"Protocol for Conducting Environmental Compliance Audits of

United States Enforcement and EPA-305-B-98-006

Environmental Protection Compliance Assurance December 1998

Agency (2224A)

Protocol for Conducting

Environmental Compliance

Audits of Treatment,

Storage and Disposal

Facilities under the

Resource Conservation

and Recovery Act

EPA Office of Compliance

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Notice

This document has been developed to assist in conducting environmental audits. The use of this document should

be restricted to environmental audits only. For example, areas such as safety, transportation, occupational health,

and fire protection are mentioned solely for clarification purposes. It is a summary of environmental regulations

under RCRA but it is not a substitute for a comprehensive knowledge of the regulations themselves. Any

variation between applicable regulations and the summaries contained in this guidance document are

unintentional, and, in the case of such variations, the requirements of the regulations govern.

This document is intended solely as guidance to explain performance objectives for environmental auditors.

Following the steps set forth in this guidance generally should result in compliance with those aspects of the

regulations that it covers. The U.S. Environmental Protection Agency (EPA) does not make any guarantee or

assume any liability with respect to the use of any information or recommendations contained in this document.

Regulated entities requiring additional information or advice should consult a qualified professional.

This guidance does not constitute rulemaking by the EPA and may not be relied on to create a substantive or

procedural right or benefit enforceable, at law or in equity, by any person. EPA may take action at variance with

this guidance and its internal procedures.

Acknowledgements

EPA would like to gratefully acknowledge the support of the U.S. Army Corps of Engineers Construction

Engineering Research Laboratories (CERL) for their assistance in developing checklist items pertaining to the

RCRA Subpart CC and for providing suggestions for the overall format of this document.

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein.

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Table of Contents

Notice........................................................................................................................................................inside cover

Acknowledgements...................................................................................................................................inside cover

Section I: Introduction

Background................................................................................................................................................................ii

EPA's Policy on Environmental Audits.....................................................................................................................ii

Purpose of the Protocols for Conducting Environmental Compliance Audits ......................................................... iv

How to Use This Protocol......................................................................................................................................... iv

List of Acronyms and Abbreviations........................................................................................................................ vi

Section II: Audit Protocol

Applicability .............................................................................................................................................................. 1

Review of Federal Legislation................................................................................................................................... 1

State and Local Regulations ...................................................................................................................................... 2

Key Compliance Requirements ................................................................................................................................. 2

Key Terms and Definitions........................................................................................................................................ 3

Typical Records to Review......................................................................................................................................15

Typical Physical Features to Inspect ....................................................................................................................... 16

Index for Checklist Users ........................................................................................................................................ 17

Checklist .................................................................................................................................................................. 19

Appendices

Appendix A: Identification and Listing of Hazardous Waste ................................................................................ A1

Appendix B: Identification of Hazardous Waste Hazardous Constituents..............................................................B1

Appendix C: Commercial Chemical Products or Manufacturing Chemical Intermediates

Identified as Acute Hazardous Wastes..............................................................................................................C1

Appendix D: Potentially Incompatible Hazardous Wastes..................................................................................... D1

Appendix E: Land Disposal Restricted Wastes and Their Effective Dates.............................................................E1

Appendix F: Constituent Concentration in Waste Extract ......................................................................................F1

Appendix G: Treatment Methods Expressed as Specific Technologies................................................................. G1

Appendix H: Constituent Concentrations in Wastes .............................................................................................. H1

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. i

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Section I

Introduction

Background

The Environmental Protection Agency (EPA) is responsible for ensuring that businesses and organizations

comply with federal laws that protect the public health and the environment. Recently, EPA has begun

combining traditional enforcement activities with more innovative compliance approaches. In its Strategic Plan,

the Agency recognizes the need to assist the regulated community by providing compliance assistance and

guidance that will promote improved compliance and overall environmental performance (see Exhibit 1). EPA

encourages regulated entities to recognize compliance as the floor, rather than the ceiling, of environmental

performance by internalizing and implementing sound environmental practices. As part of that effort, EPA is

encouraging the development of self-assessment programs at individual facilities. Voluntary audit programs play

an important role in helping companies meet their obligation to comply with environmental requirements. Such

assessments can be a critical link, not only to improved compliance, but also to improvements in other aspects of

an organization’s performance. For example, environmental audits may identify pollution prevention

opportunities that can substantially reduce an organization’s operating costs.

Over the years, EPA has encouraged regulated entities to initiate environmental audit programs that support and

document compliance with environmental regulations. EPA has developed this audit protocol to provide

regulated entities with specific guidance in periodically evaluating their compliance with federal environmental

requirements.

Exhibit 1 - EPA's Credible Deterrent Goal

Within its Strategic Plan, EPA has established a goal to ensure full compliance with the laws intended to protect

human health and the environment.

C Identify and reduce significant non-compliance in high priority program areas, while maintaining a strong

enforcement presence in all regulatory program areas,

C Promote the regulated communities' voluntary compliance with environmental requirements through

compliance incentives and assistance programs.

EPA's Policy on Environmental Audits

Within the framework of this goal, EPA’s objectives are as follows:

In 1986, in an effort to encourage the use of environmental auditing, EPA published its "Environmental Auditing

Policy Statement" (see 51 FR 25004). The 1986 audit policy states that "it is EPA policy to encourage the use of

environmental auditing by regulated industries to help achieve and maintain compliance with environmental laws

and regulation, as well as to help identify and correct unregulated environmental hazards." In addition, EPA

defined environmental auditing as a systematic, documented, periodic, and objective review of facility operations

and practices related to meeting environmental requirements. The policy also identified several objectives for

environmental audits:

< verifying compliance with environmental requirements,

< evaluating the effectiveness of in-place environmental management systems, and

< assessing risks from regulated and unregulated materials and practices.

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. ii

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Exhibit 2 – EPA’s 1995 Audit Policy

Under the final Audit/Self Policing Policy, EPA will not seek gravity-based penalties and will not recommend

criminal prosecutions for companies that meet the requirements of the policy. Gravity-based penalties represent

the “seriousness” or punitive portion of penalties over and above the portion representing the economic gain from

non-compliance. The policy requires companies:

C to promptly disclose and correct violations,

C to prevent recurrence of the violation, and

C to remedy environmental harm.

The policy excludes:

C repeated violations,

C violations that result in serious actual harm, and

C violations that may present an imminent and substantial endangerment.

Corporations remain criminally liable for violations resulting from conscious disregard of their legal duties, and

individuals remain liable for criminal wrongdoing. EPA retains discretion to recover the economic benefit gained

as a result of noncompliance, so that companies will not be able to obtain an economic advantage over their

competitors by delaying investment in compliance. Where violations are discovered by means other than

environmental audits or due diligence efforts, but are promptly disclosed and expeditiously corrected, EPA will

reduce gravity-based penalties by 75% provided that all of the other conditions of the policy are met.

As a result of EPA’s new audit policy, through March 1998, 247 companies have disclosed environmental

violations at more than 760 facilities and EPA has reduced or waived penalties for 89 companies and 433

facilities.

The final Audit/Self-Policing Policy was published in the Federal Register on December 22, 1995 (60 FR 66706).

It took effect on January 22, 1996. For further information, contact the Audit Policy Docket at (202) 260-7548 or

call (202) 564-4187.

In 1995, EPA published "Incentives for Self-Policing: Discovery, Disclosure, Correction and Prevention of

Violations" which both reaffirmed and expanded its 1986 audit policy. The 1995 audit policy offers major

incentives for entities to discover, disclose and correct environmental violations. Under the 1995 policy, EPA

will not seek gravity-based penalties or recommend criminal charges be brought for violations that are discovered

through an “environmental audit” (as defined in the 1986 audit policy) or a management system reflecting “due

diligence” and that are promptly disclosed and corrected, provided that other important safeguards are met (see

Exhibit 2). These safeguards protect health and the environment by precluding policy relief for violations that

cause serious environmental harm or may have presented imminent and substantial endangerment, for example.

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. iii

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Purpose of the Protocols for Conducting Environmental Compliance Audits

This protocol, which is part of a set containing other area or statutory specific audit protocols, is a tool to assist

you in conducting environmental audits, which should inform you whether your facility is in compliance with

federal regulations. EPA has developed these audit protocols to assist and encourage businesses and

organizations to perform environmental audits and disclose violations in accordance with EPA's audit policy. The

audit protocols are intended to promote consistency among regulated entities when conducting environmental

audits and to ensure that audits are conducted in a thorough and comprehensive manner.

Each protocol provides guidance on key requirements, defines regulatory terms, and gives an overview of the

federal laws affecting a particular environmental management area. It also includes a checklist containing

detailed procedures for conducting a review of facility conditions. In order to use these documents effectively,

you should be familiar with basic environmental auditing practices and the relevant environmental regulations

under Title 40 of the Code of Federal Regulations (CFR). The audit protocols are not intended to be exclusive or

limiting with respect to procedures that may be followed. EPA recognizes that other audit approaches and

techniques may be effective in identifying and evaluating a facility’s environmental status and in formulating

recommendations to correct observed deficiencies.

These protocols can be used as a basis to implement, upgrade, or benchmark environmental management

activities. The protocols are a management tool for measuring and improving environmental performance by

correcting deficiencies uncovered by the audit (see Exhibit 3). This process is perhaps the key element to a high

quality environmental management program and will function best when an organization identifies the "root

causes" of each audit finding. Root causes are those breakdowns in management oversight, information

exchange, and evaluation that allow environmental problems to recur. Thus, while an organization may have

developed an excellent record of dealing with a symptom, such as spill response, the underlying problem or "root

cause" has not been addressed. Furthermore, identifying the root cause of an audit finding can mean identifying

not only the failures that require correction but also the successes. In each case a root cause analysis should

uncover the failures while promoting the successes so that an organization can make continual progress toward

environmental excellence.

Exhibit 3 - Corrective Action Model

Fix

Problems

Identify

Problems

Audit

Improve

Environmental

Mgmt. System

Effectiveness

Develop Actions

to Correct

Underlying

Causes

Analyze

Exceptions

for

Cause/Effect

Examine each

Group for

Underlying

Causes

Group Findings

for Common

Causes

How to Use This Protocol

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. iv

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

To conduct effective compliance audits, the auditor or audit team needs to possess sound working knowledge of

the operations and processes to be reviewed, the relevant regulations that apply to a given facility, and of

acceptable auditing practices. The audit protocol should be used as a planning tool to assist the auditor in

understanding the requirements for conducting a comprehensive audit. This document will provide the user with

a generic audit approach to regulatory issues that may require closer examination. Once the general issues are

identified through the use of this protocol, the auditor should perform a more detailed investigation to determine

the specific area of noncompliance to be corrected. The auditor should review federal, state and local

environmental requirements and annotate the protocol, as required, to include other applicable requirements not

included in the protocol.

The auditor also should determine which regulatory agency has authority for implementing an environmental

program so that the proper set of regulations is consulted. State programs that implement federally mandated

programs may contain more stringent requirements. This protocol should not be used as a substitute for the

applicable regulations.

The collective set of the audit protocols developed by EPA is designed to support a wide range of environmental

auditing needs; therefore several of the protocols in this set or sections of an individual protocol may not be

applicable to a particular facility. Each protocol is not intended to be an exhaustive set of procedures; rather it is

meant to inform the auditor, about the degree and quality of evaluation essential to a thorough environmental

audit. EPA is aware that other audit approaches may provide an effective means of identifying and assessing

facility environmental status and in developing corrective actions.

Each protocol contains the following information:

• List of acronyms and abbreviations used in the document,

• Applicability - provides guidance on the major activities and operations included in the protocol and a brief

description of how the protocol is applied,

• Review of federal legislation - identifies key issues associated with the subject protocol area,

• State and local regulations - identifies typical issues normally addressed in state and local regulations but

does

not present individual state/local requirements,

• Key compliance requirements - summarizes the overall thrust of the regulations for that particular protocol,

• Key compliance definitions - defines important terms,

• Typical records to review - highlights documents, permits and other pertinent paperwork that should be

reviewed by an auditor and reconciled against regulatory requirements,

• Typical physical features to inspect - highlights pollution control equipment, manufacturing and process

equipment and other areas that should be visited and evaluated during an audit,

• Index for checklist users - outlines different areas of the checklist that may pertain to the facility being

audited,

• Checklist - matches the regulatory requirements with the tasks that should be accomplished by the auditor,

and

• Appendices - supporting information for the checklist (e.g., regulatory deadlines, lists of contaminants,

wastes, and required testing procedures). Note: information contained in the appendices is dated and should

be verified with a current version of the applicable federal regulations.

The checklist delineates what should be evaluated during an audit. The left column states either a requirement

mandated by regulation or a good management practice that exceeds the requirements of the federal regulations.

Good management practices are distinguished from regulatory requirements in the checklist by the acronym (MP)

and are printed in italics. The regulatory citation is given in parentheses after the requirement. The right column

gives instructions to help conduct the evaluation. These instructions are performance objectives that should be

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. v

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

accomplished by the auditor. Some of the performance objectives may be simple documentation checks that take

only a few minutes; others may require a time-intensive physical inspection of a facility.

EPA is presently is the process of developing a series of audit protocol application guides to serve as companion

documents to the set of protocols. The application guides will provide the auditor with a matrix that identifies

and cross-references certain site-specific activities or unit operations with particular environmental aspects of

that activity. For example, managing hazardous waste containers is a site-specific activity with environmental

concerns, such as possible releases to air, and water, that may require additional review through auditing. By

using the application guide the user can identify facility specific practices that require more in-depth review. In

addition, the application guides will also direct the user to specific protocols and sections (e.g., checklist items)

of the protocol to determine areas that are regulated and require auditing.

List of Acronyms and Abbreviations

Btu British thermal unit

CAA Clean Air Act

CAMU Corrective action management unit

CCW Constituent concentrations in wastes

CERCLA Comprehensive Environmental Response, Compensation, and Liability Act (or Superfund)

CESQG Conditionally exempt small quantity generator

CFR Code of Federal Regulations

cm Centimeter

CO Carbon monoxide

CQA Construction quality assurance

CWA Clean Water Act

DOT Department of Transportation

DRE Destruction and removal efficiency

dscm Dry standard cubic meter

EPA Environmental Protection Agency

FR Federal Register

ft. Feet/Foot

g Gram

gal. Gallon

h Hour

ha Hectare

HCl Hydrogen chloride

HOC Halogenated organic compound

hr. Hour

HSWA Hazardous and Solid Waste Amendments

in. Inch

kg Kilogram

km Kilometer

L Liter

lb. Pound

LQG Large quantity generator

m Meter

meq Milliequivalent

mg Milligram

Mg Megagram

mi. Mile

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. vi

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

MJ Megajoule

mm Millimeter

MP Management practice

NOV Notice of violation

NRC National Response Center

OB/OD Open burning/open detonation

PCB Polychlorinated biphenyls

PL Public Law

POHC Principal organic hazardous constituent

POTW Publicly owned treatment works

ppm Parts per million

ppmv Parts per million by volume

ppmw Parts per million by weight

RCRA Resource Conservation and Recovery Act

scf Standard cubic foot

scm Standard cubic meter

SDWA Safe Drinking Water Act

SPCC Spill prevention, control, and countermeasure

SQG Small quantity generator

TOC Total organic carbon

TSD Treatment, storage, and disposal

TSDF Treatment, storage, and disposal facility

TSS Total suspended solids

TU Temporary unit

UIC Underground injection control

U.S. United States

USC United States Code

UST Underground storage tank

VO Volatile organic

VOC Volatile organic compound

yr. Year

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. vii

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

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This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. viii

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Section II

Audit Protocol

Applicability

This protocol applies to facilities that store, treat, or dispose of hazardous waste. Not all checklist items will be

applicable to a particular facility. Guidance is provided on the checklists to direct the auditor to the regulations

concerning the type of hazardous waste activities/facilities on the site.

