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Subpart 373-1: Hazardous Waste Treatment, Storage and Disposal Facility Permitting Requirements - Page 1

(Statutory Authority: Environmental Conservation Law Section 27-0900 et seq)

[Effective September 5, 2006]

[page 1 of 3]

Sections 1 to Section 4
Sections 5 to Section 8
Sections 9 to Section 11

Contents:

Sec.

§373-1.1 - General

(a) Purpose. The purpose of this Part is to regulate hazardous waste management facilities located partially or wholly within the State.

(b) Applicability.

(1) This Part regulates the treatment, storage and disposal of hazardous waste. Permit requirements and construction and operation standards are set forth herein. The requirements of this Part are applicable to owners and operators of hazardous waste treatment, storage and disposal facilities.

(2) Other regulations relating to hazardous waste management are as follows:

Part 360 Solid Waste Management Facilities.

Part 361 Siting of Industrial Hazardous Waste Facilities.

Part 364 Permits for Waste Transporters.

Part 370 Hazardous Waste Management System: General.

Part 371 Identification and Listing of Hazardous Wastes.

Part 372 Hazardous Waste Manifest System and Related Standards for Generators, Transporters and Facilities.

Part 374 Standards for the Management of Specific Hazardous Wastes and Specific Types of Hazardous Waste Management Facilities.

Part 376 Land Disposal Restrictions.

Part 380 Prevention and Control of Environmental Pollution by Radioactive Materials.

(3) The following are regulations of general applicability which affect the processing of permits for hazardous waste management:

Part 617 State Environmental Quality Review Procedures.

Part 621 Uniform Procedures (Permit Processing Procedures).

Part 624 Permit Hearing Procedures.

(4) Universal waste handlers and transporters (as defined in subdivision 370.2(b) of this Title) handling the wastes listed below are subject to regulation under Subpart 374-3 of this Title:

(i) Batteries as described in subdivision 374-3.1(b) of this Title;

(ii) Pesticides as described in subdivision 374-3.1(c) of this Title; and

(iii) Thermostats as described in subdivision 374-3.1(d) of this Title.

(iv) Lamps as described in subdivision 374-3.1(e)of this Title.

(c) Safeguarding Information. Any requests for the release of information in the custody of the department related to this Part shall be handled according to the provisions of Part 616 of this Title, Public Access to Records of the DEC, and as discussed in subdivision 370.1(b) of this Title.

(d) Exemptions. The owners or operators of the following facilities or portion of facilities are exempt from this Part only as provided in this subdivision. Any hazardous waste management unit(s) exempt from permitting under this subdivision is not exempt from the requirements of section 373-2.6, if the facility is required to obtain a permit under this Part for some other unit(s) at the facility. Exempt facilities may be subject to permitting under Part 360 of this Title.

(1) Facilities and operations that conduct the activities listed below and manage hazardous waste are exempt from this Part only as provided in this paragraph.

(i) Facilities, other than household hazardous waste collection facilities, that manage only hazardous waste received from off-site from generators that:

('a') generate less than a total of 100 kilograms of hazardous waste per calendar month and store on-site less than a total of 1,000 kilograms provided the waste is not acute hazardous waste;

('b') generates in a calendar month any of the following acute hazardous waste in quantities less than the quantities of hazardous waste specified below:

('1') a total of one kilogram of acute hazardous waste listed in sections 371.4(b), (c) and (d)(5) of this Title;

('2') a total of 100 kilograms of any residue or contaminated soil, waste or other debris resulting from the cleanup of a spill, into or on any land or water, of any acute hazardous waste listed in section 371.4(b), (c) and (d)(5) of this Title;

(ii) The disposal of waste pesticides by the farmer who generated them. These wastes must be handled in accordance with the requirements of paragraph 372.1(e)(3) of this Title.

(iii) The storage in containers or tanks of hazardous waste that is generated on-site, for a period not exceeding 90 days, other than the storage of liquid hazardous wastes in the counties of Kings, Nassau, Queens and Suffolk, or over the Schenectady/Niskayuna Aquifer System in Schenectady, Saratoga and Albany Counties and the Clinton Street-Ball Park Valley Aquifer System in Broome and Tioga Counties. The requirements of this subparagraph do not apply to small-quantity generators. Storage areas that are exempt must comply with the following requirements:

('a') For storage of liquid hazardous waste in containers, the total amount of hazardous waste stored in containers in exempt storage areas at one time is 8,800 gallons or less. Waste stored in areas exempted by subparagraphs (vi) and (xiv) of this paragraph and characteristic hazardous wastes stored prior to recycling are excluded from this volume. If the amount of liquid hazardous waste stored in containers in these areas exceeds 8,800 gallons, the entire volume of liquid hazardous waste must be stored within an area meeting the secondary containment requirements of 373-2.9(f)(1) of this Title.

('b') Reserved.

('c') The following requirements are met:

('1') the waste is placed:

('i') in containers and the generator complies with sections 373-3.9, and 373-3.27 through 373-3.29, of this Part; and/or

('ii') in tanks and the generator complies with sections 373-3.10, and 373-3.27 through 373-3.29, except for paragraph 373-3.10(h)(3) and subdivision 373-3.10(k).

In addition, such a generator is exempt from the requirements in sections 373-3.7 and 373-3.8 of this Part, except for subdivisions 373-3.7(b) and (e) of this Part.

