
(B) Feed rate of total hazardous waste measured and specified as
prescribed in paragraph (e)(6) of this section;
(C) Total feed rate of chlorine and chloride in total feed streams,
measured and specified as prescribed in paragraph (e)(6) of this
section;
(D) Maximum device production rate when producing normal product
expressed in appropriate units, measured and specified as prescribed in
paragraph (e)(6) of this section;
(E) Appropriate controls on operation and maintenance of the
hazardous waste firing system and any air pollution control system;
(F) Allowable variation in boiler and industrial furnace system
design including any air pollution control system or operating
procedures; and
(G) Such other operating requirements as are necessary to ensure that
the HCl and Cl2 standards under 266.107 (b)(2) or (c) are met.
(6) Measuring parameters and establishing limits based on trial burn
data -- (i) General requirements. As specified in paragraphs (e)(2)
through (e)(5) of this section, each operating parameter shall be
measured, and permit limits on the parameter shall be established,
according to either of the following procedures:
(A) Instantaneous limits. A parameter may be measured and recorded
on an instantaneous basis (i.e., the value that occurs at any time) and
the permit limit specified as the time-weighted average during all valid
runs of the trial burn; or
(B) Hourly rolling average. (1) The limit for a parameter may be
established and continuously monitored on an hourly rolling average
basis defined as follows:
(i) A continuous monitor is one which continuously samples the
regulated parameter without interruption, and evaluates the detector
response at least once each 15 seconds, and computes and records the
average value at least every 60 seconds.
(ii) An hourly rolling average is the arithmetic mean of the 60 most
recent 1-minute average values recorded by the continuous monitoring
system.
(2) The permit limit for the parameter shall be established based on
trial burn data as the average over all valid test runs of the highest
hourly rolling average value for each run.
(ii) Rolling average limits for carcinogenic metals and lead. Feed
rate limits for the carcinogenic metals (i.e., arsenic, beryllium,
cadmium and chromium) and lead may be established either on an hourly
rolling average basis as prescribed by paragraph (e)(6)(i) of this
section or on (up to) a 24 hour rolling average basis. If the owner or
operator elects to use an average period from 2 to 24 hours:
(A) The feed rate of each metal shall be limited at any time to ten
times the feed rate that would be allowed on an hourly rolling average
basis;
(B) The continuous monitor shall meet the following specifications:
(1) A continuous monitor is one which continuously samples the
regulated parameter without interruption, and evaluates the detector
response at least once each 15 seconds, and computes and records the
average value at least every 60 seconds.
(2) The rolling average for the selected averaging period is defined
as the arithmetic mean of one hour block averages for the averaging
period. A one hour block average is the arithmetic mean of the one
minute averages recorded during the 60-minute period beginning at one
minute after the beginning of preceding clock hour; and
(C) The permit limit for the feed rate of each metal shall be
established based on trial burn data as the average over all valid test
runs of the highest hourly rolling average feed rate for each run.
(iii) Feed rate limits for metals, total chloride and chlorine, and
ash. Feed rate limits for metals, total chlorine and chloride, and ash
are established and monitored by knowing the concentration of the
substance (i.e., metals, chloride/chlorine, and ash) in each feedstream
and the flow rate of the feedstream. To monitor the feed rate of these
substances, the flow rate of each feedstream must be monitored under the
continuous monitoring requirements of paragraphs (e)(6) (i) and (ii) of
this section.
(iv) Conduct of trial burn testing. (A) If compliance with all
applicable emissions standards of 266.104 through 266.107 is not
demonstrated simultaneously during a set of test runs, the operating
conditions of additional test runs required to demonstrate compliance
with remaining emissions standards must be as close as possible to the
original operating conditions.
(B) Prior to obtaining test data for purposes of demonstrating
compliance with the emissions standards of 266.104 through 266.107 or
establishing limits on operating parameters under this section, the
facility must operate under trial burn conditions for a sufficient
period to reach steady-state operations. The Director may determine,
however, that industrial furnaces that recycle collected particulate
matter back into the furnace and that comply with an alternative
implementation approach for metals under 266.106(f) need not reach
steady state conditions with respect to the flow of metals in the system
prior to beginning compliance testing for metals emissions.
(C) Trial burn data on the level of an operating parameter for which
a limit must be established in the permit must be obtained during
emissions sampling for the pollutant(s) (i.e., metals, PM, HCl/Cl2,
organic compounds) for which the parameter must be established as
specified by paragraph (e) of this section.
(7) General requirements -- (i) Fugitive emissions. Fugitive
emissions must be controlled by:
(A) Keeping the combustion zone totally sealed against fugitive
emissions; or
(B) Maintaining the combustion zone pressure lower than atmospheric
pressure; or
(C) An alternate means of control demonstrated (with part B of the
permit application) to provide fugitive emissions control equivalent to
maintenance of combustion zone pressure lower than atmospheric pressure.
(ii) Automatic waste feed cutoff. A boiler or industrial furnace
must be operated with a functioning system that automatically cuts off
the hazardous waste feed when operating conditions deviate from those
established under this section. The Director may limit the number of
cutoffs per an operating period on a case-by-case basis. In addition:
(A) The permit limit for (the indicator of) minimum combustion
chamber temperature must be maintained while hazardous waste or
hazardous waste residues remain in the combustion chamber,
(B) Exhaust gases must be ducted to the air pollution control system
operated in accordance with the permit requirements while hazardous
waste or hazardous waste residues remain in the combustion chamber; and
(C) Operating parameters for which permit limits are established must
continue to be monitored during the cutoff, and the hazardous waste feed
shall not be restarted until the levels of those parameters comply with
the permit limits. For parameters that may be monitored on an
instantaneous basis, the Director will establish a minimum period of
time after a waste feed cutoff during which the parameter must not
exceed the permit limit before the hazardous waste feed may be
restarted.
(iii) Changes. A boiler or industrial furnace must cease burning
hazardous waste when changes in combustion properties, or feed rates of
the hazardous waste, other fuels, or industrial furnace feedstocks, or
changes in the boiler or industrial furnace design or operating
conditions deviate from the limits as specified in the permit.
(8) Monitoring and Inspections. (i) The owner or operator must
monitor and record the following, at a minimum, while burning hazardous
waste:
(A) If specified by the permit, feed rates and composition of
hazardous waste, other fuels, and industrial furnace feedstocks, and
feed rates of ash, metals, and total chloride and chlorine;
(B) If specified by the permit, carbon monoxide (CO), hydrocarbons
(HC), and oxygen on a continuous basis at a common point in the boiler
or industrial furnace downstream of the combustion zone and prior to
release of stack gases to the atmosphere in accordance with operating
requirements specified in paragraph (e)(2)(ii) of this section. CO, HC,
and oxygen monitors must be installed, operated, and maintained in
accordance with methods specified in appendix IX of this part.
(C) Upon the request of the Director, sampling and analysis of the
hazardous waste (and other fuels and industrial furnace feedstocks as
appropriate), residues, and exhaust emissions must be conducted to
verify that the operating requirements established in the permit achieve
the applicable standards of 266.104, 266.105, 266.106, and 266.107.
(ii) All monitors shall record data in units corresponding to the
permit limit unless otherwise specified in the permit.
(iii) The boiler or industrial furnace and associated equipment
(pumps, values, pipes, fuel storage tanks, etc.) must be subjected to
thorough visual inspection when it contains hazardous waste, at least
daily for leaks, spills, fugitive emissions, and signs of tampering.
(iv) The automatic hazardous waste feed cutoff system and associated
alarms must be tested at least once every 7 days when hazardous waste is
burned to verify operability, unless the applicant demonstrates to the
Director that weekly inspections will unduly restrict or upset
operations and that less frequent inspections will be adequate. At a
minimum, operational testing must be conducted at least once every 30
days.
(v) These monitoring and inspection data must be recorded and the
records must be placed in the operating record required by 264.73 of
this chapter.
(9) Direct transfer to the burner. If hazardous waste is directly
transferred from a transport vehicle to a boiler or industrial furnace
without the use of a storage unit, the owner and operator must comply
with 266.111.
(10) Recordkeeping. The owner or operator must keep in the operating
record of the facility all information and data required by this section
until closure of the facility.
(11) Closure. At closure, the owner or operator must remove all
hazardous waste and hazardous waste residues (including, but not limited
to, ash, scrubber waters, and scrubber sludges) from the boiler or
industrial furnace.
(Approved by the Office of Management and Budget under control number
2050-0073)
(56 FR 7208, Feb. 21, 1991; 56 FR 32688, July 17, 1991, as amended
at 56 FR 42514, Aug. 27, 1991)
40 CFR 266.103 Interim status standards for burners.
(a) Purpose, scope, applicability -- (1) General. (i) The purpose of
this section is to establish minimum national standards for owners and
operators of ''existing'' boilers and industrial furnaces that burn
hazardous waste where such standards define the acceptable management of
hazardous waste during the period of interim status. The standards of
this section apply to owners and operators of existing facilities until
either a permit is issued under 266.102(d) or until closure
responsibilities identified in this section are fulfilled.
(ii) Existing or in existence means a boiler or industrial furnace
that on or before August 21, 1991 is either in operation burning or
processing hazardous waste or for which construction (including the
ancillary facilities to burn or to process the hazardous waste) has
commenced. A facility has commenced construction if the owner or
operator has obtained the Federal, State, and local approvals or permits
necessary to begin physical construction; and either:
(A) A continuous on-site, physical construction program has begun;
or
(B) The owner or operator has entered into contractual obligations --
which cannot be canceled or modified without substantial loss -- for
physical construction of the facility to be completed within a
reasonable time.
(iii) If a boiler or industrial furnace is located at a facility that
already has a permit or interim status, then the facility must comply
with the applicable regulations dealing with permit modifications in
270.42 or changes in interim status in 270.72 of this chapter.
(2) Exemptions. The requirements of this section do not apply to
hazardous waste and facilities exempt under 266.100(b), or 266.108.
(3) Prohibition on burning dioxin-listed wastes. The following
hazardous waste listed for dioxin and hazardous waste derived from any
of these wastes may not be burned in a boiler or industrial furnace
operating under interim status: F020, F021, F022, F023, F026, and F027.
* * *
(4) Applicability of part 265 standards. Owners and operators of
boilers and industrial furnaces that burn hazardous waste and are
operating under interim status are subject to the following provisions
of part 265 of this chapter, except as provided otherwise by this
section:
(i) In subpart A (General), 265.4;
(ii) In subpart B (General facility standards), 265.11-265.17;
(iii) In subpart C (Preparedness and prevention), 265.31-265.37;
(iv) In subpart D (Contingency plan and emergency procedures),
265.51-265.56;
(v) In subpart E (Manifest system, recordkeeping, and reporting),
265.71-265.77, except that 265.71, 265.72, and 265.76 do not apply to
owners and operators of on-site facilities that do not receive any
hazardous waste from off-site sources;
(vi) In subpart G (Closure and post-closure), 265.111-265.115;
(vii) In subpart H (Financial requirements), 265.141, 265.142,
265.143, and 265.147-265.151, except that States and the Federal
government are exempt from the requirements of subpart H; and
(viii) Subpart BB (Air emission standards for equipment leaks),
except 265.1050(a).
(5) Special requirements for furnaces. The following controls apply
during interim status to industrial furnaces (e.g., kilns, cupolas) that
feed hazardous waste for a purpose other than solely as an ingredient
(see paragraph (a)(5)(ii) of this section) at any location other than
the hot end where products are normally discharged or where fuels are
normally fired:
(i) Controls. (A) The hazardous waste shall be fed at a location
where combustion gas temperatures are at least 1800 F;
(B) The owner or operator must determine that adequate oxygen is
present in combustion gases to combust organic constituents in the waste
and retain documentation of such determination in the facility record;
(C) For cement kiln systems, the hazardous waste shall be fed into
the kiln; and
(D) The hydrocarbon controls of 266.104(c) or paragraph (c)(5) of
this section apply upon certification of compliance under paragraph (c)
of this section irrespective of the CO level achieved during the
compliance test.
(ii) Burning hazardous waste solely as an ingredient. A hazardous
waste is burned for a purpose other than solely as an ingredient if it
meets either of these criteria:
(A) The hazardous waste has a total concentration of nonmetal
compounds listed in part 261, appendix VIII, of this chapter exceeding
500 ppm by weight, as-fired, and so is considered to be burned for
destruction. The concentration of nonmetal compounds in a waste
as-generated may be reduced to the 500 ppm limit by bona fide treatment
that removes or destroys nonmetal constituents. Blending for dilution
to meet the 500 ppm limit is prohibited and documentation that the waste
has not been impermissibly diluted must be retained in the facility
record; or
(B) The hazardous waste has a heating value of 5,000 Btu/lb or more,
as-fired, and so is considered to be burned as fuel. The heating value
of a waste as-generated may be reduced to below the 5,000 Btu/lb limit
by bona fide treatement that removes or destroys organic constituents.
Blending to augment the heating value to meet the 5,000 Btu/lb limit is
prohibited and documentation that the waste has not been impermissibly
blended must be retained in the facility record.
(6) Restrictions on burning hazardous waste that is not a fuel.
Prior to certification of compliance under paragraph (c) of this
section, owners and operators shall not feed hazardous waste that has a
heating value less than 5,000 Btu/lb, as-generated, (except that the
heating value of a waste as-generated may be increased to above the
5,000 Btu/lb limit by bona fide treatment; however, blending to augment
the heating value to meet the 5,000 Btu/lb limit is prohibited and
records must be kept to document that impermissible blending has not
occurred) in a boiler or industrial furnace, except that:
(i) Hazardous waste may be burned solely as an ingredient; or
(ii) Hazardous waste may be burned for purposes of compliance testing
(or testing prior to compliance testing) for a total period of time not
to exceed 720 hours; or
(iii) Such waste may be burned if the Director has documentation to
show that, prior to August 21, 1991:
(A) The boiler or industrial furnace is operating under the interim
status standards for incinerators provided by subpart O of part 265 of
this chapter, or the interim status standards for thermal treatment
units provided by subpart P of part 265 of this chapter; and
(B) The boiler or industrial furnace met the interim status
eligibility requirements under 270.70 of this chapter for subpart O or
subpart P of part 265 of this chapter; and
(C) Hazardous waste with a heating value less than 5,000 Btu/lb was
burned prior to that date; or
(iv) Such waste may be burned in a halogen acid furnace if the waste
was burned as an excluded ingredient under 261.2(e) of this chapter
prior to February 21, 1991 and documentation is kept on file supporting
this claim.
(7) Direct transfer to the burner. If hazardous waste is directly
transferred from a transport vehicle to a boiler or industrial furnace
without the use of a storage unit, the owner and operator must comply
with 266.111.
(b) Certification of precompliance -- (1) General. The owner or
operator must provide complete and accurate information specified in
paragraph (b)(2) of this section to the Director on or before August 21,
1991, and must establish limits for the operating parameters specified
in paragraph (b)(3) of this section. Such information is termed a
''certification of precompliance'' and constitutes a certification that
the owner or operator has determined that, when the facility is operated
within the limits specified in paragraph (b)(3) of this section, the
owner or operator believes that, using best engineering judgment,
emissions of particulate matter, metals, and HCl and Cl2 are not likely
to exceed the limits provided by 266.105, 266.106, and 266.107. The
facility may burn hazardous waste only under the operating conditions
that the owner or operator establishes under paragraph (b)(3) of this
section until the owner or operator submits a revised certification of
precompliance under paragraph (b)(8) of this section or a certification
of compliance under paragraph (c) of this section, or until a permit is
issued.
(2) Information required. The following information must be
submitted with the certification of precompliance to support the
determination that the limits established for the operating parameters
identified in paragraph (b)(3) of this section are not likely to result
in an exceedance of the allowable emission rates for particulate matter,
metals, and HCl and Cl2:
(i) General facility information:
(A) EPA facility ID number;
(B) Facility name, contact person, telephone number, and address;
(C) Description of boilers and industrial furnaces burning hazardous
waste, including type and capacity of device;
(D) A scaled plot plan showing the entire facility and location of
the boilers and industrial furnaces burning hazardous waste; and
(E) A description of the air pollution control system on each device
burning hazardous waste, including the temperature of the flue gas at
the inlet to the particulate matter control system.
(ii) Except for facilities complying with the Tier I feed rate
screening limits for metals or total chlorine and chloride provided by
266.106 (b) or (e) and 266.107 (b)(1) or (e) respectively, the estimated
uncontrolled (at the inlet to the air pollution control system)
emissions of particulate matter, each metal controlled by 266.106, and
hydrogen chloride and chlorine, and the following information to support
such determinations:
(A) The feed rate (lb/hr) of ash, chlorine, antimony, arsenic,
barium, beryllium, cadmium, chromium, lead, mercury, silver, and
thallium in each feedstream (hazardous waste, other fuels, industrial
furnace feedstocks);
(B) The estimated partitioning factor to the combustion gas for the
materials identified in paragraph (b)(2)(ii)(A) of this section and the
basis for the estimate and an estimate of the partitioning to HCl and
Cl2 of total chloride and chlorine in feed materials. To estimate the
partitioning factor, the owner or operator must use either best
engineering judgment or the procedures specified in appendix IX of this
part.
(C) For industrial furnaces that recycle collected particulate matter
(PM) back into the furnace and that will certify compliance with the
metals emissions standards under paragraph (c)(3)(ii)(A), the estimated
enrichment factor for each metal. To estimate the enrichment factor,
the owner or operator must use either best engineering judgment or the
procedures specified in ''Alternative Methodology for Implementing
Metals Controls'' in appendix IX of this part.
(D) If best engineering judgment is used to estimate partitioning
factors or enrichment factors under paragraphs (b)(2)(ii)(B) or
(b)(2)(ii)(C) respectively, the basis for the judgment. When best
engineering judgment is used to develop or evaluate data or information
and make determinations under this section, the determinations must be
made by a qualified, registered professional engineer and a
certification of his/her determinations in accordance with 270.11(d) of
this chapter must be provided in the certification of precompliance.
(iii) For facilities complying with the Tier I feed rate screening
limits for metals or total chlorine and chloride provided by 266.106
(b) or (e) and 266.107 (b)(1) or (e), the feed rate (lb/hr) of total
chloride and chlorine, antimony, arsenic, barium, beryllium, cadmium,
chromium, lead, mercury, silver, and thallium in each feedstream
(hazardous waste, other fuels, industrial furnace feedstocks).
(iv) For facilities complying with the Tier II or Tier III emission
limits for metals or HCl and Cl2 (under 266.106 (c) or (d) or
266.107(b)(2) or (c)), the estimated controlled (outlet of the air
pollution control system) emissions rates of particulate matter, each
metal controlled by 266.106, and HCl and Cl2, and the following
information to support such determinations:
(A) The estimated air pollution control system (APCS) removal
efficiency for particulate matter, HCl, Cl2, antimony, arsenic, barium,
beryllium, cadmium, chromium, lead, mercury, silver, and thallium.
(B) To estimate APCS removal efficiency, the owner or operator must
use either best engineering judgment or the procedures prescribed in
appendix IX of this part.
(C) If best engineering judgment is used to estimate APCS removal
efficiency, the basis for the judgment. Use of best engineering
judgment must be in conformance with provisions of paragraph
(b)(2)(ii)(D) of this section.
(v) Determination of allowable emissions rates for HCl, Cl2,
antimony, arsenic, barium, beryllium, cadmium, chromium, lead, mercury,
silver, and thallium, and the following information to support such
determinations:
(A) For all facilities:
(1) Physical stack height;
(2) Good engineering practice stack height as defined by 40 CFR
51.100(ii);
(3) Maximum flue gas flow rate;
(4) Maximum flue gas temperature;
(5) Attach a US Geological Service topographic map (or equivalent)
showing the facility location and surrounding land within 5 km of the
facility;
(6) Identify terrain type: complex or noncomplex; and
(7) Identify land use: urban or rural.
(B) For owners and operators using Tier III site specific dispersion
modeling to determine allowable levels under 266.106(d) or 266.107(c),
or adjusted Tier I feed rate screening limits under 266.106(e) or
266.107(e):
(1) Dispersion model and version used;
(2) Source of meterological data;
(3) The dilution factor in micrograms per cubic meter per gram per
second of emissions for the maximum annual average off-site (unless
on-site is required) ground level concentration (MEI location); and
(4) Indicate the MEI location on the map required under paragraph
(b)(2)(v)(A)(5);
(vi) For facilities complying with the Tier II or III emissions rate
controls for metals or HCl and Cl2, a comparison of the estimated
controlled emissions rates determined under paragraph (b)(2)(iv) with
the allowable emission rates determined under paragraph (b)(2)(v);
(vii) For facilities complying with the Tier I (or adjusted Tier I)
feed rate screening limits for metals or total chloride and chlorine, a
comparison of actual feed rates of each metal and total chlorine and
chloride determined under paragraph (b)(2)(iii) of this section to the
Tier I allowable feed rates; and
(viii) For industrial furnaces that feed hazardous waste for any
purpose other than solely as an ingredient (as defined by paragraph
(a)(5)(ii) of this section) at any location other than the product
discharge end of the device, documentation of compliance with the
requirements of paragraphs (a)(5)(i) (A), (B), and (C) of this section.
(ix) For industrial furnaces that recycle collected particulate
matter (PM) back into the furnace and that will certify compliance with
the metals emissions standards under paragraph (c)(3)(ii) (A) of this
section:
(A) The applicable particulate matter standard in lb/hr; and
(B) The precompliance limit on the concentration of each metal in
collected PM.
(3) Limits on operating conditions. The owner and operator shall
establish limits on the following parameters consistent with the
determinations made under paragraph (b)(2) of this section and certify
(under provisions of paragraph (b)(9) of this section) to the Director
that the facility will operate within the limits during interim status
when there is hazardous waste in the unit until revised certification of
precompliance under paragraph (b)(8) of this section or certification of
compliance under paragraph (c) of this section:
(i) Feed rate of total hazardous waste and (unless complying with the
Tier I or adjusted Tier I metals feed rate screening limits under
266.106(b) or (e)) pumpable hazardous waste;
(ii) Feed rate of each metal in the following feed streams:
(A) Total feed streams, except that industrial furnaces that comply
with the alternative metals implementation approach under paragraph
(b)(4) of this section must specify limits on the concentration of each
metal in collected particulate matter in lieu of feed rate limits for
total feedstreams;
(B) Total hazardous waste feed; and
(C) Total pumpable hazardous waste feed, unless complying with the
Tier I or adjusted Tier I metals feed rate screening limits under
266.106 (b) or (e);
(iii) Total feed rate of chlorine and chloride in total feed streams;
(iv) Total feed rate of ash in total feed streams, except that the
ash feed rate for cement kilns and light-weight aggregate kilns is not
limited; and
(v) Maximum production rate of the device in appropriate units when
producing normal product.
(4) Operating requirements for furnaces that recycle PM. Owners and
operators of furnaces that recycle collected particulate matter (PM)
back into the furnace and that will certify compliance with the metals
emissions controls under paragraph (c)(3)(ii)(A) of this section must
comply with the special operating requirements provided in ''Alternative
Methodology for Implementing Metals Controls'' in appendix IX of this
part.
(5) Measurement of feed rates and production rate -- (i) General
requirements. Limits on each of the parameters specified in paragraph
(b)(3) of this section (except for limits on metals concentrations in
collected particulate matter (PM) for industrial furnaces that recycle
collected PM) shall be established and continuously monitored under
either of the following methods:
(A) Instantaneous limits. A limit for a parameter may be established
and continuously monitored and recorded on an instantaneous basis (i.e.,
the value that occurs at any time) not to be exceeded at any time; or
(B) Hourly rolling average limits. A limit for a parameter may be
established and continuously monitored on an hourly rolling average
basis defined as follows:
(1) A continuous monitor is one which continuously samples the
regulated parameter without interruption, and evaluates the detector
response at least once each 15 seconds, and computes and records the
average value at least every 60 seconds.
(2) An hourly rolling average is the arithmetic mean of the 60 most
recent 1-minute average values recorded by the continuous monitoring
system.
(ii) Rolling average limits for carcinogenic metals and lead. Feed
rate limits for the carcinogenic metals (arsenic, beryllium, cadmium,
and chromium) and lead may be established either on an hourly rolling
average basis as prescribed by paragraph (b)(5)(i)(B) or on (up to) a 24
hour rolling average basis. If the owner or operator elects to use an
averaging period from 2 to 24 hours:
(A) The feed rate of each metal shall be limited at any time to ten
times the feed rate that would be allowed on a hourly rolling average
basis;
(B) The continuous monitor shall meet the following specifications:
(1) A continuous monitor is one which continuously samples the
regulated parameter without interruption, and evaluates the detector
response at least once each 15 seconds, and computes and records the
average value at least every 60 seconds.
(2) The rolling average for the selected averaging period is defined
as the arithmetic mean of one hour block averages for the averaging
period. A one hour block average is the arithmetic mean of the one
minute averages recorded during the 60-minute period beginning at one
minute after the beginning of preceding clock hour.
(iii) Feed rate limits for metals, total chloride and chlorine, and
ash. Feed rate limits for metals, total chlorine and chloride, and ash
are established and monitored by knowing the concentration of the
substance (i.e., metals, chloride/chlorine, and ash) in each feedstream
and the flow rate of the feedstream. To monitor the feed rate of these
substances, the flow rate of each feedstream must be monitored under the
continuous monitoring requirements of paragraphs (b)(5) (i) and (ii) of
this section.
(6) Public notice requirements at precompliance. On or before August
21, 1991 the owner or operator must submit a notice with the following
information for publication in a major local newspaper of general
circulation and send a copy of the notice to the appropriate units of
State and local government. The owner and operator must provide to the
Director with the certification of precompliance evidence of submitting
the notice for publication. The notice, which shall be entitled
''Notice of Certification of Precompliance with Hazardous Waste Burning
Requirements of 40 CFR 266.103(b)'', must include:
(i) Name and address of the owner and operator of the facility as
well as the location of the device burning hazardous waste;
(ii) Date that the certification of precompliance is submitted to the
Director;
(iii) Brief description of the regulatory process required to comply
with the interim status requirements of this section including required
emissions testing to demonstrate conformance with emissions standards
for organic compounds, particulate matter, metals, and HCl and Cl2;
(iv) Types and quantities of hazardous waste burned including, but
not limited to, source, whether solids or liquids, as well as an
appropriate description of the waste;
(v) Type of device(s) in which the hazardous waste is burned
including a physical description and maximum production rate of each
device;
(vi) Types and quantities of other fuels and industrial furnace
feedstocks fed to each unit;
(vii) Brief description of the basis for this certification of
precompliance as specified in paragraph (b)(2) of this section;
(viii) Locations where the record for the facility can be viewed and
copied by interested parties. These records and locations shall at a
minimum include:
(A) The administrative record kept by the Ageny office where the
supporting documentation was submitted or another location designated by
the Director; and
(b) The BIF correspondence file kept at the facility site where the
device is located. The correspondence file must include all
correspondence between the facility and the Director, State and local
regulatory officials, including copies of all certifications and
notifications, such as the precompliance certification, precompliance
public notice, notice of compliance testing, compliance test report,
compliance certification, time extension requests and approvals or
denials, enforcement notifications of violations, and copies of EPA and
State site visit reports submitted to the owner or operator.
(ix) Notification of the establishment of a facility mailing list
whereby interested parties shall notify the Agency that they wish to be
placed on the mailing list to receive future information and notices
about this facility; and
(x) Location (mailing address) of the applicable EPA Regional Office,
Hazardous Waste Division, where further information can be obtained on
EPA regulation of hazardous waste burning.
(7) Monitoring other operating parameters. When the monitoring
systems for the operating parameters listed in paragraphs (c)(1)(v
through xiii) of this section are installed and operating in conformance
with vendor specifications or (for CO, HC, and oxygen) specifications
provided by appendix IX of this part, as appropriate, the parameters
shall be continuously monitored and records shall be maintained in the
operating record.
(8) Revised certification of precompliance. The owner or operator
may revise at any time the information and operating conditions
documented under paragraphs (b)(2) and (b)(3) of this section in the
certification of precompliance by submitting a revised certification of
precompliance under procedures provided by those paragraphs.
(i) The public notice requirements of paragraph (b)(6) of this
section do not apply to recertifications.
(ii) The owner and operator must operate the facility within the
limits established for the operating parameters under paragraph (b)(3)
of this section until a revised certification is submitted under this
paragraph or a certification of compliance is submitted under paragraph
(c) of this section.
(9) Certification of precompliance statement. The owner or operator
must include the following signed statement with the certification of
precompliance submitted to the Director:
''I certify under penalty of law that this information was prepared
under my direction or supervision in accordance with a system designed
to ensure that qualified personnel properly gathered and evaluated the
information and supporting documentation. Copies of all emissions
tests, dispersion modeling results and other information used to
determine conformance with the requirements of 266.103(b) are available
at the facility and can be obtained from the facility contact person
listed above. Based on my inquiry of the person or persons who manages
the facility, or those persons directly responsible for gathering the
information, the information submitted is, to the best of my knowledge
and belief, true, accurate, and complete. I am aware that there are
significant penalties for submitting false information, including the
possibility of fine and imprisonment for knowing violations.
I also acknowledge that the operating limits established in this
certification pursuant to 266.103(b) (3) and (4) are enforceable limits
at which the facility can legally operate during interim status until:
(1) A revised certification of precompliance is submitted, (2) a
certification of compliance is submitted, or (3) an operating permit is
issued.''
(c) Certification of compliance. The owner or operator shall conduct
emissions testing to document compliance with the emissions standards of
266.104 (b) through (e), 266.105, 266.106, 266.107, and paragraph
(a)(5)(i)(D) of this section, under the procedures prescribed by this
paragraph, except under extensions of time provided by paragraph (c)(7).
Based on the compliance test, the owner or operator shall submit to the
Director on or before August 21, 1992 a complete and accurate
''certification of compliance'' (under paragraph (c)(4) of this section)
with those emission standards establishing limits on the operating
parameters specified in paragraph (c)(1).
(1) Limits on operating conditions. The owner or operator shall
establish limits on the following parameters based on operations during
the compliance test (under procedures prescribed in paragraph (c)(4)(iv)
of this section) and include these limits with the certification of
compliance. The boiler or industrial furnace must be operated in
accordance with these operating limits and the applicable emissions
standards of 266.104 (b) through (e), 266.105, 266.106, 266.107, and
266.103(a)(5)(i)(D) at all times when there is hazardous waste in the
unit.
(i) Feed rate of total hazardous waste and (unless complying the Tier
I or adjusted Tier I metals feed rate screening limits under 266.106
(b) or (e)), pumpable hazardous waste;
(ii) Feed rate of each metal in the following feedstreams:
(A) Total feedstreams, except that industrial furnaces that must
comply with the alternative metals implementation approach under
paragraph (c)(3)(ii) of this section must specify limits on the
concentration of each metal in collected particulate matter in lieu of
feed rate limits for total feedstreams;
(B) Total hazardous waste feed (unless complying with the Tier I or
adjusted Tier I metals feed rate screening limits under 266.106 (b) or
(e)); and
(C) Total pumpable hazardous waste feed:
(iii) Total feed rate of chlorine and chloride in total feed streams;
(iv) Total feed rate of ash in total feed streams, except that the
ash feed rate for cement kilns and light-weight aggregate kilns is not
limited;
(v) Carbon monoxide concentration, and where required, hydrocarbon
concentration in stack gas. When complying with the CO controls of
266.104(b), the CO limit is 100 ppmv, and when complying with the HC
controls of 266.104(c), the HC limit is 20 ppmv. When complying with
the CO controls of 266.104(c), the CO limit is established based on the
compliance test;
(vi) Maximum production rate of the device in appropriate units when
producing normal product;
(vii) Maximum combustion chamber temperature where the temperature
measurement is as close to the combustion zone as possible and is
upstream of any quench water injection, (unless complying with the Tier
I adjusted Tier I metals feed rate screening limits under 266.106 (b)
or (e));
(viii) Maximum flue gas temperature entering a particulate matter
control device (unless complying with Tier I or adjusted Tier I metals
feed rate screening limits under 266.106 (b) or (e));
(ix) For systems using wet scrubbers, including wet ionizing
scrubbers (unless complying with the Tier I or adjusted Tier I metals
feed rate screening limits under 266.106 (b) or (e) and the total
chlorine and chloride feed rate screening limits under 266.107(b) (1)
or (e)):
(A) Minimum liquid to flue gas ratio;
(B) Minimum scrubber blowdown from the system or maximum suspended
solids content of scrubber water; and
(C) Minimum pH level of the scrubber water;
(x) For systems using venturi scrubbers, the minimum differential gas
pressure across the venturi (unless complying the Tier I or adjusted
Tier I metals feed rate screening limits under 266.106 (b) or (e) and
the total chlorine and chloride feed rate screening limits under
266.107(b) (1) or (e));
(xi) For system using dry scrubbers (unless complying with the Tier I
or adjusted Tier I metals feed rate screening limits under 266.106 (b)
or (e) and the total chlorine and chloride feed rate screening limits
under 266.107(b) (1) or (e));
(A) Minimum caustic feed rate; and
(B) Maximum flue gas flow rate:
(xii) For systems using wet ionizing scrubbers or electrostatic
precipitators (unless complying with the Tier I or adjusted Tier I
metals feed rate screening limits under 266.106 (b) or (e) and the
total chlorine and chloride feed rate screening limits under 266.107(b)
(1) or (e)):
(A) Minimum electrical power in kilovolt amperes (kVA) to the
precipitator plates; and
(B) Maximum flue gas flow rate;
(xiii) For systems using fabric filters (baghouses), the minimum
pressure drop (unless complying with the Tier I or adjusted Tier I
metals feed rate screening limits under 266.106 (b) or (e) and the
total chlorine and chloride feed rate screening limits under
266.107(b)(1) or (e)).
(2) Prior notice of compliance testing. At least 30 days prior to
the compliance testing required by paragraph (c)(3) of this section, the
owner or operator shall notify the Director and submit the following
information:
(i) General facility information including:
(A) EPA facility ID number;
(B) Facility name, contact person, telephone number, and address;
(C) Person responsible for conducting compliance test, including
company name, address, and telephone number, and a statement of
qualifications;
(D) Planned date of the compliance test;
(ii) Specific information on each device to be tested including:
(A) Description of boiler or industrial furnace;
(B) A scaled plot plan showing the entire facility and location of
the boiler or industrial furnace;
(C) A description of the air pollution control system;
(D) Identification of the continuous emission monitors that are
installed, including:
(1) Carbon monoxide monitor;
(2) Oxygen monitor;
(3) Hydrocarbon monitor, specifying the minimum temperature of the
system and, if the temperature is less than 150 C, an explanation of
why a heated system is not used (see paragraph (c)(5) of this section)
and a brief description of the sample gas conditioning system;
(E) Indication of whether the stack is shared with another device
that will be in operation during the compliance test;
(F) Other information useful to an understanding of the system design
or operation.
(iii) Information on the testing planned, including a complete copy
of the test protocol and Quality Assurance/Quality Control (QA/QC) plan,
and a summary description for each test providing the following
information at a minimum:
(A) Purpose of the test (e.g., demonstrate compliance with emissions
of particulate matter); and
(B) Planned operating conditions, including levels for each pertinent
parameter specified in paragraph (c)(1) of this section.
(3) Compliance testing. -- (i) General. Compliance testing must be
conducted under conditions for which the owner or operator has submitted
a certification of precompliance under paragraph (b) of this section and
under conditions established in the notification of compliance testing
required by paragraph (c)(2) of this section. The owner or operator may
seek approval on a case-by-case basis to use compliance test data from
one unit in lieu of testing a similar on-site unit. To support the
request, the owner or operator must provide a comparison of the
hazardous waste burned and other feedstreams, and the design, operation,
and maintenance of both the tested unit and the similar unit. The
Director shall provide a written approval to use compliance test data in
lieu of testing a similar unit if he finds that the hazardous wastes,
the devices, and the operating conditions are sufficiently similar, and
the data from the other compliance test is adequate to meet the
requirements of 266.103(c).
(4) Certification of compliance. Within 90 days of completing
compliance testing, the owner or operator must certify to the Director
compliance with the emissions standards of 266.104(b), (c), and (e),
266.105, 266.106, 266.107, and paragraph (a)(5)(i)(D) of this section.
The certification of compliance must include the following information:
(i) General facility and testing information including:
(A) EPA facility ID number;
(B) Facility name, contact person, telephone number, and address;
(C) Person responsible for conducting compliance testing, including
company name, address, and telephone number, and a statement of
qualifications;
(D) Date(s) of each compliance test;
(E) Description of boiler or industrial furnace tested;
(F) Person responsible for quality assurance/quality control (QA/QC),
title, and telephone number, and statement that procedures prescribed in
the QA/QC plan submitted under 266.103(c)(2)(iii) have been followed,
or a description of any changes and an explanation of why changes were
necessary.
(G) Description of any changes in the unit configuration prior to or
during testing that would alter any of the information submitted in the
prior notice of compliance testing under paragraph (c)(2) of this
section, and an explanation of why the changes were necessary;
(H) Description of any changes in the planned test conditions prior
to or during the testing that alter any of the information submitted in
the prior notice of compliance testing under paragraph (c)(2) of this
section, and an explanation of why the changes were necessary; and
(I) The complete report on results of emissions testing.
(ii) Specific information on each test including:
(A) Purpose(s) of test (e.g., demonstrate conformance with the
emissions limits for particulate matter, metals, HCl, Cl2, and CO)
(B) Summary of test results for each run and for each test including
the following information:
(1) Date of run;
(2) Duration of run;
(3) Time-weighted average and highest hourly rolling average CO level
for each run and for the test;
(4) Highest hourly rolling average HC level, if HC monitoring is
required for each run and for the test;
(5) If dioxin and furan testing is required under 266.104(e),
time-weighted average emissions for each run and for the test of
chlorinated dioxin and furan emissions, and the predicted maximum annual
average ground level concentration of the toxicity equivalency factor;
(6) Time-weighted average particulate matter emissions for each run
and for the test;
(7) Time-weighted average HCl and Cl2 emissions for each run and for
the test;
(8) Time-weighted average emissions for the metals subject to
regulation under 266.106 for each run and for the test; and
(9) QA/QC results.
(iii) Comparison of the actual emissions during each test with the
emissions limits prescribed by 266.104 (b), (c), and (e), 266.105,
266.106, and 266.107 and established for the facility in the
certification of precompliance under paragraph (b) of this section.
(iv) Determination of operating limits based on all valid runs of the
compliance test for each applicable parameter listed in paragraph (c)(1)
of this section using either of the following procedures:
(A) Instantaneous limits. A parameter may be measured and recorded
on an instantaneous basis (i.e., the value that occurs at any time) and
the operating limit specified as the time-weighted average during all
runs of the compliance test; or
(B) Hourly rolling average basis. (1) The limit for a parameter may
be established and continuously monitored on an hourly rolling average
basis defined as follows:
(i) A continuous monitor is one which continuously samples the
regulated parameter without interruption, and evaluates the detector
response at least once each 15 seconds, and computes and records the
average value at least every 60 seconds.
(ii) An hourly rolling average is the arithmetic mean of the 60 most
recent 1-minute average values recorded by the continuous monitoring
system.
(2) The operating limit for the parameter shall be established based
on compliance test data as the average over all test runs of the highest
hourly rolling average value for each run.
(C) Rolling average limits for carcinogenic metals and lead. Feed
rate limits for the carcinogenic metals (i.e., arsenic, beryllium,
cadmium and chromium) and lead may be established either on an hourly
rolling average basis as prescribed by paragraph (c)(4)(iv)(B) of this
section or on (up to) a 24 hour rolling average basis. If the owner or
operator elects to use an averaging period from 2 to 24 hours:
(1) The feed rate of each metal shall be limited at any time to ten
times the feed rate that would be allowed on a hourly rolling average
basis;
(2) The continuous monitor shall meet the following specifications:
(i) A continuous monitor is one which continuously samples the
regulated parameter without interruption, and evaluates the detector
response at least once each 15 seconds, and computes and records the
average value at least every 60 seconds.
(ii) The rolling average for the selected averaging period is defined
as arithmetic mean of one hour block averages for the averaging period.
A one hour block average is the arithmetic mean of the one minute
averages recorded during the 60-minute period beginning at one minute
after the beginning of preceding clock hour; and
(3) The operating limit for the feed rate of each metal shall be
established based on compliance test data as the average over all test
runs of the highest hourly rolling average feed rate for each run.
(D) Feed rate limits for metals, total chloride and chlorine, and
ash. Feed rate limits for metals, total chlorine and chloride, and ash
are established and monitored by knowing the concentration of the
substance (i.e., metals, chloride/chlorine, and ash) in each feedstream
and the flow rate of the feedstream. To monitor the feed rate of these
substances, the flow rate of each feedstream must be monitored under the
continuous monitoring requirements of paragraphs (c)(4)(iv) (A) through
(C) of this section.
(v) Certification of compliance statement. The following statement
shall accompany the certification of compliance:
''I certify under penalty of law that this information was prepared
under my direction or supervision in accordance with a system designed
to ensure that qualified personnel properly gathered and evaluated the
information and supporting documentation. Copies of all emissions
tests, dispersion modeling results and other information used to
determine conformance with the requirements of 266.103(c) are available
at the facility and can be obtained from the facility contact person
listed above. Based on my inquiry of the person or persons who manages
the facility, or those persons directly responsible for gathering the
information, the information submitted is, to the best of my knowledge
and belief, true, accurate, and complete. I am aware that there are
significant penalties for submitting false information, including the
possibility of fine and imprisonment for knowing violations.
I also acknowledge that the operating conditions established in this
certification pursuant to 266.103(c)(4)(iv) are enforceable limits at
which the facility can legally operate during interim status until a
revised certification of compliance is submitted.''
(5) Special requirements for HC monitoring systems. When an owner or
operator is required to comply with the hydrocarbon (HC) controls
provided by 266.104(c) or paragraph (a)(5)(i)(D) of this section, a
conditioned gas monitoring system may be used in conformance with
specifications provided in appendix IX of this part provided that the
owner or operator submits a certification of compliance without using
extensions of time provided by paragraph (c)(7) of this section.
(6) Special operating requirements for industrial furnaces that
recycle collected PM. Owners and operators of industrial furnaces that
recycle back into the furnace particulate matter (PM) from the air
pollution control system must:
(i) When complying with the requirements of paragraph (c)(3)(ii)(A)
of this section, comply with the operating requirements prescribed in
''Alternative Method to Implement the Metals Controls'' in appendix IX
of this part; and
(ii) When complying with the requirements of paragraph (c)(3)(ii)(B)
of this section, comply with the operating requirements prescribed by
that paragraph.
(7) Extensions of time. (i) If the owner or operator does not submit
a complete certification of compliance for all of the applicable
emissions standards of 266.104, 266.105, 266.106, and 266.107 by
August 21, 1992, he/she must either:
(A) Stop burning hazardous waste and begin closure activities under
paragraph (l) of this section for the hazardous waste portion of the
facility; or
(B) Limit hazardous waste burning only for purposes of compliance
testing (and pretesting to prepare for compliance testing) a total
period of 720 hours for the period of time beginning August 21, 1992,
submit a notification to the Director by August 21, 1992 stating that
the facility is operating under restricted interim status and intends to
resume burning hazardous waste, and submit a complete certification of
compliance by August 23, 1993; or
(C) Obtain a case-by-case extension of time under paragraph
(c)(7)(ii) of this section.
(ii) The owner or operator may request a case-by-case extension of
time to extend any time limit provided by paragraph (c) of this section
if compliance with the time limit is not practicable for reasons beyond
the control of the owner or operator.
(A) In granting an extension, the Director may apply conditions as
the facts warrant to ensure timely compliance with the requirements of
this section and that the facility operates in a manner that does not
pose a hazard to human health and the environment;
(B) When an owner and operator request an extension of time to enable
them to obtain a RCRA operating permit because the facility cannot meet
the HC limit of 266.104(c) of this chapter:
(1) The Director shall, in considering whether to grant the
extension:
(i) Determine whether the owner and operator have submitted in a
timely manner a complete part B permit application that includes
information required under 270.22(b) of this chapter; and
(ii) Consider whether the owner and operator have made a good faith
effort to certify compliance with all other emission controls, including
the controls on dioxins and furans of 266.104(e) and the controls on
PM, metals, and HCl/Cl2.
(2) If an extension is granted, the Director shall, as a condition of
the extension, require the facility to operate under flue gas
concentration limits on CO and HC that, based on available information,
including information in the part B permit application, are baseline CO
and HC levels as defined by 266.104(f)(1).
(8) Revised certification of compliance. The owner or operator may
submit at any time a revised certification of compliance
(recertification of compliance) under the following procedures:
(i) Prior to submittal of a revised certification of compliance,
hazardous waste may not be burned for more than a total of 720 hours
under operating conditions that exceed those established under a current
certification of compliance, and such burning may be conducted only for
purposes of determining whether the facility can operate under revised
conditions and continue to meet the applicable emissions standards of
266.104, 266.105, 266.106, and 266.107;
(ii) At least 30 days prior to first burning hazardous waste under
operating conditions that exceed those established under a current
certification of compliance, the owner or operator shall notify the
Director and submit the following information:
(A) EPA facility ID number, and facility name, contact person,
telephone number, and address;
(B) Operating conditions that the owner or operator is seeking to
revise and description of the changes in facility design or operation
that prompted the need to seek to revise the operating conditions;
(C) A determination that when operating under the revised operating
conditions, the applicable emissions standards of 266.104, 266.105,
266.106, and 266.107 are not likely to be exceeded. To document this
determination, the owner or operator shall submit the applicable
information required under paragraph (b)(2) of this section; and
(D) Complete emissions testing protocol for any pretesting and for a
new compliance test to determine compliance with the applicable
emissions standards of 266.104, 266.105, 266.106, and 266.107 when
operating under revised operating conditions. The protocol shall
include a schedule of pre-testing and compliance testing. If the owner
and operator revises the scheduled date for the compliance test, he/she
shall notify the Director in writing at least 30 days prior to the
revised date of the compliance test;
(iii) Conduct a compliance test under the revised operating
conditions and the protocol submitted to the Director to determine
compliance with the applicable emissions standards of 266.104,
266.105, 266.106, and 266.107; and
(iv) Submit a revised certification of compliance under paragraph
(c)(4) of this section.
(d) Periodic Recertifications. The owner or operator must conduct
compliance testing and submit to the Director a recertification of
compliance under provisions of paragraph (c) of this section within
three years from submitting the previous certification or
recertification. If the owner or operator seeks to recertify compliance
under new operating conditions, he/she must comply with the requirements
of paragraph (c)(8) of this section.
(e) Noncompliance with certification schedule. If the owner or
operator does not comply with the interim status compliance schedule
provided by paragraphs (b), (c), and (d) of this section, hazardous
waste burning must terminate on the date that the deadline is missed,
closure activities must begin under paragraph (l) of this section, and
hazardous waste burning may not resume except under an operating permit
issued under 270.66 of this chapter. For purposes of compliance with
the closure provisions of paragraph (l) of this section and
265.112(d)(2) and 265.113 of this chapter the boiler or industrial
furnace has received ''the known final volume of hazardous waste'' on
the date that the deadline is missed.
(f) Start-up and shut-down. Hazardous waste (except waste fed solely
as an ingredient under the Tier I (or adjusted Tier I) feed rate
screening limits for metals and chloride/chlorine) must not be fed into
the device during start-up and shut-down of the boiler or industrial
furnace, unless the device is operating within the conditions of
operation specified in the certification of compliance.
(g) Automatic waste feed cutoff. During the compliance test required
by paragraph (c)(3) of this section, and upon certification of
compliance under paragraph (c) of this section, a boiler or industrial
furnace must be operated with a functioning system that automatically
cuts off the hazardous waste feed when the applicable operating
conditions specified in paragraphs (c)(1) (i) and (v through xiii) of
this section deviate from those established in the certification of
compliance. In addition:
(1) To minimize emissions of organic compounds, the minimum
combustion chamber temperature (or the indicator of combustion chamber
temperature) that occurred during the compliance test must be maintained
while hazardous waste or hazardous waste residues remain in the
combustion chamber, with the minimum temperature during the compliance
test defined as either:
(i) If compliance with the combustion chamber temperature limit is
based on a hourly rolling average, the minimum temperature during the
compliance test is considered to be the average over all runs of the
lowest hourly rolling average for each run; or
(ii) If compliance with the combustion chamber temperature limit is
based on an instantaneous temperature measurement, the minimum
temperature during the compliance test is considered to be the
time-weighted average temperature during all runs of the test; and
(2) Operating parameters limited by the certification of compliance
must continue to be monitored during the cutoff, and the hazardous waste
feed shall not be restarted until the levels of those parameters comply
with the limits established in the certification of compliance.
(h) Fugitive emissions. Fugitive emissions must be controlled by:
(1) Keeping the combustion zone totally sealed against fugitive
emissions; or
(2) Maintaining the combustion zone pressure lower than atmospheric
pressure; or
(3) An alternate means of control that the owner or operator can
demonstrate provide fugitive emissions control equivalent to maintenance
of combustion zone pressure lower than atmospheric pressure. Support
for such demonstration shall be included in the operating record.
(i) Changes. A boiler or industrial furnace must cease burning
hazardous waste when changes in combustion properties, or feed rates of
the hazardous waste, other fuels, or industrial furnace feedstocks, or
changes in the boiler or industrial furnace design or operating
conditions deviate from the limits specified in the certification of
compliance.
(j) Monitoring and Inspections. (1) The owner or operator must
monitor and record the following, at a minimum, while burning hazardous
waste:
(i) Feed rates and composition of hazardous waste, other fuels, and
industrial furnace feed stocks, and feed rates of ash, metals, and total
chloride and chlorine as necessary to ensure conformance with the
certification of precompliance or certification of compliance;
(ii) Carbon monoxide (CO), oxygen, and if applicable, hydrocarbons
(HC), on a continuous basis at a common point in the boiler or
industrial furnace downstream of the combustion zone and prior to
release of stack gases to the atmosphere in accordance with the
operating limits specified in the certification of compliance. CO, HC,
and oxygen monitors must be installed, operated, and maintained in
accordance with methods specified in appendix IX of this part.
(iii) Upon the request of the Director, sampling and analysis of the
hazardous waste (and other fuels and industrial furnace feed stocks as
appropriate) and the stack gas emissions must be conducted to verify
that the operating conditions established in the certification of
precompliance or certification of compliance achieve the applicable
standards of 266.104, 266.105, 266.106, and 266.107.
(2) The boiler or industrial furnace and associated equipment (pumps,
valves, pipes, fuel storage tanks, etc.) must be subjected to thorough
visual inspection when they contain hazardous waste, at least daily for
leaks, spills, fugitive emissions, and signs of tampering.
(3) The automatic hazardous waste feed cutoff system and associated
alarms must be tested at least once every 7 days when hazardous waste is
burned to verify operability, unless the owner or operator can
demonstrate that weekly inspections will unduly restrict or upset
operations and that less frequent inspections will be adequate. Support
for such demonstration shall be included in the operating record. At a
minimum, operational testing must be conducted at least once every 30
days.
(4) These monitoring and inspection data must be recorded and the
records must be placed in the operating log.
(k) Recordkeeping. The owner or operator must keep in the operating
record of the facility all information and data required by this section
until closure of the boiler or industrial furnace unit.
(l) Closure. At closure, the owner or operator must remove all
hazardous waste and hazardous waste residues (including, but not limited
to, ash, scrubber waters, and scrubber sludges) from the boiler or
industrial furnace and must comply with 265.111-265.115 of this
chapter.
(Approved by the Office of Management and Budget under control number
2050-0073)
(56 FR 7208, Feb. 21, 1991; 56 FR 32689, July 17, 1991, as amended
at 56 FR 42514, Aug. 27, 1991)
40 CFR 266.104 Standards to control organic emissions.
(a) DRE standard -- (1) General. Except as provided in paragraph
(a)(3) of this section, a boiler or industrial furnace burning hazardous
waste must achieve a destruction and removal efficiency (DRE) of 99.99%
for all organic hazardous constituents in the waste feed. To
demonstrate conformance with this requirement, 99.99% DRE must be
demonstrated during a trial burn for each principal organic hazardous
constituent (POHC) designated (under paragraph (a)(2) of this section)
in its permit for each waste feed. DRE is determined for each POHC from
the following equation:
where:
W in= Mass feed rate of one principal organic hazardous constituent
(POHC) in the hazardous waste fired to the boiler or industrial furnace;
and
W out= Mass emission rate of the same POHC present in stack gas prior
to release to the atmosphere.
(2) Designation of POHCs. Principal organic hazardous constituents
(POHCs) are those compounds for which compliance with the DRE
requirements of this section shall be demonstrated in a trial burn in
conformance with procedures prescribed in 270.66 of this chapter. One
or more POHCs shall be designated by the Director for each waste feed to
be burned. POHCs shall be designated based on the degree of difficulty
of destruction of the organic constituents in the waste and on their
concentrations or mass in the waste feed considering the results of
waste analyses submitted with part B of the permit application. POHCs
are most likely to be selected from among those compounds listed in part
261, appendix VIII of this chapter that are also present in the normal
waste feed. However, if the applicant demonstrates to the Regional
Administrator's satisfaction that a compound not listed in appendix VIII
or not present in the normal waste feed is a suitable indicator of
compliance with the DRE requirements of this section, that compound may
be designated as a POHC. Such POHCs need not be toxic or organic
compounds.
(3) Dioxin-listed waste. A boiler or industrial furnace burning
hazardous waste containing (or derived from) EPA Hazardous Wastes Nos.
F020, F021, F022, F023, F026, or F027 must achieve a destruction and
removal efficiency (DRE) of 99.9999% for each POHC designated (under
paragraph (a)(2) of this section) in its permit. This performance must
be demonstrated on POHCs that are more difficult to burn than tetra-,
penta-, and hexachlorodibenzo-p-dioxins and dibenzofurans. DRE is
determined for each POHC from the equation in paragraph (a)(1) of this
section. In addition, the owner or operator of the boiler or industrial
furnace must notify the Director of intent to burn EPA Hazardous Waste
Nos. F020, F021, F022, F023, F026, or F027.
(4) Automatic waiver of DRE trial burn. Owners and operators of
boilers operated under the special operating requirements provided by
266.110 are considered to be in compliance with the DRE standard of
paragraph (a)(1) of this section and are exempt from the DRE trial burn.
(5) Low risk waste. Owners and operators of boilers or industrial
furnaces that burn hazardous waste in compliance with the requirements
of 266.109(a) are considered to be in compliance with the DRE standard
of paragraph (a)(1) of this section and are exempt from the DRE trial
burn.
(b) Carbon monoxide standard. (1) Except as provided in paragraph
(c) of this section, the stack gas concentration of carbon monoxide (CO)
from a boiler or industrial furnace burning hazardous waste cannot
exceed 100 ppmv on an hourly rolling average basis (i.e., over any 60
minute period), continuously corrected to 7 percent oxygen, dry gas
basis.
(2) CO and oxygen shall be continuously monitored in conformance with
''Performance Specifications for Continuous Emission Monitoring of
Carbon Monoxide and Oxygen for Incinerators, Boilers, and Industrial
Furnaces Burning Hazardous Waste'' in appendix IX of this part.
(3) Compliance with the 100 ppmv CO limit must be demonstrated during
the trial burn (for new facilities or an interim status facility
applying for a permit) or the compliance test (for interim status
facilities). To demonstrate compliance, the highest hourly rolling
average CO level during any valid run of the trial burn or compliance
test must not exceed 100 ppmv.
(c) Alternative carbon monoxide standard. (1) The stack gas
concentration of carbon monoxide (CO) from a boiler or industrial
furnace burning hazardous waste may exceed the 100 ppmv limit provided
that stack gas concentrations of hydrocarbons (HC) do not exceed 20
ppmv, except as provided by paragraph (f) of this section for certain
industrial furnaces.
(2) HC limits must be established under this section on an hourly
rolling average basis (i.e., over any 60 minute period), reported as
propane, and continuously corrected to 7 percent oxygen, dry gas basis.
(3) HC shall be continuously monitored in conformance with
''Performance Specifications for Continuous Emission Monitoring of
Hydrocarbons for Incinerators, Boilers, and Industrial Furnaces Burning
Hazardous Waste'' in appendix IX of this part. CO and oxygen shall be
continuously monitored in conformance with paragraph (b)(2) of this
section.
(4) The alternative CO standard is established based on CO data
during the trial burn (for a new facility) and the compliance test (for
an interim status facility). The alternative CO standard is the average
over all valid runs of the highest hourly average CO level for each run.
The CO limit is implemented on an hourly rolling average basis, and
continuously corrected to 7 percent oxygen, dry gas basis.
(d) Special requirements for furnaces. Owners and operators of
industrial furnaces (e.g., kilns, cupolas) that feed hazardous waste for
a purpose other than solely as an ingredient (see 266.103(a)(5)(ii)) at
any location other than the end where products are normally discharged
and where fuels are normally fired must comply with the hydrocarbon
limits provided by paragraphs (c) or (f) of this section irrespective of
whether stack gas CO concentrations meet the 100 ppmv limit of paragraph
(b) of this section.
(e) Controls for dioxins and furans. Owners and operators of boilers
and industrial furnaces that are equipped with a dry particulate matter
control device that operates within the temperature range of 450-750 F,
and industrial furnaces operating under an alternative hydrocarbon limit
established under paragraph (f) of this section must conduct a
site-specific risk assessment as follows to demonstrate that emissions
of chlorinated dibenzo-p-dioxins and dibenzofurans do not result in an
increased lifetime cancer risk to the hypothetical maximum exposed
individual (MEI) exceeding 1 in 100,000:
(1) During the trial burn (for new facilities or an interim status
facility applying for a permit) or compliance test (for interim status
facilities), determine emission rates of the tetra-octa congeners of
chlorinated dibenzo-p-dioxins and dibenzofurans (CDDs/CDFs) using Method
23, ''Determination of Polychlorinated Dibenzo-p-Dioxins (PCDDs) and
Polychlorinated Dibenzofurans (PCDFs) from Stationary Sources'', in
appendix IX of this part;
(2) Estimate the 2,3,7,8-TCDD toxicity equivalence of the tetra-octa
CDDs/CDFs congeners using ''Procedures for Estimating the Toxicity
Equivalence of Chlorinated Dibenzo-p-Dioxin and Dibenzofuran Congeners''
in appendix IX of this part. Multiply the emission rates of CDD/CDF
congeners with a toxicity equivalence greater than zero (see the
procedure) by the calculated toxicity equivalence factor to estimate the
equivalent emission rate of 2,3,7,8-TCDD;
(3) Conduct dispersion modeling using methods recommended in
Guideline on Air Quality Models (Revised) or the ''Hazardous Waste
Combustion Air Quality Screening Procedure'', which are provided in
appendices X and IX, respectively, of this part, or ''EPA SCREEN
Screening Procedure'' as described in Screening Procedures for
Estimating Air Quality Impact of Stationary Sources (incorporated by
reference in 260.11) to predict the maximum annual average off-site
ground level concentration of 2,3,7,8-TCDD equivalents determined under
paragraph (e)(2) of this section. The maximum annual average on-site
concentration must be used when a person resides on-site; and
(4) The ratio of the predicted maximum annual average ground level
concentration of 2,3,7,8-TCDD equivalents to the risk-specific dose for
2,3,7,8-TCDD provided in appendix V of this part (2.2 X 10^-7) shall not
exceed 1.0.
(f) Alternative HC limit for furnaces with organic matter in raw
material. For industrial furnaces that cannot meet the 20 ppmv HC limit
because of organic matter in normal raw material, the Director may
establish an alternative HC limit on a case-by-case basis (under a part
B permit proceeding) at a level that ensures that flue gas HC (and CO)
concentrations when burning hazardous waste are not greater than when
not burning hazardous waste (the baseline HC level) provided that the
owner or operator complies with the following requirements. However,
cement kilns equipped with a by-pass duct meeting the requirements of
paragraph (g) of this section, are not eligible for an alternative HC
limit.
(1) The owner or operator must demonstrate that the facility is
designed and operated to minimize hydrocarbon emissions from fuels and
raw materials when the baseline HC (and CO) level is determined. The
baseline HC (and CO) level is defined as the average over all valid test
runs of the highest hourly rolling average value for each run when the
facility does not burn hazardous waste, and produces normal products
under normal operating conditions feeding normal feedstocks and fuels.
More than one baseline level may be determined if the facility operates
under different modes that may generate significantly different HC (and
CO) levels;
(2) The owner or operator must develop an approach to monitor over
time changes in the operation of the facility that could reduce the
baseline HC level;
(3) The owner or operator must conduct emissions testing during the
trial burn to:
(i) Determine the baseline HC (and CO) level;
(ii) Demonstrate that, when hazardous waste is burned, HC (and CO)
levels do not exceed the baseline level; and
(iii) Identify the types and concentrations of organic compounds
listed in appendix VIII, part 261 of this chapter, that are emitted and
conduct dispersion modeling to predict the maximum annual average ground
level concentration of each organic compound. On-site ground level
concentrations must be considered for this evaluation if a person
resides on site.
(A) Sampling and analysis of organic emissions shall be conducted
using procedures prescribed by the Director.
(B) Dispersion modeling shall be conducted according to procedures
provided by paragraph (e)(2) of this section; and
(iv) Demonstrate that maximum annual average ground level
concentrations of the organic compounds identified in paragraph
(f)(3)(iii) of this section do not exceed the following levels:
(A) For the noncarcinogenic compounds listed in appendix IV of this
part, the levels established in appendix IV;
(B) For the carcinogenic compounds listed in appendix V of this part,
the sum for all compounds of the ratios of the actual ground level
concentration to the level established in appendix V cannot exceed 1.0.
To estimate the health risk from chlorinated dibenzo-p-dioxins and
dibenzofuran congeners, use the procedures prescribed by paragraph
(e)(3) of this section to estimate the 2,3,7,8-TCDD toxicity equivalence
of the congeners.
(C) For compounds not listed in appendix IV or V, 0.1 micrograms per
cubic meter.
(4) All hydrocarbon levels specified under this paragraph are to be
monitored and reported as specified in paragraphs (c)(1) and (c)(2) of
this section.
(g) Monitoring CO and HC in the by-pass duct of a cement kiln.
Cement kilns may comply with the carbon monoxide and hydrocarbon limits
provided by paragraphs (b), (c), and (d) of this section by monitoring
in the by-pass duct provided that:
(1) Hazardous waste is fired only into the kiln and not at any
location downstream from the kiln exit relative to the direction of gas
flow; and
(2) The by-pass duct diverts a minimum of 10% of kiln off-gas into
the duct.
(h) Use of emissions test data to demonstrate compliance and
establish operating limits. Compliance with the requirements of this
section must be demonstrated simultaneously by emissions testing or
during separate runs under identical operating conditions. Further,
data to demonstrate compliance with the CO and HC limits of this section
or to establish alternative CO or HC limits under this section must be
obtained during the time that DRE testing, and where applicable, CDD/CDF
testing under paragraph (e) of this section and comprehensive organic
emissions testing under paragraph (f) is conducted.
(i) Enforcement. For the purposes of permit enforcement, compliance
with the operating requirements specified in the permit (under 266.102)
will be regarded as compliance with this section. However, evidence
that compliance with those permit conditions is insufficient to ensure
compliance with the requirements of this section may be ''information''
justifying modification or revocation and re-issuance of a permit under
270.41 of this chapter.
(56 FR 7208, Feb. 21, 1991; 56 FR 32689, July 17, 1991)
40 CFR 266.105 Standards to control particulate matter.
(a) A boiler or industrial furnace burning hazardous waste may not
emit particulate matter in excess of 180 milligrams per dry standard
cubic meter (0.08 grains per dry standard cubic foot) after correction
to a stack gas concentration of 7% oxygen, using procedures prescribed
in 40 CFR part 60, appendix A, methods 1 through 5, and appendix IX of
this part.
(b) An owner or operator meeting the requirements of 266.109(b) for
the low risk waste exemption is exempt from the particulate matter
standard.
(c) For the purposes of permit enforcement, compliance with the
operating requirements specified in the permit (under 266.102) will be
regarded as compliance with this section. However, evidence that
compliance with those permit conditions is insufficient to ensure
compliance with the requirements of this section may be ''information''
justifying modification or revocation and re-issuance of a permit under
270.41 of this chapter.
40 CFR 266.106 Standards to control metals emissions.
(a) General. The owner or operator must comply with the metals
standards provided by paragraphs (b), (c), (d), (e), or (f) of this
section for each metal listed in paragraph (b) of this section that is
present in the hazardous waste at detectable levels using analytical
procedures specified in Test Methods for Evaluating Solid Waste,
Physical/Chemical Methods (SW-846), incorporated by reference in 260.11
of this chapter.
(b) Tier I feed rate screening limits. Feed rate screening limits
for metals are specified in appendix I of this part as a function of
terrain-adjusted effective stack height and terrain and land use in the
vicinity of the facility. Criteria for facilities that are not eligible
to comply with the screening limits are provided in paragraph (b)(7) of
this section.
(1) Noncarcinogenic metals. The feed rates of antimony, barium,
lead, mercury, thallium, and silver in all feed streams, including
hazardous waste, fuels, and industrial furnace feed stocks shall not
exceed the screening limits specified in appendix I of this part.
(i) The feed rate screening limits for antimony, barium, mercury,
thallium, and silver are based on either:
(A) An hourly rolling average as defined in 266.102(e)(6)(i)(B); or
(B) An instantaneous limit not to be exceeded at any time.
(ii) The feed rate screening limit for lead is based on one of the
following:
(A) An hourly rolling average as defined in 266.102(e)(6)(i)(B);
(B) An averaging period of 2 to 24 hours as defined in
266.102(e)(6)(ii) with an instantaneous feed rate limit not to exceed 10
times the feed rate that would be allowed on an hourly rolling average
basis; or
(C) An instantaneous limit not to be exceeded at any time.
(2) Carcinogenic metals. (i) The feed rates of arsenic, cadmium,
beryllium, and chromium in all feed streams, including hazardous waste,
fuels, and industrial furnace feed stocks shall not exceed values
derived from the screening limits specified in appendix I of this part.
The feed rate of each of these metals is limited to a level such that
the sum of the ratios of the actual feed rate to the feed rate screening
limit specified in appendix I shall not exceed 1.0, as provided by the
following equation:
where:
n=number of carcinogenic metals
AFR=actual feed rate to the device for metal ''i''
FRSL=feed rate screening limit provided by appendix I of this part
for metal ''i''.
(ii) The feed rate screening limits for the carcinogenic metals are
based on either:
(A) An hourly rolling average; or
(B) An averaging period of 2 to 24 hours as defined in
266.102(e)(6)(ii) with an instantaneous feed rate limit not to exceed 10
times the feed rate that would be allowed on an hourly rolling average
basis.
(3) TESH. (i) The terrain-adjusted effective stack height is
determined according to the following equation:
TESH=Ha+H1^Tr
where:
Ha=Actual physical stack height
H1=Plume rise as determined from appendix VI of this part as a
function of stack flow rate and stack gas exhaust temperature.
Tr=Terrain rise within five kilometers of the stack.
(ii) The stack height (Ha) may not exceed good engineering practice
as specified in 40 CFR 51.100(ii).
(iii) If the TESH for a particular facility is not listed in the
table in the appendices, the nearest lower TESH listed in the table
shall be used. If the TESH is four meters or less, a value of four
meters shall be used.
(4) Terrain type. The screening limits are a function of whether the
facility is located in noncomplex or complex terrain. A device located
where any part of the surrounding terrain within 5 kilometers of the
stack equals or exceeds the elevation of the physical stack height (Ha)
is considered to be in complex terrain and the screening limits for
complex terrain apply. Terrain measurements are to be made from U.S.
Geological Survey 7.5-minute topographic maps of the area surrounding
the facility.
(5) Land use. The screening limits are a function of whether the
facility is located in an area where the land use is urban or rural. To
determine whether land use in the vicinity of the facility is urban or
rural, procedures provided in appendices IX or X of this part shall be
used.
(6) Multiple stacks. Owners and operators of facilities with more
than one on-site stack from a boiler, industrial furnace, incinerator,
or other thermal treatment unit subject to controls of metals emissions
under a RCRA operating permit or interim status controls must comply
with the screening limits for all such units assuming all hazardous
waste is fed into the device with the worst-case stack based on
dispersion characteristics. The worst-case stack is determined from the
following equation as applied to each stack:
K=HVT
Where:
K=a parameter accounting for relative influence of stack height and
plume rise;
H=physical stack height (meters);
V=stack gas flow rate (m /3/ /second); and
T=exhaust temperature ( K).
The stack with the lowest value of K is the worst-case stack.
(7) Criteria for facilities not eligible for screening limits. If
any criteria below are met, the Tier I (and Tier II) screening limits do
not apply. Owners and operators of such facilities must comply with the
Tier III standards provided by paragraph (d) of this section.
(i) The device is located in a narrow valley less than one kilometer
wide;
(ii) The device has a stack taller than 20 meters and is located such
that the terrain rises to the physical height within one kilometer of
the facility;
(iii) The device has a stack taller than 20 meters and is located
within five kilometers of a shoreline of a large body of water such as
an ocean or large lake;
(iv) The physical stack height of any stack is less than 2.5 times
the height of any building within five building heights or five
projected building widths of the stack and the distance from the stack
to the closest boundary is within five building heights or five
projected building widths of the associated building; or
(v) The Director determines that standards based on site-specific
dispersion modeling are required.
(8) Implementation. The feed rate of metals in each feedstream must
be monitored to ensure that the feed rate screening limits are not
exceeded.
(c) Tier II emission rate screening limits. Emission rate screening
limits are specified in appendix I as a function of terrain-adjusted
effective stack height and terrain and land use in the vicinity of the
facility. Criteria for facilities that are not eligible to comply with
the screening limits are provided in paragraph (b)(7) of this section.
(1) Noncarcinogenic metals. The emission rates of antimony, barium,
lead, mercury, thallium, and silver shall not exceed the screening
limits specified in appendix I of this part.
(2) Carcinogenic metals. The emission rates of arsenic, cadmium,
beryllium, and chromium shall not exceed values derived from the
screening limits specified in appendix I of this part. The emission
rate of each of these metals is limited to a level such that the sum of
the ratios of the actual emission rate to the emission rate screening
limit specified in appendix I shall not exceed 1.0, as provided by the
following equation:
where:
n=number of carcinogenic metals
AER=actual emission rate for metal ''i''
ERSL=emission rate screening limit provided by appendix I of this
part for metal ''i''.
(3) Implementation. The emission rate limits must be implemented by
limiting feed rates of the individual metals to levels during the trial
burn (for new facilities or an interim status facility applying for a
permit) or the compliance test (for interim status facilities). The
feed rate averaging periods are the same as provided by paragraphs
(b)(1)(i) and (ii) and (b)(2)(ii) of this section. The feed rate of
metals in each feedstream must be monitored to ensure that the feed rate
limits for the feedstreams specified under 266.102 or 266.103 are not
exceeded.
(4) Definitions and limitations. The definitions and limitations
provided by paragraph (b) of this section for the following terms also
apply to the Tier II emission rate screening limits provided by
paragraph (c) of this section: terrain-adjusted effective stack height,
good engineering practice stack height, terrain type, land use, and
criteria for facilities not eligible to use the screening limits.
(5) Multiple stacks. (i) Owners and operators of facilities with
more than one onsite stack from a boiler, industrial furnace,
incinerator, or other thermal treatment unit subject to controls on
metals emissions under a RCRA operating permit or interim status
controls must comply with the emissions screening limits for any such
stacks assuming all hazardous waste is fed into the device with the
worst-case stack based on dispersion characteristics.
(ii) The worst-case stack is determined by procedures provided in
paragraph (b)(6) of this section.
(iii) For each metal, the total emissions of the metal from those
stacks shall not exceed the screening limit for the worst-case stack.
(d) Tier III site-specific risk assessment -- (1) General.
Conformance with the Tier III metals controls must be demonstrated by
emissions testing to determine the emission rate for each metal, air
dispersion modeling to predict the maximum annual average off-site
ground level concentration for each metal, and a demonstration that
acceptable ambient levels are not exceeded.
(2) Acceptable ambient levels. Appendices IV and V of this part list
the acceptable ambient levels for purposes of this rule. Reference air
concentrations (RACs) are listed for the noncarcinogenic metals and 10-5
risk-specific doses (RSDs) are listed for the carcinogenic metals. The
RSD for a metal is the acceptable ambient level for that metal provided
that only one of the four carcinogenic metals is emitted. If more than
one carcinogenic metal is emitted, the acceptable ambient level for the
carcinogenic metals is a fraction of the RSD as described in paragraph
(d)(3) of this section.
(3) Carcinogenic metals. For the carcinogenic metals, arsenic,
cadmium, beryllium, and chromium, the sum of the ratios of the predicted
maximum annual average off-site ground level concentrations (except that
on-site concentrations must be considered if a person resides on site)
to the risk-specific dose (RSD) for all carcinogenic metals emitted
shall not exceed 1.0 as determined by the following equation:
where: n=number of carcinogenic metals
(4) Noncarcinogenic metals. For the noncarcinogenic metals, the
predicted maximum annual average off-site ground level concentration for
each metal shall not exceed the reference air concentration (RAC).
(5) Multiple stacks. Owners and operators of facilities with more
than one on-site stack from a boiler, industrial furnace, incinerator,
or other thermal treatment unit subject to controls on metals emissions
under a RCRA operating permit or interim status controls must conduct
emissions testing and dispersion modeling to demonstrate that the
aggregate emissions from all such on-site stacks do not result in an
exceedance of the acceptable ambient levels.
(6) Implementation. Under Tier III, the metals controls must be
implemented by limiting feed rates of the individual metals to levels
during the trial burn (for new facilities or an interim status facility
applying for a permit) or the compliance test (for interim status
facilities). The feed rate averaging periods are the same as provided
by paragraphs (b)(1) (i) and (ii) and (b)(2)(ii) of this section. The
feed rate of metals in each feedstream must be monitored to ensure that
the feed rate limits for the feedstreams specified under 266.102 or
266.103 are not exceeded.
(e) Adjusted Tier I feed rate screening limits. The owner or
operator may adjust the feed rate screening limits provided by appendix
I of this part to account for site-specific dispersion modeling. Under
this approach, the adjusted feed rate screening limit for a metal is
determined by back-calculating from the acceptable ambient level
provided by appendices IV and V of this part using dispersion modeling
to determine the maximum allowable emission rate. This emission rate
becomes the adjusted Tier I feed rate screening limit. The feed rate
screening limits for carcinogenic metals are implemented as prescribed
in paragraph (b)(2) of this section.
(f) Alternative implementation approaches. (1) The Director may
approve on a case-by-case basis approaches to implement the Tier II or
Tier III metals emission limits provided by paragraphs (c) or (d) of
this section alternative to monitoring the feed rate of metals in each
feedstream.
(2) The emission limits provided by paragraph (d) of this section
must be determined as follows:
(i) For each noncarcinogenic metal, by back-calculating from the RAC
provided in appendix IV of this part to determine the allowable emission
rate for each metal using the dilution factor for the maximum annual
average ground level concentration predicted by dispersion modeling in
conformance with paragraph (h) of this section; and
(ii) For each carcinogenic metal by:
(A) Back-calculating from the RSD provided in appendix V of this part
to determine the allowable emission rate for each metal if that metal
were the only carcinogenic metal emitted using the dilution factor for
the maximum annual average ground level concentration predicted by
dispersion modeling in conformance with paragraph (h) of this section;
and
(B) If more than one carcinogenic metal is emitted, selecting an
emission limit for each carcinogenic metal not to exceed the emission
rate determined by paragraph (f)(2)(ii)(A) of this section such that the
sum for all carcinogenic metals of the ratios of the selected emission
limit to the emission rate determined by that paragraph does not exceed
1.0.
(g) Emission testing -- (1) General. Emission testing for metals
shall be conducted using the Multiple Metals Train as described in
appendix IX of this part.
(2) Hexavalent chromium. Emissions of chromium are assumed to be
hexavalent chromium unless the owner or operator conducts emissions
testing to determine hexavalent chromium emissions using procedures
prescribed in appendix IX of this part.
(h) Dispersion modeling. Dispersion modeling required under this
section shall be conducted according to methods recommended in appendix
X of this part, the ''Hazardous Waste Combustion Air Quality Screening
Procedure'' described in appendix IX of this part, or ''EPA SCREEN
Screening Procedure'' as described in Screening Procedures for
Estimating Air Quality Impact of Stationary Sources (the latter document
is incorporated by reference, see 260.11) to predict the maximum annual
average off-site ground level concentration. However, on-site
concentrations must be considered when a person resides on-site.
(i) Enforcement. For the purposes of permit enforcement, compliance
with the operating requirements specified in the permit (under 266.102)
will be regarded as compliance with this section. However, evidence
that compliance with those permit conditions is insufficient to ensure
compliance with the requirements of this section may be ''information''
justifying modification or revocation and re-issuance of a permit under
270.41 of this chapter.
(56 FR 7208, Feb. 21, 1991; 56 FR 32689, July 17, 1991)
40 CFR 266.107 Standards to control hydrogen chloride (HCl) and
chlorine gas (Cl2) emissions.
(a) General. The owner or operator must comply with the hydrogen
chloride (HCl) and chlorine (Cl2) controls provided by paragraph (b) or
(c) of this section.
(b) Screening limits -- (1) Tier I feed rate screening limits. Feed
rate screening limits are specified for total chlorine in appendix II of
this part as a function of terrain-adjusted effective stack height and
terrain and land use in the vicinity of the facility. The feed rate of
total chlorine and chloride, both organic and inorganic, in all feed
streams, including hazardous waste, fuels, and industrial furnace feed
stocks shall not exceed the levels specified.
(2) Tier II emission rate screening limits. Emission rate screening
limits for HCl and Cl2 are specified in appendix III of this part as a
function of terrain-adjusted effective stack height and terrain and land
use in the vicinity of the facility. The stack emission rates of HCl
and Cl2 shall not exceed the levels specified.
(3) Definitions and limitations. The definitions and limitations
provided by 266.106(b) for the following terms also apply to the
screening limits provided by this paragraph: terrain-adjusted effective
stack height, good engineering practice stack height, terrain type, land
use, and criteria for facilities not eligible to use the screening
limits.
(4) Multiple stacks. Owners and operators of facilities with more
than one on-site stack from a boiler, industrial furnace, incinerator,
or other thermal treatment unit subject to controls on HCl or Cl2
emissions under a RCRA operating permit or interim status controls must
comply with the Tier I and Tier II screening limits for those stacks
assuming all hazardous waste is fed into the device with the worst-case
stack based on dispersion characteristics.
(i) The worst-case stack is determined by procedures provided in
266.106(b)(6).
(ii) Under Tier I, the total feed rate of chlorine and chloride to
all subject devices shall not exceed the screening limit for the
worst-case stack.
(iii) Under Tier II, the total emissions of HCl and Cl2 from all
subject stacks shall not exceed the screening limit for the worst-case
stack.
(c) Tier III site-specific risk assessments -- (1) General.
Conformance with the Tier III controls must be demonstrated by emissions
testing to determine the emission rate for HCl and Cl2, air dispersion
modeling to predict the maximum annual average off-site ground level
concentration for each compound, and a demonstration that acceptable
ambient levels are not exceeded.
(2) Acceptable ambient levels. Appendix IV of this part lists the
reference air concentrations (RACs) for HCl (7 micrograms per cubic
meter) and Cl2 (0.4 micrograms per cubic meter).
(3) Multiple stacks. Owners and operators of facilities with more
than one on-site stack from a boiler, industrial furnace, incinerator,
or other thermal treatment unit subject to controls on HCl or Cl2
emissions under a RCRA operating permit or interim status controls must
conduct emissions testing and dispersion modeling to demonstrate that
the aggregate emissions from all such on-site stacks do not result in an
exceedance of the acceptable ambient levels for HCl and Cl2.
(d) Averaging periods. The HCl and Cl2 controls are implemented by
limiting the feed rate of total chlorine and chloride in all
feedstreams, including hazardous waste, fuels, and industrial furnace
feed stocks. Under Tier I, the feed rate of total chloride and chlorine
is limited to the Tier I Screening Limits. Under Tier II and Tier III,
the feed rate of total chloride and chlorine is limited to the feed
rates during the trial burn (for new facilities or an interim status
facility applying for a permit) or the compliance test (for interim
status facilities). The feed rate limits are based on either:
(1) An hourly rolling average as defined in 266.102(e)(6); or
(2) An instantaneous basis not to be exceeded at any time.
(e) Adjusted Tier I feed rate screening limits. The owner or
operator may adjust the feed rate screening limit provided by appendix
II of this part to account for site-specific dispersion modeling. Under
this approach, the adjusted feed rate screening limit is determined by
back-calculating from the acceptable ambient level for Cl2 provided by
appendix IV of this part using dispersion modeling to determine the
maximum allowable emission rate. This emission rate becomes the
adjusted Tier I feed rate screening limit.
(f) Emissions testing. Emissions testing for HCl and Cl2 shall be
conducted using the procedures described in appendix IX of this part.
(g) Dispersion modeling. Dispersion modeling shall be conducted
according to the provisions of 266.106(h).
(h) Enforcement. For the purposes of permit enforcement, compliance
with the operating requirements specified in the permit (under 266.102)
will be regarded as compliance with this section. However, evidence
that compliance with those permit conditions is insufficient to ensure
compliance with the requirements of this section may be ''information''
justifying modification or revocation and re-issuance of a permit under
270.41 of this chapter.
(56 FR 7208, Feb. 21, 1991; 56 FR 32690, July 17, 1991)
40 CFR 266.108 Small quantity on-site burner exemption.
(a) Exempt quantities. Owners and operators of facilities that burn
hazardous waste in an on-site boiler or industrial furnace are exempt
from the requirements of this subpart provided that:
(1) The quantity of hazardous waste burned in a device for a calendar
month does not exceed the limits provided in the following table based
on the terrain-adjusted effective stack height as defined in
266.106(b)(3):
(2) The maximum hazardous waste firing rate does not exceed at any
time 1 percent of the total fuel requirements for the device (hazardous
waste plus other fuel) on a total heat input or mass input basis,
whichever results in the lower mass feed rate of hazardous waste.
(3) The hazardous waste has a minimum heating value of 5,000 Btu/lb,
as generated; and
(4) The hazardous waste fuel does not contain (and is not derived
from) EPA Hazardous Waste Nos. F020, F021, F022, F023, F026, or F027.
(b) Mixing with nonhazardous fuels. If hazardous waste fuel is mixed
with a nonhazardous fuel, the quantity of hazardous waste before such
mixing is used to comply with paragraph (a).
(c) Multiple stacks. If an owner or operator burns hazardous waste
in more than one on-site boiler or industrial furnace exempt under this
section, the quantity limits provided by paragraph (a)(1) of this
section are implemented according to the following equation:
where:
n means the number of stacks;
Actual Quantity Burned means the waste quantity burned per month in
device ''i'';
Allowable Quantity Burned means the maximum allowable exempt quantity
for stack ''i'' from the table in (a)(1) above.
Note: Hazardous wastes that are subject to the special requirements
for small quantity generators under 261.5 of this chapter may be burned
in an off-site device under the exemption provided by 266.108, but must
be included in the quantity determination for the exemption.
(d) Notification requirements. The owner or operator of facilities
qualifying for the small quantity burner exemption under this section
must provide a one-time signed, written notice to EPA indicating the
following:
(1) The combustion unit is operating as a small quantity burner of
hazardous waste;
(2) The owner and operator are in compliance with the requirements of
this section; and
(3) The maximum quantity of hazardous waste that the facility may
burn per month as provided by 266.108(a)(1).
(e) Recordkeeping requirements. The owner or operator must maintain
at the facility for at least three years sufficient records documenting
compliance with the hazardous waste quantity, firing rate, and heating
value limits of this section. At a minimum, these records must indicate
the quantity of hazardous waste and other fuel burned in each unit per
calendar month, and the heating value of the hazardous waste.
(Approved by the Office of Management and Budget under control number
2050-0073)
(56 FR 7208, Feb. 21, 1991; 56 FR 32690, July 17, 1991, as amended
at 56 FR 42515, Aug. 27, 1991)
40 CFR 266.109 Low risk waste exemption.
(a) Waiver of DRE standard. The DRE standard of 266.104(a) does not
apply if the boiler or industrial furnace is operated in conformance
with (a)(1) of this section and the owner or operator demonstrates by
procedures prescribed in (a)(2) of this section that the burning will
not result in unacceptable adverse health effects.