There are numerous environmental regulatory requirements administered by federal, state and local governments.

Each level of government may have a major impact on areas at the facility that are subject to the audit.

Therefore, auditors are advised to review federal, state and local regulations in order to perform a comprehensive

audit.

Review of Federal Legislation

Resource Conservation and Recovery Act, Subtitle C (1976)

The Resource, Conservation and Recovery Act (RCRA) of 1976, which amended the Solid Waste Disposal Act

of 1965, addresses hazardous (Subtitle C) and solid (Subtitle D) waste management activities. Subtitle C of

RCRA, 42 U.S. Code (USC) sections 6921-6939b, establishes standards and procedures for the handling, storage,

treatment, and disposal of hazardous waste. For example, RCRA prohibits the placement of bulk or

noncontainerized liquid hazardous waste or free liquids containing hazardous waste into a landfill. It also

prohibits the “land disposal” of specified wastes and disposal of hazardous waste through underground injection

within 1/4 mile (0.40 km) of an underground source of drinking water. Pursuant to Subtitle C of RCRA, the

Environmental Protection Agency (EPA) promulgated regulations at 40 CFR Parts 260-299, establishing a

“cradle-to-grave” system that governs hazardous waste from the point of generation to its treatment or disposal.

RCRA also governs the management of used oil. Regulations promulgated under RCRA (40 CFR 279) establish

management standards for used oil generators, collection center aggregation points, transporters, transporter

facilities, used oil processors, rerefineries, used oil burners who burn off-specification used oil for energy

recovery, used oil fuel marketers, and for use and disposal of oil used as a dust suppressant.

The 1984 Hazardous and Solid Wastes Amendments (HSWA) greatly expanded the requirements and coverage

of RCRA. A significant provision of HSWA is the prohibition on the land disposal of hazardous waste. The land

disposal restrictions (LDRs) promulgated by EPA essentially ban the disposal of untreated liquid hazardous

waste or hazardous waste containing free liquids in landfills and establish treatment standards for these wastes. In

addition to the new statutory and regulatory requirements imposed by HSWA, a new subtitle to the act was

created to govern underground storage tanks (USTs). This document does not provide audit guidance for

underground or above ground storage tanks regulated under RCRA. Audit guidance and technical

information on above and underground storage tanks is provided by EPA in a separate protocol titled Protocol for

Conducting Environmental Compliance Audits of Underground and Above Ground Storage Tanks and is

expected to be available in 1999.

After assessing air emissions at TSDFs, the EPA ascertained that volatile organic chemicals (VOCs) adversely

affect human health and the environment. In response, EPA promulgated three subparts of RCRA rules designed

to control VOCs. In 1990, EPA issued Subparts AA and BB, which amended 40 CFR Parts 264 and 265. Subpart

AA governs organic chemical emissions from certain hazardous waste treatment processes, while Subpart BB

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 1

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

governs equipment that contains or contacts hazardous waste with at least 10% organic chemicals by weight.

Subpart CC includes requirements for controlling VOC emissions from tanks, surface impoundments, containers,

and certain miscellaneous “Subpart X” units. The Subpart CC Final Rule was signed on December 6, 1994, and

the Final Rule Amendments were signed on October 4, 1996.

State and Local Regulations

RCRA encourages states to develop their own parallel regulatory programs for hazardous waste management.

This includes the enacting of statutory authority and operating hazardous waste regulatory programs. Many states

have met the requirements established by EPA in 40 CFR 271 (Requirements for Authorization of state

Hazardous Waste Programs) and have been approved to manage their own state programs. Many states have

adopted the EPA regulations by reference or have promulgated regulations that are identical to the EPA

regulations, while other states have promulgated regulations stricter than the federal RCRA. These differences

between individual state regulations and the federal program require that auditors check the status of their state's

authorization and then determine which regulations apply. For example, some states have listed additional waste

as hazardous waste (used oil, PCBs, asbestos). Since the section checklists are based exclusively on the

requirements of the federal RCRA program, the auditor should determine in what ways the applicable state

program differs from the federal program and tailor this checklist accordingly.

Key Compliance Requirements

Financial Responsibility

Owners/operators of hazardous and solid waste landfills have financial assurance responsibilities as defined in

Subpart H of 40 CFR Parts 258, 264, and 265. A written estimate of costs for closure, post-closure care, liability

and sudden and non-sudden occurrences is required. These estimates are to be updated annually; some states may

require a more frequent update.

Permitted TSDF Requirements

The operation of a TSDF is subject to regulation and permitting under federal and state regulations. These

regulations are both administrative as well as technical in nature. The administrative standards require that

various plans be developed to ensure that emergencies can be dealt with, waste received is properly identified,

and operating personnel are adequately trained to operate the TSDF and respond to emergencies. These

administrative standards also include requirements that the TSDF be inspected routinely, records of operations be

compiled and maintained, and reports of both routine and contingency operations be made to the applicable

regulatory agency. The administrative standards also require that a plan for ceasing operations and closing the

TSDF be developed, kept on-hand, and updated frequently.

The technical standards which are applicable to TSDFs fall into two classes: general standards which apply to all

TSDFs, and specific standards which apply to various types of facilities (e.g., container storage areas, tanks,

containment buildings, surface impoundments, waste piles, land treatment facilities, incinerators, landfills,

thermal treatment facilities, and chemical, physical, biological treatment facilities).

Administrative and technical standards are applied to a particular facility through a RCRA permit issued to a

facility. New TSDFs requiring a permit must submit a two part permit application. Part A is a short, standard

form that collects general information about the facility, while Part B of the application is much more extensive

and requires the facility to supply detailed and highly technical information. This submission must be made at

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 2

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

least 180 days prior to the date on which physical construction is expected to start. Once issued, RCRA permits

are valid up to 10 years.

TSDFs fall into two categories: interim status facilities and permitted facilities. Interim status regulations (40

CFR Part 265) apply to facilities that are eligible to operate under a Part A permit while their Part B permit

application is being reviewed. Any facility that is in existence on the effective date of the statutory or regulatory

amendments that render the facility subject to permitting requirements is eligible for interim status, provided that

the facility notifies EPA of hazardous waste activity and complies with application requirements under 40 CFR

Part 270.10. Interim status standards are “good housekeeping” types of requirements that must be addressed until

a permit is issued. TSDF permit standards (40 CFR Part 264) are facility-specific requirements that are

incorporated into a TSDF permit.

TSDF Requirements - Subpart CC

Subpart CC applies to tanks, surface impoundments, containers, and certain miscellaneous units that:

• are not expressly exempted from the rule;

• are subject to permit standards (40 CFR 264), interim status standards (40 CFR 265), or less-than 90-day

LQG standards (40 CFR 262.34 (a)(1)(i) or (ii) for tanks and containers); and

• manage hazardous waste that have an average volatile organic concentration at the point of waste origination

equal to or greater than 500 parts per million by weight (ppmw).

Transport Requirements

Containers of hazardous waste shipped offsite must be labeled to identify the waste and its hazard class.

Shipments from the facility to an off-site TSDF must also be accompanied by manifests and are subject to the full

transportation requirements as stipulated in Department of Transportation (DOT) hazardous materials

transportation regulations.

For further information regarding the RCRA regulations, contact U.S. EPA’s RCRA/UST, Superfund and

EPCRA Hotline at 800-424-9346 (or 703-412-9810 in the D.C. area) from 9 a.m. to 6 p.m., Monday through

Friday.

This EPA hotline provides up-to-date information on regulations developed under RCRA, CERCLA

(Superfund), and the Oil Pollution Act. The hotline can assist with Section 112(r) of the Clean Air Act (CAA)

and Spill Prevention, Control and Countermeasures (SPCC) regulations. The hotline also responds to

requests for relevant documents and can direct the caller to additional tools that provide a more detailed

discussion of specific regulatory requirements.

Key Terms and Definitions

Acknowledgement of Consent

The cable sent to the EPA from the U.S. Embassy in a receiving country that acknowledges the written consent of the

receiving country to accept the hazardous waste and describes the terms and conditions of the receiving country's

consent to the shipment (40 CFR 262.51).

Active Life

The period from the initial receipt of hazardous waste at the facility until the regulatory agency receives

certification of final closure (40 CFR 260.10).

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 3

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Active Portion

That portion of a facility where treatment, storage, or disposal operations are being or have been conducted and

which is not a closed portion (40 CFR 260.10).

Acute Hazardous Waste

Any waste listed under 40 CFR 261.31 through 261.33(c) with a hazard code of H. These include EPA hazardous

waste numbers: F020, F021, F022, F023, F026, and F027 (40 CFR 261.31) and the P listed wastes in 40 CFR

261.33(e).

Aquifer

A geologic formation, group of formations, or part of a formation capable of yielding a significant amount of

groundwater to wells or springs (40 CFR 260.10).

Average Volatile Organic (VO) Concentration

The mass-weighted average VO concentration of a hazardous waste (40 CFR 265.1081).

Boiler

An enclosed device using controlled flame combustion and having the following characteristics (40 CFR 260.10):

• The unit has physical provisions for recovering and exporting thermal energy in the form of steam, heated

fluids, or heated gases;

• The unit's combustion chamber and primary energy recovery section(s) must be of integral design;

• While in operation the unit maintains a thermal energy recovery efficiency of at least 60 percent;

• The unit has been approved by the EPA’s Administrator; and

• The unit must export and utilize 75% of the recovered energy.

Certification

A statement of professional opinion based upon knowledge and belief (40 CFR 260.10).

Characteristics of Hazardous Waste

The characteristics of ignitability, corrosivity, reactivity, and toxicity, which identify a waste as hazardous waste

(40 CFR 261.20 through 261.24).

Closed Portion

The portion of a facility that has been closed in accordance with the approved closure plan and all applicable

closure requirements (40 CFR 260.10).

Competent Authorities

The regulatory authorities of concerned countries having jurisdiction over transfrontier movements of wastes destined

for recovery operations (40 CFR 262.81).

Consignee

The ultimate treatment, storage, or disposal facility in a receiving country to which the hazardous waste will be sent (40

CFR 262.51).

Container

Any portable device in which a material is stored, transported, treated, disposed of, or otherwise handled (40

CFR 260.10).

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 4

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Containment Building

A hazardous waste management unit that is used to store or treat hazardous waste under 40 CFR 264.1100

through 264.1103 and 40 CFR 265.1100 through 265.1103 (40 CFR 260.10).

Contingency Plan

A document setting out an organized, planned, and coordinated course of action to be followed in case of a fire,

explosion, or release of hazardous waste or hazardous waste constituents which could threaten human health or

the environment (40 CFR 260.10).

Corrective Action Management Unit (CAMU)

An area within a facility that is designated by the regulatory agency under 40 CFR 264 Subpart S, for the purpose

of implementing corrective action requirements under 264.101 and RCRA section 3008(h). A CAMU shall only

be used for the management of remediation wastes pursuant to implementing such corrective action requirements

at the facility (40 CFR 260.10).

Cover

A device that provides a continuous barrier over the hazardous waste managed in a unit to prevent or reduce air

pollutant emissions to the atmosphere. A cover may have openings (such as access hatches, sampling ports, gauge

wells) that are necessary for operation, inspection, maintenance, and repair of the unit on which the cover is used. A

cover may be a separate piece of equipment which can be detached and removed form the unit or a cover may be

formed by structural features permanently integrated into the design of the unit (40 CFR 265.1081).

Debris

Solid material exceeding a 60 mm particle size that is intended for disposal and that is a manufactured object,

plant or animal matter, or natural geologic material. The following materials are not debris: any material for

which a specific treatment standard is provided; process residuals such as smelter slag and residues from the

treatment of waste, wastewater, sludges, or air emissions residues; and intact containers of hazardous waste that

are not ruptured and retain at least 75 percent of their original volume (40 CFR 268.2).

Designated Facility

A hazardous waste TSDF that is identified on a manifest as the destination of a hazardous waste shipment. The

facility must have an appropriate permit, interim status, or be regulated under specific recycling requirements (40

CFR 260.10).

Detonation

An explosion in which chemical transformation passes through the material faster than the speed of sound (0.33

km/s at sea level) (40 CFR 265.382).

Dike

An embankment or ridge of either natural or man-made materials used to prevent the movement of liquids,

sludges, solids, or other materials (40 CFR 260.10).

Discharge or Hazardous Waste Discharge

The accidental or intentional spilling, leaking, pumping, pouring, emitting, emptying, or dumping of hazardous

waste into or on any land or water (40 CFR 260.10).

Disposal

The discharge, deposit, injection, dumping, spilling, leaking, or placing of any solid waste or hazardous waste

into or on any land or water so that such solid waste or hazardous waste or any constituent thereof may enter the

environment or be emitted into the air or discharged into any waters, including groundwaters (40 CFR 260.10).

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 5

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Do-it-Yourselfer Used Oil Collection Center

Any site or facility that accepts/aggregates and stores used oil collected only from household do-it-yourselfers.

Elementary Neutralization Unit

A device used for neutralizing only those hazardous wastes that exhibit corrosivity (as defined in 40 CFR 261.22)

or are listed in Subpart D of 40 CFR 261 only because of corrosivity and that meets the definition of tank, tank

system container, transport vehicle, or vessel in 40 CFR 261.10 (40 CFR 260.10).

Enclosure

A structure that surrounds a tank or container, captures organic vapors emitted from the tank or container, and vents the

captured vapors through a closed-vent system to a control device (40 CFR 265.1081).

EPA Hazardous Waste Number

The number assigned by EPA to each hazardous waste listed in Part 261, Subpart D and to each characteristic

identified in Part 261, Subpart C (40 CFR 260.10).

EPA Identification Number

The number assigned by EPA to each generator, transporter, and treatment, storage, or disposal facility (40 CFR

260.10).