('2') the date on which each period of accumulation begins is clearly marked and visible for inspection on each container;

('3') a label or sign stating "Hazardous Waste" must identify all areas, tanks, and containers used to accumulate hazardous waste. In addition, tanks and containers must be marked with other words to identify their contents;

('4') each container is properly labeled and marked according to sections 372.2(a)(5) and 372.2(a)(6) of this Title; and

('5') the generator complies with the requirements for personnel training in section 373-3.2 of this Part, for preparedness and prevention in section 373-3.3 and contingency plans and emergency procedures in section 373-3.4, and with subparagraph 376.1(g)(1)(v).

('6') Reserved.

('d') Reserved.

('e') An extension of the 90-day period may be granted by the commissioner if hazardous wastes must remain on-site for longer than 90 days due to unforeseen, temporary and uncontrollable circumstances. An extension of up to 30 days may be granted at the discretion of the commissioner on a case-by-case basis.

(iv) The storage in containers or tanks of liquid hazardous waste that is generated on-site in the counties of Kings, Nassau, Queens and Suffolk, or over the Schenectady/ Niskayuna Aquifer System in Schenectady, Saratoga, and Albany Counties or the Clinton Street-Ball Park Valley Aquifer System in Broome and Tioga Counties, for periods of 90 days or less. The requirements of this subparagraph do not apply to small-quantity generators, except as provided in clause ('g'). These storage areas must comply with the following requirements whenever any quantity of liquid hazardous waste is stored on-site in tanks, or whenever the total quantity of liquid hazardous waste stored on-site in containers exceeds 185 gallons. (Waste stored in areas exempted by subparagraph (vi) or (xiv) of this paragraph and characteristic hazardous waste stored prior to recycling are excluded from this volume.) If less than 185 gallons of liquid hazardous waste are stored in containers on-site, the provisions of subparagraph 373-1.1(d)(1)(iii) must be met for that waste in lieu of the requirements of this subparagraph:

('a') Reserved.

('b') Reserved.

('c') the facility submits a written notification to the appropriate Regional Office stating that it qualifies for this exemption;

('d') the facility complies with the requirements of clause (iii)('c') of this paragraph; In addition, the closure plan requirements of 373-3.7(a)-(f) must be met.

('e') the facility complies with the requirements of ECL article 17;

('f') the tank and container storage areas are within a secondary containment system:

('1') for container storage exceeding 185 gallons, the containment system must be designed and operated in accordance with paragraph 373-2.9(f)(1) of this Part; and

('2') for tanks, the secondary containment system must be designed and constructed in accordance with the requirements of subdivision 373-3.10(d) of this Part.

('3') by December 31, 1987, existing facilities in the Counties of Kings, Queens, Nassau and Suffolk must satisfy the secondary containment requirements in subdivision 373-2.9(f) of this Part for containers, or subparagraph 373-3.10(d)(3)(iv) and clauses 373-3.10(d)(5)(i) ('a'), ('b') and ('c') of this Part for tanks. All other secondary containment requirements in subdivision 373-3.10(d) of this Part must be satisfied by the dates specified in paragraph 373-3.10(d)(1).

('4') by December 31, 1988, existing facilities in the Schenectady/Niskayuna and Clinton Street - Ball Park Valley Aquifer Systems must satisfy the secondary containment requirements described in subclause ('3') of this clause. All other secondary containment requirements must be satisfied by the dates specified in paragraph 373-3.10(d)(1) of this Part.

('g') For a small quantity generator, the requirements of subclauses ('f')('1') and ('2') of this subparagraph must be met at the time more than 185 gallons of liquid hazardous waste are accumulated, or at the time any liquid hazardous wastes are accumulated in underground storage tanks. (Waste stored in areas exempted by subparagraph (vi) or (xiv) of this paragraph and characteristic hazardous wastes stored prior to recycling are excluded from these volumes.) The storage of hazardous waste must also comply with the requirements of subparagraphs 372.2(a)(8)(iii) through (v) of this Title.

('1') By December 22, 1998, existing tank or container storage units, not subject to secondary containment requirements prior to the effective date of these regulations, must be in compliance with the requirements of this clause.

('2') Tank and container storage units, the construction or installation of which commences on or after the effective date of these regulations, must be in compliance with the requirements of this clause prior to use.

('h') An extension of the 90-day period may be granted by the commissioner if hazardous wastes must remain on-site for longer then 90 days due to unforeseen, temporary and uncontrollable circumstances. An extension of up to 30 days may be granted at the discretion of the commissioner on a case-by-case basis.

(v) The on-site storage and treatment of hazardous waste by generators that generate less than 100 kilograms of hazardous waste in any calendar month and store less than 1,000 kilograms. The conditionally exempt small quantity generator requirements listed in subdivision 371.1(f) of this Title remain applicable. If at any time the amount of hazardous waste exceeds 1,000 kilograms, this exemption does not apply. This exemption applies to the on-site storage and treatment of acute hazardous wastes only if the generator generates and stores in any calendar month such acute hazardous waste in quantities less than those listed in clause (i)('b') of this paragraph.

(vi) The storage and recycling of the recyclable materials identified in subparagraphs 371.1(g)(1)(iii) and (iv) of this Title;

(vii) The storage of the recyclable materials listed in subparagraph 371.1(g)(1)(ii) of this Title provided that Subpart 374-1 of this Title is complied with. (Note: Subpart 374-1 will require that the facility also complies with selected sections of this Part.)

(viii) The recycling of hazardous wastes, provided subdivision 373-2.2(c) (identification number), subdivision 373-2.5(b) or 373-3.5(b) (manifest requirements) and clause 373-1.1(d)(1) (viii)('d') of this Part are complied with. (The storage of hazardous waste prior to recycling is not exempt under this subparagraph.) In addition:

('a') This exemption is available to:

('1') Commercial facilities that reclaim precious metals, as defined in section 374-1.6 of this Title; and

('2') Mobile or transportable commercial facilities which operate on the generator's site, if a containment area, which meets the requirements of subdivision 373-2.9(f), is provided for the reclaiming facility and any associated, temporary container holding or storage area.