(1) The device shall be operated as follows:
(i) A minimum of 50 percent of fuel fired to the device shall be
fossil fuel, fuels derived from fossil fuel, tall oil, or, if approved
by the Director on a case-by-case basis, other nonhazardous fuel with
combustion characteristics comparable to fossil fuel. Such fuels are
termed ''primary fuel'' for purposes of this section. (Tall oil is a
fuel derived from vegetable and rosin fatty acids.) The 50 percent
primary fuel firing rate shall be determined on a total heat or mass
input basis, whichever results in the greater mass feed rate of primary
fuel fired;
(ii) Primary fuels and hazardous waste fuels shall have a minimum
as-fired heating value of 8,000 Btu/lb;
(iii) The hazardous waste is fired directly into the primary fuel
flame zone of the combustion chamber; and
(iv) The device operates in conformance with the carbon monoxide
controls provided by 266.104(b)(1). Devices subject to the exemption
provided by this section are not eligible for the alternative carbon
monoxide controls provided by 266.104(c).
(2) Procedures to demonstrate that the hazardous waste burning will
not pose unacceptable adverse public health effects are as follows:
(i) Identify and quantify those nonmetal compounds listed in appendix
VIII, part 261 of this chapter that could reasonably be expected to be
present in the hazardous waste. The constituents excluded from analysis
must be identified and the basis for their exclusion explained;
(ii) Calculate reasonable, worst case emission rates for each
constitutent identified in paragraph (a)(2)(i) of this section by
assuming the device achieves 99.9 percent destruction and removal
efficiency. That is, assume that 0.1 percent of the mass weight of each
constitutent fed to the device is emitted.
(iii) For each constituent identified in paragraph (a)(2)(i) of this
section, use emissions dispersion modeling to predict the maximum annual
average ground level concentration of the constituent.
(A) Dispersion modeling shall be conducted using methods specified in
266.106(h).
(B) Owners and operators of facilities with more than one on-site
stack from a boiler or industrial furnace that is exempt under this
section must conduct dispersion modeling of emissions from all stacks
exempt under this section to predict ambient levels prescribed by this
paragraph.
(iv) Ground level concentrations of constituents predicted under
paragraph (a)(2)(iii) of this section must not exceed the following
levels:
(A) For the noncarcinogenic compounds listed in appendix IV of this
part, the levels established in appendix IV;
(B) For the carcinogenic compounds listed in appendix V of this part,
the sum for all constituents of the ratios of the actual ground level
concentration to the level established in appendix V cannot exceed 1.0;
and
(C) For constituents not listed in appendix IV or V, 0.1 micrograms
per cubic meter.
(b) Waiver of particular matter standard. The particulate matter
standard of 266.105 does not apply if:
(1) The DRE standard is waived under paragraph (a) of this section;
and
(2) The owner or operator complies with the Tier I or adjusted Tier I
metals feed rate screening limits provided by 266.106 (b) or (e).
(56 FR 7208, Feb. 21, 1991; 56 FR 32690, July 17, 1991, as amended
at 56 FR 42515, Aug. 27, 1991)
40 CFR 266.110 Waiver of DRE trial burn for boilers.
Boilers that operate under the special requirements of this section,
and that do not burn hazardous waste containing (or derived from) EPA
Hazardous Waste Nos. F020, F021, F022, F023, F026, or F027, are
considered to be in conformance with the DRE standard of 266.104(a),
and a trial burn to demonstrate DRE is waived. When burning hazardous
waste:
(a) A minimum of 50 percent of fuel fired to the device shall be
fossil fuel, fuels derived from fossil fuel, tall oil, or, if approved
by the Director on a case-by-case basis, other nonhazardous fuel with
combustion characteristics comparable to fossil fuel. Such fuels are
termed ''primary fuel'' for purposes of this section. (Tall oil is a
fuel derived from vegetable and rosin fatty acids.) The 50 percent
primary fuel firing rate shall be determined on a total heat or mass
input basis, whichever results in the greater mass feed rate of primary
fuel fired;
(b) Boiler load shall not be less than 40 percent. Boiler load is
the ratio at any time of the total heat input to the maximum design heat
input;
(c) Primary fuels and hazardous waste fuels shall have a minimum
as-fired heating value of 8,000 Btu/lb, and each material fired in a
burner where hazardous waste is fired must have a heating value of at
least 8,000 Btu/lb, as-fired;
(d) The device shall operate in conformance with the carbon monoxide
standard provided by 266.104(b)(1). Boilers subject to the waiver of
the DRE trial burn provided by this section are not eligible for the
alternative carbon monoxide standard provided by 266.104(c);
(e) The boiler must be a watertube type boiler that does not feed
fuel using a stoker or stoker type mechanism; and
(f) The hazardous waste shall be fired directly into the primary fuel
flame zone of the combustion chamber with an air or steam atomization
firing system, mechanical atomization system, or a rotary cup
atomization system under the following conditions:
(1) Viscosity. The viscosity of the hazardous waste fuel as-fired
shall not exceed 300 SSU;
(2) Particle size. When a high pressure air or steam atomizer, low
pressure atomizer, or mechanical atomizer is used, 70% of the hazardous
waste fuel must pass through a 200 mesh (74 micron) screen, and when a
rotary cup atomizer is used, 70% of the hazardous waste must pass
through a 100 mesh (150 micron) screen;
(3) Mechanical atomization systems. Fuel pressure within a
mechanical atomization system and fuel flow rate shall be maintained
within the design range taking into account the viscosity and volatility
of the fuel;
(4) Rotary cup atomization systems. Fuel flow rate through a rotary
cup atomization system must be maintained within the design range taking
into account the viscosity and volatility of the fuel.
(56 FR 7208, Feb. 21, 1991; 56 FR 32690, July 17, 1991, as amended
at 56 FR 42515, Aug. 27, 1991)
40 CFR 266.111 Standards for direct transfer.
(a) Applicability. The regulations in this section apply to owners
and operators of boilers and industrial furnaces subject to 266.102 or
266.103 if hazardous waste is directly transferred from a transport
vehicle to a boiler or industrial furnace without the use of a storage
unit.
(b) Definitions. (1) When used in this section, the following terms
have the meanings given below:
Direct transfer equipment means any device (including but not limited
to, such devices as piping, fittings, flanges, valves, and pumps) that
is used to distribute, meter, or control the flow of hazardous waste
between a container (i.e., transport vehicle) and a boiler or industrial
furnace.
Container means any portable device in which hazardous waste is
transported, stored, treated, or otherwise handled, and includes
transport vehicles that are containers themselves (e.g., tank trucks,
tanker-trailers, and rail tank cars), and containers placed on or in a
transport vehicle.
(2) This section references several requirements provided in subparts
I and J of parts 264 and 265. For purposes of this section, the term
''tank systems'' in those referenced requirements means direct transfer
equipment as defined in paragraph (b)(1) of this section.
(c) General operating requirements. (1) No direct transfer of a
pumpable hazardous waste shall be conducted from an open-top container
to a boiler or industrial furnace.
(2) Direct transfer equipment used for pumpable hazardous waste shall
always be closed, except when necessary to add or remove the waste, and
shall not be opened, handled, or stored in a manner that may cause any
rupture or leak.
(3) The direct transfer of hazardous waste to a boiler or industrial
furnace shall be conducted so that it does not:
(i) Generate extreme heat or pressure, fire, explosion, or violent
reaction;
(ii) Produce uncontrolled toxic mists, fumes, dusts, or gases in
sufficient quantities to threaten human health;
(iii) Produce uncontrolled flammable fumes or gases in sufficient
quantities to pose a risk of fire or explosions;
(iv) Damage the structural integrity of the container or direct
transfer equipment containing the waste;
(v) Adversely affect the capability of the boiler or industrial
furnace to meet the standards provided by 266.104 through 266.107; or
(vi) Threaten human health or the environment.
(4) Hazardous waste shall not be placed in direct transfer equipment,
if it could cause the equipment or its secondary containment system to
rupture, leak, corrode, or otherwise fail.
(5) The owner or operator of the facility shall use appropriate
controls and practices to prevent spills and overflows from the direct
transfer equipment or its secondary containment systems. These include
at a minimum:
(i) Spill prevention controls (e.g., check valves, dry discount
couplings); and
(ii) Automatic waste feed cutoff to use if a leak or spill occurs
from the direct transfer equipment.
(d) Areas where direct transfer vehicles (containers) are located.
Applying the definition of container under this section, owners and
operators must comply with the following requirements:
(1) The containment requirements of 264.175 of this chapter;
(2) The use and management requirements of subpart I, part 265 of
this chapter, except for 265.170 and 265.174, and except that in lieu
of the special requirements of 265.176 for ignitable or reactive waste,
the owner or operator may comply with the requirements for the
maintenance of protective distances between the waste management area
and any public ways, streets, alleys, or an adjacent property line that
can be built upon as required in Tables 2-1 through 2-6 of the National
Fire Protection Association's (NFPA) ''Flammable and Combustible Liquids
Code,'' (1977 or 1981), (incorporated by reference, see 260.11). The
owner or operator must obtain and keep on file at the facility a written
certification by the local Fire Marshall that the installation meets the
subject NFPA codes; and
(3) The closure requirements of 264.178 of this chapter.
(e) Direct transfer equipment. Direct transfer equipment must meet
the following requirements:
(1) Secondary containment. Owners and operators shall comply with
the secondary containment requirements of 265.193 of this chapter,
except for paragraphs 265.193 (a), (d), (e), and (i) as follows:
(i) For all new direct transfer equipment, prior to their being put
into service; and
(ii) For existing direct transfer equipment within 2 years after
August 21, 1991.
(2) Requirements prior to meeting secondary containment requirements.
(i) For existing direct transfer equipment that does not have secondary
containment, the owner or operator shall determine whether the equipment
is leaking or is unfit for use. The owner or operator shall obtain and
keep on file at the facility a written assessment reviewed and certified
by a qualified, registered professional engineer in accordance with
270.11(d) of this chapter that attests to the equipment's integrity by
August 21, 1992.
(ii) This assessment shall determine whether the direct transfer
equipment is adequately designed and has sufficient structural strength
and compatibility with the waste(s) to be transferred to ensure that it
will not collapse, rupture, or fail. At a minimum, this assessment
shall consider the following:
(A) Design standard(s), if available, according to which the direct
transfer equipment was constructed;
(B) Hazardous characteristics of the waste(s) that have been or will
be handled;
(C) Existing corrosion protection measures;
(D) Documented age of the equipment, if available, (otherwise, an
estimate of the age); and
(E) Results of a leak test or other integrity examination such that
the effects of temperature variations, vapor pockets, cracks, leaks,
corrosion, and erosion are accounted for.
(iii) If, as a result of the assessment specified above, the direct
transfer equipment is found to be leaking or unfit for use, the owner or
operator shall comply with the requirements of 265.196 (a) and (b) of
this chapter.
(3) Inspections and recordkeeping. (i) The owner or operator must
inspect at least once each operating hour when hazardous waste is being
transferred from the transport vehicle (container) to the boiler or
industrial furnace:
(A) Overfill/spill control equipment (e.g., waste-feed cutoff
systems, bypass systems, and drainage systems) to ensure that it is in
good working order;
(B) The above ground portions of the direct transfer equipment to
detect corrosion, erosion, or releases of waste (e.g., wet spots, dead
vegetation); and
(C) Data gathered from monitoring equipment and leak-detection
equipment, (e.g., pressure and temperature gauges) to ensure that the
direct transfer equipment is being operated according to its design.
(ii) The owner or operator must inspect cathodic protection systems,
if used, to ensure that they are functioning properly according to the
schedule provided by 265.195(b) of this chapter:
(iii) Records of inspections made under this paragraph shall be
maintained in the operating record at the facility, and available for
inspection for at least 3 years from the date of the inspection.
(4) Design and installation of new ancillary equipment. Owners and
operators must comply with the requirements of 265.192 of this chapter.
(5) Response to leaks or spills. Owners and operators must comply
with the requirements of 265.196 of this chapter.
(6) Closure. Owners and operators must comply with the requirements
of 265.197 of this chapter, except for 265.197 (c)(2) through (c)(4).
(Approved by the Office of Management and Budget under control number
2050-0073)
(50 FR 666, Jan. 4, 1985, as amended at 56 FR 42515, Aug. 27, 1991)
40 CFR 266.112 Regulation of residues.
A residue derived from the burning or processing of hazardous waste
in a boiler or industrial furnace is not excluded from the definition of
a hazardous waste under 261.4(b) (4), (7), or (8) unless the device and
the owner or operator meet the following requirements:
(a) The device meets the following criteria:
(1) Boilers. Boilers must burn at least 50% coal on a total heat
input or mass input basis, whichever results in the greater mass feed
rate of coal;
(2) Ore or mineral furnaces. Industrial furnaces subject to
261.4(b)(7) must process at least 50% by weight normal, nonhazardous raw
materials;
(3) Cement kilns. Cement kilns must process at least 50% by weight
normal cement-production raw materials;
(b) The owner or operator demonstrates that the hazardous waste does
not significantly affect the residue by demonstrating conformance with
either of the following criteria:
(1) Comparison of waste-derived residue with normal residue. The
waste-derived residue must not contain appendix VIII, part 261
constituents (toxic constituents) that could reasonably be attributable
to the hazardous waste at concentrations significantly higher than in
residue generated without burning or processing of hazardous waste,
using the following procedure. Toxic compounds that could reasonably be
attributable to burning or processing the hazardous waste (constituents
of concern) include toxic constituents in the hazardous waste, and the
organic compounds listed in appendix VIII of this part that may be
generated as products of incomplete combustion. Sampling and analyses
shall be in conformance with procedures prescribed in Test Methods for
Evaluating Solid Waste, Physical/Chemical Methods, incorporated by
reference in 260.11(a) of this chapter.
(i) Normal residue. Concentrations of toxic constituents of concern
in normal residue shall be determined based on analyses of a minimum of
10 samples representing a minimum of 10 days of operation. Composite
samples may be used to develop a sample for analysis provided that the
compositing period does not exceed 24 hours. The upper tolerance limit
(at 95% confidence with a 95% proportion of the sample distribution) of
the concentration in the normal residue shall be considered the
statistically-derived concentration in the normal residue. If changes
in raw materials or fuels reduce the statistically-derived
concentrations of the toxic constituents of concern in the normal
residue, the statistically-derived concentrations must be revised or
statistically-derived concentrations of toxic constituents in normal
residue must be established for a new mode of operation with the new raw
material or fuel. To determine the upper tolerance limit in the normal
residue, the owner or operator shall use statistical procedures
prescribed in ''Statistical Methodology for Bevill Residue
Determinations'' in appendix IX of this part.
(ii) Waste-derived residue. Waste-derived residue shall be sampled
and analyzed as often as necessary to determine whether the residue
generated during each 24-hour period has concentrations of toxic
constituents that are higher than the concentrations established for the
normal residue under paragraph (b)(1)(i) of this section. If so,
hazardous waste burning has significantly affected the residue and the
residue shall not be excluded from the definition of a hazardous waste.
Concentrations of toxic constituents of concern in the waste-derived
residue shall be determined based on analysis of one or more samples
obtained over a 24-hour period. Multiple samples may be analyzed, and
multiple samples may be taken to form a composite sample for analysis
provided that the sampling period does not exceed 24 hours. If more
than one sample is analyzed to characterize waste-derived residues
generated over a 24-hour period, the concentration of each toxic
constituent shall be the arithmetic mean of the concentrations in the
samples. No results may be disregarded; or
(2) Comparison of waste-derived residue concentrations with
health-based limits -- (i) Nonmetal constituents. The concentrations of
nonmetal toxic constituents of concern (specified in paragraph (b)(1) of
this section) in the waste-derived residue must not exceed the
health-based levels specified in appendix VII of this part. If a
health-based limit for a constituent of concern is not listed in
appendix VII of this part, then a limit of 0.002 micrograms per kilogram
or the level of detection (using analytical procedures prescribed in
SW-846), whichever is higher, shall be used; and
(ii) Metal constituents. The concentration of metals in an extract
obtained using the Toxicity Characteristic Leaching Procedure of 261.24
of this chapter must not exceed the levels specified in appendix VII of
this part; and
(iii) Sampling and analysis. Waste-derived residue shall be sampled
and analyzed as often as necessary to determine whether the residue
generated during each 24-hour period has concentrations of toxic
constituents that are higher than the health-based levels.
Concentrations of toxic constituents of concern in the waste-derived
residue shall be determined based on analysis of one or more samples
obtained over a 24-hour period. Multiple samples may be analyzed, and
multiple samples may be taken to form a composite sample for analysis
provided that the sampling period does not exceed 24 hours. If more
than one sample is analyzed to characterize waste-derived residues
generated over a 24-hour period, the concentration of each toxic
constituent shall be the arithmetic mean of the concentrations in the
samples. No results may be disregarded; and
(c) Records sufficient to document compliance with the provisions of
this section shall be retained until closure of the boiler or industrial
furnace unit. At a minimum, the following shall be recorded.
(1) Levels of constituents in appendix VIII, part 261, that are
present in waste-derived residues;
(2) If the waste-derived residue is compared with normal residue
under paragraph (b)(1) of this section:
(i) The levels of constituents in appendix VIII, part 261, that are
present in normal residues; and
(ii) Data and information, including analyses of samples as
necessary, obtained to determine if changes in raw materials or fuels
would reduce the concentration of toxic constituents of concern in the
normal residue.
(50 FR 666, Jan. 4, 1985, as amended at 56 FR 42516, Aug. 27, 1991)
40 CFR 266.112 Pt. 266, App. I
(56 FR 7228, Feb. 21, 1991; 56 FR 32690, July 17, 1991)
40 CFR 266.112 Pt. 266, App. II
(56 FR 32690, July 17, 1991)
40 CFR 266.112 Pt. 266, App. III
(56 FR 32691, July 17, 1991)
40 CFR 266.112 Pt. 266, App. IV
(56 FR 7232, Feb. 21, 1991; 56 FR 32691, July 17, 1991)
40 CFR 266.112 Pt. 266, App. V
(56 FR 7232, Feb. 21, 1991)
40 CFR 266.112 Pt. 266, App. VI
(56 FR 7233, Feb. 21, 1991)
40 CFR 266.112 Pt. 266, App. VII
40 CFR 266.112 Appendix VII to Part T1266 -- Health-Based Limits for
Exclusion of Waste-Derived Residues*
*Note: The health-based concentration limits for appendix VIII part
261 constituents for which a health-based concentration is not provided
below is 2xE^06 mg/kg.
(56 FR 7234, Feb. 21, 1991; 56 FR 32691, July 17, 1991)
40 CFR 266.112 -- Pt. 266, App. VIII
40 CFR 266.112 -- Appendix VIII to Part 266 -- Potential PICs for
Determination of Exclusion of Waste-Derived Residues
(56 FR 7235, Feb. 21, 1991; 56 FR 32691, July 17, 1991)
40 CFR 266.112 -- Pt. 266, App. IX
40 CFR 266.112 -- Appendix IX to Part 266 -- Methods Manual for
Compliance With the BIF Regulations
1.0 Introduction
2.0 Performance Specifications for Continuous Emission Monitoring
Systems
2.1 Performance Specifications for Continuous Emission Monitoring of
Carbon Monoxide and Oxygen for Incinerators, Boilers, and industrial
Furnaces Burning Hazardous Waste
2.2 Performance Specifications for Continuous Emission Monitoring of
Hydrocarbons for Incinerators, Boilers, and Industrial Furnaces
3.0 Sampling and Analytical Methods
3.1 Methodology for the Determination of Metals Emissions in Exhaust
Gases from Hazardous Waste Incineration and Similar Combustion Processes
3.2 Determination of Hexavalent Chromium Emissions from Stationary
Sources (Method Cr+6)
3.3 Measurement of HCl and Cl2
3.3.1 Isokinetic HCl/Cl2 Emission Sampling Train (Method 0050)
3.3.2 Midget Impinger HCl/Cl2 Emission Sampling Train (Method 0051)
3.3.3 Protocol for Analysis of Samples from HCl/Cl2 Emission Sampling
Train (Method 9057)
3.4 Determination of Polychlorinated Dibenzo-p-Dioxins (PCDDs) and
Polychlorinated Dibenzofurans (PCDFs) from Stationary Sources (Method
23)
3.5 Sampling for Aldehyde and Ketone Emissions from Stationary
Sources (Method 0011)
3.6 Analysis for Aldehydes and Ketones by High Performance Liquid
Chromatography (HPLC) (Method 0011A)
4.0 Procedure for Estimating Toxicity Equipment or Chlorinated
Dibenzo-P-Dioxin and Dibenzofuran Congeners
5.0 Hazardous Waste Combustion Air Quality Screening Procedure
6.0 Simplified Land Use Classification Procedure for Compliance With
Tier I and Tier II Limits
7.0 Statistical Methodology for Bevill Residue Determinations
8.0 Procedures for Determining Default Values for Air Pollution
Control System Removal Efficiencies
8.1 APCS RE Default Values for Metals
8.2 APCS RE Default Values for HC1 and C12
8.3 APCS RE Default Values for Ash
8.4 References
9.0 Procedures for Determining Default Values for Partitioning of
Metals, Ash, and Total Chloride/Chlorine
9.1 Partitioning Default Value for Metals
9.2 Special Procedures for Chlorine, HCl, and Cl,
9.3 Special Procedures for Ash
9.4 Use of Engineering Judgement to Estimate Partitioning and APCS RE
Values
9.5 Restrictions on Use of Test Data
10.0 Alternate Methodology for Implementing Metals Controls
10.1 Applicability
10.2 Introduction
10.3 Basis
10.4 Overviev
10.5 Implementation Procedures
10.6 Precompliance Procedures
Appendix A -- Statistics
This document presents required methods for demonstrating compliance
uith U.S. Environmental Protection Agency regulations for boilers and
industrial furnaces (BIFs) burning hazardous waste (see 40 CFR part 266,
subpart H). Included in this document are:
1. Performance Specifications for Continuous Emission Monitoring
(CEM) of Carbon Monoxide, Oxygen, and Hydrocarbons in Stack Gases.
2. Sampling and Analytical (S&A) Methods for Multiple Metals,
Hexavalent Chromium, HCl and Chlorine, Polychlorinated Dibenzo-p-dioxins
and Dibenzofurans, and Aldehydes and Ketones.
3. Procedures for Estimating the Toxicity Equivalency of Chlorinated
Dibenzo-p-dioxin and Dibenzofuran Congeners.
4. Hazardous Waste Combustion Air Quality Screening Procedures
(HWCAQSP).
5. Simplified Land Use Classification Procedure for Compliance vith
Tier I and Tier II Limits.
6. Statistical Methodology for Bevill Residue Determinations.
7. Procedures for Determining Default Values for Air Pollution
Control System Removal Efficiencies.
8. Procedures for Determining Default Values for Partitioning of
Metals, Ash, and Total Chloride/Chlorine.
9. Alternate Methodology for Implementing Metals Controls.
Additional methods referenced in subpart H of part 266 but not
included in this document can be found in 40 CFR parts 60 and 61, and
''Test Methods for Evaluating Solid Wastes, Physical/Chemical Methods''
(SW-846).
The CEM performance specifications of section 2.0, the S&A methods of
section 3.0 and the toxicity equivalency procedure for dioxins and
furans of section 4.0 are required procedures for determining compliance
with BIF regulations. The CEM performance specifications and the S&A
methods are interim. The finalized CEM performance specifications and
methods will be published in SW-846 or 40 CFR parts 60 and 6l.
Hazardous Waste
2.1.1.1 Applicability. These performance specifications apply to
carbon monoxide (CO) and oxygen (O2) continuous emission monitoring
systems (CEMSs) installed on incinerators, boilers, and industrial
furnaces burning hazardous waste. The specifications include procedures
which are intended to be used to evaluate the acceptability of the CEMS
at the time of its installation or whenever specified in regulations or
permits. The procedures are not designed to evaluate CEMS performance
over an extended period of time. The source owner or operator is
responsible for the proper calibration, maintenance, and operation of
the CEMS at all times.
2.1.1.2 Principle. Installation and measurement location
specifications, performance and equipment specifications, test and data
reduction procedures, and brief quality assurance guidelines are
included in the specifications. Calibration drift, relative accuracy,
calibration error, and response time tests are conducted to determine
conformance of the CEMS with the specifications.
2.1.2.1 Continuous Emission Monitoring System (CEMS). A continuous
monitor is one in which the sample to be analyzed passes the measurement
section of the analyzer without interruption, and which evaluates the
detector response to the sample at least once each 15 seconds and
computes and records the results at least every 60 seconds. A CEMS
consists of all the equipment used to acquire data and includes the
sample extraction and transport hardware, the analyzer(s), and the data
recording/processing hardware and software.
2.1.2.2 Monitoring System Types. The specifications require CEMSs
capable of accepting calibration gases. Alternative system designs may
be used if approved by the Regional Administrator. There are two basic
types of monitoring systems: extractive and in-situ.
2.1.2.2.1 Extractive. Systems that use a pump or other mechanical,
pneumatic, or hydraulic means to draw a sample of the stack or flue gas
and convey it to a remotely located analyzer.
2.1.2.2.2 In-situ. Systems that perform an analysis without removing
a sample from the stack. Point in-situ analyzers place the sensing or
detecting element directly in the flue gas stream. Cross-stack in-situ
analyzers measure the parameter of interest by placing a source beam on
one side of the stack and the detector (in single-pass instruments) or a
retroreflector (in double-pass instruments) on the other side, and
measuring the parameter of interest (e.g., CO) by the attenuation of the
beam by the gas in its path.
2.1.2.3 Instrument Measurement Range. The difference between the
minimum and maximum concentration that can be measured by a specific
instrument. The minimum is often stated or assumed to be zero and the
range expressed only as the maximum.
2.1.2.4 Span or Span Value. Full scale instrument measurement range.
2.1.2.5 Calibration Drift (CD). The difference in the CEMS output
readings from the established reference value after a stated period of
operation during which no unscheduled maintenance, repair, or adjustment
takes place. A CD test is performed to demonstrate the stability of the
CEMS calibration over time.
2.1.2.6 Response Time. The time interval between the start of a step
change in the system input (e.g., change of calibration gas) and the
time when the data recorder displays 95 percent of the final value.
2.1.2.7 Accuracy. A measure of agreement between a measured value and
an accepted or true value, expressed as the percentage difference
between the true and measured values relative to the true value. For
these performance specifications, accuracy is checked by conducting a
calibration error (CE) test and a relative accuracy (RA) test. Certain
facilities, such as those using solid waste or batch-fed processes, may
observe long periods of almost no CO emissions with brief, high-level CO
emission spikes. These facilities, as well as facilities whose CO
emissions never exceed 5-10 ppm, may need to be exempted from the RA
requirement because the RA test procedure cannot ensure acquisition of
meaningful test results under these conditions. An alternative
procedure for accuracy determination is described in section 2.1.9.
2.1.2.8 Calibration Error (CE). The difference between the
concentration indicated by the CEMS and the known concentration of the
cylinder gas. A CE test procedure is performed to document the accuracy
and linearity of the monitoring equipment over the entire measurement
range.
2.1.2.9 Relative Accuracy (RA). A comparison of the CEMS response to
a value measured by a performance test method (PTM). The PA test is
used to validate the calibration technique and verify the ability of the
CEMS to provide representative and accurate measurements.
2.1.2.10 Performance Test Method (PTM). The sampling and analysis
procedure used to obtain reference measurements for comparison to CEMS
measurements. The applicable test methods are Method 10, 10A, or 10B
(for the determination of CO) and Method 3 or 3A (for the determination
of 02). These methods are found in 40 CFR part 60, appendix A.
2.1.2.11 Performance Specification Test (PST) Period. The period
during which CD, CE, response time, and RA tests are conducted.
2.1.2.12 Centroidal Area. A concentric area that is geometrically
similar to the stack or duct cross section and is no greater than 1
percent of the stack or duct cross-sectional area.
2.1.3.1 CEMS Installation and Measurement Locations. The CEMS shall
be installed in a location in which measurements representative of the
source's emissions can be obtained. The optimum location of the sample
interface for the CEMS is determined by a number of factors, including
ease of access for calibration and maintenance, the degree to which
sample conditioning will be required, the degree to which it represents
total emissions, and the degree to which it represents the combustion
situation in the firebox. The location should be as free from
in-leakage influences as possible and reasonably free from severe flow
disturbances. The sample location should be at least two equivalent
duct diameters downstream from the nearest control device, point of
pollutant generation, or other point at which a change in the pollutant
concentration or emission rate occurs and at least 0.5 diameter upstream
from the exhaust or control device. The equivalent duct diameter is
calculated as per 40 CFR part 60, appendix A, method 1, section 2.1. If
these criteria are not achievable or if the location is otherwise less
than optimum, the possibility of stratification should be checked as
described in Section 2.1.3.3 to determine whether the location would
cause failure of the relative accuracy test.
2.1.3.1.1 For extractive or point in-situ CEMSs, the measurement
point should be within or centrally located over the centroidal area of
the stack or duct cross section.
2.1.3.1.2 For cross-stack CEMSs, the effective measurement path
should (1) have at least 70 percent of the path within the inner 50
percent of the stack or duct cross-sectional area or (2) be centrally
located over any part of the centroidal area.
2.1.3.1.3 Both the CO and O2 monitors should be installed at the same
general location. If this is not possible, they may be installed at
different locations if the effluent gases at both sample locations are
not stratified and there is no in-leakage of air between sampling
locations.
2.1.3.2 Performance Test Method (PTM) Measurement Location and
Traverse Points.
2.1.3.2.1 Select an accessible PTM measurement point at least two
equivalent diameters downstream from the nearest control device, the
point of CO generation, or other point at which a change in the CO
concentration may occur, and at least a half equivalent diameter
upstream from the effluent exhaust or control device. When pollutant
concentration changes are due solely to diluent leakage (e.g., air
heater leakages) and CO and O2 are simultaneously measured at the same
location, one half diameter may be used in place of two equivalent
diameters. The CEMS and PTM locations need not be the same.
2.1.3.2.2 Select traverse points that ensure acquisition of
representative samples over the stack or duct cross section. At a
minimum, establish a measurement line that passes through the centroidal
area in the direction of any expected stratification. If this line
interferes with the CEMS measurements, displace the line up to 30 cm (or
5 percent of the equivalent diameter of the cross section, whichever is
less) from the centroidal area. Locate three traverse points at 17, 50,
and 83 percent of the measurement line. If the measurement line is no
longer than 2.4 meters and pollutant stratification is not expected, the
tester may choose to locate the three traverse points on the line at
0.4, 1.2, and 2.0 meters from the stack or duct wall. This option must
not be used at a site located within eight equivalent diameters
downstream of a flow disturbance. The tester may select other traverse
points, provided that they can be shown to the satisfaction of the
Administrator to provide a representative sample over the stack or duct
cross-section. Conduct all necessary PTM tests within 3 cm of the
selected traverse points. Sampling must not be performed within 3 cm of
the duct or stack inner wall.
2.1.3.3 Stratification Test Procedure. Stratification is defined as
a difference in excess of 10 percent between the average concentration
in the duct or stack and the concentration at any point more than 1.0
meter from the duct or stack wall. To determine whether effluent
stratification exists, a dual probe system should be used to determine
the average effluent concentration while measurements at each traverse
point are being made. One probe, located at the stack or duct centroid,
is used as a stationary reference point to indicate the change in
effluent concentration over time. The second probe is used for sampling
at the traverse points specified in method 1, appendix A, 40 CFR part
60. The monitoring system samples sequentially at the reference and
traverse points throughout the testing period for five minutes at each
point.
2.1.4 CEMS Performance and Equipment Specifications
Table 2.1-1 summarizes the performance specifications for the CEMSs.
Two sets of standards for CO are given; one for low-range and another
for high-range measurements. The high-range specifications relate to
measurement and quantification of short duration high concentration
peaks, while the low-range specifications relate to the overall average
operating condition of the burning device. The dual-range
specifications can be met by using (1) one analyzer for each range, (2)
a dual range unit, or (3) a single measurement range instrument capable
of meeting both specifications with a single unit. Adjustments cannot
be made to the analyzer between determinations of low- and high-level
accuracy within the single measurement range. In the second case, when
the concentration exceeds the span of the lower range, the data
acquisition system recorder shall switch to the high range
automatically.
2.1.4.1 CEMS Span Value. In order to measure high and low
concentrations with the same or similar degree of accuracy, the maximum
ranges (span values) are specified for low and high range analyzers.
The span values are listed in Table 2.1-2. Tier I and Tier II format
definitions are established in 40 CFR part 266, subpart H.
Mon500itors
2.1.4.2 Daily Calibration Gas Values. The owner or operator must
choose calibration gas concentrations (or calibration filters for
in-situ systems) that include zero and high-level calibration values for
the daily calibration checks. For a single measurement range monitor,
three CO calibration gas concentrations (or calibration filters for
in-situ systems) shall be used, i.e., the zero and high-level
concentrations of the low-range CO analyzer and the high-level
concentration of the high-range CO analyzer.
2.1.4.2.1 The zero level for the CO or O2 analyzer may be between
zero and 20 percent of the span value, e.g., 0-40 ppm for low-range CO
analyzer, 0-600 ppm for the high-range CO analyzer, and 0-5 percent for
the O2 analyzer (for Tier I).
2.1.4.2.2 The high-level concentration for the CO or O2 analyzer
shall be between 50 and 90 percent of the span value, i.e., 100-180 ppm
for the low-range CO analyzer, 1500-2700 ppm for the high-range CO
analyzer, and 12.5-22.5 percent O2 for the O2 analyzer.
2.1.4.3 Data Recorder Scale. The strip chart recorder, computer, or
digital recorder must be capable of recording all readings within the
CEMS's measurement range and shall have a resolution of 0.5 percent of
span value, i.e., 1 ppm CO for low-range CO analyzer, 15 ppm CO for
high-range CO analyzer, and 0.1 percent O2 for the O2 analyzer.
2.1.4.4 Response Time. The response time for the CO or O2 monitor
shall not exceed 2 minutes to achieve 95 percent of the final stable
value.
2.1.4.5 Calibration Drift. The CEMS must allow the determination of
CD at the zero and high-level values. The CD must be determined
separately for CO and O2 monitors in terms of concentration. The CO
CEMS calibration response must not drift or deviate from the reference
value of the calibration gas (or calibration filters for in-situ
systems) by more than 3 percent of the span value after each 24-hour
period of the 7-day test, i.e., 6 ppm CO for the low-range analyzer
(Tier I) and 90 ppm for the high-range analyzer, at both zero and high
levels. The O2 monitor calibration response must not drift or deviate
from the reference value by more than 0.5 percent O2 at both zero and
high levels.
2.l.4.6 Relative Accuracy. The result of the PA test of the CO CEMS
(which incorporates the O2 monitor) must be no greater than 10 percent
of the mean value of the PTM results or must be within 10 ppm CO of the
PTM results, whichever is less restrictive. The ppm CO concentration
shall be corrected to 7 percent O2 before calculating the RA.
2.1.4.7 Calibration Error. The mean difference between the CEMS and
reference values at all three test points (see Table 2.1-3) must be no
greater than 5 percent of span value for CO monitors (i.e., 10 ppm CO
for low range Tier I CO analyzers and 150 ppm CO for high range CO
analyzers) and 0.5 percent for O2 analyzers.
2.1.4.8 Measurement and Recording Frequency. The sample to be
analyzed shall pass through the measurement section of the analyzer
without interruption. The detector shall measure the sample
concentration at least once every 15 seconds. An average emission rate
shall be computed and recorded at least once every 60 seconds.
2.1.4.9 Hourly Rolling Average Calculation. The CEMS shall calculate
every minute an hourly rolling average, which is the arithmetic mean of
the 60 most recent 1-minute average values.
2.1.4.10 Retest. If the CEMS produces results within the specified
criteria, the test is successful. If the CEMS does not meet one or more
of the criteria, the necessary corrections must be made and the
performance tests repeated.
2.1.5.1 Pretest Preparation Period. Install the CEMS, prepare the
PTM test site according to the specifications in section 2.1.3, and
prepare the CEMS for operation and calibration according to the
manufacturer's written instructions. A pretest conditioning period
similar to that of the 7-day CD test is recommended to verify the
operational status of the CEMS.
2.1.5.2 Calibration Drift Test Period. While the facility is
operating under normal conditions, determine the CD at 24-hour intervals
for seven consecutive days according to the procedure given in section
2.1.6.1. All CD determinations must be made following a 24-hour period
during which no unscheduled maintenance, repair, or adjustment takes
place. If the combustion unit is taken out of service during the test
period, record the onset and duration of the downtime and continue the
calibration drift test when the unit resumes operation.
2.1.5.3 Relative Accuracy Test Period. Conduct the RA test according
to the procedure in section 2.1.6.4 while the facility is operating
under normal conditions. RA testing for CO and O2 shall be conducted
simultaneously so that the results can be calculated for CO corrected to
7 percent O2. The RA test shall be conducted during the CD test period.
It is emphasized that during the CD test period, no adjustments or
repairs may be made to the CEMS other than routine calibration
adjustments performed immediately following the daily CD determination.
2.1.5.4 Calibration Error Test and Response Time Test Periods.
Conduct the CE and response time tests during the CD test period.
2.1.6.1 Calibration Drift Test.
2.1.6.1.1 Sampling Strategy. Conduct the CD test for all monitors at
24-hour intervals for seven consecutive days using calibration gases at
the two (or three, if applicable) concentration levels specified in
section 2.1.4.2. Introduce the calibration gases into the sampling
system as close to the sampling probe outlet as practical. The gas
shall pass through all filters, scrubbers, conditioners, and other CEMS
components used during normal sampling. If periodic automatic or manual
adjustments are made to the CEMS zero and calibration settings, conduct
the CD test immediately before these adjustments, or conduct it in such
a way that the CD can be determined. Record the CEMS response and
subtract this value from the reference (calibration gas) value. To meet
the specification, none of the differences shall exceed the limits
specified in Table 2.1-1.
2.1.6.1.2 Calculations. Summarize the results on a data sheet. An
example is shown in Figure 2.1-1. Calculate the differences between the
CEMS responses and the reference values.
2.1.6.2 Response Time. Check the entire CEMS including sample
extraction and transport, sample conditioning, gas analyses, and the
data recording.
2.1.6.2.1 Introduce zero gas into the system. For extractive
systems, introduce the calibration gases at the probe as near to the
sample location as possible. For in-situ system, introduce the zero gas
at a point such that all components active in the analysis are tested.
When the system output has stabilized (no change greater than 1 percent
of full scale for 30 seconds), switch to monitor stack effluent and wait
for a stable value. Record the time (upscale response time) required to
reach 95 percent of the final stable value.
2.1.6.2.2 Next, introduce a high-level calibration gas and repeat the
above procedure. Repeat the entire procedure three times and determine
the mean upscale and downscale response times. The longer of the two
means is the system response time.
2.1.6.3 Calibration Error Test Procedure.
2.1.6.3.1 Sampling Strategy. Challenge each monitor (both low- and
high-range CO and O2) with zero gas and EPA Protocol 1 cylinder gases at
three measurement points within the ranges specified in Table 2.1-3.
Insert illustration 36
2.1.6.3.1.1 If a single measurement range is used, the calibration
gases used in the daily CD checks (if they are Protocol 1 cylinder gases
and meet the criteria in section 2.1.6.3.1) may be used for determining
CE.
2.1.6.3.1.2 Operate each monitor in its normal sampling mode as
nearly as possible. The calibration gas shall be injected into the
sample system as close to the sampling probe outlet as practical and
should pass through all CEMS components used during normal sampling.
Challenge the CEMS three non-consecutive times at each measurement point
and record the responses. The duration of each gas injection should be
sufficient to ensure that the CEMS surfaces are conditioned.
2.1.6.3.2 Calculations. Summarize the results on a data sheet. An
example data sheet is shown in Figure 2.1-2. Average the differences
between the instrument response and the certified cylinder gas value for
each gas. Calculate three CE results (five CE results for a
single-range CO CEMS) according to Equation 5 (section 2.1.7.5). No
confidence coefficient is used in CE calculations.
2.1.6.4 Relative Accuracy Test Procedure.
2.1.6.4.1 Sampling Strategy for PTM tests. Conduct the PTM tests in
such a way that they will yield measurements representative of the
emissions from the source and can be correlated to the CEMS data.
Although it is preferable to conduct the CO, diluent, and moisture (if
needed) simultaneously, moisture measurements that are taken within a
60-minute period which includes the simultaneous CO and O2 measurements
may be used to calculate the dry CO concentration.
Note: At times, CEMS RA tests may be conducted during incinerator
performance tests. In these cases, PTM results obtained during CEMS RA
tests may be used to determine compliance with incinerator emissions
limits as long as the source and test conditions are consistent with the
applicable regulations.
Insert illustration 38
2.1.6.4.2 Performance Test Methods.
2.1.6.4.2.1 Unless otherwise specified in the regulations, method 3
or 3A and method 10, 10A, or 10B (40 CFR part 60, appendix A) are the
test methods for O2 and CO, respectively. Make a sample traverse of at
least 21 minutes, sampling for 7 minutes at each of three traverse
points (see section 3.2).
2.1.6.4.2.2 When the installed CEMS uses a nondispersive infrared
(NDIR) analyzer, method 10 shall use the alternative interference trap
specified in section 10.1 of the method. An option, which may be
approved by the Administrator in certain cases, would allow the test to
be conducted using method 10 without the interference trap. Under this
option, a laboratory interference test is performed for the analyzer
prior to the field test. The laboratory interference test includes the
analysis of SO2, NO, and CO2 calibration gases over the range of
expected effluent concentrations. Acceptable performance is indicated
if the CO analyzer response to each of the gases is less than 1 percent
of the applicable measurement range of the analyzer.
2.1.6.4.3 Number of PTM Tests. Conduct a minimum of nine sets of all
necessary PTM tests. If more than nine sets are conducted, a maximum of
three sets may be rejected at the tester's discretion. The total number
of sets used to determine the RA must be greater than or equal to nine.
All data, including the rejected data, must be reported.
2.1.6.4.4 Correlation of PTM and CEMS Data. The time and duration of
each PTM test run and the CEMS response time should be considered in
correlating the data. Use the CEMS final output (the one used for
reporting) to determine an integrated average CO concentration for each
PTM test run. Confirm that the pair of results are on a consistent
moisture and O2 concentration basis. Each integrated CEMS value should
then be compared against the corresponding average PTM value. If the CO
concentration measured by the CEMS is normalized to a specified diluent
concentration, the PTM results shall be normalized to the same value.
2.1.6.4.5 Calculations. Summarize the results on a data sheet.
Calculate the mean of the PTM values and calculate the arithmetic
differences between the PTM and the CEMS data sets. The mean of the
differences, standard deviation, confidence coefficient, and CEMS RA
should be calculated using Equations 1 through 4.
2.1.7.1 Arithmetic Mean (d8). Calculate d8 of the difference of a
data set using Equation 1.
where:
n=Number of data points.
When the mean of the differences of pairs of data is calculated,
correct the data for moisture, if applicable.
2.1.7.2 Standard Deviation (Sd). Calculate Sd using Equation 2.
2.1.7.3 Confidence Coefficient (CC). Calculate the 2.5 percent error
CC (one-tailed) using Equation 3.
where:
t0.975=t-value (see Table 2.1-4).
2.1.7.4 Relative Accuracy. Calculate the RA of a set of data using
Equation 4.
where:
qd8q=Absolute value of the mean of the differences (Equation 1).
qCCq=Absolute value of the confidence coefficient (Equation 3).
8PTM=Average reference value.
2.1.7.5 Calibration Error. Calculate CE using Equation 5.
where:
d8=Mean difference between CEMS response and the known reference
concentration.
At a minimum, summarize in tabular form the results of the CD, RA,
response time, and CE test, as appropriate. Include all data sheets,
calculations, CEMS data records, and cylinder gas or reference material
certifications.
2.1.9.1 Alternative RA Procedure Rationale. Under some operating
conditions, it may not be possible to obtain meaningful results using
the RA test procedure. This includes conditions where consistent, very
low CO emissions or low CO emissions interrupted periodically by short
duration, high level spikes are observed. It may be appropriate in
these circumstances to waive the PTM RA test and substitute the
following procedure.
2.1.9.2 Alternative RA Procedure. Conduct a complete CEMS status
check following the manufacturer's written instructions. The check
should include operation of the light source, signal receiver, timing
mechanism functions, data acquisition and data reduction functions, data
recorders, mechanically operated functions (mirror movements,
calibration gas valve operations, etc.), sample filters, sample line
heaters, moisture traps, and other related functions of the CEMS, as
applicable. All parts of the CEMS must be functioning properly before
the RA requirement can be waived. The instruments must also have
successfully passed the CE and CD requirements of the performance
specifications. Substitution of the alternative procedure requires
approval of the Regional Administrator.
Proper calibration, maintenance, and operation of the CEMS is the
responsibility of the owner or operator. The owner or operator must
establish a QA program to evaluate and monitor CEMS performance. As a
minimum, the QA program must include:
2.1.10.1 A daily calibration check for each monitor. The calibration
must be adjusted if the check indicates the instrument's CD exceeds the
specification established in section 2.1.4.5. The gases shall be
injected as close to the probe as possible to provide a check of the
entire sampling system. If an alternative calibration procedure is
desired (e.g., direct injections or gas cells), subject to Administrator
approval, the adequacy of this alternative procedure may be demonstrated
during the initial 7-day CD test. Periodic comparisons of the two
procedures are suggested.
2.1.10.2 A daily system audit. The audit must include a review of
the calibration check data, an inspection of the recording system, an
inspection of the control panel warning lights, and an inspection of the
sample transport and interface system (e.g., flowmeters, filters), as
appropriate.
2.1.10.3 A quarterly calibration error (CE) test. Quarterly RA tests
may be substituted for the CE test when approved by the Director on a
case-by-case basis.
2.1.10.4 An annual performance specification test.
1. Jahnke, James A. and G.J. Aldina, ''Handbook: Continuous Air
Pollution Source Monitoring Systems,'' U.S. Environmental Protection
Agency Technology Transfer, Cincinnati, Ohio 45268, EPA-625/6-79-005,
June 1979.
2. ''Gaseous Continuous Emissions Monitoring Systems-Performance
Specification Guidelines for SO2, NOx, CO2, O2, and TRS.'' U.S.
Environmental Protection Agency OAQPS, ESED, Research Triangle Park,
North Carolina 27711, EPA-450/3-82-026, October 1982.
3. ''Quality Assurance Handbook for Air Pollution Measurement
Systems: Volume I. Principles.'' U.S. Environmental Protection Agency
ORD/EMSL, Research Triangle Park, North Carolina, 27711,
EPA-600/9-76-006, December 1984.
4. Michie, Raymond, M. Jr., et. al., ''Performance Test Results and
Comparative Data for Designated Reference Methods for Carbon Monoxide,''
U.S. Environmental Protection Agency ORD/EMSL, Research Triangle Park,
North Carolina, 27711, EPA-600/S4-83-013, September 1982.
5. Ferguson, B.B., R.E. Lester, and W.J. Mitchell, ''Field Evaluation
of Carbon Monoxide and Hydrogen Sulfide Continuous Emission Monitors at
an Oil Refinery,'' U.S. Environmental Protection Agency, Research
Triangle Park, North Carolina, 27711, EPA-600/4-82-054, August 1982.
2.2.1.1 Applicability. These performance specifications apply to
hydrocarbon (HC) continuous emission monitoring systems (CEMSs)
installed on incinerators, boilers, and industrial furnaces burning
hazardous waste. The specifications include procedures which are
intended to be used to evaluate the acceptability of the CEMS at the
time of its installation or whenever specified in regulations or
permits. The procedures are not designed to evaluate CEMS performance
over an extended period of time. The source owner or operator is
responsible for the proper calibration, maintenance, and operation of
the CEMS at all times.
2.2.1.2 Principle. A gas sample is extracted from the source through
a heated sample line and heated filter (except as provided by section
2.2.10) to a flame ionization detector (FID). Results are reported as
volume concentration equivalents of propane. Installation and
measurement location specifications, performance and equipment
specifications, test and data reduction procedures, and brief quality
assurance guidelines are included in the specifications. Calibration
drift, calibration error, and response time tests are conducted to
determine conformance of the CEMS with the specifications.
2.2.2.1 Continuous Emission Monitoring System (CEMS). The total
equipment used to acquire data, which includes sample extraction and
transport hardware, analyzer, data recording and processing hardware,
and software. The system consists of the following major subsystems:
2.2.2.1.1 Sample Interface. That portion of the system that is used
for one or more of the following: Sample acquisition, sample
transportation, sample conditioning, or protection of the analyzer from
the effects of the stack effluent.
2.2.2.1.2 Organic Analyzer. That portion of the system that senses
organic concentration and generates an output proportional to the gas
concentration.
2.2.2.1.3 Data Recorder. That portion of the system that records a
permanent record of the measurement values. The data recorder may
include automatic data reduction capabilities.
2.2.2.2 Instrument Measurement Range. The difference between the
minimum and maximum concentration that can be measured by a specific
instrument. The minimum is often stated or assumed to be zero and the
range expressed only as the maximum.
2.2.2.3 Span or Span Value. Full scale instrument measurement range.
2.2.2.4 Calibration Gas. A known concentration of a gas in an
appropriate diluent gas.
2.2.2.5 Calibration Drift (CD). The difference in the CEMS output
readings from the established reference value after a stated period of
operation during which no unscheduled maintenance, repair, or adjustment
takes place. A CD test is performed to demonstrate the stability of the
CEMS calibration over time.
2.2.2.6 Response Time. The time interval between the start of a step
change in the system input (e.g., change of calibration gas) and the
time when the data recorder displays 95 percent of the final value.
2.2.2.7 Accuracy. A measurement of agreement between a measured value
and an accepted or true value, expressed as the percentage difference
between the true and measured values relative to the true value. For
these performance specifications, accuracy is checked by conducting a
calibration error (CE) test.
2.2.2.8 Calibration Error (CE). The difference between the
concentration indicated by the CEMS and the known concentration of the
cylinder gas. A CE test procedure is performed to document the accuracy
and linearity of the monitoring equipment over the entire measurement
range.
2.2.2.9 Performance Specification Test (PST) Period. The period
during which CD, CE, and response time tests are conducted.
2.2.2.10 Centroidal Area. A concentric area that is geometrically
similar to the stack or duct cross section and is no greater than 1
percent of the stack or duct cross-sectional area.
2.2.3.1 CEMS Installation and Measurement Locations. The CEMS shall
be installed in a location in which measurements representative of the
source's emissions can be obtained. The optimum location of the sample
interface for the CEMS is determined by a number of factors, including
ease of access for calibration and maintenance, the degree to which
sample conditioning will be required, the degree to which it represents
total emissions, and the degree to which it represents the combustion
situation in the firebox. The location should be as free from
in-leakage influences as possible and reasonably free from severe flow
disturbances. The sample location should be at least two equivalent
duct diameters downstream from the nearest control device, point of
pollutant generation, or other point at which a change in the pollutant
concentration or emission rate occurs and at least 0.5 diameter upstream
from the exhaust or control device. The equivalent duct diameter is
calculated as per 40 CFR part 60, appendix A, method 1, section 2.1. If
these criteria are not achievable or if the location is otherwise less
than optimum, the possibility of stratification should be investigated
as described in section 2.2.3.2. The measurement point shall be within
the centroidal area of the stack or duct cross section.
2.2.3.2 Stratification Test Procedure. Stratification is defined as
a difference in excess of 10 percent between the average concentration
in the duct or stack and the concentration at any point more than 1.0
meter from the duct or stack wall. To determine whether effluent
stratification exists, a dual probe system should be used to determine
the average effluent concentration while measurements at each traverse
point are being made. One probe, located at the stack or duct centroid,
is used as a stationary reference point to indicate the change in
effluent concentration over time. The second probe is used for sampling
at the traverse points specified in 40 CFR part 60 appendix A, method 1.
The monitoring system samples sequentially at the reference and
traverse points throughout the testing period for five minutes at each
point.
2.2.4 CEMS Performance and Equipment Specifications
If this method is applied in highly explosive areas, caution and care
shall be exercised in choice of equipment and installation.
2.2.4.1 Flame Ionization Detector (FID) Analyzer. A heated FID
analyzer capable of meeting or exceeding the requirements of these
specifications. Heated systems shall maintain the temperature of the
sample gas between 150 C (300 F) and 175 C (350 F) throughout the
system. This requires all system components such as the probe,
calibration valve, filter, sample lines, pump, and the FID to be kept
heated at all times such that no moisture is condensed out of the
system.
Note: As specified in the regulations, unheated HC CEMs may be
considered an acceptable interim alternative monitoring technique. For
additional notes, see section 2.2.10. The essential components of the
measurement system are described below:
2.2.4.1.1 Sample Probe. Stainless steel, or equivalent, to collect a
gas sample from the centroidal area of the stack cross-section.
2.2.4.1.2 Sample Line. Stainless steel or Teflon tubing to transport
the sample to the analyzer.
Note: Mention of trade names or specific products does not
constitute endorsement by the Environmental Protection Agency.
2.2.4.1.3 Calibration Valve Assembly. A heated three-way valve
assembly to direct the zero and calibration gases to the analyzer is
recommended. Other methods, such as quick-connect lines, to route
calibration gas to the analyzers are applicable.
2.2.4.1.4 Particulate Filter. An in-stack or out-of-stack sintered
stainless steel filter is recommended if exhaust gas particulate loading
is significant. An out-of-stack filter must be heated.
2.2.4.1.5 Fuel. The fuel specified by the manufacturer (e.g., 40
percent hydrogen/60 percent helium, 40 percent hydrogen/60 percent
nitrogen gas mixtures, or pure hydrogen) should be used.
2.2.4.1.6 Zero Gas. High purity air with less than 0.1 parts per
million by volume (ppm) HC as methane or carbon equivalent or less than
0.1 percent of the span value, whichever is greater.
2.2.4.1.7 Calibration Gases. Appropriate concentrations of propane
gas (in air or nitrogen). Preparation of the calibration gases should
be done according to the procedures in EPA Protocol 1. In addition, the
manufacturer of the cylinder gas should provide a recommended shelf life
for each calibration gas cylinder over which the concentration does not
change by more than 2 percent from the certified value.
2.2.4.2 CEMS Span Value. 100 ppm propane.
2.2.4.3 Daily Calibration Gas Values. The owner or operator must
choose calibration gas concentrations that include zero and high-level
calibration values.
2.2.4.3.1 The zero level may be between 0 and 20 ppm (zero and 20
percent of the span value).
2.2.4.3.2 The high-level concentration shall be between 50 and 90 ppm
(50 and 90 percent of the span value).
2.2.4.4 Data Recorder Scale. The strip chart recorder, computer, or
digital recorder must be capable of recording all readings within the
CEMS's measurement range and shall have a resolution of 0.5 ppm (0.5
percent of span value).
2.2.4.5 Response Time. The response time for the CEMS must not
exceed 2 minutes to achieve 95 percent of the final stable value.
2.2.4.6 Calibration Drift. The CEMS must allow the determination of
CD at the zero and high-level values. The CEMS calibration response
must not differ by more than 3 ppm ( 3 percent of the span value) after
each 24-hour period of the 7-day test at both zero and high levels.
2.2.4.7 Calibration Error. The mean difference between the CEMS and
reference values at all three test points listed below shall be no
greater than 5 ppm ( 5 percent of the span value).
2.2.4.7.1 Zero Level. Zero to 20 ppm (0 to 20 percent of span
value).
2.2.4.7.2 Mid-Level. 30 to 40 ppm (30 to 40 percent of span value).
2.2.4.7.3 High-Level. 70 to 80 ppm (70 to 80 percent of span value).
2.2.4.8 Measurement and Recording Frequency. The sample to be
analyzed shall pass through the measurement section of the analyzer
without interruption. The detector shall measure the sample
concentration at least once every 15 seconds. An average emission rate
shall be computed and recorded at least once every 60 seconds.
2.2.4.9 Hourly Rolling Average Calculation. The CEMS shall calculate
every minute an hourly rolling average, which is the arithmetic mean of
the 60 most recent 1-minute average values.
2.2.4.10 Retest. If the CEMS produces results within the specified
criteria, the test is successful. If the CEMS does not meet one or more
of the criteria, necessary corrections must be made and the performance
tests repeated.
2.2.5 Performance Specification Test (PST) Periods
2.2.5.1 Pretest Preparation Period. Install the CEMS, prepare the
PTM test site according to the specifications in section 2.2.3, and
prepare the CEMS for operation and calibration according to the
manufacturer's written instructions. A pretest conditioning period
similar to that of the 7-day CD test is recommended to verify the
operational status of the CEMS.
2.2.5.2 Calibration Drift Test Period. While the facility is
operating under normal conditions, determine the magnitude of the CD at
24-hour intervals for seven consecutive days according to the procedure
given in section 2.2.6.1. All CD determinations must be made following a
24-hour period during which no unscheduled maintenance, repair, or
adjustment takes place. If the combustion unit is taken out of service
during the test period, record the onset and duration of the downtime
and continue the CD test when the unit resumes operation.
2.2.5.3 Calibration Error Test and Response Time Test Periods.
Conduct the CE and response time tests during the CD test period.
2.2.6 Performance Specification Test Procedures
2.2.6.1 Calibration Drift Test.
2.2.6.1.1 Sampling Strategy. Conduct the CD test at 24-hour
intervals for seven consecutive days using calibration gases at the two
daily concentration levels specified in section 2.2.4.3. Introduce the
two calibration gases into the sampling system as close to the sampling
probe outlet as practical. The gas shall pass through all CEM
components used during normal sampling. If periodic automatic or manual
adjustments are made to the CEMS zero and calibration settings, conduct
the CD test immediately before these adjustments, or conduct it in such
a way that the CD can be determined. Record the CEMS response and
subtract this value from the reference (calibration gas) value. To meet
the specification, none of the differences shall exceed 3 ppm.
2.2.6.1.2 Calculations. Summarize the results on a data sheet. An
example is shown in Figure 2.2-1. Calculate the differences between the
CEMS responses and the reference values.
2.2.6.2 Response Time. The entire system including sample extraction
and transport, sample conditioning, gas analyses, and the data recording
is checked with this procedure.
2.2.6.2.1 Introduce the calibration gases at the probe as near to the
sample location as possible. Introduce the zero gas into the system.
When the system output has stabilized (no change greater than 1 percent
of full scale for 30 sec), switch to monitor stack effluent and wait for
a stable value. Record the time (upscale response time) required to
reach 95 percent of the final stable value.
2.2.6.2.2 Next, introduce a high-level calibration gas and repeat the
above procedure. Repeat the entire procedure three times and determine
the mean upscale and downscale response times. The longer of the two
means is the system response time.
2.2.6.3 Calibration Error Test Procedure.
2.2.6.3.1 Sampling Strategy. Challenge the CEMS with zero gas and
EPA Protocol 1 cylinder gases at measurement points within the ranges
specified in section 2.2.4.7.
2.2.6.3.1.1 The daily calibration gases, if Protocol 1, may be used
for this test.
Insert Illustration 53
Insert Illustration 54
Insert Illustration 55
Proper calibration, maintenance, and operation of the CEMS is the
responsibility of the owner or operator. The owner or operator must
establish a QA program to evaluate and monitor CEMS performance. As a
minimum, the QA program must include:
2.2.9.1 A daily calibration check for each monitor. The calibration
must be adjusted if the check indicates the instrument's CD exceeds 3
ppm. The gases shall be injected as close to the probe as possible to
provide a check of the entire sampling system. If an alternative
calibration procedure is desired (e.g., direct injections or gas cells),
subject to Administrator approval, the adequacy of this alternative
procedure may be demonstrated during the initial 7-day CD test.
Periodic comparisons of the two procedures are suggested.
2.2.9.2 A daily system audit. The audit must include a review of the
calibration check data, an inspection of the recording system, an
inspection of the control panel warning lights, and an inspection of the
sample transport and interface system (e.g., flowmeters, filters), as
appropriate.
2.2.9.3 A quarterly CE test. Quarterly RA tests may be substituted
for the CE test when approved by the Director on a case-by-case basis.
2.2.9.4 An annual performance specification test.
The regulations allow gas conditioning systems to be used In
conjunction with unheated HC CEMs during an interim period. This gas
conditioning may include cooling to not less than 40 F and the use of
condensate traps to reduce the moisture content of sample gas entering
the FID to less than 2 percent. The gas conditioning system, however,
must not allow the sample gas to bubble through the condensate as this
would remove water soluble organic compounds. All components upstream
of the conditioning system should be heated as described in section
2.2.4 to minimize operating and maintenance problems.
1. Measurement of Volatile Organic Compounds-Guideline Series. U.S.
Environmental Protection Agency, Research Triangle Park, North Carolina,
27711, EPA-450/2-78-041, June 1978.
2. Traceability Protocol for Establishing True Concentrations of
Gases Used for Calibration and Audits of Continuous Source Emission
Monitors (Protocol No. 1). U.S. Environmental Protection Agency
ORD/EMSL, Research Triangle Park, North Carolina, 27711, June 1978.
3. Gasoline Vapor Emission Laboratory Evaluation-Part 2. U.S.
Environmental Protection Agency, OAQPS, Research Triangle Park, North
Carolina, 27711, EMB Report No. 76-GAS-6, August 1975.
3.1.1.1 Applicability. This method is being developed for the
determination of total chromium (Cr), cadmium (Cd), arsenic (As), nickel
(Ni), manganese (Mn), beryllium (Be), copper (Cu), zinc (Zn), lead (Pb),
selenium (Se), phosphorus (P), thallium (Tl), silver (Ag), antimony
(Sb), barium (Ba), and mercury (Hg) stack emissions from hazardous waste
incinerators and similar combustion processes. This method may also be
used for the determination of particulate emissions following the
procedures and precautions described. Modifications to the sample
recovery and analysis procedures described in this protocol for the
purpose of determining particulate emissions may potentially impact the
front-half mercury determination. Mercury emissions should be
determined using EPA method 101A given in 40 CFR part 61.
3.1.1.2 Principle. The stack sample is withdrawn isokinetically from
the source, with particulate emissions collected in the probe and on a
heated filter and gaseous emissions collected in a series of chilled
impingers containing an aqueous solution of dilute nitric acid combined
with dilute hydrogen peroxide in each of two impingers, and acidic
potassium permanganate solution in each of two impingers. Sampling
train components are recovered and digested in separate front- and
back-half fractions. Materials collected in the sampling train are
digested with acid solutions to dissolve organics and to remove organic
constituents that may create analytical interferences. Acid digestion
is performed using conventional Parr# Bomb or microwave digestion
techniques. The nitric acid and hydrogen peroxide impinger solution,
the acidic potassium permanganate impinger solution, the HCl rinse
solution, and the probe rinse and digested filter solutions are analyzed
for mercury by cold vapor atomic absorption spectroscopy (CVAAS). The
nitric acid and hydrogen peroxide solution and the probe rinse and
digested filter solutions of the train catches are analyzed for Cr, Cd,
Ni, Mn, Be, Cu, Zn, Pb, Se, P, Tl, Ag, Sb, Ba, and As by inductively
coupled argon plasma emission spectroscopy (ICAP) or atomic absorption
spectroscopy (AAS). Graphite furnace atomic absorption spectroscopy
(GFAAS) is used for analysis of antimony, arsenic, cadmium, lead,
selenium, and thallium, if these elements require greater analytical
sensitivity than can be obtained by ICAP. Additionally, if desired, the
tester may use AAS for analyses of all metals if the resulting in-stack
method detection limits meet the goal of the testing program. For
convenience, aliquots of each digested sample Fraction 1A plus Fraction
2A can be combined proportionally with respect to the original Fraction
1 (normally diluted to 300 ml following digestion and prior to analysis)
section 3.1.5.3.3; and concentrated Fraction 2A (normally diluted to
150 ml following digestion and prior to analysis) section 3.1.5.3.4.1 or
3.1.5.3.4.2 for a single analytical determination. The efficiency of
the analytical procedure is quantified by the analysis of spiked quality
control samples containing each of the target metals and/or other
quality assurance measures, as necessary, including actual sample matrix
effects checks.
3.1.2.1 Range. For the analyses described in this methodology and for
similar analyses, the ICAP response is linear over several orders of
magnitude. Samples containing metal concentrations in the nanograms per
milliliter (ng/ml) to micrograms per milliliter ( g/ml) range in the
analytical finish solution can be analyzed using this technique.
Samples containing greater than approximately 50 g/ml of chromium,
lead, or arsenic should be diluted to that level or lower for final
analysis. Samples containing greater than approximately 20 g/ml of
cadmium should be diluted to that level before analysis.
3.1.2.2 Analytical Sensitivity. ICAP analytical detection limits for
the sample solutions (based on SW-846, method 6010) are approximately as
follows: Sb (32 ng/ml), As (53 ng/ml), Ba (2 ng/ml), Be (0.3 ng/ml), Cd
(4 ng/ml), Cr (7 ng/ml), Cu (6 ng/ml), Pb (42 ng/ml), Mn (2 ng/ml), Ni
(15 ng/ml), P (75 ng/ml), Se (75 ng/ml), Ag (7 ng/ml), T1 (40 ng/ml),
and Zn (2 ng/ml). The actual method detection limits are sample
dependent and may vary as the sample matrix may affect the limits. The
analytical detection limits for analysis by direct aspiration AAS (based
on SW-846, Method 7000 series) are approximately as follows: Sb (200
ng/ml), As (2 ng/ml), Ba (100 ng/ml), Be (5 ng/ml), Cd (5 ng/ml), Cr (50
ng/ml), Cu (20 ng/ml), Pb (100 ng/ml), Mn (10 ng/ml), Ni (40 ng/ml), Se
(2 ng/ml), Ag (10 ng/ml), Tl (100 ng/ml), and Zn (5 ng/ml). The
detection limit for mercury by CVAAS is approximately 0.2 ng/ml). The
use of GFAAS can give added sensitivity compared to the use of direct
aspiration AAS for the following metals: Sb (3 ng/ml), As (1 ng/ml), Be
(0.2 ng/ml), Cd (0.1 ng/ml), Cr (1 ng/ml), Pb (1 ng/ml), Se (2 ng/ml),
and Tl (1 ng/ml).
Using (1) the procedures described in this method, (2) the analytical
detection limits described in the previous paragraph, (3) a volume of
300 ml, Fraction 1, for the front half and 150 ml, Fraction 2A, for the
back-half samples, and (4) a stack gas sample volume of 1.25 m /3/ , the
corresponding instack method detection limits are presented in Table A-1
and calculated as shown:
where:
A=analytical detection limit, g/ml.
B=volume of sample prior to aliquot for analysis, ml.
C=stack sample volume, dscm (dsm /3/ ).
D=in-stack detection limit, g/m /3/ .
Values in Table 3.1-1 are calculated for the front and back half
and/or the total train.
To ensure optimum sensitivity in obtaining the measurements, the
concentrations of target metals in the solutions are suggested to be at
least ten times the analytical detection limits. Under certain
conditions, and with greater care in the analytical procedure, this
concentration can be as low as approximately three times the analytical
detection limit. In all cases, on at least one sample (run) in the
source test and for each metal analyzed, repetitive analyses, method of
standard additions (MSA), serial dilution, or matrix spike addition,
etc., shall be used to establish the quality of the data.
Actual in-stack method detection limits will be determined based on
actual source sampling parameters and analytical results as described
above. If required, the method in-stack detection limits can be made
more sensitive than those shown in Table A-I for a specific test by
using one or more of the following options:
A 1-hour sampling run may collect a stack gas sampling volume of
about 1.25 m3. If the sampling time is increased and 5 m3 are collected,
the in-stack method detection limits would be one fourth of the values
shown in Table A-I (this means that with this change, the method is four
times more sensitive than a 1-hour run. Larger sample volumes (longer
runs) would make it even more sensitive).
The in-stack detection limits assume that all of the sample is
digested (with exception of the aliquot for mercury) and the final
liquid volumes for analysis are 300 ml, Fraction 1 for the front half
and 150 ml, Fraction 2A, for the back-half sample. If the front-half
volume is reduced from 300 ml to 30 ml, the front-half in-stack
detection limits would be one tenth of the values shown above (ten times
more sensitive). If the back-half volume is reduced from 150 ml to 25
ml, the in-stack detection limits would be one sixth of the above
values. Matrix effects checks are necessary on analyses of samples and
typically are of greater significance for samples that have been
concentrated to less than the normal original sample volume. Reduction
to a volume of less than 25 ml may not allow redissolving of the residue
and may increase interference by other compounds.
When both of the above two improvements are used on one sample at the
same time, the resultant improvements are multiplicative. For example,
where stack gas volume is increased by a factor of five and the total
liquid sample digested volume of both the front and back halves is
reduced by a factor of six, the in-stack method detection limit is
reduced by a factor of thirty (the method is thirty times more
sensitive).
for Train Fractions Using ICAP and AAS
Conversely, reducing stack gas sample volume and increasing sample
liquid volume will increase in-stack detection limits (the method would
then be less sensitive). The front-half and back-half samples
(Fractions 1A plus and 2A) can be combined proportionally (see section
3.1.1.2 of this methodology) prior to analysis. The resultant liquid
volume (excluding the mercury fractions, which must be analyzed
separately) is recorded. Combining the sample as described does not
allow determination (whether front or back half) of where in the train
the sample was captured. The in-stack method detection limit then
becomes a single value for all metals except mercury, for which the
contribution of the mercury fractions must be considered.
The above discussion assumes no blank correction. Blank corrections
are discussed later in this method.
3.1.2.3 Precision. The precisions (relative standard deviation) for
each metal detected in a method development test at a sewage sludge
incinerator, are as follows: Sb (12.7%), As (13.5%), Ba (20.6%), Cd
(11.5%), Cr (11.2%), Cu (11.5%), Pb (11.6%), P (14.6%), Se (15.3%), T1
(12.3%), and Zn (11.8%). The precision for nickel was 7.7% for another
test conducted at a source simulator. Beryllium, manganese, and silver
were not detected in the tests; however, based on the analytical
sensitivity of the ICAP for these metals, it is assumed that their
precisions should be similar to those for the other metals, when
detected at similar levels.
3.1.2.4 Interferences. Iron can be a spectral interference during the
analysis of arsenic, chromium, and cadmium by ICAP. Aluminum can be a
spectral interference during the analysis of arsenic and lead by ICAP.
Generally, these interferences can be reduced by diluting the sample,
but this increases the method detection limit (in-stack detection
limit). Refer to EPA method 6010 (SW-846) or the other analytical
methods used for details on potential interferences for this method.
The analyst must eliminate or reduce interferences to acceptable levels.
For all GFAAS analyses, matrix modifiers should be used to limit
interferences, and standards should be matrix matched.
3.1.3.1 Sampling Train. A schematic of the sampling train is shown
in Figure 3.1-1. It is similar to the 40 CFR part 60, appendix A method
5 train. The sampling train consists of the following components:
3.1.3.1.1 Probe Nozzle (Probe Tip) and Borosilicate or Quartz Glass
Probe Liner. Same as method 5, sections 2.1.1 and 2.1.2, except that
glass nozzles are required unless an alternate probe tip prevents the
possibility of contamination or interference of the sample with its
materials of construction. If a probe tip other than glass is used, no
correction (because of any effect on the sample by the probe tip) of the
stack sample test results can be made.
3.1.3.1.2 Pitot Tube and Differential Pressure Gauge. Same as method
2, sections 2.1 and 2.2, respectively.
3.1.3.1.3 Filter Holder. Glass, same as method 5, section 2.1.5,
except that a Teflon filter support or other non-metallic,
non-contaminating support must be used to replace the glass frit.
3.1.3.1.4 Filter Heating System. Same as method 5, section 2.1.6.
3.1.3.1.5 Condenser. The following system shall be used for the
condensation and collection of gaseous metals and for determining the
moisture content of the stack gas. The condensing system should consist
of four to seven impingers connected in series with leak-free ground
glass fittings or other leak-free, non-contaminating fittings. The
first impinger is optional and is recommended as a moisture knockout
trap for use during test conditions which require such a trap. The
first impinger shall be appropriately-sized, if necessary, for an
expected large moisture catch and generally constructed as described for
the first impinger in method 5, paragraph 2.1.7. The second impinger (or
the first HNO3/H2O2 impinger) shall also be constructed as described for
the first impinger in method 5. The third impinger (or the second
HNO3/H2O2 impinger) shall be the same as the Greenburg Smith impinger
with the standard tip described as the second impinger in method 5,
paragraph 2.1.7. All other impingers used in the methods train are the
same as the first HNO3/H2O2 impinger described in this paragraph. In
summary, the first impinger which may be optional as described in this
methodology shall be empty, the second and third shall contain known
quantities of a nitric acid/hydrogen peroxide solution (section
3.l.4.2.1), the fourth shall be empty, the fifth and sixth shall contain
a known quantity of acidic potassium permanganate solution (section
3.1.4.2.2), and the last impinger shall contain a known quantity of
silica gel. A thermometer capable of measuring to within 1 C (2 F)
shall be placed at the outlet of the last impinger. When the moisture
knockout impinger is not needed, it is removed from the train and the
other impingers remain the same. If mercury analysis is not to be
performed, the potassium permanganate impingers and the empty impinger
preceding them are removed.
Insert illustration 65
3.1.3.1.6 Metering System, Barometer, and Gas Density Determination
Equipment. Same as method 5, sections 2.1.8 through 2.1.10,
respectively.
3.1.3.1.7 Teflon Tape. For capping openings and sealing connections,
if necessary, on the sampling train.
3.1.3.2 Sample Recovery. Same as method 5, sections 2.2.1 through
2.2.8 (Nonmetallic Probe-Liner and Probe-Nozzle Brushes or Swabs, Wash
Bottles, Sample Storage Containers, Petri Dishes, Glass Graduated
Cylinder, Plastic Storage Containers, Funnel and Rubber Policeman, and
Glass Funnel), respectively, with the following exceptions and
additions:
3.1.3.2.1 Nonmetallic Probe-Liner and Probe-Nozzle Brushes or Swabs.
For quantitative recovery of materials collected in the front half of
the sampling train: Description of acceptable all-Teflon component
brushes or swabs is to be included in EPA's Emission Measurement
Technical Information Center (EMTIC) files.
3.1.3.2.2 Sample Storage Containers. Glass bottles with Teflon-lined
caps which are non-reactive to the oxidizing solutions, with a capacity
of 1000- and 500-ml, shall be used for KMnO4-containing samples and
blanks. Polyethylene bottles may be used for other sample types.
3.1.3.2.3 Graduated Cylinder. Glass or equivalent.
3.1.3.2.4 Funnel. Glass or equivalent.
3.1.3.2.5 Labels. For identification of samples.
3.1.3.2.6 Polypropylene Tweezers and/or Plastic Gloves. For recovery
of the filter from the sampling train filter holder.
3.1.3.3 Sample Preparation and Analysis. For the analysis, the
following equipment is needed:
3.1.3.3.1 Volumetric Flasks, 100-ml, 250-ml, and 1000-ml. For
preparation of standards and sample dilution.
3.1.3.3.2 Graduated Cylinders. For preparation of reagents.
3.1.3.3.3 ParrR Bombs or Microwave Pressure Relief Vessels with
Capping Station (GEM Corporation model or equivalent).
3.1.3.3.4 Beakers and Watchglasses. 250-ml beakers for sample
digestion with watchglasses to cover the tops.
3.1.3.3.5 Ring Stands and Clamps. For securing equipment such as
filtration apparatus.
3.1.3.3.6 Filter Funnels. For holding filter paper.
3.1.3.3.7 Whatman 541 Filter Paper (or equivalent). For filtration
of digested samples.
3.1.3.3.8 Disposable Pasteur Pipets and Bulbs.
3.1.3.3.9 Volumetric Pipets.
3.1.3.3.10 Analytical Balance. Accurate to within 0.1 mg.
3.1.3.3.11 Microwave or Conventional Oven. For heating samples at
fixed power levels or temperatures.
3.1.3.3.12 Hot Plates.
3.1.3.3.13 Atomic Absorption Spectrometer (AAS). Equipped with a
background corrector.
3.1.3.3.13.1 Graphite Furnace Attachment. With antimony, arsenic,
cadmium, lead, selenium, thallium hollow cathode lamps (HCLs) or
electrodeless discharge lamps (EDLs). (Same as EPA SW-846 methods 7041
(antimony), 7060 (arsenic), 7131 (cadmium), 7421 (lead), 7740
(selenium), and 7841 (thallium).)
3.1.3.3.13.2 Cold Vapor Mercury Attachment. With a mercury HCL or
EDL. The equipment needed for the cold vapor mercury attachment
includes an air recirculation pump, a quartz cell, an aerator apparatus,
and a heat lamp or desiccator tube. The heat lamp should be capable of
raising the ambient temperature at the quartz cell by 10 C such that no
condensation forms on the wall of the quartz cell. (Same as EPA method
7470.)
3.1.3.3.14 Inductively Coupled Argon Plasma Spectrometer. With
either a direct or sequential reader and an alumina torch. (Same as EPA
method 6010.)
3.1.4 Reagents
The complexity of this methodology is such that to obtain reliable
results, the testers (Including analysts) should be experienced and
knowledgeable in source sampling, in handling and preparing (including
mixing) reagents as described, and using adequate safety procedures and
protective equipment in performing this method, including sampling,
mixing reagents, digestions, and analyses. Unless otherwise indicated,
it is intended that all reagents conform to the specifications
established by the Committee on Analytical Reagents of the American
Chemical Society, where such specifications are available; otherwise,
use the best available grade.
3.1.4.1 Sampling. The reagents used in sampling are as follows:
3.1.4.1.1 Filters. The filters shall contain less than 1.3 g/in /2/
of each of the metals to be measured. Analytical results provided by
filter manufacturers are acceptable. However, if no such results are
available, filter blanks must be analyzed for each target metal prior to
emission testing. Quartz fiber or glass fiber (which meet the
requirement of containing less than 1.3 g/in2 of each metal) filters
without organic binders shall be used. The filters should exhibit at
least 99.95 percent efficiency (<0.05 percent penetration) on 0.3 micron
dioctyl phthalate smoke particles. The filter efficiency test shall be
conducted in accordance with ASTM Standard Method D2986-7l (incorporated
by reference). For particulate determination in sources containing SO2
or SO3, the filter material must be of a type that is unreactive to SO2
or SO3, as described in EPA method 5. Quartz fiber filters meeting
these requirements are recommended for use in this method.
3.1.4.1.2 Water. To conform to ASTM Specification Dl193.77, Type II
(incorporated by reference). If necessary, analyze the water for all
target metals prior to field use. All target metal concentrations
should be less than 1 ng/ml.
3.1.4.1.3 Nitric Acid. Concentrated. Baker Instra-analyzed or
equivalent.
3.1.4.1.4 Hydrochloric Acid. Concentrated. Baker Instra-analyzed or
equivalent.
3.1.4.1.5 Hydrogen Peroxide, 30 Percent (V/V).
3.1.4.1.6 Potassium Permanganate.
3.1.4.1.7 Sulfuric Acid. Concentrated.
3.1.4.1.8 Silica Gel and Crushed Ice. Same as method 5, sections
3.1.2 and 3.1.4, respectively.
3.1.4.2 Pretest Preparation for Sampling Reagents.
3.1.4.2.1 Nitric Acid (HNO3)/Hydrogen Peroxide (H2O2) Absorbing
Solution, 5 Percent HNO3/10 Percent H2O2. Carefully with stirring, add
50 ml of concentrated HNO3 to a 1000-ml volumetric flask containing
approximately 500 ml of water, and then, carefully with stirring, add
333 ml of 30 percent H2O2. Dilute to volume (1000 ml) with water. Mix
well. The reagent shall contain less than 2 ng/ml of each target metal.
3.1.4.2.2 Acidic Potassium Permanganate (KMnO4) Absorbing Solution, 4
Percent KMnO4 (W/V), 10 Percent H2SO4 (V/V). Prepare fresh daily. Mix
carefully, with stirring, 100 ml of concentrated H2SO4 into 800 ml of
water, and add water with stirring to make a volume of 1 L: This
solution is 10 percent H2SO4 (V/V). Dissolve, with stirring, 40 g of
KMnO4 into 10 percent H2SO4 (V/V) and add 10 percent H2SO4 (V/V) with
stirring to make a volume of 1 L: this is the acidic potassium
permanganate absorbing solution. Prepare and store in glass bottles to
prevent degradation. The reagent shall contain less than 2 ng/ml of Hg.
Precaution: To prevent autocatalytic decomposition of the
permanganate solution, filter the solution through Whatman 541 filter
paper. Also, due to the potential reaction of the potassium
permanganate with the acid, there may be pressure buildup in the sample
storage bottle; these bottles shall not be fully filled and shall be
vented both to relieve potential excess pressure and prevent explosion
due to pressure buildup. Venting is required, but should not allow
contamination of the sample; a No. 70-72 hole drilled in the container
cap and Teflon liner has been used.
3.1.4.2.3 Nitric Acid, 0.1 N. With stirring, add 6.3 ml of
concentrated HNO3 (70 percent) to a flask containing approximately 900
ml of water. Dilute to 1000 ml with water. Mix well. The reagent
shall contain less than 2 ng/ml of each target metal.
3.1.4.2.4 Hydrochloric Acid (HCl), 8 N. Make the desired volume of 8
N HCl in the following proportions. Carefully with stirring, add 690 ml
of concentrated HCl to a flask containing 250 ml of water. Dilute to
1000 ml with water. Mix well. The reagent shall contain less than 2
ng/ml of Hg.
3.1.4.3 Glassware Cleaning Reagents.
3.1.4.3.1 Nitric Acid, Concentrated. Fisher ACS grade or equivalent.
3.1.4.3.2 Water. To conform to ASTM Specifications D1193-77, Type II.
3.1.4.3.3 Nitric Acid, 10 Percent (V/V). With stirring, add 500 ml
of concentrated HNO3 to a flask containing approximately 4000 ml of
water. Dilute to 5000 ml with water. Mix well. Reagent shall contain
less than 2 ng/ml of each target metal.
3.1.4.4 Sample Digestion and Analysis Reagents.
3.1.4.4.1 Hydrochloric Acid, Concentrated.
3.1.4.4.2 Hydrofluoric Acid, Concentrated.
3.1.4.4.3 Nitric Acid, Concentrated. Baker Instra-analyzed or
equivalent.
3.1.4.4.4 Nitric Acid, 50 Percent (V/V). With stirring, add 125 ml
of concentrated HNO3 to 100 ml of water. Dilute to 250 ml with water.
Mix well. Reagent shall contain less than 2 ng/ml of each target metal.
3.1.4.4.5 Nitric Acid, 5 Percent (V/V). With stirring, add 50 ml of
concentrated HNO3 to 800 ml of water. Dilute to 1000 ml with water.
Mix well. Reagent shall contain less than 2 ng/ml of each target metal.
3.1.4.4.6 Water. To conform to ASTM Specifications D1193-77, Type II.
3.1.4.4.7 Hydroxylamine Hydrochloride and Sodium Chloride Solution.
See EPA method 7470 for preparation.
3.1.4.4.8 Stannous Chloride. See method 7470.
3.1.4.4.9 Potassium Permanganate, 5 Percent (W/V). See method 7470.
3.1.4.4.10 Sulfuric Acid, Concentrated.
3.1.4.4.11 Nitric Acid, 50 Percent (V/V).
3.1.4.4.12 Potassium Persulfate, 5 Percent (W/V). See Method 7470.
3.1.4.4.13 Nickel Nitrate, Ni(NO3)2. 6H2O.
3.1.4.4.14 Lanthanum, Oxide, La2O3.
3.1.4.4.15 AAS Grade Hg Standard, 1000 g/ml.
3.1.4.4.16 AAS Grade Pb Standard, 1000 g/ml.
3.1.4.4.17 AAS Grade As Standard, 1000 g/ml.
3.1.4.4.18 AAS Grade Cd Standard, 1000 g/ml.
3.1.4.4.19 AAS Grade Cr Standard, 1000 g/ml.
3.1.4.4.20 AAS Grade Sb Standard, 1000 g/ml.
3.1.4.4.21 AAS Grade Ba Standard, 1000 g/ml.
3.1.4.4.22 AAS Grade Be Standard, 1000 g/ml.
3.1.4.4.23 AAS Grade C Standard, 1000 g/ml.
3.1.4.4.24 AAS Grade Mn Standard, 1000 g/ml.
3.1.4.4.25 AAS Grade Ni Standard, 1000 g/ml.
3.1.4.4.26 AAS Grade P Standard, 1000 g/ml.
3.1.4.4.27 AAS Grade Se Standard, 1000 g/ml.
3.1.4.4.28 AAS Grade Ag Standard, 1000 g/ml.
3.1.4.4.29 AAS Grade T1 Standard, 1000 g/ml.
3.1.4.4.30 AAS Grade Zn Standard, 1000 g/ml.
3.1.4.4.31 AAS Grade Al Standard, 1000 g/ml.
3.1.4.4.32 AAS Grade Fe Standard, 1000 g/ml.
3.1.4.4.33 The metals standards may also be made from solid chemicals
as described in EPA Method 200.7. EPA SW-846 Method 7470 or Standard
Methods for the Analysis of Water and Wastewater, 15th Edition, Method
303F should be referred to for additional information on mercury
standards.