Existing Hazardous Waste Management Facility or Existing Facility

A facility which was in operation or for which construction commenced on or before November 19, 1980 (40

CFR 260.10).

Existing Portion

The land surface area of an existing waste management unit, included in the original Part A permit application,

on which wastes have been placed prior to the issuance of a permit (40 CFR 260.10).

External Floating Roof

A pontoon or double-deck type floating roof that rests on the surface of a hazardous waste being managed in a tank that

has no fixed roof (40 CFR 265.1081).

Facility

All contiguous land and structures, other appurtenances, and improvements on the land, used for treating, storing,

or disposing of hazardous waste. A facility may consist of several treatment, storage, or disposal operational units

(e.g., one or more landfills, surface impoundments, or combination of them) (40 CFR 260.10).

Final Closure

The closure of all hazardous waste management units at the facility in accordance with all applicable closure

requirements so that hazardous waste management activities under 40 CFR Parts 264 and 265 are no longer

conducted at the facility unless subject to the provisions of §262.34 (40 CFR 260.10).

Fixed Roof

A cover that is mounted on a unit in a stationary position and does not move with fluctuations in the level of material

managed in the unit (40 CFR 265.1081).

Floating Membrane Cover

A cover consisting of a synthetic flexible membrane material that rests upon and is supported by the hazardous waste

being managed in a surface impoundment (40 CFR 265.1081).

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 6

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Floating Roof

A cover consisting of a double deck, pontoon single deck, or internal floating cover which rests upon and is supported

by the material being contained, and is equipped with a continuous seal (40 CFR 265.1081).

Food-Chain Crops

Tobacco, crops grown for human consumption, and crops grown for feed for animals whose products are

consumed by humans (40 CFR 260.10).

Free Liquids

Liquids which readily separate from the solid portion of a waste under ambient temperature and pressure (40

CFR 260.10).

Groundwater

Water below the land surface in a zone of saturation (40 CFR 260.10).

Halogenated Organic Compounds (HOC)

Those compounds having a carbon-halogen bond which are listed in Appendix A (40 CFR 268.2).

Hazardous Debris

Debris that contains a hazardous waste or that exhibits a characteristic of hazardous waste (40 CFR 268.2).

Hazardous Waste

A solid waste identified as a characteristic or listed hazardous waste in 40 CFR 261.3 (40 CFR 260.10).

Hazardous Waste Constituent

A constituent that caused the hazardous waste to be listed in 40 CFR Part 261, Subpart D (lists of hazardous

wastes from non-specific and specific sources, and listed hazardous wastes), or a constituent listed in the table of

maximum concentrations of contaminants for the toxicity characteristic) (40 CFR 260.10).

Hazardous Waste Management Unit

A contiguous area of land on or in which hazardous waste is placed, or the largest area in which there is

significant likelihood of mixing hazardous waste constituents in the same area. Examples include a surface

impoundment, a waste pile, a treatment area, a landfill cell, an incinerator, a tank and its associated piping and

underlying containment system, and a container storage area. A container alone does not constitute a unit; the

unit includes containers and the land or pad upon which they are placed (40 CFR 260.10).

In Light Liquid Service

The piece of equipment contains or contacts a waste stream where the vapor pressure of one or more of the organic

components in the stream is greater than 0.3 kPa at 20

C, the total concentration of the pure organic 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 (40 CFR 264.1031).

In Light Material Service

The container is used to manage a material for which both of the following conditions apply:

• The vapor pressure of one or more of the organic constituents in the material is greater than 0.3 kPa at 20

• The total concentration of the pure organic constituents having a vapor pressure greater than 0.3 kPa at 20

C is

equal to or greater than 20 percent by weight (40 CFR 265.1081).

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 7

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Incinerator

An enclosed device using controlled flame combustion that neither meets the criteria for classification as a boiler

nor is listed as an industrial furnace (40 CFR 260.10).

Incompatible Waste

A hazardous waste that is unsuitable for:

• Placement in a particular device or facility because it may cause corrosion or decay of containment materials

(e.g., container liners or tank walls); or

• Commingling with another waste or material under uncontrolled conditions because the commingling

conditions produce heat or pressure; fire or explosion; violent reaction; toxic dusts, mist, fumes, or gases; or

flammable fumes or gases (40 CFR 260.10).

Industrial Furnace

Any of the following enclosed devices that are integral components of manufacturing processes and that use controlled

flame devices to accomplish recovery of materials or energy: cement kilns, lime kilns, aggregate kilns, phosphate kilns,

coke ovens, blast furnaces, smelting, melting and refining furnaces, titanium dioxide chloride process oxidation

reactors, methane reforming furnaces, pulping liquor recovery furnaces, combustion devices used in the recovery of

sulfur values from spent sulfuric acid, halogen acid furnaces, and other devices designated by the administrator (40

CFR 260.10).

Injection Wells

A well into which fluids are injected (40 CFR 260.10).

Inner Liner

A continuous layer of material placed inside a tank or container which protects the construction materials of the

tank or container from the contained waste or reagents used to treat the waste (40 CFR 260.10).

International Shipment

The transportation of hazardous waste into or out of the jurisdiction of the United States (40 CFR 260.10).

Land Disposal

Includes, but is not limited to, any placement of hazardous waste in a landfill, surface impoundment, waste pile,

injection well, land treatment facility, salt dome formation, underground mine or cave, or placement in a concrete

vault or bunker intended for disposal purposes (40 CFR 268.2).

Land Treatment Facility

A facility or part of a facility at which hazardous waste is applied onto or incorporated into the soil surface; such

facilities are disposal facilities if the waste will remain after closure (40 CFR 260.10).

Landfill

A disposal facility or part of a facility where hazardous waste is placed in or on land and which is not a land

treatment facility, a surface impoundment, an underground injection well, a salt bed formation, an underground

mine, or a cave (40 CFR 260.10).

Landfill Cell

A discrete volume of a hazardous waste landfill which uses a liner to provide isolation of wastes from adjacent

cells or wastes. Examples include trenches and pits (40 CFR 260.10).

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 8

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Leachate

Any liquid, including any suspended components in the liquid, that has percolated through or drained from

hazardous waste (40 CFR 260.10).

Leak Detection System

A system capable of detecting the failure of either the primary or secondary containment structure or the presence

of a release of hazardous waste or accumulated liquid in the secondary structure. Such a system must employ

operational controls (e.g., daily visible containment for releases into the secondary containment system of

aboveground tanks) or consist of an interstitial monitoring device designed to detect continuously and

automatically the failure of the primary or secondary containment structure or the presence of a release of

hazardous waste into the secondary containment structure (40 CFR 260.10).

Liner

A continuous layer of natural or man-made materials, beneath or on the sides of a surface impoundment, landfill,

or landfill cell, which restricts the downward or lateral escape of hazardous waste, hazardous waste constituents,

or leachate (40 CFR 260.10).

Malfunction

Any sudden, infrequent, and not reasonably preventable failure of air pollution control equipment, process equipment,

or a process to operate in a normal or usual manner. Failures that are caused in part by poor maintenance or careless

operations are not malfunctions (40 CFR 265.1081).

Management or Hazardous Waste Management

The systematic control of the collection, source separation, storage, transportation, processing, treatment,

recovery, and disposal of hazardous waste (40 CFR 260.10).

Management Practice (MP)

Practices which, although not mandated by law, are encouraged to promote safe operating procedures.

Manifest

The shipping document originated and signed by the generator containing the information required by 40 CFR

262, Subpart B (40 CFR 260.10).

Manifest Document Number

The EPA 12-digit number assigned to the generator plus a unique 5 digit number assigned to the manifest by the

generator for recording and reporting purposes (40 CFR 260.10).

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 9

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Miscellaneous Unit

A hazardous waste management unit where hazardous waste is treated, stored, or disposed of and that is not a

container, tank, surface impoundment, pile, land treatment unit, landfill, incinerator, boiler, industrial furnace,

underground injection well with appropriate technical standards under 40 CFR 146, containment building, or unit

eligible for a research development and demonstration permit under 40 CFR 270.65 (40 CFR 260.10

Movement

Hazardous waste transported to a facility in an individual vehicle (40 CFR 260.10).

New Hazardous Waste Management Facility

A facility which began operation, or for which construction commenced after October 21, 1976 (40 CFR 260.10).

No Detectable Emissions

No escape of organics to the atmosphere as determined by using the procedures specified in 40 CFR 265.1084(d) (40

CFR 265.1081).

Nonwastewaters

Wastes that do not meet the criteria for wastewaters (40 CFR 268.2) (see definition of wastewaters).

Notifier

The person under jurisdiction of the exporting country who has, or will have at the time the planned transfrontier

movement commences, possession or other forms of legal control of the wastes and who proposes their transfrontier

movement for the ultimate purpose of submitting them to recovery operations. When the United States is the exporting

country, notifier is interpreted to mean a person domiciled in the U.S. (40 CFR 262.81).

OECD Country

Designated member countries of the Organization for Economic Cooperation and Development (OECD) consisting of

Austria, Belgium, Denmark, Finland, France, Germany, Greece, Iceland, Ireland, Italy, Japan, Luxembourg,

Netherlands, New Zealand, Norway, Portugal, Spain, Sweden, Switzerland, Turkey, United Kingdom, and the United

States. Canada and Mexico are considered OECD member countries under the RCRA regulations only for the purpose

of transit (40 CFR 262.58).

Onsite

On the same or geographically continuous property which may be divided by a public right-of-way, provided the

entrance and exit between the properties is at a cross-roads intersection and access is by crossing as opposed to

going along the right-of-way (40 CFR 260.10).

Open Burning

Combustion of any material without the following characteristics (40 CFR 260.10):

• Control of combustion air to maintain adequate temperature for efficient combustion,

• Containment of the combustion-reaction in an enclosed device to provide sufficient residence time and

mixing for complete combustion,

• Control of emission of the gaseous combustion products.

Partial Closure

The closure of a hazardous waste management unit in accordance with the applicable closure requirements of 40

CFR 264 and 265 at a facility that contains other active hazardous waste management units. For example, partial

closure may include the closure of a tank (including its associated piping and underlying containment systems)

while other units of the same facility continue to operate (40 CFR 260.10).

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 10

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Pile

Any non-containerized accumulation of solid, nonflowing hazardous waste that is used for treatment or storage

that is not a containment building (40 CFR 260.10).

Point of Waste Treatment

The point where a hazardous waste exits a waste management unit used to destroy, degrade, or remove organics in the

hazardous waste (40 CFR 265.1081).

Point Source

Any discernible, confined, and discrete conveyance, including but not limited to any pipe, ditch, channel, tunnel,

conduit, well, discrete fissure, container, rolling stock, concentrated animal feeding operation, or vessel or

floating craft, from which pollutants are or may be discharged. This term does not include return flows from

irrigated agriculture (40 CFR 260.10).

Pollution Prevention

The term includes equipment or technology modifications; process or procedure modifications; reformulation or

redesign of products; substitution of raw materials; and improvements in housekeeping, maintenance, training or

inventory control as defined in the Pollution Prevention Act.

Primary Exporter

Any person who is required to originate the manifest for a shipment of hazardous waste in accordance with 40 CFR

262, Subpart B or an equivalent state provision, that specifies a treatment, storage, or disposal facility in a receiving

country as the facility to which the hazardous waste will be sent and any intermediate arranging for the export (40 CFR

262.51).

Prohibited Wastes

A subset of restricted wastes (under the land disposal restriction (LDR) regulations) that have established treatment

standards, are not subject to variances or waiver, and do not meet the respective treatment standard.

Publicly Owned Treatment Works (POTW)

Any device or system used in the treatment (including recycling and reclamation) of municipal sewage or

industrial wastes of a liquid nature which is owned by a state or municipality (as defined by section 502(4) of the

CWA). This definition includes sewers, pipes, or other conveyances only if they convey wastewater to a POTW

providing treatment (40 CFR 260.10).

Pump Operating Level

A liquid level proposed by the owner or operator and approved by the regulatory agency based on pump

activation level, sump dimensions, and level that avoids backup into the drainage layer and minimizes head in the

sump (40 CFR 264.226(d)(3)).

Qualified Groundwater Scientist

A scientist or engineer who has received a baccalaureate or postgraduate degree in the natural sciences or

engineering and has sufficient training and experience in groundwater hydrology and related fields as may be

demonstrated by state registration, professional certification, or completion of accredited university courses that

enable that individual to make sound professional judgments regarding groundwater monitoring and contaminant

fate and transport (40 CFR 260.10).

RCRA Permit Programs

RCRA regulations under 40 CFR 258.50-258.58 outline the requirements of a groundwater monitoring and

corrective action program. RCRA regulations under 40 CFR 264 and 265 require that any facility that treats,

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 11

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

stores or disposes of hazardous waste must apply to the state for an operating permit. If the state has not yet

given final approval or denial of the permit application, then the facility is considered an “interim status” facility,

and the temporary permit issued by the state is called a “Part A permit.” If a final permit, called a “Part B

permit” has been issued, then the facility is considered a Treatment, Storage, and Disposal Facility (TSDF). The

facility RCRA permit, whether it is Part A or B, will have requirements in it for groundwater monitoring and

those requirements tend to differ from state to state.

In the federal regulations, there are basic requirements for both interim status facilities and TSDFs including the

development and maintenance of a groundwater monitoring program. The programs generally have different

levels of requirements depending on the potential level of groundwater contamination at the facility, and

proximity to sensitive receptors.

Receiving Country

A foreign country to which a hazardous waste is sent for the purpose of treatment, storage, or disposal (except short-

term storage incidental to transportation) (40 CFR 262.51).

Regional Administrator

The Regional Administrator for the EPA Region in which the facility is located, or his designee.

Replacement Unit

A landfill, surface impoundment or waste pile unit (40 CFR 260.10) from which all or substantially all of the

waste is removed, and that is subsequently reused to treat, store, or dispose of hazardous waste. This does not

apply to a unit from which waste is removed during closure, if the subsequent reuse solely involves the disposal

of waste from that unit and other closing units or corrective action areas at the facility, in accordance with an

approved closure plan or EPA or state approved corrective action.

Representative Sample

A sample of a universe or whole (e.g., waste pile, lagoon, groundwater) which can be expected to exhibit the

average properties of the universe or whole (40 CFR 260.10).

Re-Refining Distillation Bottoms

The heavy fraction produced by vacuum distillation of filtered and dehydrated used oil. The composition of still

bottoms varies with column operation and feedstock.

Restricted Wastes

The RCRA hazardous wastes that are subject to the LDR program. A waste is restricted if EPA has established a

treatment standard for it, or if it has been specifically designated by Congress as ineligible for land disposal.

Runoff

Any rainwater, leachate, or other liquid that drains from any part of a facility (40 CFR 260.10).