('b') This exemption is not available to any units, other than boilers and industrial furnaces, that burn hazardous wastes for energy recovery.

('c') Exempted processes that recycle the hazardous wastes listed in subparagraph 371.1(g)(1)(ii) of this Title must comply with Part 374 of this Title in lieu of the requirements specified in this subparagraph. (Note: Part 374 will require that the facility also complies with selected sections of this Part.)

('d') Owners or operators of facilities subject to RCRA permitting requirements with hazardous waste management units that recycle hazardous waste are subject to the requirements of sections 373-2.27, 373-2.28, 373-3.27 and 373-3.28 of this Part.

(ix) The on-site treatment of hazardous waste, by the generator, in the same tanks or containers that are used for accumulation and storage of such wastes. Exempt units must comply with the requirements of subparagraphs (iii) and (iv) of this paragraph and with the requirements of paragraph 372.2(c)(4) of this Title. Any treatment or placement of hazardous waste in a manner that constitutes land disposal, as defined in subdivision 370.2(b), does not qualify for this exemption.

(x) Mobile PCB treatment units other than thermal treatment and incineration units, treating liquid PCB's and PCB contaminated dielectric oils both from electrical equipment, provided that the following conditions are met:

('a') The unit has an appropriate authorization under the Toxic Substances Control Act (TSCA) from the United States Environmental Protection Agency for the PCB wastes being treated by the unit.

('b') Prior to commencing work at a site and at all times while handling the waste, the treatment unit is provided with physical barriers to limit access by unauthorized persons and with posted signs reading "Danger - PCB Work" and "Authorized Personnel Only".

('c') An impervious secondary containment system such as a synthetic liner is spread over the area on which the treatment unit is located. In addition, this containment system must be designed to contain and collect spills from the unit and its associated pipes and fittings without migrating into the surrounding area. After the treatment of PCB waste is complete, this liner must be decontaminated and/or disposed of as a hazardous waste.

('d')('1') All containers of PCB treatment wastes generated in the treatment of PCB oil are stored on impervious surfaces with a containment system of sufficient capacity to contain 20 percent of the volume of containers stored.

('2') On-site storage of all wastes resulting from the mobile treatment unit shall be limited to forty 55-gallon drums at any one time. These drums must, at all times, be stored within a secure area provided with a fence to limit access of unauthorized personnel.

('3') All of these drums are removed from the site within 30 days of the end of the treatment.

('e') The unit's owner has available at all times in the mobile unit a written contingency plan meeting the requirements of section 373-3.4 of this Part.

('f') Thirty days before beginning the PCB oil treatment at a site, the unit's owner must notify the local emergency response agencies and the New York Department of Environmental Conservation Regional Offices (ATTN: Regional Engineer) of the intended PCB treatment at the site with the information on the site, expected duration of treatment, quantity and concentration of the PCB oil to be treated.

('g') The unit's owner complies with the manifest system, recordkeeping and reporting requirements (including reporting of spills) of section 373-3.5 of this Part.

('h') This exemption is not applicable to mobile units located at any one site for more than 30 consecutive days.

(xi) Totally enclosed treatment facilities, as defined in Part 370 of this Title.

(xii) Elementary neutralization units or wastewater treatment units, as defined in Part 370 of this Title, other than units that are part of commercial hazardous waste management facilities as defined in Part 370 of this Title. Elementary neutralization units and wastewater treatment units located at commercial hazardous waste management facilities that are only used to neutralize or treat hazardous waste resulting from the recycling of hazardous wastes or from the reclamation of precious metals from hazardous wastes are also exempt. Elementary neutralization units and wastewater treatment units that are used to commercially neutralize or treat hazardous wastes, generated only at geographically contiguous sites, and transported via dedicated pipeline are also exempt. Exempt units must comply with the following:

('a') the requirements for personnel training in section 373-3.2 of this Part, for preparedness and prevention in section 373-3.3, and for contingency plans and emergency procedures in section 373-3.4;

('b') the units are managed in accordance with section 373-3.9 and subdivision 373-3.10(k) of this Part;

('c') all areas, containers and tanks used to treat hazardous waste must be marked with the words "Hazardous Waste" and other words that identify the contents; and

('d') for batch treatment and equalization units, the date on which each period of accumulation begins is clearly marked and visible for inspection.

('e') if the owner or operator is diluting hazardous ignitable (D001) wastes (other than the D001 High TOC Subcategory defined in subdivision 376.4(a) of this Title, Table Treatment Standards for Hazardous Wastes) or reactive (D003) waste to remove the characteristic before land disposal, the owner/operator must comply with the requirements set out in paragraphs 373-2.2(i)(2) and 373-3.2(h)(2) of this Part.

(xiii)('a') Treatment or containment activities during immediate response to any of the following situations:

('1') a discharge of a hazardous waste;

('2') an imminent and substantial threat of a discharge of hazardous waste;

('3') a discharge of a material which, when discharged, becomes a hazardous waste.

('4') An immediate threat to human health, public safety, property, or the environment from the known or suspected presence of military munitions, other explosive material, or an explosive device, as determined by an explosive or munitions emergency response specialist as defined in subdivision 370.2(b) of this Part.

('b') An owner or operator of a facility otherwise regulated by this Subpart must comply with all applicable requirements of sections 373-2.3, 373-2.4, 373-3.3 and 373-3.4 of this Part.