3.1.4.4.34 Mercury Standards and Quality Control Samples. Prepare
fresh weekly a 10 g/ml intermediate mercury standard by adding 5 ml of
1000 g/ml mercury stock solution to a 500-ml volumetric flask; dilute
with stirring to 500 ml by first carefully adding 20 ml of 15 percent
HNO3 and then adding water to the 500-ml volume. Mix well. Prepare a
200 ng/ml working mercury standard solution fresh daily: Add 5 ml of
the 10 g/ml intermediate standard to a 250-ml volumetric flask and
dilute to 250 ml with 5 ml of 4 percent KMnO4, 5 ml of 15 percent HNO3,
and then water. Mix well. At least six separate aliquots of the
working mercury standard solution should be used to prepare the standard
curve. These aliquots should contain 0.0, 1.0, 2.0, 3.0, 4.0, and 5.0
ml of the working standard solution containing 0, 200, 400, 600, 800,
and 1000 ng mercury, respectively. Quality control samples should be
prepared by making a separate 10 g/ml standard and diluting until in
the range of the calibration.
3.1.4.4.35 ICAP Standards and Quality Control Samples. Calibration
standards for ICAP analysis can be combined into four different mixed
standard solutions as shown below.
Prepare these standards by combining and diluting the appropriate
volumes of the 1000 g/ml solutions with 5 percent nitric acid. A
minimum of one standard and a blank can be used to form each calibration
curve. However, a separate quality control sample spiked with known
amounts of the target metals in quantities in the midrange of the
calibration curve should be prepared. Suggested standard levels are 25
g/ml for Al, Cr, and Pb, 15 g/ml for Fe, and 10 g/ml for the remaining
elements. Standards containing less than 1 g/ml of metal should be
prepared daily. Standards containing greater than 1 g/ml of metal
should be stable for a minimum of 1 to 2 weeks.
3.1.4.4.36 Graphite Furnace AAS Standards. Antimony, arsenic,
cadmium, lead, selenium, and thallium. Prepare a 10 g/ml standard by
adding 1 ml of 1000 g/ml standard to a 100-ml volumetric flask. Dilute
with stirring to 100 ml with 10 percent nitric acid. For graphite
furnace AAS, the standards must be matrix matched. Prepare a 100 ng/ml
standard by adding 1 ml of the 10 g/ml standard to a 110-ml volumetric
flask and dilute to 100 ml with the appropriate matrix solution. Other
standards should be prepared by dilution of the 100 ng/ml standards. At
least five standards should be used to make up the standard curve.
Suggested levels are 0, 10, 50, 75, and 100 ng/ml. Quality control
samples should be prepared by making a separate 10 g/ml standard and
diluting until it is in the range of the samples. Standards containing
less than 1 g/ml of metal should be prepared daily. Standards
containing greater than 1 g/ml of metal should be stable for a minimum
of 1 to 2 weeks.
3.1.4.4.3 Matrix Modifiers.
3.1.4.4.37.1 Nickel Nitrate, 1 Percent (V/V). Dissolve 4.956 g of
Ni(NO3)2 . 6H2O in approximately 50 ml of water in a 100-ml volumetric
flask. Dilute to 100 ml with water.
3.1.4.4.37.2 Nickel Nitrate, 0.1 Percent (V/V). Dilute 10 ml of the
1 percent nickel nitrate solution from section 4.4.37.1 above to 100 ml
with water. Inject an equal amount of sample and this modifier into the
graphite furnace during AAS analysis for As.
3.1.4.4.37.3 Lanthanum. Carefully dissolve 0.5864 g of La2O3 in 10 ml
of concentrated HNO3 and dilute the solution by adding it with stirring
to approximately 50 ml of water, and then dilute to 100 ml with water.
Mix well. Inject an equal amount of sample and this modifier into the
graphite furnace during AAS analysis for Pb.
3.1.5.1 Sampling. The complexity of this method is such that, to
obtain reliable results, testers and analysts should be trained and
experienced with the test procedures, including source sampling, reagent
preparation and handling, sample handling, analytical calculations,
reporting, and descriptions specifically at the beginning of and
throughout section 3.1.4 and all other sections of this methodology.
3.1.5.1.1 Pretest Preparation. Follow the same general procedure
given in method 5, section 4.1.1, except that, unless particulate
emissions are to be determined, the filter need not be desiccated or
weighed. All sampling train glassware should first be rinsed with hot
tap water and then washed in hot soapy water. Next, glassware should be
rinsed three times with tap water, followed by three additional rinses
with water. All glassware should then be soaked in a 10 percent (V/V)
nitric acid solution for a minimum of 4 hours, rinsed three times with
water, rinsed a final time with acetone, and allowed to air dry. All
glassware openings where contamination can occur should be covered until
the sampling train is assembled for sampling.
3.1.5.1.2 Preliminary Determinations. Same as method 5, section
4.1.2.
3.1.5.1.3 Preparation of Sampling Train. Follow the same general
procedures given in method 5, section 4.1.3, except place 100 ml of the
nitric acid/hydrogen peroxide solution (section 3.1.4.2.1) in each of
the two HNO3/H2O2 impingers as shown in Figure 3.1-1 (normally the
second and third impingers), place 100 ml of the acidic potassium
permanganate absorbing solution (section 3.1.4.2.2) in each of the two
permanganate impingers as shown in Figure A-1, and transfer
approximately 200 to 300 g of preweighed silica gel from its container
to the last impinger. Alternatively, the silica gel may be weighed
directly in the impinger just prior to train assembly.
Several options are available to the tester based on the sampling
requirements and conditions. The use of an empty first impinger can be
eliminated if the moisture to be collected in the impingers will be less
than approximately 100 ml. If necessary, use as applicable to this
methodology the procedure described in section 7.1.1 of EPA method 101A,
40 CFR part 61, appendix B, to maintain the desired color in the last
permanganate impinger.
Retain for reagent blanks volumes of the nitric acid/hydrogen
peroxide solution per section 3.1.5.2.9 of this method and of the acidic
potassium permanganate solution per section 3.1.5.2.10. These reagent
blanks should be labeled and analyzed as described in section 3.1.7. Set
up the sampling train as shown in Figure 3.1-1, or if mercury analysis
is not to be performed in the train, then it should be modified by
removing the two permanganate impingers and the impinger preceding the
permanganate impingers. If necessary to ensure leak-free sampling train
connections and prevent contamination Teflon tape or other
non-contaminating material should be used instead of silicone grease.
Precaution: Extreme care should be taken to prevent contamination
within the train. Prevent the mercury collection reagent (acidic
potassium permanganate) from contacting any glassware of the train which
is washed and analyzed for Mn. Prevent hydrogen peroxide from mixing
with the acidic potassium permanganate.
Mercury emissions can be measured, alternatively, in a separate train
which measures only mercury emissions by using EPA method 101A with the
modifications described below (and with the further modification that
the permanganate containers shall be processed as described in the
precaution in section 3.1.4.2.2 and the note in section 3.1.5.2.5 of
this methodology). This alternative method is applicable for
measurement of mercury emissions, and it may be of special interest to
sources which must measure both mercury and manganese emissions.
Section 7.2.1 of method 101A shall be modified as follows after the
250 to 400-ml KMnO4 rinse:
To remove any precipitated material and any residual brown deposits
on the glassware following the permanganate rinse, rinse with
approximately 100 ml of deionized distilled water, and add this water
rinse carefully assuring transfer of all loose precipitated materials
from the three permanganate impingers into the permanganate Container
No. 1. If no visible deposits remain after this water rinse, do not
rinse with 8 N HCl. However, if deposits do remain on the glassware
after this water rinse, wash the impinger surfaces with 25 ml of 8 N
HCl, and place the wash in a separate sample container labeled Container
No. 1.A. containing 200 ml of water as follows. Place 200 ml of water
in a sample container labeled Container No. 1.A. Wash the impinger
walls and stem with the HCl by turning the impinger on its side and
rotating it so that the HCl contacts all inside surfaces. Use a total
of only 25 ml of 8 N HCl for rinsing all permanganate impingers
combined. Rinse the first impinger, then pour the actual rinse used for
the first impinger into the second impinger for its rinse, etc.
Finally, pour the 25 ml of 8 N HCl rinse carefully with stirring into
Container No. 1.A. Analyze the HCl rinse separately by carefully
diluting with stirring the contents of Container No. 1.A. to 500 ml
with deionized distilled water. Filter (if necessary) through Whatman
40 filter paper, and then analyze for mercury according to section 7.4,
except limit the aliquot size to a maximum of 10 ml. Prepare and
analyze a water diluted blank 8 N HCl sample by using the same procedure
as that used by Container No. 1.A., except add 5 ml of 8 N HCl with
stirring to 40 ml of water, and then dilute to 100 ml with water. Then
analyze as instructed for the sample from Container No. 1.A. Because
the previous separate permanganate solution rinse (section 7.2.1) and
water rinse (as modified in these guidelines) have the capability to
recover a very high percentage of the mercury from the permanganate
impingers, the amount of mercury in the HCl rinse in Container No. 1.A.
may be very small, possibly even insignificantly small. However, add
the total of any mercury analyzed and calculated for the HCl rinse
sample Container No. 1.A. to that calculated from the mercury sample
from section 7.3.2 which contains the separate permanganate rinse (and
water rinse as modified herein) for calculation of the total sample
mercury concentration.
3.1.5.1.4 Leak-Check Procedures. Follow the leak-check procedures
given in method 5, section 4.1.4.1 (Pretest Leak-Check), section 4.1.4.2
(Leak-Checks During the Sample Run), and section 4.1.4.3 (Post-Test
Leak-Checks).
3.1.5.1.5 Sampling Train Operation. Follow the procedures given in
method 5, section 4.1.5. For each run, record the data required on a
data sheet such as the one shown in Figure 5-2 of method 5.
3.1.5.1.6 Calculation of Percent Isokinetic. Same as method 5,
section 4.1.6.
3.1.5.2 Sample Recovery. Begin cleanup procedures as soon as the
probe is removed from the stack at the end of a sampling period.
The probe should be allowed to cool prior to sample recovery. When
it can be safely handled, wipe off all external particulate matter near
the tip of the probe nozzle and place a rinsed, non-contaminating cap
over the probe nozzle to prevent losing or gaining particulate matter.
Do not cap the probe tip tightly while the sampling train is cooling.
This normally causes a vacuum to form in the filter holder, thus causing
the undesired result of drawing liquid from the impingers into the
filter.
Before moving the sampling train to the cleanup site, remove the
probe from the sampling train and cap the open outlet. Be careful not
to lose any condensate that might be present. Cap the filter inlet
where the probe was fastened. Remove the umbilical cord from the last
impinger and cap the impinger. Cap off the filter holder outlet and
impinger inlet. Use noncontaminating caps, whether ground-glass
stoppers, plastic caps, serum caps, or Teflon tape to close these
openings.
Alternatively, the train can be disassembled before the probe and
filter holder/oven are completely cooled, if this procedure is followed:
Initially disconnect the filter holder outlet/impinger inlet and
loosely cap the open ends. Then disconnect the probe from the filter
holder or cyclone inlet and loosely cap the open ends. Cap the probe
tip and remove the umbilical cord as previously described.
Transfer the probe and filter-impinger assembly to a cleanup area
that is clean and protected from the wind and other potential causes of
contamination or loss of sample. Inspect the train before and during
disassembly and note any abnormal conditions. The sample is recovered
and treated as follows (see schematic in Figure 3.1-2). Ensure that all
items necessary for recovery of the sample do not contaminate it.
3.1.5.2.1 Container No. 1 (Filter). Carefully remove the filter
from the filter holder and place it in its identified petri dish
container. Acid-washed polypropylene or Teflon coated tweezers or
clean, disposable surgical gloves rinsed with water and dried should be
used to handle the filters. If it is necessary to fold the filter, make
certain the particulate cake is inside the fold. Carefully transfer the
filter and any particulate matter or filter fibers that adhere to the
filter holder gasket to the petri dish by using a dry (acid-cleaned)
nylon bristle brush. Do not use any metalcontaining materials when
recovering this train. Seal the labeled petri dish.
Insert Illustration 81
3.1.5.2.2 Container No. 2 (Acetone Rinse).
Note: Perform section 3.1.5.2.2 only if determination of particulate
emissions are desired in addition to metals emissions. If only metals
emissions are desired, skip section 3.1.5.2.2 and go to section
3.1.5.2.3. Taking care to see that dust on the outside of the probe or
other exterior surfaces does not get into the sample, quantitatively
recover particulate matter and any condensate from the probe nozzle,
probe fitting (plastic such as Teflon, polypropylene, etc. fittings are
recommended to prevent contamination by metal fittings; further, if
desired, a single glass piece consisting of a combined probe tip and
probe liner may be used, but such a single glass piece is not a
requirement of this methodology), probe liner, and front half of the
filter holder by washing these components with 100 ml of acetone and
placing the wash in a glass container.
Note: The use of exactly 100 ml is necessary for the subsequent
blank correction procedures. Distilled water may be used instead of
acetone when approved by the Administrator and shall be used when
specified by the Administrator; in these cases, save a water blank and
follow the Administrator's directions on analysis. Perform the acetone
rinses as follows: Carefully remove the probe nozzle and clean the
inside surface by rinsing with acetone from a wash bottle and brushing
with a nonmetallic brush. Brush until the acetone rinse shows no
visible particles, after which make a final rinse of the inside surface
with acetone.
Brush and rinse the sample-exposed, inside parts of the fitting with
acetone in a similar way until no visible particles remain.
Rinse the probe liner with acetone by tilting and rotating the probe
while squirting acetone into its upper end so that all inside surfaces
will be wetted with acetone. Allow the acetone to drain from the lower
end into the sample container. A funnel may be used to aid in
transferring liquid washings to the container. Follow the acetone rinse
with a nonmetallic probe brush. Hold the probe in an inclined position,
squirt acetone into the upper end as the probe brush is being pushed
with a twisting action through the probe; hold a sample container
underneath the lower end of the probe, and catch any acetone and
particulate matter which is brushed through the probe three times or
more until none remains in the probe liner on visual inspection. Rinse
the brush with acetone, and quantitatively collect these washings in the
sample container. After the brushing, make a final acetone rinse of the
probe as described above.
It is recommended that two people clean the probe to minimize sample
losses. Between sampling runs, keep brushes clean and protected from
contamination.
Clean the inside of the front half of the filter holder by rubbing
the surfaces with a nonmetallic nylon bristle brush and rinsing with
acetone. Rinse each surface three times or more if needed to remove
visible particulate. Make a final rinse of the brush and filter holder.
After all acetone washings and particulate matter have been collected
in the sample container tighten the lid on the sample container so that
acetone will not leak out when it is shipped to the laboratory. Mark
the height of the fluid level to determine whether or not leakage
occurred during transport. Label the container clearly to identify its
contents.
3.1.5.2.3 Container No. 3 (Probe Rinse). Keep the probe assembly
clean and free from contamination as described in section 3.1.5.2.2 of
this method during the 0.1 N nitric acid rinse described below. Rinse
the probe nozzle and fitting probe liner, and front half of the filter
holder thoroughly with 100 ml of 0.1 N nitric acid and place the wash
into a sample storage container.
Note: The use of exactly 100 ml is necessary for the subsequent
blank correction procedures. Perform the rinses as applicable and
generally as described in method 12, section 5.2.2. Record the volume of
the combined rinse. Mark the height of the fluid level on the outside
of the storage container and use this mark to determine if leakage
occurs during transport. Seal the container and clearly label the
contents. Finally, rinse the nozzle, probe liner, and front half of the
filter holder with water followed by acetone and discard these rinses.
3.1.5.2.4 Container No. 4 (Impingers 1 through 3, HNO3/H2O2
Impingers and Moisture Knockout Impinger, when used, Contents and
Rinses). Due to the potentially large quantity of liquid involved, the
tester may place the impinger solutions from impingers 1 through 3 in
more than one container. Measure the liquid in the first three
impingers volumetrically to within 0.5 ml using a graduated cylinder.
Record the volume of liquid present. This information is required to
calculate the moisture content of the sampled flue gas. Clean each of
the first three impingers, the filter support, the back half of the
filter housing, and connecting glassware by thoroughly rinsing with 100
ml of 0.1 N nitric acid using the procedure as applicable and generally
as described in method 12, section 5.2.4.
Note: The use of exactly 100 ml of 0.1 N nitric acid rinse is
necessary for the subsequent blank correction procedures. Combine the
rinses and impinger solutions, measure and record the volume. Mark the
height of the fluid level on the outside of the container to determine
if leakage occurs during transport. Seal the container and clearly
label the contents.
3.1.5.2.5 Container Nos. 5A, 5B, and 5C. 5A (0.1 N HNO3), 5B
(KMnO4/H2SO4 absorbing solution), and 5C (8 N HCl rinse and dilution).
(As described previously at the end of section 3.1.3.1.5 of this method,
if mercury is not being measured in this train, then impingers 4, 5, and
6, as shown in Figure 3.1-2, are not necessary and may be eliminated.)
Pour all the liquid, if any, from the impinger which was empty at the
start of the run and which immediately precedes the two permanganate
impingers (normally impinger No. 4) into a graduated cylinder and
measure the volume to within 0.5 ml. This information is required to
calculate the moisture content of the sampled flue gas. Place the
liquid in Sample Container No. 5A. Rinse the impinger (No. 4) with 100
ml of 0.1 N HNO3 and place this into Container No. 5A.
Pour all the liquid from the two permanganate impingers into a
graduated cylinder and measure the volume to within 0.5 ml. This
information is required to calculate the moisture content of the sampled
flue gas. Place this KMnO4 absorbing solution stack sample from the two
permanganate impingers into Container No. 5B. Using 100 ml total of
fresh acidified potassium permanganate solution, rinse the two
permanganate impingers and connecting glass pieces a minimum of three
times and place the rinses into Container No. 5B, carefully ensuring
transfer of all loose precipitated materials from the two impingers into
Container No. 5B. Using 100 ml total of water, rinse the permanganate
impingers and connecting glass pieces a minimum of three times, and
place the rinses into Container 5B, carefully ensuring transfer of all
loose precipitated material, if any, from the two impingers into
Container No. 5B. Mark the height of the fluid level on the outside of
the bottle to determine if leakage occurs during transport. See the
following note and the precaution in paragraph 3.1.4.2.2 and properly
prepare the bottle and clearly label the contents.
Note: Due to the potential reaction of the potassium permanganate
with the acid, there may be pressure buildup in the sample storage
bottles. These bottles shall not be completely filled and shall be
vented to relieve potential excess pressure. Venting is required. A
No. 70-72 hole drilled in the container cap and Teflon liner has been
used.
If no visible deposits remain after the above described water rinse,
do not rinse with 8 N HCl. However, if deposits do remain on the
glassware after this water rinse, wash the impinger surfaces with 25 ml
of 8 N HCl, and place the wash in a separate sample container labeled
Container No. 5C containing 200 ml of water as follows: Place 200 ml
of water in a sample container labeled Container No. 5C. Wash the
impinger walls and stem with the HCl by turning the impinger on its side
and rotating it so that the HCl contacts all inside surfaces. Use a
total of only 25 ml of 8 N HCl for rinsing both permananate impingers
combined. Rinse the first impinger, then pour the actual rinse used for
the first impinger into the second impinger for its rinse. Finally,
pour the 25 ml of 8 N HCl rinse carefully with stirring into Container
No. 5C. Mark the height of the fluid level on the outside of the bottle
to determine if leakage occurs during transport.
3.1.5.2.6 Container No. 6 (Silica Gel). Note the color of the
indicating silica gel to determine whether it has been completely spent
and make a notation of its condition. Transfer the silica gel from its
impinger to its original container and seal. The tester may use a
funnel to pour the silica gel and a rubber policeman to remove the
silica gel from the impinger.
The small amount of particles that may adhere to the impinger wall
need not be removed. Do not use water or other liquids to transfer the
silica gel since weight gained in the silica gel impinger is used for
moisture calculations. Alternatively, if a balance is available in the
field, record the weight of the spent silica gel (or silica gel plus
impinger) to the nearest 0.5 g.
3.1.5.2.7 Container No. 7 (Acetone Blank). If particulate emissions
are to be determined, at least once during each field test, place a
100-ml portion of the acetone used in the sample recovery process into a
labeled container for use in the front-half field reagent blank. Seal
the container.
3.1.5.2.8 Container No. 8A (0.1 N Nitric Acid Blank). At least once
during each field test, place 300 ml of the 0.1 N nitric acid solution
used in the sample recovery process into a labeled container for use in
the front-half and back-half field reagent blanks. Seal the container.
Container No. 8B (water blank). At least once during each field test,
place 100 ml of the water used in the sample recovery process into a
labeled Container No. 8B. Seal the container.
3.1.5.2.9 Container No. 9 (5% Nitric Acid/10% Hydrogen Peroxide
Blank). At least once during each field test, place 200 ml of the 5%
nitric acid/10% hydrogen peroxide solution used as the nitric acid
impinger reagent into a labeled container for use in the back-half field
reagent blank. Seal the container.
3.1.5.2.10 Container No. 10 (Acidified Potassium Permanganate
Blank). At least once during each field test, place 100 ml of the
acidified potassium permanganate solution used as the impinger solution
and in the sample recovery process into a labeled container for use in
the back-half field reagent blank for mercury analysis. Prepare the
container as described in section 3.1.5.2.5.
Note: Due to the potential reaction of the potassium permanganate
with the acid, there may be pressure buildup in the sample storage
bottles. These bottles shall not be completely filled and shall be
vented to relieve potential excess pressure. Venting is required. A
No. 70-72 hole drilled in the container cap and Teflon liner has been
used.
3.1.5.2.11 Container No. 11 (8 N HCl Blank). At least once during
each field test, perform both of the following: Place 200 ml of water
into a sample container. Pour 25 ml of 8N HCl carefully with stirring
into the 200 ml of water in the container. Mix well and seal the
container.
3.1.5.2.12 Container No. 12 (Filter Blank). Once during each field
test, place three unused blank filters from the same lot as the sampling
filters in a labeled petri dish. Seal the petri dish. These will be
used in the front-half field reagent blank.
3.1.5.3 Sample Preparation. Note the level of the liquid in each of
the containers and determine if any sample was lost during shipment. If
a noticeable amount of leakage has occurred, either void the sample or
use methods, subject to the approval of the Administrator, to correct
the final results. A diagram illustrating sample preparation and
analysis procedures for each of the sample train components is shown in
Figure 3.1-3.
3.1.5.3.1 Container No. 1 (Filter). If particulate emissions are
being determined, then desiccate the filter and filter catch without
added heat and weigh to a constant weight as described in section 4.3 of
method 5. For analysis of metals, divide the filter with its filter
catch into portions containing approximately 0.5 g each and place into
the analyst's choice of either individual microwave pressure relief
vessels or Parr# Bombs. Add 6 ml of concentrated nitric acid and 4 ml
of concentrated hydrofluoric acid to each vessel. For microwave
heating, microwave the sample vessels for approximately 12-15 minutes in
intervals of 1 to 2 minutes at 600 Watts. For conventional heating,
heat the Parr Bombs at 140 C (285 F) for 6 hours. Cool the samples to
room temperature and combine with the acid digested probe rinse as
required in section 3.1.5.3.3, below.
Insert Illustration 88
Notes: 1. Suggested microwave heating times are approximate and are
dependent upon the number of samples being digested. Twelve to 15
minute heating times have been found to be acceptable for simultaneous
digestion of up to 12 individual samples. Sufficient heating is
evidenced by sorbent reflux within the vessel.
2. If the sampling train uses an optional cyclone, the cyclone catch
should be prepared and digested using the same procedures described for
the filters and combined with the digested filter samples.
3.1.5.3.2 Container No. 2 (Acetone Rinse). Note the level of liquid
in the container and confirm on the analysis sheet whether leakage
occurred during transport. If a noticeable amount of leakage has
occurred, either void the sample or use methods, subject to the approval
of the Administrator, to correct the final results. Measure the liquid
in this container either volumetrically to 1 ml or gravimetrically to
0.5 g. Transfer the contents to an acid-cleaned, tared 250-ml beaker
and evaporate to dryness at ambient temperature and pressure. If
particulate emissions are being determined, desiccate for 24 hours
without added heat, weigh to a constant weight according to the
procedures described in section 4.3 of method 5, and report the results
to the nearest 0.1 mg. Redissolve the residue with 10 ml of concentrated
nitric acid and, carefully with stirring, quantitatively combine the
resultant sample including all liquid and any particulate matter with
Container No. 3 prior to beginning the following section 3.1.5.3.3.
3.1.5.3.3 Container No. 3 (Probe Rinse). The pH of this sample
shall be 2 or lower. If the pH is higher, the sample should be
acidified to pH 2 by the careful addition with stirring of concentrated
nitric acid. The sample should be rinsed into a beaker with water and
the beaker should be covered with a ribbed watchglass. The sample
volume should be reduced to approximately 20 ml by heating on a hot
plate at a temperature just below boiling. Digest the sample in
microwave vessels or Parr Bombs by quantitatively transferring the
sample to the vessel or bomb, by carefully adding the 6 ml of
concentrated nitric acid and 4 ml of concentrated hydrofluoric acid and
then continuing to follow the procedures described in section 3.1.5.3.1;
then combine the resultant sample directly with the acid digested
portions of the filter prepared previously in section 3.1.5.3.1. The
resultant combined sample is referred to as Fraction 1 precursor.
Filter the combined solution of the acid digested filter and probe rinse
samples using Whatman 541 filter paper. Dilute to 300 ml (or the
appropriate volume for the expected metals concentration) with water.
This dilution is Fraction 1. Measure and record the volume of the
Fraction 1 solution to within 0.1 ml. Quantitatively remove a 50-ml
aliquot and label as Fraction 1B. Label the remaining 250-ml portion as
Fraction 1A. Fraction 1A is used for ICAP or AAS analysis. Fraction 1B
is used for the determination of front-half mercury.
3.1.5.3.4 Container No. 4 (Impingers 1-3). Measure and record the
total volume of this sample (Fraction 2) to within 0.5 ml. Remove a 75-
to 100-ml aliquot for mercury analysis and label as Fraction 2B. Label
the remaining portion of Container No. 4 as aliquot Fraction 2A.
Aliquot Fraction 2A defines the volume of 2A prior to digestion. All of
the aliquot Fraction 2A is digested to produce concentrated Fraction 2A.
Concentrated Fraction 2A defines the volume of 2A after digestion which
is normally 150 ml. Only concentrated Fraction 2A is analyzed for
metals (except that it is not analyzed for mercury). The Fraction 2B
aliquot should be prepared and analyzed for mercury as described in
section 3.1.5.4.3. Aliquot Fraction 2A shall be pH 2 or lower. If
necessary, use concentrated nitric acid, by careful addition and
stirring, to lower aliquot Fraction 2A to pH 2. The sample should be
rinsed into a beaker with water and the beaker should be covered with a
ribbed watchglass. The sample volume should be reduced to approximately
20 ml by heating on a hot plate at a temperature just below boiling.
Next follow either the conventional or microwave digestion procedures
described in sections 3.1.5.3.4.1 and 3.1.5.3.4.2, below.
3.1.5.3.4.1 Conventional Digestion Procedure. Add 30 ml of 50
percent nitric acid and heat for 30 minutes on a hot plate to just below
boiling. Add 10 ml of 3 percent hydrogen peroxide and heat for 20 more
minutes. Add 50 ml of hot water and heat the sample for an additional
20 minutes. Cool, filter the sample, and dilute to 150 ml (or the
appropriate volume for the expected metals concentrations) with water.
This dilution is concentrated Fraction 2A. Measure and record the
volume of the Fraction 2A solution to within 0.1 ml.
3.1.5.3.4.2 Microwave Digestion Procedure. Add 10 ml of 50 percent
nitric acid and heat for 6 minutes in intervals of 1 to 2 minutes at 600
Watts. Allow the sample to cool. Add 10 ml of 3 percent hydrogen
peroxide and heat for 2 more minutes. Add 50 ml of hot water and heat
for an additional 5 minutes. Cool, filter the sample, and dilute to 150
ml (or the appropriate volume for the expected metals concentrations)
with water. This dilution is concentrated Fraction 2A. Measure and
record the volume of the Fraction 2A solution to within 0.1 ml.
Note: All microwave heating times given are approximate and are
dependent upon the number of samples being digested at a time. Heating
times as given above have been found acceptable for simultaneous
digestion of up to 12 individual samples. Sufficient heating is
evidenced by solvent reflux within the vessel.
3.1.5.3.5 Container Nos. 5A, 5B, and 5C (Impingers 4, 5, and 6).
Keep these samples separate from each other and measure and record the
volumes of 5A and 5B separately to within 0.5 ml. Dilute sample 5C to
500 ml with water. These samples 5A, 5B, and 5C are referred to
respectively as Fractions 3A, 3B, and 3C. Follow the analysis
procedures described in section 3.1.5.4.3.
Because the permanganate rinse and water rinse have the capability to
recover a high percentage of the mercury from the permanganate
impingers, the amount of mercury in the HCl rinse (Fraction 3C) may be
very small, possibly even insignificantly small. However, as instructed
in this method, add the total of any mercury measured in and calculated
for the HCl rinse (Fraction 3C) to that for Fractions 1B, 2B, 3A, and 3B
for calculation of the total sample mercury concentration.
3.1.5.3.6 Container No. 6 (Silica Gel). Weigh the spent silica gel
(or silica gel plus impinger) to the nearest 0.5 g using a balance.
(This step may be conducted in the field.)
3.1.5.4 Sample Analysis. For each sampling train, seven individual
samples are generated for analysis. A schematic identifying each sample
and the prescribed sample preparation and analysis scheme is shown in
Figure 3.1-3. The first two samples, labeled Fractions 1A and 1B,
consist of the digested samples from the front half of the train.
Fraction 1A is for ICAP or AAS analysis as described in sections
3.1.5.4.1 and/or 3.1.5.4.2. Fraction 1B is for determination of
front-half mercury as described in section 3.1.5.4.3.
The back half of the train was used to prepare the third through
seventh samples. The third and fourth samples, labeled Fractions 2A and
2B, contain the digested samples from the moisture knockout, if used,
and HNO3/H2O2 Impingers 1 through 3. Fraction 2A is for ICAP or AAS
analysis. Fraction 2B will be analyzed for mercury.
The fifth through seventh samples, labeled Fractions 3A, 3B, and 3C,
consist of the impinger contents and rinses from the empty and
permanganate impingers 4, 5, and 6. These samples are analyzed for
mercury as described in section 3.1.5.4.3. The total back-half mercury
catch is determined from the sum of Fraction 2B and Fractions 3A, 3B,
and 3C.
3.1.5.4.1 ICAP Analysis. Fraction 1A and Fraction 2A are analyzed by
ICAP using EPA SW-846 method 6010 or method 200.7 (40 CFR 136, appendix
C). Calibrate the ICAP, and set up an analysis program as described in
method 6010 or method 200.7. The quality control procedures described in
section 3.1.7.3.1 of this method shall be followed. Recommended
wavelengths for use in the analysis are listed below:
The wavelengths listed are recommended because of their sensitivity
and overall acceptance. Other wavelengths may be substituted if they
can provide the needed sensitivity and are treated with the same
corrective techniques for spectral interference.
Initially, analyze all samples for the desired target metals (except
mercury) plus iron and aluminum. If iron and aluminum are present in
the sample, the sample may have to be diluted so that each of these
elements is at a concentration of less than 50 ppm to reduce their
spectral interferences on arsenic, cadmium, chromium, and lead.
Note. When analyzing samples in a hydrofluoric acid matrix, an
alumina torch should be used; since all front-half samples will contain
hydrofluoric acid, use an alumina torch.
3.1.5.4.2 AAS by Direct Aspiration and/or Graphite Furnace. If
analysis of metals in Fraction 1A and Fraction 2A using graphite furnace
or direct aspiration AAS is desired, Table 3.1-2 should be used to
determine which techniques and methods should be applied for each target
metal. Table 3.1-2 should also be consulted to determine possible
interferences and techniques to be followed for their minimization.
Calibrate the instrument according to section 3.1.6.3 and follow the
quality control procedures specified in section 3.1.7.3.2.
3.1.5.4.3 Cold Vapor AAS Mercury Analysis. Fraction 1B, Fraction 2B,
and Fractions 3A, 3B, and 3C should be analyzed separately for mercury
using cold vapor atomic absorption spectroscopy following the method
outlined in EPA SW-846 method 7470 or in Standard Methods for Water and
Wastewater Analysis, 15th Edition, Method 303F. Set up the calibration
curve (zero to 1000 ng) as described in SW-846 method 7470 or similar to
method 303F, using 300-ml BOD bottles instead of Erlenmeyers. Dilute
separately, as described below, a 1 ml to 10 ml aliquot of each original
sample to 100 ml with water. Record the amount of the aliquot used for
dilution to 100 ml. If no prior knowledge exists of the expected amount
of mercury in the sample, a 5-ml aliquot is suggested for the first
dilution to 100 ml and analysis. To determine the stack emission value
for mercury, the amount of the aliquot of the sample used for dilution
and analysis is dependent on the amount of mercury in the aliquot: The
total amount of mercury in the aliquot used for analysis shall be less
than 1 g, and within the range (zero to 1000 ng) of the calibration
curve. Place each sample aliquot into a separate 300-ml BOD bottle and
add enough Type II water to make a total volume of 100 ml. Then analyze
the 100 ml for mercury by adding to it sequentially the sample
preparation solutions and performing the sample preparation and analysis
as described in the procedures of SW-846 method 7470 or method 303F.
If, during the described analysis, the reading maximum(s) are off-scale
(because the aliquot of the original sample analyzed contained more
mercury than the maximum of the calibration range) including the
analysis of the 100-ml dilution of the 1-ml aliquot of the original
sample causing a reading maximum which is off-scale, then perform the
following: Dilute the original sample (or a portion of it) with 0.15%
HNO3 in water (1.5 ml concentrated HNO3 per liter aqueous solution) so
that when a 1-ml to 10-ml aliquot of the dilution of the original sample
is then further diluted to 100 ml in the BOD bottle, and analyzed by the
procedures described above, it will yield an analysis within the range
of the calibration curve.
Maintain a laboratory log of all calibrations.
3.1.6.1 Sampling Train Calibration. Calibrate the sampling train
components according to the indicated sections of method 5: Probe
Nozzle (section 5.1); Pitot Tube (section 5.2); Metering System
(section 5.3); Probe Heater (section 5.4); Temperature Gauges (section
5.5); Leak-Check of the Metering System (section 5.6); and Barometer
(section 5.7).
3.1.6.2 Inductively Coupled Argon Plasma Spectrometer Calibration.
Prepare standards as outlined in section 3.1.4.4. Profile and calibrate
the instrument according to the instrument manufacturer's recommended
procedures using the above standards. The instrument calibration should
be checked once per hour. If the instrument does not reproduce the
concentrations of the standard within 10 percent, the complete
calibration procedures should be performed.
3.1.6.3 Atomic Absorption Spectrometer -- Direct Aspiration, Graphite
Furnace and Cold Vapor Mercury Analyses. Prepare the standards as
outlined in section 3.1.4.4. Calibrate the spectrometer using these
prepared standards. Calibration procedures are also outlined in the EPA
methods referred to in Table 3.1-2 and in SW-846 Method 7470 or Standard
Methods for Water and Wastewater, 15th Edition, method 303F (for
mercury). Each standard curve should be run in duplicate and the mean
values used to calculate the calibration line. The instrument should be
recalibrated approximately once every 10 to 12 samples.
3.1.7.1 Sampling. Field Reagent Blanks. When analyzed, the blank
samples in Container Numbers 7 through 12 produced previously in
sections 3.1.5.2.7 through 3.1.5.2.12, respectively, shall be processed,
digested, and analyzed as follows: Digest and process one of the
filters from Container No. 12 per section 3.1.5.3.1, 100 ml from
Container No. 7 per section 3.1.5.3.2, and 100 ml from Container No.
8A per section 3.1.5.3.3. This produces Fraction Blank 1A and Fraction
Blank 1B from Fraction Blank 1. (If desired, the other two filters may
be digested separately according to section 3.1.5.3.1, diluted
separately to 300 ml each, and analyzed separately to produce a blank
value for each of the two additional filters. If these analyses are
performed, they will produce two additional values for each of Fraction
Blank 1A and Fraction Blank 1B. The three Fraction Blank 1A values will
be calculated as three values of Mfhb in Equation 3 of section
3.1.8.4.3, and then the three values shall be totalled and divided by 3
to become the value Mfhb to be used in the computation of Mt by Equation
3. Similarly, the three Fraction Blank 1B values will be calculated
separately as three values, totalled, averaged, and used as the value
for Hgfhb in Equation 8 of section 3.1.8.5.3. The analyses of the two
extra filters are optional and are not a requirement of this method, but
if the analyses are performed, the results must be considered as
described above.) Combine 100 ml of Container No. 8A with 200 ml of the
contents of Container No. 9 and digest and process the resultant volume
per section 3.1.5.3.4. This produces concentrated Fraction Blank 2A and
Fraction Blank 2B from Fraction Blank 2. A 100-ml portion of Container
No. 8A is Fraction Blank 3A. Combine 100 ml of the contents of
Container No. 10 with 33 ml of the contents of Container No. 8B. This
produces Fraction Blank 3B (use 400 ml as the volume of Fraction Blank
3B when calculating the blank value. Use the actual volumes when
calculating all the other blank values). Dilute 225 ml of the contents
of Container No. 11 to 500 ml with water. This produces Fraction Blank
3C. Analyze Fraction Blank 1A and Fraction Blank 2A per section
3.1.5.4.1 and/or 3.1.5.4.2. Analyze Fraction Blank 1B, Fraction Blank
2B, and Fraction Blanks 3A, 3B, and 3C per section 3.1.5.4.3. The
analysis of Fraction Blank 1A produces the front-half reagent blank
correction values for the metals except mercury; the analysis of
Fraction Blank 1B produces the front-half reagent blank correction value
for mercury. The analysis of concentrated Fraction Blank 2A produces
the back-half reagent blank correction values for the metals except
mercury, while separate analysis of Fraction Blanks 2B, 3A, 3B, and 3C
produce the back-half reagent blank correction value for mercury.
3.1.7.2 An attempt may be made to determine if the laboratory
reagents used in section 3.1.5.3 caused contamination. They should be
analyzed by the procedures in section 3.1.5.4. The Administrator will
determine whether the laboratory blank reagent values can be used in the
calculation of the stationary source test results.
3.1.7.3 Quality Control Samples. The following quality control
samples should be analyzed.
3.1.7.3.1 ICAP Analysis. Follow the quality control shown in section
8 of method 6010. For the purposes of a three-run test series, these
requirements have been modified to include the following: Two
instrument check standard runs, two calibration blank runs, one
interference check sample at the beginning of the analysis (must be
within 25% or analyze by the method of standard additions), one quality
control sample to check the accuracy of the calibration standards (must
be within 25% of calibration), and one duplicate analysis (must be
within 10% of average or repeat all analyses).
3.1.7.3.2 Direct Aspiration and/or Graphite Furnace AAS Analysis for
antimony, arsenic, barium, beryllium, cadmium, copper, chromium, lead,
nickel, manganese, mercury, phosphorus, selenium, silver, thallium, and
zinc. All samples should be analyzed in duplicate. Perform a matrix
spike on at least one front-half sample and one back-half sample or one
combined sample. If recoveries of less than 75 percent or greater than
125 percent are obtained for the matrix spike, analyze each sample by
the method of standard additions. A quality control sample should be
analyzed to check the accuracy of the calibration standards. The
results must be within 10% or the calibration repeated.
3.1.7.3.3 Cold Vapor AAS Analysis for Mercury. All samples should be
analyzed in duplicate. A quality control sample should be analyzed to
check the accuracy of the calibration standards (within 15% or repeat
calibration). Perform a matrix spike on one sample from the nitric
impinger portion (must be within 25% or samples must be analyzed by the
method of standard additions). Additional information on quality
control can be obtained from EPA SW-846 method 7470 or in Standard
Methods for the Examination of Water and Wastewater, 15th Edition,
method 303F.
3.1.8.1 Dry Gas Volume. Using the data from this test, calculate
Vm(std), the dry gas sample volume at standard conditions as outlined in
Section 6.3 of Method 5.
3.1.8.2 Volume of Water Vapor and Moisture Content. Using the data
obtained from this test, calculate the volume of water vapor Vw(std) and
the moisture content Bws of the stack gas. Use Equations 5-2 and 5-3 of
Method 5.
3.1.8.3 Stack Gas Velocity. Using the data from this test and
Equation 2-9 of Method 2, calculate the average stack gas velocity.
3.1.8.4 Metals (Except Mercury) in Source Sample.
3.1.8.4.1 Fraction 1A, Front Half, Metals (except Hg). Calculate
separately the amount of each metal collected in Fraction 1 of the
sampling train using the following equation:
Mfh=Ca1 Fd Vsoln,1 Eq. 1*
where:
Mfh=total mass of each metal (except Hg) collected in the front half
of the sampling train (Fraction 1), g.
Ca1=concentration of metal in sample Fraction 1A as read from the
standard curve ( g/ml).
Fd=dilution factor (Fd=the inverse of the fractional portion of the
concentrated sample in the solution actually used in the instrument to
produce the reading Ca1. For example, when 2 ml of Fraction 1A are
diluted to 10 ml, Fd=5).
Vsoln,1=total volume of digested sample solution (Fraction 1), ml.
3.1.8.4.2 Fraction 2A, Back Half, Metals (except Hg). Calculate
separately the amount of each metal collected in Fraction 2 of the
sampling train using the following equation:
Mbh=Ca2FaVa Eq. 2*
where:
Mbh=total mass of each metal (except Hg) collected in the back half
of the sampling train (Fraction 2), g.
Ca2=concentration of metal in sample concentrated Fraction 2A, as
read from the standard curve ( g/ml).
Fa=aliquot factor, volume of Fraction 2 divided by volume of aliquot
Fraction 2A (see section 3.1.5.3.4).
Va=total volume of digested sample solution (concentrated Fraction
2A), ml (see section 3.1.5.3.4.1 or 3.1.5.3.4.2, as applicable).
3.1.8.4.3 Total Train, Metals (except Hg). Calculate the total
amount of each of the quantified metals collected in the sampling train
as follows:
Mt=(Mfh^Mfhb)+(Mbh^Mbhb) Eq. 3*
where:
Mt=total mass of each metal (separately stated for each metal)
collected in the sampling train, g.
Mfhb=blank correction value for mass of metal detected in front-half
field reagent blank, g.
Mbhb=blank correction value for mass of metal detected in back-half
field reagent blank, g.
Note: If the measured blank value for the front half (mfhb) is in
the range 0.0 to A g (where A g equals the value determined by
multiplying 1.4 g per square inch (1.4 g/in /2/ ) times the actual
area in square inches (in /2/ ) of the filter used in the emission
sample) mfhb may be used to correct the emission sample value (mfh); if
mfhb exceeds A g, the greater of the two following values (either I. or
II.) may be used:
I. A g, or
II. the lesser of (a) mfhb, or (b) 5 percent of mfh.
If the measured blank value for the back half (mbhb) is in the range
of 0.0 to 1 g, mbhb may be used to correct the emission sample value
(mbh); if mbhb exceeds 1 g, the greater of the two following values
may be used: 1 g or 5 percent of mbh.
3.1.8.5 Mercury in Source Sample.
3.1.8.5.1 Fraction 1B, Front Half, Hg. Calculate the amount of
mercury collected in the front half, Fraction 1, of the sampling train
using the following equation:
where:
Hgfh=total mass of mercury collected in the front half of the
sampling train (Fraction 1), g.
Qfh=quantity of mercury in analyzed sample, g.
Vsoln,1=total volume of digested sample solution (Fraction 1), ml.
Vf1B=volume of Fraction 1B analyzed, ml. See the following notice.
Note: Vf1B is the actual amount of Fraction 1B analyzed. For
example, if 1 ml of Fraction lB were diluted to 100 ml to bring it into
the proper analytical range, and 1 ml of the 100-ml dilution were
analyzed, Vf1B would be 0.01 ml.
3.1.8.5.2 Fraction 2B and Fractions 3A, 3B, and 3C, Back Half, Hg.
Calculate the amount of mercury collected in Fractions 2 using Equation
5 and in Fractions 3A, 3B, and 3C using Equation 6. Calculate the total
amount of mercury collected in the back half of the sampling train using
Equation 7.
where:
Hgbh2=total mass of mercury collected in Fraction 2, g.
Qbh2=quantity of mercury in analyzed sample, g.
Vsoln,2=total volume of Fraction 2, ml.
Vf2B=volume of Fraction 2B analyzed, ml (see the following note).
Note: Vf2B is the actual amount of Fraction 2B analyzed. For
example, if 1 ml of Fraction 2B were diluted to 10 ml to bring it into
the proper analytical range, and 5 ml of the 10-ml dilution was
analyzed, Vf2B would be 0.5.
Use Equation 6 to calculate separately the back-half mercury for
Fractions 3A, then 3B, then 3C.
Eq. 6
where:
Hgbh3(A,B,C)=total mass of mercury collected separately in Fraction
3A, 3B, or 3C, g.
Qbh3(A,B,C)=quantity of mercury in separately analyzed samples, g.
Vf3(A,B,C)=volume of Fraction 3A, 3B, or 3C analyzed, ml (see Note in
sections 3.1.8.5.1 and 3.1.8.5.2, and calculate similarly).
Vsoln,3(A,B,C)=total volume of Fraction 3A, 3B, or 3C, ml.
Hgbh=Hgbh2+Hgbh3A+Hgbh3B+Hgbh3C Eq. 7
where:
Hgbh=total mass of mercury collected in the back half of the sampling
train, g.
3.1.8.5.3 Total Train Mercury Catch. Calculate the total amount of
mercury collected in the sampling train using Equation 8.
Hgt=(Hgfh^Hgfhb)+(Hgbh^Hgbhb) Eq. 8
where:
Hgt=total mass of mercury collected in the sampling train, g.
Hgfhb=blank correction value for mass of mercury detected in
front-half field reagent blank, g.
Hgfhb=blank correction value for mass of mercury detected in
back-half field reagent blanks, g.
Note: If the total of the measured blank values (Hgfhb+Hgbhb) is in
the range of 0 to 6 g, then the total may be used to correct the
emission sample value (Hgfh+Hgbh); if it exceeds 6 g, the greater of
the following two values may be used; 6 g or 5 percent of the emission
sample value (Hgfh+Hgbh).
3.1.8.6 Metal Concentration of Stack Gas. Calculate each metal
separately for the cadmium, total chromium, arsenic, nickel, manganese,
beryllium, copper, lead, phosphorus, thallium, silver, barium, zinc,
selenium, antimony, and mercury concentrations in the stack gas (dry
basis, adjusted to standard conditions) as follows:
Cs=K4(Mt/Vm(std)) Eq. 9
where:
Cs=concentration of each metal in the stack gas, mg/dscm.
K4=10-3mg/ g.
Mt=total mass of each metal collected in the sampling train, g;
(substitute Hgt for Mt for the mercury calculation).
Vm(std)=volume of gas sample as measured by the dry gas meter,
corrected to dry standard conditions, dscm.
3.1.8.7 Isokinetic Variation and Acceptable Results. Same as method
5, sections 6.11 and 6.12, respectively.
3.1.9.1 Method 303F in Standard Methods for the Examination of Water
and Wastewater, 15th Edition, 1980. Available from the American Public
Health Association. 1015 18th Street NW., Washington, DC 20036.
3.1.9.2 EPA Methods 6010, 7000, 7041, 7060, 7131, 7421. 7470, 7740.
and 7841. Test Methods for Evaluating Solid Waste: Physical/Chemical
Methods SW-846, Third Edition. September 1988. Office of Solid Waste
and Emergency Response, U.S. Environmental Protection Agency,
Washington, DC 20460.
3.1.9.3 EPA Method 200.7, Code of Federal Regulations, title 40, part
136, appendix C. July 1, 1987.
3.1.9.4 EPA Methods 1 through 5, and 12 Code of Federal Regulations,
title 40, part 60, appendix A, July 1, 1987.
3.2.1.1 Applicability. This method applies to the determination of
hexavalent chromium (Cr+6) emissions from hazardous waste incinerators.
municipal waste combustors, sewage sludge incinerators, and boilers and
industrial furnaces. With the approval of the Administrator, this
method may also be used to measure total chromium. The sampling train,
constructed of Teflon components, has only been evaluated at
temperatures less than 300 F. Trains constructed of other materials,
for testing at higher temperatures, are currently being evaluated.
3.2.1.2 Principle. For incinerators and combustors, the Cr+6
emissions are collected isokinetically from the source. To eliminate
the possibility of Cr+6 reduction between the nozzle and impinger, the
emission samples are collected with a recirculatory train where the
impinger reagent is continuously recirculated to the nozzle. Recovery
procedures include a post- sampling purge and filtration. The impinger
train samples are analyzed for Cr+6 by an ion chromatograph equipped
with a post-column reactor and a visible wavelength detector. The
IC/PCR separates the Cr+6 as chromate (CrO+6-) from other components in
the sample matrices that may interfere with the Cr+6-specific
diphenylcarbazide reaction that occurs in the post-column reactor. To
increase sensitivity for trace levels of chromium, a preconcentration
system is also used in conjunction with the IC/PCR.
3.2.2.1 Range. Employing a preconcentration procedure, the lower
limit of the detection range can be extended to 16 nanograms per dry
standard cubic meter (ng/dscm) with a 3 dscm gas sample (0.1 ppb in
solution). With sample dilution, there is no upper limit.
3.2.2.2 Sensitivity. A minimum detection limit of 8 ng/dscm with a 3
dscm gas sample can be achieved by preconcentration (0.05 ppb in
solution).
3.2.2.3 Precision. The precision of the IC/PCR with sample
preconcentration is 5 to 10 percent. The overall precision for sewage
sludge incinerators emitting 120 ng/dscm of Cr+6 and 3.5 g/dscm of
total chromium is 25% and 9% for Cr+6 and total chromium, respectively;
for hazardous waste incinerators emitting 300 ng/dscm of Cr+6 it is 20
percent.
3.2.2.4 Interference. Components in the sample matrix may cause Cr+6
to convert to trivalent chromium (Cr+3) or cause Cr+3 to convert to Cr+6
A post-sampling nitrogen purge and sample filtration are included to
eliminate many of these interferences. The chromatographic separation
of Cr+6 using ion chromatography reduces the potential for other metals
to interfere with the post-column reaction. For the IC/PCR analysis,
only compounds that coelute with Cr+6 and affect the diphenylcarbazide
reaction will cause interference. Periodic analysis of deionized (DI)
water blanks is used to demonstrate that the analytical system is
essentially free from contamination. Sample cross-contamination that
can occur when high-level and low-level samples or standards are
analyzed alternately is eliminated by thorough purging of the sample
loop. Purging can easily be achieved by increasing the injection volume
of the samples to ten times the size of the sample loop.
3.2.3.1 Sampling Train. Schematics of the recirculating sampling
trains employed in this method are shown in Figures 3.2-1 and 3.2-2.
The recirculatory train is readily assembled from commercially available
components. All portions of the train in contact with the sample are
either glass, quartz, Tygon, or Teflon, and are to be cleaned as per
subsection 3.2.5.1.1.
The metering system is identical to that specified by Method 5 (see
section 3.8.1); the sampling train consists of the following
components:
Insert illustration 108
Insert illustration 109
3.2.3.1.1 Probe Nozzle. Glass or Teflon with a sharp, tapered
leading edge. The angle of taper shall be >30 and the taper shall be
on the outside to preserve a constant internal diameter. The probe
nozzle shall be of the button-hook or elbow design, unless otherwise
specified by the Administrator.
A range of nozzle sizes suitable for isokinetic sampling should be
available, e.g., 0.32 to 1.27 cm ( 1/8 to 1/2 in) (or larger if higher
volume sample trains are used) inside diameter (ID) nozzles in
increments of 0.16 cm ( 1/16 in). Each nozzle shall be calibrated
according to the procedures outlined in section 3.2.6.
3.2.3.1.2 Teflon Aspirator or Pump/Sprayer Assembly. Teflon
aspirator capable of recirculating absorbing reagent at 50 ml/min while
operating at 0.75 cfm. Alternatively, a pump/sprayer assembly may be
used instead of the Teflon aspirator. A Teflon union-T is connected
behind the nozzle to provide the absorbing reagent/sample gas mix; a
peristaltic pump is used to recirculate the absorbing reagent at a flow
rate of at least 50 ml/min. Teflon fittings, Teflon ferrules. and
Teflon nuts are used to connect a glass or Teflon nozzle. recirculating
line. and sample line to the Teflon aspirator or union-T. Tygon,
C-flex** or other suitable inert tubing for use with peristaltic pump.
3.2.3.1.3 Teflon Sample Line. Teflon, 3/8'' outside diameter (OD)
and 1/4'' inside diameter (ID), or 1/2'' OD x 3/8'' ID, of suitable
length to connect aspirator (or T-union) to first Teflon impinger.
3.2.3.1.4 Teflon Recirculation Line. Teflon, 1/4'' O.D. and 1/8''
I.D., of suitable length to connect first impinger to aspirator (or
T-union).
3.2.3.1.5 Teflon Impingers. Four Teflon Impingers; Teflon tubes and
fittings, such as made by Savillex** can be used to construct impingers
2'' diameter by 12'' long, with vacuum-tight 3/8'' O.D. Teflon
compression fittings. Alternatively, standard glass impingers that have
been Teflon-lined, with Teflon stems and U-tubes, may be used. Inlet
fittings on impinger top to be bored through to accept 3/8'' O.D. tubing
as impinger stem. The second and third 3/8'' OD Teflon stem has a 1/4''
OD Teflon tube, 2'' long. inserted at its end to duplicate the effects
of the Greenburg-Smith impinger stem. The first impinger stem should
extend 2'' from impinger bottom, high enough in the impinger reagent to
prevent air from entering recirculating line; the second and third
impinger stems should extent to 1/2'' from impinger bottom. The first
impinger should include a 1/4'' O.D. Teflon compression fitting for
recirculation line. The fourth impinger serves as a knockout impinger.
3.2.3.1.6 Glass Impinger. Silica gel impinger. Vacuum-tight
impingers, capable of containing 400 g of silica gel, with compatible
fittings. The silica gel impinger will have a modified stem ( 1/2'' ID
at tip of stem).
3.2.3.1.7 Thermometer, (identical to that specified by Method 5) at
the outlet of the silica gel impinger, to monitor the exit temperature
of the gas.
3.2.3.1.8 Metering System, Barometer, and Gas Density Determinations
Equipment. Same as method 5, sections 2.1.8 through 2.1.10,
respectively.
3.2.3.2 Sample Recovery. Clean all items for sample handling or
storage with 10% nitric acid solution by soaking, where possible, and
rinse thoroughly with DI water before use.
3.2.3.2.1 Nitrogen Purge Line. Inert tubing and fittings capable of
delivering 0 to 1 scf/min (continuously adjustable) of nitrogen gas to
the impinger train from a standard gas cylinder (see Figure 3.2.3).
Standard 3/8-inch Teflon tubing and compression fittings in conjunction
with an adjustable pressure regulator and needle valve may be used.
Insert illustration 112
3.2.3.2.2 Wash bottles. Two polyethylene wash bottles, for DI water
and nitric rinse solution.
3.2.3.2.3 Sample Storage Containers. Polyethylene, with leak-free
screw cap, 500-ml or 1000-ml.
3.2.3.2.4 1000-ml Graduated Cylinder.
3.2.3.2.5 Plastic Storage Containers. Air tight containers to store
silica gel.
3.2.3.2.6 Funnel and Rubber Policeman. To aid in transfer of silica
gel from impinger to storage container; not necessary if silica gel is
weighed directly in the impinger.
3.2.3.2.7 Balance.
3.2.3.3 Sample Preparation for Analysis. Sample preparation prior to
analysis includes purging the sample train immediately following the
sample run. and filtering the recovered sample to remove particulate
matter immediately following recovery.
3.2.3.3.1 Beakers, Funnels, Volumetric Flasks, Volumetric Pipets, and
Graduated Cylinders. Assorted sizes, Teflon or glass, for preparation
of samples, sample dilution, and preparation of calibration standards.
Prepare initially following procedure described in section 3.2.5.1.3 and
rinse between use with 0.1 N HNO3 and DI water.
3.2.3.3.2 Filtration Apparatus. Teflon, or equivalent, for filtering
samples, and Teflon filter holder. Teflon impinger components have been
found to be satisfactory as a sample reservoir for pressure filtration
using nitrogen.
3.2.3.4 Analysis.
3.2.3.4.1 IC/PCR System. High performance liquid chromatograph pump,
sample injection valve, post-column reagent delivery and mixing system,
and a visible detector, capable of operating at 520 nm, all with a
non-metallic (or inert) flow path. An electronic recording integrator
operating in the peak area mode is recommended, but other recording
devices and integration techniques are acceptable provided the
repeatability criteria and the linearity criteria for the calibration
curve described in section 3.2.5.5 can be satisfied. A sample loading
system will be required if preconcentration is employed.
3.2.3.4.2 Analytical Column. A high performance ion chromatograph
(HPIC) non-metallic column with anion separation characteristics and a
high loading capacity designed for separation of metal chelating
compounds to prevent metal interference. Resolution described in
section 3.2.5.4 must be obtained. A non-metallic guard column with the
same ion-exchange material is recommended.
3.2.3.4.3 Preconcentration Column. An HPIC non-metallic column with
acceptable anion retention characteristics and sample loading rates as
described in section 3.2.5.5.
3.2.3.4.4 0.45 um filter cartridge. For the removal of insoluble
material. To be used just prior to sample injection/analysis.
All reagents should, at a minimum, conform to the specifications
established by the Committee on Analytical Reagents of the American
Chemical Society, where such specifications are available. All prepared
reagents should be checked by IC/PCR analysis for Cr+6 to ensure that
contamination is below the analytical detection limit for direct
injection or, if selected, preconcentration. If total chromium is also
to be determined, the reagents should also be checked by the analytical
technique selected to ensure that contamination is below the analytical
detection limit.
3.2.4.1 Sampling.
3.2.4.1.1 Water. Deionized water. It is recommended that water
blanks be checked prior to preparing sampling reagents to ensure that
the Cr+6 content is less than the analytical detection limit.
3.2.4.1.2 Potassium Hydroxide, 0.1 N. Add 5.6 gm of KOH(s) to
approximately 900 ml of DI water and let dissolve. Dilute to 1000 ml
with DI water.
Note: At sources with high concentrations of acids and/or SO2, the
concentration of KOH should be increased to 0.5 N to ensure that the pH
of the solution is above 8.5 after sampling.
3.2.4.1.3 Silica Gel and Crushed Ice. Same as Method 5, sections
3.1.2 and 3.1.4, respectively.
3.2.4.2 Sample Recovery. The reagents used in sample recovery are as
follows:
3.2.4.2.1 Water. Same as subsection 3.2.4.1.1.
3.2.4.2.2 Nitric Acid, 0.1 N. Add 6.3 ml of concentrated HNO3 (70
percent) to a graduated cylinder containing approximately 900 ml of DI
water. Dilute to 1000 ml with DI water, and mix well.
3.2.4.2.3 pH Indicator Strip. pH indicator capable of determining pH
of solution between the pH range of 7 and 12, at 0.5 pH intervals.
3.2.4.3 Sample Preparation
3.2.4.3.1 Water. Same as subsection 3.2.4.1.1.
3.2.4.3.2 Nitric Acid, 0.1 N. Same as subsection 3.2.4.2.2.
3.2.4.3.3 Filters. Acetate membrane, or equivalent, filters with 0.45
micrometer or smaller pore size to remove insoluble material.
3.2.4.4 Analysis.
3.2.4.4.1 Chromatographic Eluent. The eluent used in the analytical
system is ammonium sulfate based. It is prepared by adding 6.5 ml of 29
percent ammonium hydroxide (NH4OH) and 33 grams of ammonium sulfate
((NH4)2SO4) to 500 ml of DI water. The mixture should then be diluted
to 1 liter with DI water and mixed well. Other combinations of eluents
and/or columns may be employed provided peak resolution, as described in
section 3.2.5.4, repeatability and linearity, as described in section
3.2.6.2, and analytical sensitivity are acceptable.
3.2.4.4.2 Post-Column Reagent. An effective post-column reagent for
use with the chromatographic eluent described in section 3.2.4.4.1 is a
diphenylcarbazide (DPC) based system. Dissolve 0.5 g of
1.5-diphenylcarbazide (DPC) in 100 ml of ACS grade methanol. Add to 500
ml of degassed DI water containing 50 ml of 96 percent
spectrophotometric grade sulfuric acid. Dilute to 1 liter with degassed
DI water.
3.2.4.4.3 Cr+6 Calibration Standard. Prepare Cr+6 standards from
potassium dichromate (K2Cr2O7, FW 294.19). To prepare a 1000 g/ml Cr+6
stock solution, dissolve 2.829 g of dry K2Cr2O7 in 1 liter of DI water.
To prepare working standards, dilute the stock solution to the chosen
standard concentrations for instrument calibration with 0.05 N KOH to
achieve a matrix similar to the actual field samples.
3.2.4.4.4 Performance Audit Sample. A performance audit sample shall
be obtained from the Quality Assurance Division of EPA and analyzed with
the field samples. The mailing address to request audit samples is:
U.S. Environmental Protection Agency, Atmospheric Research and Exposure
Assessment Laboratory, Quality Assurance Division, Source Branch. Mail
Drop 77-A, Research Triangle Park, North Carolina 27711.
The audit sample should be prepared in a suitable sample matrix at a
concentration similar to the actual field samples.
3.2.5.1 Sampling. The complexity of this method is such that to
obtain reliable results, testers should be trained and experienced with
test procedures.
3.2.5.1.1 Pretest Preparation. All components shall be maintained
and calibrated according to the procedures described in APTD-0576,
unless otherwise specified herein.
Rinse all sample train components from the glass nozzle up to the
silica gel impinger and sample containers with hot tap water followed by
washing with hot soapy water. Next, rinse the train components and
sample containers three times with tap water followed by three rinses
with DI water. All the components and containers should then be soaked
overnight, or a minimum of 4 hours, in a 10 percent (v/v) nitric acid
solution, then rinsed three times with DI water. Allow the components
to air dry prior to covering all openings with Parafilm, or equivalent.
3.2.5.1.2 Preliminary Determinations. Same as method 5, section
4.1.2.
3.2.5.1.3 Preparation of Sampling Train. Measure 300 ml of 0.1 N KOH
into a graduated cylinder (or tare-weighed precleaned polyethylene
container). Place approximately 150 ml of the 0.1 N KOH reagent in the
first Teflon impinger. Split the rest of the 0.1 N KOH between the
second and third Teflon impingers. The next Teflon impinger is left
dry. Place a preweighed 200- to 400-g portion of indicating silica gel
in the final glass impinger. (For sampling periods in excess of two
hours, or for high moisture sites. 400-g of silica gel is recommended.)
Retain reagent blanks of the 0.1 N KOH equal to the volumes used with
the field samples.
3.2.5.1.4 Leak-Check Procedures. Follow the leak-check procedures
given in Method 5, section 4.1.4.1 (Pretest Leak-Check), Section 4.1.4.2
(Leak-Checks During the Sample Run), and Section 4.1.4.3 (Post-Test
Leak-Checks).
3.2.5.1.5 Sampling Train Operation. Follow the procedures given in
method 5, section 4.1.5. The sampling train should be iced down with
water and ice to ensure heat transfer with the Teflon impingers.
Note: If the gas to be sampled is above 200 F, it may be necessary
to wrap three or four feet of the Teflon sample and recirculating lines
inside the ice bath to keep the recirculated reagent cool enough so it
does not turn to steam.
For each run, record the data required on a data sheet such as the
one shown in Figure 5.2 of method 5.
At the end of the sampling run, determine the pH of the reagent in
the first impinger using a pH indicator strip. The pH of the solution
shall be greater than 8.5.
3.2.5.1.6 Calculation of Percent Isokinetic. Same as method 5,
section 4.1.6.
3.2.5.2 Post-Test Nitrogen Purge. The nitrogen purge is used as a
safeguard against the conversion of hexavalent chromium to the trivalent
oxidation state. The purge is effective in the removal of SO2 from the
impinger contents.
Attach the nitrogen purge line to the input of the impinger train.
Check to ensure the output of the impinger train is open, and that the
recirculating line is capped off. Open the nitrogen gas flow slowly and
adjust the delivery rate to 10 L/min. Check the recirculating line to
ensure that the pressure is not forcing the impinger reagent out through
this line. Continue the purge under these conditions for one-half hour,
periodically checking the flow rate.
3.2.5.3 Sample Recovery. Begin cleanup procedures as soon as the
train assembly has been purged at the end of the sampling run. The
probe assembly may be disconnected from the sample train prior to sample
purging.
The probe assembly should be allowed to cool prior to sample
recovery. Disconnect the umbilical cord from the sample train. When
the probe assembly can be safely handled, wipe off all external
particulate matter near the tip of the nozzle, and cap the nozzle prior
to transporting the sample train to a cleanup area that is clean and
protected from the wind and other potential causes of contamination or
loss of sample. Inspect the train before and during disassembly and
note any abnormal conditions.
3.2.5.3.1 Container No. 1 (Impingers 1 through 3). Disconnect the
first impinger from the second impinger and disconnect the recirculation
line from the aspirator or peristaltic pump. Drain the Teflon impingers
into a precleaned graduated cylinder or tare-weighed precleaned
polyethylene sample container and measure the volume of the liquid to
within 1 ml or 1 g. Record the volume of liquid present as this
information is required to calculate the moisture content of the flue
gas sample. If necessary, transfer the sample from the graduated
cylinder to a precleaned polyethylene sample container. With DI water,
rinse four times the insides of the glass nozzle, the aspirator, the
sample and recirculation lines, the impingers, and the connecting
tubing, and combine the rinses with the impinger solution in the sample
container.
3.2.5.3.2 Container No. 2 (HNO3 rinse optional for total chromium).
With 0.1 N HNO3, rinse three times the entire train assembly, from the
nozzle to the fourth impinger and combine the rinses into a separate
precleaned polyethylene sample container for possible total chromium
analysis. Repeat the rinse procedure a final time with DI water, and
discard the water rinses. Mark the height of the fluid level on the
container or, alternatively if a balance is available, weigh the
container and record the weight to permit determination of any leakage
during transport. Label the container clearly to identify its contents.
3.2.5.3.3 Container No. 3 (Silica Gel). Note the color of the
indicating silica gel to determine if it has been completely spent.
Quantitatively transfer the silica gel from its impinger to the original
container, and seal the container. A funnel and a rubber policeman may
be used to aid in the transfer. The small amount of particulate that
may adhere to the impinger wall need not be removed. Do not use water
or other liquids to transfer the silica gel. Alternatively, if a
balance is available in the field, record the weight of the spent silica
gel (or the silica gel plus impinger) to the nearest 0.5 g.
3.2.5.3.4 Container No. 4 (0.1 N KOH Blank). Once during each field
test, place a volume of reagent equal to the volume placed in the sample
train into a precleaned polyethylene sample container, and seal the
container. Mark the height of the fluid level on the container or,
alternatively if a balance is available, weigh the container and record
the weight to permit determination of any leakage during transport.
Label the container clearly to identify its contents.
3.2.5.3.5 Container No. 5 (DI Water Blank). Once during each field
test, place a volume of DI water equal to the volume employed to rinse
the sample train into a precleaned polyethylene sample container, and
seal the container. Mark the height of the fluid level on the container
or, alternatively if a balance is available, weigh the container and
record the weight to permit determination of any leakage during
transport. Label the container clearly to identify its contents.
3.2.5.3.6 Container No. 6 (0.1 N HNO3 Blank). Once during each
field test if total chromium is to be determined, place a volume of 0.1
N HNO3 reagent equal to the volume employed to rinse the sample train
into a pre-cleaned polyethylene sample container, and seal the
container. Mark the height of the fluid level on the container or,
alternatively if a balance is available, weigh the container and record
the weight to permit determination of any leakage during transport.
Label the container clearly to identify its contents.
3.2.5.4 Sample Preparation. For determination of Cr+6, the sample
should be filtered immediately following recovery to remove any
insoluble matter. Nitrogen gas may be used as a pressure assist to the
filtration process (see Figure Cr+6^4).
Filter the entire impinger sample through a 0.45-micrometer acetate
filter (or equivalent), and collect the filtrate in a 1000-ml graduated
cylinder. Rinse the sample container with DI water three separate
times, pass these rinses through the filter, and add the rinses to the
sample filtrate. Rinse the Teflon reservoir with DI water three
separate times, pass these rinses through the filter, and add the rinses
to the sample. Determine the final volume of the filtrate and rinses
and return them to the rinsed polyethylene sample container. Label the
container clearly to identify its contents. Rinse the Teflon reservoir
once with 0.1 N HNO3 and once with DI water and discard these rinses.
If total chromium is to be determined, quantitatively recover the
filter and residue and place them in a vial. (The acetate filter may be
digested with 5 ml of 70 percent nitric acid; this digestion solution
may then be diluted with DI water for total chromium analysis.)
Insert illustration 122
Note: If the source has a large amount of particulate in the
effluent stream, testing teams may wish to filter the sample twice, once
through a 2 to 5-micrometer filter, and then through the 0.45-micrometer
filter.
3.2.5 4.1 Container 2 (HNO3 rinse, optional for total chromium).
This sample shall be analyzed in accordance with the selected procedure
for total chromium analysis. At a minimum, the sample should be
subjected to a digestion procedure sufficient to solubilize all chromium
present.
3.2.5.4.2 Container 3 (Silica Gel). Weigh the spent silica gel to
the nearest 0.5 g using a balance. (This step may be conducted in the
field.)
3.2.5.5 Sample analysis. The Cr+6 content of the sample filtrate is
determined by ion chromatography coupled with a post-column reactor
(IC/PCR). To increase sensitivity for trace levels of chromium, a
preconcentration system is also used in conjunction with the IC/PCR.
Prior to preconcentration and/or analysis, all field samples will be
filtered through a 0.45- filter. This filtration should be conducted
just prior to sample injection/analysis.
The preconcentration is accomplished by selectively retaining the
analyte on a solid absorbent (as described in 3.2.3.4.3), followed by
removal of the analyte from the absorbent. The sample is injected into
a sample loop of the desired size (repeated loadings or larger size loop
for greater sensitivity) and the Cr+6 is collected on the resin bed of
the column. When the injection valve is switched. the eluent displaces
the concentrated Cr+6 sample moving it off the preconcentration column
and onto the IC anion separation column. After separation from other
sample components, Cr+6 forms a specific complex in the post.column
reactor with a diphenylcarbazide reaction solution, and the complex is
then detected by visible absorbance at a wavelength of 520 nm. The
amount of absorbance measured is proportional to the concentration of
the Cr+6 complex formed. The IC retention time and absorbance of the
Cr+6 complex is compared with known Cr+6 standards analyzed under
identical conditions to provide both qualitative and quantitative
analyses.
Prior to sample analysis, establish a stable baseline with the
detector set at the required attenuation by setting the eluent flowrate
at approximately 1 ml/min and post-column reagent flowrate at
approximately 0.5 ml/min.
Note: As long as the ratio of eluent flowrate to PCR flowrate
remains constant, the standard curve should remain linear. Inject a
sample of DI water to ensure that no Cr+6 appears in the water blank.
First, inject the calibration standards prepared, as described in
section 3.2.4.4.4, to cover the appropriate concentration range,
starting with the lowest standard first. Next. inject, in duplicate,
the performance audit sample, followed by the 0.1 N KOH field blank and
the field samples. Finally, repeat the injection of the calibration
standards to allow for compensation of instrument drift. Measure areas
or heights of the Cr+6/DPC complex chromatogram peak. The response for
replicate, consecutive injections of samples must be within 5 percent of
the average response, or the injection should be repeated until the 5
percent criterion can be met. Use the average response (peak areas or
heights) from the duplicate injections of calibration standards to
generate a linear calibration curve. From the calibration curve,
determine the concentration of the field samples employing the average
response from the duplicate injections.
The results for the analysis of the performance audit sample must be
within 10 percent of the reference value for the field sample analysis
to be valid.
3.2.6 Calibration. Maintain a written log of all calibration
activities.
3.2.6.1 Sample Train Calibration. Calibrate the sample train
components according to the indicated sections of method 5: Probe
Nozzle (section 5.1); Pitot Tube (section 5.2); Metering System
(section 5.3); Temperature Gauges (section 5.5); Leak-Check of the
Metering System (section 5.6); and Barometer (section 5.7).
3.2.6.2 Calibration Curve for the IC/PCR. Prepare working standards
from the stock solution described in section 3.2.4.4.4 by dilution with
a DI water solution to approximate the field sample matrix. Prepare at
least four standards to cover one order of magnitude that bracket the
field sample concentrations. Run the standards with the field samples
as described in section 3.2.5.5. For each standard, determine the peak
areas (recommended) or the peak heights, calculate the average response
from the duplicate injections, and plot the average response against the
Cr+6 concentration in g/L. The individual responses for each
calibration standard determined before and after field sample analysis
must be within 5 percent of the average response for the analysis to be
valid. If the 5 percent criteria is exceeded, excessive drift and/or
instrument degradation may have occurred, and must be corrected before
further analyses are performed.
Employing linear regression, calculate a predicted value for each
calibration standard with the average response for the duplicate
injections. Each predicted value must be within 7 percent of the actual
value for the calibration curve to be considered acceptable. If not
acceptable, remake and/or rerun the calibration standards. If the
calibration curve is still unacceptable. reduce the range of the curve.
3.2.7.1 Dry Gas Volume. Using the data from the test, calculate
Vm(std), the dry gas sample volume at standard conditions as outlined in
Section 6.3 of Method 5.
3.2.7.2 Volume of Water Vapor and Moisture Content. Using the data
from the test, calculate Vw(std) and Bws, the volume of water vapor and
the moisture content of the stack gas, respectively, using Equations 5-2
and 5-3 of Method 5.
3.2.7.3 Stack Gas Velocity. Using the data from the test and
Equation 2-9 of Method 2, calculate the average stack gas velocity.
3.2.7.4 Total g Cr+6 per Sample. Calculate as described below:
m=(S-B) V1s d
where:
m=Mass of Cr+6 in the sample, g.
S=Concentration of sample, g Cr+6/ml.
B=Concentration of blank, g Cr+6/ml.
V1s=Volume of sample after filtration, ml.
d=Dilution factor (1 if not diluted).
3.3.1.1 Scope and Application.
3.3.1.1.1 This method describes the collection of hydrogen chloride
(HCl. CAS Registry Number 7647-01-0) and chlorine (Cl2, CAS Registry
Number 7782-50-5) in stack gas emission samples from hazardous waste
incinerators' municipal waste combustors, and boilers and industrial
furnaces. The collected samples are analyzed using Method 9057. This
method collects the emission sample isokinetically and is therefore
particularly suited for sampling at sources, such as those controlled by
wet scrubbers, emitting acid particulate matter (e.g., HCl dissolved in
water droplets). A midget impinger train sampling method designed for
sampling sources of HCl/Cl2 emissions not in particulate form is
presented in method 0051.
3.3.1.1.2 This method is not acceptable for demonstrating compliance
with HCl emission standards less than 20 ppm.
3.3.1.1.3 This method may also be used to collect samples for
subsequent determination of particulate emissions (by EPA method 5,
reference 1) following the additional sampling procedures described.
3.3.1.2 Summary of Method.
3.3.1.2.1 Gaseous and particulate pollutants are withdrawn from an
emission source and are collected in an optional cyclone, on a filter,
and in absorbing solutions. The cyclone collects any liquid droplets
and is not necessary if the source emissions do not contain liquid
droplets. The Teflon mat or quartz-fiber filter collects other
particulate matter including chloride salts. Acidic and alkaline
absorbing solutions collect gaseous HCl and Cl2, respectively.
Following sampling of emissions containing liquid droplets, any HCl/Cl2
dissolved in the liquid in the cyclone and/or on the filter is vaporized
and ultimately collected in the impingers by pulling Ascarite IIR
conditioned ambient air through the sampling train. In the acidified
water absorbing solution, the HCl gas is solubilized and forms chloride
(Cl^) ions. The Cl2 gas present in the emissions has a very low
solubility in acidified water and passes through to the alkaline
absorbing solution where it undergoes hydrolysis to form a proton (H+),
Cl^, and hypochlorous acid (HClO). The Cl^ ions in the separate
solutions are measured by ion chromatography (method 9057). If desired,
the particulate matter recovered from the filter and the probe is
analyzed following the procedures in EPA Method 5 (reference 1).
3.3.1.3 Interferences.
3.3.1.3.1 Volatile materials which produce chloride ions upon
dissolution during sampling are obvious interferences in the measurement
of HCl. One interferant for HCl is diatomic chlorine (Cl2) gas which
disproportionates to HCl and hypochlorous acid (HClO) upon dissolution
in water. Cl2 gas exhibits a low solubility in water, however, and the
use of acidic rather than neutral or basic solutions for collection of
hydrogen chloride gas greatly reduces the dissolution of any chlorine
present.
3.3.1.4 Apparatus and Materials.
3.3.1.4.1 Sampling Train.
3.3.1.4.1.1 A schematic of the sampling train used in this method is
shown in Figure 3.3-1. This sampling train configuration is adapted from
EPA method 5 procedures, and, as such, the majority of the required
equipment is identical to that used in EPA Method 5 determinations. The
new components required are a glass nozzle and probe, a Teflon union, a
quartz-fiber or Teflon mat filter (see section 3.3.1.5.5), a Teflon
frit, and acidic and alkaline absorbing solutions.
3.3.1.4.1.2 Construction details for the basic train components are
provided in section 3.4 of EPA's Quality Assurance Handbook, Volume III
(reference 2); commercial models of this equipment are also available.
Insert illustration 129
Additionally, the following subsections identify allowable train
configuration modifications.
3.3.1.4.1.3 Basic operating and maintenance procedures for the
sampling train are also described in Reference 2. As correct usage is
important in obtaining valid results, all users should refer to
Reference 2 and adopt the operating and maintenance procedures outlined
therein unless otherwise specified. The sampling train consists of the
components detailed below.
3.3.1.4.1.3.1 Probe nozzle. Glass with sharp, tapered (30 angle)
leading edge. The taper shall be on the outside to preserve a constant
I.D. The nozzle shall be buttonhook or elbow design. The nozzle should
be coupled to the probe liner using a Teflon union. It is recommended
that a stainless steel nut be used on this union. In cases where the
stack temperature exceeds 210 C (410 F), a one-piece glass
nozzle/liner assembly must be used. A range of nozzle sizes suitable
for isokinetic sampling should be available. Each nozzle shall be
calibrated according to the procedures outlined in EPA Method 5 (see
References 1 and 2).
3.3.1.4.1.3.2 Probe liner. Borosilicate or quartz-glass tubing with
a heated system capable of maintaining a gas temperature of 120 14 C
(248 25 F) at the exit end during sampling. Because the actual
temperature at the outlet of the probe is not usually monitored during
sampling, probes constructed and calibrated according to the procedure
in Reference 2 are considered acceptable. Either borosilicate or
quartz-glass probe liners may be used for stack temperatures up to about
480 C (900 F). Quartz liners shall be used for temperatures between
480 and 900 C (900 and 1650 F). (The softening temperature for
borosilicate is 820 C (1508 F), and for quartz is 1500 C (2732 F).)
Water-cooling of the stainless steel sheath will be necessary at
temperatures approaching and exceeding 500 C.
3.3.1.4.1.3.3 Pitot tube. Type S, as described in section 2.1 of EPA
Method 2 (Reference 1). The pitot tube shall be attached to the probe
to allow constant monitoring of the stack-gas velocity. The impact
(high-pressure) opening plane of the pitot tube shall be even with or
above the nozzle entry plane (see section 3.1.1 of Reference 2) during
sampling. The Type S pitot tube assembly shall have a known
coefficient, determined as outlined in section 3.1.1 of Reference 2.
3.3.1.4.1.3.4 Differential pressure gauge. Inclined manometer or
equivalent device as described in section 2.2 of EPA method 2 (Reference
1). One manometer shall be used for velocity-head (delta P) readings
and the other for orifice differential pressure (delta H) readings.
3.3.1.4.1.3.5 Cyclone (optional). Glass.
3.3.1.4.1.3.6 Filter holder. Borosilicate glass, with a Teflon frit
filter support and a sealing gasket. The sealing gasket shall be
constructed of Teflon or equivalent materials. The holder design shall
provide a positive seal against leakage at any point along the filter
circumference. The holder shall be attached immediately to the outlet
of the cyclone.
3.3.1.4.1.3.7 Filter heating system. Any heating system capable of
maintaining a temperature of 120 14 C (248 25 F) around the filter and
cyclone during sampling. A temperature gauge capable of measuring
temperature to within 3 C (5.4 F) shall be installed so that the
temperature around the filter holder can be regulated and monitored
during sampling.
3.3.1.4.1.3.8 Impinger train. The following system shall be used to
determine the stack gas moisture content and to collect HCl and Cl2:
five or six impingers connected in series with leak-free ground glass
fittings or any similar leak-free non-contaminating fittings. The first
impinger shown in Figure 1 (knockout or condensate impinger) is optional
and is recommended as a water knockout trap for use under test
conditions which require such a trap. If used, this impinger should be
constructed as described below for the alkaline impingers, but with a
shortened stem, and should contain 50 ml of 0.1 N H2SO4. The following
two impingers (acid impingers which each contain 100 ml of 0.1 N H2SO4)
shall be of the Greenburg-Smith design with the standard tip (see method
5, paragraph 2.1.7). The next two impingers (alkaline impingers which
each contain 100 ml of 0.1 N NaOH) and the last impinger (containing
silica gel) shall be of the Greenburg-Smith design modified by replacing
the tip with a 1.3-cm ( 1/2-in) I.D. glass tube extending about 1.3 cm
( 1/2 in) from the bottom of the impinger (see method 5, paragraph
2.1.7). The condensate, acid, and alkaline impingers shall contain known
quantities of the appropriate absorbing reagents. The last impinger
shall contain a known weight of silica gel or equivalent desiccant.
3.3.1.4.1.3.9 Metering system. The necessary components are a vacuum
gauge, leak-free pump, thermometers capable of measuring temperature to
within 3 C (5.4 F). dry-gas meter capable of measuring volume to
within 1 percent, an orifice meter, (rate meter). and related
equipment, as shown in Figure 1. At a minimum, the pump should be
capable of 4 cfm free flow, and the dry-gas meter should have a
recording capacity of 0-999.9 cu ft with a resolution of 0.005 cu ft.
Other metering systems capable of maintaining sampling rates within 10
percent of isokineticity and of determining sample volumes to within 2
percent may be used. The metering system should be used in conjunction
with a pitot tube to enable checks of isokinetic sampling rates.
3.3.1.4.1.3.10 Barometer. Mercury, aneroid, or other barometer
capable of measuring atmospheric pressure to within 2.5 mm Hg (0.1 in.
Hg). In many cases, the barometric reading may be obtained from a nearby
National Weather Service station, in which case the station value (which
is the absolute barometric pressure) is requested and an adjustment for
elevation differences between the weather station and sampling point is
applied at a rate of minus 2.5 mm Hg (0.1 in. Hg) per 300-m (100 ft)
elevation increase (vice versa for elevation decrease).