Run-on

Any rainwater, leachate, or other liquid that drains onto any part of a facility (40 CFR 260.10).

Sludge

Any solid, semi-solid, or liquid waste generated from a municipal, commercial, or industrial wastewater

treatment plant, water supply treatment plant, or air pollution control facility exclusive of the treated effluent

from a wastewater treatment plant (40 CFR 260.10).

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 12

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Storage

The holding of hazardous wastes for a temporary period, at the end of which the hazardous wastes are treated,

disposed of, or stored elsewhere (40 CFR 260.10).

Sump

Any pit or reservoir that meets the definition of tank and those troughs/trenches connected to it that serve to

collect hazardous waste for transport to hazardous waste TSDFs. Except that as used in the landfill, surface

impoundment, and waste pile rules, “sump” means any lined pit or reservoir that serves to collect liquids drained

from a leachate collection and removal system or leak detection system for subsequent removal from the system

(40 CFR 260.10).

Surface Impoundment

A facility or part of a facility that is a natural topographic depression, manmade excavation, or diked area formed

primarily of earthen materials designed to hold an accumulation of liquid wastes or wastes containing free liquids

and which is not an injection well (40 CFR 260.10).

Thermal Treatment

The treatment of hazardous waste in a device that uses elevated temperature as the primary means to change the

chemical, physical, or biological character or composition of the hazardous waste (40 CFR 260.10).

Totally Enclosed Treatment Facility

A facility for the treatment of hazardous waste which is directly connected to an industrial production process and

which is constructed and operated in a manner which prevents the release of any hazardous waste or any constituent

thereof into the environment during treatment. An example is a pipe in which waste acid is neutralized (40 CFR

260.10).

Transfer Facility

Any transportation-related facility including loading docks, parking areas, storage areas and other similar areas

where shipments of hazardous wastes are kept during the normal course of transportation (40 CFR 260.10).

Transfrontier Movement

Any shipment of hazardous wastes destined for recovery operations from an area under the national jurisdiction of one

OECD member country to an area under the national jurisdiction of another OECD country (40 CFR 262.81).

Transit Country

Any foreign country, other than a receiving country, through which a hazardous waste is transported (40 CFR 260.10).

Transport Vehicle

A motor vehicle or rail car used for the transportation of cargo by any mode. Each cargo-carrying body (trailer,

railroad freight car, etc.) is a separate transport vehicle (40 CFR 260.10).

Transporter

A person engaged in the offsite transportation of hazardous wastes by air, rail, highway, or water (40 CFR

260.10).

Treatability Study

A study in which a hazardous waste is subjected to a treatment process to determine (40 CFR 260.10):

• Whether the waste is amenable to the treatment process,

• What pretreatment (if any) is required,

• The optimal process conditions needed to achieve the desired treatment,

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 13

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

• The efficiency of a treatment process for a specific waste or wastes, or

• The characteristics and volumes of residuals from a particular treatment process.

Also included in this definition for the purpose of the 40 CFR 261.4(e) and (f) exemptions are liner compatibility,

corrosion, and other material compatibility studies and toxicological and health effects studies. A treatability

study is not a means to commercially treat or dispose of hazardous waste.

Treatment

Any method, technique, or process, including neutralization, designed to change the physical, chemical or

biological character or composition of any hazardous waste so as to neutralize such waste, or so as to recover

energy or material resources from the waste, or so as to render such waste nonhazardous, or less hazardous; safer

to transport, store, or dispose of; or amenable for recovery, amenable for storage, or reduced in volume (40 CFR

260.10).

Treatment Zone

A soil area of the unsaturated zone of a land treatment unit within which hazardous constituents are degraded,

transformed, or immobilized (40 CFR 260.10).

Underground Injection

The subsurface emplacement of fluids through a bored, drilled or driven well; or through a dug well, where the

depth of the dug well is greater than the largest surface dimension (40 CFR 260.10).

Unsaturated Zone or Zone of Aeration

The zone between the land surface and the water table (40 CFR 260.10).

United States

The 50 states, the District of Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam,

American Samoa, and the Commonwealth of the Northern Mariana Islands (40 CFR 260.10).

Uppermost Aquifer

The geologic formation nearest the natural ground surface that is an aquifer, as well as lower aquifers that are

hydraulically interconnected with this aquifer within the facility's property boundary (40 CFR 260.10).

Volatile Organic Concentration

The fraction by weight of the volatile organic compounds in a hazardous waste expressed in terms of ppmw as

determined by direct measurement or by knowledge of the waste (40 CFR 265.1081).

Waste Stabilization Process

Any physical or chemical process used to either reduce the mobility of hazardous constituents in a hazardous waste or

eliminate free liquids (40 CFR 265.1081).

Wastewater Treatment Unit

A device that (1) is part of a wastewater treatment facility subject to regulation under section 402 or 307(b) of the

CWA; and (2) receives and treats or stores an influent wastewater that is a hazardous waste (as defined in 40

CFR 261.3), or that generates and accumulates a wastewater treatment sludge that is a hazardous waste, or treats

or stores a wastewater treatment sludge; and (3) meets the definition of tank or tank system (40 CFR 260.10).

Wastewaters

Wastes that contain less than one percent by weight total organic compounds and total suspended solids (40 CFR

268.2).

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 14

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Zone of Engineering Control

An area under the control of the owner/operator that upon detection of a hazardous waste release, can be readily

cleaned up before the release of hazardous waste or hazardous constituents to groundwater or surface water (40

CFR 260.10).

Typical Records to Review

• Hazardous substance spill control and contingency plan;

• Land disposal restriction certifications;

• Emergency plan documents;

• Placarding of hazardous waste and hazardous materials;

• Location map of TSDF;

• Employee training documentation;

• Spill records;

• Permits, if issued, otherwise Part A Application;

• Unmanifested waste reports;

• TSDF audit reports (inspection log);

• Waste analysis plan(s);

• Operating record;

• Groundwater monitoring records and annual reports (where required);

• Biennial reports, closure/post-closure plans, closure/post-closure notices (where applicable); and

• Other documents as required by the permit

If the TSDF is also a generator, refer to the protocol for hazardous waste generators for applicable requirements.

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 15

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Typical Physical Features to Inspect

• Disposal sites;

• Incinerators;

• Vehicles used for transport;

• Container storage areas and containment buildings;

• Surface impoundments;

• Marshaling facilities;

• Fuel burners;

• Site security measures (e.g., door locks, fencing, etc.);

• Posted signs;

• Communication equipment; and

• Bulk storage tank areas.

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 16

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Index for Checklist Users

Refer To

Checklist Items Page Numbers

All Facilities DF.1 through DF.4 19

Transportation of Hazardous Waste DF.5 through DF.9 20-21

All Treatment, Storage

and Disposal Facilities (TSDFs)

� General

� Personnel Training

� Containers

� Container Storage Areas

� Containment Buildings

� Restricted Wastes

� Emissions from Process Vents

� Air Emissions Standards for

Equipment Leaks

� Documentation Requirements

� Surface Impoundments

� Waste Piles

� Land Treatment Units

� Hazardous Waste Landfills

� Closure

DF.10 through DF.19

DF.20 through DF.21

DF.22 through DF.33

DF.34 through DF.36

DF.37 through DF.43

DF.44 through DF.49

DF.50 through DF.55

DF.56 through DF.65

DF.66 through DF.76

DF.77 through DF.83

DF.84

DF.85

DF.86

DF.87 through DF.91

21-24

26-35

35-36

36-39

39-42

42-48

49-55

55-59

60-69

71-72

Additional Requirements for

Permitted TSDFs

� General

� Surface Impoundments

� Waste Piles

� Land Treatment Units

� Hazardous Waste Landfills

� Incinerators

� Miscellaneous Units

DF.92 through DF.108

DF.109 through DF.119

DF.120 through DF.124

DF.125 through DF.131

DF.132 through DF.135

DF.136 through DF.139

DF.140 through DF.142

72-77

77-80

81-83

83-85

86-87

88-89

90-91

Additional Requirements for Interim

Status TSDFs

� General

� Surface Impoundments

� Waste Piles

� Land Treatment Units

� Hazardous Waste Landfills

� Incinerators

� Thermal Treatment

� Chemical/Physical/ Biological

Treatment

DF.143 through DF.151

DF.152 through DF.155

DF.156 through DF.159

DF.160 through DF.163

DF.164

DF.165 through DF.169

DF.170 through DF.172

DF.173 through DF.175

91-93

94-95

96-97

98-99

100

101-102

103

104

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 17

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Refer To

Checklist Items Page Numbers

Export/Import of Hazardous Waste

� Exports of Hazardous Waste for

Recovery Within the OECD

Member Countries

� Exports of Hazardous Waste

(Except to the OECD Member

Countries) for Recovery

� Imports of Hazardous Waste for

Recovery Within the OECD

Member Countries

� Imports of Hazardous Waste

(Except from the OECD

Member Countries) for

Recovery

DF.176 through DF.182

DF.183 through DF.190

DF.191 through DF.196

DF.197 through DF.198

105-108

109-110

111-112

112

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 18

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Checklist

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

All Facilities

DF.1. The current status of any

ongoing or unresolved Consent

Orders, Compliance

Agreements, Notices of Violation

(NOVs), or equivalent state

enforcement actions should be

examined.

Determine if noncompliance issues have been resolved by reviewing a copy of the

previous report, Consent orders, compliance agreements, NOVs, interagency

agreements or equivalent state enforcement actions.

For those open items, indicate what corrective action is planned and milestones

established to correct problems.

DF.2. Facilities are required to

comply with all applicable

federal regulatory requirements

not contained in this checklist.

Determine if any new regulations have been issued since the finalization of the guide.

If so, annotate checklist to include new standards.

Determine if the facility has activities or facilities which are federally regulated, but not

addressed in this checklist.

Verify that the facility is in compliance with all applicable and newly issued regulations.

DF.3. Facilities are required to

comply with state and local

regulations concerning

hazardous waste management.

Verify that the facility is abiding by state and local hazardous waste requirements.

Verify that the facility is operating according to permits issued by the state or local

agencies where approved.

(NOTE: Issues typically regulated by state and local agencies include:

- Additional manifesting requirements

- More frequent reporting requirements

- Transportation

- Identification of special waste or waste categories

- Regulation of specific substances as hazardous waste such as: medical,

pathological, and infectious waste; used oil; explosives; used batteries

- Small and very small quantity generator requirements

- RCRA permitting of oil/water separators

- Disposal requirements

- Construction and operation of storage and disposal facilities

- Satellite accumulation point requirements

- Container marking and labeling requirements.)

Verify that the actions detailed in compliance agreements are being taken according to

the schedule established in the agreements.

DF.4. Specific persons should

be designated responsible for

hazardous waste storage areas,

and the precise nature of their

responsibilities should be

specified (MP).

Verify that specific individuals have been designated responsible for hazardous waste

storage areas.

Verify that the individuals designated responsible for hazardous waste storage areas

are aware of the precise nature of their responsibilities.

Verify that required hazardous waste handling training is in personnel file.

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 19

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

Transportation of Hazardous Waste

DF.5. Transporters of hazardous

waste that is required to be

manifested must have an EPA

identification number and must

comply with manifest

management requirements (40

CFR 263.10(a), 263.10(b),

263.11, 263.20(a) through

263.20(d), 263.21 and

263.22(a)).

(NOTE: These requirements do not apply to the onsite transportation of hazardous

waste. Nor do they apply to CESQGs.)

Determine if the facility transports hazardous waste offsite using their own vehicles or

a contractor.

Verify that the transporter has an EPA identification number.

Verify that all waste accepted, transported, or offered for transport is accompanied by

a manifest.

Verify that prior to transport, the transporter signs and dates the manifest and returns a

copy to the generator prior to leaving the facility.

Verify that the transporter retains a copy of the manifest after delivery.

Verify that manifests are kept on file for three years.

(NOTE: Special issues involved in the transportation of hazardous waste by air, rail or

water are not addressed in this guide.)

DF.6. Before transporting

hazardous waste or offering

hazardous waste for

transportation offsite in the

United States, the facility must

package and label the waste in

accordance with DOT

regulations contained in 49 CFR

172, 173, 178, and 179 (40 CFR

262.30 through 262.33).

Determine what pretransport procedures for hazardous waste are used.

Inspect a sample of containers awaiting transport to verify that containers are properly

constructed and contain no leaks, corrosion, or bulges.

Examine end-seams for minor weeping that indicates drum failure.

Verify that labeling and marking on each container is compatible with the manifests.

Verify that the following information is displayed on a random sample of containers of

110 gal. (416.40 L) or less in accordance with 49 CFR 172.304:

- “HAZARDOUS WASTE - Federal Law Prohibits Improper Disposal. If found, contact

the nearest police or public safety authority or the U.S. Environmental Protection

Agency.”

- Generator's name and address

- Manifest Document Number ____.

Verify that proper DOT placarding is available for the transporter.

DF.7. Transporters of waste

offsite must take immediate

notification and clean-up action

if a discharge occurs during

transport (40 CFR 263.30 and

263.31).

Verify that transport operators have instructions to notify local authorities and take

clean-up action so that the discharge does not present a hazard.

Verify that transporters give notice to the NRC and report in writing as required by 49

CFR 171.15 and 49 CFR 171.16.

DF.8. The facility should ensure

that transportation of hazardous

wastes between buildings is

accomplished in accordance

with good management

practices to help prevent spills,

releases, and accidents (MP).

Determine if procedures exist to manage movement of hazardous wastes throughout

the facility.

Determine if drivers are trained in spill control procedures.

Determine if provisions have been made for securing wastes in vehicles during

transport.

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 20

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.9. Transporters must not

store manifested shipments in

containers meeting DOT

packaging requirements for

more than 10 days at a transfer

facility (40 CFR 263.12).

Determine if the facility has a transfer facility.

Verify the following:

- Transfer facility storage is for 10 days or less

- DOT packaging requirements are met

- Shipments are manifested and manifests accompany shipments

- Storage is consistent with good management practices.

(NOTE: Storage for more than 10 days will require a TSDF permit.)

All Treatment, Storage and Disposal Facilities (TSDFs)

General

DF.10. All permitted TSDFs are

required to meet the hazardous

waste management

requirements outlined in their

permit (40 CFR 270.10 and

270.30 through 270.33).

Determine if the facility is operating as a permitted disposal facility.

Verify that the TSDF is not treating, storing, or disposing of waste other than those

listed in their permit or for interim status facilities, their permit application.

Verify that the TSDF is meeting the requirements outlined in the permit for the

following:

- Reporting and recordkeeping

- Compliance schedules

- Allowable wastes

- Allowable activities

- Corrective action, if applicable.

DF.11. All TSDFs which have

Interim Status are required to

meet the hazardous waste

management requirements of 40

CFR 265 and apply for a Part B

permit (40 CFR 270.71 and

279.73(g)).