('c') Any person who is covered by clause ('a') of this subparagraph, and who continues or initiates hazardous waste treatment or containment activities after the immediate response is over, is subject to all applicable requirements of this Part for those activities.

('d') In the case of emergency responses involving military munitions, the responding military emergency response specialist's organizational unit must retain records for three years identifying the dates of the response, the responsible persons responding, the type and description of material addressed, and its disposition.

(xiv) Accumulation areas are exempt, provided that they are used to accumulate waste in accordance with the requirements of subparagraph 372.2(a)(8)(i) of this Title.

(xv) A transporter storing manifested shipments of hazardous waste in containers meeting the requirements of paragraph 372.2(a)(4) of this Title at a transfer facility for a period of ten calendar days or less is exempt.

(xvi) Reserved.

(xvii) The addition of absorbent material to waste in a container or the addition of waste to absorbent material in a container, provided that these actions occur at the time waste is first placed in the container; and sections 373-2.2(i)(2) and 373-2.9(b) and (c) are complied with.

(xviii) Household hazardous waste collection facilities which accept hazardous waste from conditionally exempt small quantity generators or farmers who meet the requirements of 372.1(e)(3)(iv), provided that the program sponsor or owner/operator complies with the requirements of Subpart 373-4 of this Title.

(xix) The placement on drip pads of hazardous waste that is generated on-site, for a period not exceeding 90 days, provided the generator complies with section 373-3.23 of this Part and maintains the following records at the facility:

('a') a description of procedures that will be followed to ensure that all wastes are removed from the drip pad and associated collection system at least once every 90 days; and

('b') documentation of each waste removal, including the quantity of waste removed from the drip pad and the sump or collection system and the date and time of removal.

In addition, such a generator is exempt from the requirements in sections 373-3.7 and 373-3.8 of this Part, except for subdivisions 373-3.7(b) and (e) of this Part. Such a generator must also comply with the requirements for owners and operators in sections 373-3.3 and 373-3.4, with subdivision 373-3.2(g) and with subparagraph 376.1(g)(1)(iv).

(xx) The placement in containment buildings of hazardous waste that is generated on-site, for a period not exceeding 90 days, provided the generator complies with section 373-3.30 of this Part, and has placed its professional engineer certification that the building complies with the design standards specified in subdivision 373-3.30(b) in the facility's operating record no later than 60 days after the date of initial operation of the unit. After February 18, 1993, PE certification will be required prior to operation of the unit. The owner or operator shall maintain the following records at the facility:

('a') a written description of procedures to ensure that each waste volume remains in the unit for no more than 90 days, a written description of the waste generation and management practices for the facility showing that they are consistent with respecting the 90 day limit, and documentation that the procedures are complied with; or

('b') documentation that the unit is emptied at least once every 90 days.

In addition, such a generator is exempt from the requirements in sections 373-3.7 and 373-3.8 of this Part, except for subdivisions 373-3.7(b) and (e) of this Part. Such a generator must also comply with the requirements for owners and operators in sections 373-3.3 and 373-3.4, with subdivision 373-3.2(g) and with subparagraph 376.1(g)(1)(iv).

(xxi) A new York State Utility central collection facility consolidating hazardous waste in accordance with subdivision 372.2(d) of this Title. This exemption expires May 24, 2011.

(2) The following facilities are exempt from this Part under the given conditions listed:

(i) A barge or other vessel which accepts hazardous waste for ocean disposal is exempt, if the owner or operator:

('a') has a permit for ocean dumping issued pursuant to 40 CFR part 220 (Ocean Dumping, authorized by the Marine Protection, Research and Sanctuaries Act, 33 USC 1420 et seq.) (see section 370.1(e) of this Title); and

('b') complies with the following hazardous waste regulations of this Title:

('1') 373-2.2(c), Identification number;

('2') 373-2.5(b) or 373-3.5(b) (manifest requirements);

('3') 373-2.5(c)(1) and (2)(i), Operating record;

('4') 373-2.5(e), Annual report; and

('5') 373-2.5(f), Unmanifested waste report.

(Note: Part 373 regulations do apply to the treatment or storage of hazardous waste before it is loaded onto an ocean vessel for incineration or disposal at sea.)

(ii) Facilities which dispose of hazardous waste by injection well, if the owner or operator:

('a') has a permit for underground injection issued under 40 CFR Part 144, Subpart C or Part 145 Subpart C (see section 370.1(e) of this Title);

('b') complies with the conditions of that permit and the requirements of 40 CFR 144.14 (requirements for wells managing hazardous wastes) (see section 370.1(e) of this Title);

('c') has a SPDES permit issued under Part 751 of this Title and complies with the conditions of that permit and the requirements of Parts 750 through 757 of this Title, State Pollutant Discharge Elimination System; and

('d') For UIC permits issued after November 8, 1984:

('1') complies with subdivision 373-2.6(l) of this Part; and

('2') where the UIC well is the only unit at a facility which requires a RCRA permit, complies with paragraph 373-1.5(a)(4) of this Subpart.

(Note: Part 373 regulations apply to the treatment or storage of hazardous waste before it is injected underground.)

(iii) A POTW which accepts hazardous waste for treatment if the owner or operator:

('a') has a State Pollutant Discharge Elimination System (SPDES) permit issued for a discharge to surface waters only;

(Note: Discharges from a POTW which have a SPDES permit and discharge to ground water are not exempt.)