3.3.1.4.1.3.11 Gas density determination equipment. Temperature
sensor and pressure gauge (as described in sections 2.3 and 2.4 of EPA
method 2), and gas analyzer, if necessary (as described in EPA method 3,
Reference 1). The temperature sensor ideally should be permanently
attached to the pitot tube or sampling probe in a fixed configuration
such that the tip of the sensor extends beyond the leading edge of the
probe sheath and does not touch any metal. Alternatively, the sensor
may be attached just prior to use in the field. Note, however, that if
the temperature sensor is attached in the field, the sensor must be
placed in an interference-free arrangement with respect to the Type S
pitot tube openings (see EPA method 2, Figure 2-7). As a second
alternative, if the stack gas is saturated, the stack temperature may be
measured at a single point near the center of the stack.
3.3.1.4.1.3.12 Ascarite tube for conditioning ambient air. Tube
tightly packed with approximately 150 g of fresh 8 to 20 mesh Ascarite
II# sodium hydroxide coated silica, or equivalent, to dry and remove
acid gases from the ambient air used to remove moisture from the filter
and optional cyclone. The inlet and outlet ends of the tube should be
packed with at least 1 cm thickness of glass wood or filter material
suitable to prevent escape of Ascarite II fines. Fit one end with
flexible tubing. etc. to allow connection to probe nozzle.
3.3.1.4.2 Sample Recovery.
3.3.1.4.2.1 Probe liner. Probe and nozzle brushes; nylon bristle
brushes with stainless steel wire handles are required. The probe brush
shall have extensions of stainless steel, Teflon, or inert material at
least as long as the probe. The brushes shall be properly sized and
shaped to brush out the probe liner and the probe nozzle.
3.3.1.4.2.2 Wash bottles. Two. Polyethylene or glass, 500 ml or
larger.
3.3.1.4.2.3 Glass sample storage containers. Glass, 500- or 1000-ml.
Screw-cap liners shall be Teflon and constructed so as to be leak-free.
Narrow-mouth glass bottles have been found to exhibit less tendency
toward leakage.
3.3.1.4.2.4 Petri dishes. Glass or plastic, sealed around the
circumference with Teflon tape, for storage and transport of filter
samples.
3.3.1.4.2.5 Graduated cylinder and/or balances. To measure condensed
water to the nearest 1 ml or 1 g. Graduated cylinders shall have
subdivisions not 2 ml. Laboratory triple-beam balances capable of
weighing to 0.5 g or better are required.
3.3.1.4.2.6 Plastic storage containers. Screw-cap polypropylene or
polyethylene containers to store silica gel.
3.3.1.4.2.7 Funnel and rubber policeman. To aid in transfer of
silica gel to container (not necessary if silica gel is weighed in
field).
3.3.1.4.2.8 Funnels. Glass, to aid in sample recovery.
3.3.1.5 Reagents
3.3.1.5.1 Reagent grade chemicals shall be used in all tests. Unless
otherwise indicated, it is intended that all reagents shall conform to
the specifications of the Committee on Analytical Reagents of the
American Chemical Society, where such specifications are available.
Other grades may be used, provided it is first ascertained that the
reagent is of sufficiently higher purity to permit its use without
lessening the accuracy of the determination.
3.3.1.5.2 ASTM Type II water (ASTM D1193-77 (1983)). All references
to water in the method refer to ASTM Type II unless otherwise specified.
It is advisable to analyze a blank sample of this reagent prior to
sampling, since the reagent blank values obtained during the field
sample analysis must be less than 10 percent of the sample values (see
method 9057).
3.3.1.5.3 Sulfuric acid (0.1 N), H2SO4. Used as the HCl absorbing
reagent in the impinger train. To prepare 1 L, slowly add 2.80 ml of
concentrated H2SO4 to about 900 ml of water while stirring, and adjust
the final volume to 1 L using additional water. Shake well to mix the
solution. It is advisable to analyze a blank sample of this reagent
prior to sampling, since the reagent blank values obtained during the
field sample analysis must be less than 10 percent of the sample values
(see method 9057).
3.3.1.5.4 Sodium hydroxide (0.1 N). NaOH. Used as the Cl2 absorbing
reagent in the impinger train. To prepare 1 L, dissolve 4.00 g of solid
NaOH in about 900 ml of water and adjust the final volume of 1 L using
additional water. Shake well to mix the solution. It is advisable to
analyze a blank sample of this reagent prior to sampling, since the
reagent blank values obtained during the field sample analysis must be
less than 10 percent of the sample values (see Method 9057).
3.3.1.5.5 Filter. Quartz-fiber or Teflon mat (e.g., Pallflex#
TX40HI45) filter.
3.3.1.5.6 Silica gel. Indicating type, 6-16 mesh. If previously
used, dry at 175 C (350 F) for 2 hours before using. New silica gel
may be used as received. Alternatively, other types of desiccants
(equivalent or better) may be used, subject to the approval of the
Administrator.
3.3.1.5.7 Acetone. When using this train for determination of
particulate emissions, reagent grade acetone, <0.001 percent residue, in
glass bottles is required. Acetone from metal containers generally has
a high residue blank and should not be used. Sometimes suppliers
transfer acetone to glass bottles from metal containers; thus, acetone
blanks shall be run prior to field use and only acetone with low blank
values (<0.001 percent) shall be used. In no case shall a blank value
greater than 0.001 percent of the weight of acetone used be subtracted
from the sample weight.
3.3.1.5.8 Crushed ice. Quantities ranging from 10-50 lbs may be
necessary during a sampling run, depending on ambient air temperature.
3.3.1.5.9 Stopcock grease. Acetone-insoluble, heat-stable silicone
grease may be used, if needed. Silicone grease usage is not necessary
if screw-on connectors or Teflon sleeves on ground-glass joints are
used.
3.3.1.6 Sample Collection, Preservation, and Handling.
3.3.1.6.1 Sample collection is described in this method. The
analytical procedures for HCl and Cl2 are described in method 9057 and
for particulate matter in EPA method 5 (Reference 1).
3.3.1.6.2 Samples should be stored in clearly labeled, tightly sealed
containers between sample recovery and analysis. They may be analyzed
up to four weeks after collection.
3.3.1.7 Procedure.
3.3.1.7.1 Preparation for Field Test.
3.3.1.7.1.1 All sampling equipment shall be maintained and calibrated
according to the procedures described in section 3.4.2 of EPA's Quality
Assurance Handbook, Volume III (Reference 2).
3.3.1.7.1.2 Weigh several 200- to 300-g portions of silica gel in
airtight containers to the nearest 0.5 g. Record on each container the
total weight of the silica gel plus containers. As an alternative to
preweighing the silica gel, it may instead be weighed directly in the
impinger just prior to train assembly.
3.3.1.7.1.3 Check filters visually against light for irregularities
and flaws or pinhole leaks. Label the shipping containers (glass or
plastic Petri dishes) and keep the filters in these containers at all
times except during sampling (and weighing for particulate analysis).
3.3.1.7.1.4 If a particulate determination will be conducted,
desiccate the filters at 20 5.6 C (68 10 F) and ambient pressure for at
least 24 hours, and weigh at intervals of at least 6 hours to a constant
weight (i.e., <0.5-mg change from previous weighing), recording results
to the nearest 0.1 mg. During each weighing, the filter must not be
exposed for more than a 2-min period to the laboratory atmosphere and
relative humidity above 50 percent. Alternatively (unless otherwise
specified by the Administrator), the filters may be oven-dried at 105 C
(220 F) for 2-3 hours, desiccated for 2 hours, and weighed.
3.3.1.7.2 Preliminary Field Determinations.
3.3.1.7.2.1 Select the sampling site and the minimum number of
sampling points according to EPA method 1 or as specified by the
Administrator. Determine the stack pressure, temperature, and range of
velocity heads using EPA method 2. It is recommended that a leak-check
of the pitot lines (see EPA method 2, section 3.1) be performed.
Determine the stack-gas moisture content using EPA method 4 or its
alternatives to establish estimates of isokinetic sampling rate
settings. Determine the stack gas dry molecular weight, as described in
EPA method 2, section 3.6. if integrated EPA method 3 (Reference 1)
sampling is used for molecular weight determination, the integrated bag
sample shall be taken simultaneously with, and for the same total length
of time as the sample run.
3.3.1.7.2.2 Select a nozzle size based on the range of velocity heads
so that it is not necessary to change the nozzle size to maintain
isokinetic sampling rates. During the run, do not change the nozzle.
Ensure that the proper differential pressure gauge is chosen for the
range of velocity heads encountered (see section 2.2 of EPA method 2).
3.3.1.7.2.3 Select a suitable probe liner and probe length so that
all traverse points can be sampled. For large stacks, to reduce the
length of the probe, consider sampling from opposite sides of the stack.
3.3.1.7.2.4 The total sampling time should be two hours. Allocate
the same time to all traverse points defined by EPA method 1. To avoid
timekeeping errors, the length of time sampled at each traverse point
should be an integer or an integer plus one-half min. Size the
condensate impinger for the expected moisture catch or be prepared to
empty it during the run.
3.3.1.7.3 Preparation of Sampling Train.
3.3.1.7.3.1 Add 50 ml of 0.1 N H2SO4 to the condensate impinger, if
used. Place 100 ml of 0.1 N H2SO4 in each of the next two impingers.
Place 100 ml of 0.1 N NaOH in each of the following two impingers.
Finally, transfer approximately 200-300 g of preweighed silica gel from
its container to the last impinger. More silica gel may be used, but
care should be taken to ensure that it is not entrained and carried out
from the impinger during sampling. Place the silica gel container in a
clean place for later use in the sample recovery. Alternatively, the
weight of the silica gel plus impinger may be determined to the nearest
0.5 g and recorded.
3.3.1.7.3.2 Using a tweezer or clean disposable surgical gloves,
place a labeled (identified) filter (weighed, if particulate matter to
be determined) in the filter holder. Be sure that the filter is
properly centered and the gasket properly placed to prevent the sample
gas stream from circumventing the filter. Check the filter for tears
after assembly is completed.
3.3.1.7.3.3 To use glass liners, install the selected nozzle using a
Viton-A O-ring when stack temperatures are <260 C (500 F) and a woven
glass-fiber gasket when temperatures are higher. Other connecting
systems utilizing either 316 stainless steel or Teflon ferrules may be
used. Mark the probe with heat-resistant tape or by some other method
to denote the proper distance into the stack or duct for each sampling
point.
3.3.1.7.3.4 Set up the train as in Figure 3.3-1. A minimal amount of
silicone grease may be used on ground glass joints. Connect temperature
sensors to the appropriate potentiometer/display unit. Check all
temperature sensors at ambient temperature.
3.3.1.7.3.5 Place crushed ice around the impingers.
3.3.1.7.3.6 Turn on and set the filter and probe heating systems at
the desired operating temperatures. Allow time for the temperatures to
stabilize.
3.3.1.7.4 Leak-Check Procedures.
3.3.1.7.4.1 Pretest leak-check. A pretest leak-check is recommended,
but not required. If the tester opts to conduct the pretest leak-check,
the following procedure shall be used.
3.3.1.7.4.1.1 If a Viton-A O-ring or other leak-free connection is
used in assembling the probe nozzle to the probe liner, leak-check the
train at the sampling site by plugging the nozzle and pulling a 380-mm
Hg (15-in. Hg) vacuum.
Note: A lower vacuum may be used, provided that it is not exceeded
during the test.
3.3.1.7.4.1.2 If a woven glass-fiber gasket is used, do not connect
the probe to the train during the leak-check. Instead, leak-check the
train by first plugging the inlet to the cyclone, if used, or the filter
holder and pulling a 380-mm Hg (15-in. Hg) vacuum (see Note above).
Then, connect the probe to the train and leak-check at about 25-mm Hg
(1-in. Hg) vacuum; alternatively, leak-check the probe with the rest of
the sampling train in one step at 380-mm Hg (15-in. Hg) vacuum. Leakage
rates in excess of 4 percent of the average sampling rate or 0.00057 m
/3/ /min (0.02 cfm), whichever is less, are unacceptable.
3.3.1.7.4.1.3 The following leak-check instructions for the sampling
train may be helpful. Start the pump with bypass valve fully open and
coarse adjust valve completely closed. Partially open the coarse adjust
valve and slowly close the bypass valve until the desired vacuum is
reached. Do not reverse direction of the bypass valve; this will cause
water to back up into the filter holder. If the desired volume is
exceeded, either leak-check at this higher vacuum or end the leak-check,
as shown below, and start over.
3.3.1.7.4.1.4 When the leak-check is completed, first slowly remove
the plug from the inlet to the probe, cyclone, or filter holder and
immediately turn off the vacuum pump. This prevents the liquid in the
impingers from being forced backward into the filter holder and silica
gel from being entrained backward into the fifth impinger.
3.3.1.7.4.2 Leak-checks during sample run. If during the sampling
run, a component (e.g., filter assembly or impinger) change becomes
necessary or a port change is conducted, a leak-check shall be conducted
immediately after the interruption of sampling and before the change is
made. The leak-check shall be conducted according to the procedure
outlined in Section 3.3.1.7.4.1, except that it shall be conducted at a
vacuum greater than or equal to the maximum value recorded up to that
point in the test. If the leakage rate is found to be no greater than
0.00057 m /3/ /min (0.02 cfm) or 4 percent of the average sampling rate
(whichever is less), the results are acceptable. If a higher leakage
rate is obtained, the tester shall void the sampling run. Immediately
after a component change or port change, and before sampling is
reinitiated, another leak-check similar to a pre-test leak-check is
recommended.
3.3.1.7.4.3 Post-test leak-check. A leak-check is mandatory at the
conclusion of each sampling run. The leak-check shall be done using the
same procedures as those with the pre-test leak-check, except that it
shall be conducted at a vacuum greater than or equal to the maximum
value reached during the sampling run. If the leakage rate is found to
be no greater than 0.00057 m /3/ /min (0.02 cfm) or 4 percent of the
average sampling rate (whichever is less), the results are acceptable.
If a higher leakage rate is obtained, the tester shall void the sampling
run.
3.3.1.7.5 Train Operation.
3.3.1.7.5.1 During the sampling run, maintain an isokinetic sampling
rate to within 10 percent of true isokinetic, unless otherwise specified
by the Administrator. Maintain a temperature around the filter (and
cyclone, if used) of 120 14 C (248 25 F).
3.3.1.7.5.2 For each run, record the data required on a data sheet
such as the one shown in Figure 3.3-2. Be sure to record the initial dry
gas meter reading. Record the dry gas meter readings at the beginning
and end of each sampling time increment, when changes in flow rates are
made before and after each leak-check, and when sampling is halted.
Take other readings required by Figure 3.3-2 at least once at each
sample point during each time increment and additional readings when
significant changes (20 percent variation in velocity head readings)
necessitate additional adjustments in flow rate. Level and zero the
manometer. Because the manometer level and zero may drift due to
vibrations and temperature changes, make periodic checks during the
traverse.
3.3.1.7.5.3 Clean the stack access ports prior to the test run to
eliminate the chance of sampling deposited material. To begin sampling,
remove the nozzle cap, verify that the filter and probe heating systems
are at the specified temperature, and verify that the pitot tube and
probe are positioned properly. Position the nozzle at the first
traverse point, with the tip pointing directly into the gas stream.
Immediately start the pump and adjust the flow to isokinetic conditions
using a calculator or a nomograph. Nomographs are designed for use when
the Type S pitot tube coefficient is 0.84 0.02 and the stack gas
equivalent density (dry molecular weight) is equal to 29 4. If the
stack gas molecular weight and the pitot tube coefficient are outside
the above ranges, do not use the nomographs unless appropriate steps are
taken to compensate for the deviations (see Reference 3).
3.3.1.7.5.4 When the stack is under significant negative pressure
(equivalent to the height of the impinger stem), take care to close the
coarse adjust valve before inserting the probe into the stack, to
prevent water from backing into the filter holder. If necessary, the
pump may be turned on with the coarse adjust valve closed.
3.3.1.7.5.5 When the probe is in position, block off the openings
around the probe and stack access port to prevent unrepresentative
dilution of the gas stream.
insert illustration 142
3.3.1.7.5.6 Traverse the stack cross section, as required by EPA
Method 1 or as specified by the Administrator, being careful not to bump
the probe nozzle into the stack walls when sampling near the walls or
when removing or inserting the probe through the access port, in order
to minimize the chance of extracting deposited material.
3.3.1.7.5.7 During the test run, make periodic adjustments to keep
the temperature around the filter holder (and cyclone, if used) at the
proper level. Add more ice, and, if necessary, salt to maintain a
temperature of <20 C (68 F) at the condenser/silica gel outlet. Also,
periodically check the level and zero of the manometer.
3.3.1.7.5.8 If the pressure drop across the filter becomes too high,
making isokinetic sampling difficult to maintain, it may be replaced in
the midst of a sample run. Using another complete filter holder
assembly is recommended, rather than attempting to change the filter
itself. After a new filter assembly is installed, conduct a leak-check.
If determined, the total particulate weight shall include the summation
of all filter assembly catches.
3.3.1.7.5.9 If the condensate impinger becomes too full, it may be
emptied, recharged with 50 ml of 0.1 N H2SO4, and replaced during the
sample run. The condensate emptied must be saved and included in the
measurement of the volume of moisture collected and included in the
sample for analysis. The additional 50 ml of absorbing reagent must
also be considered in calculating the moisture. After the impinger is
reinstalled in the train, conduct a leak. check.
3.3.1.7.5.10 A single train shall be used for the entire sample run,
except in cases where simultaneous sampling is required in two or more
separate ducts or at two or more different locations within the same
duct, or in cases where equipment failure necessitates a change of
trains. In all other situations, the use of two or more trains will be
subject to the approval of the Administrator.
3.3.1.7.5.11 Note that when two or more trains are used, separate
analyses of the particulate catch (if applicable) and the HCl and Cl2
impinger catches from each train shall be performed, unless identical
nozzle sizes were used on all trains. In that case, the particulate
catch and the HCl and Cl2 impinger catches from the individual trains
may be combined, and a single particulate analysis and single HCl and
Cl2 analyses of the impinger contents may be performed.
3.3.1.7.5.12 At the end of the sample run, turn off the coarse adjust
valve, remove the probe and nozzle from the stack, turn off the pump,
and record the final dry gas meter reading.
3.3.1.7.5.13 If there is any possibility that liquid has collected in
the glass cyclone and/or on the filter, connect the Ascarite tube at the
probe inlet and operate the train with the filter heating system at 120
14 C (248 25 F) at a low flow rate (e.g., H=1) sufficient to vaporize
the liquid and any HCl in the cyclone or on the filter and pull it
through the train into the impingers. After 30 minutes, turn off the
flow, remove the Ascarite tube, and examine the cyclone and filter for
any visible moisture. If moisture is visible, repeat this step for 15
minutes.
3.3.1.7.5.14 Conduct a post-test leak check. Also, leak-check the
pitot lines as described in EPA method 2. The lines must pass this
leak-check in order to validate the velocity-head data.
3.3.1.7.5.15 If the moisture value is available, calculate percent
isokineticity (see section 3.3.1.7.7.10) to determine whether the run
was valid or another test run should be conducted.
3.3.1.7.6 Sample Recovery.
3.3.1.7.6.1 Allow the probe to cool. When the probe can be handled
safely, wipe off all the external surfaces of the tip of the probe
nozzle and place a cap over the tip. Do not cap the probe tip tightly
while the sampling train is cooling down because this will create a
vacuum in the filter holder, drawing water from the impingers into the
holder.
3.3.1.7.6.2 Before moving the sampling train to the cleanup site,
remove the probe, wipe off any silicone grease, and cap the open outlet,
being careful not to lose any condensate that might be present. Wipe
off any silicone grease and cap the filter or cyclone inlet. Remove the
umbilical cord from the last impinger and cap the impinger. If a
flexible line is used between the first impinger and the filter holder,
disconnect it at the filter holder and let any condensed water drain
into the first impinger. Wipe off any silicone grease and cap the
filter holder outlet and the impinger inlet. Ground glass stoppers,
plastic caps, serum caps, Teflon tape, Parafilm#, or aluminum foil may
be used to close these openings.
3.3.1.7.6.3 Transfer the probe and filter/impinger assembly to the
cleanup area. This area should be clean and protected from the weather
to minimize sample contamination or loss.
3.3.1.7.6.4 Save portions of all washing solutions used for cleanup
(acetone and Type II water) and the absorbing reagents (0.1 N H2SO4 and
0.1 N NaOH) as blanks. Transfer 200 ml of each solution directly from
the wash bottle being used (rinse solutions) or the supply container
(absorbing reagents) and place each in a separate, prelabeled glass
sample container.
3.3.1.7.6.5 Inspect the train prior to and during disassembly and
note any abnormal conditions.
3.3.1.7.6.6 Container No. 1 (filter catch for particulate
determination). Carefully remove the filter from the filter holder and
place it in its identified Petri dish container. Use one or more pair
of tweezers to handle the filter. If it is necessary to fold the
filter, ensure that the particulate cake is inside the fold. Carefully
transfer to the Petri dish any particulate matter or filter fibers that
adhere to the filter holder gasket, using a dry nylon bristle brush or
sharp-edged blade, or both. Label the container and seal with Teflon
tape around the circumference of the lid.
3.3.1.7.6.7 Container No. 2 (front-half rinse for particulate
determination). Taking care that dust on the outside of the probe or
other exterior surfaces does not get into the sample, quantitatively
recover particulate matter or any condensate from the probe nozzle,
probe fitting, probe liner, and front half of the filter holder by
washing these components with acetone into a glass container. Retain an
acetone blank and analyze with the samples.
3.3.1.7.6.8 Perform rinses as follows: Carefully remove the probe
nozzle and clean the inside surface by rinsing with acetone from a wash
bottle and brushing with a nylon bristle brush. Brush until the rinse
shows no visible particles; then make a final rinse of the inside
surface with the acetone. Brush and rinse the inside parts of the
Swagelok fitting with the acetone in a similar way until no visible
particles remain.
3.3.1.7.6.9 Have two people rinse the probe liner with acetone by
tilting and rotating the probe while squirting acetone into its upper
end so that all inside surfaces will be wetted with solvent. Let the
acetone drain from the lower end into the sample container. A glass
funnel may be used to aid in transferring liquid washed to the
container.
3.3.1.7.6.10 Follow the acetone rinse with a probe brush. Hold the
probe in an inclined position and squirt acetone into the upper end
while pushing the probe brush through the probe with a twisting action;
place a sample container underneath the lower end of the probe and catch
any acetone and particulate matter that is brushed from the probe. Run
the brush through the probe three or more times until no visible
particulate matter is carried out with the acetone or until none remains
in the probe liner on visual inspection. Rinse the brush with acetone
and quantitatively collect these washings in the sample container.
After the brushing, make a final acetone rinse of the probe as described
above. Between sampling runs, keep brushes clean and protected from
contamination.
3.3.1.7.6.11 Clean the inside of the front half of the filter holder
and cyclone by rubbing the surfaces with a nylon bristle brush and
rinsing with acetone. Rinse each surface three times, or more if
needed, to remove visible particulate. Make a final rinse of the brush
and filter holder. Carefully rinse out the glass cyclone and cyclone
flask (if applicable). Brush and rinse any particulate material
adhering to the inner surfaces of these components into the front-half
rinse sample. After all rinses and particulate matter have been
collected in the sample container, tighten the lid on the sample
container so that acetone will not leak out when it is shipped to the
laboratory. Mark the height of the fluid level to determine whether
leakage occurs during transport. Label the container to identify its
contents.
3.3.1.7.6.12 Container No. 3 (knockout and acid impinger catch for
moisture and HCl determination). Disconnect the impingers. Measure the
liquid in the acid and knockout impingers to within 1 ml by using a
graduated cylinder or by weighing it to within 0.5 g by using a balance
(if one is available). Record the volume or weight of liquid present.
This information is required to calculate the moisture content of the
effluent gas. Quantitatively transfer this liquid to a leak-free sample
storage container. Rinse these impingers, connecting glassware (and
tubing, if used); and the back half of the filter holder with water and
add these rinses to the storage container. Seal the container, shake to
mix, and label. The fluid level should be marked so that if any sample
is lost during transport, a correction proportional to the lost volume
can be applied. Retain rinse water and acidic absorbing solution blanks
and analyze with the samples.
3.3.1.7.6.13 Container No. 4 (alkaline impinger catch for Cl2 and
moisture determination). Measure and record the liquid in the alkaline
impingers as described in section 3.3.1.7.6.12. Quantitatively transfer
this liquid to a leak-free sample storage container. Rinse these two
impingers and connecting glassware with water and add these rinses to
the container. Seal the container, shake to mix, and label; mark the
fluid level. Retain alkaline absorbing solution blank and analyze with
the samples.
3.3.1.7.6.14 Container No. 5 (silica gel for moisture
determination). Note the color of the indicating silica gel to
determine if it has been completely spent and make a notation of its
condition. Transfer the silica gel from the last impinger to its
original container and seal. A funnel may make it easier to pour the
silica gel without spilling. A rubber policeman may be used as an aid
in removing the silica gel from the impinger. It is not necessary to
remove the small amount of dust particles that may adhere strongly to
the impinger wall. Because the gain in weight is to be used for
moisture calculations, do not use any water or other liquids to transfer
the silica gel. If a balance is available in the field, weigh the
container and its contents to 0.5 g or better.
3.3.1.7.6.15 Prior to shipment, recheck all sample containers to
ensure that the caps are well secured. Seal the lids of all containers
around the circumference with Teflon tape. Ship all liquid samples
upright and all particulate filters with the particulate catch facing
upward.
3.3.1.7.7 Calculations. Retain at least one extra decimal figure
beyond those contained in the available data in intermediate
calculations, and round off only the final answer appropriately.
3.3.1.7.7.1 Nomenclature.
An=Cross-sectional area of nozzle, m2 (ft2).
Bws=Water vapor in the gas stream, proportion by volume.
Ca=Acetone blank residue concentration, mg/mg.
Cd=Type S pitot tube coefficient (nominally 0.84 0.02),
dimensionless.
Cs=Concentration of particulate matter in stack gas, dry basis,
corrected to standard conditions, g/dscm (g/dscf).
I=Percent of isokinetic sampling.
ma=Mass of residue of acetone after evaporation, mg.
Mn=Total amount of particulate matter collected, mg.
Md=Stack-gas dry molecular weight, g/g-mole (lb/lb-mole).
Mw=Molecular weight of water, 18.0 g/g-mole (18.0 lb/lb-mole).
Pbar=Barometric pressure at the sampling site, mm Hg (in. Hg).
Ps=Absolute stack-gas pressure, ms Hg (in. Hg).
Pstd=Standard absolute pressure, 760 mm Hg (29.92 in. Hg).
R=Ideal gas constant, 0.06236 mm Hg-m3 (K-g-mole (21.85 in. Hg-ft3/
R-lb-mole).
Tm=Absolute average dry-gas meter temperature (see Figure 2), K (
R).
Ts=Absolute average stack-gas temperature (see Figure 2), K ( R).
Tstd=Standard absolute temperature, 293 K (528 R).
Vlc=Total volume of liquid collected in the impingers and silica gel,
ml.
Vm=Volume of gas sample is measured by dry-gas meter, dscm (dscf).
Vm(std)=Volume of gas sample measured by the dry-gas meter, corrected
to standard conditions, dscm (dscf).
Vw(std)=Volume of water vapor in the gas sample, corrected to
standard conditions, scm (scf).
Vs=Stack-gas velocity, calculated by Method 2, Equation 2-9, using
data obtained from Method 5, m/sec (ft/sec).
Wa=Weight of residue in acetone wash, mg.
Va=Volume of acetone blank, ml.
Vaw=Volume of acetone used in wash; ml.
Y=Dry-gas-meter calibration factor, dimensionless.
DH=Average pressure differential across the orifice meter, mm H2O (in
H2O).
ra=Density of acetone, mg/ l (see label on bottle).
rw=Density of water, 0.9982 g/ml (0.002201 lb/ml).
u=Total sampling time, min.
13.6=Specific gravity of mercury.
60=Sec/min.
100=Conversion to percent.
3.3.1.7.7.2 Average dry gas meter temperature and average orifice
pressure drop. See data sheet (Figure 3.3-2).
3.3.1.7.7.3 Dry gas volume. Correct the sample measured by the dry
gas meter to standard conditions (20 C, 760 mm Hg (68 F, 29.92 in.
Hg)) by using Equation 1:
where:
K1=0.3858 K/mm Hg for metric units, or
K1=17.64 R/in. Hg for English units.
3.3.1.7.7.4 Volume of water vapor.
where:
K2=0.001333 m3/ml for metric units, or
K2=0.04707 m3/ml for English units.
3.3.1.7.7.5 Moisture content.
Note: In saturated or water-droplet-laden gas streams, two
calculations of the moisture content of the stack gas shall be made, one
from the impinger analysis (Equation 3) and a second from the assumption
of saturated conditions. The lower of the two values of Bw shall be
considered correct. The procedure for determining the moisture content
based upon assumption of saturated conditions is given in the Note to
section 1.2 of Method 4. For the purposes of this method, the average
stack gas temperature from Figure 2 may be used to make this
determination, provided that the accuracy of the in-stack temperature
sensor is 1 C (2 F).
3.3.1.7.7.6 Acetone blank concentration. For particulate
determination.
3.3.1.7.7.7 Acetone wash blank. For particulate determination.
Wa=CaVawDa (5)
3.3.1.7.7.8 Total particulate weight. Determine the total
particulate catch from the sum of the weights obtained from Container
Nos. 1 and 2 less the acetone blank (Wa).
3.3.1.7.7.9 Particulate concentration.
cs=(0.001 g/mg)(mn/Vm(std)) (6)
3.3.1.7.7.10 Isokinetic variation.
3.3.1.7.7.10.1 Calculation from raw data.
where:
K3=0.003454 mm Hg-m /3/ /ml-K for metric units, or
K3=0.002669 in. Hg-ft /3/ /ml R for English units.
3.3.1.7.7.10.2 Calculation for intermediate values.
where:
K4=4.320 for metric units, or
K4=0.09450 for English units.
3.3.1.7.7.10.3 Acceptable units. If I is less than 90 percent
and greater than 110 percent, the results are acceptable.
If the results are low in comparison with the standard and I is beyond
the acceptable range, or if I is less than 90 percent, the Administrator
may opt to accept the results.
3.3.1.8 Quality Control.
3.3.1.8.1 Sampling. See EPA Manual 600/4-77-027b for Method 5 quality
control.
3.3.1.8.2 Analysis. At the present time, a validated audit material
does not exist for this method. Analytical quality control procedures
are detailed in Method 9057.
3.3.1.9 Method Performance.
3.3.1.9.1 The in-stack detection limit for the method is
approximately 0.02 mg of HCl per liter of stack gas. The method has a
negative bias below 20 ppm HCl (Reference 6).
3.3.1.9.2 It is preferable to include the cyclone in the sampling
train to protect the filter from any moisture present. There is
research in progress regarding the necessity of the cyclone at low
moisture sources and the use of Ascarite II in the drying procedure
(Section 3.3.1.7.5.12).
1. U.S. Environmental Protection Agency, 40 CFR part 60, appendix A,
Methods 1-5.
2. U.S. Environmental Protection Agency, ''Quality Assurance Handbook
for Air Pollution Measurement Systems, Volume III, Stationary Source
Specific Methods,'' Publication No. EPA-600/4-77-027b, August 1977.
3. Shigehara, R.T., Adjustments in the EPA Nomography for Different
Pitot Tube Coefficients and Dry Molecular Weights, Stack Sampling News,
2:4-11 (October 1974).
4. Steinsberger, S.C. and J.H. Margeson, ''Laboratory and Field
Evaluation of a Methodology for Determination of Hydrogen Chloride
Emissions from Municipal and Hazardous Waste Incinerators,'' U.S.
Environmental Protection Agency, Office of Research and Development,
Report No. EPA 600/3-89/064, NTIS PB89 220586-AS.
5. State of California, Air Resources Board, method 421,
''Determination of Hydrochloric Acid emissions from Stationary
Sources,'' March 18, 1987.
6. Entropy Environmentalists, Inc., ''Laboratory Evaluation of a
Sampling and Analysis Method for Hydrogen Chloride Emissions from
Stationary Sources: Interim Report,'' EPA Contract No. 68-02-4442,
Research Triangle Park, North Carolina, January 22, 1988.
3.3.2.1 Scope and Application.
3.3.2.1.1 This method describes the collection of hydrogen chloride
(HCl, CAS Registry Number 7647-01-0) and chlorine (Cl2, CAS Registry
Number 7782-50-5) in stack gas emission samples from hazardous waste
incinerators, municipal waste combustors, and boilers and industrial
furnaces. The collected samples are analyzed using method 9057. This
method is designed to collect HCl/Cl2 in their gaseous forms. Sources,
such as those controlled by wet scrubbers, that emit acid particulate
matter (e.g., HCl dissolved in water droplets) must be sampled using an
isokinetic HCl/Cl2 sampling train (see Method 0050).
3.3.2.2 Summary of Method.
3.3.2.2.1 An integrated gas sample is extracted from the stack and
passes through a particulate filter, acidified water, and finally
through an alkaline solution. The filter serves to remove particulate
matter such as chloride salts which could potentially react and form
analyte in the absorbing solutions. In the acidified water absorbing
solution, the HCl gas is solubilized and forms chloride ions (Cl^) as
follows:
HCl+H2O=H3O++Cl^
The Cl2 gas present in the emissions has a very low solubility in
acidified water and passes through to the alkaline absorbing solution
where it undergoes hydrolysis to form a proton (H+), Cl^, and
hypochlorous acid (HClO) as follows:
H2O+Cl2=H++Cl^+HClO
The Cl^ ions in the separate solutions are measured by ion
chromatography (Method 9057).
3.3.2.3 Interferences.
3.3.2.3.1 Volatile materials which produce chloride ions upon
dissolution during sampling are obvious interferences in the measurement
of HCl. One interferant for HCl is diatomic chlorine (Cl2) gas which
disproportionates to HCl and hypochlorous acid (HClO) upon dissolution
in water. Cl2 gas exhibits a low solubility in water, however, and the
use of acidic rather than neutral or basic solutions for collection of
hydrogen chloride gas greatly reduces the dissolution of any chlorine
present. Sampling a 400 ppm HCl gas stream containing 50 ppm Cl2 with
this method does not cause a significant bias. Sampling a 220 ppm HCl
gas stream containing 180 ppm Cl2 results in a positive bias of 3.4
percent in the HCl measurement.
3.3.2.3.2 Reducing agents such as SO2 may cause a positive bias in
the Cl2 measurement by the following reaction:
HClO+HSO3^=H2SO4+Cl^
3.3.2.4 Apparatus and Materials.
3.3.2.4.1 Sampling Train. The sampling train is shown in Figure 1
and component parts are discussed below.
3.3.2.4.1.1 Probe. Borosilicate glass, approximately 3/8-in (9-mm)
inside diameter, with a heating system to prevent condensation. When
the concentration of alkaline particulate matter in the emissions is
high, a 3/8-in (9-mm) inside diameter Teflon elbow should be attached to
the inlet of the probe; a 1-in (25-mm) length of Teflon tubing with a
3/8-in (9-mm) inside diameter should be attached at the open end of the
elbow to permit the opening of the probe to be burned away from the gas
stream, thus reducing the amount of particulate entering the train.
When high concentrations of particulate matter are not present, the
Teflon elbow is not necessary, and the probe inlet can be perpendicular
to the gas stream. When sampling at locations where gas temperatures
are greater than approximately 400 F, such as wet scrubber inlets, glass
or quartz elbows must be used. In no case should a glass wool plug be
used to remove particulate matter; use of such a filtering device could
result in a bias in the data.(1) Instead, a Teflon filter should be used
as specified in section 3.3.2.5.5.
3.3.2.4.1.2 Three-way stopcock. A borosilicate, three-way glass
stopcock with a heating system to prevent condensation. The heated
stopcock should connect directly to the outlet of the probe and filter
assembly and the inlet of the first impinger. The heating system should
be capable of preventing condensation up to the inlet of the first
impinger. Silicone grease may be used, if necessary, to prevent
leakage.
3.3.2.4.1.3 Impingers. Five 30-ml midget impingers with leak-free
glass connectors. Silicone grease may be used, if necessary, to prevent
leakage. For sampling at high moisture sources or for extended sampling
times greater than one hour, a midget impinger with a shortened stem
(such that the gas sample does not bubble through the collected
condensate) should be used in front of the first impinger.
3.3.2.4.1.4 Mae West impinger or drying tube. Mae West design
impinger (or drying tube, if a moisture determination is not to be
conducted) filled with silica gel, or equivalent, to dry the gas sample
and to protect the dry gas meter and pump.
3.3.2.4.1.5 Sample Line. Leak-free, with compatible fittings to
connect the last impinger to the needle valve.
3.3.2.4.1.6 Barometer. Mercury, aneroid, or other barometer capable
of measuring atmospheric pressure within 2.5 mm Hg (0.1 in. Hg). In
many cases, the barometric reading may be obtained from a nearby
National Weather Service station, in which case the station value (which
is the absolute barometric pressure) shall be requested and an
adjustment for the elevation differences between the weather station and
sampling point shall be applied at a rate of minus 2.5 mm Hg (0.1 in.
Hg) per 30 m (100 ft) elevation increase or vice versa for elevation
decrease.
3.3.2.4.1.7 Purge pump, purge line, drying tube, needle valve, and
rate meter. Pump capable of purging sample probe at 2 liters/min, with
drying tube, filled with silica gel or equivalent, to protect pump, and
a rate meter, 0 to 5 liters/min.
3.3.2.4.1.8 Metering system. The following items comprise the
metering system which is identical to that used for EPA Method 6 (see
Reference 5).
3.3.2.4.1.8.1 Valve. Needle valve, to regulate sample gas flow rate.
3.3.2.4.1.8.2 Pump. Leak-free diaphragm pump, or equivalent, to pull
gas through train. Install a small surge tank between the pump and the
rate meter to eliminate the pulsation effect of the diaphragm pump on
the rotameter.
3.3.2.4.1.8.3 Rate meter. Rotameter, or equivalent, capable of
measuring flow rate to within 2 percent of selected flow rate of 2
liters/min.
3.3.2.4.1.8.4 Volume meter. Dry gas meter, sufficiently accurate to
measure the sample volume within 2 percent, calibrated at the selected
flow rate and conditions encountered during sampling, and equipped with
a temperature gauge (dial thermometer or equivalent) capable of
measuring temperature to within 3 C (5.4 F).
3.3.2.4.1.8.5 Vacuum gauge. At least 760 mm Hg (30 in. Hg) gauge to
be used for leak check of the sampling train.
3.3.2.4.2 Sample Recovery.
3.3.2.4.2.1 Wash bottles. Polyethylene or glass, 500 ml or larger,
two.
3.3.2.4.2.2 Storage bottles. Glass, with Teflon-lined lids, 100 ml,
to store impinger samples (two per sampling run).
3.3.2.5 Reagents.
3.3.2.5.1 Reagent grade chemicals shall be used in all tests. Unless
otherwise indicated, it is intended that all reagents shall conform to
the specifications of the Committee on Analytical Reagents of the
American Chemical Society, where such specifications are available.
Other grades may be used, provided it is first ascertained that the
reagent is of sufficiently high purity to permit its use without
lessening the accuracy of the determination.
3.3.2.5.2 ASTM Type II Water (ASTM D1193-77 (1983)). All references
to water in the method refer to ASTM Type II unless otherwise specified.
It is advisable to analyze a blank sample of this reagent prior to
sampling, since the reagent blank value obtained during the field sample
analysis must be less than 10 percent of the sample values (see method
9057).
3.3.2.5.3 Sulfuric acid (0.1 N), H2SO4. Used as the HCl absorbing
reagent. To prepare 100 ml, slowly add 0.28 ml of concentrated H2SO4 to
about 90 ml of water while stirring, and adjust the final volume to 100
ml using additional water. Shake well to mix the solution. It is
advisable to analyze a blank sample of this reagent prior to sampling,
since the reagent blank value obtained during the field sample analysis
must be less than 10 percent of the sample values (see method 9057).
3.3.2.5.4 Sodium hydroxide (0.1 N), NaOH. Used as the Cl2 absorbing
reagent. To prepare 100 ml, dissolve 0.40 g of solid NaOH in about 90
ml of water and adjust the final volume to 100 ml using additional
water. Shake well to mix the solution. It is advisable to analyze a
blank sample of this reagent prior to sampling, since the reagent blank
value obtained during the field sample analysis must be less than 10
percent of the sample values (see method 9057).
3.3.2.5.5 Filter. Teflon mat Pallflex# TX40HI75 or equivalent.
Locate in a glass, quartz, or Teflon filter holder with a Teflon filter
support in a filter box heated to 250 F.
3.3.2.5.6 Stopcock grease. Acetone-insoluble, heat-stable silicone
grease may be used, if necessary.
3.3.2.5.7 Silica gel. Indicating type, 6- to 16-mesh. If the silica
gel has been used previously, dry at 175 C (350 F) for 2 hours. New
silica gel may be used as received. Alternatively, other types of
desiccants (equivalent or better) may be used.
3.3.2.6 Sample Collection, Preservation, and Handling.
3.3.2.6.1 Sample collection is described in this method. The
analytical procedures are described in method 9057.
3.3.2.6.2 Samples should be stored in clearly labeled, tightly sealed
containers between sample recovery and analysis. They may be analyzed
up to four weeks after collection.
3.3.2.7 Procedure.
3.3.2.7.1 Calibration. Section 3.5.2 of EPA's Quality Assurance
Handbook, Volume III (Reference 4) may be used as a guide for these
operations.
3.3.2.7.1.1 Dry Gas Metering System.
3.3.2.7.1.1.1 Initial calibration. Before its initial use in the
field, first leak check the metering system (sample line, drying tube,
if used, vacuum gauge, needle valve, pump, rate meter, and dry gas
meter) as follows: plug the inlet end of the sampling line, pull a
vacuum of 250 mm (10 in) Hg, plug off the outlet of the dry gas meter,
and turn off the pump. The vacuum should remain stable for 30 seconds.
Carefully release the vacuum from the system by slowly removing the plug
from the sample line inlet. Remove the sampling line (and drying tube,
if applicable), and connect the dry gas metering system to an
appropriately sized wet test meter (e.g.. 1 liter per revolution). Make
three independent calibration runs, using at least five revolutions of
the dry gas meter per run. Calculate the calibration factor, Y (wet
test meter calibration volume divided by the dry gas meter volume, with
both volumes adjusted to the same reference temperature and pressure),
for each run, and average the results. If any Y value deviates by more
than 2 percent from the average, the metering system is unacceptable for
use. Otherwise, use the average as the calibration factor for
subsequent test runs.
3.3.2.7.1.1.2 Post-test calibration check. After each field test
series, conduct a calibration check as in section 3.3.2.7.1.1.1 above,
except for the following variations: (a) The leak check is not to be
conducted, (b) three or more revolutions of the dry gas meter may be
used, (c) only two independent runs need to be made. If the calibration
factor does not deviate by more than 5 percent from the initial
calibration factor (determined in section 3.3.2.7.1.1.1), the dry gas
meter volumes obtained during the test series are acceptable. If the
calibration factor deviates by more than 5 percent, recalibrate the
metering system as section 3.3.2.7.1.1.1, and for the calculations, use
the calibration factor (initial or recalibration) that yields the lower
gas volume for each test run.
3.3.2.7.1.2 Thermometer(s). Prior to each field test, calibrate
against mercury-in-glass thermometers at ambient temperature. If the
thermometer being calibrated reads within 2 C (2.6 F) of the
mercury-in-glass thermometer, it is acceptable. If not, adjust the
thermometer or use an appropriate correction factor.
3.3.2.7.1.3 Rate meter. The rate meter need not be calibrated, but
should be cleaned and maintained according to the manufacturer's
instructions.
3.3.2.7.1.4 Barometer. Prior to each field test, calibrate against a
mercury barometer. The field barometer should agree within 0.1 in. Hg
with the mercury barometer. If it does not, the field barometer should
be adjusted.
3.3.2.7.2 Sampling.
3.3.2.7.2.1 Preparation of collection train. Prepare the sampling
train as follows: The first or knockout impinger should have a
shortened stem and be left empty to condense moisture in the gas stream.
The next two midget impingers should each be filled with 15 ml of 0.1 N
H2SO4, and the fourth and fifth impingers should each be filled with 15
ml of 0.1 N NaOH. Place a fresh charge of silica gel, or equivalent, in
the Mae West impinger (or the drying tube). Connect the impingers in
series with the knockout impinger first, followed by the two impingers
containing the acidified reagent, the two impingers containing the
alkaline reagent, and the Mae West impinger containing the silica gel.
If the moisture will be determined, weigh the impinger assembly to the
nearest 0.5 g and record the weight.
3.3.2.7.2.2 Leak check procedures. Leak check the probe and
three-way stopcock prior to inserting the probe into the stack. Connect
the stopcock to the outlet of the probe, and connect the sample line to
the needle valve. Plug the probe inlet, turn on the sample pump, and
pull a vacuum of at least 250 mm Hg (10 in. Hg). Turn off the needle
valve, and note the vacuum gauge reading. The vacuum should remain
stable for at least 30 seconds. Place the probe in the stack at the
sampling location, and adjust the filter heating system to 250 F and the
probe and stopcock heating systems to a temperature sufficient to
prevent water condensation. Connect the first impinger to the stopcock,
and connect the sample line to the last impinger and the needle valve.
Upon completion of a sampling run, remove the probe from the stack and
leak check as described above. If a leak has occurred, the sampling run
must be voided. Alternatively, the portion of the train behind the
probe may be leak checked between multiple runs at the same site as
follows: Close the stopcock to the first impinger (see Figure 3.3-3A),
and turn on the sample pump. Pull a vacuum of at least 250 mm Hg (10
in. Hg), turn off the needle valve, and note the vacuum gauge reading.
The vacuum should remain stable for at least 30 seconds. Release the
vacuum on the impinger train by turning the stopcock to the vent
position to permit ambient air to enter (see Figure 3.3-3B). If this
procedure is used, the full train leak check described above must be
conducted following the final run and all preceding sampling runs voided
if a leak has occurred.
insert illustration 162
3.3.2.7.2.3 Purge procedure. Immediately prior to sampling, connect
the purge line to the stopcock and turn the stopcock to permit the purge
pump to purge the probe (see Figure 3.3-3A). Turn on the purge pump, and
adjust the purge rate to 2 liters/min. Purge for at least 5 minutes
prior to sampling.
3.3.2.7.2.4 Sample collection. Turn on sample pump, pull a slight
vacuum of approximately 25 mm Hg (1 in. Hg) on the impinger train, and
turn the stopcock to permit stack gas to be pulled through the impinger
train (see Figure 3.3-3C). Adjust the sampling rate to 2 liters/min, as
indicated by the rate meter, and maintain this rate within 10 percent
during the entire sampling run. Take readings of the dry gas meter, the
dry gas meter temperature, rate meter, and vacuum gauge at least once
every five minutes during the run. A sampling time of one hour is
recommended. However, if the expected condensate catch for this
sampling run duration will exceed the capacity of the sampling train,
(1) a larger knockout impinger may be used or (2) two sequential
half-hour runs may be conducted. At the conclusion of the sampling run,
remove the train from the stack, cool, and perform a leak check as
described in section 3.3.2.7.2.2.
3.3.2.7.3 Sample recovery. Following sampling, disconnect the
impinger train from the remaining sampling equipment at the inlet to the
knockout impinger and the outlet to the last impinger. If performing a
moisture determination, wipe off any moisture on the outside of the
train and any excess silicone grease at the inlet and outlet openings;
weigh the train to the nearest 0.5 g and record this weight. Then
disconnect the impingers from each other. Quantitatively transfer the
contents of the first three impingers (the knockout impinger and the two
0.1 N H2SO4 impingers) to a leak-free storage bottle. Add the water
rinses of each of these impingers and connecting glassware from the
second set of impingers (containing the 0.1 N NaOH) should be recovered
in a similar manner if a Cl2 analysis is desired. The sample bottle
should be marked so that if any sample is lost during transport, a
correction proportional to the lost volume can be applied. Save
portions of the 0.1 N H2SO4 and 0.1 N NaOH used as impinger reagents as
reagent blanks. Take 50 ml of each and place in separate leak-free
storage bottles. Label and mark the fluid levels as previously
described.
3.3.2.7.4 Calculations. Retain at least one extra decimal figure
beyond those contained in the available data in intermediate
calculations, and round off only the final answer appropriately.
3.3.2.7.4.1 Nomenclature.
Bws=Water vapor in the gas stream, proportion by volume.
Mw=Molecular weight of water, 18.0 g/g-mole (18.0 lb/lb-mole).
Pbar=Barometric pressure at the exit orifice of the dry gas meter, mm
Hg (in. Hg).
Pstd=Standard absolute pressure, 760 mm Hg (29.92 in. Hg).
R=Ideal gas constant, 0.06236 mm Hg-m /3/ / K-g-mole (21.85 in.
Hg-ft /3/ / R-lb-mole).
Tm=Average dry gas meter absolute temperature, K ( R).
Tstd=Standard absolute temperature, 293 K (528 R).
V1c=Total volume of liquid collected in impingers and silica gel, ml
(equivalent to the difference in weight of the impinger train before and
after sampling, 1 mg=1 ml).
Vm=Dry gas volume as measured by the dry gas meter, dcm (dcf).
Vm(std)=Dry gas volume measured by the dry gas meter, corrected to
standard conditions, dscm (dscf).
Vw(std)=Volume of water vapor in the gas sample, corrected to
standard conditions, scm (scf).
Y=Dry gas meter calibration factor.
rw=Density of water, 0.9982 g/ml (0.002201 lb/ml).
3.3.2.7.4.2 Sample volume, dry basis, corrected to standard
conditions. Calculate as described below:
where:
K1=0.3858 K/mm Hg for metric units.
K1=17.64 R/in. Hg for English units.
3.3.2.7.4.3 Volume of water vapor.
where:
K2=0.0013333 m3/ml for metric units.
K2=0.04707 ft3/ml for English units.
3.3.2.7.4.4 Moisture content.
3.3.2.8 Quality Control.
3.3.2.8.1 At the present time, a validated audit material does not
exist for this method. Analytical quality control procedures are
detailed in Method 9057.
3.3.2.9 Method Performance.
3.3.2.9.1 The in-stack detection limit for the method is
approximately 0.08 mg of HCl per liter of stack gas for a 1-hour sample.
3.3.2.9.2 The precision and bias for measurement of HCl using this
sampling protocol combined with the analytical protocol of method 9057
have been determined. The within laboratory relative standard deviation
is 6.2 percent and 3.2 percent at HCl concentrations of 3.9 and 15.3
ppm, respectively. The method does not exhibit any bias for HCl when
sampling at Cl2 concentrations less than 50 ppm.
1. Steinsberger. S.C. and J.H. Margeson, ''Laboratory and Field
Evaluation of a Methodology for Determination of Hydrogen Chloride
Emissions from Municipal and Hazardous Waste Incinerators,'' U.S.
Environmental Protection Agency, Office of Research and Development,
Report No. EPA 600/3- 89/064, NTIS PB 89 220586-AS.
2. State of California, Air Resources Board, Method 421,
''Determination of Hydrochloric Acid Emissions from Stationary
Sources,'' March 18, 1987.
3. Entropy Environmentalists, Inc., ''Laboratory Evaluation of a
Sampling and Analysis Method for Hydrogen Chloride Emissions from
Stationary Sources: Interim Report,'' EPA Contract No. 68-02-4442,
Research Triangle Park, North Carolina, January 22, 1988.
4. U.S. Environmental Protection Agency, ''Quality Assurance Handbook
for Air Pollution Measurement Systems, volume III, Stationary Source
Specific Methods,'' Publication No. EPA-600/4-77-027b, August 1977.
5. U.S. Environmental Protection Agency, 40 CFR part 60, appendix A,
method 6.
*If Fractions 1A and 2A are combined, proportional aliquots must be
used. Appropriate changes must be made in Equations 1-3 to reflect this
approach.
*Note: Mention of trade names or specific product does not
constitute endorsement by the Environmental Protection Agency.
40 CFR 266.112 -- -- 3.3.3 Protocol for Analysis of Samples from
HCl/Cl2 Emission Sampling Train (Method 9057)
3.3.3.1 Scope and Application.
3.3.3.1.1 This method describes the analytical protocol for
determination of hydrogen chloride (HCl, CAS Registry Number 7647-01-0)
and chloride (Cl2, CAS Registry Number 7782-50-5) in stack gas emission
samples collected from hazardous waste and municipal waste incinerators
using the midget impinger HCl/Cl2 sampling train (method 0051) or the
isokinetic HCl/Cl2 sampling train (method 0050).
3.3.3.1.2 The lower detection limit is 0.1 g of chloride (Cl^ ) per
ml of sample solution. Samples with concentrations which exceed the
linear range of the analytical instrumentation may be diluted.
3.3.3.1.3 This method is recommended for use only by analysts
experienced in the use of ion chromatography and in the interpretation
of ion chromatograms.
3.3.3.2 Summary of Method.
3.3.3.2.1 The stoichiometry of HCl and Cl2 collection in the sampling
train (see methods 0050 and 0051) is as follows: In the acidified water
absorbing solution, the HCl gas is solubilized and forms chloride ions
(Cl^) according to the following formula:
HCl+H2O=H3O++Cl^
The Cl2 gas present in the emissions has a very low solubility in
acidified water and passes through to the alkaline absorbing solution
where it undergoes hydrolysis to form a proton (H+), Cl^ , and
hypochlorous acid (HClO) as shown:
H2O+Cl2=H++Cl^+HClO
Non-suppressed or suppressed ion chromatography (IC) is used for
analysis of the Cl^.
3.3.3.3 Interferences.
3.3.3.3.1 Volatile materials which produce chloride ions upon
dissolution during sampling are obvious interferences in the measurement
of HCl. One likely interferant is diatomic chlorine (Cl2) gas which
dispropor-tionates to HCl and hypochlorous acid (HOCl) upon dissolution
in water. Cl2 gas exhibits a low solubility in water, however, and the
use of acidic rather than neutral or basic solutions for collection of
hydrogen chloride gas greatly reduces the dissolution of any chlorine
present. Sampling a 400 ppm HCl gas stream containing 50 ppm Cl2 with
this method does not cause a significant bias. Sampling a 220 ppm HCl
gas stream containing 180 ppm Cl2 results in a positive bias of 3.4
percent in the HCl measurement. Other interferants have not been
encountered.
3.3.3.3.2 Reducing agents such as SO2 may cause a positive bias in
the Cl2 measurement by the following reaction:
HClO+HSO3^=H2SO4+Cl^
3.3.3.4 Apparatus and Materials.
3.3.3.4.1 Volumetric Flasks. Class A, various sizes.
3.3.3.4.2 Volumetric Pipettes. Class A, assortment, to dilute
samples to calibration range of the IC.
3.3.3.4.3 Ion Chromatograph. Suppressed or non-suppressed, with a
conductivity detector and electronic integrator operating in the peak
area mode. Other detectors, a strip chart recorder, and peak heights
may be used provided the 5 percent repeatability criteria for sample
analysis and the linearity criteria for the calibration curve can be
met.
3.3.3.5 Reagents.
3.3.3.5.1 Reagent grade chemicals shall be used in all tests. Unless
otherwise indicated, it is intended that all reagents shall conform to
the specifications of the Committee on Analytical Reagents of the
American Chemical Society, where such specifications are available.
Other grades may be used, provided it is first ascertained that the
reagent is of sufficiently high purity to permit its use without
lessening the accuracy of the determination.
3.3.3.5.2 ASTM Type II Water (ASTM D1193-77 (1983)). All references
to water in the method refer to ASTM Type II unless otherwise specified.
3.3.3.5.3 Sulfuric acid (0.1 N), H2SO4. To prepare 100 ml, slowly
add 0.28 ml of concentrated H2SO4 to about 90 ml of water while
stirring, and adjust the final volume to 100 ml using additional water.
Shake well to mix the solution.
3.3.3.5.4 Sodium hydroxide (0.1 N), NaOH. To prepare 100 ml,
dissolve 0.40 g of solid NaOH in about 90 ml of water and adjust the
final volume to 100 ml using additional water. Shake well to mix the
solution.
3.3.3.5.5 Reagent blank solutions. A separate blank solution of each
sampling train reagent used and collected in the field (0.1 N H2SO4 and
0.1 N NaOH) should be prepared for analysis with the field samples. For
midget impinger train sample analysis, dilute 30 ml of each reagent with
rinse water collected in the field as a blank to the final volume of the
samples; for isokinetic train sample analysis, dilute 200 ml to the
same final volume as the field samples also using the blank sample of
rinse water.
3.3.3.5.6 Sodium chloride, NaCl, stock standard solution. Solutions
containing a nominal certified concentration of 1000 mg/L NaCl are
commercially available as convenient stock solutions from which working
standards can be made by appropriate volumetric dilution. Alternately,
concentrated stock solutions may be produced from reagent grade NaCl
that has been dried at 110 C for two or more hours and then cooled to
room temperature in a desiccator immediately before weighing.
Accurately weigh 1.6 to 1.7 g of the dried NaCl to within 0.1 mg,
dissolve in water, and dilute to 1 liter. The exact Cl^ concentration
can be calculated using the equation:
g Cl^/ml=g of NaCl 103 35.453/58.44
Refrigerate the stock standard solutions and store no longer than one
month.
3.3.3.5.7 Chromatographic eluent. Effective eluents for
non-suppressed ion chromatography using a resin- or silica-based weak
ion exchange column are a 4 mM potassium hydrogen phthalate solution,
adjusted to a pH of 4.0 using a saturated sodium borate solution, and a
mM 4-hydroxy benzoate solution, adjusted to a pH of 8.6 using 1 N sodium
hydroxide. An effective eluent for suppressed ion chromatography is a
solution containing 3 mM sodium bicarbonate and 2.4 mM sodium carbonate.
Other dilute solutions buffered to a similar pH that contain no ions
interfering with the chromatographic analysis may be used. If, using
suppressed ion chromatography, the ''water dip'' resulting from sample
injection is interfering with the chlorine peak, use a 2 mM sodium
hydroxide/2.4 mM sodium bicarbonate eluent.
3.3.3.6 Sample Collection, Preservation, and Handling.
3.3.3.6.1 Sample collection using the midget impinger HCl/Cl2 train
or the isokinetic HCl/Cl2 train is described in Method 0051 or 0050,
respectively.
3.3.3.6.2 Samples should be stored in clearly labeled, tightly sealed
containers between sample recovery and analysis. They may be analyzed
up to four weeks after collection.
3.3.3.7 Procedure.
3.3.3.7.1 Sample preparation for analysis. Check the liquid level in
each sample, and determine if any sample was lost during shipment. If a
noticeable amount of leakage has occurred, the volume can be determined
from the difference between the initial and final solution levels, and
this value can be used to correct the analytical results. For midget
impinger train samples, quantitatively transfer each sample solution to
a 100 ml volumetric flask and dilute to 100 ml with water. For
isokinetic sampling train samples, quantitatively transfer each sample
to a volumetric flask or graduated cylinder and dilute with water to a
final volume appropriate for all samples.
3.3.3.7.2 Calibration of Ion Chromatograph.
3.3.3.7.2.1 The ion chromatographic conditions will depend on the
type of analytical column used and whether suppressed or non-suppressed
ion chromatography is used. Prior to calibration and sample analysis,
establish a stable baseline. Next, inject a sample of water, and
determine if any Cl^ appears in the chromatogram. If Cl^ is present,
repeat the load/injection procedure until no Cl^ is present.
3.3.3.7.2.2 To prepare the calibration standards, dilute given
amounts (1.0 ml or greater) of the stock standard solution to convenient
volumes, using 0.1 H2SO4 or 0.1 NaOH as appropriate. Prepare at least
four standards that are within the linear range of the field samples.
Inject the calibration standards, starting with the lowest concentration
standard first, both before and after injection of the quality control
check sample, reagent blank, and field samples. This allows
compensation for any instrument drift occurring during sample analysis.
3.3.3.7.2.3 Determine the peak areas, or heights, of the standards
and plot individual values versus Cl^ concentrations in g/ml. Draw a
smooth curve through the points. Use linear regression to calculate a
formula describing the resulting linear curve.
3.3.3.7.3 Sample analysis. Between injections of the series of
calibration standards, inject in duplicate the reagent blanks and the
field samples, including a matrix spike sample. Measure the areas or
heights (same as done for the calibration standards) of the Cl^ peaks.
Use the average response to determine the concentrations of the field
samples, matrix spike, and reagent blanks using the linear calibration
curve. The results for a reagent blank should not exceed 10 percent of
the corresponding value for a field sample.
3.3.3.7.4 Calculations. Retain at least one extra decimal figure
beyond those contained in the available data in intermediate
calculations, and round off only the final answer appropriately.
3.3.3.7.4.1 Total g HCl per sample. Calculate as described below:
mHCl=(S^B) Vs 36.46/35.453 (1)
where:
mHCl=Mass of HCl in sample, g,
S=Analysis of sample, g Cl^/ml,
B=Analysis of reagent blank, g Cl^/ml,
Vs=Volume of filtered and diluted sample, ml,
36.46=Molecular weight of HCl, g/ g-mole, and
35.45=Atomic weight of Cl^, g/ g-mole.
3.3.3.7.4.2 Total g Cl2 per sample. Calculate as described below:
MCl2=(S^B) V2 70.91/35.45 (2)
where:
MCl2=Mass of Cl2 in sample, g,
70.91=Molecular weight of Cl2, g/ g-mole, and
35.45=Atomic weight of Cl^, g/ g-mole.
3.3.3.7.4.3 Concentration of HCl in the flue gas. Calculate as
described below:
C=K m/Vm(std) (3)
where:
C=Concentration of HCl or Cl2, dry basis, mg/dscm,
K=10^3 mg/ g,
m=Mass of HCl or Cl2 in sample, g, and
Vm(std)=Dry gas volume measured by the dry gas meter, corrected to
standard conditions, dscm (from Method 0050 or Method 0051).
3.3.3.8 Quality Control.
3.3.3.8.1 At the present time, a validated audit material does not
exist for this method. However, it is strongly recommended that a
quality control check sample and a matrix spike sample be used.
3.3.3.8.1.1 Quality control check sample. Chloride solutions of
reliably known concentrations are available for purchase from the
National Bureau of Standards (SRM 3182). The QC check sample should be
prepared in the appropriate absorbing reagent at a concentration
approximately equal to the mid range calibration standard. The quality
control check sample should be injected in duplicate immediately after
the calibration standards have been injected for the first time. The
Cl- value obtained for the check sample using the final calibration
curve should be within 10 percent of the known value for the check
sample.
3.3.3.8.1.2 Matrix spike sample. A portion of at least one field
sample should be used to prepare a matrix spike sample. Spike the
sample aliquot in the range of the expected concentration. Analyze the
matrix spike sample in duplicate along with the field samples. Based on
the matrix spike results, determine the recovery for the spiked
material. This should be within 10 percent of the known spike value.
3.3.3.9 Method Performance.
3.3.3.9.1 The lower detection limit of the analytical method is 0.1
g of Cl- per ml of sample solution. Samples with concentrations which
exceed the linear range of the IC may be diluted.
3.3.3.9.2 The precision and bias for analysis of HCl using this
analytical protocol have been measured in combination with the midget
impinger HCl/Cl2 train (method 0051) for sample collection. The
within-laboratory relative standard deviation is 6.2 percent and 3.2
percent at HCl concentrations of 3.9 and 15.3 ppm, respectively. The
method does not exhibit any bias for HCl when sampling at Cl2
concentrations less than 50 ppm.
1. Steinsberger, S.C. and J.H. Margeson, ''Laboratory and Field
Evaluation of a Methodology for Determination of Hydrogen Chloride
Emissions from Municipal and Hazardous Waste Incinerators,'' U.S.
Environmental Protection Agency, Office of Research and Development,
Report No. EPA 600/3-89/064, NTIS PB89 220586-AS.
2. State of California, Air Resources Board, Method 421,
''Determination of Hydrochloric Acid Emissions from Stationary Sources''
March 18, 1987.
3. Entropy Environmentalists, Inc., ''Laboratory Evaluation of a
Sampling and Analysis Method for Hydrogen Chloride emissions from
Stationary Sources: Interim Report,'' EPA Contract No. 68-02-4442,
Research Triangle Park, North Carolina, January 22, 1988.
3.4.1.1 Applicability. This method is applicable to the determination
of polychlorinated dibenzo-p-dioxins (PCDDs) and polychlorinated
dibenzofurans (PCDFs) from stationary sources.
3.4.1.2 Principle. A sample is withdrawn from the gas stream
isokinetically and collected in the sample probe, on a glass fiber
filter, and on a packed column of adsorbent material. The sample cannot
be separated into a particle vapor fraction. The PCDDs and PCDFs are
extracted from the sample, separated by high resolution gas
chromatography, and measured by high resolution mass spectrometry.
3.4.2.1 Sampling. A schematic of the sampling train used in this
method is shown in Figure 3.4-1. Sealing greases may not be used in
assembling the train. The train is identical to that described in
Section 2.1 of Method 5 (40 CFR part 60, appendix A) with the following
additions:
3.4.2.1.1 Reagents. Reagent grade chemicals shall be used in all
tests. Unless otherwise indicated, it is intended that all reagents
shall conform to the specifications of the Committee on Analytical
Reagents of the American Chemical Society, where such specifications are
available. Other grades may be used, provided it is first ascertained
that the reagent is of sufficiently high purity to permit its use
without lessening the accuracy of the determination.
3.4.2.1.2 Nozzle. The nozzle shall be made of nickel, nickel-plated
stainless steel, quartz, or borosilicate glass.
insert illustration 176
3.4.2.1.3 Sample Transfer Lines. The sample transfer lines, if
needed, shall be heat-traced, heavy walled TFE ( 1/2 in. OD with 1/8 in.
wall) with connecting fittings that are capable of forming leak-free,
vacuum-tight connections without using sealing greases. The line shall
be as short as possible and must be maintained at 120 C.
3.4.2.1.4 Filter Support. Teflon or Teflon-coated wire.
3.4.2.1.5 Condenser. Glass, coil type with compatible fittings. A
schematic diagram is shown in Figure 3.4-2.
3.4.2.1.6 Water Bath. Thermostatically controlled to maintain the
gas temperature exiting the condenser at >20 C (68 F).
3.4.2.1.7 Adsorbent Module. Glass container to hold the solid
adsorbent. A schematic diagram is shown in Figure 3.4-2. Other physical
configurations of the resin trap/condenser assembly are acceptable. The
connecting fittings shall form leak-free, vacuum tight seals. No
sealant greases shall be used in the sampling train. A coarse glass
frit is included to retain the adsorbent.
insert illustration 178
3.4.2.2 Sample Recovery.
3.4.2.2.1 Fitting Caps. Ground glass, Teflon tape, or aluminum foil
(Section 3.4.2.2.6) to cap off the sample-exposed sections of the train.
3.4.2.2.2 Wash Bottles. Teflon, 500-ml.
3.4.2.2.3 Probe-Liner Probe-Nozzle, and Filter-Holder Brushes. Inert
bristle brushes with precleaned stainless steel or Teflon handles. The
probe brush shall have extensions of stainless steel or Teflon, at least
as long as the probe. The brushes shall be properly sized and shaped to
brush out the nozzle, probe liner, and transfer line, if used.
3.4.2.2.4 Filter Storage Container. Sealed filter holder, wide-mouth
amber glass jar with Teflon-lined cap, or glass petri dish.
3.4.2.2.5 Balance. Triple beam.
3.4.2.2.6 Aluminum Foil. Heavy duty, hexane-rinsed.
3.4.2.2.7 Metal Storage Container. Air-tight container to store
silica gel.
3.4.2.2.8 Graduated Cylinder. Glass, 250-ml with 2-ml graduation.
3.4.2.2.9 Glass sample Storage container. Amber glass bottle for
sample glassware washes, 500- or 1000-ml, with leak-free Teflon-lined
caps.
3.4.2.3 Analysis.
3.4.2.3.1 Sample Container. 125- and 250-ml flint glass bottles with
Teflon-lined caps.
3.4.2.3.2 Test Tube. Glass.
3.4.2.3.3 Soxhlet Extraction Apparatus. Capable of holding 43 123
mm extraction thimbles.
3.4.2.3.4 Extraction Thimble. Glass, precleaned cellulosic, or glass
fiber.
3.4.2.3.5 Pasteur Pipettes. For preparing liquid chromatographic
columns.
3.4.2.3.6 Reacti-vials. Amber glass, 2-ml, silanized prior to use.
3.4.2.3.7 Rotary Evaporator. Buchi/Brinkman RF-121 or equivalent.
3.4.2.3.8 Nitrogen Evaporator Concentrator. N-Evap Analytical
Evaporator Model III or equivalent.
3.4.2.3.9 Separatory Funnels. Glass, 2-liter.
3.4.2.3.10 Gas Chromatograph. Consisting of the following
components:
3.4.2.3.10.1 Oven. Capable of maintaining the separation column at
the proper operating temperature 1 C and performing programmed
increases in temperature at rates of at least 3 C/min.
3.4.2.3.10.2 Temperature Gauge. To monitor column, oven, detector,
and exhaust temperatures 1 C.
3.4.2.3.10.3 Flow System. Gas metering system to measure sample,
fuel, combustion gas, and carrier gas flows.
3.4.2.3.10.4 Capillary Columns. A fused silica column, 60 0.25 mm
inside diameter (ID), coated with DB.5 and a fused silica column, 30 m
0.25 mm ID coated with DB-225. Other column systems may be used
provided that the user is able to demonstrate, using calibration and
performance checks, that the column system is able to meet the
specifications of section 3.4.6.1.2.2.
3.4.2.3.11 Mass Spectrometer. Capable of routine operation at a
resolution of 1:10000 with a stability of 5 ppm.
3.4.2.3.12 Data System. Compatible with the mass spectrometer and
capable of monitoring at least five groups of 25 ions.
3.4.2.3.13 Analytical Balance. To measure within 0.1 mg.
3.4.3.1 Sampling.
3.4.3.1.1 Filters. Glass fiber filters, without organic binder,
exhibiting at least 99.95 percent efficiency (<0.05 percent penetration)
on 0.3-micron dioctyl phthalate smoke particles. The filter efficiency
test shall be conducted in accordance with ASTM Standard Method D
2986-71 (Reapproved 1978) (incorporated by reference -- see 60.17).
3.4.3.1.1.1 Precleaning. All filters shall be cleaned before their
initial use. Place a glass extraction thimble, 1 g of silica gel, and a
plug of glass wool into a Soxhlet apparatus, charge the apparatus with
toluene, and reflux for a minimum of 3 hours. Remove the toluene and
discard it, but retain the silica gel. Place no more than 50 filters in
the thimble onto the silica gel bed and top with the cleaned glass wool.
Charge the Soxhlet with toluene and reflux for 16 hours. After
extraction, allow the Soxhlet to cool, remove the toluene extract, and
retain it for analysis. Remove the filters and dry them under a clean
N2 stream. Store the filters in a glass petri dish sealed with Teflon
tape.
3.4.3.1.2 Adsorbent Resin. Amberlite XAD-2 resin, thoroughly cleaned
before initial use.
3.4.3.1.2.1 Cleaning Procedure. This procedure may be carried out in
a giant Soxhlet extractor. An all-glass filter thimble containing an
extra-coarse frit is used for extraction of XAD-2. The frit is recessed
10-15 mm above a crenelated ring at the bottom of the thimble to
facilitate drainage. The resin must be carefully retained in the
extractor cup with a glass wool plug and a stainless steel ring because
it floats on methylene chloride. This process involves sequential
extraction in the following order:
3.4.3.1.2.2 Drying.
3.4.3.1.2.2.1 Drying Column. Pyrex pipe, 10.2 cm ID by 0.6 m long,
with suitable retainers.
3.4.3.1.2.2.2 Procedure. The adsorbent must be dried with clean inert
gas. Liquid nitrogen from a standard commercial liquid nitrogen
cylinder has proven to be a reliable source of large volumes of gas free
from organic contaminants. Connect the liquid nitrogen cylinder to the
column by a length of cleaned copper tubing, 0.95 cm ID, coiled to pass
through a heat source. A convenient heat source is a water-bath heated
from a steam line. The final nitrogen temperature should only be warm
to the touch and not over 40 C. Continue flowing nitrogen through the
adsorbent until all the residual solvent is removed. The flow rate
should be sufficient to gently agitate the particles but not so
excessive as to cause the particles to fracture.
3.4.3.1.2.3 Quality Control Check. The adsorbent must be checked for
residual methylene chloride as well as PCDDs and PCDFs.
3.4.3.1.2.3.1 Extraction. Weigh a 1.0 g sample of dried resin into a
small vial, add 3 ml of toluene, cap the vial, and shake it well.
3.4.3.1.2.3.2 Analysis. Inject a 2- l sample of the extract into a
gas chromatograph operated under the following conditions:
Column: 6 ft 1/8 in. stainless steel containing 10 percent OV-101
on 100/120 Supelcoport.
Carrier Gas: Helium at a rate of 30 ml/min.
Detector: Flame ionization detector operated at a sensitivity of 4
10^11 A/mV.
Injection Port Temperature: 250 C.
Detector Temperature: 305 C.
Oven Temperature: 30 C for 4 min; programmed to rise at 40 C/min
until it reaches 250 C; return to 30 C after 17 minutes.
Compare the results of the analysis to the results from the reference
solution. Prepare the reference solution by injecting 2.5 l of
methylene chloride into 100 ml of toluene. This corresponds to 100 g
of methylene chloride per g of adsorbent. The maximum acceptable
concentration is 1000 g/g of adsorbent. If the adsorbent exceeds this
level, drying must be continued until the excess methylene chloride is
removed.
3.4.3.1.2.3.3 Storage. The adsorbent must be used within 4 weeks of
cleaning. After cleaning, it may be stored in a wide mouth amber glass
container with a Teflon-lined cap or placed in one of the glass
adsorbent modules tightly sealed with glass stoppers. If precleaned
adsorbent is purchased in sealed containers, it must be used within 4
weeks after the seal is broken.
3.4.3.1.3 Glass Wool. Cleaned by sequential immersion in three
aliquots of methylene chloride, dried in a 110 C oven. and stored in a
methylene chloride-washed glass jar with a Teflon-lined screw cap.
3.4.3.1.4 Water. Deionized distilled and stored in a methylene
chloride-rinsed glass container with a Teflon-lined screw cap.
3.4.3.1.5 Silica Gel. Indicating type, 6 to 16 mesh. If previously
used, dry at 175 C (350 F) for two hours. New silica gel may be used
as received. Alternatively, other types of desiccants (equivalent or
better) may be used, subject to the approval of the Administrator.
3.4.3.1.6 Chromic Acid Cleaning Solution. Dissolve 20 g of sodium
dichromate in 15 ml of water, and then carefully add 400 ml of
concentrated sulfuric acid.
3.4.3.2 Sample Recovery.
3.4.3.2.1 Acetone. Pesticide quality.
3.4.3.2.2 Methylene Chloride. Pesticide quality.
3.4.3.2.3 Toluene. Pesticide quality.
3.4.3.3 Analysis.
3.4.3.3.1 Potassium Hydroxide. ACS grade, 2-percent (weight/volume)
in water.
3.4.3.3.2 Sodium Sulfate. Granulated, reagent grade. Purify prior
to use by rinsing with methylene chloride and oven drying. Store the
cleaned material in a glass container with a Teflon-lined screw cap.
3.4.3.3.3 Sulfuric Acid. Reagent grade.
3.4.3.3.4 Sodium Hydroxide. 1.0 N. Weigh 40 g of sodium hydroxide
into a 1-liter volumetric flask. Dilute to 1 liter with water.
3.4.3.3.5 Hexane. Pesticide grade.
3.4.3.3.6 Methylene Chloride. Pesticide grade.
3.4.3.3.7 Benzene. Pesticide grade.
3.4.3.3.8 Ethyl Acetate.
3.4.3.3.9 Methanol. Pesticide grade.
3.4.3.3.10 Toluene. Pesticide grade.
3.4.3.3.11 Nonane. Pesticide grade.
3.4.3.3.12 Cyclohexane. Pesticide grade.
3.4.3.3.13 Basic Alumina. Activity grade 1, 100-200 mesh. Prior to
use, activate the alumina by heating for 16 hours at 130 C before use.
Store in a desiccator. Pre-activated alumina may be purchased from a
supplier and may be used as received.
3.4.3.3.14 Silica Gel. Bio-Sil A, 100-200 mesh. Prior to use,
activate the silica gel by heating for at least 30 minutes at 180 C.
After cooling, rinse the silica gel sequentially with methanol and
methylene chloride. Heat the rinsed silica gel at 50 C for 10 minutes,
and then increase the temperature gradually to 180 C over 25 minutes
and maintain it at this temperature for 90 minutes. Cool at room
temperature and store in a glass container with a Teflon-lined screw
cap.
3.4.3.3.15 Silica Gel Impregnated with Sulfuric Acid. Combine 100 g
of silica gel with 44 g of concentrated sulfuric acid in a screw-capped
glass bottle and agitate thoroughly. Disperse the solids with a
stirring rod until a uniform mixture is obtained. Store the mixture in
a glass container with a Teflon-lined screw cap.
3.4.3.3.16 Silica Gel Impregnated with Sodium Hydroxide. Combine 39
g of 1 N sodium hydroxide with 100 g of silica gel in a screw-capped
glass bottle and agitate thoroughly. Disperse solids with a stirring
rod until a uniform mixture is obtained. Store the mixture in a glass
container with a Teflon-lined screw cap.
3.4.3.3.17 Carbon/Celite. Combine 10.7 g of AX-21 carbon with 124 g
of Celite 545 in a 250-ml glass bottle with a Teflon-lined screw cap.
Agitate the mixture thoroughly until a uniform mixture is obtained.
Store in the glass container.
3.4.3.3.18 Nitrogen. Ultra high purity.
3.4.3.3.19 Hydrogen. Ultra high purity.
3.4.3.3.20 Internal Standard Solution. Prepare a stock standard
solution containing the isotopically labeled PCDDs and PCDFs at the
concentrations shown in Table 3.4-1 under the heading ''Internal
Standards'' in 10 ml of nonane.
3.4.3.3.21 Surrogate Standard Solution. Prepare a stock standard
solution containing the isotopically labeled PCDDs and PCDFs at the
concentrations shown in Table 1 under the heading ''Surrogate
Standards'' in 10 ml of nonane.
3.4.3.3.22 Recovery Standard Solution. Prepare a stock standard
solution containing the isotopically labeled PCDDs and PCDFs at the
concentrations shown in Table 1 under the heading ''Recovery Standards''
in 10 ml of nonane.
3.4.4.1 Sampling. The complexity of this method is such that, in
order to obtain reliable results, analysts should be trained and
experienced with the analytical procedures.
3.4.4.1.1 Preparation Prior to Analysis.
3.4.4.1.1.1 Cleaning Glassware. All glass components of the train
upstream of and including the adsorbent module, shall be cleaned as
described in Section 3A of the ''Manual of Analytical Methods for the
Analysis of Pesticides in Human and Environmental Samples.'' Special
care shall be devoted to the removal of residual silicone grease
sealants on ground glass connections of used glassware. Any residue
shall be removed by soaking the glassware for several hours in a chromic
acid cleaning solution prior to cleaning as described above.
3.4.4.1.1.2 Adsorbent Trap. The traps must be loaded in a clean area
to avoid contamination. They may not be loaded in the field. Fill a
trap with 20 to 40 g of XAD-2. Follow the XAD-2 with glass wool and
tightly cap both ends of the trap. Add 100 l of the surrogate standard
solution (Section 3.4.3.3.21) to each trap.
3.4.4.1.1.3 Sample Train. It is suggested that all components be
maintained according to the procedure described in APTD-0576.
3.4.4.1.1.4 Silica Gel. Weigh several 200 to 300 g portions of
silica gel in an air-tight container to the nearest 0.5 g. Record the
total weight of the silica gel plus container, on each container. As an
alternative, the silica gel may be weighed directly in its impinger or
sample holder just prior to sampling.
3.4.4.1.1.5 Filter. Check each filter against light for
irregularities and flaws or pinhole leaks. Pack the filters flat in a
clean glass container.
3.4.4.1.2 Preliminary Determinations. Same as Section 4.1.2 of
Method 5.
3.4.4.1.3 Preparation of Collection Train.
3.4.4.1.3.1 During preparation and assembly of the sampling train,
keep all train openings where contamination can enter, sealed until just
prior to assembly or until sampling is about to begin.
Note: Do not use sealant grease in assembling the train.
3.4.4.1.3.2 Place approximately 100 ml of water in the second and
third impingers, leave the first and fourth impingers empty, and
transfer approximately 200 to 300 g of preweighed silica gel from its
container to the fifth impinger.
3.4.4.1.3.3 Place the silica gel container in a clean place for later
use in the sample recovery. Alternatively, the weight of the silica gel
plus impinger may be determined to the nearest 0.5 g and recorded.
3.4.4.1.3.4 Assemble the train as shown in Figure 3.4-1.
3.4.4.1.3.5 Turn on the adsorbent module and condenser coil
recirculating pump and begin monitoring the adsorbent module gas entry
temperature. Ensure proper sorbent temperature gas entry temperature
before proceeding and before sampling is initiated. It is extremely
important that the XAD-2 adsorbent resin temperature never exceed 50 C
because thermal decomposition will occur. During testing, the XAD-2
temperature must not exceed 20 C for efficient capture of the PCDDs and
PCDFs.
3.4.4.1.4 Leak-Check Procedure. Same as method 5, section 4.1.4.
3.4.4.1.5 Sample Train Operation. Same as method 5, section 4.1.5.
3.4.4.2 Sample Recovery. Proper cleanup procedure begins as soon as
the probe is removed from the stack at the end of the sampling period.
Seal the nozzle end of the sampling probe with Teflon tape or aluminum
foil.
When the probe can be safely handled, wipe off all external
particulate matter near the tip of the probe. Remove the probe from the
train and close off both ends with aluminum foil. Seal off the inlet to
the train with Teflon tape, a ground glass cap, or aluminum foil.
Transfer the probe and impinger assembly to the cleanup area. This
area shall be clean and enclosed so that the chances of losing or
contaminating the sample are minimized. Smoking, which could
contaminate the sample, shall not be allowed in the cleanup area.
Inspect the train prior to and during disassembly and note any
abnormal conditions, e.g., broken filters, colored impinger liquid, etc.
Treat the samples as follows:
3.4.4.2.1 Container No. 1. Either seal the filter holder or
carefully remove the filter from the filter holder and place it in its
identified container. Use a pair of cleaned tweezers to handle the
filter. If it is necessary to fold the filter, do so such that the
particulate cake is inside the fold. Carefully transfer to the
container any particulate matter and filter fibers which adhere to the
filter holder gasket, by using a dry inert bristle brush and a
sharp-edged blade. Seal the container.
3.4.4.2.2 Adsorbent Module. Remove the module from the train,
tightly cap both ends, label it, cover with aluminum foil, and store it
on ice for transport to the laboratory.
3.4.4.2.3 Container No. 2. Quantitatively recover material deposited
in the nozzle, probe transfer lines, the front half of the filter
holder, and the cyclone, if used, first, by brushing while rinsing three
times each with acetone, and then by rinsing the probe three times with
methylene chloride. Collect all the rinses in Container No. 2.
Rinse the back half of the filter holder three times with acetone.
Rinse the connecting line between the filter and the condenser three
times with acetone. Soak the connecting line with three separate
portions of methylene chloride for 5 minutes each. If using a separate
condenser and adsorbent trap, rinse the condenser in the same manner as
the connecting line. Collect all the rinses in Container No. 2 and
mark the level of the liquid on the container.
3.4.4.2.4 Container No. 3. Repeat the methylene chloride-rinsing
described in section 3.4.4.2.3 using toluene as the rinse solvent.
Collect the rinses in Container No. 3 and mark the level of the liquid
on the container.
3.4.4.2.5 Impinger Water. Measure the liquid in the first three
impingers to with 1 ml by using a graduated cylinder or by weighing it
to within 0.5 g by using a balance. Record the volume or weight of
liquid present. This information is required to calculate the moisture
content of the effluent gas.
Discard the liquid after measuring and recording the volume or
weight.
3.4.4.2.6 Silica Gel. Note the color of the indicating silica gel to
determine if it has been completely spent and make a mention of its
condition. Transfer the silica gel from the fifth impinger to its
original container and seal.
All glassware shall be cleaned as described in section 3A of the
''Manual of Analytical Methods for the Analysis of Pesticides in Human
and Environmental Samples.'' All samples must be extracted within 30
days of collection and analyzed within 45 days of extraction.