Determine if the TSDF is an Interim Status disposal facility.

Verify that the TSDF is only treating, storing, or disposing of wastes listed in their Part

A application.

Verify that the TSDF is meeting all the requirements for Interim Status TSDFs outlined

in 40 CFR 265.

Verify that the TSDF has submitted a Part B permit application.

DF.12. All TSDFs that store,

treat, transport, handle, or

dispose of hazardous wastes

must obtain an EPA

identification number (40 CFR

264.11 and 265.11).

Examine documentation from EPA for the facility's TSDF identification number.

Verify that the correct identification number is used on all appropriate documentation

(i.e., manifests).

DF.13. TSDFs must control

entry to the active portion of the

facility (40 CFR 264.14 and

265.14).

Verify that the following items are in place at the TSDF, unless the TSDF can

demonstrate that physical contact with the waste, structures, and equipment within the

active portion of the TSDF will not injure unknowing or unauthorized person or

livestock, and that disturbance of the waste or equipment will not cause a RCRA

violation:

- A 24-hour surveillance system (e.g., television monitors, surveillance by guards), or

a fence or natural barrier with controlled entry (an attendant, television monitors,

locked entrances, or controlled roadway access), and

- Signs with the words "Danger-Unauthorized Personnel Keep Out" posted at each

entrance and other locations as appropriate and signs are legible from 25 ft. (7.62

m).

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 21

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.14. All TSDFs must be

designed, constructed,

maintained, and operated to

minimize the possibility of a fire,

explosion, or any unplanned

release of hazardous waste or

hazardous constituents (40 CFR

264.30 through 264.37 and

265.30 through 265.37).

Determine if the following required equipment is easily accessible and in working

condition at the storage area (unless none of the hazards posed by the waste

managed at the facility would require the particular kind of equipment):

- Internal communications or alarm system capable of providing immediate

emergency instruction to facility personnel

- A telephone or hand-held two way radio, capable of summoning emergency

assistance

- Portable fire extinguishers and fire control equipment, including special

extinguishing equipment (foam, inert gas, or dry chemicals)

- Spill control equipment

- Decontamination equipment

- Fire hydrants or other source of waster (reservoir, storage tank, etc.) with adequate

volume and pressure, foam-producing equipment, or automatic sprinklers, or water

spray systems.

Determine if equipment is tested and maintained as necessary to insure proper

operation in an emergency.

Verify that sufficient aisle space is maintained to allow unobstructed movement of

personnel, fire protection equipment, spill control equipment, and decontamination

equipment to any area of the operation.

Review procedures employed by facility management to familiarize police, fire

departments, and emergency response teams with the layout of the facility, properties

of the waste being handled, and general operations as appropriate for the type of

waste and potential need for such services.

Review procedures employed by facility management to familiarize the hospital with

the site and the types of injuries that could result in an emergency as appropriate for

the type of waste and potential need for such services.

(NOTE: Where state or local authorities decline to enter into arrangements, the facility

must document this refusal in the operating record.)

DF.15. All TSDFs must take

precautions to prevent

accidental ignition or reaction of

ignitable or reactive wastes (40

CFR 264.17(a) and 265.17(a)).

Verify from the operating record and/or observation that the following safe

management practices are used:

- Wastes are separated and protected from sources of ignition or reaction

- Smoking and open flame is confined to specially designated locations when

ignitable or reactive wastes is handled

- No Smoking signs are used when necessary.

DF.16. TSDFs that treat, store or

dispose of ignitable, reactive, or

incompatible wastes must meet

specific prevention standards

(40 CFR 264.17(b) and

265.13(b)).

Verify from the operating record and/or observation that during treatment, storage, or

disposal of ignitable or reactive wastes, or during mixing of incompatible wastes and

other materials, precautions are taken to prevent the following reactions:

- Generation of extreme heat or pressure, fire or explosions, or violent reactions

- Production of uncontrolled toxic mists, fumes, dusts, or gases sufficient to threaten

human health or the environment

- Production of uncontrolled flammable fumes or gases sufficient to pose a risk of fire

or explosions

- Damage the structural integrity of the device or facility

- Threats to human health or the environment through other like means.

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 22

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.17. A detailed chemical and

physical analysis of a

representative sample, as

specified in the TSDF's waste

analysis plan, of the hazardous

waste must be obtained prior to

treatment, storage or disposal

(40 CFR 264.13(a) and

265.13(a)).

Verify that a detailed physical and chemical analysis is done of a representative

sample of the wastes prior to treatment, storage, or disposal.

(NOTE: Prior studies or published information may be included as a part of the

analysis.)

Verify that the analysis is repeated as necessary to ensure that it is accurate and up to

date, specifically when the process or operation generating the waste has changed.

Verify that for off-site facilities, the TSDF ensures that the waste matches the identity

of the waste designated on the manifest.

DF.18. Each TSDF must have

an emergency coordinator on

the TSDF premises or on call at

all times (40 CFR 264.55 and

265.55).

Verify that, at all times, there is at least one employee at the TSDF or on call with

responsibility for coordinating all emergency response measures.

Verify that the emergency coordinator is thoroughly familiar with the TSDF, the

characteristics of the waste handled, and the provisions of the contingency plan. In

addition, verify the emergency coordinator has the authority to commit the resources

needed to carry out the contingency plan.

DF.19. TSDF emergency

coordinators must follow certain

emergency procedures

whenever there is an imminent

or actual emergency situation

(40 CFR 264.56(a) through

264.56(i) and 265.56(a) through

265.56(i)).

Verify that the emergency coordinator is required to follow these emergency

procedures:

- Immediately activate facility alarms or communication systems and notify

appropriate facility, state, and local response parties

- Identify the character, exact source, amount, and a real extent of any released

materials

- Assess possible hazards to human health or the environment, including direct and

indirect effects (e.g., release of gases, surface runoff from water or chemicals used

to control fire or explosions, etc.)

- 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:

stop processes and operations at the facility when necessary to prevent fires,

explosions, or further releases

collect and contain the released waste

remove or isolate containers when necessary

- Monitor for leaks, pressure buildup, gas generation, or ruptures in valves, pipes, or

other equipment whenever appropriate

- Provide for treatment, storage, or disposal of recovered waste, contaminated soil, or

surface water, or other material immediately after emergency

- Ensure that no waste that may be incompatible with the released material is treated,

stored, or disposed of until cleanup is completed

- Ensure that all emergency equipment is cleaned and fit for its intended use before

operations are resumed

- Notify EPA, and appropriate state and local authorities that the facility is in

compliance with 40 CFR 265.56(h) before operation resumes

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 23

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

Personnel Training

DF.20. All TSDF personnel who

handle hazardous waste must

meet certain training

requirements (40 CFR 264.16(a)

through 264.16(c) and 265.16(a)

through 265.16(c)).

Ensure that the facility personnel complete classroom instruction or on-the-job training

as set forth below:

Verify that the training program is directed by a person trained in hazardous waste

management procedures and that the program includes instruction which teaches

facility personnel hazardous waste management procedures relevant to positions in

which they are employed.

Although not specified by the regulations, examples of training topics for hazardous

waste management procedures could include (but would not be limited to) the

following:

- Waste turn in procedures

- Identification of hazardous wastes

- Container use, marking, labeling and on-site transportation

- Manifesting and off-site transportation

- 90 day storage area management

- Personal health and safety and fire safety

Verify that the training program includes contingency plan implementation and is

designed to ensure that facility personnel are able to respond to emergencies

including (where applicable):

- Key parameters for automatic waste feed cut-off systems

- Procedures for using, inspecting, repairing, and replacing emergency and

monitoring equipment

- Operation of communications and alarm systems

- Response to fire or explosion

- Response to groundwater contamination incidents

- Response to leaks or spills

- Shutdown of operations.

Verify that new employee training is completed within six months of employment/

assignment.

Verify that an annual review of initial training is provided.

Verify that employees do not work unsupervised until training is completed.

Verify specifically that waste storage area managers and hazardous waste handlers

have been trained.

DF.21. Training records must be

maintained for all TSDF staff

who manage hazardous waste

(40 CFR 264.16(d), 264.16(e),

265.16(d) and 265.16(e)).

Verify through examination that training records include the following:

- Job title and description for each employee by name

- Written description of how much training each position will obtain

- Documentation of training received by name.

Determine if training records are retained for three years for former employees.

Determine if training records on current employees are maintained. (NOTE: Training

records on current employees must be maintained until the closure of the facility).

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 24

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

Containers

DF.22. Empty containers at

TSDFs previously holding

hazardous wastes must meet

the regulatory definition of empty

before they are exempted from

hazardous waste requirements

(40 CFR 261.7).

Verify that for containers or inner liners holding hazardous wastes:

- Wastes are removed that can be removed using practices commonly employed to

remove materials from that type of container (e.g., pouring, pumping, aspirating)

- No more than 2.5 cm (1 in.) of residue remains, or

- If the container is less than or equal to 110 gal. (416.40 L), no more than 3 percent

by weight of total container capacity remains, or

- When the container is greater than 110 gal. (416.40 L), no more than 0.3 percent by

weight of the total container capacity remains.

Verify that for containers that held a compressed gas, the pressure in the container

approaches atmospheric.

Verify that for a container or inner liner that held an acute hazardous waste listed in

Appendix C, one of the following is done:

- It is triple rinsed

- It is cleaned by another method identified through the literature or testing as

achieving equivalent removal

- The inner liner is removed.

DF.23. Containers used to store

hazardous waste at TSDFs must

be in good condition and not

leaking (40 CFR 264.171 and

265.171).

Verify that containers are not leaking, bulging, rusting, damaged or dented.

Verify that waste is transferred to a new container or managed in another appropriate

manner when necessary.

DF.24. Containers used at

TSDFs must be made of or lined

with materials compatible with

the waste stored in them (40

CFR 264.172 and 265.172).

Verify that containers are compatible with waste, in particular, check that strong

caustics and acids are not stored in metal drums.

DF.25. Containers at TSDFs

must be closed during storage

and handled in a safe manner

(40 CFR 264.173 and 265.173).

Verify that containers are closed except when it is necessary to add or remove waste

(check bungs and look for open funnels).

Verify that handling and storage practices do not cause damage to the containers or

cause them to leak.

DF.26. The handling of

incompatible wastes, or

incompatible wastes and

materials in containers at TSDFs

must comply with safe

management practices (40 CFR

264.17(b), 264.177, 265.17(b)

and 265.177).

Verify that incompatible wastes or incompatible wastes and materials are not placed in

the same containers unless it is done so that it does not:

- Generate extreme heat or pressure, fire, or explosion, or violent reaction

- Produce uncontrolled toxic mists, fumes, dusts, or gases in sufficient quantities to

threaten human health

- Produce uncontrolled flammable fumes or gases in sufficient quantities to pose a

risk of fire or explosions

- Damage the structural integrity of the device or TSDF or by any other like means

threaten human health.

(NOTE: Incompatible wastes as listed in Appendix D should not be placed in the same

containers.)

Verify that hazardous wastes are not placed in an unwashed container that previously

held an incompatible waste or material.

Verify that containers holding hazardous wastes incompatible with wastes stored

nearby in other containers, open tanks, piles, or surface impoundments are separated

or protected from each other by a dike, berm, wall or other device.

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 25

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.27. Containers of hazardous

waste at TSDFs should be

managed in accordance with

specific management practices

(MP).

Verify the following by inspecting the container storage areas:

- Containers are not stored more than two high and have pallets between them

- Containers of highly flammable wastes are electrically grounded (check for clips and

wires and make sure wires lead to ground rod or system)

- At least 3 ft. (0.91 m) of aisle space is provided between rows of containers.

DF.28. Containers with design

capacities greater than 0.1 m

[~26 gal.] and less than or equal

to 0.46 m

[~122 gal.] into which

hazardous waste is placed are

required to meet specific design

and operating standards (40

CFR 265.1086(a) through

265.1086(b)(1)(i), 265.1087(a)

through 265.1087(b)(1)(I) and

265.1087(c)).

(NOTE: The requirements of 40 CFR 264.1086 and 265.1087 do not apply to

containers in which all the hazardous waste entering the container meets one of the

following (40 CFR 265.1082(c) and 265.1083(c)):

- The average VO concentration of the hazardous waste at the point of waste

origination is less than 500 ppmw

- The organic content of the hazardous waste entering the waste management unit

has been reduced by an organic destruction or removal process

- The waste meets the numerical concentration limits for organic hazardous

constituents as specified in 40 CFR 268.40 or has been treated by the treatment

technology established by the regulatory agency for the waste in 268.42(a) or an

equivalent method approved by the regulatory agency pursuant to 268.42(b).)

(NOTE: These requirements do not apply to a container that has a design capacity

less than or equal to 0.1 m

[~26 gal.] (40 CFR 264.1080(b)(2) and 265.1080(b)(2)).)

(NOTE: Standards for containers used in waste stabilization processes (40 CFR

264.1086(b)(2) and 265.1087(b)(2)) are in checklist item DF.30.)

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 26

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.28. (continued) Verify that, for containers with a design capacity greater than 0.1 m

[~26 gal.] and

less than or equal to 0.46 m

[~122 gal.], air emissions are controlled according to the

following Container Level 1 standards:

- A container is used that meets applicable U.S. DOT regulations on the packaging of

hazardous materials for transportation

- A container is used that is equipped with a cover and closure devices that form a

continuous barrier over the container openings so that when the cover and closure

devices are secured in the closed position there are not visible holes, gaps or other

open spaces into the interior of the container

- An open-top container is used in which an organic vapor suppressing barrier is

placed on or over the hazardous waste in the container so that no hazardous waste

is exposed to the atmosphere.

Verify that when a container using Level 1 standards, other than DOT approved

containers, is used, it is equipped with covers and closure devices composed of

suitable materials to minimize exposure, to the extent practical, of the hazardous

waste to the atmosphere and to maintain the equipment integrity throughout the

intended service life.

Verify that, whenever waste is in a container using Level 1 controls, covers and

closure devices are installed and closure devices are secured and maintained in the

closed position except as follows:

- Opening of a closure device or cover is allowed for adding waste or other material

to the container as follows:

when the container is filled to the intended final level in one continuous operation,

the closure devices are secured in the closed position and the covers installed at

the conclusion of the filling operation

when discrete batches or quantities of material are added intermittently to the

container over a period of time, the closure devices are secured in the closed

position and covers installed upon either:

--- the container being filled to the intended final level

--- the completion of a batch loading after which no additional material will be

added to the container within 15 minutes

--- the person performing the loading operation leaving the immediate vicinity of

the container, or

--- the shutdown of the process generating the material being added to the

container, whichever condition occurs first.