('b') complies with the following hazardous waste regulations in the following sections of this Title:

('1') 373-2.2(c), Identification number;

('2') 373-2.5(b) or 373-3.5(b) (manifest requirements);

('3') 373-2.5(c)(1) and (2)(i), Operating record;

('4') 373-2.5(e), Annual report;

('5') 373-2.5(f), Unmanifested waste report;

('6') 373-2.6(l), Corrective Action for solid waste management units, for SPDES permits issued after November 8, 1984; and

('c') meets all Federal, State, and local pretreatment requirements which would be applicable to the waste if it were being discharged into the POTW through a sewer, pipe, or similar conveyance.

(e) Variances. The department may, upon written application from any person who is subject to this Part, grant a variance from one or more specific provisions of this Part under the following conditions:

(1) Any application for a variance must:

(i) identify the specific provisions of this Part from which a variance is sought;

(ii) demonstrate that compliance with the identified provision would, on the basis of conditions unique and peculiar to the applicant's particular situation, tend to impose a substantial financial, technological, or safety burden on the applicant or the public; and

(iii) demonstrate that the proposed activity will have no significant adverse impact on the public health, safety or welfare, the environment or natural resources.

(2) The commissioner will not grant any variance which would result in regulatory controls less stringent than those in the RCRA-delegated program.

(3) In granting any variance, the commissioner may impose specific conditions necessary to assure that the subject activity will have no significant adverse impact on the public health, safety or welfare, the environment or natural resources.

(f) Uniform procedures. The procedures applicable to the submittal and processing of applications for permits, permit renewals and permit modifications, and the procedures applicable to the suspension and revocation of permits, pursuant to this Part, are set forth in this Subpart and in Part 621 of this Title.

(g) Enforcement. Without limitation to any other civil or criminal sanctions that may be applicable, a person who violates any of the provisions of this Part or of any permit issued pursuant hereto, or any order issued by the commissioner, will be liable for civil, administrative, and criminal penalties given in Article 71, Title 27 of the ECL. Such a person shall also be subject to any penalties, sanctions or orders resulting from any other applicable provision of Article 71 of the ECL. The commissioner or his/her representative is authorized to enter and inspect any property or premises for the purposes of ascertaining compliance or noncompliance with this Part.

(h) Severability. If any provision of this Part or its application to any person or circumstances is held invalid, the remainder of this Part, and the application of those provisions to persons or circumstances other than those to which is held invalid, will not be affected.

(i) Terms used in this Part are defined in Part 370 of this Title.

§373-1.2 - Requirements for Permits

(a) No person shall operate an existing hazardous waste management facility without a permit issued pursuant to this Part or without interim status pursuant to this Part.

(b) A person who operates an existing hazardous waste management facility without a permit issued pursuant to this Part must meet the requirements of Subpart 373-3 of this Part and the applicable interim status provisions of this Subpart.

(c) No person shall begin physical construction or operate a new hazardous waste management facility without a permit issued pursuant to this Part.

(d) Owners and operators of hazardous waste management facilities must have a Part 373 permit during the active life (including the closure period) of the unit, and, for any unit which closes after January 26, 1983, during any post-closure care period required under subdivision 373-2.7(g) of this Part and during any compliance period specified under subdivision 373-2.6(g) of this Part, including any extension of the compliance period under paragraph 373-2.6(g)(3) of this Part. A RCRA Part B Permit issued by the United States Environmental Protection Agency under 40 CFR Parts 270 and 124 does not relieve an owner or operator of the responsibility for obtaining a permit pursuant to this Part. Facilities which currently have a permit issued pursuant to Part 360 of this Title for the management of hazardous waste and qualify for the extension allowed under the State Administrative Procedures Act (SAPA), have authorization to operate until final administrative and judicial disposition of a permit application are made. Both of these facilities must also comply with the requirements of Subpart 373-3 of this Part and the applicable interim status provisions of this Subpart except subdivision 373-1.3(g).

(e) Scope of the Part 373 Permit Requirement. The ECL and RCRA require a permit for the "treatment", "storage", and "disposal" of any "hazardous waste" as identified or listed in Part 371 of this Title. The terms "treatment", "storage", "disposal", and "hazardous waste" are defined in 370.2(b) of this Title. Owners and operators of hazardous waste management units must have permits during the active life (including the closure period) of the unit. Owners or operators of surface impoundments, landfills, land treatment units, and waste pile units that received wastes after July 26, 1982, or that certified closure (according to 373-3.7(f)(1) of this Part) after January 26, 1983, must have post-closure permits, unless they demonstrate closure by removal or decontamination as provided under paragraphs (1) and (2) of this subdivision, or obtain an enforceable document in lieu of a post-closure permit, as provided under paragraph (3) of this subdivision . If a post-closure permit is required, the permit must address applicable Subpart 373-2 (Ground Water Monitoring, Unsaturated Zone Monitoring, Corrective Action, and Post-closure Care Requirements) of this Title. The denial of a permit for the active life of a hazardous waste management facility or unit does not affect the requirement to obtain a post-closure permit under this Part.

(1) Closure by removal. Owners or operators of surface impoundments, land treatment units, and waste piles closing by removal or decontamination under Subpart 373-3 standards must obtain a post-closure permit unless they can demonstrate to the commissioner that the closure met the standards for closure by removal or decontamination in 373-2.11(f), 373-2.13(h)(5), or 373-2.12(h) of this Part, respectively. The demonstration may be made in the following ways:

(i) If the owner or operator has submitted a Part 373 application for a post-closure permit, the owner or operator may request a determination, based on information contained in the application, that Subpart 373-2 closure by removal standards were met. If the commissioner believes that Subpart 373-2 standards were met, he or she will notify the public of this proposed decision, allow for public comment, and reach a final determination according to the procedures in paragraph (e)(2) of this section.