3.4.5.1 Sample Extraction.
3.4.5.1.1 Extraction System. Place an extractable thimble (section
3.4.2.3.4), 1 g of silica gel, and a plug of glass wool into the Soxhlet
apparatus, charge the apparatus with toluene, and reflux for a minimum
of 3 hours. Remove the toluene and discard it, but retain the silica
gel. Remove the extraction thimble from the extraction system and place
it in a glass beaker to catch the solvent rinses.
3.4.5.1.2 Container No. 1 (Filter). Transfer the contents of
container number 1 directly to the glass thimble of the extraction
system and extract them simultaneously with the XAD-2 resin.
3.4.5.1.3 Adsorbent Module. Suspend the adsorbent module directly
over the extraction thimble in the beaker (see section 3.4.5.1.1). The
glass frit of the module should be in the up position. Using a Teflon
squeeze bottle containing toluene, flush the XAD-2 into the thimble onto
the bed of cleaned silica gel. Thoroughly rinse the glass module
catching the rinsings in the beaker containing the thimble. If the
resin is wet, effective extraction can be accomplished by loosely
packing the resin in the thimble. Add the XAD-2 glass wool plug to the
thimble.
3.4.5.1.4 Container No. 2 (Acetone and Methylene Chloride Rinse).
Concentrate the sample to a volume of about 1-5 ml using the rotary
evaporator apparatus, at a temperature of less than 37 C. Rinse the
sample container three times with small portions of methylene chloride
and add these to the concentrated solution and concentrate further to
near dryness. This residue contains particulate matter removed in the
rinse of the train probe and nozzle. Add the concentrate to the filter
and the XAD-2 resin in the Soxhlet apparatus described in section
3.4.5.1.1.
3.4.5.1.5 Extraction. Add 100 l of the internal standard solution
(section 3.4.3.3.20) to the extraction thimble containing the contents
of the adsorbent cartridge, the contents of Container No. 1, and the
concentrate from section 3.4.5.1.3. Cover the contents of the extraction
thimble with the cleaned glass wool plug to prevent the XAD-2 resin from
floating into the solvent reservoir of the extractor. Place the thimble
in the extractor, and add the toluene contained in the beaker to the
solvent reservoir. Pour additional toluene to fill the reservoir
approximately 2/3 full. Add Teflon boiling chips and assemble the
apparatus. Adjust the heat source to cause the extractor to cycle three
times per hour. Extract the sample for 16 hours. After extraction,
allow the Soxhlet to cool. Transfer the toluene extract and three 10-ml
rinses to the rotary evaporator. Concentrate the extract to
approximately 10 ml. At this point the analyst may choose to split the
sample in half. If so, split the sample, store one half for future use,
and analyze the other according to the procedures in sections 3.4.5.2
and 3.4.5.3. In either case, use a nitrogen evaporative concentrator to
reduce the volume of the sample being analyzed to near dryness.
Dissolve the residue in 5 ml of hexane.
3.4.5.1.6 Container No. 3 (Toluene Rinse). Add 100 l of the
Internal Standard solution (section 3.4.3.3.20) to the contents of the
container. Concentrate the sample to a volume of about 1-5 ml using the
rotary evaporator apparatus at a temperature of less than 37 C. Rinse
the sample container three times with small portions of toluene and add
these to the concentrated solution and concentrate further to near
dryness. Analyze the extract separately according to the procedures in
sections 3.4.5.2 and 3.4.5.3, but concentrate the solution in a rotary
evaporator apparatus rather than a nitrogen evaporative concentrator.
3.4.5.2 Sample Cleanup and Fractionation.
3.4.5.2.1 Silica Gel Column. Pack one end of a glass column, 20 mm
230 mm, with glass wool. Add in sequence, 1 g silica gel, 2 g of sodium
hydroxide impregnated silica gel, 1 g silica gel, 4 g of acid-modified
silica gel, and 1 g of silica gel. Wash the column with 30 ml of hexane
and discard it. Add the sample extract, dissolved in 5 ml of hexane to
the column with two additional 5-ml rinses. Elute the column with an
additional 90 ml of hexane and retain the entire eluate. Concentrate
this solution to a volume of about 1 ml using the nitrogen evaporative
concentrator (section 3.4.2.3.8).
3.4.5.2.2 Basic Alumina Column. Shorten a 25-ml disposable Pasteur
pipette to about 16 ml. Pack the lower section with glass wool and 12 g
of basic alumina. Transfer the concentrated extract from the silica gel
column to the top of the basic alumina column and elute the column
sequentially with 120 ml of 0.5 percent methylene chloride in hexane
followed by 120 ml of 35 percent methylene chloride in hexane. Discard
the first 120 ml of eluate. Collect the second 120 ml of eluate and
concentrate it to about 0.5 ml using the nitrogen evaporative
concentrator.
3.4.5.2.3 AX-21 Carbon/Celite 545 Column. Remove the bottom 0.5 in.
from the tip of a 9-ml disposable Pasteur pipette. Insert a glass fiber
filter disk in the top of the pipette 2.5 cm from the constriction. Add
sufficient carbon/celite mixture to form a 2 cm column. Top with a
glass wool plug. In some cases, AX-21 carbon fines may wash through the
glass wool plug and enter the sample. This may be prevented by adding a
celite plug to the exit end of the column. Rinse the column in sequence
with 2 ml of 50 percent benzene in ethyl acetate, 1 ml of 50 percent
methylene chloride in cyclohexane, and 2 ml of hexane. Discard these
rinses. Transfer the concentrate in 1 ml of hexane from the basic
alumina column to the carbon/celite column along with 1 ml of hexane
rinse. Elute the column sequentially with 2 ml of 50 percent methylene
chloride in hexane and 2 ml of 50 percent benzene in ethyl acetate and
discard these eluates. Invert the column and elute in the reverse
direction with 13 ml of toluene. Collect this eluate. Concentrate the
eluate in a rotary evaporator at 50 C to about 1 ml. Transfer the
concentrate to a Reacti-vial using a toluene rinse and concentrate to a
volume of 200 1 using a stream of N2. Store extracts at room
temperature, shielded from light, until the analysis is performed.
3.4.5.3 Analysis. Analyze the sample with a gas chromatograph coupled
to a mass spectrometer (GC/MS) using the instrumental parameters in
sections 3.4.5.3.1 and 3.4.5.3.2. Immediately prior to analysis, add a
20- l aliquot of the Recovery Standard solution from Table 1 to each
sample. A 2- l aliquot of the extract is injected into the GC. Sample
extracts are first analyzed using the DB-5 capillary column to determine
the concentration of each isomer of PCDDs and PCDFs (tetra- through
octa-). If tetra-chlorinated dibenzofurans are detected in this
analysis, then analyze another aliquot of the sample in a separate run,
using the DB-225 column to measure the 2.3.7.8-tetrachlorodibenzofuran
isomer. Other column systems may be used, provided that the user is able
to demonstrate, using calibration and performance checks, that the
column system is able to meet the specifications of Section 3.4.6.1.2.2.
3.4.5 3.1 Gas Chromatograph Operating Conditions.
3.4.5.3.1.1 Injector. Configured for capillary column, splitless, 250
C.
3.4.5.3.1.2 Carrier Gas. Helium, 1-2 ml/min.
3.4.5.3.1.3 Oven. Initially at 150 C. Raise by at least 40 C/min
to 190 C and then at 3 C/min up to 300 C.
3.4.5.3.2 High Resolution Mass Spectrometer.
3.4.5.3.2.1 Resolution. 10000 m/e.
3.4.5.3.2.2 Ionization Mode. Electron impact.
3.4.5.3.2.3 Source Temperature 250 C.
3.4.5.3.2.4 Monitoring Mode. Selected ion monitoring. A list of the
various ions to be monitored is summarized in Table 3.4-2.
3.4.5.3.2.5 Identification Criteria. The following identification
criteria shall be used for the characterization of polychlorinated
dibenzodioxins and dibenzofurans.
1. The integrated ion-abundance ratio (M/M+2 or M+2/M+4) shall be
within 15 percent of the theoretical value. The acceptable
ion-abundance ratio ranges for the identification of chlorine-containing
compounds are given in Table 3.
2. The retention time for the analytes must be within 3 seconds of
the corresponding /1/ /3/ C-labeled internal standard, surrogate or
alternate standard.
3. The monitored ions, shown in Table 3.4-2 for a given analyte,
shall reach their maximum within 2 seconds of each other.
4. The identification of specific isomers that do not have
corresponding /1/ /3/ C-labeled standards is done by comparison of the
relative retention time (RRT) of the analyte to the nearest internal
standard retention time with reference (i.e., within 0.005 RRT units) to
the comparable RRTs found in the continuing calibration.
5. The signal to noise ratio for all monitored ions must be greater
than 2.5.
6. The confirmation of 2,3,7,8-TCDD and 2,3,7,8-TCDF shall satisfy
all of the above identification criteria.
7. For the identification of PCDFs, no signal may be found in the
corresponding PCDPE channels.
3.4.5.3.2.6 Quantitation. The peak areas for the two ions monitored
for each analyte are summed to yield the total response for each
analyte. Each internal standard is used to quantitate the indigenous
PCDDs or PCDFs in its homologous series. For example, the /1/ /3/
C12-2,3,7,8-tetrachlorodibenzodioxin is used to calculate the
concentrations of all other tetrachlorinated isomers. Recoveries of the
tetra- and penta-internal standards are calculated using the /1/ /3/
C12-1,2,3,4-TCDD. Recoveries of the hexa- C152-1,2,3,7,8,9-HxCDD.
Recoveries of the surrogate standards are calculated using the
corresponding homolog from the internal standard.
Same as Method 5 with the following additions.
3.4.6.1 GC/MS System.
3.4.6.1.1 Initial Calibration. Calibrate the GC/MS system using the
set of five standards shown in Table 3.4-4. The relative standard
deviation for the mean response factor from each of the unlabeled
analytes (Table 4) and of the internal, surrogate, and alternate
standards shall be less than or equal to the values in Table 3.4-5. The
signal to noise ratio for the GC signal present in every selected ion
current profile shall be greater than or equal to 2.5. The ion abundance
ratios shall be within the control limits in Table 3.4-3.
3.4.6.1.2 Daily Performance Check.
3.4.6.1.2.1 Calibration Check. Inject one l of solution Number 3
from table 4. Calculate the relative response factor (RRF) for each
compound and compare each RRF to the corresponding mean RRF obtained
during the initial calibration. The analyzer performance is acceptable
if the measured RRFs for the labeled and unlabeled compounds for the
daily run are within the limits of the mean values shown in Table 3.4-5.
In addition, the ion-abundance ratios shall be within the allowable
control limits shown in Table 3.4-3.
3.4.6.1.2.2 Column Separation Check. Inject a solution of a mixture
of PCDDs and PCDFs that documents resolution between 2,3,7,8-TCDD and
other TCDD isomers. Resolution is defined as a valley between peaks
that is less than 25 percent of the lower of the two peaks. Identify
and record the retention time windows for each homologous series.
Perform a similar resolution check on the confirmation column to
document the resolution between 2,3,7,8-TCDF and other TCDF isomers.
3.4.6.2 Lock Channels. Set mass spectrometer lock channels as
specified in Table 3.4-3. Monitor the quality control check channels
specified in Table 3.4-3 to verify instrument stability during the
analysis.
3.4.7.1 Sampling Train Collection Efficiency Check. Add 100 1 of
the surrogate standards in Table 3.4-1 to the adsorbent cartridge of
each train before collecting the field samples.
3.4.7.2 Internal Standard Percent Recoveries. A group of nine
carbon-labeled PCDDs and PCDFs representing, the tetra- through
octachlorinated homologues, is added to every sample prior to
extraction. The role of the internal standards is to quantitate the
native PCDDs and PCDFs present in the sample as well as to determine the
overall method efficiency. Recoveries of the internal standards must be
between 40 to 130 percent for the tetra- through hexachlorinated
compounds while the range is 25 to 130 percent for the higher hepta- and
octachlorinated homologues.
3.4.7.3 Surrogate Recoveries. The five surrogate compounds in Table
3.4-4 are added to the resin the adsorbent sampling cartridge before the
sample is collected. The surrogate recoveries are measured relative to
the internal standards and are a measure of collection efficiency. They
are not used to measure native PCDDs and PCDFs. All recoveries shall be
between 70 and 130 percent. Poor recoveries for all the surrogates may
be an indication of breakthrough in the sampling train. If the recovery
of all standards is below 70 percent, the sampling runs must be
repeated. As an alternative, the sampling runs do not have to be
repeated if the final results are divided by the fraction of surrogate
recovery. Poor recoveries of isolated surrogate compounds should not be
grounds for rejecting an entire set of samples.
3.4.7.4 Toluene QA Rinse. Report the results of the toluene QA rinse
separately from the total sample catch. Do not add it to the total
sample.
3.4.8.1 Applicability. When the method is used to analyze samples to
demonstrate compliance with a source emission regulation, an audit
sample must be analyzed, subject to availability.
3.4.8.2 Audit Procedure. Analyze an audit sample with each set of
compliance samples. The audit sample contains tetra through octa
isomers of PCDD and PCDF. Concurrently, analyze the audit sample and a
set of compliance samples in the same manner to evaluate the technique
of the analyst and the standards preparation. The same analyst,
analytical reagents, and analytical system shall be used both for the
compliance samples and the EPA audit sample.
3.4.8.3 Audit Sample Availability. Audit samples will be supplied
only to enforcement agencies for compliance tests. The availability of
audit samples may be obtained by writing: Source Test Audit Coordinator
(MD-77B), Quality Assurance Division, Atmospheric Research and Exposure
Assessment Laboratory, U.S. Environmental Protection Agency, Research
Triangle Park, NC 27711, or by calling the Source Test Audit Coordinator
(STAC) at (919) 541-7834. The request for the audit sample must be made
at least 30 days prior to the scheduled compliance sample analysis.
3.4.8.4 Audit Results. Calculate the audit sample concentration
according to the calculation procedure described in the audit
instructions included with the audit sample. Fill in the audit sample
concentration and the analyst's name on the audit response form included
with the audit instructions. Send one copy to the EPA Regional Office
or the appropriate enforcement agency and a second copy to the STAC.
The EPA Regional Office or the appropriate enforcement agency will
report the results of the audit to the laboratory being audited.
Include this response with the results of the compliance samples in
relevant reports to the EPA Regional Office or the appropriate
enforcement agency.
Same as method 5, section 6 with the following additions.
3.4.9.1 Nomenclature.
Aai=Integrated ion current of the noise at the retention time of the
analyte.
A*ci=Integrated ion current of the two ions characteristic of the
internal standard i in the calibration standard.
Acij=Integrated ion current of the two ions characteristic of
compound i in the jth calibration standard.
A*cij=Integrated ion current of the two ions characteristic of the
internal standard i in the jth calibration standard.
Acsi=Integrated ion current of the two ions characteristic of
surrogate compound i in the calibration standard.
Ai=Integrated ion current of the two ions characteristic of compound
in the sample.
A*i=Integrated ion current of the two ions characteristic of internal
standard i in the sample.
Ars=Integrated ion current of the two ions characteristic of the
recovery standard.
Asi=Integrated ion current of the two ions characteristic of
surrogate compound i in the sample.
Ci=Concentration of PCDD or PCDF i in the sample, pg/M3.
CT=Total concentration of PCDDs or PCDFs in the sample, pg/M3.
mci=Mass of compound i in the calibration standard injected into the
analyzer, pg.
m*ci=Mass of labeled compound i in the calibration standard injected
into the analyzer, pg.
m*i=Mass of internal standard i added to the sample, pg.
mrs=Mass of recovery standard in the calibration standard injected
into the analyzer, pg.
msi=Mass of surrogate compound i in the calibration standard, pg.
RRFi=Relative response factor.
RRFrs=Recovery standard response factor.
RRFs=Surrogate compound response factor.
3.4.9.2 Average Relative Response Factor.
3.4.9.3 Concentration of the PCDDs and PCDFs.
Ci=m*iAi/(A*i RRF1 Vm(std) Eq. 23-2
3.4.9.4 Recovery Standard Response Factor.
RRFrs=A*ci mrs/(Ars m*ci) Eq. 23-3
3.4.9.5 Recovery of Internal Standards (R*).
R*=(A*i mrs/Ars RFrs m*i) 100% Eq. 23-4
3.4.9.6 Surrogate Compound Response Factor.
RRFs=A*ci ms/(Acism*ci) Eq. 23-5
3.4.9.7 Recovery of Surrogate Compounds (Rs).
Rs=(Asm*i/A*iRRFsms) 100% Eq. 23-6
3.4.9.8 Minimum Detectable Limit (MDL).
MDL=2.5 Aai m*i/(A*ci RRFi) Eq 23-7
3.4.9.9 Total Concentration of PCDDs and PCDFs in the Sample.
1. American Society of Mechanical Engineers. Sampling for the
Determination of Chlorinated Organic Compounds in Stack Emissions.
Prepared for U.S. Department of Energy and U.S. Environmental Protection
Agency. Washington, DC December 1984. 25 p.
2. American Society of Mechanical Engineers. Analytical Procedures
to Assay Stack Effluent Samples and Residual Combustion Products for
Polychlorinated Dibenzo-p-Dioxins (PCDD) and Polychlorinated
Dibenzofurans (PCDF). Prepared for the U.S. Department of Energy and
U.S. Environmental Protection Agency. Washington, DC December 1984. 23
p.
3. Thompson, J.R. (ed.) Analysis of Pesticide Residues in Human and
Environmental Samples. U.S. Environmental Protection Agency. Research
Triangle Park, NC 1974.
4. Triangle Laboratories. Case Study: Analysis of Samples for the
Presence of Tetra Through Octachloro-p-Dibenzodioxins and Dibenzofurans.
Research Triangle Park, NC 1988. 26 p.
5. U.S. Environmental Protection Agency. Draft Method 8290 -- The
Analysis of Polychlorinated Dibenzo-p-dioxin and Polychlorinated
Dibenzofurans by High-Resolution Gas Chromatography/High-Resolution Mass
Spectrometry. In: Test Methods for Evaluating Solid Waste.
Washington, DC SW-846.
This method is applicable to the determination of Destruction and
Removal Efficiency (DRE) of formaldehyde, CAS Registry number 50-00-0,
and possibly other aldehydes and ketones from stationary sources as
specified in the regulations. The methodology has been applied
specifically to formaldehyde; however, many laboratories have extended
the application to other aldehydes and ketones. Compounds derivatized
with 2,4-dinitrophenyl-hydrazine can be detected as low as 6.4 x 10^8
lbs/cu ft (1.8 ppbv) in stack gas over a 1 hr sampling period, sampling
approximately 45 cu ft.
3.5.2.1 Gaseous and particulate pollutants are withdrawn
isokinetically from an emission source and are collected in aqueous
acidic 2,4-dinitrophenyl-hydrazine. Formaldehyde present in the
emissions reacts with the 2,4-dinitrophenyl-hydrazine to form the
formaldehyde dinitrophenylhydrazone derivative. The
dinitrophenylhydrazone derivative is extracted, solvent-exchanged,
concentrated, and then analyzed by high performance liquid
chromatography.
2,4-dinitrophenylhydrazone of formaldehyde under high
performance liquid chromatography conditions, which
may be used for the analysis. High concentrations of
highly-oxygenated compounds, especially acetone, that
have the same retention time or nearly the same
retention time as the dinitrophenylhydrazone of
formaldehyde, and that also absorb at 360 nm, will
interfere with the analysis.
Formaldehyde, acetone, and 2,4-dinitroaniline contamination of the
aqueous acidic 2,4-dinitrophenyl-hydrazine (DNPH) reagent is frequently
encountered. The reagent must be prepared within five days of use in
the field and must be stored in an uncontaminated environment both
before and after sampling in order to minimize blank problems. Some
concentration of acetone contamination is unavoidable, because acetone
is ubiquitous in laboratory and field operations. However, the acetone
contamination must be minimized.
3.5.4.1 A schematic of the sampling train is shown in Figure 3.5-1.
This sampling train configuration is adapted from EPA method 4
procedures. The sampling train consists of the following components:
Probe Nozzle, Pitot Tube, Differential Pressure Gauge, Metering System,
Barometer, and Gas Density Determination Equipment.
3.5.4.1.1 Probe Nozzle: Quartz or glass with sharp, tapered (30
angle) leading edge. The taper shall be on the outside to preserve a
constant inner diameter. The nozzle shall be buttonhook or elbow
design. A range of nozzle sizes suitable for isokinetic sampling should
be available in increments of 0.15 cm(1/16 in), e.g., 0.32 to 1.27 cm (
1/8 to 1/2 in), of larger if higher volume sampling trains are used.
Each nozzle shall be calibrated according to the procedures outlined in
section 3.5.8.1.
3.5.4.1.2 Probe Liner: Borosilicate glass or quartz shall be used
for the probe liner. The tester should not allow the temperature in the
probe to exceed 120 14 C (248 25 F).
3.5.4.1.3 Pitot Tube: The Pitot tube shall be Type S, as described
in section 2.1 of EPA method 2, or any other appropriate device. The
pitot tube shall be attached to the probe to allow constant monitoring
of the stack gas velocity. The impact (high pressure) opening plane of
the pitot tube shall be even with or above the nozzle entry plan (see
EPA method 2, Figure 26b) during sampling. The Type S pitot tube
assembly shall have a known coefficient, determined as outlined in
section 4 of EPA method 2.
insert illustration 213
3.5.4.1.4 Differential Pressure Gauge: The differential pressure
gauge shall be an inclined manometer or equivalent device as described
in section 2.2 of EPA method 2. One manometer shall be used for
velocity-head reading and the other for orifice differential pressure
readings.
3.5.4.1.5 Impingers: The sampling train requires a minimum of four
impingers, connected as shown in Figure 3.5-1, with ground glass (or
equivalent) vacuum-tight fittings. For the first, third, and fourth
implngers, use the Greenburg-Smith design, modified by replacing the tip
with a 1.3 cm inside diameter ( 1/2 in) glass tube extending to 1.3 cm (
1/2 in) from the bottom of the flask. For the second impinger, use a
Greenburg-Smith Impinger with the standard tip. Place a thermometer
capable of measuring temperature to within 1 C (2 F) at the outlet of
the fourth impinger for monitoring purposes.
3.5.4.1.6 Metering System: The necessary components are a vacuum
gauge, leak-free pump, thermometers capable of measuring temperature
within 3 C (5.4 F), dry-gas meter capable of measuring volume to
within 1%, and related equipment as shown in Figure 3.5-1. At a minimum,
the pump should be capable of 4 cfm free flow, and the dry gas meter
should have a recording capacity of 0-999.9 cu ft with a resolution of
0.005 cu ft. Other metering systems may be used which are capable of
maintaining sample volumes to within 2%. The metering system may be
used in conjunction with a pitot tube to enable checks of isokinetic
sampling rates.
3.5.4.1.7 Barometer: The barometer may be mercury, aneroid, or other
barometer capable of measuring atmospheric pressure to within 2.5 mm Hg
(0.1 in Hg). In many cases, the barometric reading may be obtained from
a nearby National Weather Service Station, in which case the station
value (which is the absolute barometric pressure) is requested and an
adjustment for elevation differences between the weather station and
sampling point is applied at a rate of minus 2.5 mm Hg (0.1 in Hg) per
30 m (100 ft) elevation increases (vice versa for elevation decrease).
3.5.4.1.8 Gas Density Determination Equipment: Temperature sensor
and pressure gauge (as described in sections 2.3 and 2.3 of EPA method
2), and gas analyzer, if necessary (as described in EPA method 3). The
temperature sensor ideally should be permanently attached to the pitot
tube or sampling probe in a fixed configuration such that the tip of the
sensor extends beyond the leading edge of the probe sheath and does not
touch any metal. Alternatively, the sensor may be attached just prior
to use in the field. Note, however, that if the temperature sensor is
attached in the field, the sensor must be placed in an interference-free
arrangement with respect to the Type S pitot openings (see EPA method 2,
Figure 2-7). As a second alternative, if a difference of no more than
1% in the average velocity measurement is to be introduced, the
temperature gauge need not be attached to the probe or pitot tube.
3.5.4.2 Sample Recovery.
3.5.4.2.1 Probe Liner: Probe nozzle and brushes; Teflon bristle
brushes with stainless steel wire handles are required. The probe brush
shall have extensions of stainless steel, Teflon, or inert material at
least as long as the probe. The brushes shall be properly sized and
shaped to brush out the probe liner, the probe nozzle, and the
impingers.
3.5.4.2.2 Wash Bottles: Three wash bottles are required. Teflon or
glass wash bottles are recommended; polyethylene wash bottles should
not be used because organic contaminants may be extracted by exposure to
organic solvents used for sample recovery.
3.5.4.2.3 Graduate Cylinder and/or Balance: A graduated cylinder or
balance is required to measure condensed water to the nearest 1 ml or 1
g. Graduated cylinders shall have division not 2 ml. Laboratory
balances capable of weighing to 0.5 g are required.
3.5.4.2.4 Amber Glass Storage Containers: One-liter wide-mouth amber
flint glass bottles with Teflon-lined caps are required to store
impinger water samples. The bottles must be sealed with Teflon tape.
3.5.4.2.5 Rubber Policeman and Funnel: A rubber policeman and funnel
are required to aid in the transfer of material into and out of
containers in the field.
3.5.4.3 Reagent Preparation.
3.5.4.3.1 Bottles/Caps: Amber 1- or 4-L bottles with Teflon-lined
caps are required for storing cleaned DNPH solution. Additional 4-L
bottles are required to collect waste organic solvents.
3.5.4.3.2 Large Glass Container: At least one large glass (8 to 16
L) is required for mixing the aqueous acidic DNPH solution.
3.5.4.3.3 Stir Plate/Large Stir Bars/Stir Bar Retriever: A magnetic
stir plate and large stir bar are required for the mixing of aqueous
acidic DNPH solution. A stir bar retriever is needed for removing the
stir bar from the large container holding the DNPH solution.
3.5.4.3.4 Buchner Filter/Filter Flask/Filter Paper: A large filter
flask (2-4 L) with a buchner filter, appropriate rubber stopper, filter
paper, and connecting tubing are required for filtering the aqueous
acidic DNPH solution prior to cleaning.
3.5.4.3.5 Separatory Funnel: At least one large separatory funnel (2
L) is required for cleaning the DNPH prior to use.
3.5.4.3.6 Beakers: Beakers (150 ml, 250 ml, and 400 ml) are useful
for holding/measuring organic liquids when cleaning the aqueous acidic
DNPH solution and for weighing DNPH crystals.
3.5.4.3.7 Funnels: At least one large funnel is needed for pouring
the aqueous acidic DNPH into the separator funnel.
3.5.4.3.8 Graduated Cylinders: At least one large graduated cylinder
(1 to 2 L) is required for measuring organic-free reagent water and acid
when preparing the DNPH solution.
3.5.4.3.9 Top-Loading Balance: A one-place top loading balance is
needed for weighing out the DNPH crystals used to prepare the aqueous
acidic DNPH solution.
3.5.4.3.10 Spatulas: Spatulas are needed for weighing out DNPH when
preparing the aqueous DNPH solution.
3.5.4.4 Crushed Ice: Quantities ranging from 10-50 lb may be
necessary during a sampling run, depending upon ambient temperature.
Samples which have been taken must be stored and shipped cold;
sufficient ice for this purpose must be allowed.
3.5.5.1 Reagent grade chemicals shall be used in all tests. Unless
otherwise indicated, it is intended that all reagents shall conform to
the specifications of the Committee on Analytical Reagents of the
American Chemical Society, where such specifications are available.
Other grades may be used, provided it is first ascertained that the
reagent is of sufficiently high purity to permit its use without
lessening the accuracy of the determination.
3.5.5.2 Organic-free reagent water: All references to water in this
method refer to organic-free reagent water, as defined in Chapter One.
3.5.5.3 Silica Gel: Silica gel shall be indicating type, 6-16 mesh.
If the silica gel has been used previously, dry at 175 C (350 F) for 2
hours before using. New silica gel may be used as received.
Alternatively, other types of desiccants (equivalent or better) may be
used.
3.5.5.4 2,4-dinitrophenylhydrazine (DNPH), (2,4-(O2N)2C6H3)NHNH2 --
The quantity of water may vary from 10 to 30%.
3.5.5.4.1 The 2,4-dinitrophenylhydrazine reagent must be prepared in
the laboratory within five days of sampling use in the field.
Preparation of DNPH can also be done in the field, with consideration of
appropriate procedures required for safe handling of solvent in the
field. When a container of prepared DNPH reagent is opened in the
field, the contents of the opened container should be used within 48
hours. All laboratory glassware must be washed with detergent and water
and rinsed with water, methanol, and methylene chloride prior to use.
Note: DNPH crystals or DNPH solution should be handled with plastic
gloves at all times with prompt and extensive use of running water in
case of skin exposure.
3.5.5.4.2 Preparation of Aqueous Acidic DNPH Derivatizing Reagent:
Each batch of DNPH reagent should be prepared and purified within five
days of sampling, according to the procedures described below.
Note: Reagent bottles for storage of cleaned DNPH derivatizing
solution must be rinsed with acetonitrile and dried before use. Baked
glassware is not essential for preparation of DNPH reagent. The
glassware must not be rinsed with acetone or an unacceptable
concentration of acetone contamination will be introduced. If field
preparation of DNPH is performed, caution must be exercised in avoiding
acetone contamination.
3.5.5.4.2.1 Place an 8 L container under a fume hood on a magnetic
stirrer. Add a large stir bar and fill the container half full of
organic-free reagent water. Save the empty bottle from the organic-free
reagent water. Start the stirring bar and adjust the stir rate to be as
fast as possible. Using a graduated cylinder, measure 1.4 ml of
concentrated hydrochloric acid. Slowly pour the acid into the stirring
water. Fumes may be generated and the water may become warm. Weight
the DNPH crystals on a one-place balance (see Table 3.5-1 for
approximate amounts) and add to the stirring acid solution. Fill the
8-L container to the 8-L mark with organic-free reagent water and stir
overnight. If all of the DNPH crystals have dissolved overnight, add
additional DNPH and stir for two more hours. Continue the process of
adding DNPH with additional stirring until a saturated solution has been
formed. Filter the DNPH solution using vacuum filtration. Gravity
filtration may be used, but a much longer time is required. Store the
filtered solution in an amber bottle at room temperature.
3.5.5.4.2.2 Within five days of proposed use, place about 1.6 L of
the DNPH reagent in a 2-L separatory funnel. Add approximately 200 ml
of methylene chloride and stopper the funnel. Wrap the stopper of the
funnel with paper towels to absorb any leakage. Invert and vent the
funnel. Then shake vigorously for 3 minutes. Initially, the funnel
should be vented frequently (every 10-15 sec). After the layers have
separated, discard the lower (organic) layer.
3.5.5.4.2.3 Extract the DNPH a second time with methylene chloride
and finally with cyclohexane. When the cyclohexane layer has separated
from the DNPH reagent, the cyclohexane layer will be the top layer in
the separatory funnel. Drain the lower layer (the cleaned extract DNPH
reagent solution) into an amber bottle that has been rinsed with
acetonitrile and allowed to dry.
3.5.5.4.3 Quality Control: Take two aliquots of the extracted DNPH
reagent. The size of the aliquots is dependent upon the exact sampling
procedure used, but 100 ml is reasonably representative. To ensure that
the background in the reagent is acceptable for field use, analyze one
aliquot of the reagent according to the procedure of method 8315. Save
the other aliquot of aqueous acidic DNPH for use as a method blank when
the analysis is performed.
3.5.5.4.4 Shipment to the Field: Tightly cap the bottle containing
extracted DNPH reagent using a Teflon-lined cap. Seal the bottle with
Teflon tape. After the bottle is labeled, the bottle may be placed in a
friction-top can (paint can or equivalent) containing a 1-2 inch layer
of granulated charcoal and stored at ambient temperature until use.
3.5.5.4.4.1 If the DNPH reagent has passed the Quality Control
criteria, the reagent may be packaged to meet necessary shipping
requirements and sent to the sampling area. If the Quality Control
criteria are not met, the reagent solution may be re-extracted or the
solution may be re-prepared and the extraction sequence repeated.
3.5.5.4.4.2 If the DNPH reagent is not used in the field within five
days of extraction, an aliquot may be taken and analyzed as described in
method 0011A. If the reagent meets the Quality Control requirements,
the reagent may be used. If the reagent does not meet the Quality
Control requirements, the reagent must be discarded and new reagent must
be prepared and tested.
3.5.5.4.5 Calculation of Acceptable Concentrations of Impurities in
DNPH Reagent: The acceptable impurity concentration (AIC, g/ml) is
calculated from the expected analyte concentration in the sampled gas
(EAC, ppbv), the volume of air that will be sampled at standard
conditions (SVOL, L), the formula weight of the analyte (FW, g/mol), and
the volume of DNPH reagent that will be used in the impingers (RVOL,
ml):
AIC=0.1 (EAC SVOL X FW/22.4 (FW+180)/FW)(RVOL 1,000)
where:
0.1 is the acceptable contaminant concentration,
22.4 is a factor relating ppbv to g/L,
180 is a facto relating underivatized to derivatized analyte
1,000 is a unit conversion factor.
3.5.5.4.6 Disposal of Excess DNPH Reagent: Excess DNPH reagent may
be returned to the laboratory and recycled or treated as aqueous waste
for disposal purposes. 2,4-dinitrophenylhydrazine is a flammable solid
when dry, so water should not be evaporated from the solution of the
reagent.
3.5.5.5 Field Spike Standard Preparation: To prepare a formaldehyde
field spiking standard at 4.01 mg/ml, use a 500 l syringe to transfer
0.5 ml to 37% by weight of formaldehyde (401 mg/ml) to a 50 ml
volumetric flask containing approximately 50 ml of methanol. Dilute to
50 ml with methanol.
3.5.5.6 Hydrochloric Acid, HCL: Reagent grade hydrochloric acid
(approximately 12N) is required for acidifying the aqueous DNPH
solution.
3.5.5.7 Methylene Chloride, CH2Cl2: Methylene chloride (suitable for
residue and pesticide analysis, GC/MS, HPLC, GC, Spectrophotometry or
equivalent) is required for cleaning the aqueous acidic DNPH solution,
rinsing glassware, and recovery of sample trains.
3.5.5.8 Cyclohexane, C6H12: Cyclohexane (HPLC grade) is required for
cleaning the aqueous acidic DNPH solution.
Note: Do not use spectroanalyzed grades of cyclohexane if this
sampling methodology is extended to aldehydes and ketones with four or
more carbon atoms.
3.5.5.9 Methanol, CH3OH: Methanol (HPLC grade or equivalent) is
required for rinsing glassware.
3.5.5.10 Acetonitrile, CH3CN: Acetonitrile (HPLC grade or
equivalent) is required for rinsing glassware.
3.5.5.11 Formaldehyde, HCHO: Analytical grade or equivalent
formaldehyde is required for preparation of standards. If other
aldehydes or ketones are used, analytical grade or equivalent is
required.
3.5.6.1 Because of the complexity of this method, field personnel
should be trained in and experienced with the test procedures in order
to obtain reliable results.
3.5.6.2 Laboratory Preparation:
3.5.6.2.1 All the components shall be maintained and calibrated
according to the procedure described in APTD-0576, unless otherwise
specified.
3.5.6.2.2 Weigh several 200 to 300 g portions of silica gel in
airtight containers to the nearest 0.5 g. Record on each container the
total weight of the silica gel plus containers. As an alternative to
preweighing the silica gel, it may instead be weighed directly in the
impinger or sampling holder just prior to train assembly.
3.5.6.3 Preliminary Field Determinations:
3.5.6.3.1 Select the sampling site and the minimum number of sampling
point according to EPA method 1 or other relevant criteria. Determine
the stack pressure, temperature, and range of velocity heads using EPA
method 2. A leak-check of the pitot lines according to EPA method 2,
section 3.1, must be performed. Determine the stack gas moisture
content using EPA Approximation method 4 or its alternatives to
establish estimates of isokinetic sampling-rate settings. Determine the
stack gas dry molecular weight, as described in EPA method 2, section
3.6. If integrated EPA method 3 sampling is used for molecular weight
determination, the integrated bag sample shall be taken simultaneously
with, and for the same total length of time as, the sample run.
3.5.6.3.2 Select a nozzle size based on the range of velocity heads
so that is not necessary to change the nozzle size in order to maintain
isokinetic sampling rates below 28 L/min (1.0 cfm). During the run, do
not change the nozzle. Ensure that the proper differential pressure
gauge is chosen for the range of velocity heads encountered (see section
2.2. of EPA method 2).
3.5.6.3.3 Select a suitable probe liner and probe length so that all
traverse points can be sampled. For large stacks, to reduce the length
of the probe, consider sampling from opposite sides of the stack.
3.5.6.3.4 A minimum of 45 ft /3/ of sample volume is required for the
determination of the Destruction and Removal Efficiency (DRE) of
formaldehyde from incineration systems (45 ft /3/ is equivalent to one
hour of sampling at 0.75 dscf). Additional sample volume shall be
collected as necessitated by the capacity of the DNPH reagent and
analytical detection limit constraints. To determine the minimum sample
volume required, refer to sample calculations in section 10.
3.5.6.3.5 Determine the total length of sampling time needed to
obtain the identified minimum volume by comparing the anticipated
average sampling rate with the volume requirement. Allocate the same
time to all traverse points defined by EPA method 1. To avoid
timekeeping errors, the length of time sampled at each traverse point
should be an integer or an integer plus 0.5 min.
3.5.6.3.6 In some circumstances (e.g., batch cycles) it may be
necessary to sample for shorter times at the traverse points and to
obtain smaller gas-volume samples. In these cases, careful
documentation must be maintained in order to allow accurate calculation
of concentrations.
3.5.6.4 Preparation of Collection Train:
3.5.6.4.1 During preparation and assembly of the sampling train, keep
all openings where contamination can occur covered with Teflon film or
aluminum foil until just prior to assembly or until sampling is about to
begin.
3.5.6.4.2 Place 100 ml of cleaned DNPH solution in each of the first
two impingers, and leave the third impinger empty. If additional
capacity is required for high expected concentrations of formaldehyde in
the stack gas, 200 ml of DNPH per impinger may be used or additional
impingers may be used for sampling. Transfer approximately 200 to 300 g
of pre-weighed silica gel from its container to the fourth impinger.
Care should be taken to ensure that the silica gel is not entrained and
carried out from the impinger during sampling. Place the silica gel
container in a clean place or later use in the sample recovery.
Alternatively, the weight of the silica gel plus impinger may be
determined to the nearest 0.5 g and recorded.
3.5.6.4.3 With a glass or quartz liner, install the selected nozzle
using a Viton-A O-ring with stack temperatures are <260 C (500 F) and
a woven glass-fiber gasket when temperatures are higher. See APTD-0576
(Rom, 1972) for details. Other connection systems utilizing either 316
stainless steel or Teflon ferrules may be used. Mark the probe with
heat-resistant tape or by some other method to denote the proper
distance into the stack or duct for each sampling point.
3.5.6.4.4 Assemble the train as shown in Figure 3.5-1. During
assembly, do not use any silicone grease on ground-glass joints upstream
of the impingers. Use Teflon tape, if required. A very light coating
of silicone grease may be used on ground-glass joints downstream of the
impingers, but the silicone grease should be limited to the outer
portion (see APTD-0576) of the ground-glass joints to minimize silicone
grease contamination. If necessary, Teflon tape may be used to seal
leaks. Connect all temperature sensors to an appropriate
potentiometer/display unit. Check all temperature sensors at ambient
temperatures.
3.5.6.4.5 Place crushed ice all around the impingers.
3.5.6.4.6 Turn on and set the probe heating system at the desired
operating temperature. Allow time for the temperature to stabilize.
3.5.6.5 Leak-Check Procedures:
3.5.6.5.1 Pre-test Leak Check.
3.5.6.5.1.1 After the sampling train has been assembled, turn on and
set the probe heating system at the desired operating temperature.
Allow time for the temperature to stabilize. If a Viton-A O-ring or
other leak-free connection is used in assembling the probe nozzle to the
probe liner, leak check the train at the sampling site by plugging the
nozzle and pulling a 381 mm Hg (15 in Hg) vacuum.
Note: A lower vacuum may be used, provided that the lower vacuum is
not exceeded during the test.
3.5.6.5.1.2 If an asbestos string is used, do not connect the probe
to the train during the leak check. Instead, leak-check the train by
first attaching a carbon-filled leak check impinger to the inlet and
then plugging the Inlet and pulling a 381 mm Hg (15 in Hg) vacuum. (A
lower vacuum any be used if this lower vacuum is not exceeded during the
test.) Next connect the probe to the train and leak-check at about 25 mm
Hg (1 in Hg) vacuum. Alternatively, leak-check the probe with the rest
of the sampling train in one step at 381 mm Hg (15 in Hg) vacuum.
Leakage rates in excess of (a) 4% of the average sampling rate or (b)
0.00057 m /3/ /min (0.02 cfm), are unacceptable.
3.5.6.5.1.3 The following leak check instructions for the sampling
train described In ADPT-0576 and APTD-0581 may be helpful. Start the
pump with the fine-adjust valve fully open and coarse-valve completely
closed. Partially open the coarse-adjust valve and slowly close the
fine-adjust valve until the desired vacuum is reached. Do not reverse
direction of the fine-adjust valve, as liquid will back up into the
train. If the desired vacuum is exceeded, either perform the leak check
at this higher vacuum or end the leak check, as shown below, and start
over.
3.5.6.5.1.4 When the leak check is completed, first slowly remove the
plug from the inlet to the probe. When the vacuum drops to 127 mm (5
in) Hg or less, immediately close the coarse-adjust valve. Switch off
the pumping system and reopen the fine-adjust valve. Do not reopen the
fine-adjust valve until the coarse-adjust valve has been closed to
prevent the liquid in the impingers from being forced backward in the
sampling line and silica gel from being entrained backward into the
third impinger.
3.5.6.5.2 Leak Checks During Sampling Run:
3.5.6.5.2.1 If, during the sampling run, a component change (i.e.,
impinger) becomes necessary, a leak check shall be conducted immediately
after the interruption of sampling and before the change is made. The
leak check shall be done according to the procedure described in section
3.5.6.5.1, except that is shall be done at a vacuum greater than or
equal to the maximum value recorded up to that point in the test. If
the leakage rate is found to be no greater than 0.00057 m /3/ /min (0.02
cfm or 4% of the average sampling rate (whichever is less), the results
are acceptable. If a higher leakage rate is obtained, the tester must
void the sampling run.
Note: Any correction of the sample volume by calculation reduces the
integrity of the pollutant concentration data generated and must be
avoided.
3.5.6.5.2.2 Immediately after a component change and before sampling
is reinitiated, a leak check similar to a pre-test leak check must also
be conducted.
3.5.6.5.3 Post-test Leak Check:
3.5.6.5.3.1 A leak check is mandatory at the conclusion of each
sampling run. The leak check shall be done with, the same procedures as
the pre-test leak check, except that the post-test leak check shall be
conducted at a vacuum greater than or equal to the maximum value reached
during the sampling run. If the leakage rate is found to be no greater
than 0.00057 m /3/ /min (0.02 cfm) or 4% of the average sampling rate
(whichever is less), the results are acceptable. If, however, a higher
leakage rate is obtained, the tester shall record the leakage rate and
void the sampling run.
3.5.6.6 Sampling Train Operation:
3.5.6.6.1 During the sampling run, maintain an isokinetic sampling
rate to within 10% of true isokinetic, below 20 L/min (1.0 cfm).
Maintain a temperature around the probe of 120 C (248 2525 F).
3.5.6.6.2 For each run, record the data on a data sheet such as the
one shown in Figure 3.5-2. Be sure to record the initial dry-gas meter
reading. Record the dry-gas meter readings at the beginning and end of
each sampling time increment, when changes in flow rates are made,
before and after each leak check, and when sampling is halted. Take
other readings required by Figure 2 at least once at each sample point
during each time increment and additional readings when significant
adjustments 20% variation in velocity head readings) necessitate
additional adjustments in flow rate. Level and zero the manometer.
Because the manometer level and zero may drift due to vibrations and
temperature changes, make periodic checks during the traverse.
3.5.6.6.3 Clean the stack access ports prior to the test run to
eliminate the change of sampling deposited material. To begin sampling,
remove the nozzle cap, verify that the filter and probe heating systems
are at the specified temperature, and verify that the pitot tube and
probe are properly positioned. Position the nozzle at the first
traverse point, with the tip pointing directly into the gas stream.
Immediately start the pump and adjust the flow to isokinetic conditions.
Nomographs, which aid in the rapid adjustment of the isokinetic
sampling rate without excessive computations, are available. These
nomographs are designed for use when the Type S pitot tube coefficient
is 0.84 0.02 and the stack gas equivalent density (dry molecular weight)
is equal to 29 4. APTD-0576 details the procedure for using the
nomographs. If the stack gas molecular weight and the pitot tube
coefficient are outside the above ranges, do not use the nomographs
unless appropriate steps are taken to compensate for the deviations.
insert illustration 228
3.5.6.6.4 When the stack is under significant negative pressure
(equivalent to the height of the impinger stem), take care to close the
coarse-adjust valve before inserting the probe into the stack in order
to prevent liquid from backing up through the train. If necessary, the
pump may be turned on with the coarse-adjust valve closed.
3.5.6.6.5 When the probe is in position, block off the openings
around the probe and stack access port to prevent unrepresentative
dilution of the gas stream.
3.5.6.6.6 Traverse the stack cross section, as required by EPA Method
1, being careful not to bump the probe nozzle into the stack walls when
sampling near the walls or when removing or inserting the probe through
the access port, in order to minimize the chance of extracting deposited
material.
3.5.6.6.7 During the test run, make periodic adjustments to keep the
temperature around the probe at the proper levels. Add more ice and, if
necessary, salt, to maintain a temperature of 20 C (68 F) at the
silica gel outlet. Also, periodically check the level and zero of the
manometer.
3.5.6.6.8 A single train shall be used for the entire sampling run,
except in cases where simultaneous sampling is required in two or more
separate ducts or at two or more different locations within the same
duct, or in cases where equipment failure necessitates a change of
trains. An additional train or additional trains may also be used for
sampling when the capacity of a single train is exceeded.
3.5.6.6.9 When two or more trains are used, separate analyses of
components from each train shall be performed. If multiple trains have
been used because the capacity of a single train would be exceeded,
first impingers from each train may be combined, and second impingers
from each train may be combined.
3.5.6.6.10 At the end of the sampling run, turn off the coarse-adjust
valve, remove the probe and nozzle from the stack, turn off the pump,
record the final dry gas meter reading, and conduct a post-test leak
check. Also, leak check the pitot lines as described in EPA method 2.
The lines must pass this leak check in order to validate the
velocity-head data.
3.5.6.6.11 Calculate percent isokineticity (see method 2) to
determine whether the run was valid or another test should be made.
3.5.7.1 Preparation.
3.5.7.1.1 Proper cleanup procedure begins as soon as the probe is
removed from the stack at the end of the sampling period. Allow the
probe to cool. When the probe can be handled safely, wipe off all
external particulate matter near the tip of the probe nozzle and place a
cap over the tip to prevent losing or gaining particulate matter. Do
not cap the probe tip tightly while the sampling train is cooling
because a vacuum will be created, drawing liquid from the impingers back
through the sampling train.
3.5.7.1.2 Before moving the sampling train to the cleanup site,
remove the probe from the sampling train and cap the open outlet, being
careful not to lose any condensate that might be present. Remove the
umbilical cord from the last impinger and cap the impinger. If a
flexible line is used, let any condensed water or liquid drain into the
impingers. Cap off any open impinger inlets and outlets. Ground glass
stoppers, Teflon caps or caps of other inert materials may be used to
seal all openings.
3.5.7.1.3 Transfer the probe and impinger assembly to an area that is
clean and protected from wind so that the chances of contaminating or
losing the sample are minimized.
3.5.7.1.4 Inspect the train before and during disassembly, and note
any abnormal conditions.
3.5.7.1.5 Save a portion of all washing solution (methylene chloride,
water) used for cleanup as a blank. Transfer 200 ml of each solution
directly from the wash bottle being used and place each in a separate,
prelabeled sample container.
3.5.7.2 Sample Containers.
3.5.7.2.1 Container 1: Probe and Impinger Catches. Using a
graduated cylinder, measure to the nearest ml, and record the volume of
the solution in the first three impingers. Alternatively, the solution
may be weighed to the nearest 0.5 g. Include any condensate in the probe
in this determination. Transfer the impinger solution from the
graduated cylinder into the amber flint glass bottle. Taking care that
dust on the outside of the probe or other exterior surfaces does not get
into the sample, clean all surfaces to which the sample is exposed
(including the probe nozzle, probe fitting, probe liner, first impinger,
and impinger connector) with methylene chloride. Use less than 500 ml
for the entire wash (250 ml would be better, if possible). Add the
washing to the sample container.
3.5.7.2.1.1 Carefully remove the probe nozzle and rinse the inside
surface with methylene chloride from a wash bottle. Brush with a Teflon
bristle brush, and rinse until the rinse shows no visible particles or
yellow color, after which make a final rinse of the inside surface.
Brush and rinse the inside parts of the Swagelok fitting with methylene
chloride in a similar way.
3.5.7.2.1.2 Rinse the probe liner with methylene chloride. While
squirting the methylene chloride into the upper end of the probe, tilt
and rotate the probe so that all inside surfaces will be wetted with
methylene chloride. Let the methylene chloride drain from the lower end
into the sample container. The tester may use a funnel (glass or
polyethylene) to aid in transferring the liquid washes to the container.
Follow the rinse with a Teflon brush. Hold the probe in an inclined
position, and squirt methylene chloride into the upper end as the probe
brush is being pushed with a twisting action through the probe. Hold
the sample container underneath the lower end of the probe, and catch
any methylene chloride, water, and particulate matter that is brushed
from the probe. Run the brush through the probe three times or more.
With stainless steel or other metal probes, run the brush through in the
above prescribed manner at least six times since there may be small
crevices in which particulate matter can be entrapped. Rinse the brush
with methylene chloride or water, and quantitatively collect these
washing in the sample container. After the brushing, make a final rinse
of the probe as described above.
Note: Two people should clean the probe in order to minimize sample
losses. Between sampling runs, brushes must be kept clean and free from
contamination.
3.5.7.2.1.3 Rinse the inside surface of each of the first three
impingers (and connecting tubing) three separate times. Use a small
portion of methylene chloride for each rinse, and brush each surface to
which the sample is exposed with a Teflon bristle brush to ensure
recovery of fine particulate matter. Water will be required for the
recovery of the impingers in addition to the specified quantity of
methylene chloride. There will be at least two phases in the impingers.
This two-phase mixture does not pour well, and a significant amount of
the impinger catch will be left on the walls. The use of water as a
rinse makes the recovery quantitative. Make a final rinse of each
surface and of the brush, using both methylene chloride and water.
3.5.7.2.1.4 After all methylene chloride and water washing and
particulate matter have been collected in the sample container, tighten
the lid so the solvent, water, and DNPH reagent will not leak out when
the container is shipped to the laboratory. Mark the height of the
fluid level to determine whether leakage occurs during transport. Seal
the container with Teflon tape. Label the container clearly to identify
its contents.
3.5.7.2.1.5 If the first two impingers are to be analyzed separately
to check for breakthrough, separate the contents and rinses of the two
impingers into individual containers. Care must be taken to avoid
physical carryover from the first impinger to the second. The
formaldehyde hydrazone is a solid which floats and froths on top of the
impinger solution. Any physical carryover of collected moisture into
the second impinger will invalidate a breakthrough assessment.
3.5.7.2.2 Container 2: Sample Blank. Prepare a blank by using an
amber flint glass container and adding a volume of DNPH reagent and
methylene chloride equal to the total volume in Container 1. Process
the blank in the same manner as Container 1.
3.5.7.2.3 Container 3: Silica Gel. Note the color of the indicating
silica gel to determine whether it has been completely spent and make a
notation of its condition. The impinger containing the silica gel may
be used as a sample transport container with both ends sealed with
tightly fitting caps or plugs. Ground-glass stoppers or Teflon caps may
be used. The silica gel impinger should then be labeled, covered with
aluminum foil, and packaged on ice for transport to the laboratory. If
the silica gel is removed from the impinger, the tester may use a funnel
to pour the silica gel and a rubber policeman to remove the silica gel
from the impinger. It is not necessary to remove the small amount of
dust particles that may adhere to the impinger wall and are difficult to
remove. Since the gain in weight is to be used for moisture
calculations, do not use water or other liquids to transfer the silica
gel. If a balance is available in the field, the spent silica gel (or
silica gel plus impinger) may be weighed to the nearest 0.5 g.
3.5.7.2.4 Sample containers should be placed in a cooler, cooled by
(although not in contact with) ice. Sample containers must be placed
vertically and, since they are glass, protected from breakage during
shipment. Samples should be cooled during shipment so they will be
received cold at the laboratory.
3.5.8.1 Probe Nozzle: Probe nozzles shall be calibrated before their
initial use in the field. Using a micrometer, measure the inside
diameter of the nozzle to the nearest 0.025 mm (0.001 in). Make
measurements at three separate places across the diameter and obtain the
average of the measurements. The difference between the high and low
numbers shall not exceed 0.1 mm (0.004 in). When the nozzles become
nicked or corroded, they shall be replaced and calibrated before use.
Each nozzle must be permanently and uniquely identified.
3.5.8.2 Pitot Tube: The Type S pitot tube assembly shall be
calibrated according to the procedure outlined in Section 4 of EPA
Method 2 or assigned a nominal coefficient of 0.84 if it is not visibly
nicked or corroded and if it meets design and intercomponent spacing
specifications.
3.5.8.3 Metering System.
3.5.8.3.1 Before its initial use in the field, the metering system
shall be calibrated according to the procedure outlined in APTD-0576.
Instead of physically adjusting the dry-gas meter dial readings to
correspond to the wet-test meter readings, calibration factors may be
used to correct the gas meter dial readings mathematically to the proper
values. Before calibrating the metering system, it is suggested that a
leak check be conducted. For metering systems having diaphragm pumps,
the normal leak check procedure will not detect leakages with the pump.
For these cases, the following leak check procedure will apply: make a
ten-minute calibration run at 0.00057 m /3/ /min (0.02 cfm). At the end
of the run, take the difference of the measured wettest and dry-gas
meter volumes and divide the difference by 10 to get the leak rate. The
leak rate should not exceed 0.00057 m /3/ /min (0.02 cfm).
3.5.8.3.2 After each field use, check the calibration of the metering
system by performing three calibration runs at a single intermediate
orifice setting (based on the previous field test). Set the vacuum at
the maximum value reached during the test series. To adjust the vacuum,
insert a valve between the wet-test meter and the inlet of the metering
system. Calculate the average value of the calibration factor. If the
calibration has changed by more than 5%, recalibrate the meter over the
full range of orifice settings, as outlined in APTD-0576.
3.5.8.3.3 Leak check of metering system: The portion of the sampling
train from the pump to the orifice meter (see Figure 1) should be leak
checked prior to initial use and after each shipment. Leakage after the
pump will result in less volume being recorded than is actually sampled.
Use the following procedure: Close the main valve on the meter box.
Insert a one-hole rubber stopper with rubber tubing attached into the
orifice exhaust pipe. Disconnect and vent the low side of the orifice
manometer. Close off the low side orifice tap. Pressurize the system
to 13-18 cm (5-7 in) water column by blowing into the rubber tubing.
Pinch off the tubing and observe the manometer for 1 min. A loss of
pressure on the manometer indicates a leak in the meter box. Leaks must
be corrected.
Note: If the dry-gas-meter coefficient values obtained before and
after a test series differ by 5%, either the test series must be voided
or calculations for test series must be performed using whichever meter
coefficient value (i.e., before or after) gives the lower value of total
sample volume.
3.5.8.4 Probe Heater: The probe heating system must be calibrated
before its initial use in the field according to the procedure outlined
in APTD-0576. Probes constructed according to APTD-0581 need not be
calibrated if the calibration curves in APTD-0576 are used.
3.5.8.5 Temperature gauges: Each thermocouple must be permanently
and uniquely marked on the casting. All mercury-in-glass reference
thermometers must conform to ASTM E-1 63C or 63F specifications.
Thermocouples should be calibrated in the laboratory with and without
the use of extension leads. If extension leads are used in the field,
the thermocouple readings at the ambient air temperatures, with and
without the extension lead, must be noted and recorded. Correction is
necessary if the use of an extension lead produces a change 1.5%.
3.5.8.5.1 Impinger and dry-gas meter thermocouples: For the
thermocouples used to measure the temperature of the gas leaving the
impinger train, three-point calibration at ice water, room air, and
boiling water temperatures is necessary. Accept the thermocouples only
if the readings at all three temperatures agree to 2C (3.60 F) with
those of the absolute value of the reference thermometer.
3.5.8.5.2 Probe and stack thermocouple: For the thermocouples used
to indicate the probe and stack temperatures, a three-point calibration
at ice water, boiling water, and hot oil bath temperatures must be
performed. Use of a point at room air temperature is recommended. The
thermometer and thermocouple must agree to within 1.5% at each of the
calibration points. A calibration curve (equation) may be constructed
(calculated) and the data extrapolated to cover the entire temperature
range suggested by the manufacturer.
3.5.8.6 Barometer: Adjust the barometer initially and before each
test series to agree to within 2.5 mm Hg (0.1 in Hg) of the mercury
barometer or the correct barometric pressure value reported by a nearby
National Weather Service Station (same altitude above sea level).
3.5.8.7 Triple-beam balance: Calibrate the triple-beam balance
before each test series, using Class S standard weights. The weights
must be within 0.5% of the standards, or the balance must be adjusted
to meet these limits.
Carry out calculations, retaining at least one extra decimal figure
beyond that of the acquired data. Round off figures after final
calculations.
3.5.9.1 Calculation of Total Formaldehyde: To determine the total
formaldehyde in mg, use the following equation:
Total mg formaldehyde=Cd V DF
where:
Cd=measured concentration of DNPH^formaldehyde derivative, g/ml.
V=organic extract volume ml.
DF=dilution factor.
3.5.9.2 Formaldehyde concentration in stack gas.
Determine the formaldehyde concentration in the stack gas using the
following equation:
Cf=K (total formaldehyde, mg) Vm(std)
where:
K=35.31 ft /3/ /m /3/ if Vm(std) is expressed in English units
=1.00 m /3/ /m /3/ if Vm(std) is expressed in metric units.
Vm(std) volume of gas sample a measured by dry gas meter, corrected
to standard conditions, dscm (dscf).
3.5.9.3 Average Dry Gas Meter Temperature and Average Orifice
Pressure Drop are obtained from the data sheet.
3.5.9.4 Dry Gas Volume: Calculate Vm(std) and adjust for leakage, if
necessary, using the equation in section 6.3 of EPA method 5.
3.5.9.5 Volume of Water Vapor and Moisture Content: Calculate the
volume of water vapor and moisture content from equations 5-2 and 5-3 of
EPA method 5.
To determine the minimum sample volume to be collected, use the
following sequence of equations.
3.5.10.1 From prior analysis of the waste feed, the concentration of
formaldehyde (FORM) introduced into the combustion system can be
calculated. The degree of destruction and removal efficiency that is
required is used to determine the amount of FORM allowed to be present
in the effluent. This amount may be expressed as:
Max FORM Mass=((WF) (FORM conc) (100^%DRE))/100
where:
WF=mass flow rate of waste feed per h, g/h (lb/h).
FORM=concentration of FORM (wt %) introduced into the combustion
process.
DRE=percent Destruction and Removal Efficiency required.
Max FORM=mass flow rate (g/h (lb/)) of FORM emitted from the
combustion sources.
3.5.10.2 The average discharge concentration of the FORM in the
effluent gas is determined by comparing the Max FORM with the volumetric
flow rate being exhausted from the source. Volumetric flow rate data
are available as a result of preliminary EPA method 1-4 determinations:
Max FORM conc=(Max FORM Mass) / DVeff(std)
where:
DVeff(std)=volumetric flow rate of exhaust gas, dscm (dscf).
FORM conc=anticipated concentration of the FORM in the exhaust gas
stream, g/dscm (lb/dscf).
3.5.10.3 In making this calculation, it is recommended that a safety
margin of at least ten be included.
(LDLFORM 10 / FORM conc) Vtbc
where:
LDLFORM=detectable amount of FORM in entire sampling train.
Vtbc=minimum dry standard volume to be collected at dry-gas meter.
3.5.10.4 The following analytical detection limits and DNPH Reagent
Capacity (based on a total volume of 200 ml in two impingers) must also
be considered in determining a volume to be sampled.
3.5.11.1 Sampling: See EPA Manual 600/4-77-02b for Method 5 quality
control.
3.5.11.2 Analysis: The quality assurance program required for this
method includes the analysis of the field and method blanks, procedure
validations. and analysis of field spikes. The assessment of
combustion data and positive identification and quantitation of
formaldehyde are dependent on the integrity of the samples received and
the precision and accuracy of the analytical methodology. Quality
assurance procedures for this method are designed to monitor the
performance of the analytical methodology and to provide the required
information to take corrective action if problems are observed in
laboratory operations or in field sampling activities.
3.5.11.2.1 Field Blanks: Field blanks must be submitted with the
samples collected at each sampling site. The field blanks include the
sample bottles containing aliquots of sample recovery solvents,
methylene chloride and water, and unused DNPH reagent. At a minimum,
one complete sampling train will be assembled in the field staging area,
taken to the sampling area, and leak-checked at the beginning and end of
the testing (or for the same total number of times as the actual
sampling train). The probe of the blank train must be heated during the
sample test. The train will be recovered as if it were an actual test
sample. No gaseous sample will be passed through the blank sampling
train.
3.5.11.2.2 Method Blanks: A method blank must be prepared for each
set of analytical operations, to evaluate contamination and artifacts
that can be derived from glassware, reagents, and sample handling in the
laboratory.
3.5.11.2.3 Field Spike: A field spike is performed by introducing
200 L of the Field Spike Standard into an impinger containing 200 ml of
DNPH solution. Standard impinger recovery procedures are followed and
the spike is used as a check on field handling and recovery procedures.
An aliquot of the field spike standard is retained in the laboratory for
derivatization and comparative analysis.
3.5.12.1 Method performance evaluation: The expected method
performance parameters for precision, accuracy, and detection limits are
provided in Table 3.5-3.
As a check on the survival of particulate material through the
impinger system, a filter can be added to the impinger train either
after the second impinger or after the third impinger. Since the
impingers are in an ice bath, there is no reason to heat the filter at
this point.
Any suitable medium (e.g., paper, organic membrane) may be used for
the filter if the material conforms to the following specifications:
(1) the filter has at least 95% collection efficiency (<5%
penetration) for 3 m dioctyl phthalate smoke particles. The filter
efficiency test shall be conducted in accordance with ASTM standard
method D2986-71. Test data from the supplier's quality control program
are sufficient for this purpose.
(2) the filter has a low aldehyde blank value (<0.015 mg
formaldehyde/cm /2/ of filter area). Before the test series, determine
the average formaldehyde blank value of at least three filters (from the
lot to be used for sampling) using the applicable analytical procedures.
Table 3.5-3. -- Expected Method Performance for
Formaldehyde
Recover the exposed filter into a separate clean container and return
the container over ice to the laboratory for analysis. If the filter is
being analyzed for formaldehyde, the filter may be recovered into a
container or DNPH reagent for shipment back to the laboratory. If the
filter is being examined for the presence of particulate material, the
filter may be recovered into a clean dry container and returned to the
laboratory.
3.6.1.1 Method 0011A covers the determination of free formaldehyde in
the aqueous samples and leachates and derived aldehydes/ketones
collected by method 0011.
3.6.1.2 Method 0011A is a high performance liquid chromatographic
(HPLC) method optimized for the determination of formaldehyde and
acetaldehyde in aqueous environmental matrices and leachates of solid
samples and stack samples collected by method 0011. When this method is
used to analyze unfamiliar sample matrices, compound identification
should be supported by at least one additional qualitative technique. A
gas chromatograph/mass spectrometer (GC/MS) may be used for the
qualitative confirmation of results from the target analytes, using the
extract produced by this method.
3.6.1.3 The method detection limits (MDL) are listed in Tables 3.6-1
and 3.6-2. The MDL for a specific sample may differ from that listed,
depending upon the nature of interferences in the sample matrix and the
amount of sample used in the procedure.
3.6.1.4 The extraction procedure for solid samples is similar to that
specified in method 1311 (1). Thus, a single sample may be extracted to
measure the analytes included in the scope of other appropriate methods.
The analyst is allowed the flexibility to select chromatographic
conditions appropriate for the simultaneous measurement of
contaminations of these analytes.
3.6.1.5 This method is restricted to use by, or under the supervision
of analysts experienced in the use of chromatography and in the
interpretation of chromatograms. Each analyst must demonstrate the
ability to generate acceptable results with this method.
3.6.1.6 The toxicity or carcinogenicity of each reagent used in this
method has not been precisely defined; however, each chemical compound
should be treated as a potential health hazard. From this viewpoint,
exposure to these chemicals must be reduced to the lowest possible level
by whatever means available. The laboratory is responsible for
maintaining a current awareness file of OSHA regulations regarding the
safe handling of the chemicals specified in this method. A reference
file of material safety data sheets should also be made available to all
personnel involved in the chemical analysis. Additional references to
laboratory safety are available.
3.6.1.7 Formaldehyde has been tentatively classified as a known or
suspected, human or mammalian carcinogen.
3.6.2.1 Environmental Liquids and Solid Leachates.
3.6.2.1.1 For wastes comprised of solids or for aqueous wastes
containing significant amounts of solid material, the aqueous phase, if
any, is separated from the solid phase and stored for later analysis.
If necessary, the particle size of the solids in the waste is reduced.
The solid phase is extracted with an amount of extraction fluid equal to
20 times the weight of the solid phase of the waste. A special
extractor vessel is used when testing for volatiles. Following
extraction, the aqueous extract is separated from the solid phase by
filtration employing 0.6 to 0.8 m glass fiber filters.
3.6.2.1.2 If compatible (i.e., multiple phases will not form on
combination), the initial aqueous phase of the waste is added to the
aqueous extract, and these liquids are analyzed together. If
incompatible, the liquids are analyzed separately and the results are
mathematically combined to yield a volume weighted average
concentration.
3.6.2.1.3 A measured volume of aqueous sample or an appropriate
amount of solids leachate is buffered to pH 5 and derivatized with
2,4-dinitrophenylhydrazine (DNPH), using either the solid sorbent or the
methylene derivatization/extraction option. If the solid sorbent option
is used, the derivative is extracted using solid sorbent cartridges,
followed by elution with ethanol. If the methylene chloride option is
used, the derivative is extracted with methylene chloride. The
methylene chloride extracts are concentrated using the Kuderna-Danish
(K-D) procedure and solvent exchanged into methanol prior to HPLC
analysis. Liquid chromatographic conditions are described which permit
the separation and measurement of formaldehyde in the extract by
absorbance detection at 360 nm.
3.6.2.2 Stack Gas Samples Collected by Method 0011.
3.6.2.2.1 The entire sample returned to the laboratory is extracted
with methylene chloride and the methylene chloride extract is brought up
to a known volume. An aliquot of the methylene chloride extract is
solvent exchanged and concentrated or diluted as necessary.
3.6.2.2.2 Liquid chromatographic conditions are described that permit
the separation and measurement of formaldehyde in the extract by
absorbance detection at 360 nm.
3.6.3.1 Method interferences may be caused by contaminants in
solvents, reagents, glassware, and other sample processing hardware that
lead to discrete artifacts and/or elevated baselines in the
chromatograms. All of these materials must be routinely demonstrated to
be free from interferences under the conditions of the analysis by
analyzing laboratory reagent blanks.
3.6.3.1.1 Glassware must be scrupulously cleaned. Clean all
glassware as soon as possible after use by rinsing with the last solvent
used. This should be followed by detergent washing with hot water, and
rinses with tap water and distilled water. It should then be drained,
dried. and heated in a laboratory oven at 130 C for several hours
before use. Solvent rinses with methanol may be substituted for the
oven heating. After drying and cooling, glassware should be stored in a
clean environment to prevent any accumulation of dust or other
contaminants.
3.6.3.1.2 The use of high purity reagents and solvents helps to
minimize interference problems. Purification of solvents by
distillation in all-glass systems may be required.
3.6.3.2 Analysis for formaldehyde is especially complicated by its
ubiquitous occurrence in the environment.
3.6.3.3 Matrix interferences may be caused by contaminants that are
coextracted from the sample. The extent of matrix interferences will
vary considerably from source to source, depending upon the nature and
diversity of the matrix being sampled. No interferences have been
observed in the matrices studied as a result of using solid sorbent
extraction as opposed to liquid extraction. If interferences occur in
subsequent samples, some additional cleanup may be necessary.
3.6.3.4 The extent of interferences that may be encountered using
liquid chromatographic techniques has not been fully assessed. Although
the HPLC conditions described allow for a resolution of the specific
compounds covered by this method, other matrix components may interfere.
3.6.4.1 Reaction vessel -- 250 ml Florence flask.
3.6.4.2 Separatory funnel -- 205 ml, with Teflon stopcock.
3.6.4.3 Kuderna-Danish (K-D) apparatus.
3.6.4.3.1 Concentrator tube -- 10 ml graduated (Kontes K-570050-1025
or equivalent). A ground glass stopper is used to prevent evaporation
of extracts.
3.6.4.3.2 Evaporation flask -- 500 ml (Kontes K-570001-500 or
equivalent). Attach to concentrator tube with springs, clamps, or
equivalent.
3.6.4.3.3 Snyder column -- Three ball macro (Kontes K-503000-0121 or
equivalent).
3.6.4.3.4 Snyder column -- Two ball macro (Kontes K-569001-0219 or
equivalent).
3.6.4.3.5 Springs -- 1/2 inch (Kontes K-662750 or equivalent).
3.6.4.4 Vials -- 10, 25 ml, glass with Teflon lined screw caps or
crimp tops.
3.6.4.5 Boiling chips -- Solvent extracted with methylene chloride,
approximately 10/40 mesh (silicon carbide or equivalent).
3.6.4.6 Balance -- Analytical, capable of accurately weighing to the
nearest 0.0001 g.
3.6.4.7 pH meter -- Capable of measuring to the nearest 0.01 units.
3.6.4.8 High performance liquid chromatograph (modular).
3.6.4.8.1 Pumping system -- Isocratic, with constant flow control
capable of 1.00 ml/min.
3.6.4.8.2 High pressure injection valve with 20 L loop.
3.6.4.8.3 Column -- 250 mm 4.6 mm ID, 5 m particle size, C18 (or
equivalent).
3.6.4.8.4 Absorbance detector -- 360 nm.
3.6.4.8.5 Strip-chart recorder compatible with detector -- Use of a
data system for measuring peak areas and retention times is recommended.
3.6.4.9 Glass fiber filter paper.
3.6.4.10 Solid sorbent cartridges -- Packed with 500 mg C18 (Baker or
equivalent).
3.6.4.11 Vacuum manifold -- Capable of simultaneous extraction of up
to 12 samples (Supelco or equivalent).
3.6.4.12 Sample reservoirs -- 60 ml capacity (Supelco or equivalent).
3.6.4.13 Pipet -- Capable of accurately delivering 0.10 ml solution
(Pipetman or equivalent).
3.6.4.14 Water bath -- Heated, with concentric ring cover, capable of
temperature control (( ) 2 C). The bath should be used under a hood.
3.6.4.15 Volumetric Flasks -- 250 or 500 ml.
3.6.5.1 Reagent grade chemicals shall be used in all tests. Unless
otherwise indicated, it is intended that all reagents shall conform to
the specifications of the Committee on Analytical Reagents of the
American Chemical Society, where such specifications are available.
Other grades may be used, provided it is first ascertained that the
reagent is of sufficiently high purity to permit its use without
lessening the accuracy of the determination.
3.6.5.2 Organic-free water -- All references to water in this method
refer to organic-free reagent water, as defined in chapter I SW-846.
3.6.5.3 Methylene chloride, CH2Cl2 -- HPLC grade or equivalent.
3.6.5.4 Methanol, CH3OH -- HPLC grade or equivalent.
3.6.5.5 Ethanol (absolute), CH3CH2OH -- HPLC grade or equivalent.
3.6.5.6 2,4-Dinitrophenylhydrazine (DNPH) (70% (W/W)),
(2,4-(O2N)2C6H3)NHNH2, in organic-free reagent water.
3.6.5.7 Formalin (37.6 percent (w/w)), formaldehyde in organic-free
reagent water.
3.6.5.8 Acetic acid (glacial), CH3CO2H.
3.6.5.9 Sodium hydroxide solutions NaOH, 1.0 N and 5 N.
3.6.5.10 Sodium chloride, NaCl.
3.6.5.11 Sodium sulfite solution, Na2SO3, 0.1 M.
3.6.5.12 Hydrochloric Acid, HCl, 0.1 N.
3.6.5.13 Extraction fluid -- Dilute 64.3 ml of 1.0 N NaOH and 5.7 ml
glacial acetic acid to 900 ml with organic-free reagent water. Dilute
to 1 liter with organic-free reagent water. The pH should be 4.93
0.02.
3.6.5.14 Stock standard solutions.
3.6.5.14.1 Stock formaldehyde (approximately 1.00 mg/ml) -- Prepare
by diluting 265 l formalin to 100 ml with organic-free reagent water.
3.6.5.14.1.1 Standardization of formaldehyde stock solution --
Transfer a 25 ml aliquot of a 0.1 M Na2SO3 solution to a beaker and
record the pH. Add a 25.0 ml aliquot of the formaldehyde stock solution
(section 3.6.5.14.1) and record the pH. Titrate this mixture back to
the original pH using 0.1 N HCl. The formaldehyde concentration is
calculated using the following equation:
Concentration (mg/ml)=30.03 (N HCl) (ml HCl) 25.0
where:
N HCl=Normality of HCl solution used.
ml HCl=ml of standardized HCl solution used.
30.03=MW of formaldehyde.
3.6.5.14.2 Stock formaldehyde and acetaldehyde -- Prepare by adding
265 L formalin and 0.1 g acetaldehyde to 90 ml of water and dilute to
100 ml. The concentration of acetaldehyde in this solution is 1.00
mg/ml. Calculate the concentration of formaldehyde in this solution
using the results of the assay performed in section 3.6.5.14.1.1.
3.6.5.14.3 Stock standard solutions must be replaced after six
months, or sooner, if comparison with check standards indicates a
problem.
3.6.5.15 Reaction Solutions.
3.6.5.15.1 DNPH (1.00 g/L) -- Dissolve 142.9 mg of 70% (w/w) reagent
in 100 ml absolute ethanol. Slight heating or sonication may be
necessary to effect dissolution.
3.6.5.15.2 Acetate buffer (5 N) Prepare by neutralizing glacial
acetic acid to pH 5 with 5 N NaOH solution. Dilute to standard volume
with water.
3.6.5.15.3 Sodium chloride solution (saturated) Prepare by mixing of
the reagent grade solid with water.
3.6.6.1 See the introductory material to this Chapter, Organic
Analytes, section 4.1 of SW-846.
3.6.6.2 Environmental liquid and leachate samples must be
refrigerated at 4 C, and must be derivatized within 5 days of sample
collection and analyzed within 3 days of derivatization.
3.6.6.3 Stack gas samples collected by Method 0011 must be
refrigerated at 4 C. It is recommended that samples be extracted
within 30 days of collection and that extracts be analyzed within 30
days of extraction.
3.6.7.1 Extraction of Solid Samples.
3.6.7.1.1 All solid samples should be homogeneous. When the sample
is not dry, determine the dry weight of the sample, using a
representative aliquot.
3.6.7.1.1.1 Determination of dry weight -- In certain cases, sample
results are desired based on a dry weight basis. When such data is
desired, or required, a portion of sample for dry weight determination
should be weighed out at the same time as the portion used for
analytical determination.
Warning: The drying oven should be contained in a hood or vented.
Significant laboratory contamination may result from drying a heavily
contaminated hazardous waste sample.
3.6.7.1.1.2 Immediately after weighing the sample for extraction,
weigh 5-10 g of the sample into a tared crucible. Determine the % dry
weight of the sample by drying overnight at 105 C. Allow to cool in a
desiccator before weighing:
3.6.7.1.2 Measure 25 g of solid into a 500 ml bottle with a Teflon
lined screw cap or crimp top, and add 500 ml of extraction fluid
(section 3.6.5.13). Extract the solid by rotating the bottle at
approximately 30 rpm for 18 hours. Filter the extract through glass
fiber paper and store in sealed bottles at 4 C. Each ml of extract
represents 0.050 g solid.
3.6.7.2 Cleanup and Separation.
3.6.7.2.1 Cleanup procedures may not be necessary for a relatively
clean sample matrix. The cleanup procedures recommended in this method
have been used for the analysis of various sample types. If particular
circumstances demand the use of an alternative cleanup procedure, the
analyst must determine the elution profile and demonstrate that the
recovery of formaldehyde is no less then 85% of recoveries specified in
Table 3.6-3. Recovery may be lower for samples which form emulsions.
3.6.7.2.2 If the sample is not clean, or the complexity is unknown,
the entire sample should be centrifuged at 2500 rpm for 10 minutes.
Decant the supernatant liquid from the centrifuge bottle, and filter
through glass fiber filter paper into a container which can be tightly
sealed.
3.6.7.3 Derivatization.
3.6.7.3.1 For aqueous samples, measure a 50 to 100 ml aliquot of the
sample. Quantitatively transfer the sample aliquot to the reaction
vessel (section 3.6.4.1).
3.6.7.3.2 For solid samples, 1 to 10 ml of leachate (section 3.6.7.1)
will usually be required. The amount used for a particular sample must
be determined through preliminary experiments.
Note: For all reactions, the total volume of the aqueous layer
should be adjusted to 100 ml with water.
3.6.7.3.3 Derivatization and extraction of the derivative can be
accomplished using the solid sorbent (section 3.6.7.3.4) or methylene
chloride option (section 3.6.7.3.5).
3.6.7.3.4 Solid Sorbent Option.
3.6.7.3.4.1 Add 4 ml of acetate buffer and adjust the pH to 5.0 0.1
with glacial acetic acid or 5 N NaOH. Add 6 ml of DNPH reagent, seal
the container, and place on a wrist-action shaker for 30 minutes.
3.6.7.3.4.2 Assemble the vacuum manifold and connect to a water
aspirator or vacuum pump. Assemble solid sorbent cartridges containing
a minimum of 1.5 g of C18 sorbent, using connectors supplied by the
manufacturer, and attach the sorbent train to the vacuum manifold.
Condition each cartridge by passing 10 ml dilute acetate buffer (10 ml 5
N acetate buffer dissolved in 250 ml water) through the sorbent
cartridge train.
3.6.7.3.4.3 Remove the reaction vessel from the shaker and add 10 ml
saturated NaCl solution to the vessel.
3.6.7.3.4.4 Add the reaction solution to the sorbent train and apply
a vacuum so that the solution is drawn through the cartridges at a rate
of 3 to 5 ml/min. Release the vacuum after the solution has passed
through the sorbent.
3.6.7.3.4.5 Elute each cartridge train with approximately 9 ml of
absolute ethanol, directly into a 10 ml volumetric flask. Dilute the
solution to volume with absolute ethanol, mixed thoroughly, and place in
a tightly sealed vial until analyzed.
3.6.7.3.5 Methylene Chloride Option.
3.6.7.3.5.1 Add 5 m of acetate buffer and adjust the pH to 5.0 0.5
with glacial acetic acid or 5 N NaOH. Add 10 ml of DNPH reagent, seal
the container, and place on a wrist-action shaker for 1 hour.
3.6.7.3.5.2 Extract the solution with three 20 ml portions of
methylene chloride, using a 250 ml separatory funnel, and combine the
methylene chloride layers. If an emulsion forms upon extraction, remove
the entire emulsion and centrifuge at 2000 rpm for 10 minutes. Separate
the layers and proceed with the next extraction.
3.6.7.3.5.3 Assemble a Kuderna-Danish (K-D) concentrator by attaching
a 10 ml concentrator tube to a 500 ml evaporator flask. Wash the K-D
apparatus with 25 ml of extraction solvent to complete the quantitative
transfer.
3.6.7.3.5.4 Add one to two clean boiling chips to the evaporative
flask and attach a three ball Snyder column. Preset the Snyder column
by adding about 1 ml methylene chloride to the top. Place the K-D
apparatus on a hot water bath (80-90 C) so that the concentrator tube
is partially immersed in the hot water and the entire lower rounded
surface of the flask is bathed with hot vapor. Adjust the vertical
position of the apparatus and the water temperature, as required, to
complete the concentration in 10-15 min. At the proper rate of
distillation the balls of the column will actively chatter, but the
chambers will not flood with condensed solvent. When the apparent
volume of liquid reaches 10 ml, remove the K-D apparatus and allow it to
drain and cool for a least 10 min.
3.6.7.3.5.5 Prior to liquid chromatographic analysis, the solvent
must be exchanged to methanol. The analyst must ensure quantitative
transfer of the extract concentrate. The exchange is performed as
follows:
3.6.7.3.5.5.1 Following K-D concentration of the methylene chloride
extract to <10 ml using the macro Snyder column, allow the apparatus to
cool and drain for at least 10 minutes.
3.6.7.3.5.5.2 Momentarily remove the Snyder column, add 5 ml of the
methanol, a new glass bed, or boiling chip, and attach the micro Snyder
column. Concentrate the extract using 1 ml of methanol to prewet the
Snyder column. Place the K-D apparatus on the water bath so that the
concentrator tube is partially immersed in the hot water. Adjust the
vertical position of the apparatus and the water temperature, as
required, to complete concentration. At the proper rate of distillation
the balls of the column will actively chatter, but the chambers will not
flood. When the apparent volume of liquid reaches <5 ml, remove the K-D
apparatus and allow it to drain and cool for at least 10 minutes.
3.6.7.3.5.5.3 Remove the Snyder column and rinse the flask and its
lower joint with 1-2 ml of methanol and add to concentrator tube. A
5-ml syringe is recommended for this operation. Adjust the extract
volume to 10 ml. Stopper the concentrator tube and store refrigerated
at 4 C if further processing will not be performed immediately. If the
extract will be stored longer than two days, it should be transferred to
a vial with a Teflon-lined screw cap or crimp top. Proceed with liquid
chromatographic analysis if further cleanup is not required.
3.6.7.4 Extraction of Stack Gas Samples Collected by Method 0011.
3.6.7.4.1 Measure the aqueous volume of the sample prior to
extraction (for moisture determination in case the volume was not
measured in the field). Pour the sample into a separatory funnel and
drain the methylene chloride into a volumetric flask.
3.6.7.4.2 Extract the aqueous solution with two or three aliquots of
methylene chloride. Add the methylene chloride sxtracts to the
volumetric flask.
3.6.7.4.3 Fill the volumetric flask to the line with methylene
chloride. Mix well and remove an aliquot.
3.6.7.4.4 If high levels of formaldehyde are present, the extract can
be diluted with mobile phase, otherwise the extract must be solvent
exchanged as described in section 3.6.7.5.3.3. If low levels of
formaldehyde are present, the sample should be concentrated during the
solvent exchange procedure.
3.6.7.5 Chromatographic Conditions.
3.6.7.6 Calibration.
3.6.7.6.1 Establish liquid chromatographic operating parameters to
produce a retention time equivalent to that indicated in Table 3.6-1 for
the solid sorbent options, or in Table 3.6-2 for methylene chloride
option. Suggested chromatographic conditions are provided in section
3.6.7.5. Prepare derivatized calibration standards according to the
procedure in section 3.6.7.6.1.1. Calibrate the chromatographic system
using the external standard technique (section 3.6.7.6.1.2).
3.6.7.6.1.1 Preparation of calibration standards.
3.6.7.6.1.1.1 Prepare calibration standard solutions of formaldehyde
and acetaldehyde in water from the stock standard (section 3.6.5.14.2).
Prepare these solutions at the following concentrations (in g/ml) by
serial dilution of the stock standard solution: 50, 20, 10. Prepare
additional calibration standard solutions at the following
concentrations, by dilution of the appropriate 50, 20, or 10 g/ml
standard: 5, 0.5, 2, 0.2, 1, 0.1.
3.6.7.6.1.1.2 Process each calibration standard solution through the
derivatization option used for sample processing (section 3.6.7.3.4 or
3.6.7.3.5).