- Opening of a closure device or cover is allowed for removing the hazardous waste

as follows:

in order to meet the requirements for an empty container

when discrete quantities or batches of material are removed from the container

but the container is not empty, the closure devices will promptly be returned to

the closed position and the covers installed upon either:

--- completion of batch removal after which no additional material will be removed

within 15 minutes or

--- the person performing the unloading leaves the immediate vicinity, whichever

condition occurs first

- Opening of a closure device or cover is allowed when access inside the container is

needed to perform routine activities other than transfer of hazardous waste

- Opening of a spring loaded, pressure vacuum relief valve, conservation vent, or

similar type of pressure relief device which vents to the atmosphere is allowed

during normal operations for the purpose of maintaining internal container pressure

- Opening of a safety device to avoid unsafe conditions.

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 27

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.29. Containers with design

capacities greater than 0.46 m

[~122 gal.] into which hazardous

waste is placed are required to

meet specific design and

operating standards (40 CFR

264.1086(a), 264.1087(b)(1)(ii)

through 264.1086(b)(1)(iii),

264.1086(c)(1) through

264.1086(c)(3), 264.1086(d),

265.1087(a), 265.1087(b)(1)(ii)

through 265.1087(b)(1)(iii),

265.1087(c)(1) through

265.1087(c)(3), and

265.1087(d)).

(NOTE: The requirements of 40 CFR 264.1086 and 265.1087 do not apply to

containers in which all the hazardous waste entering the container meets one of the

following (40CFR 264.1082(c) and 265.1083(c)):

- The average VO concentration of the hazardous waste at the point of waste

origination is less than 500 ppmw

- The organic content of the hazardous waste entering the waste management unit

has been reduced by an organic destruction or removal process

- The waste meets the numerical concentration limits for organic hazardous

constituents as specified in 40 CFR 268.40 or has been treated by the treatment

technology established by the regulatory agency for the waste in 268.42(a) or an

equivalent method approved by the regulatory agency pursuant to 268.42(b).)

(NOTE: These requirements do not apply to a container that has a design capacity

less than or equal to 0.1 m

[~26 gal.] (40 CFR 265.1080(b)(2) and 265.1080(b)(2)).)

(NOTE: Standards for containers used in waste stabilization processes (40 CFR

265.1087(b)(2)) are in checklist item DF.30.)

Verify that, for containers with a design capacity greater than 0.46 m

[~122 gal.] that

are not in light material service, air emissions are controlled according to the following

Container Level 1 standards:

- A container is used that meets applicable U.S. DOT regulations on the packaging of

hazardous materials for transportation

- A container is used that is equipped with a cover and closure devices that form a

continuous barrier over the container openings so that when the cover and closure

devices are secured in the closed position there are not visible holes, gaps or other

open spaces into the interior of the container

- An open-top container is used in which an organic vapor suppressing barrier is

placed on or over the hazardous waste in the container so that no hazardous waste

is exposed to the atmosphere.

Verify that, for containers with a design capacity greater than 0.46 m

[~122 gal.] that

are in light material service, air emissions are controlled according to the following

Container Level 2 standards:

- A container is used that meets applicable U.S. DOT regulations on the packaging of

hazardous materials for transportation

- A container is used that operates with no detectable organic emissions

- A container is used that has been demonstrated within the preceding 12 months to

be vapor tight.

(NOTE: Level 2 standards apply only to containers that are in light material service.

For the containers that are not in light material service, Level 1 standards apply. (See

40 CFR 265.1087(b)(ii) and (iii).)

Verify that when a container using Level 1 standards, other than DOT approved

containers, is used it is equipped with covers and closure devices composed of

suitable materials to minimize exposure of the hazardous waste to the atmosphere

and to maintain the equipment integrity for as long as it is in service.

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 28

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.29. (continued) Verify that whenever waste is in a container using Level 1 or Level 2 controls, covers

and closure devices are installed and closure devices are secured and maintained in a

closed position except as follows:

- Opening of a closure device or cover is allowed for adding waste or other material

to the container as follows:

when the container is filled to the intended final level in one continuous operation,

the closure devices are secured in the closed position and the covers installed at

the conclusion of the filling operation

when discrete batches or quantities of material are added intermittently to the

container over a period of time, the closure devices are promptly secured in the

closed position and covers installed upon either:

--- the container being filled to the intended final level

--- the completion of a batch loading after which no additional material will be

added to the container within 15 minutes

--- the person performing the loading operation leaving the immediate vicinity of

the container

--- the shutdown of the process generating the material being added to the

container, whichever condition occurs first

- Opening of a closure device or cover is allowed for removing the hazardous waste

as follows:

in order to meet the requirements for an empty container

when discrete quantities or batches of material are removed from the container

but the container is not empty, the closure devices are promptly secured in the

closed position and the covers installed upon either:

--- completion of batch removal after which no additional material will be removed

within 15 minutes

--- the person performing the unloading leaves the immediate vicinity, whichever

condition occurs first

- Opening of a closure device or cover is allowed when access inside the container is

needed to perform routine activities other than transfer of hazardous waste

- Opening of a spring loaded, pressure vacuum relief valve, conservation vent, or

similar type of pressure relief device which vents to the atmosphere and is allowed

during normal operations for the purpose of maintaining internal container pressure

- Opening of a safety device to avoid unsafe conditions.

Verify that the transfer of hazardous waste in or out of containers meeting Container

Level 2 controls is done in a manner to minimize exposure of the hazardous waste to

the atmosphere (i.e., a submerged fill pipe, a vapor balancing system, a vapor

recovery system, a fitted opening in the top of the container through which the

hazardous waste is filled and subsequently purge the transfer line before removing it).

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 29

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.30. Containers with design

capacities greater than 0.1 m

[~26 gal.] used for the treatment

of a hazardous waste by a waste

stabilization process are

required to meet specific design

and operating standards (40

CFR 264.1086(a),

264.1086(b)(2), 264.1086(e)(1)

through 264.1086(e)(3),

265.1087(a), 265.1087(b)(2),

and 265.1087(e)(1) through

265.1087(e)(3)).

(NOTE: The requirements of 40 CFR 264.1086 and 265.1087 do not apply to

containers in which all the hazardous waste entering the container meets one of the

following (40 CFR 264.1082(c) and 265.1083(c)):

- The average VO concentration of the hazardous waste at the point of waste

origination is less than 500 ppmv

- The organic content of the hazardous waste entering the waste management unit

has been reduced by an organic destruction or removal process

- The waste meets the numerical concentration limits for organic hazardous

constituents as specified in 40 CFR 268.40 or has been treated by the treatment

technology established by the regulatory agency for the waste in 268.42(a) or an

equivalent method approved by the regulatory agency pursuant to 268.42(b).)

(NOTE: These requirements do not apply to a container that has a design capacity

less than or equal to 0.1 m

[~26 gal.] (40 CFR 264.1080(b)(2) and 265.1080(b)(2)).)

(NOTE: Safety devices may be installed and operated as necessary.)

Verify that containers with design capacities greater than 0.1 m

[~26 gal.] used for the

treatment of a hazardous waste by a stabilization process meet the following Container

Level 3 standards at those times during the waste stabilization process when the

hazardous waste in the container is exposed to the atmosphere:

- A container is used that is vented directly through a closed-vent system to a control

device

- A container is used that is vented inside an enclosure which is exhausted through a

closed-vent system to a control device

- The container closure is designed and operated in accordance with the criteria for a

permanent total enclosure under 40 CFR 52.741

- The closed-vent system and control device is designed and operated in accordance

with 264.1087 and 265.1088 (see checklist item DF.33).

DF.31. Facilities are required to

have a written plan and

schedule for inspection and

monitoring requirements for

containers and meet specific

inspection requirements (40

CFR 264.15, 264.1086(c)(4),

264.1086(d)(4), 264.1088(b),

265.1087(c)(4), 265.1087(d)(4),

and 265.1089).

(NOTE: These requirements do not apply to a container that has a design capacity

less than or equal to 0.1 m

[~26 gal.] (40 CFR 264.1086(b)(2) and 265.1080(b)(2)).)

Verify that the facility has a written plan and schedule for performing inspections and

monitoring.

Verify that the plan and schedule are being met.

Verify that inspections of the containers and their covers and closure devices for

containers using Container Level 1 or Level 2 controls are done as follows:

- When a hazardous waste is already in the container when it is first accepted and

the container is not emptied within 24 hours after it is accepted, the container and

its cover are visually inspected on the date of acceptance for cracks, holes, gaps, or

other open spaces into the interior of the container when the cover and closure

devices are secured in the closed position

- When a container is used for managing hazardous waste for 1 year or more, it is

visually inspected at least once every 12 months for visible cracks, holes, gaps, or

other open spaces when the cover and closure devices are secured in the closed

position.

Verify that when a defect is detected, the first efforts at repairs are within 24 hours

after detection, and repair is completed as soon as possible but no later than 5

calendar days after detection.

(NOTE: If repair cannot be completed within 5 calendar days, the hazardous waste

must be removed from the container.)

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 30

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.32. Facilities are required to

meet documentation

requirements for containers (40

CFR 264.1086(c)(5),

264.1089(a), 264.1089(d)

through 264.1089(i),

265.1087(c)(5), 265.1090(a),

and 265.1090(d) through

265.1090(i)).

(NOTE: These requirements do not apply to a container that has a design capacity

less than or equal to 0.1 m

[~26 gal.] (40 CFR 264.1080(b)(2) and 265.1080(b)(2)).)

Verify that a copy is available of the procedure used to determine that containers with

a capacity of 0.46 m

[~122 gal.] or greater which do not meet DOT standards are not

managing hazardous waste in light material service.

Verify that if using Container Level 3 air emissions controls, the facility prepares and

maintains records that include:

- The most recent set of calculations and measurements performed by the

owner/operator to verify that the enclosure meets the criteria of a permanent total

enclosure as specified in 40 CFR 52.741, Appendix B

- All the records required for closed-vent systems.

Verify that, if using a closed-vent system and control device, the following records are

maintained:

- Certification that is signed and dated by the owner/operator stating that the control

device is designed to operate at the performance level documented by a design

analysis or by performance tests when the container is operating at capacity or the

highest level reasonably expected to occur

- Design documents if design analysis is used, including certification that the

equipment meets the applicable specification

- A performance test plan if performance tests are used and all test results

- Description and date of each modification, as applicable

- Identification of operating parameters, description of monitoring devices, and

diagrams of monitoring sensor locations, as applicable

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 31

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.32. (continued)

- Semiannual records of the following for those planned routine maintenance

operations that would require the control device to exceed limitations:

a description of the planned routine maintenance that is anticipated to be

performed for the control device during the next 6-month period, including the

type of maintenance needed, planned frequency, and lengths of maintenance

periods.

a description of the planned routine maintenance that was performed for the

control device during the previous 6-month period, including the type of

maintenance performed and the total number of hours during those 6-months

that the control device did not meet applicable requirements

- Records of the following for those unexpected control device system malfunctions

that would cause the control device to not meet specifications:

the occurrence and duration of each malfunction of the control device system

the duration of each period during a malfunction when gases, vapors, or fumes

are vented from the waste management unit through the closed-vent system to

the control device while the control device is not properly functioning

actions taken during periods of malfunction to restore a malfunctioning control

device to its normal or usual manner of operation

- Records of the management of the carbon removed from a carbon adsorption

system.

Verify that, for exempted containers, the following records are prepared and

maintained as applicable:

- If exempted under the hazardous waste concentration conditions, information used

for the waste determination in the facility operating log and/or the date, time, and

location of each waste sample if analysis results for samples are used

- If exempted under incinerator use or process destruction use, the identification

number for the incinerator, boiler, or industrial furnace in which the hazardous waste

is treated.

Verify that covers designated as unsafe to monitor are listed in a log kept in the facility

operating record with an explanation of why they are unsafe to inspect and monitor

and a plan and schedule of inspection and monitoring is recorded.

Verify that, for containers not using the air emissions controls specified in 40 CFR

265.1085 through 265.1088 (see checklist items DF.28 through DF.33), the following

information is maintained:

- A list of the individual organic peroxide compounds manufactured at the facility if it

produces more than one functional family of organic peroxides or multiple organic

peroxides within one functional family, and one or more of these organic peroxides

could potentially undergo self-accelerating thermal decomposition at or below

ambient temperatures

- A description of how the hazardous waste containing the organic peroxide

compounds identified in the above list is managed, including:

a facility identification number for the container or group of containers

the purpose and placement of this container or group of containers in the

management train of this hazardous waste

the procedures used to ultimately dispose of the hazardous waste handled in the

containers

- An explanation why managing these containers would be an undue safety hazard.

DF.32. (continued) Verify that all records, except design information records, are kept for at least 3 years.

Verify that design information records are maintained in the operating record until the

air emissions control equipment is replaced or otherwise no longer in service.

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 32

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.33. Facilities are required to

meet specific requirements for

closed-vent systems and control

devices used to achieve

compliance (40 CFR 264.1087

and 265.1088).

(NOTE: The requirements of 40 CFR 264.1087 and 265.1088 do not apply to

containers in which all the hazardous waste entering the container meets one of the

following (40 CFR 265.1082(c) and 265.1083(c)):

- The average VO concentration of the hazardous waste at the point of waste

origination is less than 500 ppmw

- The organic content of the hazardous waste entering the waste management unit

has been reduced by an organic destruction or removal process

- The waste meets the numerical concentration limits for organic hazardous

constituents as specified in 40 CFR 268.40 or has been treated by the treatment

technology established by the regulatory agency for the waste in 268.42(a) or an

equivalent method approved by the regulatory agency pursuant to 268.42(b).)

(NOTE: These requirements do not apply to a container that has a design capacity

less than or equal to 0.1 m

[~26 gal.] (40 CFR 264.1080(b)(2) and 265.1080(b)(2)).)

Verify that closed-vent systems meet the following:

- It routes the gases, vapors and fumes emitted from the hazardous waste in the

waste management unit to a control device

- It is designed and operated in accordance with 40 CFR 264.1033(j) or 265.1033(j)

- If it includes bypass devices that could be used to divert the gas or vapor stream to

the atmosphere before entering the control device, one of the following equipment

requirements is met for each type of bypass device (NOTE: low leg drains, high

point bleeds, analyzer vents, open-ended valve or lines, spring loaded pressure

relief valves, and other fittings used for safety purposes are not considered bypass

devices):

a flow indicator is installed, calibrated, maintained, and operated at the inlet to

the bypass line used to divert gases and vapors from the closed-vent system to

the atmosphere at a point upstream of the control device inlet

a seal or locking device is placed on the mechanism by which the bypass device

position is controlled when the bypass valve is in the closed position so that the

bypass device cannot be opened without breaking the seal or removing the lock.

Verify that the seal or closure mechanism is visually inspected at least once every

month.