(ii) If the owner or operator has not submitted a Part 373 application for a post-closure permit, the owner or operator may petition the commissioner for a determination that a post-closure permit is not required because the closure met the applicable Subpart 373-2 closure standards.

('a') The petition must include data demonstrating that closure by removal or decontamination standards were met, or it must demonstrate that the unit closed under the Subpart 373-2 closure by removal standard.

('b') The commissioner shall approve or deny the petition according to the procedures outlined in paragraph (e)(2) of this section.

(2) Procedures for closure equivalency determination.

(i) If a facility owner or operator seeks an equivalency demonstration under 373-1.2(e)(1) of this Subpart, the commissioner will provide the public, through a newspaper notice, the opportunity to submit written comments on the information submitted by the owner or operator within 30 days from the date of the notice. The commissioner will also, in response to a request or at his or her own discretion, hold a public hearing whenever such a hearing might clarify one or more issues concerning the equivalence of the Subpart 373-3 closure to a Subpart 373-2 closure. The commissioner will give public notice of the hearing at least 30 days before it occurs. (Public notice of the hearing may be given at the same time as notice of the opportunity for the public to submit written comments, and the two notices may be combined.)

(ii) The commissioner will determine whether the Subpart 373-3 closure met Subpart 373-2 closure by removal or decontamination requirements within 90 days of its receipt. If the commissioner finds that the closure did not meet the applicable Subpart 373-2 standards, he or she will provide the owner or operator with a written statement of the reasons why the closure failed to meet Subpart 373-2 standards. The owner or operator may submit additional information in support of an equivalency demonstration within 30 days after receiving such written statement. The commissioner will review any additional information submitted and make a final determination within 60 days.

(iii) If the commissioner determines that the facility did not close in accordance with Subpart 373-2 closure by removal standards, the facility is subject to post-closure permitting requirements.

(3) Enforceable documents for post-closure care. At the discretion of the Department, an owner or operator may obtain, in lieu of a post-closure permit, an enforceable document imposing the requirements of subdivision 373-3.7(k) of this Part. "Enforceable document" means an order, a plan or other document issued by the Department under Articles 27 or 71 of the Environmental Conservation Law (ECL), including, but not limited to a corrective action order, a CERCLA or State inactive hazardous waste site remedial order or a closure or post-closure plan, and enforceable under Article 71 of the ECL.

§373-1.3 - Interim Status

(a) General. New York State's hazardous waste management facility permitting program consists of a phase called "interim status" for qualifying facilities and a phase that constitutes the formal permit process. Interim status is a condition under which facilities may operate prior to completing permit processing requirements. It is a temporary measure designed to phase existing facilities into compliance with permit requirements. Only certain facilities will be eligible to receive interim status. All others, including new facilities, must obtain permits before commencing operation. Operation during interim status is conditioned upon compliance with performance standards set forth in Subpart 373-3 of this Part. Interim status may be modified, suspended, or revoked in a manner similar to a permit.

(b) Eligibility. The owner and operators of the following types of facilities are eligible for interim status:

(1) Owners or operators of existing hazardous waste management facilities who submitted Part A of their RCRA permit application to the Regional Administrator no later than:

(i) six months after the date of publication of regulations which first require them to comply with the standards set forth in 40 CFR part 265 or 266 (see section 370.1(e) of this Title); or

(ii) thirty days after the date they first became subject to the standards set forth in 40 CFR Part 265 or 266 (see section 370.1(e) of this Title), whichever occurred first.

(iii) for generators generating greater than 100 kilograms but less than 1,000 kilograms of hazardous waste in a calendar month and treats, stores or disposes of these wastes on-site, by March 24, 1987.

(Note: For facilities which have to comply with 40 CFR Part 265 because they handle a waste listed in EPA's May 19, 1980, Part 261 regulations (45 FR 33006 et seq.), the deadline for submitting an application was November 19, 1980. Where other existing facilities had to begin to comply with 40 CFR Part 265 or 266 at a later date because of revisions to 40 CFR Part 260, 261, 265, or 266, the Administrator specified in the preamble to those revisions when those facilities had to submit a Part A application.)

(2) Facilities which were not required to submit a Part A of their RCRA permit application to EPA, but which are subject to the permit requirements of this Part and submit an EPA Part A application to the regional permit administrator in whose jurisdiction the facility is located, and the director, within 30 days of the effective date of this Part.

(3) Facilities that first become subject to the permit requirements of this Part due to a change in Part 371, 373 or 374 of this Title and who submit a EPA Part A application to the regional permit administrator in whose jurisdiction the facility is located, and the commissioner, within 30 days of the effective date of the change in Part 371, 373 or 374.

(4) Facilities that have a RCRA Part B Permit issued by EPA but do not have a Part 373 Permit.

(5) Notwithstanding the above, any owner or operator of an existing hazardous waste management facility must submit a Part 373 permit application in accordance with the dates specified in subdivision (h) of this section. Any owner or operator of a land disposal facility in existence on the effective date of a change to Part 370 et seq. of this Title that requires the facility to have a Part 373 permit must submit a Part 373 permit application in accordance with the dates specified in subdivision (h).

(c) Qualifying for interim status.

(1) Any person who owns or operates an existing HWM facility or a facility in existence on the effective date of statutory or regulatory amendments under the ECL and its regulations that render the facility subject to the requirement to have a Part 373 permit will have interim status and will be treated as having interim status, provided that:

(i) the facility is among the categories specified in subdivision (b) of this section; and

(ii) the owner or operator has complied with the requirements of subdivision (d) of this section governing submission of interim status applications.