3.6.7.6.1.2 External standard calibration procedure.
3.6.7.6.1.2.1 Analyze each derivatized calibration standard using the
chromatographic conditions listed in Tables 3.6-1 and 3.6-2, and
tabulate peak area against concentration injected. The results may be
used to prepare calibration curves for formaldehyde and acetaldehyde.
3.6.7.6.1.2.2 The working calibration curve must be verified on each
working day by the measurement of one or more calibration standards. If
the response for any analyte varies from the previously established
responses by more the 10%, the test must be repeated using a fresh
calibration standard after it is verified that the analytical system is
in control. Alternatively, a new calibration curve may be prepared for
that compound. If an autosampler is available, it is convenient to
prepare a calibration curve daily by analyzing standards along with test
samples.
3.6.7.7 Analysis.
3.6.7.7.1 Analyze samples by HPLC, using conditions established in
section 3.6.7.6.1. Tables 3.6-1 and 3.6-2 list the retention times and
MDLs that were obtained under these conditions. Other HPLC columns,
chromatographic conditions, or detectors may be used if the requirements
for section 3.6.8.1 are met, or if the data are within the limits
described in Tables 3.6-1 and 3.6-2.
3.6.7.7.2 The width of the retention time window used to make
identifications should be based upon measurements of actual retention
time variations of standards over the course of a day. Three times the
standard deviation of a retention time for a compound can be used to
calculate a suggested window size; however, the experience of the
analyst should weigh heavily in the interpretation of the chromatograms.
3.6.7.7.3 If the peak area exceeds the linear range of the
calibration curve, a smaller sample volume should be used.
Alternatively, the final solution may be diluted with ethanol and
reanalyzed.
3.6.7.7.4 If the peak area measurement is prevented by the presence
of observed interferences, further cleanup is required. However, none
of the 3600 method series have been evaluated for this procedure.
3.6.7.8 Calculations.
3.6.7.8.1 Calculate each response factor as follows (mean value based
on 5 points):
3.6.7.8.2 Calculate the concentration of formaldehyde and
acetaldehyde as follows:
g/ml=(RF) (area of signal) (concentration factor)
where:
Note: For solid samples, a dilution factor must be included in the
equation to account for the weight of the sample used.
3.6.7.8.3 Calculate the total weight of formaldehyde in the stack gas
sample as follows:
total g/ml=(RF) (area of signal) (concentration factor)
where:
3.6.8.1 Refer to Chapter One of SW-846 for guidance on quality
control procedures.
3.6.9.1 The MDL concentrations listed in Table 3.6-1 were obtained
using organic-free water and solid sorbent extraction. Similar results
were achieved using a final effluent and sludge leachate. The MDL
concentrations listed in Table 3.6-2 were obtained using organic-free
water and methylene chloride extraction. Similar results were achieved
using representative matrices.
3.6.9.2 This method has been tested for linearity of recovery from
spiked organic-free water and has been demonstrated to be applicable
over the range from 2 MDL to 200 MDL.
3.6.9.3 In a single laboratory evaluation using several spiked
matrices, the average recoveries presented in Tables 3.6-3 and 3.6-4
were obtained using solid sorbent and methylene chloride extraction,
respectively. The standard deviations of the percent recovery are also
included in Tables 3.6-3 and 3.6-4.
3.6.9.4 A representative chromatogram is presented in Figure 3.6-1.
1. Federal Register, 1986, 51, 40643-40652; November 7.
2. EPA Methods 6010, 7000, 7041, 7060, 7131, 7421, 7470, 7740, and
7841, Test Methods for Evaluating Solid Waste: Physical/Chemical
Methods. SW-846, Third Edition. September 1988. Office of Solid Waste
and Emergency Response, U.S. Environmental Protection Agency,
Washington, DC 20460.
Insert illustration 264
Insert illustration 265
PCDDs and PCDFs must be determined using the method given in section
3.4 of this document. In this method, individual congeners or
homologues /1/ are measured and then summed to yield a total PCDD/PCDF
value. No toxicity factors are specified in the method to compute risks
from such emissions.
For the purpose of estimating risks posed by emissions from boilers
and industrial furnaces, however, specific congeners and homologues must
be measured using the specified method and then multiplied by the
assigned toxicity equivalence factors (TEFs), using procedures described
in ''Interim Procedures for Estimating Risks Associated with Exposures
to Mixtures of Chlorinated Dibenzo-p-Dioxins and Dibenzofurans (CDDs and
CDFs) and 1989 Update,'' EPA/625/3-89/016, March 1989. The resulting
2,3,7,8-TCDD equivalents value is used in the subsequent risk
calculations and modeling efforts as discussed in the BIF final rule.
The procedure for calculating the 2,3,7,8-TCDD equivalent is as
follows:
1. Using method 23, determine the concentrations of 2,7,3,8-congeners
of various PCDDs and PCDFs in the sample.
2. Multiply the congener concentrations in the sample by the TEF
listed in Table 4.0-1 to express the congener concentrations in terms of
2,3,7,8-TCDD equivalent. Note that congeners not chlorinated at 2,3,7,
and 8 positions have a zero toxicity factor in this table.
3. Add the products obtained in step 2, to obtain the total
2,3,7,8-TCDD equivalent in the sample.
Sample calculations are provided in EPA document No.
EPA/625/3-89/016, March 1989, which can be obtained from the EPA, ORD
Publications Office, Cincinnati, Ohio (Phone no. 513-569-7562).
The HWCAQSP is a combined calculation/reference table approach for
conservatively estimating short-term and annual average facility impacts
for stack emissions. The procedure is based on extensive short-term
modeling of 11 generic source types and on a set of adjustment factors
for estimating annual average concentrations from short-term
concentrations. Facility impacts may be determined based on the
selected worst-case stack or on multiple stacks, in which the impacts
from each stack are estimated separately and then added to produce the
total facility impact.
This procedure is most useful for facilities with multiple stacks,
large source-to-property boundary distances, and complex terrain between
1 and 5 km from the facility. To ensure a sufficient degree of
conservatism, the HWCAQSP may not be used if any of the five screening
procedure limitations listed below are true:
The facility is located in a narrow valley less than 1 km wide;
The facility has a stack taller than 20 m and is located such that
the terrain rises to the stack height within 1 km of the facility;
The facility has a stack taller than 20 m and is located within 5 km
of the shoreline of a large body of water;
The facility property line is within 200 m of the stack and the
physical stack height is less than 10 m; or
On-site receptors are of concern, and stack height is less than 10 m.
If any of these criteria are met or the Director determines that this
procedure is not appropriate, then detailed site-specific modeling or
modeling using the ''Screening Procedures for Estimating the Air Quality
Impact of Stationary Sources,'' EPA -450/4-88-010, Office of Air Quality
Planning and Standards, August 1988, is required. Detailed
site-specific dispersion modeling must conform to the EPA ''Guidance on
Air Quality Models (Revised)'', EPA 450/2-78-027R, Office of Air Quality
Planning and Standards, Research Triangle Park, North Carolina, July
1986. This document provides guidance on both the proper selection and
regulatory application of air quality models.
The Hazardous Waste Combustion Air Quality Screening Procedure
(HWCAQSP) (also referred to hereafter as ''the screening procedure'' or
''the procedure'') provides a quick, easy method for estimating maximum
(hourly) and annual average ambient air impacts associated with the
combustion of hazardous waste. The methodology is conservative in
nature and estimates dispersion coefficients /1/ based on
facility-specific information.
The screening procedure can be used to determine emissions limits at
sites where the nearest meteorological (STAR) station is not
representative of the meteorology at the site. If the screen shows that
emissions from the site are adequately protective, then the need to
collect site-specific meteorological data can be eliminated.
The screening procedure is generally most helpful for facilities
meeting one or more of the following conditions:
Multiple stacks with substantially different release specifications
(e.g., stack heights differ by 50 percent, exit temperatures differ by
50 K, or the exit flow rates differ by more than a factor of 2),
Terrain located between 1 km and 5 km from the site increases in
elevation by more than the physical height of the shortest stack (i.e.,
the facility is located in complex terrain), or
Significant distance between the facility's stacks and the site
boundary (guidance on determining whether a distance is ''significant''
is provided in Step 6(B) of the procedure).
Steps 1 through 9 of the screening procedure present a simplified
method for determining emissions based on the use of the ''worst-case''
stack. If the simplified method shows that desired feed rates result in
emissions that exceed allowable limits for one or more pollutants, a
refined analysis to examine the emissions from each stack can be
conducted. This multiple-stack method is presented in Step 10.
The steps involved in screening methodology are as follows:
Step 1. Define Source Characteristics
Step 2. Determine the Applicability of the Screening Procedure
Step 3. Select the Worst-Case Stack
Step 4. Verify Good Engineering Practice (GEP) Criteria
Step 5. Determine the Effective Stack Height and Terrain-Adjusted
Effective Stack Height
Step 6. Classify the Site as Urban or Rural
Step 7. Determine Maximum Dispersion Coefficients
Step 8. Estimate Maximum Ambient Air Concentrations
Step 9. Determine Compliance With Regulatory Limits
Step 10. Multiple Stack Method
Provide the following source data: /2/
Consider all buildings within five building heights or five maximum
projected widths of the stack(s). For the building with the greatest
height, fill in the spaces below.
Building Height (m)
Maximum projected building width (m)
Determine maximum terrain rise for the following three distance
ranges from the facility (not required if the highest stack is less than
10 m in height):
Distance from facility to nearest shoreline (km)
Valley width (km)
Procedure
Fill in the following data:
If the answer is ''no'' to all the preceding questions, then the
HWCAQSP is acceptable. If the answer to any question is ''yes'', the
procedure is not acceptable.
If the facility has several stacks, a worst-case stack must be chosen
to conservatively represent release conditions at the facility. Follow
the steps below to identify the worst-case stack.
Apply the following equation to each stack:
K=HVT
where:
K=an arbitrary parameter accounting for the relative influence of the
stack height and plume rise.
H=Physical stack height (m)
V=Flow rate (m /3/ /sec)
T=Exhaust temperature ( K)
Complete the following table to compute the ''K'' value for each
stack:
Select the stack with the lowest ''K'' value. This is the worst-case
stack that will be used for Steps 4 through 9.
Worst-Case Stack is identified as Stack No. XXX
Confirm that the selected worst-case stack meets Good Engineering
Practice (GEP) criteria. The stack height to be used in the subsequent
steps of this procedure must not be greater than the maximum GEP.
Maximum and minimum GEP stack heights are defined as follows:
CEP (minimum)=H+(1.5 L)
GEP (maximum)=greater of 65 m or H+(1.5 L)
where:
H=height of the building selected in Step 1 measured from ground
level elevation at the base of the stack
L=the lesser dimension of the height or projected width of the
building selected in Step 1
Record the following data for the worst-case stack:
Stack height (m)=XXXXX
H(m)=XXXXX
L(m)=XXXXX
Then compute the following:
GEP (minimum) (m)=XXXXX
GEP (maximum) (m)=XXXXX
If the physical height of the worst-case stack exceeds the maximum
GEP, then use the maximum GEP stack height for the subsequent steps of
this analysis;
If the physical height of the worst-case stack is less than the
minimum GEP, then use generic source number 11 as the selected source
for further analysis and proceed directly to Step 6;
If the physical height of the worst-case stack is between the minimum
and maximum GEP, then use the actual physical stack height for the
subsequent steps of this analysis.
Terrain-Adjusted Effective Stack Height (TAESH)
The effective stack height is an important factor in dispersion
modeling. The effective stack height is the physical height of the
stack plus plume rise. As specified in Step 4, the stack height used to
estimate the effective stack height must not exceed GEP requirements.
Plume rise is a function of the stack exit gas temperature and flow
rate.
In this analysis, the effective stack height is used to select the
generic source that represents the dispersion characteristics of the
facility. For facilities located in flat terrain and for all facilities
with worst-case stacks less than or equal to 10 meters in height,
generic source numbers are selected strictly on the basis of effective
stack height. In all other cases, the effective stack height is further
adjusted to take into account the terrain rise near the facility. This
''terrain-adjusted effective stack height'' (TAESH) is then used to
select the generic source number that represents the dispersion
characteristics of the facility. Follow the steps below to identify the
effective stack height, the TAESH (where applicable), and the
corresponding generic source number.
(A) Go to Table 5.0-1 and find the plume rise value corresponding to
the stack temperature and exit flow rate for the worst-case stack
determined in Step 3.
Plume rise=XXXX(m)
(B) Add the plume rise to the GEP stack height of the worst-case
stack determined in Steps 3 and 4.
(C) Go to the first column of Table 5.0-2 and identify the range of
effective stack heights that includes the effective stack height
estimated in Step 5(B). Record the generic source number that
corresponds to this range.
Generic source number=XXXXX
(D) If the source is located in flat terrain /3/ , or if the generic
source number identified in Step 5(C) above is 1 or 11 (regardless of
terrain classification), use the generic source number determined in
Step 5(C) and proceed directly to Step 6. Otherwise, continue to Step
5(E).
(E) For those situations where the conditions in Step 5(D) do not
apply, the effective stack height must be adjusted for terrain. The
TAESH for each distance range is computed by subtracting the terrain
rise within the distance range from the effective stack height. /4/
If the terrain rise for any of the distance ranges is greater than
the effective stack height, set the TAESH equal to zero and use generic
source number 1 for that distance range.
Record the generic source numbers from Table 5.0-2 based on each of
the TAESH values.
Step 6: Classify the Site as Urban or Rural
(A) Classify the land use near the facility as either urban or rural
by determining the percentage of urban land use types (as defined in
Table 3; for further guidance see the footnoted references) that fall
within 3 km of the facility. /5/
If the urban land use percentage is less than or equal to 30 percent
based on a visual estimate, or 50 percent based on a planimeter, the
local land use is considered rural. Otherwise, the local land use is
considered urban.
(B) Based on the TAESH and the urban/rural classification of
surrounding land use, use the following table to determine the threshold
distance between any stack and the nearest facility boundary.
Record the following information:
Threshold distance from the table
(m): XX
Minimum distance from any stack to property boundary (m): XX
If the minimum distance between any stack and the nearest facility
boundary is greater than the threshold distance, the surrounding buffer
distance is considered significant and the facility is likely to benefit
from use of the HWCAQSP relative to the Tier I and II limits (see
discussion of benefits from using HWCAQSP in Introduction section).
/1/ The term ''congener'' refers to any one particular member of the
same chemical family; e.g., there are 75 congeners of chlorinated
dibenzo-p- dioxins. The term ''homologue'' refers to a group of
structurally related chemicals that have the same degree of
chlorination. For example, there are eight homologues of CDs,
monochlorinated through octachlorinated. Dibenzo-p-dioxins and
dibenzofurans that are chlorinated at the 2,3,7, and 8 positions are
denoted as ''2378'' congeners, except when 2,3,7,8-TCDD is uniquely
referred to: e.g., 1,2,3,7,8-PeCDF and 2,3,4,7,8-PeCDF are both
referred to as ''2378-PeCDFs.''
/1/ The term dispersion coefficient refers to the change in ambient
air concentration ( g/m /3/ ) resulting from a source with an emission
rate of 1 g/sec.
/2/ Worksheet space is provided for three stacks. If the facility
has additional stacks, copy the form and revise stack identification
numbers for 4, 5, etc.
/3/ The terrain is considered flat and terrain adjustment factors are
not used if the maximum terrain rise within 5 km of the facility (see
Step 1) is less than 10 percent of the physical stack height of the
worst-case stack.
/4/ Refer to Step 1 for terrain adjustment data. Note that the
distance from the source to the outer radii of each range is used. For
example, for the range 0.5-2.5 km, the maximum terrain rise in the
range 0.0-2.5 km is used.
/5/ The delineation of urban and rural areas, can be difficult for
the residential-type areas listed in Table 5.0-3. The degree of
resolution in Table 5.0-3 for residential areas often cannot be
identified without conducting site area inspections. This process can
require extensive analysis, which, for many applications, can be greatly
streamlined without sacrificing confidence in selecting the appropriate
urban or rural classification. The fundamental simplifying assumption
is based on the premise that many applications will have clear-cut
urban/rural designations, i.e., most will be in rural settings that can
be definitively characterized through a review of aerial photographs,
zoning maps, or U.S. Geological Survey topographical maps.
40 CFR 266.112 -- -- Step 7: Determine Maximum Dispersion Coefficients
(A) Determine maximum average hourly dispersion coefficients. Based
on the results of Step 6(A), select either Table 5.0-4 (urban) or Table
5.0-5 (rural) to determine the maximum average hourly dispersion
coefficient. /6/ For flat terrain (defined in Step 5(D)) and for all
sites with generic source numbers 1 or 11, use Step 7(A) (1). For
rolling or complex terrain (excluding generic sources numbers 1 and 11),
use Step 7(A) (2).
(1) Search down the appropriate generic source number column (based
on Step 5(C)), beginning at the minimum fenceline distance listed in
Step 6(B). /7/ Record the maximum average hourly dispersion coefficient
encountered. /g/sec5)
(2) For each of the three distance-based generic source numbers
listed in Step 5(E), search down the appropriate generic source number
columns, beginning at the minimum fenceline distance listed in Step
6(B). Note that different columns may be used for each of the three
distance ranges if there is a need for terrain adjustment. Record the
maximum dispersion coefficient for each generic source number.
(B) Determine annual/hourly ratio for rural analysis. The maximum
average annual dispersion coefficient is approximated by multiplying the
maximum hourly dispersion coefficient (identified in Step 7(A) by the
appropriate ratio selection from Table 5.0-6. The generic source
number(s) (from Steps 5(C) or 5(E)), urban/rural designation (from Step
6), and the terrain type are used to select the appropriate scaling
factor. Use the noncomplex terrain designation for all sources located
in flat terrain, for all sources where the physical stack height of the
worst-case stack is less than or equal to 10 m, for all sources where
the worst-case stack is less than the minimum GEP, and for those sources
where all of the TAESH values in Step 5(E) are greater than zero. Use
the complex terrain designation in all other situations.
(C) Determine maximum average annual dispersion coefficient. The
maximum average annual dispersion coefficient is determined by
multiplying the maximum hourly dispersion coefficient (Step 7(A)) by its
corresponding annual/hourly ratio (Step 7(B)).
Step 8: Estimate Maximum Ambient Air Concentrations -- see
procedures prescribed in subpart H of 40 CFR part 266.
Step 9: Determine Compliance with Regulatory Limits -- see
procedures prescribed in subpart H of 40 CFR part 266.
Step 10: Multiple Stack Method (Optional)
This option is a special case procedure that may be helpful when (1)
the facility exceeded the regulatory limits for one or more pollutants,
as detailed in Step 9, and (2) the facility has multiple stacks with
substantially different emission rates and effective release heights.
Only those pollutants that fail the Step 9 screening limits need to be
addressed in this exercise.
This procedure assesses the environmental impacts from each stack and
then sums the results to estimate total impacts. This option is
conceptually the same as the basic approach (Steps 1 through 9) and does
not involve complex calculations. However, it is more time-consuming
and is recommended only if the basic approach fails to meet the risk
criteria. The procedure is outlined below.
(A) Compute effective stack heights for each stack. /8/
(B) Determine if this multiple-stack screening procedure will likely
produce less conservative results than the procedure in Steps 1 through
9. To do this, compute the ratio of maximum-to-minimum effective stack
height:
If the above ratio is greater than 1.25, proceed with the remaining
steps. Otherwise, this option is less likely to significantly reduce
the degree of conservatism in the screening method.
(C) Determine if terrain adjustment is needed and select generic
source numbers. Select the shortest stack height and maximum terrain
rise out to 5 km from Step 1 and determine if the facility is in flat
terrain.
Shortest stack height (m)=
Maximum terrain rise in meters out to 5 km=
If the value above is greater than 10 percent, the terrain is
considered nonflat; proceed to Step 10(D). If the ratio is less than
or equal to 10 percent, the terrain is considered flat. Identify the
generic source numbers based on effective stack heights computed in Step
10(A). Refer to Table 5.0-2 provided earlier to identify generic source
numbers. Record the generic source numbers identified and proceed to
Step 10(F).
(D) Compute the TAESH and select generic source numbers (four sources
located in nonflat terrain).
1. Compute the TAESH for all remaining stacks using the following
equation:
HE-TR=TAESH
where:
HE=effective stack height (m)
TR=maximum terrain rise for each distance range (m)
TAESH=terrain-adjusted effective stack height (m)
/9/
For those stacks where the terrain rise within a distance range is
greater than the effective stack height (i.e., HE-TR is less than zero),
the TAESH for that distance range is set equal to zero, and generic
source number 1 should be used for that distance range for all
subsequent distance ranges. Additionally, for all stacks with a
physical stack height of less than or equal to 10 meters, use generic
source number 1 for all distance ranges. /10/ For the remaining stacks,
proceed to Step 10(D)(2).
2. For the remaining stacks, refer to Table 5.0-2 and, for each
distance range, identify the generic source number that includes the
TAESH. Use the values obtained from Steps 10(D)(1) and 10(D)(2) to
complete the following summary worksheet;
(E) Identify maximum average hourly dispersion coefficients. Based
on the land use classification of the site (e.g., urban or rural), use
either Table 5.0-4 or Table 5.0-5 to determine the appropriate
dispersion coefficient for each distance range for each stack. Begin at
the minimum fenceline distance indicated in Step 7(B) and record on
Worksheet 5.0-1 the dispersion coefficient for each stack/distance
range. For stacks located in facilities in flat terrain, the generic
source numbers were computed in Step 10(C). For stacks located in
facilities in rolling and complex terrain, the generic source numbers
were computed in Step 10(D). For flat terrain applications and for
stacks with a physical height of less than or equal to 10 meters, only
one generic source number is used per stack for all distance ranges.
For other situations up to three generic source numbers may be needed
per stack (i.e., a unique generic source number per distance range). In
Tables 5.0-4 and 5.0-5, the dispersion coefficients for distances of 6
km to 20 km are the same for all generic source numbers in order to
conservatively represent terrain beyond 5 km (past the limits of the
terrain analysis).
insert illustration 290
(F) Estimate maximum hourly ambient air concentrations. In this
step, pollutant-specific emission rates are multiplied by appropriate
dispersion coefficients to estimate ambient air concentrations. For
each stack, emissions are multiplied by the dispersion coefficient
selected in Step 10(E) and summed across all stacks to estimate ambient
air concentrations at various distances from the facility. From these
summed concentrations, the maximum hourly ambient air concentration is
selected. First, select the maximum emission rate of the pollutant.
/11/ Record these data in the spaces provided below. /12/
Complete a separate copy of Worksheet 5.0-2 for each pollutant and
select the highest hourly concentration from the summation column at the
far right of the worksheet. Record the maximum hourly air concentration
for each pollutant analyzed (add additional lines if needed):
Insert illustration 292
Insert illustration 293
Insert illustration 294
(G) Determine the complex/noncomplex designation for each stack. For
each stack, subtract the maximum terrain rise within 5 km of the site
from the physical stack height and designate the stack as either complex
or noncomplex. If the stack height minus the maximum terrain rise
(within 5 km) is greater than zero or if the stack is less than 10
meters in physical height, then assign the stack a noncomplex
designation. If the stack height minus the maximum terrain rise (within
5 km) is less than or equal to zero, then assign the stack a complex
designation.
Perform the following computation for each stack and record the
information in the spaces provided. Check in the spaces provided
whether the stack designation is complex or noncomplex.
(H) Identify annual/hourly ratios. Extract the annual/hourly ratios
for each stack by referring to Table 5.0-6. Generic source numbers (from
Steps 10(C) or 10(D), urban/rural designation (from Step 6)), and
complex or noncomplex terrain designations (from Step 10(G)) are used to
select the appropriate scaling factor needed to convert hourly maximum
concentrations to estimates of annual average concentrations.
Complete the following table: /13/
(I) Select the highest annual/hourly ratio among all of the stacks,
/14/ and then estimate the maximum annual average ambient air
concentrations for each pollutant by completing the following table,
where:
C=Maximum total hourly ambient air concentration ( g/m /3/ ) for
pollutant ''N'' from Step 10(F),
Ca=Maximum annual average air concentration for pollutant ''N'' ( g/m
/3/ ),
R=Annual/hourly ratio.
(J) Use the maximum annual average concentrations from Step 10(I) to
determine compliance with regulatory requirements.
This section provides a simplified procedure to classify areas in the
vicinity of boilers and industrial furnace sites as urban or rural in
order to set risk-based emission limits under subpart H of 40 CFR part
266. Urban/rural classification is needed because dispersion rates
differ between urban and rural areas and thus, the risk per unit
emission rate differs accordingly. The combination of greater surface
roughness (more buildings/structures to generate turbulent mixing) and
the greater amount of heat released from the surface in an urban area
(generates buoyancy-induced mixing) produces greater rates of
dispersion. The emission limit tables in the regulation, therefore,
distinguish between urban and rural areas.
EPA guidance (EPA 1986) provides two alternative procedures to
determine whether the character of an area is predominantly urban or
rural. One procedure is based on land use typing and the other is based
on population density. Both procedures require consideration of
characteristics within a 3-km radius from a source, in this case the
facility stack(s). The land use typing method is preferred because it
more directly relates to the surface characteristics that affect
dispersion rates. The remainder of this discussion is, therefore,
focused on the land use method.
While the land use method is more direct, it can also be
labor-intensive to apply. For this discussion, the land use method has
been simplified so that it is consistent with EPA guidance (EPA 1986;
Auer 3978), while streamlining the process for the majority of
applications so that a clear-cut decision can be made without the need
for detailed analysis. Table 6.0-1 summarizes the simplified approach
for classifying areas as urban or rural. As shown, the applicant always
has the option of applying standard (i.e., more detailed) analyses to
more accurately distinguish between urban and rural areas. However, the
procedure presented here allows for simplified determinations, where
appropriate, to expedite the permitting process.
The land use approach considers four primary land use types:
industrial (I), commercial (C), residential (R), and agricultural (A).
Within These primary classes, subclasses are identified, as shown in
table 6.0-1. The goal is to estimate the percentage of the area within a
3-km radius that is urban type and the percentage that is rural type.
Industrial and commercial areas are classified as urban; agricultural
areas are classified as rural.
The delineation of urban and rural areas, however, can be more
difficult for the residential type areas shown in table 6.0-1. The
degree of resolution shown in table 6.0-1 for residential areas often
cannot be identified without conducting site area inspections and/or
referring to zoning maps. This process can require extensive analysis,
which, for many applications, can be greatly streamlined without
sacrificing confidence in selecting the appropriate urban or rural
classification.
The fundamental simplifying assumption is based on the premise that
many applications will have clear-cut urban/rural designations, i.e.,
most will be in rural settings that can be definitively characterized
through a brief review of topographical maps. The color coding on USGS
topographical maps provides the most effective means of simplifying the
typing scheme. The suggested typing designations for the color codes
found on topographical maps are as follows:
Green Wooded areas (rural).
White White areas generally will be treated as rural. This code
applies to areas that are unwooded and do not have densely packed
structures which would require the pink code (house omission tint).
Parks, industrial areas, and unforested rural land will appear as white
on the topographical maps. Of these categories, only the industrial
areas could potentially be classified as urban based on EPA 1986 or Auer
1978. Industrial areas can be easily identified in most cases by the
characteristics shown in Figure 6.0-1. For this simplified procedure,
white areas that have an industrial classification will be treated as
urban areas.
Insert illustration 302
This section describes the statistical comparison of waste-derived
residue to normal residue for use in determining eligibility for the
Bevill exemption under 40 CFR 266.112.
To be eligible for the Bevill exclusion from the definition of
hazardous waste under 40 CFR 266.112(b)(1), waste-derived residue must
not contain Appendix VIII, Part 261, constituents that could reasonably
be attributable to the hazardous waste (toxic constituents) at
concentrations significantly higher than in residue generated without
burning or processing hazardous waste (normal residue). Concentrations
of toxic constituents in normal residue are determined based on analysis
of a minimum of 10 samples representing a minimum of 10 days of
operation. The statistically-derived concentrations in normal residue
are determined as the upper tolerance limit (95% confidence with a 95%
proportion of the sample distribution) of the normal residue
concentrations. The upper tolerance limit is to be determined as
described in Section 7.2 below. If changes in raw materials or fuels
could lower the statistically-derived concentrations of toxic
constituents of concern, the statistically-derived baseline must be
re-established for any such mode of operation with the new raw material
or fuel.
Concentrations of toxic constituents in waste-derived residue are
determined based on the analysis of one or more samples collected over a
compositing period of not more than 24 hours. Mulitple samples of the
waste-derived residue may be analyzed or subsamples may be composited
for analysis, provided that the sampling period does not exceed 24
hours. If more than one sample is analyzed to characterize the
waste-derived residue generated over a 24-hour period, the arithmetic
mean of the concentrations must be used as the waste-derived
concentration for each constituent.
The concentration of a toxic constituent in the waste-derived residue
is not considered to be significantly higher than in the normal residue
(i.e., the residue passes the Bevill test for that constituent) if the
concentration in the waste-derived residue does not exceed the
statistically-derived concentration.
The 95% confidence with 95% proportion of the sample distribution
(upper tolerance limit) is calculated for a set of values assuming that
the values are normally distributed. The upper tolerance limit is a
one-sided calculation and is an appropriate statistical test for cases
in which a single value (the waste-derived residue concentration) is
compared to the distribution of a range of values (the minimum of 10
measurements of normal residue concentrations). The upper tolerance
limit value is determined as follows:
UTL = X + (K)(S)
where X = mean of the normal residue concentrations, X = X i/n,
K = coefficient for sample size n, 95% confidence and 95% proportion,
S = standard deviation of the normal residue concentrations,
S = (S (Xi ^ X) /2/ /(n ^ 1)) /0/ . /5/ , and
n = sample size.
The values of K at the 95% confidence and 95% proportion, and sample
size n are given in Table 7.0-1.
For example, a normal residue test results in 10 samples with the
following analytical results for toxic constituent A:
The mean and the standard deviation of these measurements, calculated
using the above equations, are 11.5 and 2.9, respectively. Assuming
that the values are normally distributed, the upper tolerance limit
(UTL) is given by:
UTL=11.5+(2.911)(2.9)=19.9 ppm
This, if the concentration of constituent A in the waste-derived
residue is below 19.9 ppm, then the waste-derived residue is eligible
for the Bevill exclusion for constituent A.
As noted in Section 7.2 above, this statistical approach (use of the
upper tolerance limit) for calculation of the concentration in normal
residue is based on the assumption that the concentration data are
distributed normally. The Agency is aware that concentration data of
this type may not always be distributed normally, particularly when
concentrations are near the detection limits. There are a number of
procedures that can be used to test the distribution of a data set. For
example, the Shapiro-Wilk test, examination of a histogram or plot of
the data on normal probability paper, and examination of the coefficient
of skewness are methods that may be applicable, depending on the nature
of the data (References 1 and 2).
If the concentration data are not adequately represented by a normal
distribution, the data may be transformed to attain a near normal
distribution. The Agency has found that concentration data, especially
when near detection levels, often exhibit a lognormal distribution. The
assumption of a lognormal distribution has been used in various programs
at EPA, such as in the Office of Solid Waste Land Disposal Restrictions
program for determination of BDAT treatment standards. The transformed
data may be tested for normality using the procedures identified above.
If the transformed data are better represented by a normal distribution
than the untransformed data, the transformed data should be used in
determining the upper tolerance limit using the procedures in Section
7.2 above.
In all cases where the owner or operator wishes to use other than an
assumption of normally distributed data or believes that use of an
alternate statistical approach is appropriate to the specific data set,
he/she must provide supporting rationale in the operating record that
demonstrates that the data treatment is based upon sound statistical
practice.
The Agency is developing guidance regarding the treatment of
nondetect values (data where the concentration of the constituent being
measured is below the lowest concentration for which the analytical
method is valid) in carrying out the statistical determination described
above. Until the guidance information is available, facilities may
present their own approach to the handling of nondetect data points, but
must provide supporting rationale in the operating record for
consideration by the Director.
1. Shapiro, S.S. and Wilk, M.B. (1965), ''An Analysis of Variance
Test for Normality (complete samples),'' Biometrika, 52,591-611.
2. Bhattacharyya, G.K. and R.A. Johnson (1977), Statistical Concepts
and Methods, John Wiley and Sons, New York.
During interim status, owners or operators of boilers and industrial
furnaces burning hazardous waste must submit documentation to EPA that
certifies that emissions of HCl, C12, metals, and particulate matter
(PM) are not likely to exceed allowable emission rates. See
certification of precompliance under 40 CFR 266.103(b). This
documentation also establishes interim status feed rate and operating
limits for the facility. For the initial certification, estimates of
emissions and system removal efficiencies (SREs) can be made to
establish the operating limits. Subsequently, owners or operators must
use emissions testing to demonstrate that emissions do not exceed
allowable levels, and to establish operating limits. See 40 CFR
266.103(c). However, initial estimates of emissions for certification of
precompliance can be based on estimated or established SREs.
The SRE combines the effect of partitioning of the chorine, metals,
or PM and the air pollution control system removal efficiency (APCS RE)
for these pollutants. The SRE is defined as:
SRE=(species input -- species emitted) / species input
The SRE can be calculated from the partitioning factor (PF) and APCS
RE by the following formula:
SRE=1 -- ((PF/l00) X (1 -- APCS RE/100))
where:
PF=percentage of the pollutant partitioned to the combustion gas
Estimates of the PF and/or the APCS RE can be based on either EPA's
default values or engineering judgement. EPA's 'default values for the
APCS RE for metals, HCl, Cl2, and PM are described in this section.
EPA's default values for partitioning of these pollutants are described
in section 9.0.
Guidelines for the use of engineering judgement to estimate APCS REs
or PFs are described in section 9.4.
EPA's default assumptions for APCS RE for metals are shown in Table
8.1-1. The default values in the table are conservative estimates of the
removal efficiencies for metals in BIFs, depending on the volatility of
the metal and the type of APCS.
The volatility of a metal depends on the temperature, the thermal
input, the chlorine content of the waste, and the identity and
concentration of the metal. Metals that do not vaporize at combustion
zone temperatures are classified as ''nonvolatile''. Such metals
typically enter the APCS in the form of large particles that are removed
relatively easily. Metals that vaporize in the combustion zone and
condense before entering the APCS are classified as ''volatile''. Such
metals typically enter the APCS in the form of very fine, submicron
particles that are rather inefficiently removed in many APCSs. Metals
that vaporize in the combustion zone and do not condense before entering
the APCS are classified as ''very volatile''. Such metals enter the
APCS in the form of a vapor that is very inefficiently removed in many
APCSs.
Typically, BIFs have combustion zone temperatures high enough to
vaporize any hazardous metal at concentrations sufficient to exceed
risk-based emission limits. For this reason, the default assumption is
that there are no nonvolatile metals. Tables 8.1-2 and 8.1-3 are used
to determine whether metals are classified as ''volatile'' or ''very
volatile'' depending on the temperature entering the APCS, the thermal
input, and whether the waste is chlorinated or nonchlorinated.
WS=Wet Scrubber including: Sieve Tray Tower, Packed Tower, Bubble
Cap Tower
VS-20=Venturi Scrubber, ca. 20-30 in W.G. Dp
VS.60=Venturi Scrubber, ca. 60 in W.G. Dp
ESP-l=Electrostatic Precipitator; 1 stage
ESP-2=Electrostatic Precipitator; 2 stage
ESP-4=Electrostatic Precipitator; 4 stage
IWS=Ionizing Wet Scrubber
DS=Dry Scrubber
FF=Fabric Filter (Baghouse)
SD=Spray Dryer (Wet/Dry Scrubber)
WESP=Wet Electrostatic Precipitator
A waste is considered chlorinated if chlorine is present in
concentrations greater than 0.1 percent by weight. In the EPA guidance
document ''Guidance for Metals and Hydrogen Chloride Controls for
Hazardous Waste Incinerators, Volume IV of the Hazardous Waste
Incineration Guidance Series,''(1) one percent is used for the
chlorinated/nonchlorinated cutoff. However, best engineering judgement,
based on examination of pilot-scale data reported by Carroll et al. (2)
on the effects of waste chlorine content on metals emissions, suggests
that the 1 percent cutoff may not be sufficiently conservative.
Tables 8.1-2 and 8.1-3 were compiled based on equilibrium
calculations. Metals are classified as very volatile at all
temperatures above the temperature at which the vapor pressure of the
metal is greater than 10 percent of the vapor pressure that results in
emissions exceeding the most conservative risk-based emissions limits.
Default assumptions for APCS RE for HCl in BIFs are shown in Table
8.2-1. This table is identical to the column for other BIFs except that
cement kilns have a minimum HCl removal efficiency of 83 percent.
Because of the alkaline nature of the raw materials in cement kilns,
most of the chlorine is converted to chloride salts. Thus, the minimum
APCS RE for HCl for cement kilns is independent of the APCS train.
Removal efficiency of Cl2 for most types of APCS is generally
minimal. Therefore, the default assumption for APCS RE for Cl2 for all
APCSs is 0 percent. This is applicable to all BIFs, including cement
kilns.
Default assumptions for APCS RE for PM are also shown in Table 8.1-4.
These figures are conservative estimates of PM removal efficiencies for
different types of APCSs. They are identical to the figures in the
Nonvolatile APCS RE column for hazardous metals presented in Table 8.1-1
because the same collection mechanisms and collection efficiencies that
apply to nonvolatile metals also apply to PM.
WS=Wet Scrubber including: Sieve Tray Tower, Packed Tower, Bubble
Cap Tower
PS=Proprietary Wet Scrubber Design (A number of proprietary wet
scrubbers have come on the market in recent years that are highly
efficient on both particulates and corrosive gases. Two such units are
offered by Calvert Environmental Equipment Co. and by Hydro-Sonic
Systems, Inc.).
VS-20=Venturi Scrubber, ca. 20-30 in W.G. Dp
VS-60=Venturi Scrubber, ca. 60 in W.G. Dp
ESP-l=Electrostatic Precipitator; 1 stage
ESP-2=Electrostatic Precipitator; 2 stage
ESP-4=Electrostatic Precipitator; 4 stage
IWS=Ionizing Wet Scrubber
DS=Dry Scrubber
FF=Fabric Filter (Baghouse)
SD=Spray Dryer (Wet/Dry Scrubber)
1. U.S. Environmental Protection Agency. ''Guidance on Metals and
Hydrogen Chloride Controls for Hazardous Waste Incinerators,'' Office of
Solid Waste, Washington, DC, August 1989.
2. Carroll, G.J., R.C. Thurnau, R.E. Maurnighan, L.R. Waterland, J.W.
Lee, and D.J. Fournier. The Partitioning of Metals in Rotary Kiln
Incineration. Proceedings of the Third International Conference on New
Frontiers for Hazardous Waste Management. NTIS Document No.
EPA/600/9-89/072, p. 555 (1989).
Pollutant partitioning factor estimates can come from two sources:
default assumptions or engineering judgement. EPA's default assumptions
are discussed below for metals, HCl, Cl2, and PM. The default
assumptions are used to conservatively predict the partitioning factor
for several types of BIFs. Engineering judgement-based partitioning
factor estimates are discussed in section 9.4.
To be conservative, the Agency is assuming that 100 percent of each
metal in each feed stream is partitioned to the combustion gas.
Owners/operators may use this default value or a supportable,
site-specific value developed following the general guidelines provided
in section 9.4.
The Agency has established the special procedures presented below for
chlorine because the emission limits are based on the pollutants HCl and
Cl2 formed from chlorine fed to the combustor. Therefore, the
owner/operator must estimate the controlled emission rate of both HCl
and Cl2 and show that they do not exceed allowable levels.
1. The default partitioning value for the fraction of chlorine in the
total feed streams that is partitioned to combustion gas is 100 percent.
Owners/operators may use this default value or a supportable,
site-specific value developed following the general guidelines provided
in section 9.4.
2. To determine the partitioning of chlorine in the combustion gas to
HCl versus Cl2, either use the default values below or use supportable
site-specific values developed following the general guidelines provided
in section 9.4.
For BIFs excluding halogen acid furnaces (HAFs), with a total feed
stream chlorine/hydrogen ratio : 0.95, the default partitioning factor
is 20 percent Cl2, 80 percent HCl.
For HAFs and for BIFs with a total feed stream chlorine/hydrogen
ratio 0.95, the default partitioning factor is 100 percent Cl2.
3. To determine the uncontrolled (i.e., prior to acid gas APCS)
emission rate of HCl and Cl2, multiply the feed rate of chlorine times
the partitioning factor for each pollutant. Then, for HCl, convert the
chlorine emission rate to HCl by multiplying it by the ratio of the
molecular weight of HCl to the molecular weight of Cl (i.e., 36.5/35.5).
No conversion is needed for Cl2.
This section: (1) Explains why ash feed rate limits are not
applicable to cement and light-weight aggregate kilns; (2) presents the
default partitioning values for ash; and (3) explains how to convert
the 0.08 gr/dscf, corrected to 7% O2, PM emission limit to a PM emission
rate.
Waiver for Cement and Light-Weight Aggregate Kilns. For cement kilns
and light-weight aggregate kilns, raw material feed streams contain the
vast majority of the ash input, and a significant amount of the ash in
the feed stream is entrained into the kiln exhaust gas. For these
devices, the ash content of the hazardous waste stream is expected to
have a negligible effect on total ash emissions. For this reason, there
is no ash feed rate compliance limit for cement kilns or light-weight
aggregate kilns. Nonetheless, cement kilns and light-weight aggregate
kilns are required to initially certify that PM emissions are not likely
to exceed the PM limit, and subsequently, certify through compliance
testing that the PM limit is not exceeded.
Default Partitioning Value for Ash. The default assumption for
partitioning of ash depends on the feed stream firing system. There are
two methods by which materials may be fired into BIFs:
Suspension-firing and bed-firing.
The suspension category includes atomized and lanced pumpable liquids
and suspension-fired pulverized solids. The default partitioning
assumption for materials fired by these systems is that 100 percent of
the ash partitions to the combustion gas.
The bed-fired category consists principally of stoker boilers and raw
materials (and in some cases containerized hazardous waste) fed into
cement and light-weight aggregate kilns. The default partitioning
assumption for materials fired on a bed is that 5 percent of the ash
partitions to the combustion gas.
Converting the PM Concentration-Based Standard to a PM Mass Emission
Rate. The emission limit for BIFs is 0.08 gr/dscf, corrected to 7% 02,
unless a more stringent standard applies (e.g., a New Source Performance
Standard (NSPS) or a State standard implemented under the State
Implementation Plan (SIP)). To convert the 0.08 gr/dscf standard to a
PM mass emission rate:
1. Determine the flue gas 02 concentration (percent by volume, dry)
and flue gas flow rate (dry standard cubic feet per minute); and
2. Calculate the allowable PM mass emission rate by multiplying the
concentration-based PM emission standard times the flue gas flow rate
times a dilution correction factor equal to ((21-02 concentration from
step 1)/(21-7)).
Engineering judgement may be used in place of EPA's conservative
default assumptions to estimate partitioning and APCS RE values provided
that the engineering judgement is defensible and properly documented.
To properly document engineering judgement, the owner/operator must keep
a written record of all assumptions and calculations necessary to
justify the APCS RE used. The owner/operator must provide this record
to the Director upon request and must be prepared to defend the
assumptions and calculations used.
If the engineering judgement is based on emissions testing, the
testing will often document the emission rate of a pollutant relative to
the feed rate of that pollutant rather than the partitioning factor or
APCS RE.
Examples of situations where the use of engineering judgement may be
supportable to estimate a partitioning factor, APCS RE, or SRE include:
Using emissions testing data from the facility to support an SRE,
even though the testing may not meet full QA/QC procedures (e.g.,
triplicate test runs). The closer the test results conform with full
QA/QC procedures and the closer the operating conditions during the test
conform with the established operating conditions for the facility, the
more supportable the engineering judgement will be.
Applying emissions testing data documenting an SRE for one metal,
including nonhazardous surrogate metals to another less volatile metal.
Applying emissions testing data documenting an SRE from one facility
to a similar facility.
Using APCS vendor guarantees of removal efficiency.
The measurement of an SRE or an APCS RE may be limited by the
detection limits of the measurement technique. If the emission of a
pollutant is undetectable, then the calculation of SRE or APCS RE should
be based on the lower limit of detectability. An SRE or APCS RE of 100
percent is not acceptable.
Further, mass balance data of facility inputs, emissions, and
products/residues may not be used to support a partitioning factor,
given the inherent uncertainties of such procedures. Partitioning
factors other than the default values may be supported based on
engineering judgement, considering, for example, process chemistry.
Emissions test data may be used to support an engineering
judgement-based SRE, which includes both partitioning and APCS RE.
1. Barton, R.G., W.D. Clark, and W.R. Seeker. (1990) ''Fate of Metals
in Waste Combustion Systems''. Combustion Science and Technology. 74,
1-6, p. 327
This method for controlling metals emissions applies to cement kilns
and other industrial furnaces operating under interim status that
recycle emission control residue back into the furnace.
Under this method, cement kilns and other industrial furnaces that
recycle emission control residue back into the furnace must comply with
a kiln dust concentration limit (i.e., a collected particulate matter
(PM) limit) for each metal, as well as limits on the maximum feedrates
of each of the metals in: (1) pumpable hazardous waste; and (2) all
hazardous waste.
The following subsections describe how this method for controlling
metals emissions is to be implemented:
Subsection 10.3 discusses the basis of the method and the assumptions
upon which it is founded;
Subsection 10.4 provides an overview of the implementation of the
method;
Subsection 10.5 is a step-by-step procedure for implementation of the
method;
Subsection 10.6 dascribes the compliance procedures for this method;
and
Appendix A describes the statistical calculations and tests to be
used in the method.
The viability of this method depends on three fundamental
assumptions:
(1) Variations in the ratio of the metal concentration in the emitted
particulate to the metal concentration in the collected kiln dust
(referred to as the enrichment factor or EF) for any given metal at any
given facility will fall within a normal distribution that can be
experimentally determined.
(2) The metal concentrations in the collected kiln dust can be
accurately and representatively measured (using procedures specified in
''Test Methods for Evaluating Solid Waste, Physical/Chemical Methods''
(SW-846), incorporated by reference in 40 CFR 260.11).
(3) The facility will remain in compliance with the applicable
particulate matter (PM) emission standard.
Given these assumptions. metal emissions can be related to the
measured concentrations in the collected kiln dust by the following
equation:
insert illus. 322
Where:
ME is the metal emitted;
PME is the particulate matter emitted;
DMC is the metal concentration in the collected kiln dust; and
EF is the enrichment factor, which is the ratio of the metal
concentration in the emitted particulate matter to the metal
concentration in the collected kiln dust.
This equation can be rearranged to calculate a maximum allowable dust
metal concentration limit (DMCL) by assuming worst-case conditions that:
metal emissions are at the Tier III (or Tier II) limit (see 40 CFR
266.106), and that particulate emissions are at the particulate matter
limit (PML):
insert illus. 323A
The enrichment factor used in the above equation must be determined
experimentally from a minimum of 10 tests in which metal concentrations
are measured in kiln dust and stack samples taken simultaneously. This
approach provides a range of enrichment factors that can be inserted
into a statistical distribution (t-distribution) to determine EF95 and
EF99 . EF95 is the value at which there is a 95% confidence level that
the enrichment factor is below this value at any given time. Similarly,
EF99 is the value at which there is a 99% confidence level that the
enrichment factor is below this value at any given time. EF95 is used
to calculate the ''violation'' dust metal concentration limit (DMCLv):
insert illus. 323B
If the kiln dust metal concentration is just above this ''violation''
limit, and the PM emissions are at the PM emissions limit, there is a 5%
chance that the metal emissions are above the Tier III limit. In such a
case, the facility would be in violation of the metals standard.
To provide a margin of safety, a second, more conservative kiln dust
metal concentration limit is also used. This ''conservative'' dust
metal concentration limit (DMCLc) is calculated using a ''safe''
enrichment factor (SEF). If EF99 is greater than two times the value
of EF95 , the ''safe'' enrichment factor can be calculated using
Equation 4a:
SEF 2 EF95 (4a)Q02
If EF99 is not greater than two times the value of EF95 , the
''safe'' enrichment factor can be calculated using Equation 4b:
SEF EF99 (4b)
In cases where the enrichment factor cannot be determined because the
kiln dust metal concentration is nondetectable, the ''safe'' enrichment
factor is as follows:
SEF=100 (4c)
For all cases, the ''conservative'' dust metal concentration limit is
calculated using the following equation:
insert illus. 324
If the kiln dust metal concentration at a facility is just above the
''conservative'' limit based on that ''safe'' enrichment factor provided
in Equation 4a, and the PM emissions are at the PM emissions limit,
there is a 5% chance that the metal emissions are above one-half the
Tier III limit. If the kiln dust metal concentration at the facility is
just above the ''conservative'' limit based on the ''safe'' enrichment
factor provided in Equation 4b, and the PM emissions are at the PM
emissions limit, there is a 1% chance that the metal emissions are above
the Tier III limit. In either case, the facility would be unacceptably
close to a violation. If this situation occurs more than 5% of the
time, the facility would be required to rerun the series of 10 tests to
determine the enrichment factor. To avoid this expense. the facility
would be advised to reduce its metals feedrates or to take other
appropriate measures to maintain its kiln dust metal concentrations in
compliance with the ''conservative'' dust metal concentration limits.
In cases where the enrichment factor cannot be determined because the
kiln dust metal concentration is nondetectable, and thus no EF95
exists, the ''violation'' dust metal concentration limit is set at ten
times the ''conservative'' limit:
DMCLv=10 DMCLc (6)
The flowchart for implementing the method is shown in Figure 10.4-1.
The general procedure is as follows:
Follow the certification of precompliance procedures described in
subsection 10.6 (to comply with 40 CFR 266.103(b)).
For each metal of concern, perform a series of tests to establish the
relationship (enrichment factor) between the concentration of emitted
metal and the metal concentration in the collected kiln dust.
Use the demonstrated enrichment factor, in combination with the Tier
III (or Tier II) metal emission limit and the most stringent applicable
particulate emission limit, to calculate the ''violation'' and
''conservative'' dust metal concentration limits. Include this
information with the certification of compliance under 40 CFR
266.103(c).
Insert illustration 326
Perform daily and/or weekly monitoring of the cement kiln dust metal
concentration to ensure (with appropriate QA/QC) that the metal
concentration does not exceed either limit.
-- If the cement kiln dust metal concentration exceeds the
''conservative'' limit more than 5% of the time (i.e., more than three
failures in last 60 tests), the series of tests to determine the
enrichment factor must be repeated.
-- If the cement kiln dust metal concentration exceeds the
''violation'' limit, a violation has occurred.
Perform quarterly tests to verify that the enrichment factor has not
increased significantly. If the enrichment factor has increased, the
series of tests to determine the enrichment factor must be repeated.
A step-by-step description for implementing the method is provided
below:
(1) Prepare initial limits and test plans.
Determine the Tier III metal emission limit. The Tier II metal
emission limit may also be used (see 40 CFR 266.106).
Determine the applicable PM emission standard. This standard is the
most stringent particulate emission standard that applies to the
facility. A facility may elect to restrict itself to an even more
stringent self-imposed PM emission standard, particularly if the
facility finds that it is easier to control particulate emissions than
to reduce the kiln dust concentration of a certain metal (i.e., lead).
Determine which metals need to be monitored (i.e., all hazardous
metals for which Tier III emission limits are lower than PM emission
limits -- assuming PM is pure metal).
Follow the compliance procedures described in Subsection 10.6.
Follow the guidelines described in SW-846 for preparing test plans
and waste analysis plans for the following tests:
-- Compliance tests to determine limits on metal feedrates in
pumpable hazardous wastes and in all hazardous wastes (as well as to
determine other compliance parameters);
-- Initial tests to determine enrichment factors; -- Quarterly
tests to verify enrichment factors; -- Analysis of hazardous
waste feedstreams; and -- Daily and/or weekly monitoring of kiln
dust for continuing
compliance.
(2) Conduct tests to determine the enrichment factor.
These tests must be conducted within a 14-day period. No more than
two tests may be conducted in any single day. If the tests are not
completed within a 14-day period, they must be repeated.
Simultaneous stack samples and kiln dust samples must be taken.
-- Stack sampling must be conducted with the multiple metals
train according to procedures provided in section 10.3 of this Methods
Manual.
-- Kiln dust sampling must be conducted as follows: -- Follow the
sampling and analytical procedures described in
SW-846 and the waste analysis plan as they pertain to the condition and
accessibility of the dust.
-- Samples should be representative of the last ESP or Fabric
Filter in the APCS series.
The feedrates of hazardous metals in all pumpable hazardous waste
streams and in all hazardous waste streams must be monitored during
these tests. It is recommended (but not required) that the feedrates of
hazardous metals in all feedstreams also be monitored.
At least ten single (noncomposited) runs are required during the
tests.
-- The facility must follow a normal schedule of kiln dust
recharging for all of the tests.
-- Three of the first five tests must be compliance tests in
conformance with 40 CFR 266.103(c); i.e., they must be used to
determine maximum allowable feedrates of metals in pumpable hazardous
wastes. and in all hazardous wastes, as well as to determine other
compliance limits (see 40 CFR 266.103(c)(1)).
-- The remaindar of the tests need not be conducted under full
compliance test conditions; however, the facility must operate at its
compliance test production rate, and it must burn hazardous waste during
these tests such that the feedrate of each metal for pumpable and total
hazardous wastes is at least 25% of the feedrate during compliance
testing. If these criteria, and those discussed below, are not met for
any parameter during a test, then either the test is not valid for
determining enrichment factors under this method, or the compliance
limits for that parameter must be established based on these test
conditions rather than on the compliance test conditions.
Verify that compliance emission limits are not exceeded.
-- Metal emissions must not exceed Tier III (or Tier II) limits.
-- PM emissions must not exceed the most stringent of applicable
PM standards (or an optional self-imposed particulate standard).
The facility must generate normal, marketable product using normal
raw materials and fuels under normal operating conditions (for
parameters other than those specified under this method) when these
tests are conducted.
Chromium must be treated as a special case:
-- The enrichment factor for total chromium is calculated in the
same way as the enrichment factor for other metals (i.e., the enrichment
factor is the ratio of the concentration of total chromium in the
emitted particulate matter to the concentration of total chromium in the
collected kiln dust).
-- The enrichment factor for hexavalent chromium (if measured) is
defined as the ratio of the concentration of hexavalent chromium in the
emitted particulate matter to the concentration of total chromium in the
collected kiln dust.
(3) Use the enrichment factors measured in Step 2 to determine EF95 ,
EF99 , and SEF.
Calculate EF95 and EF99 according to the t-distribution as
described in Appendix A
Calculate SEF by
-- Equation 4a if EF95 is determinable and if EF99 is greater
than two times EF95 ,
-- Equation 4b if EF95 is determinable and if EF99 is not
greater than two times EF95 .
-- Equation 4c if EF95 is not determinable.
The facility may choose to set an even more conservative SEF to give
itself a larger margin of safety between the point where corrective
action is necessary and the point where a violation occurs.
(4) Prepare certification of compliance.
Calculate the ''conservative'' dust metal concentration limit (DMCLc)
using Equation 5.
-- Chromium is treated as a special case. The ''conservative''
kiln dust chromium concentration limit is set for total chromium, not
for hexavalent chromium. The limit for total chromium must be
calculated using the Tier III (or Tier II) metal limit for hexavalent
chromium.
-- If the stack samples described in Step 2 were analyzed for
hexavalent chromium, the SEF based on the hexavalent chromium enrichment
factors (as defined in Step 2) must be used in this calculation.
-- If the stack samples were not analyzed for hexavalent
chromium, then the SEF based on the total chromium enrichment factor
must be used in this calculation.
Calculate the ''violation'' dust metal concentration limit (DMCLv)
using Equation 3 if EF95 is determinable, or using Equation 6 if EF95
is not determinable.
-- Chromium is treated as a special case. The ''violation'' kiln
dust chromium concentration limit is set for total chromium, not for
hexavalent chromium. The limit for total chromium must be calculated
using the Tier III (or Tier II) metal limit for hexavalent chromium.
-- If the stack samples taken in Step 2 were analyzed for
hexavalent chromium, the EF95 based on the hexavalent chromium
enrichment factor (as defined in Step 2) should be used in this
calculation.
-- If the stack samples were not analyzed for hexavalent
chromium, the EF95 based on the total chromium enrichment factor must
be used in this calculation.
Submit certification of compliance.
Steps 2-4 must be repeated for recertification, which is required
once every 3 years (see 266.103(d)).
(5) Monitor metal concentrations in kiln dust for continuing
compliance, and maintain compliance with all compliance limits for the
duration of interim status.
Metals to be monitored during compliance testing are classified as
either ''critical'' or ''noncritical'' metals.
-- All metals must initially be classified as ''critical'' metals
and be monitored on a daily basis.
-- A ''critical'' metal may be reclassified as a ''noncritical''
metal if its concentration in the kiln dust remains below 10% of its
''conservative'' kiln dust metal concentration limit for 30 consecutive
daily samples. ''Noncritical'' metals must be monitored on a weekly
basis.
-- A ''noncritical'' metal must be reclassified as a ''critical''
metal if its concentration in the kiln dust is above 10% of its
''conservative'' kiln dust metal concentration limit for any single
daily or weekly sample.
Noncompliance with the sampling and analysis schedule prescribed by
this method is a violation of the metals controls under 266.103.
Follow the sampling, compositing, and analytical procedures described
in this method and in SW-846 as they pertain to the condition and
accessibility of the kiln dust.
Follow the same procedures and sample at the same locations as were
used for kiln dust samples collected to determine the enrichment factors
(as discussed in Step 2).
Samples must be collected at least once every 8 hours, and a daily
composite must be prepared according to SW-846 procedures.
-- At least one composite sample is required. This sample is
referred to as the ''required'' sample.
-- For QA/QC purposes, a facility may elect to collect two or
more additional samples. These samples are referred to as the ''spare''
samples. These additional samples must be collected over the same time
period and according to the same procedures as those used for the
''required'' sample.
-- Samples for ''critical'' metals must be daily composites. --
Samples for ''noncritical'' metals must be weekly composites.
These samples can be composites of the original 8-hour samples, or they
can be composites of daily composite samples.
Analyze the ''required'' sample to determine the concentration of
each metal.
-- This analysis must be completed within 48 hours of the close
of the sampling period. Failure to meet this schedule is a violation of
the metals standards of 266.103.
If the ''conservative'' kiln dust metal concentration limit is
exceeded for any metal, refer to Step 8.
If the ''conservative'' kiln dust metal concentration limit is not
exceeded, continue with the daily or weekly monitoring (Step 5) for the
duration of interim status.
Conduct quarterly enrichment factor verification tests, as described
in Step 6.
(6) Conduct quarterly enrichment factor verification tests.
After certification of compliance with the metals standards, a
facility must conduct quarterly enrichment factor verification tests
every three months for the duration of interim status. The first
quarterly test must be completed within three months of certification
(or recertification). Each subsequent quarterly test must be completed
within three months of the preceding quarterly test. Failure to meet
this schedule is a violation.
Simultaneous stack samples and kiln dust samples must be collected.
Follow the same procedures and sample at the same locations as were
used for kiln dust samples and stack samples collected to determine the
enrichment factors (as discussed in Step 2).
At least three single (noncomposited) runs are required. These tests
need not be conducted under the operating conditions of the initial
compliance test; however, the facility must operate under the following
conditions:
-- It must operate at compliance test production rate. -- It must
burn hazardous waste during the test, and for the
2-day period immediately preceding the test, such that the feedrate of
each metal for pumpable and total hazardous wastes consist of at least
25% of the operating limits established during the compliance test.
-- It must remain in compliance with all compliance parameters
(see 266.103(c)(1)).
-- It must follow a normal schedule of kiln dust recharging. --
It must generate normal marketable product from normal raw
materials during the tests.
(7) Conduct a statistical test to determine if the enrichment factors
measured in the quarterly verification tests have increased
significantly from the enrichment factors determined in the tests
conducted in Step 2. The enrichment factors have increased
significantly if all three of the following criteria are met:
By applying the t-test described in appendix A, it is determined that
the enrichment factors measured in the quarterly tests are not taken
from the same population as the enrichment factors measured in the Step
2 tests;
The EF95 calculated for the combined data sets (i.e., the quarterly
test data and the original Step 2 test data) according to the
t-distribution (described in appendix A) is more than 10% higher than
the EF95 based on the enrichment factors previously measured in Step 2;
and
The highest measured kiln dust metal concentration recorded in the
previous quarter is more than 10% of the ''violation'' kiln dust
concentration limit that would be calculated from the combined EF95%.
If the enrichment factors have increased significantly, the tests to
determine the enrichment factors must be repeated (refer to Step 11).
If the enrichment factors have not increased significantly, continue to
use the kiln dust metal concentration limits based on the enrichment
factors previously measured in Step 2, and continue with the daily
and/or weekly monitoring described in Step 5.
(8) If the ''conservative'' kiln dust metal concentration limit was
exceeded for any metal in any single analysis of the ''required'' kiln
dust sample, the ''spare'' samples corresponding to the same period may
be analyzed to determine if the exceedance was due to a sampling or
analysis error.
If no ''spare'' samples were taken, refer to Step 9.
If the average of all the samples for a given day (or week, as
applicable) (including the ''required'' sample and the ''spare''
samples) does not exceed the ''conservative'' kiln dust metal
concentration limit, no corrective measures are necessary; continue
with the daily and/or weekly monitoring as described in Step 5.
If the average of all the samples for a given day (or week, as
applicable) exceeds the ''conservative'' kiln dust metal concentration
limit, but the average of the ''spare'' samples is below the
''conservative'' kiln dust metal concentration limit, apply the Q-test,
described in appendix A, to determine whether the ''required'' sample
concentration can be judged as an outlier.
-- If the ''required'' sample concentration is judged an outlier,
no corrective measures are necessary; continue with the daily and/or
weekly monitoring described in Step 5.
-- If the ''required'' sample concentration is not judged an
outlier, refer to Step 9.
(9) Determine if the ''violation'' kiln dust metal concentration has
been exceeded based on either the average of all the samples collected
during the 24-hour period in question, or if discarding an outlier can
be statistically justified by the Q-test described in appendix A, on the
average of the remaining samples.
If the ''violation'' kiln dust metal concentration limit has been
exceeded, a violation of the metals controls under 266.103(c) has
occurred. Notify the Director that a violation has occurred. Hazardous
waste may be burned for testing purposes for up to 720 operating hours
to support a revised certification of compliance. Note that the
Director may grant an extension of the hours of hazardous waste burning
under 266.103(c)(7) if additional burning time is needed to support a
revised certification for reasons beyond the control of the owner or
operator. Until a revised certification of compliance is submitted to
the Director, the feedrate of the metals in violation in total and
pumpable hazardous waste feeds is limited to 50% of the previous
compliance test limits.
If the ''violation'' kiln dust metal concentration has not been
exceeded:
-- If the exceedance occurred in a daily composite sample, refer
to Step 10.
-- If the exceedance occurred in a weekly composite sample, refer
to Step 11.
(10) Determine if the ''conservative'' kiln dust metal concentration
limit has been exceeded more than three times in the last 60 days.
If not, log this exceedance and continue with the daily and/or weekly
monitoring (Step 5).
If so, the tests to determine the enrichment factors must be repeated
(refer to Step 11).
This determination is made separately for each metal; For example,
-- Three exceedances for each of the ten hazardous metals are
allowed within any 60-day period.
-- Four exceedances of any single metal in any 60-day period is
not allowed.
This determination should be made daily, beginning on the first day
of daily monitoring. For example, if four exceedances of any single
metal occur in the first four days of daily monitoring, do not wait
until the end of the 60-day period; refer immediately to Step 11.
(11) The tests to determine the enrichment factor must be repeated
if: (1) More than three exceedances of the ''conservative'' kiln dust
metal concentration limit occur within any 60 consecutive daily samples;
(2) an excursion of the ''conservative'' kiln dust metal concentration
limit occurs in any weekly sample; or (3) a quarterly test indicates
that the enrichment factors have increased significantly.
The facility must notify the Director if these tests must be
repeated.
The facility has up to 720 hazardous-waste-burning hours to
redetermine the enrichment factors for the metal or metals in question
and to recertify (beginning with a return to Step 2). During this
period, the facility must reduce the feed rate of the metal in violation
by 50%. If the facility has not completed the recertification process
within this period, it must stop burning or obtain an extension.
Hazardous waste burning may resume only when the recertification process
(ending with Step 4) has been completed.
Meanwhile, the facility must continue with daily kiln dust metals
monitoring (Step 5) and must remain in compliance with the ''violation''
kiln dust metal concentration limits (Step 9).
Cement kilns and other industrial furnaces that recycle emission
control residue back into the furnace must comply with the same
certification schedules and procedures (with the few exceptions
described below) that apply to other boilers and industrial furnaces.
These schedules and procedures, as set forth in 266.103, require no
later than the effective date of the rule, each facility submit a
certification which establishes precompliance limits for a number of
compliance parameters (see 266.103(b)(3)), and that each facility
immediately begin to operate under these limits.
These precompliance limits must ensure that interim status emissions
limits for hazardous metals, particulate matter, HCl, and Cl2 are not
likely to be exceeded. Determination of the values of the precompliance
limits must be made based on either (1) conservative default assumptions
provided in this Methods Manual, or (2) engineering judgement.
The flowchart for implementing the precompliance procedures is shown
in Figure 10.6-1. The step-by-step precompliance implementation
procedure is described below. The precompliance implementation
procedures and numbering scheme are similar to those used for the
compliance procedures described in Subsection 10.5.
(1) Prepare initial limits and test plans.
Determine the Tier III metal emission limit. The Tier II metal
emission limit may also be used (see 40 CFR 266.106).
Determine the applicable PM emission standard. This standard is the
most stringent particulate emission standard that applies to the
facility. A facility may elect to restrict itself to an even more
stringent self-imposed PM emission standard, particularly if the
facility finds that it is easier to control particulate emissions than
to reduce the kiln dust concentration of a certain metal (i.e., lead).
Determine which metals need to be monitored (i.e., all hazardous
metals for which Tier III emission limits are lower than PM emission
limits, assuming PM is pure metal).
Follow the procedures described in SW-846 for preparing waste
analysis plans for the following tasks:
-- Analysis of hazardous waste feedstreams. -- Daily and/or
weekly monitoring of kiln dust concentrations for
continuing compliance.
(2) Determine the ''safe'' enrichment factor for precompliance. In
this context, the ''safe'' enrichment factor is a conservatively high
estimate of the enrichment factor (the ratio of the emitted metal
concentration to the metal concentration in the collected kiln dust).
The ''safe'' enrichment factor must be calculated from either
conservative default values, or engineering judgement.
Insert illustration 339
Conservative default values for the ''safe'' enrichment factor are as
follows:
-- SEF=10 for all hazardous metals except mercury. SEF=10 for
antimony, arsenic, barium, beryllium, cadmium, chromium, lead, silver,
and thallium.
-- SEF=100 for mercury.
Engineering judgement may be used in place of conservative default
assumptions provided that the engineering judgement is defensible and
properly documented. The facility must keep a written record of all
assumptions and calculations necessary to justify the SEF. The facility
must provide this record to EPA upon request and must be prepared to
defend these assumptions and calculations.
Examples of situations where the use of engineering judgement is
appropriate include:
-- Use of data from precompliance tests; -- Use of data from
previous compliance tests; and -- Use of data from similar
facilities.
(3) This step does not apply to precompliance procedures.
(4) Prepare certification of precompliance.
Calculate the ''conservative'' dust metal concentration limit (DMCLc)
using Equation 5.
Submit certification of precompliance. This certification must
include precompliance limits for all compliance parameters that apply to
other boilers and industrial furnaces (i.e., those that do not recycle
emission control residue back into the furnace) as listed in
266.103(b)(3), except that it is not necessary to set precompliance
limits on maximum feedrate of each hazardous metal in all combined
feedstreams.
Furnaces that recycle collected PM back into the furnace (and that
elect to comply with this method (see 266.103(c)(3)(ii)) are subject to
a special precompliance parameter, however. They must establish
precompliance limits on the maximum concentration of each hazardous
metal in collected kiln dust. (which must be set according to the
procedures described above).
(5) Monitor metal concentration in kiln dust for continuing
compliance, and maintain compliance with all precompliance limits until
certification of compliance has been submitted.
Metals to be monitored during precompliance testing are classified as
either ''critical'' or ''noncritical'' metals.
-- All metals must initially be classified as ''critical'' metals
and be monitored on a daily basis.
-- A ''critical'' metal may be reclassified as a ''noncritical''
metal if its concentration in the kiln dust remains below 10% of its
''conservative'' kiln dust metal concentration limit for 30 consecutive
daily samples. ''Noncritical'' metals must be monitored on a weekly
basis, at a minimum.
-- A ''noncritical'' metal must be reclassified as a ''critical''
metal if its concentration in the kiln dust is above 10% of its
''conservative'' kiln dust metal concentration limit for any single
daily or weekly sample.
It is a violation if the facility fails to analyze the kiln dust for
any ''critical'' metal on any single day or for any ''noncritical''
metal during any single week, when hazardous waste is burned.
Follow the sampling, compositing, and analytical procedures described
in this method and in SW-846 as they pertain to the condition and
accessibility of the kiln dust.
Samples must be collected at least once every 8 hours, and a daily
composite prepared according to SW-846 procedures.
-- At least one composite sample is required. This sample is
referred to as the ''required'' sample.
-- For QA/QC purposes, a facility may elect to collect two or
more additional samples. These samples are referred to as the ''spare''
samples. These additional samples must be collected over the same time
period and according to the same procedures as those used for the
''required'' sample.
-- Samples for ''critical'' metals must be daily composites. --
Samples for ''noncritical'' metals must be weekly composites,
at a minimum. These samples can be composites of the original 8-hour
samples, or they can be composites of daily composite samples.
Analyze the ''required'' sample to determine the concentration of
each metal.
-- This analysis must be completed within 48 hours of the close
of the sampling period. Failure to meet this schedule is a violation.
If the ''conservative'' kiln dust metal concentration limit is
exceeded for any metal, refer to Step 8.
If the ''conservative'' kiln dust metal concentration limit is not
exceeded, continue with the daily and/or weekly monitoring (Step 5) for
the duration of interim status.
(6) This step does not apply to precompliance procedures.
(7) This step does not apply to precompliance procedures.
(8) If the ''conservative'' kiln dust metal concentration limit was
exceeded for any metal in any single analysis of the ''required'' kiln
dust sample, the ''spare'' samples corresponding to the same period may
be analyzed to determine if the exceedance is due to a sampling or
analysis error.
If no ''spare'' samples were taken, refer to Step 9.
If the average of all the samples for a given day (or week, as
applicable) (including the ''required'' sample and the ''spare''
samples) does not exceed the ''conservative'' kiln dust metal
concentration limit, no corrective measures are necessary; continue
with the daily and/or weekly monitoring as described in Step 5.
If the average of all the samples for a given day (or week, as
applicable) exceeds the ''conservative'' kiln dust metal concentration
limit. but the average of the ''spare'' samples is below the
''conservative'' kiln dust metal concentration limit, apply the Q-test,
described in appendix A, to determine whether the ''required'' sample
concentration can be judged as an outlier.
-- If the ''required'' sample concentration is judged an outlier.
no corrective measures are necessary; continue with the daily and/or
weekly monitoring described in Step 5.
-- If the ''required'' sample concentration is not judged an
outlier, refer to Step 10.
(9) This step does not apply to precompliance procedures.
(10) Determine if the ''conservative'' kiln dust metal concentration
limit has been exceeded more than three times in the last 60 days.
If not, log this exceedance and continue with the daily and/or weekly
monitoring (Step 5).
If so, the tests to determine the enrichment factors must be repeated
(refer to Step 11).
This determination is made separately for each metal; for example
-- Three exceedances for each of the ten hazardous metals are
allowed within any 60-day period.
-- Four exceedances of any single metal in any 60-day period is
not allowed.
This determination should be made daily, beginning on the first day
of daily monitoring. For example, if four exceedances of any single
metal occur in the first four days of daily monitoring, do not wait
until the end of the 60-day period; refer immediately to Step 11.
(11) A revised certification of precompliance must be submitted to
the Director (or certification of compliance must be submitted) if: (1)
More than three exceedances of the ''conservative'' kiln dust metal
concentration limit occur within any 60 consecutive daily samples; or
(2) an exceedance of the ''conservative'' kiln dust metal concentration
limit occurs in any weekly sample.
The facility must notify the Director if a revised certification of
precompliance must be submitted.
The facility has up to 720 waste-burning hours to submit a
certification of compliance or a revised certification of precompliance.
During this period, the feed rate of the metal in violation must be
reduced by 50%. In the case of a revised certification of
precompliance, engineering judgement must be used to ensure that the
''conservative'' kiln dust metal concentration will not be exceeded.
Examples of how this goal might be accomplished include:
-- Changing equipment or operating procedures to reduce the kiln
dust metal concentration;
-- Changing equipment or operating procedures, or using more
detailed engineering judgement, to decrease the estimated SEF and thus
increase the ''conservative'' kiln dust metal concentration limit;
-- Increasing the ''conservative'' kiln dust metal concentration
limit by imposing a stricter PM emissions standard; or
-- Increasing the ''conservative'' kiln dust metal concentration
limit by performing a more detailed risk assessment to increase the
metal emission limits.
Meanwhile, the facility must continue with daily kiln dust metals
monitoring (Step 5).
/6/ For the distance range 6 to 20 kilometers, generic source number
1 is used to conservatively represent the maximum dispersion
coefficient.
/7/ Exclude all distances that are closer to the facility than the
property boundary. For example, if the actual distance to the nearest
property boundary is 265 meters, begin at the 300 meter distance in
Tables 5.0-4 and 5.0-5.
/8/ Follow the procedure outlined in Step 4 of the basic screening
procedure to determine the GEP for each stack. If a stack's physical
height exceeds the maximum GEP, use the maximum GEP values. If a
stack's physical height is less than the minimum GEP, use generic source
number 11 in the subsequent steps of this analysis. Follow the
procedure in Steps 5(A) and 5(B) to determine the effective height of
each stack.
/10/ This applies to all stacks less than or equal to 10 meters
regardless of the terrain classification.
/11/ Recall that it is recommended that this analysis be performed
for only one or two pollutants. The pollutants chosen for this analysis
should be those that show the most significant exceedances of the risk
threshold.
/12/ Refer to Step 8 of the basic screening procedure. At this point
in the screening procedure, annual emissions are used to represent
hourly average emission rates. These values will be adjusted by the
annual/hourly ratio to estimate annual average concentrations.
/13/ If any stack (excluding generic stack number 1 and 11) in Step
10(D) shows a negative terrain adjusted stack height, use the complex
terrain annual/hourly ratios.
/14/ As an option, the user can identify the stack with the highest
ratio for each distance range (rather than the absolute highest). In
this case, extra sheets would be needed to show estimated annual average
concentrations from each stack by multiplying emission rate times
maximum hourly dispersion coefficient times maximum annual/hourly ratio
for applicable distance range. Then sum across all stacks for each
downwind distance.
40 CFR 266.112 -- -- Pt. 266, App. IX, App. A
After at least 10 initial emissions tests are performed, an
enrichment factor for each metal must be determined. At the 95%
confidence level, the enrichment factor, EF95 s, is based on the test
results and is statistically determined so there is only a 5% chance
that the enrichment factor at any given time will be larger than EF95 .
Similarly, at the 99% confidence level, the enrichment factor, EF99 , is
statistically determined so there is only a 1% chance that the
enrichment factor at any given time will be larger than EF99 .
For a large number of samples (n 30), EF95 is based on a normal
distribution, and is equal to:
EF95 =EF+zc s (1)
where:
For a 95% confidence level, zc is equal to 1.645.
For a small number of samples (n<30), EF95 is based on the
t-distribution and is equal to:
EF95 =EF+tc S (4)
where the standard deviation, S, is defined as:
tc is a function of the number of samples and the confidence level
that is desired. It increases in value as the sample size decreases and
the confidence level increases. The 95% confidence level is used in
this method to calculate the ''violation'' kiln dust metal concentration
limit; and the 99% confidence level is sometimes used to calculate the
''conservative'' kiln dust metal concentration limit. Values of tc are
shown in table A-1 for various degrees of freedom (degrees of
freedom=sample size^1) at the 95% and 99% confidence levels. As the
sample size approaches infinity, the normal distribution is approached.
To determine if the enrichment factors measured in the quarterly
tests are significantly different from the enrichment factors determined
in the initial Step 2 tests, the t-test is used. In this test, the
value tmeas:
is compared to tcrit at the desired confidence level. The 95%
confidence level is used in this method. Values of tcrit are shown in
table A-1 for various degrees of freedom (degrees of freedom n1+n2^2) at
the 95% and 99% confidence levels. If tmeas is greater then tcrit, it
can be concluded with 95% confidence that the two groups are not from
the same population.
If the concentration of any hazardous metal in the ''required'' kiln
dust sample exceeds the kiln dust metal concentration limit, the
''spare'' samples are analyzed. If the average of the combined
''required'' and ''spare'' values is still above the limit, a
statistical test is used to decide if the upper value can be rejected.
The ''Q-test'' is used to determine if a data point can be rejected.
The difference between the questionable result and its neighbor is
divided by the spread of the entire data set. The resulting ratio,
Qmeas, is then compared with rejection values that are critical for a
particular degree of confidence, where Qmeas is:
The 90% confidence level for data rejection is used in this method.
Table A-2 provides the values of Qcrit at the 90% confidence level. If
Qmeas is larger than Qcrit, the data point can be discarded. Only one
data point from a sample group can be rejected using this method.
(56 FR 32692, July 17, 1991 as amended 56 FR 42512, Aug. 27, 1991)
40 CFR 266.112 -- -- Pt. 266, App. X
40 CFR 266.112 -- -- Appendix X to Part 266 -- Guideline On Air Quality
Models (Revised)
Industry and control agencies have long expressed a need for
consistency in the application of air quality models for regulatory
purposes. In the 1977 Clean Air Act, Congress mandated such consistency
and encouraged the standardization of model applications. The Guideline
on Air Quality Models was first published in April 1978 to satisfy these
requirements by specifying models and providing guidance for their use.
This guideline provides a common basis for estimating the air quality
concentrations used in assessing control strategies and developing
emission limits.
The continuing development of new air quality models in response to
regulatory requirements and the expanded requirements for models to
cover even more complex problems have emphasized the need for periodic
review and update of guidance on these techniques. Four primary
on-going activities provide direct input to revisions of this modeling
guideline. The first is a series of annual EPA workshops conducted for
the purpose of ensuring consistency and providing clarification in the
application of models. The second activity, directed toward the
improvement of modeling procedures, is the cooperative agreement that
EPA has with the scientific community represented by the American
Meteorological Society. This agreement provides scientific assessment
of procedures and proposed techniques and sponsors workshops on key
technical issues. The third activity is the solicitation and review of
new models from the technical and user community. In the March 27, 1980
Federal Register, a procedure was outlined for the submittal to EPA of
privately developed models. After extensive evaluation and scientific
review, these models, as well as those made available by EPA, are
considered for recognition in this guideline. The fourth activity is
the extensive on-going research efforts by EPA and others in air quality
and meteorological modeling.
Based primarily on these four activities, this document embodies
revisions to the ''Guideline on Air Quality Models.'' Although the text
has been revised from the 1978 guide, the present content and topics are
similar. As necessary, new sections and topics are included. A new
format has also been adopted in an attempt to lessen the time required
to incorporate changes. The looseleaf notebook format allows future
changes to be made on a page-by-page basis. Changes will not be
scheduled, but announcements of proposed changes will be made in the
Federal Register as needed. EPA believes that revisions to this
guideline should be timely and responsive to user needs and should
involve public participation to the greatest possible extent.
Information on the current status of modeling guidance can always be
obtained from EPA's Regional Offices.
This revised guideline was promulgated in September 1986 (51 FR
32176-32179) and, with further revisions known as supplement A, in
January 1988 (53 FR 392-396).
List of Tables
1.0 Introduction
2.0 Overview of Model Use
2.1 Suitability of Models
2.2 Classes of Models
2.3 Levels of Sophistication of Models
3.0 Recommended Air Quality Models
3.1 Preferred Modeling Techniques
3.2 Use of Alternative Models
3.3 Availability of Supplementary Modeling Guidance
3.3.1 The Model Clearinghouse
3.3.2 Regional Meteorologists Workshops
4.0 Simple-Terrain Stationary-Source Models
4.1 Discussion
4.2 Recommendations
4.2.1 Screening Techniques
4.2.2 Refined Analytical Techniques
5.0 Model Use in Complex Terrain
5.1 Discussion
5.2 Recommendations
5.2.1 Screening Techniques
5.2.2 Refined Analytical Techniques
6.0 Models for Ozone, Carbon Monoxide and Nitrogem Dioxide
6.1 Discussion
6.2 Recommendations
6.2.1 Models for Ozone
6.2.2 Models for Carbon Monoxide
6.2.3 Models for Nitrogen Dioxide (Annual Average)
7.0 Other Model Requirements
7.1 Discussion
7.2 Recommendations
7.2.1 Fugitive Dust/Fugitive Emissions
7.2.2 Particulate Matter
7.2.3 Lead
7.2.4 Visibility
7.2.5 Good Engineering Practice Stack Height
7.2.6 Long Range Transport (beyond 50 km)
7.2.7 Modeling Guidance for Other Governmental Programs
8.0 General Modeling Considerations
8.1 Discussion
8.2 Recommendations
8.2.1 Design Concentrations
8.2.2 Critical Receptor Sites
8.2.3 Dispersion Coefficients
8.2.4 Stability Categories
8.2.5 Plume Rise
8.2.6 Chemical Transformation
8.2.7 Gravitational Settling and Deposition
8.2.8 Urban/Rural Classification
8.2.9 Fumigation
8.2.10 Stagnation
8.2.11 Calibration of Models
9.0 Model Input Data
9.1 Source Data
9.1.1 Discussion
9.1.2 Recommendations
9.2 Background Concentrations
9.2.1 Discussion
9.2.2 Recommendations (Isolated Single Source)
9.2.3 Recommendations (Multi-Source Areas)
9.3 Meteorological Input Data
9.3.1 Length of Record of Meteorological Data
9.3.2 National Weather Service Data
9.3.3 Site-Specific Data
9.3.4 Treatment of Calms
10.0 Accuracy and Uncertainty of Models
10.1 Discussion
10.1.1 Overview of Model Uncertainty
10.1.2 Studies of Model Accuracy
10.1.3 Use of Uncertainty in Decision-Making
10.1.4 Evaluation of Models
10.2 Recommendations
11.0 Regulatory Application of Models
11.1 Discussion
11.2 Recommendations
11.2.1 Analysis Requirements
11.2.2 Use of Measured Data in Lieu of Model Estimates
11.2.3 Emission Limits
12.0 References
13.0 Bibliography
14.0 Glossary of Terms
Appendix A -- Summaries of Preferred Air Quality Models
Appendix B -- Summaries of Alternative Air Quality Models
Appendix C -- Example Air Quality Analysis Checklist
This guideline recommends air quality modeling techniques that should
be applied to State Implementation Plan (SIP)(1) revisions for existing
sources and to new source reviews,(2) including prevention of
significant deterioration (PSD).(3) It is intended for use by EPA
Regional Offices in judging the adequacy of modeling analyses performed
by EPA, State and local agencies and by industry. The guidance is
appropriate for use by other Federal agencies and by State agencies with
air quality and land management responsibilities. It serves to
identify, for all interested parties, those techniques and data bases
EPA considers acceptable. The guide is not intended to be a compendium
of modeling techniques. Rather, it should serve as a basis by which air
quality managers, supported by sound scientific judgment, have a common
measure of acceptable technical analysis.
Due to limitations in the spatial and temporal coverage of air
quality measurements, monitoring data normally are not sufficient as the
sole basis for demonstrating the adequacy of emission limits for
existing sources. Also, the impacts of new sources that do not yet
exist can only be determined through modeling. Thus, models, while
uniquely filling one program need, have become a primary analytical tool
in most air quality assessments. Air quality measurements though can be
used in a complementary manner to dispersion models, with due regard for
the strengths and weaknesses of both analysis techniques. Measurements
are particularly useful in assessing the accuracy of model estimates.
The use of air quality measurements alone however could be preferable,
as detailed in a later section of this document, when models are found
to be unacceptable and monitoring data with sufficient spatial and
temporal coverage are available.