Verify that one of the following control devices is used:

- A device designed and operated to reduce the total organic content of the inlet

vapor stream vented to the control device by at least 95 percent by weight

- An enclosed combustion device designed and operated in accordance with

264.1033(c) and 265.1033(c)

- A flare designed and operated in accordance with 40 CFR 264.1033(d) and

265.1033(d).

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 33

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.33. (continued) Verify that, when a closed-vent system and control device is used, the following are

met:

- Periods of planned routine maintenance of the control device during which the

device does not meet specifications do not exceed 240 hours per year

- Control device system malfunctions are corrected as soon as practicable

- It is operated such that gases, vapors, and/or fumes are not actively vented to the

control device during periods of planned maintenance or control device system

malfunction, except in cases where it is necessary to do so in order to avoid an

unsafe condition or to implement malfunction corrective actions or planned

maintenance actions.

Verify that, if a carbon adsorption system is used, the following requirements are met:

- All activated carbon is replaced with fresh carbon on a regular basis as outlined in

40 CFR 264.1033(g), 264.1033(h), 265.1033(g) and 265.1033(h)

- All carbon that is a hazardous waste and that is removed from the control device is

managed according to 264.1033(n) or 265.1033(m) regardless of the average

volatile organic concentration.

Verify that, if a control device other than a thermal vapor incinerators, flare, boiler,

process heater, condenser, or carbon adsorption system is used, the requirements in

40 CFR 264.1033(i) and 265.1033(i) are met.

Verify that, for control devices, it is demonstrated by either a performance test or a

design analysis that the device achieves compliance except for the following:

- A flare

- A boiler or process heater with a design input capacity of 44 MW or greater

- A boiler or process heater into which the vent stream is introduced with the primary

fuel

- A boiler or process heater burning hazardous waste for which the owner or operator

has been issued a final permit under 40 CFR 270 and has designed and operates

the unit in accordance with the requirements of 40 CFR 266, subpart H

- A boiler or industrial furnace burning hazardous waste for which the owner or

operator has certified compliance with the interim status requirements of 40 CFR

265, subpart H.

Verify that the readings from each control device are inspected at least once each

operating day to check control device operation.

Container Storage Areas

DF.34. Containers at TSDFs

should be kept in storage areas

designated in the management

plan and identified by signs

(MP).

Verify that all containers are identified and stored in appropriate areas.

(NOTE: Any unidentified contents of solid waste containers and/or containers not in

designated storage areas must be tested to determine if solid or hazardous waste

requirements apply.)

DF.35. Containers holding

ignitable or reactive waste must

be located 15 meters (50 feet)

from the property line of a TSDF

(40 CFR 264.176 and 265.176).

Determine the distance from any storage containers to the property line.

(NOTE: This restriction does not apply to SQGs).

DF.36. TSDF personnel must

conduct weekly inspections of

container storage areas (40

CFR 264.174 and 265.174).

Verify that inspections are conducted at least weekly to look for leaking containers and

signs of deterioration of containers.

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 34

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

Containment Buildings

(NOTE: According to the `Background Information’ published on page 37221 of the 18 August 1992 edition of the Federal

and operated to contain the hazardous waste within the unit." This is not a building that holds drums or tanks filled with

hazardous waste, but a building that holds the hazardous waste itself.)

DF.37. TSDFs with containment

buildings that are in compliance

are not subject to the definition

of land disposal if specific

requirements are met (40 CFR

264.1100 and 265.1100).

Verify that the containment building meets the following:

- It is a completely enclosed, self-supporting structure that is designed and

constructed of manmade materials of sufficient strength and thickness to support

themselves, the waste contents, and any personnel and heavy equipment that

operate within the unit

- It is designed to prevent failure due to pressure gradients, settlement, compression,

or uplift, physical contact with the hazardous wastes, climatic conditions, and the

stress of daily operations

- It has a primary barrier that is designed to be sufficiently durable to withstand the

movement of personnel, wastes, and handling of equipment within the unit

- If the unit is used to manage liquids:

there is a primary barrier designed and constructed of materials to prevent

migration of hazardous constituents into the barrier

there is a liquid collection system designed and constructed of materials to

minimize the accumulation of liquid on the primary barrier

there is a secondary containment system designed and constructed of materials

to prevent migration of hazardous constituents into the barrier, with a leak

detection and liquid collection system capable of detecting, collecting, and

removing leaks of hazardous constituents at the earliest practicable time

- It has controls sufficient to prevent fugitive dust emissions

- It is designed and operated to ensure containment and prevent the tracking of

materials from the unit by personnel and equipment.

DF.38. Containment buildings

are required to be designed

according to specific standards

(40 CFR 264.1101(a)(1) through

264.1101(a)(2), 264.1101(a)(4),

264.1101(b), 265.1101(a)(1)

through 265.1101(a)(2), and

265.1101(b)).

Verify that containment buildings meet the following design standards:

- It is completely enclosed with a floor, walls, and a roof to prevent exposure to the

elements and to assure containment of wastes

- The floor and containment walls, including any required secondary containment

system, are designed and constructed of man-made materials of sufficient strength

and thickness to support themselves, the waste contents, and any personnel and

heavy equipment that operate within the unit

- It is designed to prevent failure due to pressure gradients, settlement, compression,

or uplift, physical contact with the hazardous wastes, climatic conditions, and the

stress of daily operations

- It has sufficient structural strength to prevent collapse or other failure

- All surfaces in contact with hazardous wastes are compatible with the wastes

- It has a primary barrier that is designed to be sufficiently durable to withstand the

movement of personnel, wastes, and handling of equipment within the unit and is

appropriate for the chemical and physical characteristics of the waste.

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 35

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.38. Continued Verify that if the containment building is going to manage hazardous wastes with free

liquids or treated with free liquids the following design requirements are also met:

- There is a primary barrier designed and constructed of materials to prevent

migration of hazardous constituents into the barrier (e.g., a geomembrane covered

by a concrete wear surface)

- There is a liquid collection and removal system designed and constructed of

materials to minimize the accumulation of liquid on the primary barrier

- The primary barrier is sloped to drain liquids to the associated collection system

- Liquids and wastes are collected and removed to minimize hydraulic head on the

containment system at the earliest practicable time

- There is a secondary containment system, including a secondary barrier, designed

and constructed of materials to prevent migration of hazardous constituents into the

barrier, with a leak detection and liquid collection system capable of detecting,

collecting, and removing leaks of hazardous constituents at the earliest practicable

time

- The leak detection component of the secondary containment system meets the

following:

-- it is constructed with a bottom slope of one percent or more

-- it is constructed of granular drainage materials with a hydraulic conductivity of 1 x

-2

cm/s or more and a thickness of 12 in. (30.5 cm) or more, or constructed of

synthetic or geonet drainage materials with a transmissivity of 3 x 10

-5

/s or

- If treatment is to be conducted in the building, the treatment area is designed to

prevent the release of liquids, wet materials, or liquid aerosols to other portions of

the building

- The secondary containment system is constructed of materials that are chemically

resistant to the waste and liquids managed in the building and of sufficient strength

and thickness to prevent collapse under pressure exerted by overlaying materials

and by any equipment used.

(NOTE: An exception to the structural strength requirement may be made for

lightweight doors and windows based on the nature of the waste management

operations if the following criteria are met:

- The doors and windows provide an effective barrier against fugitive dust emissions

- The unit is designed and operated in a manner that ensures that the waste will not

come in contact with the doors or windows.)

(NOTE: A containment building can serve as secondary containment systems for

tanks within the building if:

- It meets the requirements of 264.193(d) (see protocol for storage tank management)

- It meets the requirements of 264.193(b) and 264.193(c)(1) and (2) (see protocol for

storage tank management.)

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 36

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.39. Containment buildings

are required to be operated

according to specific standards

(40 CFR 264.1101(a)(3),

264.1101(c)(1), 264.1101(c)(4),

265.1101(a)(3), 265.1101(c)(1),

and 265.1101(c)(4)).

Verify that incompatible wastes or treatment reagents are not placed in the building or

its secondary containment system if they could cause the unit or the secondary

containment system to leak, corrode, or otherwise fail.

Verify that the following operational procedures are done:

- Controls and practices are used to ensure the containment of the waste within the

building

- The primary barrier is maintained so that it is free of significant cracks, gaps,

corrosion, or other deterioration that could cause hazardous waste to be released

from the primary barrier

- The level of the stored/treated hazardous waste is maintained so that the height of

any containment wall is not exceeded

- Measures are implemented to prevent the tracking of hazardous waste out of the

unit by personnel or equipment used in the handling of the waste

- There is a designated area for the decontamination of equipment and collection of

rinsate

- Any collected rinsate is managed as needed according to its constituents

- Measures are implemented to control fugitive dust emissions so that no openings

exhibit visible emissions

- Particulate collection devices are maintained and operated according to sound air

pollution control practices.

Verify that data is gathered from monitoring equipment and leak detection equipment

and the site is inspected at least once every seven days and the results recorded in

the operating record.

DF.40. Containment buildings

are required to be certified by a

registered professional engineer

(40 CFR 264.1101(c) (2) and

265.1101(c)(2)).

Verify that the building has been certified.

DF.41. Leaks in containment

buildings must be repaired and

reported (40 CFR

264.1101(c)(3) and

265.1101(c)(3)).

Verify that if a condition is detected that could lead to a leak or has already caused a

leak, it is repaired promptly.

Verify that when a leak is discovered:

- The discovery is recorded in the TSDF operating record

- The portion of the containment building that is affected is removed from service

- A cleanup and repair schedule is established

- Within seven days the regulatory agency is notified and within 14 working days

written notice is provided to the regulatory agency

- The regulatory agency is notified upon the completion of all repairs and certification

from a registered professional engineer is also submitted.

DF.42. Containment buildings

that contain both areas with and

without secondary containment

must meet specific requirements

(40 CFR 264.1101(d) and

265.1101(d)).

Verify that each area is designed and operated according to the appropriate

requirements.

Verify that measures are taken to prevent the release of liquids or wet materials into

areas without secondary containment.

Verify that a written description is maintained in the TSDF operating log of operating

procedures used to maintain the integrity of areas without secondary containment.

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 37

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.43. When a containment

building is closed specific

requirements must be met (40

CFR 264.1102 and 265.1102).

Determine if the TSDF has closed a containment building recently.

Verify that at closure, all waste residues, contaminated containment system

components, contaminated subsoils, structures, and equipment contaminated with

waste and leachate were removed or decontaminated.

Verify that the containment building is closed in accordance with closure and post-

closure requirements for TSDFs as outlined in the subsections pertaining to all TSDFs

titled Documentation Requirements and Closure.

Verify that if it is found that not all contaminated subsoils can be practicably removed

or decontaminated, the site is closed and landfill post-closure requirements are

implemented.

Restricted Wastes

DF.44. TSDFs must not dispose

of the wastes listed in Appendix

E on land unless specific

parameters are met (40 CFR

268.1, 268.4, and Appendix VII).

Verify that the wastes listed in Appendix E are not land disposed after the indicated

dates in the appendix unless:

- The TSDF was granted an extension

- The waste is hazardous only because it exhibits a hazardous characteristic, and is

otherwise prohibited from land disposal, but is not prohibited from land disposal if

the waste:

is disposed of into a nonhazardous or hazardous injection well

does not exhibit any prohibited characteristic of a hazardous waste at the point of

injection

- Disposal is done in a surface impoundment and treatment of the wastes occurs at

the impoundment

- Sampling, testing, and removal procedures and design requirements outlined in 40

CFR 268.4 are followed

- The waste is treated.

(NOTE: The following are exempted from all of the requirements concerning restricted

wastes found in 40 CFR 268:

- Waste generated by a SQG of less than 100 kg (220.46 lb.) of hazardous waste or

less than 1 kg of acute hazardous waste per month

- Waste pesticides that a farmer disposes of

- Wastes identified or listed as hazardous after 8 November 1984 for which EPA has

not promulgated land disposal prohibitions or treatment standards

- De minimis losses to wastewater treatment systems of commercial chemical

product or chemical intermediates that are ignitable (D001) or corrosive (D002) and

that contain underlying hazardous constituents

- Laboratory wastes displaying the characteristic of ignitability (D001), or corrosivity

(D002), that are commingled with other plant wastewaters under designated

circumstances

- Laboratory wastes that are ignitable and corrosive containing underlying hazardous

constituents from laboratory operations that are mixed with other plant wastewaters

at TSDFs whose ultimate discharge is subject to CWA regulations if the annualized

flow of laboratory wastewater into the facility's headwork does not exceed one

percent or the laboratory wastes combined annualized sewage concentration does

not exceed one ppm in the facility's headwork.)

(NOTE: As of May 8, 1993, debris that is contaminated with the wastes listed in

Appendix E and debris that is contaminated with any characteristic waste for which

there are treatment standards are prohibited from land disposal.)

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 38

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.45. Wastes that are

restricted from land disposal or

the residual from the treatment

of a waste restricted from land

disposal shall not be diluted as a

substitute for adequate

treatment (40 CFR 268.3(a) and

268.3(b)).

Verify that restricted wastes or the residual from the treatment of restricted wastes are

not diluted unless they are hazardous only because they exhibit a characteristic in a

treatment system which treats wastes that are then discharged into a water of the

United States by permit or which treats wastes for the purpose of pre-treatment or

unless the waste is a D003 reactive cyanide wastewater or nonwastewater.

DF.46. A restricted waste may

be land disposed only if the

constituent concentrations in the

waste or waste treatment

residue meet applicable

treatment standards, or if the

waste is treated using a

specified treatment technology

or equivalent treatment method

(40 CFR 268.40 through

268.43).

Verify that for restricted wastes identified in Appendix F that are land disposed, the

associated constituent concentrations in the extract of the waste or waste treatment

residual do not exceed the values shown in Appendix F.

Verify that for restricted wastes listed in Appendix G that are land disposed, the waste

is treated using the treatment technology specified in Appendix G or an equivalent

treatment method approved by the regulatory agency.

Verify that for restricted wastes identified in Appendix H that are land disposed, the

associated constituent concentrations in the waste or waste treatment residue do not

exceed the values shown in Appendix H.

(NOTE: As used in Appendices G and H, the term wastewater has the following

meaning: wastes that contain less than 1 percent by weight total organic carbon (TOC)

and less than 1 percent by weight total suspended solids (TSS), with the following

exceptions:

- F001, F002, F003, F004, F005 wastewaters are solvent-water mixtures that contain

less than 1 percent by weight TOC or less than 1 percent by weight total F001,

F002, F003, F004, F005 solvent constituents listed in Appendix F

- K011, K013, K014 wastewaters contain less than 5 percent by weight TOC and less

than 1 percent by weight TSS, as generated

- K103 and K104 wastewaters contain less than 4 percent by weight TOC and less

than 1 percent by weight TSS

- Waste analysis plan compliance.)