(2) When the commissioner determines on examination or reexamination of an interim status application that it fails to meet the standards of this Part, the commissioner may commence proceedings to revoke interim status.

(3) Paragraph (1) of this subdivision does not apply to any facility which has been previously denied a Part 373 permit or RCRA Part B permit or if authority to operate the facility under this Part or RCRA has been previously terminated.

(d) General procedures for interim status application.

(1) Applicant. Whenever the owner and the operator of a facility are different persons, the operator is responsible for submitting the required application for interim status, except that the owner is also responsible for signing the application. The operator must also receive the owner's permission to conduct all regulated activities, including adequate agreement for site access during the post-closure period for disposal facilities.

(2) Forms. The Part A of the USEPA RCRA permit application (see section 370.1(e) of this Title) is the application form for New York State interim status pursuant to this Part.

(3) Submission of applications. The application shall be submitted to the regional permit administrator in the Department of Environmental Conservation region in which the facility is located and to the Director, Division of Hazardous Substances Regulation.

(Note: If the applicant submitted the application to USEPA Region II prior to July 14, 1985, then the requirements of paragraph (3) of this subdivision have been satisfied.)

(4) Signatories to interim status applications and reports.

(i) Applications. All applications must be signed as follows:

('a') for a corporation: by a responsible corporate officer. For the purpose of this section, a responsible corporate officer means:

('1') a president, secretary, treasurer, or vice-president of the corporation in charge of a principal business function, or any other person who performs similar policy or decision-making functions for the corporation; or

('2') the manager of one or more manufacturing, production or operating facilities employing more than 250 persons or having gross annual sales or expenditures exceeding $25 million (in second-quarter 1980 dollars), if authority to sign documents has been assigned or delegated to the manager in accordance with corporate procedures; or

('b') for a partnership or sole proprietorship: by a general partner or the proprietor, respectively; or

('c') for a municipality, state, federal, or other public agency: by either a principal executive officer or ranking elected official. For purposes of this section, a principal executive officer of a governmental agency includes:

('1') the chief executive officer of the agency; or

('2') a senior executive officer having responsibility for the overall operations of a principal geographic unit of the agency.

(ii) Reports. All reports required for interim status and other information required by the commissioner must be signed by a person described in paragraph (4) of this subdivision, or by a duly authorized representative of that person. A person is a duly authorized representative only if:

('a') the authorization is made in writing by a person described in paragraph (4) of this subdivision;

('b') the authorization specifies either an individual or a position having responsibility for overall operation of the regulated facility or activity such as the position of plant manager, operator of a well or a well field, superintendent, or position of equivalent responsibility (a duly authorized representative may thus be either a named individual or any individual occupying a named position); and

('c') the written authorization is submitted to the commissioner.

(iii) Changes to authorization. If an authorization under subparagraph (ii) of this paragraph is no longer accurate because a different individual or position has responsibility for the overall operation of the facility, a new authorization satisfying the requirements of subparagraph (ii) must be submitted to the commissioner prior to or together with any reports, information, or applications to be signed by an authorized representative.

(iv) Certification. Any person signing a document under subparagraph (i) or (ii) of this paragraph must make the following certification:

"I certify under penalty of law that this document and all attachments were prepared under my direction or supervision in accordance with a system designed to assure that qualified personnel properly gather and evaluate the information submitted. Based on my inquiry of the person or persons who manage the system, or those persons directly responsible for gathering the information, the information submitted is, to the best of my knowledge and belief, true, accurate, and complete. I am aware that there are significant penalties for submitting false information, including the possibility of fine and imprisonment for knowing violations."

(e) Contents of the application for interim status. The application form for interim status must include the following specific information:

(1) the activities conducted by the applicant which require a permit under this Part;

(2) name, mailing address, and location, including latitude and longitude of the facility for which the application is submitted;

(3) up to four standard industrial classification (SIC) codes which best reflect the principal products or services provided by the facility;

(4) the operator's name, address, telephone number, ownership status, and status as federal, state, private, public, or other entity;

(5) the name, address, and phone number of the owner of the facility;

(6) whether the facility is located on Indian lands;

(7) an indication of whether the facility is new or existing and whether it is a first or revised application;

(8) for existing facilities:

(i) a scale drawing of the facility showing the location of all past, present, and future treatment, storage, and disposal areas; and

(ii) photographs of the facility clearly delineating all existing structures; existing treatment, storage, and disposal areas; and sites of future treatment, storage, and disposal areas.

(9) a description of the processes to be used for treating, storing, and disposing of hazardous waste, and the design capacity of these items;

(10) a specification of the hazardous waste listed or designated under Part 371 of this Title to be treated, stored, or disposed of at the facility, an estimate of the quantity of such wastes to be treated, stored, or disposed annually, and a general description of the processes to be used for such wastes;

(11) a listing of all permits or construction approvals received or applied for under any of the following programs:

(i) Hazardous Waste Management program under RCRA (see section 370.1(e) of this Title).