It would be advantageous to categorize the various regulatory
programs and to apply a designated model to each proposed source needing
analysis under a given program. However, the diversity of the nation's
topography and climate, and variations in source configurations and
operating characteristics dictate against a strict modeling
''cookbook.'' There is no one model capable of properly addressing all
conceivable situations even within a broad category such as point
sources. Meteorological phenomena associated with threats to air
quality standards are rarely amenable to a single mathematical
treatment; thus, case-by-case analysis and judgment are frequently
required. As modeling efforts become more complex, it is increasingly
important that they be directed by highly competent individuals with a
broad range of experience and knowledge in air quality meteorology.
Further, they should be coordinated closely with specialists in
emissions characteristics, air monitoring and data processing. The
judgment of experienced meteorologists and analysts is essential.
The model that most accurately estimates concentrations in the area
of interest is always sought. However, it is clear from the needs
expressed by the States and EPA Regional Offices, by many industries and
trade associations, and also by the deliberations of Congress, that
consistency in the selection and application of models and data bases
should also be sought, even in case-by-case analyses. Consistency
ensures that air quality control agencies and the general public have a
common basis for estimating pollutant concentrations, assessing control
strategies and specifying emission limits. Such consistency is not,
however, promoted at the expense of model and data base accuracy. This
guide provides a consistent basis for selection of the most accurate
models and data bases for use in air quality assessments.
Recommendations are made in this guide concerning air quality models,
data bases, requirements for concentration estimates, the use of
measured data in lieu of model estimates, and model evaluation
procedures. Models are identified for some specific applications. The
guidance provided here should be followed in all air quality analyses
relative to State Implementation Plans and in analyses required by EPA,
State and local agency air programs. The EPA may approve the use of
another technique that can be demonstrated to be more appropriate than
those recommended in this guide. This is discussed at greater length in
section 3.0. In all cases, the model applied to a given situation should
be the one that provides the most accurate representation of atmospheric
transport, dispersion, and chemical transformations in the area of
interest. However, to ensure consistency, deviations from this guide
should be carefully documented and fully supported.
From time to time situations arise requiring clarification of the
intent of the guidance on a specific topic. Periodic workshops are held
with the EPA Regional Meteorologists to ensure consistency in modeling
guidance and to promote the use of more accurate air quality models and
data bases. The workshops serve to provide further explanations of
guideline requirements to the Regional Offices and workshop reports are
issued with this clarifying information. In addition, findings from
on-going research programs, new model submittals, or results from model
evaluations and applications are continuously evaluated. Based on this
information changes in the guidance may be indicated.
All changes to this guideline must follow rulemaking requirements
since the guideline has been incorporated by reference in the PSD
regulations. Changes will be proposed and noticed in the Federal
Register. Ample opportunity for public comment will be provided for
each proposed change and public hearings scheduled if requested.
Published, final changes will be made available through the National
Technical Information Service (NTIS).
A wide range of topics on modeling and data bases are discussed in
the remainder of this guideline. Where specific recommendations are
made, the recommendations are typed in a single-spaced format. Chapter
2 gives an overview of models and their appropriate use. Chapter 3
provides specific guidance on the use of ''preferred'' air quality
models and on the selection of alternative techniques. Chapters 4
through 7 provide recommendations on modeling techniques for application
to simple-terrain stationary source problems, complex terrain problems,
and mobile source problems. Specific modeling requirements for selected
regulatory issues are also addressed. Chapter 8 discusses issues common
to many modeling analyses, including acceptable model components.
Chapter 9 makes recommendations for data inputs to models including
source, meteorological and background air quality data. Chapter 10
covers the uncertainty in model estimates and how that information can
be useful to the regulatory decision-maker. The last chapter summarizes
how estimates and measurements of air quality are used in assessing
source impact and in evaluating control strategies.
Appendix A contains summaries of refined air quality models that are
''preferred'' for specific applications; both EPA models and models
developed by others are included. Appendix B contains summaries of
other refined models that may be considered with a case-specific
justification. Appendix C contains a checklist of requirements for an
air quality analysis.
Before attempting to implement the guidance contained in this
document, the reader should be aware of certain general information
concerning air quality models and their use. Such information is
provided in this section.
The extent to which a specific air quality model is suitable for the
evaluation of source impact depends upon several factors. These
include: (1) The meteorological and topographic complexities of the
area; (2) the level of detail and accuracy needed for the analysis;
(3) the technical competence of those undertaking such simulation
modeling; (4) the resources available; and (5) the detail and accuracy
of the data base, i.e., emissions inventory, meteorological data, and
air quality data. Appropriate data should be available before any
attempt is made to apply a model. A model that requires detailed,
precise, input data should not be used when such data are unavailable.
However, assuming the data are adequate, the greater the detail with
which a model considers the spatial and temporal variations in emissions
and meteorological conditions, the greater the ability to evaluate the
source impact and to distinguish the effects of various control
strategies.
Air quality models have been applied with the most accuracy or the
least degree of uncertainty to simulations of long term averages in
areas with relatively simple topography. Areas subject to major
topographic influences experience meteorological complexities that are
extremely difficult to simulate. Although models are available for such
circumstances, they are frequently site specific and resource intensive.
In the absence of a model capable of simulating such complexities, only
a preliminary approximation may be feasible until such time as better
models and data bases become available.
Models are highly specialized tools. Competent and experienced
personnel are an essential prerequisite to the successful application of
simulation models. The need for specialists is critical when the more
sophisticated models are used or the area being investigated has
complicated meteorological or topographic features. A model applied
improperly, or with inappropriately chosen data, can lead to serious
misjudgments regarding the source impact or the effectiveness of a
control strategy.
The resource demands generated by use of air quality models vary
widely depending on the specific application. The resources required
depend on the nature of the model and its complexity, the detail of the
data base, the difficulty of the application, and the amount and level
of expertise required. The costs of manpower and computational
facilities may also be important factors in the selection and use of a
model for a specific analysis. However, it should be recognized that
under some sets of physical circumstances and accuracy requirements, no
present model may be appropriate. Thus, consideration of these factors
should not lead to selection of an inappropriate model.
The air quality modeling procedures discussed in this guide can be
categorized into four generic classes: Gaussian, numerical, statistical
or empirical, and physical. Within these classes, especially Gaussian
and numerical models, a large number of individual ''computational
algorithms'' may exist, each with its own specific applications. While
each of the algorithms may have the same generic basis, e.g., Gaussian,
it is accepted practice to refer to them individually as models. For
example, the CRSTER model and the RAM model are commonly referred to as
individual models. In fact, they are both variations of a basic
Gaussian model. In many cases the only real difference between models
within the different classes is the degree of detail considered in the
input or output data.
Gaussian models are the most widely used techniques for estimating
the impact of nonreactive pollutants. Numerical models may be more
appropriate than Gaussian models for area source urban applications that
involve reactive pollutants, but they require much more extensive input
data bases and resources and therefore are not as widely applied.
Statistical or empirical techniques are frequently employed in
situations where incomplete scientific understanding of the physical and
chemical processes or lack of the required data bases make the use of a
Gaussian or numerical model impractical. Various specific models in
these three generic types are discussed in this guideline.
Physical modeling, the fourth generic type, involves the use of wind
tunnel or other fluid modeling facilities. This class of modeling is a
complex process requiring a high level of technical expertise, as well
as access to the necessary facilities. Nevertheless, physical modeling
may be useful for complex flow situations, such as building, terrain or
stack downwash conditions, plume impact on elevated terrain, diffusion
in an urban environment, or diffusion in complex terrain. It is
particularly applicable to such situations for a source or group of
sources in a geographic area limited to a few square kilometers. If
physical modeling is available and its applicability demonstrated, it
may be the best technique. A discussion of physical modeling is beyond
the scope of this guide. The EPA publication ''Guideline for Fluid
Modeling of Atmospheric Diffusion,'' (4) provides information on fluid
modeling applications and the limitations of that method.
In addition to the various classes of models, there are two levels of
sophistication. The first level consists of general, relatively simple
estimation techniques that provide conservative estimates of the air
quality impact of a specific source, or source category. These are
screening techniques or screening models. The purpose of such
techniques is to eliminate the need of further more detailed modeling
for those sources that clearly will not cause or contribute to ambient
concentrations in excess of either the National Ambient Air Quality
Standards (NAAQS) (5) or the allowable prevention of significant
deterioration (PSD) concentration increments. (3) If a screening
technique indicates that the concentration contributed by the source
exceeds the PSD increment or the increment remaining to just meet the
NAAQS, then the second level of more sophisticated models should be
applied.
The second level consists of those analytical techniques that provide
more detailed treatment of physical and chemical atmospheric processes,
require more detailed and precise input data, and provide more
specialized concentration estimates. As a result they provide a more
refined and, at least theoretically, a more accurate estimate of source
impact and the effectiveness of control strategies. These are referred
to as refined models.
The use of screening techniques followed by a more refined analysis
is always desirable, however there are situations where the screening
techniques are practically and technically the only viable option for
estimating source impact. In such cases, an attempt should be made to
acquire or improve the necessary data bases and to develop appropriate
analytical techniques.
This section recommends refined modeling techniques that are
preferredfor use in regulatory air quality programs. The status of
models developed by EPA, as well as those submitted to EPA for review
and possible inclusion in this guidance, is discussed. The section also
addresses the selection of models for individual cases and provides
recommendations for situations where the preferred models are not
applicable. Two additional sources of modeling guidance, the Model
Clearinghouse (6) and periodic Regional Meteorologists' workshops, are
also briefly discussed here.
In all regulatory analyses, especially if other than preferred models
are selected for use, early discussions among Regional Office staff,
State and local control agencies, industry representatives, and where
appropriate, the Federal Land Manager, are invaluable and are
encouraged. Agreement on the data base to be used, modeling techniques
to be applied and the overall technical approach, prior to the actual
analyses, helps avoid misunderstandings concerning the final results and
may reduce the later need for additional analyses. The use of an air
quality checklist, such as presented in Appendix C, and the preparation
of a written protocol help to keep misunderstandings at a minimum.
It should not be construed that the preferred models identified here
are to be permanently used to the exclusion of all others or that they
are the only models available for relating emissions to air quality.
The model that most accurately estimates concentrations in the area of
interest is always sought. However, designation of specific models is
needed to promote consistency in model selection and application.
The 1980 solicitation of new or different models from the technical
community (7) and the program whereby these models are evaluated,
established a means by which new models are identified, reviewed and
made available in the guideline. There is a pressing need for the
development of models for a wide range of regulatory applications.
Refined models that more realistically simulate the physical and
chemical process in the atmosphere and that more reliably estimate
pollutant concentrations are required. Thus, the solicitation of models
is considered to be continuous.
EPA has developed approximately 10 models suitable for regulatory
application. More than 20 additional models were submitted by private
developers for possible inclusion in the guideline. These refined
models have all been organized into eight categories of use: Rural,
urban industrial complex, reactive pollutants, mobile sources, complex
terrain, visibility, and long range transport. They are undergoing an
intensive evaluation by category. The evaluation exercises (8,9,10)
include statistical measures of model performance in comparison with
measured air quality data as suggested by the American Meteorological
Society (11) and, where possible, peer scientific reviews. (12,13,14)
When a single model is found to perform better than others in a given
category, it is recommended for application in that category as a
preferred model and listed in appendix A. If no one model is found to
clearly perform better through the evaluation exercise, then the
preferred model listed in appendix A is selected on the basis of other
factors such as past use, public familiarity, cost or resource
requirements, and availability. No further evaluation of a preferred
model is required if the source follows EPA recommendations specified
for the model in this guideline. The models not specifically
recommended for use in a particular category are summarized in appendix
B. These models should be compared with measured air quality data when
they are used for regulatory applications consistent with
recommendations in section 3.2.
The solicitation of new refined models which are based on sounder
scientific principles and which more reliably estimate pollutant
concentrations is considered by EPA to be continuous. Models that are
submitted in accordance with the provisions outlined in the Federal
Register notice of March 1980 (45 FR 20157) (7) will be evaluated as
submitted.
These requirements are: 1. The model must be computerized and
functioning in a common Fortran language suitable for use on a variety
of computer systems.
2. The model must be documented in a user's guide which identifies
the mathematics of the model, data requirements and program operating
characteristics at a level of detail comparable to that available for
currently recommended models, e.g., the Single Source (CRSTER) Model.
3. The model must be accompanied by a complete test data set
including input parameters and output results. The test data must be
included in the user's guide as well as provided in computer-readable
form.
4. The model must be useful to typical users, e.g., State air
pollution control agencies, for specific air quality control problems.
Such users should be able to operate the computer program(s) from
available documentation.
5. The model documentation must include a comparison with air quality
data or with other well-established analytical techniques.
6. The developer must be willing to make the model available to users
at reasonable cost or make it available for public access through the
National Technical Information Service; the model cannot be
proprietary.
The evaluation process will include a determination of technical
merit, in accordance with the above six items including the practicality
of the model for use in ongoing regulatory programs. Each model will
also be subjected to a performance evaluation for an appropriate data
base and to a peer scientific review. Models for wide use (not just an
isolated case!) found to perform better, based on an evaluation for the
same data bases used to evaluate models in appendix A, will be proposed
for inclusion as preferred models in future guideline revisions.
Appendix A identifies refined models that are preferred for use in
regulatory applications. If a model is required for a particular
application, the user should select a model from that appendix. These
models may be used without a formal demonstration of applicability as
long as they are used as indicated in each model summary of appendix A.
Further recommendations for the application of these models to specific
source problems are found in subsequent sections of this guideline.
If changes are made to a preferred model without affecting the
concentration estimates, the preferred status of the model is unchanged.
Examples of modifications that do not affect concentrations are those
made to enable use of a different computer or those that affect only the
format or averaging time of the model results. However, when any
changes are made, the Regional Administrator should require a test case
example to demonstrate that the concentration estimates are not
affected.
A preferred model should be operated with the options listed in
appendix A as ''Recommendations for Regulatory Use.'' If other options
are exercised, the model is no longer ''preferred.'' Any other
modification to a preferred model that would result in a change in the
concentration estimates likewise alters its status as a preferred model.
Use of the model must then be justified on a case-by-case basis.
Selection of the best techniques for each individual air quality
analysis is always encouraged, but the selection should be done in a
consistent manner. A simple listing of models in this guide cannot
alone achieve that consistency nor can it necessarily provide the best
model for all possible situations. An EPA document, ''Interim
Procedures for Evaluating Air Quality Models,'' (l5, l6) has been
prepared to assist in developing a consistent approach when justifying
the use of other than the preferred modeling techniques recommended in
this guide. These procedures provide a general framework for objective
decision-making on the acceptability of an alternative model for a given
regulatory application. The document contains procedures for conducting
both the technical evaluation of the model and the field test or
performance evaluation. An example problem that focuses on the design
and execution of the protocol for conducting a field performance
evaluation is also included in that document.
This section discusses the use of alternate modeling techniques and
defines three situations when alternative models may be used.
Determination of acceptability of a model is a Regional Office
responsibility. Where the Regional Administrator or reviewing authority
finds that an alternative model is more appropriate than a preferred
model, that model may be used subject to the recommendations below.
This finding will normally result from a determination that (1) a
preferred air quality model is not appropriate for the particular
application; or (2) a more appropriate model or analytical procedure is
available and is applicable.
An alternative model should be evaluated from both a theoretical and
a performance perspective before it is selected for use. There are
three separate conditions under which such a model will normally be
approved for use: (1) If a demonstration can be made that the model
produces concentration estimates equivalent to the estimates obtained
using a preferred model; (2) if a statistical performance evaluation
has been conducted using measured air quality data and the results of
that evaluation indicate the alternative model performs better for the
application than a comparable model in appendix A; and (3) if there is
no preferred model for the specific application but a refined model is
needed to satisfy regulatory requirements. Any one of these three
separate conditions may warrant use of an alternative model. Some
alternative models known to be available to the public that are
applicable for selected situations are contained in appendix B.
However, inclusion there does not infer any unique status relative to
other alternative models that are being or will be developed for the
future.
Equivalency is established by demonstrating that the maximum or
highest, second highest concentrations are within two percent of the
estimates obtained from the preferred model. The option to show
equivalency is intended as a simple demonstration of acceptability for
an alternative model that is so nearly identical (or contains options
that can make it identical) to a preferred model that it can be treated
for practical purposes as the preferred model. Two percent was selected
as the basis for equivalency since it is a rough approximation of the
fraction that PSD Class I increments are of the NAAQS for SO2, i.e., the
difference in concentrations that is judged to be significant. However,
this demonstration is not intended to preclude the use of models that
are not equivalent. They may be used when one of two other conditions
identified below are satisfied.
The procedures and techniques for determining the acceptability of a
model for an individual case based on superior performance is contained
in the document entitled ''Interim Procedures for Evaluating Air Quality
Models,'' (15) and should be followed, as appropriate. Preparation and
implementation of an evaluation protocol which is acceptable to both
control agencies and regulated industry is an important element in such
an evaluation.
When no appendix A model is applicable to the modeling problem, an
alternative refined model may be used provided that:
1. The model can be demonstrated to be applicable to the problem on a
theoretical basis, and
2. the data bases which are necessary to perform the analysis are
available and adequate, and
3a. performance evaluations of the model in similar circumstances
have shown that the model is not biased toward underestimates (examples
of such circumstances include long range transport and shoreline
fumigation), or
3b. after consultation with the EPA Regional Office, a second model
is selected as a baseline or reference point for performance and the
interim procedures (l5) are then used to demonstrate that the proposed
model performs better than the reference model (an example of such
circumstances includes complex terrain).
The Regional Administrator has the authority to select models that
are appropriate for use in a given situation. However, there is a need
for assistance and guidance in the selection process so that fairness
and consistency in modeling decisions is fostered among the various
Regional Offices and the States. To satisfy that need, EPA established
the Model Clearinghouse and also holds periodic workshops with
headquarters, Regional Office and State modeling representatives.
3.3.1.1 Discussion.
The Model Clearinghouse is the single EPA focal point for review of
air quality simulation models proposed for use in specific regulatory
applications. Details concerning the Clearinghouse and its operation
are found in the document, ''Model Clearinghouse: Operational Plan.''
(6) Three primary functions of the Clearinghouse are:
(1) Review of decisions proposed by EPA Regional Offices on the use
of modeling techniques and data bases.
(2) Periodic visits to Regional Offices to gather information
pertinent to regulatory model usage.
(3) Preparation of an annual report summarizing activities of the
Clearinghouse including specific determinations made during the course
of the year.
3.3.1.2 Recommendations.
The Regional Administrator may request assistance from the Model
Clearinghouse after an initial evaluation and decision has been reached
concerning the application of a model, analytical technique or data base
in a particular regulatory action. The Clearinghouse may also consider
and evaluate the use of modeling techniques submitted in support of any
regulatory action. Additional responsibilities are: (1) Review
proposed action for consistency with agency policy; (2) determine
technical adequacy; and (3) make recommendations concerning the
technique or data base.
3.3.2.1 Discussion.
EPA conducts an annual in-house workshop for the purpose of mutual
discussion and problem resolution among Regional Office modeling
specialists, EPA research modeling experts, EPA Headquarters modeling
and regulatory staff and representatives from State modeling programs.
A summary of the issues resolved at previous workshops was issued in
1981 as ''Regional Workshops on Air Quality Modeling: A Summary
Report.'' (17) That report clarified procedures not specifically defined
in the 1978 guideline and was issued to ensure the consistent
interpretation of model requirements from Region to Region. Similar
workshops for the purpose of clarifying guideline procedures or
providing detailed instructions for the use of those procedures are
anticipated in the future.
3.3.2.2 Recommendations.
The Regional Office should always be consulted for information and
guidance concerning modeling methods and interpretations of modeling
guidance, and to ensure that the air quality model user has available
the latest most up-to-date policy and procedures.
Simple terrain, as used here, is considered to be an area where
terrain features are all lower in elevation than the top of the stack of
the source(s) in question. The models recommended in this section are
generally used in the air quality impact analysis of stationary sources
for most criteria pollutants. The averaging time of the concentration
estimates produced by these models ranges from 1 hour to an annual
average.
Model evaluation exercises have been conducted to determine the
''best, most appropriate point source model'' for use in simple terrain.
(8, 12) However, no one model has been found to be clearly superior.
Thus, based on past use, public familiarity, and availability CRSTER
remains the recommended model for rural, simple terrain, single point
source applications. Similar determinations were made for the other
refined models that are identified in the following sections.
The EPA document ''Guidelines for Air Quality Maintenance Planning
and Analysis, Volume 10R: Procedures for Evaluating Air Quality Impact
of New Stationary Sources'' 18 contains screening procedures that should
be used if the source is in simple terrain. A computerized version of
the Volume 10R screening technique for use in simple terrain (urban and
rural) is available in UNAMAP'' 19 as PTPLU-2.
All screening procedures should be adjusted to the site and problem
at hand. Close attention should be paid to whether the area should be
classified urban or rural in accordance with Section 8.2.8. The
climatology of the area should be studied to help define the worst-case
meteorological conditions. Agreement should be reached between the
model user and the reviewing authority on the choice of the screening
model for each analysis, and on the input data as well as the ultimate
use of the results.
Table 4-1 lists preferred models for selected applications. These
preferred models should be used for the sources, land use categories and
averaging times indicated in the table. A brief description of each of
these models is found in appendix A. Also listed in that appendix are
the model input requirements, the standard options that should be
selected when running the program and output options.
When modeling for compliance with short term NAAQS and PSD increments
is of primary concern, the short term models listed in Table 4-1 may
also be used to provide long term concentration estimates. When
modeling for sources for which long term standards alone are applicable
(e.g., lead), then the long term models should be used.
The conversion from long term to short term concentration averages by
any transformation technique is not acceptable in regulatory
applications.
For the purpose of this guideline, complex terrain is defined as
terrain exceeding the height of the stack being modeled. Complex
terrain dispersion models are normally applied to stationary sources of
pollutants such as SO2 and particulates.
Although the need for refined complex terrain dispersion models has
been acknowledged for several years, adequate refined models have not
been developed. The lack of detailed, descriptive data bases and basic
knowledge concerning the behavior of atmospheric variables in the
vicinity of complex terrain presents a considerable obstacle to the
solution of the problem and the development of refined models.
A workshop (20) of invited complex terrain experts was held by the
American Meteorological Society as a part of the AMS-EPA Cooperative
Agreement in May of 1983. Several major complex terrain problems were
identified at this workshop; among them were: (1) Valley stagnation,
(2) valley fumigation, (3) downwash on the leeside of terrain obstacles;
and (4) the identification of conditions under which plume impaction
can occur.
A first step toward the solution of two of these problems has been
taken in the multi-year EPA Complex Terrain Model Development project.
(21,22,23,24) One product of this project is expected to be a model
suitable for regulatory application to plume impaction problems in
complex terrain. In addition, insight into the leeside effects problem
is also anticipated. Completion of the project is not expected before
late 1987. Preliminary results have identified at least two concepts
that have important implications for the regulatory application of
models in complex terrain and will require further detailed study and
evaluation. First, plume impaction resulting in high concentrations was
observed to occur during the field study as well as in supporting fluid
modeling studies. (21) Further, the occurrence of impaction was linked
to a ''critical streamline'' that separates flow around an obstacle from
flow over an obstacle. Second, high concentrations were also observed
to occur in the lee of the obstacle and were of sufficient magnitude to
indicate that this phenomenon should be considered, if appropriate, in
the determination of source impacts. (22)
To date most projects have been designed to identify plume behavior
in complex terrain and to define the meteorological variables
influencing that behavior. Until such time as it is possible to develop
and evaluate a model hased on the quantification of the meteorological
and plume parameters identified in these studies, existing algorithms
adapted to site-specific complex terrain situations are all that are
available. The methods discussed in this section should be considered
screening, or ''refined'' screening, techniques and not refined
dispersion models.
The following recommendations apply primarily to the situations where
the impaction of plumes on terrain at elevations equal to or greater
than the plume centerline during stable atmospheric conditions are
determined to be the problem. The evaluation of other concentrations
should be considered after consultation with the Regional Office.
However, limited guidance on calculation of concentrations between stack
height and plume centerline is provided.
Models developed for specific uses in complex terrain will be
considered on a case-by-case basis after a suitable demonstration of
their technical merits and an evaluation using measured on-site data
following the procedures in ''Interim Procedures for the Evaluation of
Air Quality Models.'' (15) Since the location of plume centerline is as
important a concern in complex terrain as dispersion rates, it should be
noted that the dispersion models combined with a wind field analysis
model should be superior to an assumption of straight-line plume travel.
Such hybrid modeling techniques are also acceptable, after the
appropriate demonstration and evaluation.
In the absence of an approved case-specific, refined, complex terrain
model, four screening techniques are currently available to aid in the
evaluation of concentrations due to plume impaction during stable
conditions: the Valley Screening Technique as outlined in the Valley
Model's User's Guide, (19, 25) COMPLEX I, (19) SHORTZ/LONGZ, (26) and
the Rough Terrain Dispersion Model (RTDM) (91) in its prescribed mode
described below. These methods should be used only to calculate
concentrations at receptors whose elevations are greater than or equal
to plume height. Receptors below stack height should be modeled using a
preferred simple terrain model (see chapter 4). Receptors between stack
height and plume height should be modeled with both complex terrain and
simple terrain models and the highest concentration used. (For the
simple terrain models, terrain may have to be ''chopped-off'' at stack
height, since these models are frequently limited to receptors no
greater than stack height.)
If a violation of any NAAQS or the controlling increment is indicated
by using the Valley Screening Technique, a second- or third-level
screening technique may be used. A site-specific data base of at least
one full year of meteorological data is preferred for use with either
the second- or third-level screening technique. If more data are
available, they should be used. Meteorological data used in the
analysis should be reviewed for both spatial and temporal
representativeness.
Placement of receptors requires very careful attention when modeling
in complex terrain. Often the highest concentrations are predicted to
occur under very stable conditions, when the plume is near, or impinges
on, the terrain. The plume under such conditions may be quite narrow in
the vertical, so that a change in a receptor to a location where the
terrain is as little as 25 meters or so higher or lower may make a
substantial change in the predicted concentration. Receptors within
about a kilometer of the source may be even more sensitive to location.
Thus, a very dense array of receptors may be required in some cases. In
order to avoid excessively large computer runs due to such a large array
of receptors, it is often desirable to model the area twice. The first
model run would use a moderate number of receptors carefully located
over the area of interest. The second model run would use a more dense
array of receptors in areas showing potential for high concentrations,
as indicated by the results of the first model run.
5.2.1.1 Initial Screening Technique.
The initial screen to determine 24-hour averages is the Valley
Screening Technique. This technique uses the Valley Model with the
following worst-case assumptions for rural areas: (1) P-G stability
''F''; (2) wind speed of 2.5 m/s; and (3) 6 hours of occurrence. For
urban areas the stability should be changed to ''P-G stability E.''
When using the Valley Screening Technique to obtain 24-hour average
concentrations the following apply: (1) Multiple sources should be
treated individually and the concentrations for each wind direction
summed; (2) only one wind direction should be used (see User's Guide,
(25) page 2-15) even if individual runs are made for each source; (3)
for buoyant sources, the BID option may be used, and the option to use
the 2.6 stable plume rise factor should be selected; (4) if plume
impaction is likely on any elevated terrain closer to the source than
the distance from the source to the final plume rise, then the
transitional (or gradual) plume rise option for stable conditions should
be selected.
The standard polar receptor grid found in the Valley Model User's
Guide may not be sufficiently dense for all analyses if only one
geographical scale factor is used. The user should choose an additional
set of receptors at appropriate downwind distances whose elevations are
equal to plume height minus 10 meters. Alternatively, the user may
exercise the ''VALLEY equivalent'' option in COMPLEX I and note the
comments above on the placement of receptors in complex terrain models.
5.2.1.2 Second-Level Screening Technique (Rural).
If the area is rural, the suggested second-level screening technique
is COMPLEX I for all averaging times. COMPLEX I is a modification of
the MPTER model that incorporates the plume impaction algorithm of the
Valley Model. It is a multiple-source screening technique that accepts
hourly meteorological data as input. The output is the same as the
normal MPTER output. When using COMPLEX I the following options should
be selected: (1) Set terrain adjustment IOPT(1)=1; (2) set buoyancy
induced dispersion IOPT (4)=1; (3) set IOPT (25)=1; (4) set the
terrain adjustment values to 0.5, 0.5, 0.5 0.5, 0.0, 0.0, (respectively
for 6 stability classes); and (5) set Z MIN=10.
Gradual plume rise should be used to estimate concentrations at
nearby elevated receptors, if plume impaction is likely on any elevated
terrain closer to the source than the distance from the source to the
final plume rise (see section 8.2.5).
5.2.1.3 Second-Level Screening Technique (Urban).
If the source is located in an urbanized (section 8.2.8) complex
terrain valley, then the suggested second-level screening technique is
SHORTZ for short term averages or LONGZ for long term averages. (SHORTZ
and LONGZ may be used as screening techniques in these complex terrain
applications without demonstration and evaluation. Application of these
models in other than urbanized valley situations will require the same
evaluation and demonstration procedures as are required for all appendix
B models.)
Both SHORTZ and LONGZ have a number of options. When using these
models as screening techniques for urbanized valley applications, the
options listed in table 5-1 should be selected.
5.2.1.4 Third Level Screening Technique (Rural).
If a violation of any NAAQS or the controlling increment is indicated
by using the second-level screening technique, a third-level screening
technique may be used for rural applications. RTDM with the options
specified in Table 5-2 may be used as a screening technique in rural
complex terrain situations without demonstration and evaluation.
The RTDM /1/ screening technique can provide a more refined
concentration estimate if on-site wind speed and direction
characteristic of plume dilution and transport are used as input to the
model. In complex terrain, these winds can seldom be estimated
accurately from the standard surface (10m level) measurements.
Therefore, in order to increase confidence in model estimates, EPA
recommends that wind data input to RTDM should be based on fixed
measurements at stack top height. For stacks greater than 100m, the
measurement height may be limited to 100m in height relative to stack
base. However, for very tall stacks see guidance in section 9.3.3.2.
This recommendation is broadened to include wind data representative of
plume transport height where such data are derived from measurements
taken with remote sensing devices such as SODAR. The data from both
fixed and remote measurements should meet quality assurance and recovery
rate requirements. The user should also be aware that RTDM in the
screening mode accepts the input of measured wind speeds at only one
height. The default values for the wind speed profile exponents shown
in Table 5-2 are used in the model to determine the wind speed at other
heights. RTDM uses wind speed at stack top to calculate the plume rise
and the critical dividing streamline height, and the wind speed at plume
transport level to calculate dilution. RTDM treats wind direction as
constant with height.
RTDM makes use of the ''critical dividing streamline'' concept and
thus treats plume interactions with terrain quite differently from other
models such as SHORTZ and COMPLEX I. The plume height relative to the
critical dividing streamline determines whether the plume impacts the
terrain, or is lifted up and over the terrain. The receptor spacing to
identify maximum impact concentrations is quite critical depending on
the location of the plume in the vertical. It is suggested that an
analysis of the expected plume height relative to the height of the
critical dividing streamline be performed for differing meteorological
conditions in order to help develop an appropriate array of receptors.
Then it is advisable to model the area twice according to the
suggestions in section 5.2.1.
5.2.1.5 Restrictions.
For screening analyses using the Valley Screening Technique, Complex
I or RTDM, a sector greater than 22 1/2 should not be allowed. Full
ground reflection should always be used in the VALLEY Screening
Technique and COMPLEX I.
When the results of the screening analysis demonstrate a possible
violation of NAAQS or the controlling PSD increments, a more refined
analysis may need to be conducted. Since there are no refined
techniques currently recommended for complex terrain applications, any
refined model used should be applied in accordance with section 3.2. In
particular, use of the ''Interim Procedures for Evaluating Air Quality
Models'' (15) and a second model to serve as a baseline or reference
point for the comparison should be used in a demonstration of
applicability. New approaches to improve the ability of models to
realistically simulate atmospheric physics, for example hybrid models
which incorporate an accurate wind field analysis, will ultimately
provide more appropriate tools for analyses.
In the absence of an appropriate refined model, screening results may
need to be used to determine air quality impact and/or emission limits.
Models discussed in this section are applicable to pollutants often
associated with mobile sources, e.g., ozone (03), carbon monoxide (CO)
and nitrogen dioxide (NO2). Where stationary sources of CO and NO2 are
of concern, the reader is referred to sections 4 and 5.
A control agency whose jurisdiction contains areas with significant
ozone problems and who has sufficient resources and data to use a
photochemical dispersion model is encouraged to do so. Experience with
and evaluations of the Urban Airshed Model show it to be an acceptable,
refined approach. Better data bases are becoming available that support
the more sophisticated analytical procedures. However, empirical models
(e.g., EKMA) fill the gap between more sophisticated photochemical
dispersion model 5 and proportional (rollback) modeling techniques and
may be the only applicable procedure if the data bases available are
insufficient for refined dispersion modeling.
Carbon monoxide is generally considered to be a problem only in
specific areas with high numbers of vehicles or slow moving traffic.
For that reason, frequently only ''hot spots'' or project level analyses
are needed in SIP revisions.
Nitrogen oxides are reactive and also an important contribution to
the photochemical ozone problem. They are usually of most concern in
areas of high ozone concentrations. Unless suitable photochemical
dispersion models are used, assumptions regarding the conversion of NO
to NO2 are required when modeling. Site-specific conversion factors may
be developed. If site-specific conversion factors are not available or
photochemical models are not used, NO2 modeling should be considered
only a screening procedure.
The Urban Airshed Model (27) is recommended for photochemical or
reactive pollutant modeling applications involving entire urban areas.
To ensure proper execution of this numerical model, users must satisfy
the extensive input data requirements for the model as listed in
appendix A and the users guide. Users are also referred to the
''Guideline for Applying the Airshed Model to Urban Areas'' (28) for
further information on data base requirements, kinds of tasks involved
in the model application, and the overall level of resources required.
The empirical model, City-specific EKMA (29,30,31,32,33) is an
acceptable approach for urban ozone applications.
Appendix B contains some additional models that may be applied on a
case-by-case basis for photochemical or reactive pollutant modeling.
Other photochemical models, including multi-layered trajectory models,
that are available may be used if shown to be appropriate. Most
photochemical dispersion models require emission data on individual
hydrocarbon species and may require three dimensional meteorological
information on an hourly basis. Reasonably sophisticated computer
facilities are also often required. Because the input data are not
universally available and studies to collect such data are very resource
intensive, there are only limited evaluations of those models.
Proportional (rollback/forward) modeling is no longer an acceptable
procedure for evaluating ozone control strategies.
6.2.2 Models for Carbon Monoxide.
Carbon monoxide modeling for the development of SIP-required control
strategies should follow the guidance provided in the ''Carbon Monoxide
Hot Spot Guidelines'' (34) or in Volume 9 of the ''Guidelines for Air
Quality Maintenance Planning and Analysis.'' (35) These volumes provide
screening techniques for locating and quantifying worst case carbon
monoxide concentrations, and for establishing background values; they
also provide methods for assessing carbon monoxide concentrations at
multiple locations across the urban area. If results from screening
techniques or measured carbon monoxide levels in an urban area are
clearly well below the standards and expected to remain below the
standard, or it can be demonstrated that the Federal Motor Vehicle
Control Program will provide the needed CO reductions, then urban
area-wide strategies may be evaluated using a modified rollback or
proportional model approach.
Project analysis of mobile source emissions of carbon monoxide should
first include an analysis using the screening techniques referenced
above. If concentrations using these techniques exceed the NAAQS, then
refined techniques are needed to determine compliance with the
standards. CALINE3 (see appendix A) is the preferred model for use when
refined analyses are required. For free flow sources, the latest
version of mobile source emission factors are required for input to
CALINE3, and for interrupted flow sources (i.e., signalyzed
intersections), procedures to calculate modal emission factors as
contained in Worksheet 2 of the ''Guidelines for Air Quality Maintenance
Planning and Analysis, Volume 9'' (35) are recommended.
Situations that require the use of refined techniques on an
urban-wide basis should be considered on a case-by-case basis. If a
suitable model is available and the data and technical competence
required for its use are available, then such a model should be
considered.
Where point sources of CO are of concern, they should be modeled
using the screening and preferred techniques of sections 4 or 5.
6.2.3 Models for Nitrogen Dioxide (Annual Average).
A three-tiered screening approach is recommended to obtain annual
average estimates of NO2 from point sources:
a. Initial screen: Use an appropriate Gaussian model from Appendix A
to estimate the maximum annual average concentration and assume a total
conversion of NO to NO2. If the concentration exceeds the NAAQS for
NO2, proceed to the 2nd level screen.
b. 2nd level screen: Apply the Ozone Limiting Method (36) to the
annual NOx estimate obtained in (a) above using a representative average
annual ozone concentration. If the result is still greater than the
NAAQS, the more refined Ozone Limiting Method in the 3rd level screen
should be applied.
c. 3rd level screen: Apply the Ozone Limiting Method separately for
each hour of the year or multi-year period. Use representative hourly
NO2 background and ozone levels in the calculations.
In urban areas, a proportional model may be used as a preliminary
assessment to evaluate control strategies for multiple sources (mobile
and area) of NOx; concentrations resulting from major point sources
should be estimated separately as discussed above, then added to the
impact of area sources. An acceptable screening technique for urban
complexes is to assume that all NOx is emitted in the form of NO2 and to
use a model from appendix A for nonreactive pollutants to estimate NO2
concentrations. A more accurate estimate can be obtained by (1)
calculating the annual average concentrations of NOx with an urban
model, and (2) converting these estimates to NO2 concentrations based on
a spatially averaged NO2/NOx annual ratio determined from an existing
air quality monitoring network.
In situations where there are sufficient hydrocarbons available to
significantly enhance the rate of NO to NO2 conversion, the assumptions
implicit in the Ozone Limiting Procedure may not be appropriate. More
refined techniques should be considered on a case-by-case basis and
agreement with the reviewing authority should be obtained. Such
techniques should consider individual quantities of NO and NO2
emissions, atmospheric transport and dispersion, and atmospheric
transformation of NO to NO2. Where it is available site-specific data
on the conversion of NO to NO2 may be used. Photochemical dispersion
models, if used for other pollutants in the area, may also be applied to
the NOx problem.
This section covers those cases where specific techniques have been
developed for special regulatory programs. Most of the programs have,
or will have when fully developed, separate guidance documents that
cover the program and a discussion of the tools that are needed. The
following paragraphs reference those guidance documents, when they are
available. No attempt has been made to provide a comprehensive
discussion of each topic since the reference documents were designed to
do that. This section will undergo periodic revision as new programs
are added and new techniques are developed.
Other Federal agencies have also developed specific modeling
approaches for their own regulatory or other requirements. An example
of this is the three-volume manual issued by the U.S. Department of
Housing and Urban Development, ''Air Quality Considerations in
Residential Planning.'' (37) Although such regulatory requirements and
manuals may have come about because of EPA rules or standards, the
implementation of such regulations and the use of the modeling
techniques is under the jurisdiction of the agency issuing the manual or
directive.
The need to estimate impacts at distances greater than 50 km (the
nominal distance to which EPA considers most Gaussian models applicable)
is an important one especially when considering the effects from
secondary pollutants. Unfortunately, models submitted to EPA have not
as yet undergone sufficient field evaluation to be recommended for
general use. Existing data bases from field studies at mesoscale and
long range transport distances are limited in detail. This limitation
is a result of the expee to perform the field studies required to verify
and improve mesoscale and long range transport models. Particularly
important and sparse are meteorological data adequate for generating
three dimensional wind fields. Application of models to complicated
terrain compounds the difficulty.
A current EPA agreement with Argonne National Laboratory, scheduled
for completion In FY 1986, will result in the development of evaluation
procedures for long range transport models. Models submitted to EPA
will be tested with currently available data bases using these
procedures. Similar research in this area is also being performed by
others in EPA and other organizations. For the time being, however,
long range and mesoscale transport models must be evaluated for
regulatory use on a case-by-case basis.
7.2.1 Fugitive Dust/Fugitive Emissions.
Fugitive dust usually refers to the dust put into the atmosphere by
the wind blowing over plowed fields, dirt roads or desert or sandy areas
with little or no vegetation. Reentrained dust is that which is put
into the air by reason of vehicles driving over dirt roads (or dirty
roads) and dusty areas. Such sources can be characterized as line, area
or volume sources. Emission rates may be based on site-specific data or
values from the general literature.
Fugitive emissions are usually defined as emissions that come from an
industrial source complex. They include the emissions resulting from
the industrial process that are not captured and vented through a stack
but may be released from various locations within the complex. Where
such fugitive emissions can be properly specified, the ISC model, with
consideration of gravitational settling and dry deposition, is the
recommended model. In some unique cases a model developed specifically
for the situation may be needed.
Due to the difficult nature of characterizing and modeling fugitive
dust and fugitive emissions, it is recommended that the proposed
procedure be cleared by the appropriate Regional Office for each
specific situation before the modeling exercise is begun.
Currently a proposed NAAQS for particulate matter includes provisions
both for particles in the size range less than 10 micrometers (PM10) and
for Total Suspended Particulates (TSP). State Implementation Plans will
be developed by States to attain and maintain this new standard when the
standard is promulgated.
Screening techniques like those identified in section 4 are also
applicable to PM10 and to large particles (TSP). It is recommended that
subjectively determined values for ''half-life'' or pollutant decay not
be used as a surrogate for particle removal. Conservative assumptions
which do not allow removal or transformation are suggested for
screening. Proportional models (rollback/forward) may not be applied
for screening analysis, unless such techniques are used in conjunction
with receptor modeling.
Refined models such as those in section 4 are recommended for both
PM10 and TSP. However, where possible, particle size, gas-to-particle
formation and their effect on ambient concentrations may be considered.
For urban-wide refined analyses CDM 2.0 or RAM should be used. CRSTER
and MPTER are recommended for point sources of small particles. For
source-specific analyses of complicated sources, the ISC model is
preferred. No model recommended for general use at this time accounts
for secondary particulate formation or other transformations in a manner
suitable for SIP control strategy demonstrations. Where possible, the
use of receptor models (38, 39) in conjunction with dispersion models is
encouraged to more precisely characterize the emissions inventory and to
validate source specific impacts calculated by the dispersion model.
For those cases where no recommended technique is available or
applicable, modeling approaches should be approved by the appropriate
Regional Office on a case-by-case basis. At this time analyses
involving model calculations for distances beyond 50 km should also be
justified on a case-by-case basis (see section 7.2.6).
7.2.3 Lead.
The air quality analyses required for lead implementation plans are
given in 51.83, 51.84 and 51.85 of 40 CFR part 51. Sections 51.83 and
51.85 require the use of a modified rollback model as a minimum to
demonstrate attainment of the lead air quality standard but the use of a
dispersion model is the preferred approach. Section 51.83 requires the
analysis of an entire urban area if the measured lead concentration in
the urbanized area exceeds a quarterly (three month) average of 4.0 mg/m
/3/ . Section 51.84 requires the use of a dispersion model to
demonstrate attainment of the lead air quality standard around specified
lead point sources. For other areas reporting a violation of the lead
standard, 51.85 requires an analysis of the area in the vicinity of the
monitor reporting the violation. The NAAQS for lead is a quarterly
(three month) average, thus requiring the use of modeling techniques
that can provide long-term concentration estimates.
The SIP should contain an air quality analysis to determine the
maximum quarterly lead concentration resulting from major lead point
sources, such as smelters, gasoline additive plants, etc. For these
applications the ISC model is preferred, since the model can account for
deposition of particles and the impact of fugitive emissions. If the
source is located in complicated terrain or is subject to unusual
climatic conditions, a case-specific review by the appropriate Regional
Office may be required.
In modeling the effect of traditional line sources (such as a
specific roadway or highway) on lead air quality, dispersion models
applied for other pollutants can be used. Dispersion models such as
CALINE3 and APRAC-3 have been widely used for modeling carbon monoxide
emissions from highways. However, where deposition is of concern, the
line source treatment in ISC may be used. Also, where there is a point
source in the middle of a substantial road network, the lead
concentrations that result from the road network should be treated as
background (see section 9.2); the point source and any nearby major
roadways should be modeled separately using the ISC model.
To model an entire major urban area or to model areas without
significant sources of lead emissions, as a minimum a proportional
(rollback) model may be used for air quality analysis. The rollback
philosophy assumes that measured pollutant concentrations are
proportional to emissions. However, urban or other dispersion models
are encouraged in these circumstances where the use of such models is
feasible.
For further information concerning the use of models in the
development of lead implementation plans, the documents ''Supplementary
Guidelines for Lead Implementation Plans,'' (40) and ''Updated
Information on Approval and Promulgation of Lead Implementation Plans,''
(41) should be consulted.
7.2.4 Visibility.
The visibility regulations as promulgated in December 1980 /1/
require consideration of the effect of new sources on the visibility
values of Federal Class I areas. The state of scientific knowledge
concerning identifying, monitoring, modeling, and controlling visibility
impairment is contained in an EPA report ''Protecting Visibility: An
EPA Report to Congress.'' (42) At the present time, ''although
information derived from modeling and monitoring can, in some cases, aid
the States in development and implementation of the visibility
program,'' /2/ the States are not currently required to establish
monitoring networks or perform modeling analyses. However, a monitoring
strategy is required. As additional knowledge is gained, guidance on
''plume blight'' and regional scale models will be provided, as
appropriate.
References 43, 44, and 45 may also be useful when visibility
evaluations are needed. Appendix B contains two models developed for
application to visibility problems.
7.2.5 Good Engineering Practice Stack Height.
The use of stack height credit in excess of Good Engineering Practice
(GEP) stack height is prohibited in the development of emission
limitations by 40 CFR 51.12 and 40 CFR 51.18. The definition of GEP
stack height is contained in 40 CFR 51.1. Methods and procedures for
making the appropriate stack height calculations, determining stack
height credits and an example of applying those techniques are found in
references 46, 47, 48, and 49.
If stacks for new or existing major sources are found to be less than
the height defined by EPA's refined formula for determining GEP height,
/1/ then air quality impacts associated with cavity or wake effects due
to the nearby building structures should be determined. Detailed
downwash screening procedures (17) for both the cavity and wake regions
should be followed. If more refined concentration estimates are
required, the Industrial Source Complex (ISC) model contains algorithms
for building wake calculations and should be used. Fluid modeling can
provide a great deal of additional information for evaluating and
describing the cavity and wake effects.
7.2.6 Long Range Transport (beyond 50 km).
Section 165(e) of the Clean Air Act requires that suspected
significant impacts on PSD Class I areas be determined. However, the
useful distance to which most Gaussian models are considered accurate
for setting emission limits is 50 km. Since in many cases Class I areas
may be threatened at distances greater than 50 km from new sources, some
procedure is needed to (1) determine if a significant impact will occur,
and (2) identify the model to be used in setting an emission limit if
the Class I increments are threatened (models for this purpose should be
approved for use on a case-by-case basis as required in section 3.2).
This procedure and the models selected for use should be determined in
consultation with the EPA Regional Office and the appropriate Federal
Land Manager (FLM). While the ultimate decision on whether a Class I
area is adversely affected is the responsibility of the permitting
authority, the FLM has an affirmative responsibility to protect air
quality related values that may be affected.
LRT models for use beyond 50 km and for other than PSD purposes also
should be selected on a case-by-case basis. Normally, use of these
models will require an acceptable demonstration of applicability and an
evaluation of model performance if possible (See section 3.2).
7.2.7 Modeling Guidance for Other Governmental Programs
When using the models recommended or discussed in this guideline in
support of programmatic requirements not specifically covered by EPA
regulations, the model user should consult the appropriate Federal or
State agency to ensure the proper application and use of that model.
For modeling associated with PSD permit applications that involve a
Class I area, the appropriate Federal Land Manager should be consulted
on all modeling questions.
The Offshore and Coastal Dispersion (OCD) model (92) was developed by
the Minerals Management Service and is recommended for estimating air
quality impact from offshore sources on onshore flat terrain areas. The
OCD model is not recommended for use in air quality impact assessments
for onshore sources.
This section contains recommendations concerning a number of
different issues not explicitly covered in other sections of this guide.
The topics covered here are not specific to any one program or modeling
area but are common to nearly all modeling analyses.
8.2.1.1 Design Concentrations for S02, Particulate Matter, Lead, and
N02.
An air quality analysis is required to determine if the source will
(1) cause a violation of the NAAQS, or (2) cause or contribute to air
quality deterioration greater than the specified allowable PSD
increment. For the former, background concentration (See section 9.2)
should be added to the estimated impact of the source to determine the
design concentration. For the latter, the design concentration includes
impact from all increment consuming sources.
If the air quality analyses are conducted using the period of
meteorological input data recommended in section 9.3.1.2 (e.g., 5 years
of NWS data or one year of site-specific data), then the design
concentration based on the highest, second-highest short term
concentration or long term average, whichever is controlling, should be
used to determine emission limitations to assess compliance with the
NAAQS and to determine PSD increments.
When sufficient and representative data exist for less than a 5-year
period from a nearby NWS site, or when on-site data have been collected
for less than a full continuous year, or when it has been determined
that the on-site data may not be temporally representative, then the
highest concentration estimate should be considered the design value.
This is because the length of the data record may be too short to assure
that the conditions producing worst-case estimates have been adequately
sampled. The highest value is then a surrogate for the concentration
that is not to be exceeded more than once per year (the wording of the
deterministic standards). Also, the highest concentration should be
used whenever selected worst-case conditions are input to a screening
technique. This specifically applies to the use of techniques such as
outlined in ''Procedures for Evaluating Air Quality Impact of New
Stationary Sources.'' (18)
If the controlling concentration is an annual average value and
multiple years of data (on-site or NWS) are used, then the design value
is the highest of the annual averages calculated for the individual
years. If the controlling concentration is a quarterly average and
multiple years are used, then the highest individual quarterly average
should be considered the design value.
As long a period of record as possible should be used in making
estimates to determine design values and PSD increments. If more than
one year of site-specific data is available, it should be used.
8.2.1.2 Design Concentrations for Criteria Pollutants with Expected
Exceedance Standards.
Specific instructions for the determination of design concentrations
for criteria pollutants with expected exceedance standards are contained
in special guidance documents for the preparation of State
Implementation Plans for those pollutants. For all SIP revisions the
user should check with the Regional Office to obtain the most recent
guidance documents and policy memoranda concerning the pollutant in
question.
Receptor sites for refined modeling should be utilized In sufficient
detail to estimate the highest concentrations and possible violations of
a NAAQS or a PSD increment. In designing a receptor network, the
emphasis should be placed on receptor resolution and location, not total
number of receptors. The selection of receptor sites should be a
case-by-case determination taking into consideration the topography, the
climatology, monitor sites, and the results of the initial screening
procedure. For large sources (those equivalent to a 500 MW power plant)
and where violations of the NAAQS or PSD increment are likely, 360
receptors for a polar coordinate grid system and 400 receptors for a
rectangular grid system, where the distance from the source to the
farthest receptor is 10 km, are usually adequate to identify areas of
high concentration. Additional receptors may be needed in the high
concentration location if greater resolution is indicated by terrain or
source factors.
Gaussian models used in most applications should employ dispersion
coefficients consistent with those contained in the preferred models in
appendix A. Factors such as averaging time, urban/rural surroundings,
and type of source (point vs. line) may dictate the selection of
specific coefficients. Generally, coefficients used in appendix A
models are identical to, or at least based on, Pasquill-Gifford
coefficients (50) in rural areas and McElroy-Pooler (51) coefficients in
urban areas.
Research is continuing toward the development of methods to determine
dispersion coefficients directly from measured or observed variables.
(52, 53) No method to date has proved to be widely applicable. Thus,
direct measurement, as well as other dispersion coefficients related to
distance and stability, may be used in Gaussian modeling only if a
demonstration can be made that such parameters are more applicable and
accurate for the given situation than are algorithms contained in the
preferred models.
Buoyancy-induced dispersion (BID), as identified by Pasquill, (54) is
included in the preferred models and should be used where buoyant
sources, e.g., those involving fuel combustion, are involved.
The Pasquill approach to classifying stability is generally required
in all preferred models (appendix A). The Pasquill method, as modified
by Turner, (55) was developed for use with commonly observed
meteorological data from the National Weather Service and is based on
cloud cover, insolation and wind speed.
Procedures to determine Pasquill stability categories from other than
NWS data are found in section 9.3. Any other method to determine
Pasquill stability categories must be justified on a case-by-case basis.
For a given model application where stability categories are the
basis for selecting dispersion coefficients, both sy and sz should be
determined from the same stability category. ''Split sigmas'' in that
instance are not recommended.
Sector averaging, which eliminates the sy term, is generally
acceptable only to determine long term averages, such as seasonal or
annual, and when the meteorological input data are statistically
summarized as in the STAR summaries. Sector averaging is, however,
commonly acceptable in complex terrain screening methods.
The plume rise methods of Briggs (56, 57) are incorporated in the
preferred models and are recommended for use in all modeling
applications. No provisions in these models are made for fumigation or
multistack plume rise enhancement or the handling of such special plumes
as flares; these problems should be considered on a case-by-case basis.
Since there is insufficient information to identify and quantify
dispersion during the transitional plume rise period, gradual plume rise
is not generally recommended for use. There are two exceptions where
the use of gradual plume rise is appropriate: (1) In complex terrain
screening procedures to determine close-in impact; (2) when calculating
the effects of building wakes. The building wake algorithm in the ISC
model incorporates gradual plume rise calculations. If the building
wake is calculated to affect the plume for any hour, gradual plume rise
is also used in downwind dispersion calculations to the distance of
final plume rise, after which final plume rise is used.
Stack tip downwash generally occurs with poorly constructed stacks
and when the ratio of the stack exit velocity to wind speed is small.
An algorithm developed by Briggs (Hanna, et al.) (57) is the recommended
technique for this situation and is found in the point source preferred
models.
Where aerodynamic downwash occurs due to the adverse influence of
nearby structures, the algorithms included in the ISC model (58) should
be used.
The chemical transformation of SO2 emitted from point sources or
single industrial plants in rural areas is generally assumed to be
relatively unimportant to the estimation of maximum concentrations when
travel time is limited to a few hours. However, in urban area, where
synergistic effects among pollutants are of considerable consequence,
chemical transformation rates may be of concern. In urban area
applications, a half-life of 4 hours (55) may be applied to the analysis
of SO2 emissions. Calculations of transformation coefficients from
site-specific studies can be used to define a ''half-life'' to be used
in a Gaussian model with any travel time, or in any application, if
appropriate documentation is provided. Such conversion factors for
pollutant half-life should not be used with screening analyses.
Complete conversion of NO to NO2 should be assumed for all travel
time when simple screening techniques are used to model point source
emissions of nitrogen oxides. If a Gaussian model is used, and data are
available on seasonable variations in maximum ozone concentrations, the
Ozone Limiting Method (36) is recommended. In refined analyses,
case-by-case conversion rates based on technical studies appropriate to
the site in question may be used. The use of more sophisticated
modeling techniques should be justified for individual cases.
Use of models incorporating complex chemical mechanisms should be
considered only on a case-by-case basis with proper demonstration of
applicability. These are generally regional models not designed for the
evaluation of individual sources but used primarily for region-wide
evaluations. Visibility models also incorporate chemical transformation
mechanisms which are an integral part of the visibility model itself and
should be used in visibility assessments.
An ''infinite half-life'' should be used for estimates of total
suspended particulate concentrations when Gaussian models containing
only exponential decay terms for treating settling and deposition are
used.
Gravitational settling and deposition may be directly included in a
model if either is a significant factor. At least one preferred model
(ISC) contains settling and deposition algorithms and is recommended for
use when particulate matter sources can be quantified and settling and
deposition are problems.
The selection of either rural or urban dispersion coefficients in a
specific application should follow one of the procedures suggested by
Irwin (59) and briefly described below. These include a land use
classification procedure or a population based procedure to determine
whether the character of an area is primarily urban or rural.
Land Use Procedure: (1) Classify the land use within the total area,
Ao, circumscribed by a 3 km radius circle about the source using the
meteorological land use typing scheme proposed by Auer (60); (2) if
land use types I1, I2, C1, R2, and R3 account for 50 percent or more of
Ao, use urban dispersion coefficients; otherwise, use appropriate rural
dispersion coefficients.
Population Density Procedure: (1) Compute the average population
density, p8 per square kilometer with Ao as defined above; (2) If p8 is
greater than 750 people/km /2/ , use urban dispersion coefficients;
otherwise use appropriate rural dispersion coefficients.
Of the two methods the land use procedure is considered more
definitive. Population density should be used with caution and should
not be applied to highly industrialized areas where the population
density may be low and thus a rural classification would be indicated,
but the area is sufficiently built-up so that the urban land use
criteria would be satisfied. In this case, the classification should
already be ''urban'' and urban dispersion parameters should be used.
Sources located in an area defined as urban should be modeled using
urban dispersion parameters. Sources located in areas defined as rural
should be modeled using the rural dispersion parameters. For analyses
of whole urban complexes, the entire area should be modeled as an urban
region if most of the sources are located in areas classified as urban.
Fumigation occurs when a plume (or multiple plumes) is emitted into a
stable layer of air and that layer is subsequently mixed to the ground
either through convective transfer of heat from the surface or because
of advection to less stable surroundings. Fumigation may cause
excessively high concentrations but is usually rather short-lived at a
given receptor. There are no recommended refined techniques to model
this phenomenon. There are, however, screening procedures (see
''Guidelines for Air Quality Maintenance Planning and Analysis Volume
10R: Procedures for Evaluating Air Quality Impact of New Stationary
Sources'') (18) that may be used to approximate the concentrations.
Considerable care should be exercised in the use of the results obtained
from the screening techniques.
Fumigation is also an important phenomenon on and near the shoreline
of bodies of water. This can affect both individual plumes and
area-wide emissions. Although models have been developed to address
this problem, the evaluations so far do not permit the recommendation of
any specific technique.
The Regional Office should be contacted to determine the appropriate
model for applications where fumigation is of concern.
Although both short and long term periods of very light winds are
important in the identification of worst-case conditions, the models
identified in this guideline cannot adequately simulate such conditions.
If stagnation conditions are determined to be important to the
analysis, then techniques specific to the situation and location must be
developed. Such techniques might include empirical models or box
models. Assistance from the appropriate Regional Office should be
obtained prior to embarking on the development of such a procedure.
Calibration of long term multi-source models has been a widely used
procedure even though the limitations imposed by statistical theory on
the reliability of the calibration process for long term estimates are
well known. (61) In some cases, where a more accurate model is not
available, calibration may be the best alternative for improving the
accuracy of the estimated concentrations needed for control strategy
evaluations.
Calibration of short term models is not common practice and is
subject to much greater error and misunderstanding. There have been
attempts by some to compare short term estimates and measurements on an
event-by-event basis and then to calibrate a model with results of that
comparison. This approach is severely limited by uncertainties in both
source and meteorological data and therefore it is difficult to
precisely estimate the concentration at an exact location for a specific
increment of time. Such uncertainties make calibration of short term
models of questionable benefit. Therefore, short term model calibration
is unacceptable.
Data bases and related procedures for estimating input parameters are
an integral part of the modeling procedure. The most appropriate data
available should always be selected for use in modeling analyses.
Concentrations can vary widely depending on the source data or
meteorological data used. Input data are a major source of
inconsistencies in any modeling analysis. This section attempts to
minimize the uncertainty associated with data base selection and use by
identifying requirements for data used in modeling. A checklist of
input data requirements for modeling analyses is included as appendix C.
More specific data requirements and the format required for the
individual models are described in detail in the users' guide for each
model.
Sources of pollutants can be classified as point, line and
area/volume sources. Point sources are defined in terms of size and may
vary between regulatory programs. The line sources most frequently
considered are roadways and streets along which there are well-defined
movements of motor vehicles, but they may be lines of roof vents or
stacks such as in aluminum refineries. Area and volume sources are
often collections of a multitude of minor sources with individually
small emissions that are impractical to consider as separate point or
line sources. Large area sources are typically treated as a grid
network of square areas, with pollutant emissions distributed uniformly
within each grid square.
Emission factors are compiled in an EPA publication commonly known as
AP-42 (62), an indication of the quality and amount of data on which
many of the factors are based is also provided. Other information
concerning emissions is available in EPA publications relating to
specific source categories. The Regional Office should be consulted to
determine appropriate source definitions and for guidance concerning the
determination of emissions from and techniques for modeling the various
source types.
For point source applications the load or operating condition that
causes maximum ground-level concentrations should be established. As a
minimum, the source should be modeled using the design capacity (100
percent load). If a source operates at greater than design capacity for
periods that could result in violations of the standards or PSD
increments, this load /1/ should be modeled. Where the source operates
at substantially less than design capacity, and the changes in the stack
parameters associated with the operating conditions could lead to higher
ground level concentrations, loads such as 50 percent and 75 percent of
capacity should also be modeled. A range of operating conditions should
be considered in screening analyses; the load causing the highest
concentration, in addition to the design load, should be included in
refined modeling. The following example for a power plant is typical of
the kind of data on source characteristics and operating conditions that
may be needed. Generally, input data requirements for air quality
models necessitate the use of metric units; where English units are
common for engineering usage, a conversion to metric is required.
a. Plant layout. The connection scheme between boilers and stacks,
and the distance and direction between stacks, building parameters
(length, width, height, location and orientation relative to stacks) for
plant structures which house boilers, control equipment, and surrounding
buildings within a distance of approximately five stack heights.
b. Stack parameters. For all stacks, the stack height and inside
diameter (meters), and the temperature (K) and volume flow rate (actual
cubic meters per second) or exit gas velocity (meters per second) for
operation at 100 percent, 75 percent and 50 percent load.
c. Boiler size. For all boilers, the associated megawatts, 10 /6/
BTU/hr, and pounds of steam per hour, and the design and/or actual fuel
consumption rate for 100 percent load for coal (tons/hour), oil
(barrels/hour), and natural gas (thousand cubic feet/hour).
d. Boiler parameters. For all boilers, the percent excess air used,
the boiler type (e.g., wet bottom, cyclone, etc.), and the type of
firing (e.g., pulverized coal, front firing, etc.).
e. Operating conditions. For all boilers, the type, amount and
pollutant contents of fuel, the total hours of boiler operation and the
boiler capacity factor during the year, and the percent load for peak
conditions.
f. Pollution control equipment parameters. For each boiler served
and each pollutant affected, the type of emission control equipment, the
year of its installation, its design efficiency and mass emission rate,
the date of the last test and the tested efficiency, the number of hours
of operation during the latest year, and the best engineering estimate
of its projected efficiency if used in conjunction with coal combustion;
data for any anticipated modifications or additions.
g. Data for new bollers or stacks. For all new boilers and stacks
under construction and for all planned modifications to existing boilers
or stacks, the scheduled date of completion, and the data or best
estimates available for items (a) through (f) above following completion
of construction or modification.
In stationary point source applications for compliance with short
term ambient standards, SIP control strategies should be tested using
the emission input shown on table 9-1. When using a refined model,
sources should be modeled sequentially with these loads for every hour
of the year. To evaluate SIP's for compliance with quarterly and annual
standards, emission input data shown on table 9-1 should again be used.
Emissions from area sources should generally be based on annual average
conditions. The source input information in each model user's guide
should be carefully consulted and the checklist in appendix C should
also be consulted for other possible emission data that could be
helpful.
Line source modeling of streets and highways requires data on the
width of the roadway and the median strip, the types and amounts of
pollutant emissions, the number of lanes, the emissions from each lane
and the height of emissions. The location of the ends of the straight
roadway segments should be specified by appropriate grid coordinates.
Detailed information and data requirements for modeling mobile sources
of pollution are provided in the user's manuals for each of the models
applicable to mobile sources.
The impact of growth on emissions should be considered in all
modeling analyses covering existing sources. Increases in emissions due
to planned expansion or planned fuel switches should be identified.
Increases in emissions at individual sources that may be associated with
a general industrial/commercial/residential expansion in multi-source
urban areas should also be treated. For new sources the impact of
growth on emissions should generally be considered for the period prior
to the start-up date for the source. Such changes in emissions should
treat increased area source emissions, changes in existing point source
emissions which were not subject to preconstruction review, and
emissions due to sources with permits to construct that have not yet
started operation.
Table 9-1. -- Model Emission Input Data for Point
Sources /1/
Background concentrations are an essential part of the total air
quality concentration to be considered in determining source impacts.
Background air quality includes pollutant concentrations due to: (1)
Natural sources; (2) nearby sources other than the one(s) currently
under consideration; and (3) unidentified sources.
Typically, air quality data should be used to establish background
concentrations in the vicinity of the source(s) under consideration.
The monitoring network used for background determinations should conform
to the same quality assurance and other requirements as those networks
established for PSD purposes. (63) An appropriate data validation
procedure should be applied to the data prior to use.
If the source is not isolated, it may be necessary to use a
multi-source model to establish the impact of nearby sources.
Background concentrations should be determined for each critical
(concentration) averaging time.
Two options are available to determine background near isolated
sources.
Option One: Use air quality data collected in the vicinity of the
source to determine the background concentration for the averaging times
of concern. /1/ Determine the mean background concentration at each
monitor by excluding values when the source in question is impacting the
monitor. The mean annual background is the average of the annual
concentrations so determined at each monitor. For shorter averaging
periods, the meteorological conditions accompanying the concentrations
of concern should be identified. Concentrations for meteorological
conditions of concern, at monitors not impacted by the source in
question, should be averaged for each separate averaging time to
determine the average background value. Monitoring sites inside a 90
sector downwind of the source may be used to determine the area of
impact. One hour concentrations may be added and averaged to determine
longer averaging periods.
Option Two: If there are no monitors located in the vicinity of the
source, a ''regional site'' may be used to determine background. A
''regional site'' is one that is located away from the area of interest
but is impacted by similar natural and distant man-made sources.
In multi-source areas two components of background should be
determined.
Nearby Sources: All sources expected to cause a significant
concentration gradient in the vicinity of the source or sources under
consideration for emission limit(s) should be explicitly modeled. For
evaluation for compliance with the short term and annual ambient
standards, the nearby sources should be modeled using the emission input
data shown in Table 9-1. The number of such sources is expected to be
small except in unusual situations. The nearby source inventory should
be determined in consultation with the local air pollution control
agency. It is envisioned that the nearby sources and the sources under
consideration will be evaluated together using an appropriate appendix A
model.
The impact of the nearby sources should be examined at locations
where interactions between the plume of the point source under
consideration and those of nearby sources (plus natural background) can
occur. Significant locations include: (1) The area of maximum impact
of the point source; (2) the area of maximum impact of nearby sources;
and (3) the area where all sources combine to cause maximum impact.
These locations may be identified through trial and error analyses.
Other Sources: That portion of the background attributable to all
other sources (e.g., natural sources, minor sources and distant major
sources) should be determined either by the procedures found in section
9.2.2 or by application of a model using Table 9-1.
The meteorological data used as input to a dispersion model should be
selected on the basis of spatial and climatological (temporal)
representativeness as well as the ability of the individual parameters
selected to characterize the transport and dispersion conditions in the
area of concern. The representativeness of the data is dependent on:
(1) The proximity of the meteorological monitoring site to the area
under consideration; (2) the complexity of the terrain; (3) the
exposure of the meteorological monitoring site; and (4) the period of
time during which data are collected. The spatial representativeness of
the data can be adversely affected by large distances between the source
and receptors of interest and the complex topographic characteristics of
the area. Temporal representativeness is a function of the year-to-year
variations in weather conditions.
Model input data are normally obtained either from the National
Weather Service or as part of an on-site measurement program. Local
universities, FAA, military stations, industry and pollution control
agencies may also be sources of such data. Some recommendations for the
use of each type of data are included in this section.
9.3.1.1 Discussion.
The model user should acquire enough meteorological data to ensure
that worst-case meteorological conditions are adequately represented in
the model results. The trend toward statistically based standards
suggests a need for all meteorological conditions to be adequately
represented in the data set selected for model input. The number of
years of record needed to obtain a stable distribution of conditions
depends on the variable being measured and has been estimated by
Landsberg and Jacobs (64) for various parameters. Although that study
indicates in excess of 10 years may be required to achieve stability in
the frequency distributions of some meteorological variables, such long
periods are not reasonable for model input data. This is due in part to
the fact that hourly data in model input format are frequently not
available for such periods and that hourly calculations of concentration
for long periods are prohibitively expensive. A recent study (65)
compared various periods from a 17-year data set to determine the
minimum number of years of data needed to approximate the concentrations
modeled with a 17-year period of meteorological data from one station.
This study indicated that the variability of model estimates due to the
meteorological data input was adequately reduced if a 5-year period of
record of meteorological input was used.
9.3.1.2 Recommendations.
Five years of representative meteorologica1 data should be used when
estimating concentrations with an air qua1ity model. Consecutive years
from the most recent, readily available 5-year period are preferred.
The meteorological data may be data collected either onsite or at the
nearest National Weather Service (NWS) station. 1f the source is large,
e.g., a 500 MW power plant, the use of 5 years of NWS meteorological
data or at least 1 year of site-specific data is required.
If one year or more, up to five years, of site-specific data is
available, these data are preferred for use in air quality analyses.
Such data should have been subjected to quality assurance procedures as
described in section 9.3.3.2.
For permitted sources whose emission limitations are based on a
specific year of meteorological data that year should be added to any
longer period being used (e.g., 5 years of NWS data) when modeling the
facility at a later time.
9.3.2.1 Discussion.
The National Weather Service (NWS) meteorological data are routinely
available and familiar to most model users. Although the NWS does not
provide direct measurements of all the needed dispersion model input
variables, methods have been developed and successfully used to
translate the basic NWS data to the needed model input. Direct
measurements of model input parameters have been made for limited model
studies and those methods and techniques are becoming more widely
applied; however, most model applications still rely heavily on the NWS
data.
There are two standard formats of the NWS data for use in air quality
models. The short term models use the standard hourly weather
observations available from the National Climatic Data Center (NCDC).
These observations are then ''preprocessed'' before they can be used in
the models. ''STAR'' summaries are available from NCDC for long term
model use. These are joint frequency distributions of wind speed,
direction and P-G stability category. They are used as direct input to
models such as the long term version of ISC. (58)
9.3.2.2 Recommendations.
The preferred short term models listed in appendix A all accept as
input the NWS meteorological data preprocessed into model compatible
form. Long-term (monthly seasonal or annual) preferred models use NWS
''STAR'' summaries. Summarized concentration estimates from the short
term models may also be used to develop long-term averages; however,
concentration estimates based on the two separate input data sets may
not necessarily agree.
Although most NWS measurements are made at a standard height of 10
meters, the actual anemometer height should be used as input to the
preferred model.
National Weather Service wind directions are reported to the nearest
10 degrees. A specific set of randomly generated numbers has been
developed for use with the preferred EPA models and should be used to
ensure a lack of bias in wind direction assignments within the models.
Data from universities, FAA, military stations, industry and
pollution control agencies may be used if such data are equivalent in
accuracy and detail to the NWS data.
9.3.3.1 Discussion.
Spatial or geographical representativeness is best achieved by
collection of all of the needed model input data at the actual site of
the source(s). Site-specific measured data are therefore preferred as
model input, provided appropriate instrumentation and quality assurance
procedures are followed and that the data collected are representative
(free from undue local or ''micro'' influences) and compatible with the
input requirements of the model to be used. However, direct
measurements of all the needed model input parameters may not be
possible. This section discusses suggestions for the collection and use
of on-site data. Since the methods outlined in this section are still
being tested, comparison of the model parameters derived using these
site-specific data should be compared at least on a spot-check basis,
with parameters derived from more conventional observations.
9.3.3.2 Recommendations.
Guidance provided in the ''Ambient Montoring Guidelines for
Prevention of Significant Deterioration (PSD)'' (63) should be used for
the establishment of special monitoring networks for PSD and other air
quality modeling analyses. That guidance includes requirements and
specifications for both pollutant and meteorological monitoring.
Additional information is available in the EPA quality assurance
handbooks and site selection guidance documents published on a
pollutant-by-pollutant basis (see the Air Programs Report and Guidelines
Index EPA-450/2-82-016). Volume IV of the series of reports ''Quality
Assurance Handbook for Air Pollution Measurement Systems'' (66) contains
such information for meteorological measurements. As a minimum,
site-specific measurements of ambient air temperature, transport wind
speed and direction, and the parameters to determine Pasquill-Gifford
stability categories should be available in meteorological data sets to
be used in modeling. Care should be taken to ensure that monitors are
located to represent the area of concern and that they are not
influenced by very localized effects. Site-specific data for model
applications should cover as long a period of measurement as is possible
to ensure adequate representation of ''worst-case'' meteorology. The
Regional Office will determine the appropriateness of the measurement
locations.
All site-specific data should be reduced to hourly averages. Table
9-2 lists the wind related parameters and the averaging time
requirements.
Temperature measurements should be made at standard shelter height in
accordance with the guidance referenced above.
In addition to surface wind measurements, the transport wind
direction should be measured at an elevation as close as possible to the
plume height. To approximate this, if a source has a stack below 100 m,
select the stack top height as the transport wind measurement height.
For sourcees with stacks extending above 100 m, a 100 m tower is
suggested unless the stack top is significantly above 100 meters (200 m
or more). In cases with stacks 200 m or above, the Regional Office
should determine the appropriate measurement height on a case-by-case
basis. Remote sensing may be a feasible alternative. The dilution wind
speed used in determining plume rise and also used in the Gaussian
dispersion equation is, by convention, defined as the wind speed at
stack top.
For routine tower measurements and surface measurements the wind
speed should be measured using an anemometer and the wind direction
measured using a horizontal vane. Specifications for wind measuring
instruments and monitoring systems are contained in the ''Ambient Air
Monitoring Guidelines for Prevention of Significant Deterioration
(PSD)'' (63) and in the quality assurance handbook on meteorological
measurements (66). Irwin (67) provides additional guidance for
processing wind data.
The Pasquill-Gifford (P-G) stability categories, as originally
defined, couple near-surface measurements of wind speed with
subjectively determined insolation assessements based on hourly cloud
cover and ceiling observations. The wind speed measurements are made at
or near 10 m. The insolation rate is typically assessed using the cloud
cover and ceiling height criteria outlined by Turner (50). Often the
cloud cover data are not available in site-specific data sets. In the
absence of such observations, it is recommended that the P-G stability
category be estimated using Table 9-3. This table requires sE, the
standard deviation of the vertical wind direction fluctuations. If the
surface roughness of the area surrounding the source is different from
the 15 cm roughness length upon which the table is based, an adjustment
may be made as indicated in the second footnote of Table 9-3. sE is
computed from direct measurements of the elevation angle of the vertical
wind directions.
If measurements of elevation angle are not available, sE may be
determined using the transform:
sE = sw/u,
where:
sE = the standard deviation of the vertical wind direction
fluctuations over a one-hour period.
sw = the standard deviation of the vertical wind speed fluctuations
over a one-hour period.
u = the average horizontal wind speed for a one-hour period.
Since both sw and u are in meters per second, G6sE is in radians. To
use sE in Table 9-3, sE must be converted to degrees. It is recommended
that a vertically mounted propeller anemometer be used to measure the
vertical wind speed fluctuations. The instrument should meet the
specifications given in the Ambient Monitoring Guidelines referenced
above. Compute sw directly each hour using at least 360 values based on
a recommended readout interval of up to 10 seconds. If sE is computed
using the output of the anemometer by other than direct application of
the formula for a variance, the method should be demonstrated to be
equivalent to direct computation. Both the vertical wind speed
fluctuations and the horizontal wind speed should be measured at the
same level. Moreover, these measurements should be made at a height of
10 m for use in estimating the P-G stability category. Where trees or
land use preclude measurements as low as 10 m, measurements should be
made at a height above the obstructions.
If on-site measurements of either sE or sw are not available,
stability categories may be determined using the horizontal wind
direction flucuation, sA, as outlined by Irwin (68). Irwin includes the
Mitchell and Timbre (69) method that uses categories of sA (70) listed
in Table 9-3, as an initial estimate of the P-G stability category.
This relationship is considered adequate for daytime use. During the
nighttime (one hour prior to sunset to one hour after sunrise), the
adjustments given in Table 9-4 should be applied to these categories.
As with sE an hourly average sA may be adjusted for surface roughness by
multiplying the table values of sA by a factor based on the average
surface roughness length determined within 1 to 3 km of the source. The
need for such adjustments should be determined on a case-by-case basis.
Wind direction meander may, at times, lead to an erroneous
determination of P-G stability category based on sA. To minimize wind
direction meander contributions, sA may be determined for each of four
15-minute periods in an hour. However, 360 samples are needed during
each 15-minute period. To obtain the sA for stability determinations in
these situations, take the square root of one-quarter of the sum of the
squares of the four 15-minute sA's, as illustrated in the footnote to
Table 9-2. While this approach is acceptable for determining stability,
sA's calculated in this manner are not likely to be suitable for input
to models under development that are designed to accept on-site hourly
s's based on 60-minute periods.
There has not been a widespread use of sE and sA to determine P-G
categories. As mentioned in the footnotes to Table 9-3, the techniques
outlined have not been extensively tested. The criteria listed in Table
9-3, are for sE and sA values at 10 m. For best results, the sE and sA
values should be for heights near the surface as close to 10 m as
practicable. Obstacles and large roughness elements may preclude
measurements as low as 10 m. If circumstances preclude measurements
below 30 m, the Regional Meteorologist should be consulted to determine
the appropriate measurements to be taken on a case-by-case basis. The
criteria listed in Tables 9-3 and 9-4 result from studies conducted in
relatively flat terrain in rather ideal circumstances. For routine
applications where conditions are often less than ideal, it is
recommended that a temporary program be initiated at each site to
spot-check the stability class estimates. Irwin's method using sE or sA
should be compared with P-G stability class estimates using on-site wind
speed and subjective assessments of the insolation based on ceiling
height and cloud cover. The Regional Meteorologist should be consulted
when using the spot-check results to refine and adjust the preliminary
criteria outlined in Tables 9-3 and 9-4.
In summary, when on-site data sets are being used, Pasquill-Gifford
stability categories should be determined from one of the following
schemes listed in the order of preference:
(1) Turner's 1964 method (54) using site-specific data which include
cloud cover, ceiling height and surface ( 10 m) wind speeds.
(2) sE from site-specific measurements and Table 9-3 (sE may be
determined from elevation angle measurements or may be estimated from
measurements of sw according to the transform: sE=sw/u (see page
9-17)).
(3) sA from site-specific measurements and Tables 9-3 and 9-4.
(4) Turner's 1964 method using site-specific wind speed with cloud
cover and ceiling height from a nearby NWS site.
9.3.4.1 Discussion.
Treatment of calm or light and variable wind poses a special problem
in model applications since Gaussian models assume that concentration is
inversely proportional to wind speed. Furthermore, concentrations
become unrealistically large when wind speeds less than 1 m/s are input
to the model. A procedure has been developed for use with NWS data to
prevent the occurrence of overly conservative concentration estimates
during periods of calms. This procedure acknowledges that a Gaussian
plume model does not apply during calm conditions and that our knowledge
of plume behavior and wind patterns during these conditions does not, at
present, permit the development of a better technique. Therefore, the
procedure disregards hours which are identified as calm. The hour is
treated as missing and a convention for handling missing hours is
recommended.
Preprocessed meteorological data input to most appendix A EPA models
substitute a 1.00 m/s wind speed and the previous direction for the calm
hour. The new treatment of calms in those models attempts to identify
the original calm cases by checking for a 1.00 m/s wind speed coincident
with a wind direction equal to the previous hour's wind direction. Such
cases are then treated in a prescribed manner when estimating short term
concentrations.
9.3.4.2 Recommendations.
Hourly concentrations calculated with Gaussian models using calms
should not be considered valid; the wind and concentration estimates
for these hours should be disregarded and considered to be missing.
Critical concentrations for 3, 8, and 24-hour averages should be
calculated by dividing the sum of the hourly concentration for the
period by the number of valid or nonmissing hours. If the total number
of valid hours is less than 18 for 24-hour averages, less than 6 for
8-hour averages or less than 3 for 3-hour averages, the total
concentration should be divided by 18 for the 24-hour average, 6 for the
8-hour average and 3 for the 3-hour average. For annual averages, the
sum of all valid hourly concentrations is divided by the number of
non-calm hours during the year. A post-processor computer program,
CALMPRO (73) has been prepared following these instructions and has been
hardwired in the following models: RAM, ISC, MPTER and CRSTER.
The recommendations above apply to the use of calms for short term
averages and do not apply to the determination of long term averages
using ''STAR'' data summaries. Calms should continue to be included in
the preparation of ''STAR'' summaries. A treatment for calms and very
light winds is built into the software that produces the ''STAR''
summaries.
Stagnant conditions, including extended periods of calms, often
produce high concentrations over wide areas for relatively long
averaging periods. The standard short term Gaussian models are often
not applicable to such situations. When stagnation conditions are of
concern, other modeling techniques should be considered on a
case-by-case basis. (See also Section 8.2.10)
When used in Gaussian models, measured on-site wind speeds of less
than 1 m/s but higher than the response threshold of the instrument
should be input as 1 m/s; the corresponding wind direction should also
be input. Observations below the response threshold of the instrument
are also set to 1 m/s but the wind direction from the previous hour is
used. If the wind speed or direction can not be determined, that hour
should be treated as missing and short term averages should then be
calculated as above.
Increasing reliance has been placed on concentration estimates from
models as the primary basis for regulatory decisions concerning source
permits and emission control requirements. In many situations, such as
review of a proposed source, no practical alternative exists.
Therefore, there is an obvious need to know how accurate models really
are and how any uncertainty in the estimates affects regulatory
decisions. EPA recognizes the need for incorporating such information
and has sponsored workshops (11, 74) on model accuracy, the possible
ways to quantify accuracy, and on considerations in the incorporation of
model accuracy and uncertainty in the regulatory process. The Second
(EPA) Conference on Air Quality Modeling, August 1982, (75) was devoted
to that subject.
Dispersion models generally attempt to estimate concentrations at
specific sites that really represent an ensemble average of numerous
repetitions of the same event. The event is characterized by measured
or ''known'' conditions that are input to the models, e.g., wind speed,
mixed layer height, surface heat flux, emission characteristics, etc.
However, in addition to the known conditions, there are unmeasured or
unknown variations in the conditions of this event, e.g., unresolved
details of the atmospheric flow such as the turbulent velocity field.
These unknown conditions, may vary among repetitions of the event. As a
result, deviations in observed concentrations from their ensemble
average, and from the concentrations estimated by the model, are likely
to occur even though the known conditions are fixed. Even with a
perfect model that predicts the correct ensemble average, there are
likely to be deviations from the observed concentrations in individual
repetitions of the event, due to variations in the unknown conditions.
The statistics of these concentration residuals are termed ''inherent''
uncertainty. Available evidence suggests that this source of
uncertainty alone may be responsible for a typical range of variation in
concentrations of as much as 50 percent. (76)
Moreover, there is ''reducible'' uncertainty (77) associated with the
model and its input conditions; neither models nor data bases are
perfect. Reducible uncertainties are caused by: (1) Uncertainties in
the input values of the known condition -- emission characteristics and
meteorological data; (2) errors in the measured concentrations which
are used to compute the concentration residuals; and (3) inadequate
model physics and formulation. The ''reducible'' uncertainties can be
minimized through better (more accurate and more representative)
measurements and better model physics.
To use the terminology correctly, reference to model accuracy should
be limited to that portion of reducible uncertainty which deals with the
physics and the formulation of the model. The accuracy of the model is
normally determined by an evaluation procedure which involves the
comparison of model concentration estimates with measured air quality
data. (78) The statement of accuracy is based on statistical tests or
performance measures such as bias, noise, correlation, etc. (11)
However, information that allows a distinction between contributions of
the various elements of inherent and reducible uncertainty is only now
beginning to emerge. As a result most discussions of the accuracy of
models make no quantitative distinction between (1) limitations of the
model versus (2) limitations of the data base and of knowledge
concerning atmospheric variability. The reader should be aware that
statements on model accuracy and uncertainty may imply the need for
improvements in model performance that even the ''perfect'' model could
not satisfy.
A number of studies (79, 80) have been conducted to examine model
accuracy, particularly with respect to the reliability of short-term
concentrations required for ambient standard and increment evaluations.
The results of these studies are not surprising. Basically, they
confirm what leading atmospheric scientists have said for some time:
(1) Models are more reliable for estimating longer time-averaged
concentrations than for estimating short-term concentrations at specific
locations; and (2) the models are reasonably reliable in estimating the
magnitude of highest concentrations occurring sometime, somewhere within
an area. For example, errors in highest estimated concentrations of 10
to 40 percent are found to be typical, (81) i.e., certainly well within
the often-quoted factor-of-two accuracy that has long been recognized
for these models. However, estimates of concentrations that occur at a
specific time and site, are poorly correlated with actually observed
concentrations and are much less reliable.