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 39

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.47. Treatment facilities are

required to follow specific

procedures for restricted wastes

(40 CFR 268.7(b)).

Verify that treatment facilities are testing their waste according to the procedures

outlined in their waste analysis plan.

Verify that the generating facility sends a one-time notification with the first hazardous

waste shipment going to a treatment or disposal facility. A copy of this notification

would also be placed in the treatment facility’s files. This one-time notification

requirement also applies to lab packs.

A new notification is needed if there is a change in the waste, process, or receiving

facility. This change should affect the determination of which treatment standards

apply.

The notification shall include the following information:

- EPA hazardous waste number

- The waste is subject to the LDRs and the constituents of concern for F001-F005

and F039 and underlying hazardous constituents (for wastes that are not managed

in a CWA or CWA-equivalent facility), unless the waste will be treated and

monitored for all constituents (NOTE: If all wastes will be treated and monitored,

there is no need to put them on the LDR notice.)

- Determination of applicable wastewater/nonwastewater category and subdivisions

made within a waste code based on waste-specific criteria

- The manifest number associated with the shipment of waste

- Waste analysis data, when available

- Certification statement.

Verify that the treatment facility submits a certification of waste or treatment residue of

a restricted waste to the land disposal facility stating that the waste has been treated in

compliance with applicable standards.

(NOTE: If waste or treatment residues will be further managed at a different treatment

or storage facility, the TSDF sending the waste or treatment residue offsite must

comply with notice and certification requirements.)

(NOTE: Where the wastes are recyclable materials used in a manner constituting

disposal, the treatment facility is not required to notify the receiving facility.)

DF.48. Land disposal facilities

for restricted wastes are

required to maintain copies of

notices and certifications and

test the waste except when

disposing of waste that is

recycled material used in a

manner constituting disposal (40

CFR 268.7(c)).

Verify that copies of the certifications and notification are kept on hand.

Verify that the facility is testing waste as specified in the facilities waste analysis plan.

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 40

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.49. The storage of

hazardous waste that is

restricted from land disposal is

not allowed unless specific

conditions are met (40 CFR

268.50).

Verify that land disposal restricted waste is not stored at the TSDF unless the TSDF is

storing the wastes in tanks, containers, or containment buildings in order to

accumulate the necessary quantities for proper recovery, treatment or disposal and:

- Each container is marked to identify contents and the date accumulation began

- Each tank is clearly marked with a description of the contents, the quantity of each

hazardous waste received, and the start date of accumulation or a record of such

information is maintained.

Verify that transporters do not store manifested shipments of land disposal restricted

wastes for more than 10 days.

(NOTE: A TSDF may store the land disposal restricted wastes for up to one year if

they can prove that the reason for storage is to accumulate such quantities of

hazardous waste as are necessary to facilitate proper treatment and disposal.)

(NOTE: The prohibition on storage does not apply to hazardous wastes that have met

treatment standards.)

Verify that liquid hazardous wastes containing PCBs at concentrations greater than 50

ppm are stored at a site that meets the requirements of 40 CFR 761.65(b) (see Toxic

Substance Control Act (TSCA)) and is removed from storage within one year of the

date it was first placed into storage.

Emissions from Process Vents

DF.50. TSDFs with 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 are required to meet

specific standards (40 CFR

264.1030(b), 264.1030(e),

264.1032, 265.1030(b),

265.1030(d) and 265.1032).

(NOTE: This applies only if the operation are conducted in one of the following:

- A unit that is subject to the permitting requirements of 40 CFR 270

- A unit (including a hazardous waste recycling unit) that is not exempt from

permitting under the provisions of 40 CFR 262.34(a) (i.e., a hazardous waste

recycling unit that is not a 90-day storage tank or container) and that is located at a

hazardous waste management unit facility that is otherwise subject to the permitting

requirements of 40 CFR 270

- A unit that is exempt from permitting under the provisions of 40 CFR 262.34(a) (i.e.,

a 90-day tank or container) and is not a recycling unit under the provisions of 40

CFR 261.6.)

Verify that one of the following is met:

- Total organic emissions from the process vents do not exceed 1.4 kg/h (3 lb/h) and

2.8 Mg/yr (3.1 tons/yr)

- Total organic emissions are reduced by use of a control device from all process

vents by 95 weight percent.

(NOTE: These requirements do not apply to the process vents at a facility where the

owner/operator certifies all of the process vents that would otherwise have to meet

these requirements are equipped with and operating air emission controls in

accordance with the process vent requirements of an applicable regulation under 40

CFR part 60, part 61, or part 63. The documentation of compliance with these other

regulations must be kept with, or made readily available with, the facility operating

record.)

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 41

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.51. When a TSDF uses a

closed-vent system and control

device to meet the standards for

total organic emissions, the

closed-vent system and control

device must meet certain

minimum requirements (40 CFR

264.1030(b), 264.1030(e),

264.1033(a) through

264.1033(h), 264.1033(j),

264.1033(k), 265.1030(b),

265.1030(d) and 265.1033(a)

through 265.1033(j)).

(NOTE: This applies to TSDFs with 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 the operations are conducted in one of the following:

- A unit that is subject to the permitting requirements of 40 CFR 270

- A unit (including a hazardous waste recycling unit) that is not exempt from

permitting under the provisions of 40 CFR 262.34(a) (i.e., a hazardous waste

recycling unit that is not a 90-day tank or container) and that is located at a

hazardous waste management facility that is otherwise subject to the permitting

requirements of 40 CFR 270

- A unit that is exempt form permitting under the provisions of 40 CFR 262.34(a) (i.e.,

a 90-day tank or container) and is not a recycling unit under the provisions of 40

CFR 261.6.)

(NOTE: These requirements do not apply to the process vents at a facility where the

owner/operator certifies all of the process vents that would otherwise have to meet

these requirements are equipped with and operating air emission controls in

accordance with the process vent requirements of an applicable regulation under 40

CFR part 60, part 61, or part 63. The documentation of compliance with these other

regulations must be kept with, or made readily available with, the facility operating

record.)

Verify that control devices involving vapor recovery are designed and operated to

recovery the organic vapors vented to the air with an efficiency of 95 weight percent or

greater unless the total organic emission limit(s) can be attained at an efficiency of

less than 95 weight percent.

Verify that if an enclosed combustion device is used (i.e., vapor incinerator, boiler, or

process heater), it is 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 [1400

F].

Verify that if a boiler or process heater is used as the control device, the vent stream is

introduced into the flame zone of the boiler or process heater.

Verify that if flares are used:

- They are designed and operated with no visible emissions except for periods not in

excess of five minutes during any two consecutive hours

- They are operated with a flame present at all times

- They are 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

- If nonassisted, the net heating value of the gas being combusted is 7.45 MJ/scm

(200 Btu/scf) or greater

- If nonassisted or steam-assisted, they have an exit velocity less than 18.3 m/s (60

ft/s) except when the net heating value of the gas being combusted is greater than

37.3 MJ/scm (1000 Btu/scf) and the exit velocity is equal to or greater than 18.3 m/s

(60 ft/s) but less than 122 m/s (400 ft/s).

Verify that each monitor and control device is inspected on a routine basis.

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 42

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.51. (continued) Verify that each required control device is installed, calibrated, monitored and

inspected as follows:

- A flow indicator is installed in the vent stream at the nearest feasible point to the

control device inlet, but before being combined with other streams, and provides a

record of vent stream flow from each affected process vent to the control device at

least once every hour

- A device to continuously monitor control device operations as specified:

a temperature monitoring device equipped with a continuous recorder for a

thermal vapor incinerator

a temperature monitoring device equipped with a continuous recorder for a

catalytic vapor incinerator

a heat sensing monitor with a continuous recorder for flares

a temperature monitoring device equipped with a continuous recorder to

measure a parameter that indicates good combustion operating practices are

being used for a boiler or process heater having a design heat input capacity less

than 44 MW

for a condenser, one of the following:

--- a monitoring device with a continuous recorder to measure the concentration

level of the organic compound in the exhaust vent stream from the condenser

--- a temperature monitoring device equipped with a continuous recorder capable

of monitoring temperature in the exhaust vent stream from the condenser exit

with an accuracy of ± 1 percent of the temperature being monitored in Celsius

or in ± 0.5 Celsius, whichever is greater

for a carbon adsorption system such as a fixed bed carbon adsorber that

regenerates the carbon bed directly in the control device, one of the following:

--- a monitoring device equipped with a continuous recorder to measure the

concentration levels of the organic compounds in the exhaust vent stream

from the carbon bed

--- 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.

Verify that readings from monitoring devices are checked at least once a day.

Verify that if a carbon adsorption system is being used that regenerates the carbon

bed directly onsite, the existing carbon in the control device is replaced with fresh

carbon at regular, predetermined time intervals.

(NOTE: The predetermined time interval is based on the design analysis required

under 40 CFR 265.1035(b)(4)(iii)(F).)

Verify that if a carbon adsorption system is being used that does not regenerate the

carbon bed directly onsite, the existing carbon in the control device is replaced on a

regular basis.

(NOTE: When to replace the carbon is determined by one of the following procedures:

- Monitoring the concentration level of the organic compound in the exhaust vent

stream from the carbon adsorption system daily or at an interval no greater than 20

percent of the time required to consume the total carbon working capacity,

whichever is longer

- Replace the carbon at a regular predetermined time interval that is less than the

design carbon replacement interval.)

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 43

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.51. (continued) Verify that closed-vent systems meet one of the following:

- Are designed and operated with no detectable emissions as indicated by an

instrument reading of less than 500 ppm above background as determined by the

procedures in 40 CFR 264.1035(b) and 265.1034(b) and by visual inspection

- Are designed to operate at a pressure below atmospheric pressure and are

equipped with at least one pressure gauge or other pressure measurement device

that can be read from a readily accessible location.

DF.52. TSDFs are required to

maintain specific records

pertaining to process vent

emissions (40 CFR 264.1035

and 265.1035).

Verify that the following information is kept in the operating record:

- An implementation schedule, if appropriate

- Up-to-date documentation of compliance with process vents and with closed-vent

systems

- The test performance plan if test data is used to determine the organic removal

efficiency or total organic compound concentration achieved by a control device

- Documentation of compliance with 40 CFR 265.1033, including:

a list of all information references and sources used in preparing the

documentation

records, including the dates of required compliance tests

design analysis, specifications, drawings, schematics, and piping and

instrumentation diagrams if engineering calculations are used

- A statement signed and dated by the operator or owner certifying that the operating

parameters used in the design analysis reasonably represent the conditions which

exist when the hazardous waste management unit is or would be operating at the

highest load or capacity level reasonably expected

- 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 is achieved at an efficiency of less than 95 weight

percent or the total organic emissions limits for affected process vents can be

attained by a control device involving vapor recovery at an efficiency less than 95

weight percent

- All performance test results if used to demonstrate compliance

- Design documentation

- Monitoring and inspection results

- Notations of exceedance

- Explanation for each period of exceedance

- For carbon adsorption systems:

when the carbon is replaced in carbon adsorption systems

date and time when a control device is monitored for carbon breakthrough

- The date of each control device startup and shutdown.

Verify that records of monitoring operations and inspection information are kept for

three years.

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 44

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.53. Closed-vent systems are

required to be monitored,

inspected, and leaks repaired

(40 CFR 264.1030(b),

264.1030(e), 264.1033(l),

264.1033(o), 265.1030(b),

265.1030(d), 265.1033(k), and

265.1033(n)).

(NOTE: This applies to TSDFs with 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 the operations are conducted in one of the following:

- A unit that is subject to the permitting requirements of 40 CFR 270

- A unit (including a hazardous waste recycling unit) that is not exempt form

permitting under the provisions of 40 CFR 262.34(a) (i.e., a hazardous waste

recycling unit that is not a 90-day tank or container) and that is located at a

hazardous waste management facility that is otherwise subject to the permitting

requirements of 40 CFR 270

- A unit that is exempt from permitting under the provisions of 40 CFR 262.34(a) (i.e.,

a 90-day tank or container) and is not a recycling unit under the provisions of 40

CFR 261.6.)

(NOTE: These requirements do not apply to the process vents at a facility where the

owner/operator certifies all of the process vents that would otherwise have to meet

these requirements are equipped with and operating air emission controls in

accordance with the process vent requirements of an applicable regulation under 40

CFR part 60, part 61, or part 63. The documentation of compliance with these other

regulations must be kept with, or made readily available with, the facility operating

record.)

Verify that closed-vent systems designed and operated with no detectable emissions

(i.e., one at a pressure below atmospheric pressure) as indicated by an instrument

reading of less than 500 ppm above background are monitored as follows:

- An initial leak detection monitoring of the closed-vent system using the procedures

outlined in 40 CFR 264.1034(b) or 265.1034(b) on or before the date the system

becomes subject to this section of the CFR

- Visual inspection at least once a year for closed-vent system joints, seams, or other

connections that are permanently or semi-permanently sealed (e.g., a welded joint

between two sections of hard piping or a bolted and gasketed ducting flange)

- Annual and at times required by the regulatory agency for all other parts of the

system using the procedures specified in 40 CFR 265.1034(b).

Verify that closed-vent systems designed to operate at no detectable emissions are

monitored as follows:

- Annual visual inspection to check for defects that could result in air pollutant

emissions

- Initial inspection on or before the date the system becomes subject to this section of

the CFR.

(NOTE: For closed-vent systems designed to operate at no detectable emissions,

portions of the system designated as unsafe to monitor are exempt from the visual

monitoring if:

- The components are unsafe to monitor because monitoring personnel would be

exposed to an immediate danger

- A written plan that requires monitoring as practicable during safe to monitor periods

is in place and followed.)

Verify that detectable emissions, as indicated by visual inspection or by an instrument

reading of greater than 500 ppmv above background, are controlled as soon as

practicable but not later than 15 days after the emission is detected.

This document is intended solely for guidance. No statutory or regulatory

requirements are in any way altered by any statement(s) contained herein. 45

Protocol for Conducting Environmental Compliance Audits of TSDFs under RCRA

Compliance Category:

Hazardous Waste Management

Regulatory Requirement or

Management Practice:

Reviewer Checks:

DF.53. (continued) Verify that a first attempt at repair is made no later than 5 calendar days after the

emission is detected.

(NOTE: Delay of repair of a closed-vent system for which leaks have been detected is

allowed if the repair is technically infeasible without a process unit shutdown, or if it is

determined that the emissions resulting from the immediate repair would be greater

than the fugitive emissions likely to result from delay of repair.)

DF.54. Closed-vent systems and

control devices used to comply

with the provisions of 40 CFR

264.1030 through 264.1035 and

265.1030 through 265.1035 are

required to be operated at all

times when emissions may be

vented to them (40 CFR

264.1030(b), 264.1030(e),

264.1033(m), 265.1030(b),

265.1030(d), and 265.1033(l)).