As noted above, poor correlations between paired concentrations at
fixed stations may be due to ''reducible'' uncertainties in knowledge of
the precise plume location and to unquantified inherent uncertainties.
For example, Pasquill (82) estimates that, apart from data input errors,
maximum ground-level concentrations at a given hour for a point source
in flat terrain could be in error by 50 percent due to these
uncertainties. Uncertainty of five to 10 degrees in the measured wind
direction, which transports the plume, can result in concentration
errors of 20 to 70 percent for a particular time and location, depending
on stability and station location. Such uncertainties do not indicate
that an estimated concentration does not occur, only that the precise
time and locations are in doubt.
The accuracy of model estimates varies with the model used, the type
of application, and site-specific characteristics. Thus, it is
desirable to quantify the accuracy or uncertainty associated with
concentration estimates used in decision-making. Communications between
modelers and decision-makers must be fostered and further developed.
Communications concerning concentration estimates currently exist in
most cases, but the communications dealing with the accuracy of models
and its meaning to the decision-maker are limited by the lack of a
technical basis for quantifying and directly including uncertainty in
decisions. Procedures for quantifying and interpreting uncertainty in
the practical application of such concepts are only beginning to evolve;
much study is still required. (74, 75, 77)
In all applications of models an effort is encouraged to identify the
reliability of the model estimates for that particular area and to
determine the magnitude and sources of error associated with the use of
the model. The analyst is responsible for recognizing and quantifying
limitations in the accuracy, precision and sensitivity of the procedure.
Information that might be useful to the decision-maker in recognizing
the seriousness of potential air quality violations includes such model
accuracy estimates as accuracy of peak predictions, bias, noise,
correlation, frequency distribution, spatial extent of high
concentration, etc. Both space/time pairing of estimates and
measurements and unpaired comparisons are recommended. Emphasis should
be on the highest concentrations and the averaging times of the
standards or increments of concern. Where possible, confidence
intervals about the statistical values should be provided. However,
while such information can be provided by the modeler to the
decision-maker, it is unclear how this information should be used to
make an air pollution control decision. Given a range of possible
outcomes, it is easiest and tends to ensure consistency if the
decision-maker confines his judgment to use of the ''best estimate''
provided by the modeler (i.e., the design concentration estimated by a
model recommended in this guideline or an alternate model of known
accuracy). This is an indication of the practical limitations imposed
by current abilities of the technical community.
To improve the basis for decision-making, EPA has developed and is
continuing to study procedures for determining the accuracy of models,
quantifying the uncertainty, and expressing confidence levels in
decisions that are made concerning emissions controls. (83, 84)
However, work in this area involves ''breaking new ground'' with slow
and sporadic progress likely. As a result, it may be necessary to
continue using the ''best estimate'' until sufficient technical progress
has been made to meaningfully implement such concepts dealing with
uncertainty.
A number of actions are being taken to ensure that the best model is
used correctly for each regulatory application and that a model is not
arbitrarily imposed. First, this guideline clearly recommends that the
most appropriate model be used in each case. Preferred models, based on
a number of factors, are identified for many uses. General guidance on
using alternatives to the preferred models is also provided. Second,
all the models in eight categories (i.e., rural, urban, industrial
complex, reactive pollutants, mobile source, complex terrain, visibility
and long-range transport) that are candidates for inclusion in this
guideline are being subjected to a systematic performance evaluation and
a peer scientific review. (85) The same data bases are being used to
evaluate all models within each of eight categories. Statistical
performance measures, including measures of difference (or residuals)
such as bias, variance of difference and gross variability of the
difference, and measures of correlation such as time, space, and time
and space combined as recommended by the AMS Woods Hole Workshop (11)
are being followed. The results of the scientific review are being
incorporated in this guideline and will be the basis for future
revision. (12, 13) Third, more specific information has been provided
for justifying the site-specific use of alternative models in the
document ''Interim Procedures for Evaluating Air Quality Models.'' (15)
This document provides a method, following recommendations of the Woods
Hole Workshop, that allows a judgment to be made as to what models are
most appropriate for a specific application. For the present,
performance and the theoretical evaluation of models are being used as
an indirect means to quantify one element of uncertainty in air
pollution regulatory decisions.
In addition to performance evaluation of models, sensitivity analyses
are encouraged since they can provide additional information on the
effect of inaccuracies in the data bases and on the uncertainty in model
estimates. Sensitivity analyses can aid in determining the effect of
inaccuracies of variations or uncertainties in the data bases on the
range of likely concentrations. Such information may be used to
determine source impact and to evaluate control strategies. Where
possible, information from such sensitivity analyses should be made
available to the decisionmaker with an appropriate interpretation of the
effect on the critical concentrations.
No specific guidance on the consideration of model uncertainty in
decisionmaking is being given at this time. There is incomplete
technical information on measures of model uncertainty that are most
relevant to the decisionmaker. It is not clear how a decisionmaker
could use such information, particularly given limitations of the Clean
Air Act. As procedures for considering uncertainty develop and become
implementable, this guidance will be changed and expanded. For the
present, continued use of the ''best estimate'' is acceptable and is
consistent with CAA requirements.
Procedures with respect to the review and analysis of air quality
modeling and data analyses in support of SIP revisions, PSD permitting
or other regulatory requirements need a certain amount of
standardization to ensure consistency in the depth and comprehensiveness
of both the review and the analysis itself. This section recommends
procedures that permit some degree of standardization while at the same
time allowing the flexibility needed to assure the technically best
analysis for each regulatory application.
Dispersion model estimates, especially with the support of measured
air quality data, are the preferred basis for air quality
demonstrations. Nevertheless, there are instances where the performance
of recommended dispersion modeling techniques, by comparison with
observed air quality data, may be shown to be less than acceptable.
Also, there may be no recommended modeling procedure suitable for the
situation. In these instances, emission limitations may be established
solely on the basis of observed air quality data. The same care should
be given to the analysis of the air quality data as would be applied to
a modeling analysis.
The current NAAQS for SO2, TSP, and CO are all stated in terms of a
concentration not to be exceeded more than once a year. There is only
an annual standard for NO2. The ozone standard was revised in 1979 and
that standard permits the exceedance of a concentration on an average of
not more than once a year, averaged over a 3-year period. (5, 86) This
represents a change from a deterministic to a more statistical form of
the standard and permits some consideration to be given to unusual
circumstances. The NAAQS are subjected to extensive review and possible
revision every 5 years.
This section discusses general requirements for concentration
estimates and identifies the relationship to emission limits. The
following recommendations apply to: (1) Revisions of State
Implementation Plans; (2) the review of new sources and the prevention
of significant deterioration (PSD); and (3) analyses of the emissions
trades (''bubbles'').
11.2.1 Analysis Requirements.
Every effort should be made by the Regional Office to meet with all
parties involved in either a SIP revision or a PSD permit application
prior to the start of any work on such a project. During this meeting,
a protocol should be established between the preparing and reviewing
parties to define the procedures to be followed, the data to be
collected, the model to be used, and the analysis of the source and
concentration data. An example of requirements for such an effort is
contained in the Air Quality Analysis Checklist included here as
appendix C. This checklist suggests the level of detail required to
assess the air quality resulting from the proposed action. Special
cases may require additional data collection or analysis and this should
be determined and agreed upon at this preapplication meeting. The
protocol should be written and agreed upon by the parties concerned,
although a formal legal document is not intended. Changes in such a
protocol are often required as the data collection and analysis
progresses. However, the protocol establishes a common understanding of
the requirements.
An air quality analysis should begin with a screening model to
determine the potential of the proposed source or control strategy to
violate the PSD increment or the NAAQS. It is recommended that the
screening techniques found in ''Procedures for Evaluating Air Quality
Impact of New Stationary Sources'' (18) be used for point source
analyses. Screening procedures for area source analysis are discussed
in ''Applying Atmospheric Simulation Models to Air Quality Maintenance
Areas.'' (87)
If the concentration estimates from screening techniques indicate
that the PSD increment or NAAQS may be approached or exceeded, then a
more refined modeling analysis is appropriate and the model user should
select a model according to recommendations in sections 4, 5, 6 or 7.
1n some instances, no refined technique may be specified in this guide
for the situation. The model user is then encouraged to submit a model
developed specifically for the case at hand. If that is not possible, a
screening technique may supply the needed results.
Regional Offices should require permit applicants to incorporate the
pollutant contributions of all sources into their analysis. Where
necessary this may include emissions associated with growth in the area
of impact of the new or modified source's impact. PSD air quality
assessments should consider the amount of the allowable air quality
increment that has already been granted to any other sources. The most
recent source applicant should be allowed the prerogative to remodel the
existing or permitted sources in addition to the one currently under
consideration. This would permit the use of newly acquired data or
improved modeling techniques if such have become available since the
last source was permitted. When remodeling, the worst case used in the
previous modeling analysis should be one set of conditions modeled in
the new analysis. All sources should be modeled for each set of
meteorological conditions selected and for all receptor sites used in
the previous applications as well as new sites specific to the new
source.
11.2.2 Use of Measured Data in Lieu of Model Estimates.
Modeling is the preferred method for determining emission limitations
for both new and existing sources. When a preferred model is available,
model results alone (including background) are sufficient. Monitoring
will normally not be accepted as the sole basis for emission limitation
determination in flat terrain areas. In some instances when the
modeling technique available is only a screening technique, the addition
of air quality data to the analysis may lend credence to model results.
There are circumstances where there is no applicable model, and
measured data may need to be used. Examples of such situations are:
(1) Complex terrain locations; (2) land/water interface areas; and (3)
urban locations with a large fraction of particulate emissions from
nontraditional sources. However, only in the case of an existing source
should monitoring data alone be a basis for emission limits. In
addition, the following items should be considered prior to the
acceptance of the measured data:
a. Does a monitoring network exist for the pollutants and averaging
times of concern;
b. Has the monitoring network been designed to locate points of
maximum concentration;
c. Do the monitoring network and the data reduction and storage
procedures meet EPA monitoring and quality assurance requirements;
d. Do the data set and the analysis allow impact of the most
important individual sources to be identified if more than one source or
emission point is involved;
e. Is at least one full year of valid ambient data available; and
f. Can it be demonstrated through the comparison of monitored data
with model results that available models are not applicable?
The number of monitors required is a function of the problem being
considered. The source configuration, terrain configuration, and
meteorological variations all have an impact on number and placement of
monitors. Decisions can only be made on a case-by-case basis. The
Interim Procedure for Evaluating Air Quality Models (15) should be used
in establishing criteria for demonstrating that a model is not
applicable.
Sources should obtain approval from the Regional Office or reviewing
authority for the monitoring network prior to the start of monitoring.
A monitoring protocol agreed to by all concerned parties is highly
desirable. The design of the network, the number, type and location of
the monitors, the sampling period, averaging time as well as the need
for meteorological monitoring or the use of mobile sampling or plume
tracking techniques, should all be specified in the protocol and agreed
upon prior to start-up of the network.
11.2.3.1 Design Concentrations.
Emission limits should be based on concentration estimates for the
averaging time that results in the most stringent control requirements.
The concentration used in specifying emission limits is called the
design value or design concentration and is a sum of the concentration
contributed by the source and the background concentration.
To determine the averaging time for the design value, the most
restrictive National Ambient Air Quality Standard (NAAQS) should be
identified by calculating, for each averaging time, the ratio of the
applicable NAAQS(S) minus background (B) to the predicted concentration
(P) (i.e., (S-B)/P). The averaging time with the lowest ratio identifies
the most restrictive standard. If the annual average is the most
restrictive, the highest estimated annual average concentration from one
or a number of years of data is the design value. When short term
standards are most restrictive, it may be necessary to consider a
broader range of concentrations than the highest value. For example,
for pollutants such as SO2, the highest, second-highest concentration is
the design value. For pollutants with statistically based NAAQS, the
design value is found by determining the value that is not expected to
be exceeded more than once per year over the period specified in the
standard.
When the highest, second-highest concentration is used in assessing
potential violations of a short term NAAQS, criteria that are identified
in ''Guideline for Interpretation of Air Quality Standards'' (88) should
be followed. This guideline specifies that a violation of a short term
standard occurs at a site when the standard is exceeded a second time.
Thus, emission limits that protect standards for averaging times of 24
hours or less are appropriately based on the highest, second-highest
estimated concentration plus a background concentration which can
reasonably be assumed to occur with the concentration.
11.2.3.2 Air Quality Standards.
For new or modified sources to be located in areas where the SO2,
TSP, lead, NO2, or CO NAAQS are being attained, the determination of
whether or not the source will cause or contribute to an air quality
violation should be based on (1) the highest estimated annual average
concentration determined from annual averages of individual years or (2)
the highest, second-highest estimated concentration for averaging times
of 24-hours or less. For lead, the highest estimated concentration
based on an individual calendar quarter averaging period should be used.
Background concentrations should be added to the estimated impact of
the source. The most restrictive standard should be used in all cases
to assess the threat of an air quality violation.
11.2.3.3 PSD Air Quality Increments and Impacts.
The allowable PSD increments for criteria pollutants are established
by regulation and cited in 40 CFR 51.24. These maximum allowable
increases in pollutant concentrations may be exceeded once per year at
each site, except for the annual increment that may not be exceeded.
The highest, second-highest increase in estimated concentrations for the
short term averages as determined by a model should be less than or
equal to the permitted increment. The modeled annual averages should
not exceed the increment.
Screening techniques defined in sections 4 and 5 can sometimes be
used to estimate short term incremental concentrations for the first new
source that triggers the baseline in a given area. However, when
multiple increment-consuming sources are involved in the calculation,
the use of a refined model with at least one year of on-site or five
years of off-site NWS data is normally required. In such cases,
sequential modeling must demonstrate that the allowable increments are
not exceeded temporally and spatially, i.e., for all receptors for each
time period throughout the year(s) (time period means the appropriate
PSD averaging time, e.g., 3-hour, 24-hour, etc.).
The PSD regulations require an estimation of the SO2 and TSP impact
on any Class I area. Normally, Gaussian models should not be applied at
distances greater than can be accommodated by the steady state
assumptions inherent in such models. The maximum distance for refined
Gaussian model application for regulatory purposes is generally
considered to be 50 km. Beyond the 50 km range, screening techniques
may be used to determine if more refined modeling is needed. If refined
models are needed, long range transport models should be considered in
accordance with section 7.2.6. As previously noted in sections 3 and 7,
the need to involve the Federal Land Manager in decisions on potential
air quality impacts, particularly in relation to PSD Class I areas,
cannot be overemphasized.
11.2.3.4 Emissions Trading Policy (Bubbles).
EPA's Emissions Trading Policy, commonly referred to as the ''bubble
policy,'' was proposed in the Federal Register on April 7, 1982. (89)
Until a final policy is promulgated, principles contained in the
proposal should be used to evaluate trading activities which become ripe
for decision. Certain technical clarifications of the policy, including
procedures for modeling bubbles, were provided to the Regional Offices
in February, 1983. (90)
Emission increases and decreases within the bubble should result in
ambient air quality equivalence. Two levels of analysis are defined for
establishing this equivalence. In a Level I analysis the source
configuration and setting must meet certain limitations (defined in the
policy and clarification to the policy) that ensure ambient equivalence;
no modeling is required. In a Level II analysis a modeling
demonstration of ambient equivalence is required but only the sources
involved in the emissions trade are modeled. The resulting ambient
estimates of net increases/decreases are compared to a set of
significance levels to determine if the bubble can be approved. A Level
II analysis requires the use of a refined model and one year of
representative meteorological data. Sequential modeling must
demonstrate that the significance levels are met temporally and
spatially, i.e., for all receptors for each time period throughout the
year (time period means the appropriate NAAQS averaging time, e.g.,
3-hour, 24-hour, etc.)
For those bubbles that cannot meet the Level I or Level II
requirements, the Emissions Trading Policy allows for a Level III
analysis. A Level III analysis, from a modeling standpoint, is
equivalent to the requirements for a standard SIP revision where all
sources (and background) are considered and the estimates are compared
to the NAAQS as in section 11.2.3.2.
The Emissions Trading Policy allows States to adopt generic
regulations for processing bubbles. The modeling procedures recommended
in this guideline apply to such generic regulations. However, an added
requirement is that the modeling procedures contained in any generic
regulation must be replicable such that there is no doubt as to how each
individual bubble will be modeled. In general this means that the
models, the data bases and the procedures for applying the model must be
defined in the regulation. The consequences of the replicability
requirement are that bubbles for sources located in complex terrain and
certain industrial sources where judgments must be made on source
characterization cannot be handled generically.
1. CFR title 40 part 51, 1982. Protection of the Environment;
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82. Pasquill, F., 1974. Atmospheric Diffusion, 2nd Edition. John
Wiley and Sons, New York, NY, 479 pp.
83. Hillyer, M.J. and C.S. Burton, 1980. The ExEx Methods:
Incorporating Variability in Sulfur Dioxide Emissions Into Power Plant
Impact Assessment. Systems Applications, Inc., San Rafael, CA.
Prepared under Contract No. 68-01-3957 for Environmental Protection
Agency, Research Triangle Park, NC. (Docket Reference No. II-B-37).
84. Thrall, A.D., T.E. Stoeckenius and C.S. Burton, 1985. A Method
for Calculating Dispersion Modeling Uncertainty Applied to the
Regulation of an Emission Source. Systems Applications, Inc., San
Rafael, CA. Prepared for the U.S. Environmental Protection Agency,
Research Triangle Park, NC. (Docket Reference No. IV-G-I).
85. Environmental Protection Agency, 1981. Plan for Evaluating Model
Performance. Staff Report. U.S. Environmental Protection Agency,
Research Triangle Park, NC. (Docket Reference No. II-G-6).
86. Environmental Protection Agency, 1979. Guideline for the
Interpretation of Ozone Air Quality Standards. EPA Publication No. EPA
450/4-79-003. U.S. Environmental Protection Agency, Research Triangle
Park, NC. (NTIS No. PB 292271).
87. Environmental Protection Agency, 1974. Guidelines for Air
Quality Maintenance Planning and Analysis, Volume 12: Applying
Atmospheric Simulation Models to Air Quality Maintenance Areas. EPA
Publication No. EPA-450/4-74-013. U.S. Environmental Protection Agency,
Research Triangle Park, NC. (NTIS No. PB 237750).
88. Environmental Protection Agency, 1977. Guidelines for
Interpretation of Air Quality Standards (Revised). OAQPS No. 1.2-008.
U.S. Environmental Protection Agency, Research Triangle Park, NC. (NTIS
No. PB 81-196420).
89. Environmental Protection Agency, 1982. Emissions Trading Policy
Statement; General Principles for Creation, Banking, and Use of
Emission Reduction Credits. Federal Register, 47(67):15076-15086.
90. Meyer, S., 1983. Memorandum of February 17 to Regional Office Air
Management Division Directors, Emissions Trading Policy Technical
Clarifications. Office of Air, Noise and Radiation, U.S. Environmental
Protection Agency, Washington, DC. (Docket Reference No. II-B-34).
91. Environmental Research and Technology, 1987. User's Guide to the
Rough Terrain Diffusion Model (RTDM), Rev. 3.20. ERT Document No.
P-D535-585. Environmental Research and Technology, Inc., Concord, MA.
(Docket Reference No. IV-D-5).
92. Hanna, S.R., L.L. Schulman, R.J. Paine and J.E. Pleim, 1984. The
Offshore and Coastal Dispersion (OCD) Model User's Guide, Revised. OCS
Study, MMS 84-0069. Environmental Research and Technology, Inc.,
Concord, MA. (NTIS PB 86-159803).
American Meteorological Society, 1971-1985. Symposia on Turbulence,
Diffusion, and Air Pollution (1st-7th). Boston, MA.
American Meteorological Society, 1977-1984. Joint Conferences on
Applications of Air Pollution Meteorology (1st-4th). Sponsored by the
American Meteorological Society and the Air Pollution Control
Association. Boston, MA.
American Meteorological Society, 1978. Accuracy of Dispersion
Models. Bulletin of the American Meteorological Society,
59(8):1025-1026.
American Meteorological Society, 1981. Air Quality Modeling and the
Clean Air Act: Recommendations to EPA on Dispersion Modeling for
Regulatory Applications. Boston, MA.
Briggs, G. A., 1969. Plume Rise. U.S. Atomic Energy Commission
Critical Review Series, Oak Ridge National Laboratory, Oak Ridge, TN.
Dickerson, W. H. and P. H. Gudiksen, 1980. ASCOT FY 79 Program
Report. Report UCRL-52899, ASCOT 80-1. Lawrence Livermore National
Laboratory, Livermore, CA.
Drake, R. L. and S. M. Barrager, 1979. Mathematical Models for
Atmospheric Pollutants. EPRI EA-1131. Electric Power Research
Institute, Palo Alto, CA.
Environmental Protection Agency, 1978. Workbook for Comparison of
Air Quality Models. EPA Publication No. EPA-450/2-78-028a and b. U.S.
Environmental Protection Agency, Research Triangle Park, NC.
Fox, D. G., and J. E. Fairobent, 1981. NCAQ Panel Examines Uses
and Limitations of Air Quality Models. Bulletin of the American
Meteorological Society, 62(2):218-221.
Gifford, F.A., 1976. Turbulent Diffusion Typing Schemes: A Review.
Nuclear Safety, 17(1):68-86.
Gudiksen, P. H., and M. H. Dickerson, Eds., Executive Summary:
Atmospheric Studies in Complex Terrain Technical Progress Report FY-1979
Through FY-1983. Lawrence Livermore National Laboratory, Livermore, CA.
(Docket Reference No. II-I-103).
Hales, J. M., 1976. Tall Stacks and the Atmospheric Environment.
EPA Publication No. EPA-450/3-76-007. U.S. Environmental Protection
Agency, Research Triangle Park, NC.
Hanna, S. R., G. A. Briggs, J. Deardorff, B. A. Egan, G. A.
Gifford and F. Pasquill, 1977. AMS Workshop on Stability
Classification Schemes and Sigma Curves -- Summary of Recommendations.
Bulletin of the American Meteorological Society, 58(12):1305-1309.
Hanna, S.R., G.A. Briggs and R.P. Hosker, Jr., 1982. Handbook on
Atmospheric Diffusion. Technical Information Center, U.S. Department of
Energy, Washington, D.C.
Haugen, D.A., Workshop Coordinator, 1975. Lectures on Air Pollution
and Environmental Impact Analyses. Sponsored by the American
Meteorological Society, Boston, MA.
Hoffnagle, G. F., M. E. Smith, T. V. Crawford and T. J. Lockhart,
1981. On-site Meteorological Instrumentation Requirements to
Characterize Diffusion from Point Sources -- A Workshop, 15-17 January
1980, Raleigh, NC. Bulletin of the American Meteorological Society,
62(2):255-261.
McMahon, R. A. and P. J. Denison, 1979. Empirical Atmospheric
Deposition Parameters -- A Survey. Atmospheric Environment, 13:571-585.
McRae, G. J., J. A. Leone and J. H. Seinfeld, 1983. Evaluation of
Chemical Reaction Mechanisms for Photochemical Smog. Part I: Mechanism
Descriptions and Documentation. EPA Publication No. EPA-600/3/83-086.
U.S. Environmental Protection Agency, Research Triangle Park, NC.
Pasquill, F. and F. B. Smith, 1983. Atmospheric Diffusion, 3rd
Edition. Ellis Horwood Limited, Chichester, West Sussex, England, 438
pp.
Roberts, J. J., Ed., 1977. Report to U.S. EPA of the Specialists'
Conference on the EPA Modeling Guideline. U.S. Environmental Protection
Agency, Research Triangle Park, NC.
Randerson, D., Ed., 1984. Atmospheric Science and Power Production.
DOE/TIC-27601. Office of Scientific and Technical Information, U.S.
Department of Energy, Oak Ridge, TN.
Smith, M. E., Ed., 1973. Recommended Guide for the Prediction of the
Dispersion of Airborne Effluents. The American Society of Mechanical
Engineers, New York, NY.
Stern, A. C., Ed., 1976. Air Pollution, Third Edition, Volume I:
Air Pollutants, Their Transformation and Transport. Academic Press, New
York, NY.
Turner, D. B., 1979. Atmospheric Dispersion Modeling: A Critical
Review. Journal of the Air Pollution Control Association,
29(5):502-519.
Whiteman, C. D. and K. J. Allwine, 1982. Green River Ambient Model
Assessment Program FY-1982 Progress Report. PNL-4520. Pacific Northwest
Laboratory, Richland, WA.
Air Quality -- Ambient pollutant concentrations and their temporal
and spatial distribution.
Algorithm -- A specific mathematical calculation procedure. A model
may contain several algorithms.
Background -- Ambient pollutant concentrations due to (1) natural
sources, (2) nearby sources other than the one(s) currently under
consideration; and (3) unidentified sources.
Calibrate -- An objective adjustment using measured air quality data
(e.g., an adjustment based on least-squares linear regression).
Calm -- For purposes of air quality modeling, calm is used to define
the situation when the wind is indeterminate with regard to speed or
direction.
Complex Terrain -- Terrain exceeding the height of the stack being
modeled.
Computer Code -- A set of statements that comprise a computer
program.
Evaluate -- To appraise the performance and accuracy of a model based
on a comparison of concentration estimates with observed air quality
data.
Fluid Modeling -- Modeling conducted in a wind tunnel or water
channel to quantitatively evaluate the influence of buildings and/or
terrain on pollutant concentrations.
Fugitive Dust -- Dust discharged to the atmosphere in an unconfined
flow stream such as that from unpaved roads, storage piles and heavy
construction operations.
Model -- A quantitative or mathematical representation or simulation
which attempts to describe the characteristics or relationships of
physical events.
Preferred Model -- A refined model that is recommended for a specific
type of regulatory application.
Receptor -- A location at which ambient air quality is measured or
estimated.
Receptor Models -- Procedures that examine an ambient monitor sample
of particulate matter and the conditions of its collection to infer the
types or relative mix of sources impacting on it during collection.
Refined Model -- An analytical technique that provides a detailed
treatment of physical and chemical atmospheric processes and requires
detailed and precise input data. Specialized estimates are calculated
that are useful for evaluating source impact relative to air quality
standards and allowable increments. The estimates are more accurate
than those obtained from conservative screening techniques.
Rollback -- A simple model that assumes that if emissions from each
source affecting a given receptor are decreased by the same percentage,
ambient air quality concentrations decrease proportionately.
Screening Technique -- A relatively simple analysis technique to
determine if a given source is likely to pose a threat to air quality.
Concentration estimates from screening techniques are conservative.
Simple Terrain -- An area where terrain features are all lower in
elevation than the top of the stack of the source.
/1/ The RTDM model is available as part of Change 3 to UNAMAP Version
6.
/1/ 45 FR 80084.
/2/ 40 CFR 51.300-307
/1/ The EPA refined formula height is defined as H+l.5L (refer to
reference 46).
/1/ Malfunctions which may result in excess emissions are not
considered to be a normal operating condition. They generally should
not be considered in determining allowable emissions. However, if the
excess emissions are the result of poor maintenance, careless operation,
or other preventable conditions, it may be necessary to consider them in
determining source impact.
/1/ For purposes of PSD, the location of monitors as well as data
quality assurance procedures must satisfy requirements listed in the PSD
Monitoring Guidelines. (63)
/1/ Documents not available in the open literature or from the
National Technical Information Service (NTIS) have been placed in Docket
No. A-80-46. Docket Reference Numbers for documents placed in the
docket are shown at the end of the reference.
/1/ The documents listed here are major sources of supplemental
information on the theory and application of mathematical air quality
models.
40 CFR 266.112 -- -- Pt. 266, App. X, App. A
A.0 Introduction
A.1 Buoyant line and point source dispersion model (BLP)
A.2 Caline 3
A.3 Climatological dispersion model (CDM 2.0)
A.4 Gaussian-Plume multiple source air quality algorithm (RAM)
A.5 Industrial source complex model (ISC)
A.6 Multiple point Gaussian dispersion algorithm with terrain
adjustment (MPTER)
A.7 Single source (CRSTER) model
A.8 Urban airshed model (UAM)
A.9 Offshore and coastal dispersion model (OCD)
A.REF References
This appendix summarizes key features of refined air quality models
preferred for specific regulatory app1ications. For each model,
information is provided on availability, approximate cost in 1986 /1/ ,
regulatory use, data input, output format and options, simulation of
atmospheric physics, and accuracy. These models may be used without a
formal demonstration of applicability provided they satisfy the
recommendations for regulatory use; not all options in the models are
necessarily recommended for regulatory use. The models are listed by
name in alphabetical order.
Each of these models has been subjected to a performance evaluation
using comparisons with observed air quality data. A summary of such
comparisons for all models contained in this appendix is included in ''A
Survey of Statistical Measures of Model Performance and Accuracy for
Several Air Quality Models,'' EPA-450/4-83-001. Where possible, several
of the models contained herein have been subjected to evaluation
exercises, including (1) statistical performance tests recommended by
the American Meteorological Society and (2) peer scientific reviews.
The models in this appendix have been selected on the basis of the
results of the model evaluations, experience with previous use,
familiarity of the model to various air quality programs, and the costs
and resource requirements for use.
Schulman, Lloyd L., and Joseph S. Scire, 1980. Buoyant Line and
Point Source (BLP) Dispersion Model User's Guide. Document P-7304B.
Environmental Research and Technology, Inc., Concord, MA. (NTIS PB
81-164642)
This model is available as part of UNAMAP (Version 6). The computer
code is available on magnetic tape from: Computer Products, National
Technical Information Service, U.S. Department of Commerce, Springfield,
Virginia 22161, phone (703) 487-4650.
BLP is a Gaussian plume dispersion model designed to handle unique
modeling problems associated with aluminum reduction plants, and other
industrial sources where plume rise and downwash effects from stationary
line sources are important.
The BLP mode1 is appropriate for the following applications:
Aluminum reduction plants which contain buoyant, elevated line
sources;
Rural areas;
Transport distances less than 50 kilometers;
Simple terrain; and
One hour to one year averaging times.
The following options should be selected for regulatory applications:
Rural (IRU=1) mixing height option;
Default (no selection) for plume rise wind shear (LSHEAR),
transitional point source plume rise (LTRANS), vertical potential
temperature gradient (DTHTA), vertical wind speed power law profile
exponents (PEXP), maximum variation in number of stability classes per
hour (IDELS), pollutant decay (DECFAC), the constant in Briggs' stable
plume rise equation (CONST2), constant in Briggs' neutral plume rise
equation (CONST3), con-vergence criterion for the line source
calculations (CRIT), and maximum iterations allowed for line source
calculations (MAXIT); and
Terrain option (TERAN) set equal to 0., 0., 0., 0., 0., 0.
For other applications, BLP can be used if it can be demonstrated to
give the same estimates as a recommended model for the same application,
and will subsequently be executed in that mode.
BLP can be used on a case-by-case basis with specific options not
available in a recommended model if it can be demonstrated, using the
criteria in section 3.2, that the model is more appropriate for a
specific application.
Source data: Point sources require stack location, elevation of
stack base, physical stack height, stack inside diameter, stack gas exit
velocity, stack gas exit temperature, and pollutant emission rate. Line
sources require coordinates of the end points of the line, release
height, emission rate, average line source width, average building
width, average spacing between buildings, and average line source
buoyancy parameter.
Meteorological data: Hourly surface weather data from punched cards
or from the preprocessor program RAMMET which provides hourly stability
class, wind direction, wind speed, temperature, and mixing height.
Receptor data: Locations and elevations of receptors, or location
and size of receptor grid or request automatically generated receptor
grid.
Printed output (from a separate post-processor program) includes:
Total concentration or, optionally, source contribution analysis;
monthly and annual frequency distributions for 1-, 3-, and 24-hour
average concentrations; tables of 1-, 3-, and 24-hour average
concentrations at each receptor; table of the annual (or length of run)
average concentrations at each receptor;
Five highest 1-, 3-, and 24-hour average concentrations at each
receptor; and
Fifty highest 1-, 3-, and 24-hour concentrations over the receptor
field.
BLP is a Gaussian plume model.
BLP may be used to model primary pollutants. This model does not
treat settling and deposition.
BLP treats up to 50 point sources, 10 parallel line sources, and 100
receptors arbitrarily located.
User-input typographic elevation is applied for each stack and each
receptor.
BLP uses plume rise formulas of Schulman and Scire (1980).
Vertical potential temperature gradients of .02 Kelvin per meter for
E stability and .035 Kelvin per meter are used for stable plume rise
calculations. An option for user input values is included.
Transitional rise is used for line sources.
Option to suppress the use of transitional plume rise for point
sources is included.
The building downwash algorithm of Schulman and Scire (1980) is used.
Constant, uniform (steady-state) wind is assumed for an hour.
Straight line plume transport is assumed to all downwind distances.
Wind speeds profile exponents of .10, .15, .20, .25, .30, and .30 are
used for stability classes A through F, respectively. An option for
user-defined values and an option to suppress the use of the wind speed
profile feature are included.
Vertical wind speed is assumed equal to zero.
Rural dispersion coefficients are from Turner (1969), with no
adjustment made for variations in surface roughness or averaging time.
Six stability classes are used.
Rural dispersion coefficients are from Turner (1969), with no
adjustment made for variations in surface roughness.
Six stability classes are used.
Mixing height is accounted for with multiple reflections until the
vertical plume standard deviation equals 16 times the mixing height;
uniform mixing is assumed beyond that point.
Perfect reflection at the ground is assumed.
Chemical transformations are treated using linear decay. Decay rate
is input by the user.
Physical removal is not explicitly treated.
Schulman, L. L., and J. S. Scire, 1980. Buoyant Line and Point
Source (BLP) Dispersion Model User's Guide, P-7304B. Environmental
Research and Technology, Inc., Concord, MA.
Scire, J. S., and L. L. Schulman, 1981. Evaluation of the BLP and
ISC Models with SF6 Tracer Data and SO2 Measurements at Aluminum
Reduction Plants. APCA Specialty Conference on Dispersion Modeling for
Complex Sources, St. Louis, MO.
Benson, Paul E. 1979. CALINE3 -- A Versatile Dispersion Model for
Predicting Air Pollutant Levels Near Highways and Arterial Streets.
Interim Report, Report Number FHWA/CA/TL-79/23. Federal Highway
Administration, Washington, DC (NTIS PB80-220841).
The CALINE3 model computer tape is available from NTIS as
PB80-220833. The model is also available from the California Department
of Transportation (manual free of charge and approximately $50 for the
computer tape). Requests should be directed to: Mr. Marlin Beckwith,
Chief, Office of Computer Systems, California Department of
Transportation, 1120 N. Street, Sacramento, California 95814.
CALINE3 can be used to estimate the concentrations of nonreactive
pollutants from highway traffic. This steady-state Gaussian model can
be applied to determine air pollution concentrations at receptor
locations downwind of ''at-grade,'' ''fill,'' ''bridge,'' and ''cut
section'' highways located in relatively uncomplicated terrain. The
model is applicable for any wind direction, highway orientation, and
receptor location. The model has adjustments for averaging time and
surface roughness, and can handle up to 20 links and 20 receptors. It
also contains an algorithm for deposition and settling velocity so that
particulate concentrations can be predicted.
CALINE-3 is appropriate for the following applications:
Highway (line) sources;
Urban or rural areas;
Simple terrain;
Transport distances less than 50 kilometers; and
One hour to 24 hours averaging times.
Source data: Up to 20 highway links classed as ''at-grade,''
''fill'' ''bridge,'' or ''depressed''; coordinates of link end points;
traffic volume; emission factor; source height; and mixing zone
width.
Meteorological data: Wind speed, wind angle (measured in degrees
clockwise from the Y axis), stability class, mixing height, ambient
(background to the highway) concentration of pollutant.
Receptor data: coordinates and height above ground for each
receptor.
Printed output includes:
Concentration at each receptor for the specified meteorological
condition.
CALINE-3 is a Gaussian plume model.
CALINE-3 may be used to model primary pollutants.
Up to 20 highway links are treated.
CALINE-3 applies user input location and emission rate for each link.
User-input receptor locations are applied.
Plume rise is not treated.
User-input hourly wind speed and direction are applied.
Constant, uniform (steady-state) wind is assumed for an hour.
Vertical wind speed is assumed equal to zero.
Six stability classes are used.
Rural dispersion coefficients from Turner (1969) are used, with
adjustment for roughness length and averaging time.
Initial traffic-induced dispersion is handled implicitly by plume
size parameters.
Six stability classes are used.
Empirical dispersion coefficients from Benson (1979) are used
including an adjustment for roughness length.
Initial traffic-induced dispersion is handled implicitly by plume
size parameters.
Adjustment for averaging time is included.
Not treated.
Optional deposition calculations are included.
n. Evaluation Studies
Bemis, G. R., et. al, 1977. Air Pollution and Roadway Location,
Design, and Operation -- Project Overview. FHWA-CA-TL-7080-77-25,
Federal Highway Administration, Washington, DC.
Cadle, S. H., et. al, 1976. Results of the General Motors Sulfate
Dispersion Experiment, GMR-2107. General Motors Research Laboratories,
Warren, MI.
Dabberdt, W. F., 1975. Studies of Air Quality on and Near Highways,
Project 2761. Stanford Research Institute, Menlo Park, CA.
Irwin, J.S., T. Chico, and J. Catalano 1985. CDM 2.0 --
Climatological Dispersion Model -- User's Guide. U. S. Environmental
Protection Agency, Research Triangle Park, N.C. (NTIS PB86-136546)
This model is available as part of UNAMAP (Version 6). The computer
code is available on magnetic tape from: Computer Products, National
Technical Information Service, U.S. Department of Commerce, Springfield,
Virginia 22161, phone (703) 487-4650.
CDM is a climatological steady-state Gaussian plume model for
determining long-term (seasonal or annual) arithmetic average pollutant
concentrations at any ground-level receptor in an urban area.
CDM is appropriate for the following applications:
Point and area sources;
Urban areas;
Flat terrain;
Transport distancesless than 50 kilometers;
Long term averages over one month to one year or longer.
The following option should be selected for regulatory applications:
Set the regulatory ''default option'' (NDEF=1) which automatically
selects stack tip downwash, final plume rise, buoyancy-induced
dispersion (BID), and the appropriate wind profile exponents.
Enter ''0'' for pollutant half-life for all pollutants except for SO2
in an urban setting. This entry results in no decay (infinite
half-life) being calculated. For SO2 in an urban setting, the pollutant
half-life (in hours) should be set to 4.0.
Source data: Location, average emissions rates and heights of
emissions for point and area sources. Point source data requirements
also include stack gas temperature, stack gas exit velocity, and stack
inside diameter for plume rise calculations for point sources.
Meteorological data: Stability wind rose (STAR deck day/night
version), average mixing height and wind speed in each stability
category, and average air temperature.
Receptor data: cartesian coordinates of each receptor.
Printed output includes:
Average concentrations for the period of the stability wind rose data
(arithmetic mean only) at each receptor, and
Optional point and area concentration rose for each receptor.
CDM is a climatological Gaussian plume model.
CDM may be used to model primary pollutants. Settling and deposition
are not treated.
CDM applies user-specified locations for all point sources and
receptors.
Area sources are input as multiples of a user-defined unit area
source grid size.
User specified release heights are applied for individual point
sources and the area source grid.
Actual separation between each source-receptor pair is used.
The user may select a sing1e height at or above ground level that
applies to all receptors.
No terrain differences between source and receptor are treated.
CDM uses Briggs (1969, 1971, 1975) plume rise equations. Optionally
a plume rise-wind speed product may be input for each point source.
Stack tip downwash equation from Briggs (1974) is preferred for
regulatory use. The Bjorklund and Bowers (1982) equation is also
included.
No plume rise is calculated for area sources.
Does not treat fumigation or building downwash.
Wind data are input as a stability wind rose (joint frequency
distribution of 16 wind directions, 6 wind classes, and 5 stability
classes).
Wind speed profile exponents for the urban case (EPA, 1980) are used,
assuming the anemometer height is at 10.0 meters.
Vertical wind speed is assumed equal to zero.
Pollutants are assumed evenly distributed across a 22.5 or 10.0
degree sector.
There are seven vertical dispersion parameter schemes, but the
following is recommended for regulatory applications: Briggs-urban
(Gifford, 1976).
Mixing height has no effect until dispersion coefficient equals 0.8
times the mixing height; uniform vertical mixing is assumed beyond that
point.
Buoyancy-induced disperion (Pasquill, 1976) is included as an option.
Perfect reflection is assumed at the ground.
Chemical transformations are treated using exponential decay.
Half-life is input by the user.
Physical removal is not explicitly treated.
Irwin, J. S., and T. M. Brown, 1985. A Sensitivity Analysis of the
Treatment of Area Sources by the Climatological Dispersion Model,
Journal of Air Pollution Control Association, 35:359-364.
Londergan, R., D. Minott, D. Wachter and R. Fizz, 1983. Evaluation
of Urban Air Quality Simulation Models, EPA Publication No. EPA
450/4-83-020, U.S. Environmental Protection Agency, Research Triangle
Park, NC
Busse, A. D. and J. R. Zimmerman, 1973. User's Guide for the
Climatological Dispersion Model -- Appendix E. EPA Publication No. EPA
R4-73-024. Office of Research and Development Research Triangle Park,
NC.
Zimmerman, J. R., 1971. Some Preliminary Results of Modeling from
the Air Pollution Study of Ankara, Turkey, Proceedings of the Second
Meeting of the Expert Panel on Air Pollution Modeling, NATO Committee on
the Challenges of Modern Society, Paris, France.
Zimmerman, J. R., 1972. The NATO/CCMS Air Pollution Study of St.
Louis, Missouri. Presented at the Third Meeting of the Expert Panel on
Air Pollution Modeling, NATO Committee on the Challenges of Modern
Society, Paris, France.
Turner, D. B., and J. H. Novak, 1978. User's Guide for RAM.
Publication No. EPA-600/8-78-016 Vols a, and b. U.S. Environmental
Protection Agency, Research Triangle Park, NC. (NTIS PB 294791 and PB
294792).
Catalano, J. A., D. B. Turner, and H. Novak, 1987. User's Guide
for RAM -- Second Edition. U.S. Environmental Protection Agency,
Research Triangle Park, NC. (Distributed as part of UNAMAP, Version 6,
Documentation)
This model is available as part of UNAMAP (Version 6). The computer
code is available on magnetic tape from: Computer Products National
Technical Information Service : U. S. Department of Commerce,
Springfield, Virginia 22161 Phone (703) 487-4650
RAM is a steady-state Gaussian plume model for estimating
concentrations of relatively stable pollutants, for averaging times from
an hour to a day, from point and area sources in a rural or urban
setting. Level terrain is assumed. Calculations are performed for each
hour.
RAM is appropriate for the following applications:
Point and area sources;
Urban areas;
Flat terrain;
Transport distances less than 50 kilometers; and
One hour to one year averaging times.
The following options should be selected for regulatory applications:
Set the regulatory ''default option'' to automatically select stack
tip downwash, final plume rise, buoyancy-induced dispersion (BID), a
treatment for calms, the appropriate wind profile exponents, and the
appropriate value for pollutant half-life.
Source data: Point sources require location, emission rate, physical
stack height, stack gas exit velocity, stack inside diameter and stack
gas temperature. Area sources require location, size, emission rate,
and height of emissions.
Meteorological data: Hourly surface weather data from the
preprocessor program RAMMET which provides hourly stability class, wind
direction, wind speed, temperature, and mixing height. Actual
anemometer height (a single value) is also required.
Receptor data: Coordinates of each receptor. Options for automatic
placement of receptors near expected concentration maxima, and a gridded
receptor array are included.
Printed output optionally includes:
One to 24-hour and annual average concentrations at each receptor,
Limited individual source contribution list, and
Highest through fifth highest concentrations at each receptor for
period, with the highest and high, second-high values flagged.
RAM is a Gaussian plume model.
RAM may be used to model primary pollutants. Settling and deposition
are not treated.
RAM applies user-specified locations for all point sources and
receptors.
Area sources are input as multiples of a user-defined unit area
source grid size.
User specified stack heights are applied for individual point
sources.
Up to 3 effective release heights may be specified for the area
sources. Area source release heights are assumed to be appropriate for
a 5 meter per second wind and to be inversely proportional to wind
speed.
Actual separation between each source-receptor pair is used.
All receptors are assumed to be at the same height at or above ground
level.
No terrain differences between source and receptor are accounted for.
RAM uses Briggs (1969, 1971, 1975) plume rise equations for final
rise.
Stack tip downwash equation from Briggs (1974) is used.
A user supplied fraction of the area source height is treated as the
physical height. The remainder is assumed to be plume rise for a 5
meter per second wind speed, and to be inversely proportional to wind
speed.
Fumigation and building downwash are not treated.
Constant, uniform (steady state) wind is assumed for an hour.
Straight line plume transport is assumed to all downwind distances.
Separate wind speed profile exponents (EPA, 1980) for urban cases are
used.
Vertical wind speed is assumed equal to zero.
Urban dispersion coefficients from Briggs (Gifford, 1976) are used.
Buoyancy-induced dispersion (Pasquill, 1976) is included.
Six stability classes are used.
Urban dispersion coefficients from Briggs (Gifford, 1976) are used.
Buoyancy-induced dispersion (Pasquill, 1976) is included.
Six stability classes are used.
Mixing height is accounted for with multiple reflections until the
vertical plume standard deviation equals 1.6 times the mixing height;
uniform vertical sizing is assumed beyond that point.
Perfect reflection is assumed at the ground.
Chemica1 transformationsare treated using exponential decay.
Half-life is input by the user.
Physical removal is not explicitly treated.
Ellis, H., P. Lou, and G. Dalzell, 1980. Comparison Study of
Measured and Predicted Concentrations with the RAM Model at Two Power
Plants Along Lake Erie, Second Joint Conference on Applications of Air
Pollution Meteorology, New Orleans, LA.
Environmental Research and Technology, 1980. SO2 Monitoring and RAM
(Urban) Model Comparison Study in Summit County, Ohio. Document
P-3618-152, Envirommental Research & Technology. Inc.. Concord, MA,
1980.
Guldberg, P. H., and C. W. Kern, 1978. A Comparison Validation of
the RAM and PTMTP Models for Short-Term Concentrations in Two Urban
Areas, Journal of Air Pollution Control Association, 28:907-910.
Hodanbosi, R. R., and L. K. Peters, 1981. Evaluation of RAM Model
for Cleveland, Ohio,'' Journal of Air Pollution Control Association,
31:253-255,
Kennedy, K. H., R. D. Siegel, and M. P. Steinberg, 1981.
Case-Specific Evaluation of the RAM Atmospheric Dispersion Model in an
Urban Area, 74th Annual Meeting of the American Institute of Chemical
Engineers, New Orleans, LA.
Kummier, R. H.. B. Cho, G. Roginski, R. Sinha and A. Greenburg.
1979. A Comparative Validation of the RAM and Modified SAI Models for
Short-Term 502 Concentrations in Detroit,'' Journal of Air Pollution
Control Association, 29:720-723.
Londergan, R. J., N. E. Bowne, D. R. Murray, H. Borenstein, and J.
Mangano, 1980. An Evaluation of Short-Term Air Quality Models Using
Tracer Study Data, Report No. 4333, American Petroleum Institute,
Washington, DC.
Morgenstern, P., M. J. Geraghty, and A. McKnight, 1979. A
Comparative Study of the RAM (Urban) and RAMR (Rural) Models for
Short-term SO2 Concentrations in Metropolitan Indianapolis. 72nd Annual
Meeting of the Air Pollution Control Association, Cincinnati, OH.
Ruff, R. E, 1980. Evaluation of the RAM Using the RAPS Data Base,
Contract 68-02-2770, SRI International, Menlo Park, CA.
Londergan, R., D. Minott, D. Wackter, and R. Fizz, 1983.
Evaluation of Urban Air Quality Simulation Models. EPA Publication No.
EPA 450/4-83-020, U.S. Environmental Protection Agency, Research
Triangle Park, NC.
Environmental Protection Agency, 1986. Industrial Source Complex
(ISC) Dispersion Model User's Guide, Second Edition, Volumes 1 and 2.
Publication Nos. EPA-450/4-86-005a, and -005b. U.S. Environmental
Protection Agency, Research Triangle Park, NC. (NTIS PB86 234259 and
PB86 234267).
Environmental Protection Agency, 1987. Industrial Source Complex
(ISC) Dispersion Model. Addendum to the User's Guide. U.S.
Environmental Protection Agency, Research Triangle Park, NC.
This model is available as part of UNAMAP (Version 6). The computer
code is available on magnetic tape from: Computer Products, National
Technical Information Service, U.S. Department of Commerce, Springfield,
Virginia 22161, Phone (703) 487-4650.
The ISC model is a steady-state Gaussian plume model which can be
used to assess pollutant concentrations from a wide variety of sources
associated with an industrial source complex. This model can account
for the following: settling and dry deposition of particulates;
downwash; area, line and volume sources; plume rise as a function of
downwind distance; separation of point sources; and limited terrain
adjustment. It operates in both long-term and short-term modes.
ISC is appropriate for the following applications:
Industrial source complexes;
Rural or urban areas;
Flat or rolling terrain;
Transport distances less than 50 kilometers; and
One hour to annual averaging times.
The following options should be selected for regulatory applications:
For short term modeling, set the regulatory ''default option''
(ISW(28)=1), which automatically selects stack tip downwash, final plume
rise, buoyancy induced dispersion (BID), the vertical potential
temperature gradient, a treatment for calms, the appropriate wind
profile exponents, the appropriate value for pollutant half-life, and a
revised building wake effects algorithm; set rural option (ISW(20)=0)
or urban option (ISW(20)=3); and set the concentration option
(ISW(1)=1).
For long term modeling, set the regulatory ''default option''
(ISW(22)=0), which automatically selects stack tip downwash, final plume
rise, buoyancy-induced dispersion (BID), the vertical potential
temperature gradient, the appropriate wind profile exponents, and the
appropriate value for pollutant half-life, and a revised building wake
effects algorithm; set rural option (ISW(9)=3) or urban option
(ISW(9)=4); and set the concentration option (ISW(1)=1).
b. Input Requirements
Source data: Location, emission rate, physical stack height, stack
gas exit velocity, stack inside diameter, and stack gas temperature.
Optional inputs include source elevation, building dimensions, particle
size distribution with corresponding settling velocities, and surface
reflection coefficients.
Meteorological data: ISCST requires hourly surface weather data from
the preprocessor program RAMMET, which provides hourly stability class,
wind direction, wind speed, temperature, and mixing height. For ISCLT,
input includes stability wind rose (STAR deck), average afternoon mixing
height, average morning mixing height, and average air temperature.
Receptor data: coordinates and optional ground elevation for each
receptor.
c. Output
Printed output options include:
Program control parameters, source data and receptor data;
Tables of hourly meteorological data for each specified day;
''N''-day average concentration or total deposition calculated at
each receptor for any desired combinations of sources;
Concentration or deposition values calculated for any desired
combinations of sources at all receptors for any specified day or time
period within the day;
Tables of highest and second-highest concentration or deposition
values calculated at each receptor for each specified time period during
an ''N''-day period for any desired combinations of sources; and tables
of the maximum 50 concentration or deposition values;
Calculated for any desired combinations of sources for each specified
time period.
ISC is a Gaussian plume model.
ISC may be used to model primary pollutants. Settling and deposition
are treated.
ISC applies user-specified locations for point, line, area and volume
sources, and user-specified receptor locations or receptor rings.
User input topographic elevation for each receptor is used.
Elevations above stack top are reduced to the stack top elevation, i.e.,
''terrain chopping''.
User input height above ground level may be used when necessary to
simulate impact at elevated or ''flag pole'' receptors, e.g., on
buildings.
Actual separation between each source-receptor pair is used.
ISC uses Briggs (1969, 1971, 1975) plume rise equations for final
rise.
Stack tip downwash equation from Briggs (1974) is used.
Revised building wake effects algorithm is used. For stacks higher
than building height plus one-half the lesser of the building height or
building width, the building wake algorithm of Huber and Snyder (1976)
is used. For lower stacks, the building wake algorithm of Schulman and
Scire (Schulman and Hanna, 1986) is used, but stack tip downwash and BID
are not used.
For rolling terrain (terrain not above stack height), plume
centerline is horizontal at height of final rise above source.
Fumigation is not treated.
Constant, uniform (steady-state) wind is assumed for each hour.
Straight line plume transport is assumed to all downwind distances.
Separate wind speed profile exponents (EPA, 1980) for both rural and
urban cases are used.
An optional treatment for calm winds is included for short term
modeling.
Vertical wind speed is assumed equal to zero.
Rural dispersion coefficients from Turner (1969) are used, with no
adjustments for surface roughness or averaging time.
Urban dispersion coefficients from Briggs (Gifford, 1976) are used.
Buoyancy-induced dispersion (Pasquill, 1976) is included.
Six stability classes are used.
Rural dispersion coefficients from Turner (1969) are used, with no
adjustments for surface roughness.
Urban dispersion coefficients from Briggs (Gifford, 1976) are used.
Buoyancy-induced dispersion (Pasquill, 1976) is included.
Six stability classes are used.
Mixing height is accounted for with multiple reflections until the
vertical plume standard deviation equals 1.6 times the mixing height;
uniform vertical mixing is assumed beyond that point.
Perfect reflection is assumed at the ground.
Chemical transformations are treated using exponential decay. Time
constant is input by the user.
Settling and dry deposition of particulates are treated.
Bowers, J. F., and A. J. Anderson, 1981. An Evaluation Study for
the Industrial Source Complex (ISC) Dispersion Model, EPA Publication
No. EPA-450/4-81-002. U.S. Environmental Protection Agency, Research
Triangle Park, NC.
Bowers, J. F., A. J. Anderson, and W. R. Hargraves, 1982. Tests of
the Industrial Source Complex (ISC) Dispersion Model at the Armco
Middletown, Ohio Steel Mill, EPA Publication No. EPA-450/4-82-006.
U.S. Environmental Protection Agency, Research Triangle Park, NC.
Scire, J. S., and L. L. Schulman, 1981. Evaluation of the BLP and
ISC Models with SF6 Tracer Data and S02 Measurements at Aluminum
Reduction Plants. Air Pollution Control Association Specialty
Conference on Dispersion Modeling for Complex Sources, St. Louis, MO.
Schulman, L. L., and S. R. Hanna, 1986. Evaluation of Downwash
Modifications to the Industrial Source Complex Model. Journal of the
Air Pollution Control Association, 36:258-264.
Pierce, Thomas D. and D. Bruce Turner, 1980. User's Guide for
MPTER. EPA Publication No. EPA-600/8-80-016. U.S. Environmental
Protection Agency, Research Triangle Park, NC. (NTIS No.
PB-80-197361).
Chico, T. and J.A. Catalano, 1986. Addendum to the User's Guide for
MPTER. U.S. Environmental Protection Agency, Research Triangle Park, NC
27711. (Distributed as part of UNAMAP, Version 6, Documentation)
This model is available as part of UNAMAP (Version 6). The computer
code is available on magnetic tape from: Computer Products, National
Technical Information Service, U.S. Department of Commerce, Springfield,
Virginia 22161, Phone (703) 487-4650.
MPTER is a Multiple Point Source Algorithm. This algorithm is useful
for estimating air quality concentrations of relatively non-reactive
pollutants. Hourly estimates are made using the Gaussian steady state
model.
MPTER is appropriate for the following applications:
Point sources;
Rural or urban areas;
Flat or rolling terrain (no terrain above stack height);
Transport distances less than 50 kilometers; and
One hour to one year averaging times.
The following options should be selected for regulatory applications:
Set the regulatory ''default option'' (IOPT(25)=1) to automatically
select stack tip downwash, final plume rise, buoyancy-induced dispersion
(BID), a treatment for calms, the appropriate wind profile exponents,
and the appropriate value for pollutant half-life.
Source data: location, emission rate, physical stack height, stack
gas exit velocity, stack inside diameter, stack gas temperature, and
optional ground level elevation.
Meteorological data: hourly surface weather data from the
preprocessor program RAMMET which provides hourly stability class, wind
direction, wind speed, temperature, and mixing height. Actual
anemometer height (a single value) is also required.
Receptor data: coordinates and optional ground elevation for each
receptor.
Printed output includes:
One to 24-hour and annual average concentrations at each receptor;
Highest through fifth highest concentrations at each receptor for
period, with the highest and high, second-high values flagged; and
Limited source contribution table.
MPTER is a Gaussian plume model.
MPTER may be used to model primary pollutants. Settling and
deposition are not treated.
MPTER applies user-specified locations of point sources and
receptors.
User input stack height and source characteristics for each source
are used.
User input topographic elevation for each receptor is used.
MPTER uses Briggs (1969, 1971, 1975) plume rise equations for final
rise.
Stack tip downwash equation from Briggs (1974) is used.
For rolling terrain (terrain not above stack height), plume
centerline is horizontal at height of final rise above the source.
Fumigation and building downwash are not treated.
Constant, uniform (steady-state) wind is assumed for an hour.
Straight line plume transport is assumed to all downwind distances.
Separate wind speed profile exponents (EPA, 1980) for both rural and
urban cases are used.
Vertical speed is assumed equal to zero.
Rural dispersion coefficients from Turner (1969) are used with no
adjustments made for variations in surface roughness or averaging times.
Urban dispersion coefficients from Briggs (Gifford, 1976) are used.
Buoyancy-induced dispersion (Pasquill, 1976), is included.
Six stability classes are used.
Rural dispersion coefficients from Turner (1969) are used, with no
adjustments made for variations in surface roughness.
Urban dispersion coefficients from Briggs (Gifford, 1976) are used.
Buoyancy-induced dispersion (Pasquill, 1976), is included.
Six stability classes are used.
Mixing height is accounted for with multiple reflections until the
vertical plume standard deviation equals 1.6 times the mixing height;
uniform vertical mixing is assumed beyond that point.
Perfect reflection is assumed at the ground.
Chemical transformations are treated using exponential decay.
Half-life is input by the user.
Physical removal is not explicitly treated.
No specific studies for MPTER because regulatory editions of CRSTER
and MPTER are equivalent. Studies for CRSTER are relevant to MPTER as
well (See page A-32).
Environmental Protection Agency, 1977. User's Manual for Single
Source (CRSTER) Model. EPA Publication No. EPA-450/2-77-013. U.S.
Environmental Protection Agency, Research Triangle Park, NC. (NTIS No.
PB 271360).
Catalano, J.A., 1986. Single Source (CRSTER) Model. Addendum to the
User's Manual. U.S. Environmental Protection Agency, Research Triangle
Park, NC 27711. (Distributed as part of UNAMAP, Version 6,
Documentation)
This model is available as part of UNAMAP (Version 6). The computer
code is available on magnetic tape from: Computer Products, National
Technical Information Service, U.S. Department of Commerce, Springfield,
Virginia 22161, phone (703) 487-4650.
CRSTER is a steady state, Gaussian dispersion model designed to
calculate concentrations from point sources at a single location in
either a rural or urban setting. Highest and high-second high
concentrations are calculated at each receptor for 1-hour, 3-hour,
24-hour, and annual averaging time.
CRSTER is appropriate for the following applications:
Single point sources;
Rural or urban areas;
Transport distances less than 50 kilometers; and
Flat or rolling terrain (no terrain above stack height).
The following options should be selected for regulatory applications:
Set the regulatory ''default option'' which automatically selects
stack tip downwash, final plume rise, buoyancy-induced dispersion (BID),
a treatment for calms, the appropriate wind profile exponents, and the
appropriate value for pollutant half-life.
Source data: Emission rate, physical stack height, stack gas exit
velocity, stack inside diameter, and stack gas temperature.
Meteorological data: Hourly surface weather data from the
preprocessor program RAMMET. Preprocessor output includes hourly
stability class wind direction, wind speed, temperature, and mixing
height. Actual anemometer height (a single value) is also required.
Receptor data: require distance of each of the five receptor rings.
Printed output includes:
Highest and second highest concentrations for the year at each
receptor for averaging times of 1, 3, and 24-hours, plus a user-selected
averaging time which may be 2, 4, 6, 8, or 12 hours;
Annual arithmetic average at each receptor;
For each day, the highest 1-hour and 24-hour concentrations over the
receptor field; and
Option for source contributions to concentrations at selected
receptors.
CRSTER is a Gaussian plume model.
CRSTER may be used to model primary pollutants. Settling and
deposition are not treated.
CRSTER treats up to 19 point sources, no area sources.
All point sources are assumed collocated.
User input stack height is used for each source.
User input topographic elevation is used for each receptor, but must
be below top of stack or program will terminate execution.
Receptors are assumed at ground level.
CRSTER uses Briggs (1969, 1971, 1975) plume rise equations for final
rise.
Stack tip downwash equation from Briggs (1974) is used.
For rolling terrain (terrain not above stack height), plume
centerline is horizontal at height of final rise above the source.
Fumigation and building downwash are not treated.
Constant, uniform (steady-state) wind is assumed for an hour.
Straight line plume transport is assumed to all downwind distances.
Separate set of wind speed profile exponents (EPA, 1980) for both
rural and urban cases are used.
Vertical wind speed is assumed equal to zero.
j. Horizontal Dispersion
Rural dispersion coefficients from Turner (1969) are used in CRSTER
with no adjustments made for variations in surface roughness or
averaging times.
Urban dispersion coefficients from Briggs (Gifford, 1976) are used.
Buoyancy-induced dispersion (Pasquill, 1976) is included.
Six stability classes are used.
Rural dispersion coefficients from Turner (1969) are used with no
adjustments made for surface roughness.
Urban dispersion coefficients from Briggs (Gifford, 1975) are used.
Buoyancy-induced dispersion (Pasquill, 1976) is included.
Six stability classes are used.
Mixing height is accounted for with multiple reflections until the
vertical plume standard deviation equals 1.6 times the mixing height;
uniform mixing is assumed beyond that point.
Perfect reflection is assumed at the ground.
Chemical transformations are treated using exponential decay.
Half-life is input by the user.
Physical removal is not explicitly treated.
Klug, W., 1974. Dispersion from Tall Stacks. Fifth NATO/CCMS
International Technical Meeting on Air Pollution Modeling, Denmark.
Londergan, R.J., N.E. Bowne, D.R. Murray, H. Borenstein, and J.
Mangano, 1980. An Evaluation of Short-Term Air Quality Models Using
Tracer Study Data, Report No. 3. American Petroleum Institute,
Washington, DC.
Mills, M.T., R. Caiazza, D.D. Hergert, and D.A. Lynn, 1981.
Evaluation of Point Source Dispersion Models. EPA Publication No.
EPA-450/4-81-032. U.S. Environmental Protection Agency, Research
Triangle Park, NC.
Mills, M.T., and F.A. Record, 1975. Comprehensive Analysis of
Time-Concentration Relationships and the Validation of a Single Source
Dispersion Model. EPA Publication No. EPA-450/3-75-083. U.S.
Environmental Protection Agency, Research Triangle Park, NC.
Mills, M.T., and R.W. Stern, 1975. Model Validation and
Time-Concentration Analysis of Three Power Plants. EPA Publication No.
EPA-450/3-76-002. U.S. Environmental Protection Agency, Research
Triangle Park, NC.
Londergan, R., D. Minott, D. Wackter, T. Kincaid, and B. Bonitata,
1983. Evaluation of Rural Air Quality Simulation Models. EPA
Publication No. EPA-450/4-83-033. U.S. Environmental Protection Agency,
Research Triangle Park, NC.
TRC-Environmental Consultants, Inc., 1983. Overview, Results, and
Conclusions for the EPRI Plume Model Validation and Development Project:
Plains Site, EPRI EA-3074. Electric Power Research Institute, Palo
Alto, CA.
Ames, J., T. C. Myers, L. E. Reid, D. C. Whitney, S. H. Golding,
S.R. Hayes, and S. D. Reynolds, 1985. SAI Airshed Model Operations
Manuals-Volume I -- User's Manual. EPA Publication No.
EPA-600/8-85-007a. U. S. Environmental Protection Agency, Research
Triangle Park, NC. (NTIS No. PB 85-191567).
Ames, J. S., R. Hayes, T. C. Myers, and D. C. Whitney, 1985. SAI
Airshed Model Operations Manuals-Volume II -- Systems Manual. EPA
Publication No. EPA-600/8-85-007b. U. S. Environmental Protection
Agency, Research Triangle Park, NC. (NTIS No. PB 85-191575).
Environmental Protection Agency, 1980. Guideline for Applying the
Airshed Model to Urban Areas. Publication No. EPA 450/4-80-020. U.
S. Environmental Protection Agency, Research Triangle Park, NC. (NTlS
No. PB 8l-200529).
The computer code is available on magnetic tape from: Computer
Products, National Technical Information Service, U.S. Department of
Commerce, Springfield, Virginia 22161, phone (703) 487-4650.
UAM is an urban scale, three dimensional, grid type, numerical
simulation model. The model incorporates a condensed photochemical
kinetics mechanism for urban atmospheres. The UAM is designed for
computing ozone (O3) concentrations under short-term, episodic
conditions lasting one or two days resulting from emissions of oxides of
nitrogen (NOx) and volatile organic compounds (VOC). The model treats
urban VOC emissions as their carbon-bond surrogates.
UAM is appropriate for the following applications: Single urban
areas having significant ozone attainment problems in the absence of
interurban emission transport; and one hour averaging times.
UAM has many options but no specific recommendations can be made at
this time on all options. The reviewing agency should be consulted on
selection of options to be used in regulatory applications. At the
present time, the following options should be selected for regulatory
applications:
Omit SO2 and AEROSOLS from the SPECIES packet for the CHEMPARAM file;
Set ROADWAY flag to FALSE in the SIMULATION packet for the
SIM-CONTROL file; and
Set surface layer height to zero in the REGION packet for the
AIRQUALITY, BOUNDARY, DIFFBREAK, METSCALARS, PTSOURCE, REGIONTOP,
TEMPERATUR, TERRAIN, TOPCONC, and WIND files.
Source data: Gridded, hourly emissions of PAR, OLE, ETH, ARO, CARB,
NO, and NO2 for low-level sources. CO is optional. For major elevated
point sources, hourly emissions, stack height, stack diameter, exit
velocity, and exit temperature.
Meteorological data: Hourly, gridded, divergence free, u and v wind
components for each vertical level; hourly gridded mixing heights;
hourly gridded surface temperatures; hourly exposure class; hourly
vertical potential temperature gradient above and below the mixing
height; hourly surface atmospheric pressure; hourly water mixing
ratio; and gridded surface roughness lengths.
Air quality data: Concentration of O3, NO, NO2, PAR, OLE, ETH, ARO,
CARB, PAN, and CO at the beginning of the simulation for each grid cell;
and hourly concentrations of each pollutant at each level along the
inflow boundaries and top boundary of the modeling region.
Other data requirements are: Hourly mixed layer average, NO2
photolysis rates; and ozone surface uptake resistance along with
associated gridded vegetation (scaling) factors.
Printed output includes: Gridded instantaneous concentration fields
at user-specified time intervals for user-specified pollutants and grid
levels; Gridded time average concentration fields for user-specified
time intervals, pollutants, and grid levels.
UAM is a-three dimensional, numerical, photochemical grid model.
UAM may be used to model ozone (O3) formation from oxides of nitrogen
(NOx) and volatile organic compound (VOC) emissions.
Low-level area and point source emissions are specified within each
surface grid cell.
Up to 500 major point sources are allowed.
Hourly average concentrations of each pollutant are calculated for
all grid cells at each vertical level.
Plume rise is calculated for major point sources using relationships
recommended by Briggs (1971).
See Input Requirements.
Calculated at each vertical grid cell interface from the mass
continuity relationship using the input gridded horizontal wind field.
Horizontal eddy diffusivity is set to a user specified constant value
(nominally 50 m /2/ /s).
Vertical eddy diffusivities for unstable and neutral conditions
calculated using relationships of Lamb et al. (1977); for stable
conditions, the relationship of Businger and Arya (1974) is employed.
Stability class, friction velocity, and Monin-Obukhov length determined
using procedure of Liu et al. (1976).
UAM employs a simplified version of the Carbon-Bond II Mechanism
(CBM-II) developed by Whitten, Killus, and Hogo (1980) employing various
steady-state approximations. CBM-II is further simplified during
nighttime hours to improve computational efficiency. CBM-II utilizes
five carbon-bond species (PAR-single bonded carbon atoms; OLE-terminal
double bonded carbon atoms; ETH-ethylene; ARO-alkylated aromatic
rings; and CARB-aldehydes, ketones, and surrogate carbonyls) which
serve as surrogates for the large variety of emitted organic compounds
in the urban atmosphere.
Dry deposition of ozone and other pollutant species are calculated.
Vegetation (scaling) factors are applied to the reference surface uptake
resistance of each species depending on land use type.
Builtjes, P.J.H., K.D. van der Hurt, and S.D. Reynolds, 1982.
Evaluation of the Performance of a Photochemical Dispersion Model in
Practical Applications, 13th International Technical Meeting on Air
Pollution Modeling and Its Application, Ile des Embiez, France.
Cole, H.S., D.E. Layland, G.K. Moss, and C.F. Newberry, 1983. The
St. Louis Ozone Modeling Project. EPA Publication No. EPA
450/4-83-019. U. S. Environmental Protection Agency, Research Triangle
Park, NC.
Dennis, R.L., M.W. Downton, and R.S. Keil, 1983. Evaluation of
Performance Measures for an Urban Photochemical Model. EPA Publication
No. EPA 450/4-83-021. U.S. Environmental Protection Agency, Research
Triangle Park, NC.
Haney, J.L. and T.N. Braverman, 1985. Evaluation and Application of
the Urban Airshed Model in the Philadelphia Air Quality Control Region.
EPA Publication No. EPA 450/4-85-003. U.S. Environmental Protection
Agency, Research Triangle Park, NC.
Layland, D.E. and H.S. Cole, 1983. A Review of Recent Applications
of the SAI Urban Airshed Model. EPA Publication No. EPA 450/4-84-004.
U.S. Environmental Protection Agency, Research Triangle Park, NC.
Layland, D.E., S.D. Reynolds, H. Hogo and W.R. Oliver, 1983.
Demonstration of Photochemical Grid Model Usage for Ozone Control
Assessment. 76th Annual Meeting of the Air Pollution Control
Association, Atlanta, GA.
Reynolds, S.D., H. Hogo, W.R. Oliver, L.E. Reid, 1982. Application
of the SAI Airshed Model to the Tulsa Metropolitan Area, SAI No. 82004.
Systems Applications, Inc., San Rafael, CA.
Schere, K.L. and J.H. Shreffler, 1982. Final Evaluation of
Urban-Scale Photochemical Air Quality Simulation Models. EPA
Publication No. EPA 600/3-82-094. U.S. Environmental Protection
Agency, Research Triangle Park, NC.
Seigneur, C., T.W. Tesche, C.E. Reid, P.M. Roth, W.R. Oliver, and
J.C. Cassmassi, 1981. The Sensitivity of Complex Photochemical Model
Estimates to Detail In Input Information, Appendix A -- A Compilation of
Simulation Results. EPA Publication No. EPA 450/4-8l-03lb. U.S.
Environmental Protection Agency, Research Triangle Park, NC.
Stern, R. and B. Scherer, 1982. Simulation of a Photochemical Smog
Episode in the Rhine-Ruhr Area with a Three Dimensional Grid Model.
13th International Technical Meeting on Air Pollution Modeling and Its
Application, Ile des Embiez, France.
Tesche, T.W., C. Seigneur, L.E. Reid, P.M. Roth, W.R. Oliver, and
J.C. Cassmassi, 1981. The Sensitivity of Complex Photochemical Model
Estimates to Detail In Input Information. EPA Publication No. EPA
450/4-81-031a. U.S. Environmental Protection Agency, Research Triangle
Park, NC.
Tesche, T.W., W.R. Oliver, H. Hogo, P. Saxeena and J.L. Haney,
1983. Volume IV -- Assessment of NOx Emission Control Requirements in
the South Coast Air Basin -- Appendix A. Performance Evaluation of the
Systems Applications Airshed Model for the 26-27 June 1974 O3 Episode in
the South Coast Air Basin, SYSAPP 83/037. Systems Applications, Inc.,
San Rafael, CA.
Tesche, T.W., W.R. Oliver, H. Hogo, P. Saxeena and J.L. Haney,
1983. Volume IV -- Assessment of NOx Emission Control Requirements in
the South Coast Air Basin -- Appendix B. Performance Evaluation of the
Systems Applications Airshed Model for the 7-8 November 1978 NO2 Episode
in the South Coast Air Basin, SYSAPP 83/038. Systems Applications,
Inc., San Rafael, CA.
Hanna, S.R., L.L. Schulman, R.J. Paine and J.E. Pleim, 1984. The
Offshore and Coastal Dispersion (OCD) Model User's Guide, Revised. OCS
Study, MMS 84-0069. Environmental Research and Technology, Inc.,
Concord, MA. (NTIS PB 86-159803)
The above user's guide is available for $40.95 from NTIS. The
computer tape is available from NTIS as number PB85-246106 at a cost of
$800.
Minerals Management Service, 12203 Sunrise Valley Drive, Mail Stop
644, Reston, VA 22091, ATTN: Mitchell Baer.
OCD is a straight-line Gaussian model developed to determine the
impact of offshore emissions from point sources on the air quality of
coastal regions. OCD incorporates overwater plume transport and
dispersion as well as changes that occur as the plume crosses the
shoreline. Hourly meteorological data are needed from both offshore and
onshore locations. These include water surface temperature and
overwater air temperature and relative humidity.
Some of the key features include platform building downwash, partial
plume penetration into elevated inversions, direct use of turbulence
intensities for plume dispersion, interaction with the overland internal
boundary layer, and continuous shoreline fumigation.
OCD has been recommended for use by the Minerals Management Service
for emissions located on the Outer Continental Shelf (Federal Register
50, l2248, 28 March 1985). OCD is applicable for overwater sources
where onshore receptors are below the lowest source height. Where
onshore receptors are above the lowest source height, offshore plume
transport and dispersion may be modeled on a case-by-case basis in
consultation with the EPA Regional Office.
Source data: Point source location, pollutant emission rate,
building height, stack height, stack gas temperature, stack inside
diameter, stack gas exit velocity, stack angle from vertical, elevation
of stack base above water surface and gridded specification of the
land/water surfaces. As an option, emission rate, stack gas exit
velocity and temperature can be varied hourly.
Meteorological data (overwater): Wind direction, wind speed, mixing
height, relative humidity, air temperature, water surface temperature,
vertical wind direction shear (optional), vertical temperature gradient
(optional), turbulence intensities (optional). For all meteorological
input variables, hourly data are preferred to climatological values.
Meteorological data (overland): Wind direction, wind speed,
temperature, stability class, mixing height.
Receptor data: Location, height above local ground-level,
ground-level elevation above the water surface.
All input options, specification of sources, receptors and land/water
map including locations of sources and receptors.
Summary tables of five highest concentrations at each receptor for
each averaging period, and average concentration for entire run period
at each receptor.
Optional case study printout with hourly plume and receptor
characteristics.
Concentration files written to disk or tape can be used by ANALYSIS
postprocessor to produce the highest concentrations for each receptor,
the cumulative frequency distributions for each receptor, the tabulation
of all concentrations exceeding a given threshold, and the manipulation
of hourly concentration files.
OCD is a Gaussian plume model constructed on the framework of the
MPTER model.
OCD may be used to model primary pollutants. Settling and deposition
are not treated.
Up to 250 point sources and 180 receptors may be used.
Receptors and sources are allowed at any location.
The coastal configuration is determined by a grid of up to 3600
rectangles. Each element of the grid is designated as either land or
water to identify the coastline.
As in MPTER, the basic plume rise algorithms are based on Briggs'
recommendations.
Momentum rise includes consideration of the stack angle from the
vertical.
The effect of drilling platforms, ships, or any overwater
obstructions near the source are used to decrease plume rise following
the approach of the BLP model.
Partial plume penetration of elevated inversions is included using
the suggestions of Briggs (1975) and Weil and Brower (1984).
If overwater conditions are stable and overland conditions unstable,
the Deardorff-Willis (1982) fumigation model is used to simulate the
entrainment of the plume in the rising thermal internal boundary layer.
The fumigation calculations are used only if the concentrations are
lower than those resulting from the change to overland dispersion
coefficients at the water/land interface.
Constant, uniform wind is assumed for each hour.
Overwater wind speed can be estimated from overland wind speed using
relationship of Hsu (1981).
Wind speed profiles are estimated using similarity theory (Businger
1973). Surface layer fluxes for these formulas are calculated from bulk
aerodynamic methods.
Vertical wind speed is assumed equal to zero.
Lateral turbulence intensity is recommended as a direct estimate of
horizontal dispersion. If lateral turbulence intensity is not
available, it is estimated from boundary layer theory. For wind speeds
less than 10 m/s, lateral turbulence intensity is assumed inversely
proportional to wind speed.
Horizontal dispersion may be enhanced because of obstructions near
the source. A virtual source technique, as in the BLP model, is used to
simulate the initial plume dilution due to downwash.
Formulas recommended by Pasquill (1976) are used to calculate buoyant
plume enhancement and wind direction shear enhancement.
At the water/land interface, the change to overland dispersion rates
is modeled using a virtual source. The overland dispersion rates can be
calculated from either lateral turbulence intensity or the Turner (1969)
coefficients. The change is implemented where the plume intercepts the
rising internal boundary layer.
Vertical turbulence intensity is recommended as a direct estimate of
vertical dispersion. If not available, turbulence intensity is
estimated from boundary layer theory. For very stable conditions,
vertical dispersion is also a function of lapse rate.
Vertical dispersion may be enhanced because of obstructions near the
source. A virtual source technique, as in the BLP model, is used to
simulate the initial plume dilution due to downwash.
Formulas recommended by Pasquill (1976) are used to calculate buoyant
plume enhancement.
At the water/land interface, the change to overland dispersion rates
is modeled using a virtual source. The overland dispersion rates can be
calculated from either vertical turbulence intensity or the Turner
(1969) coefficients. The change is implemented where the plume
intercepts the rising internal boundary layer.
Chemical transformations are treated using exponential decay.
Different rates can be specified by month and by day or night.
Physical removal is also treated using exponential decay.
Hanna, S.R., L.L. Schulman, R.J. Paine and J.E. Pleim, 1984. The
Offshore and Coastal Dispersion (OCD) Model User's Guide, Revised. OCS
Study, MMS 84-0069. Environmental Research & Technology, Inc., Concord,
MA. (NTIS No. PB 86-159803)
Hanna, S.R., L.L. Schulman, R.J. Paine, J.E. Pleim and M. Baer,
1985. Development and Evaluation of the Offshore and Coastal Dispersion
(OCD) Model. Journal of the Air Pollution Control Association,
35:1039-1047
Benson, P.E., 1979. CALINE3 -- A Versatile Dispersion Model for
Predicting Air Pollution Levels Near Highways and Arterial Streets.
Interim Report, Report Number FHKA/CA/TL-79/23. Federal Highway
Administration, Washington, DC.
Briggs, G.A., 1969. Plume Rise. U.S. Atomic Energy Commission
Critical Review Series, Oak Ridge National Laboratory, Oak Ridge, TN.
NTIS TID-25075.
Briggs, G.A., 1971. Some Recent Analyses of Plume Rise Observations.
Proceedings of the Second International Clean Air Congress, edited by
H.M. Englund and W.T. Berry. Academic Press, New York, NY.
Briggs, G.A., 1974. Diffusion Estimation for Small Emissions. USAEC
Report ATDL-106. U.S. Atomic Energy Commission, Oak Ridge, TN.
Briggs, G.A., 1975. Plume Rise Predictions. Lectures on Air
Pollution and Environmental Impact Analyses. American Meteorological
Society, Boston, MA, pp. 59-111.
Bjorklund, J.R., and J.F. Bowers, 1982. User's Instructions for the
SHORTZ and LONGZ Computer Programs. EPA Publication No. EPA
903/9-82-004a,b. U.S. Environmental Protection Agency, Region III,
Philadelphia, PA.
Businger, J.A., and S.P. Arya, 1974. Height of the Mixed Layer in
the Stably Stratified Planetary Boundary Layer. Advances in Geophysics,
Vol. 18A, F.N. Frankiel and R.E. Munn (Eds.), Academic Press, New York,
NY.
Environmental Protection Agency, 1980. Recommendations on Modeling
(October 1980 Meetings). Appendix G to: Summary of Comments and
Responses on the October 1980 Proposed Revisions to the Guideline on Air
Quality Models. Meteorology and Assessment Division, Office of Research
and Development, Research Triangle Park, NC.
Gifford, F.A., Jr. 1976. Turbulent Diffusion Typing Schemes -- A
Review. Nuclear Safety, 17:68-86.
Huber, A.H. and W.H. Snyder, 1976. Building Wake Effects on Short
Stack Effluents. Third Symposium on Atmospheric Turbulence, Diffusion
and Air Quality, American Meteorological Society, Boston, MA.
Irwin, J.S., 1979. A Theoretical Variation of the Wind Profile
Power-Law Exponent as a Function of Surface Roughness and Stability.
Atmospheric Environment, 13:191-194.
Lamb, R.G., et al., 1977. Continued Research in Mesoscale Air
Pollution Simulation Modeling -- Vol. VI: Further Studies in the
Modeling of Microscale Phenomena, Report Number EF77-143. Systems
Applications, Inc., San Rafael, CA.
Larsen, R.I., 1971. A Mathematical Model for Relating Air Quality
Measurements to Air Quality Standards. Office of Air Programs
Publication No. AP-89. U.S. Environmental Protection Agency, Research
Triangle Park, NC.
Liu, M.K., et al., 1976. The Chemistry, Dispersion, and Transport of
Air Pollutants Emitted from Fossil Fuel Power Plants in California:
Data Analysis and Emission Impact Model. Systems Applications, Inc.,
San Rafael, CA.
McElroy, J.L. and F. Pooler, Jr., 1968. St. Louis Dispersion Study
Volume II-Analysis. NAPCA Publication No. AP-53. U.S. Environmental
Protection Agency, Research Triangle Park, NC.
Moore, G.E., T.E. Stoeckenius and D.A. Stewart, 1982. A Survey of
Statistical Measures of Model Performance and Accuracy for Several Air
Quality Model. EPA Publication No. EPA 450/4-83-001. U.S.
Environmental Protection Agency, Research Triangle Park, NC.
Pasquill, F., 1976. Atmospheric Dispersion Parameters in Gaussian
Plume Modeling Part II. Possible Requirements for Change in the Turner
Workbook Values. EPA Publication No. EPA 600/4-76-030b. U.S.
Environmental Protection Agency, Research Triangle Park, NC.
Turner, D.B., 1969. Workbook of Atmospheric Dispersion Estimates.
PHS Publication No. 999-26. U.S. Environmental Protection Agency,
Research Triangle Park, NC.
Whitten, G.Z., J.P. Killus, and H. Hogo, 1980. Modeling of
Simulated Photochemical Smog with Kinetic Mechanisms. Volume 1. Final
Report. EPA Publication No. EPA 600/3-80-028a. U.S. Environmental
Protection Agency, Research Triangle Park, NC.
Briggs, G.A., 1975. Plume Rise Predictions. Lectures on Air
Pollution and Environmental Impact Analyses. American Meteorological
Society, Boston, MA, pp. 59-111.
Businger, J.A., 1973. Turbulence Transfer in the Atmospheric Surface
Layer. Workshop in Micrometeorology. American Meteorological Society,
Boston, MA, pp. 67-100.
Deardorff, J.W. and G.E. Willis, 1982. Ground Level Concentrations
Due to Fumigation into an Entraining Mixing Layer. Atmospheric
Environment, 16:1159-1170.
Hsu, S.A., 1981. Models for Estimating Offshore Winds from Onshore
Meteorological Measurements. Boundary Layer Meteorology, 20:341-352.
Schulman, L.L., S.R. Hanna, and D.W. Heinold, 1985. Evaluation of
Proposed Downwash Modifications to the Industrial Source Complex Model.
ERT Document P-B810-012. Prepared for American Petroleum Institute.
Weil, J.C., and R.P. Brower, 1984. An Updated Gaussian Plume Model
for Tall Stacks. Journal of the Air Pollution Control Association,
34:818-827.
/1/ All models except the Urban Airshed Model are available on UNAMAP
(Version 6) from NTIS at a price consistent with the previous version of
UNAMAP.