(ii) UIC program under the SDWA (see section 370.1(e) of this Title);

(iii) SPDES under ECL article 17;

(iv) Prevention of Significant Deterioration (PSD) program under the Clean Air Act and 40 CFR 52.21 as administered by the Department of Environmental Conservation;

(v) non-attainment program under the Clean Air Act (see section 370.1(e) of this Title) and Part 231 of this Title;

(vi) National Emission Standards for Hazardous Pollutants (NESHAPS) pre-construction approval under the Clean Air Act and 40 CFR Part 61 as administered by the Department of Environmental Conservation under delegation from USEPA;

(vii) ocean dumping permits under the Marine Protection Research and Sanctuaries Act (see section 370.1(e) of this Title);

(viii) dredge or fill permits under section 404 of the CWA (see section 370.1(e) of this Title);

(ix) other relevant environmental permits, including other Federal, State and local permits;

(12) a topographic map extending one mile beyond the property boundaries of the site, depicting the facility and each of its intake and discharge structures; each of its hazardous waste treatment, storage, or disposal facilities; each well where fluids from the facility are injected underground; and those wells, springs, other surface water bodies, and drinking water wells listed in public records or otherwise known to the applicant within one quarter mile of the facility property boundary; and

(13) a brief description of the nature of the business.

(f) Operation during interim status.

(1) During the interim status period the facility must not:

(i) treat, store, or dispose of hazardous waste not specified in Part A of the permit application;

(ii) employ processes not specified in the interim status application; or

(iii) exceed the design capacities specified in the interim status application.

(2) Interim status standards. During interim status, owners or operators must comply with the interim status standards of Subpart 373-3 of this Part and, in the case of owners or operators that have a RCRA Part B Permit issued by EPA, comply with the requirements of the EPA Part B Permit.

(g) Changes during interim status.

(1) Except as provided in paragraph (2), the owner or operator of an interim status facility may make the following changes at the facility:

(i) Treatment, storage, or disposal of new hazardous wastes not previously identified in the interim status application (and, in the case of newly listed or identified wastes, addition of the units being used to treat, store, or dispose of the hazardous wastes on the effective date of the listing or identification) if the owner or operator submits a revised interim status application prior to such treatment, storage, or disposal;

(ii) Increases in the design capacity of processes used at the facility if the owner or operator submits a revised interim status application prior to such a change (along with a justification explaining the need for the change) and the commissioner approves the changes because:

('a') There is a lack of available treatment, storage, or disposal capacity at other hazardous waste management facilities; or

('b') The change is necessary to comply with a Federal, State, or local requirement.

(iii) Changes in the processes for the treatment, storage, or disposal of hazardous waste or addition of processes if the owner or operator submits a revised interim status application prior to such change (along with a justification explaining the need for the change) and the commissioner approves the change because:

('a') The change is necessary to prevent a threat to human health and the environment because of an emergency situation; or

('b') The change is necessary to comply with a Federal, State, or local requirement.

(iv) Changes in the ownership or operational control of a facility if the new owner or operator submits a revised interim status application no later than 90 days prior to the scheduled change. When a transfer of operational control of a facility occurs, the old owner or operator shall comply with the requirements of section 373-3.8 (Financial Requirements), until the new owner or operator has demonstrated to the commissioner that he/she is complying with the requirements of that section. The new owner or operator must demonstrate compliance with section 373-3.8 requirements within six months of the date of the change in ownership or operational control of the facility. Upon demonstration to the commissioner by the new owner or operator of compliance with section 373-3.8, the commissioner shall notify the old owner or operator in writing that he/she no longer needs to comply with section 373-3.8 as of the date of demonstration. All other interim status duties are transferred effective immediately upon the date of the change in ownership or operational control of the facility.

(v) Changes made in accordance with an interim status corrective action order issued by the USEPA under section 3008(h) or other Federal authority, by the commissioner under paragraph 71-2727(3) of the ECL or by a court in a judicial action brought by the USEPA or by New York State. Changes under this paragraph are limited to the treatment, storage, or disposal of solid waste from releases that originate within the boundary of the facility.

(vi) Addition of newly regulated units for the treatment, storage, or disposal of hazardous waste if the owner or operator submits a revised part A permit application on or before the date on which the unit becomes subject to the new requirements.

(2) Except as specifically allowed under this paragraph, changes listed under paragraph (1) of this subdivision may not be made if they amount to reconstruction of the hazardous waste management facility. Reconstruction occurs when the capital investment in the changes to the facility exceeds 50 percent of the capital cost of a comparable entirely new hazardous waste management facility. If all other requirements are met, the following changes may be made even if they amount to a reconstruction:

(i) changes made solely for the purposes of complying with the requirements of subdivision 373-3.10(d) of this Part for tanks and ancillary equipment;

(ii) if necessary to comply with Federal, State, or local requirements, changes to an existing unit, changes solely involving tanks or containers, or addition of replacement surface impoundments that satisfy the standards of RCRA section 3004(o) (Minimum Technological Requirements);

(iii) changes that are necessary to allow owners or operators to continue handling newly listed or identified hazardous wastes that have been treated, stored, or disposed of at the facility prior to the effective date of the rule establishing the new listing or identification;

(iv) changes during closure of a facility or of a unit within a facility made in accordance with an approved closure plan;

(v) changes necessary to comply with an interim status corrective action order issued by the USEPA under section 3008(h) or other Federal authority, by the commissioner under paragraph 71-2727(3) of the ECL, or by a court in a judicial proceeding brought by the USEPA or by New York State, provided that such changes are limited to the treatment, storage, or disposal of solid waste from releases that originate within the boundary of the facility;

(vi) changes to treat or store, in tanks, containers, or containment buildings, hazardous wastes subject to land disposal restrictions imposed by Part 376 of this Title or RCRA section 3004, provided that such changes are made solely for the purpose of complying with Part 376 or RCRA section 3004.

(vii) Addition of newly regulated units under subparagraph (1)(vi) of this subdivision.

(viii) Changes necessary to comply with standards under 40 CFR Part 63, Subpart EEE--National Emission Standards for Hazardous Air Pollutants From Hazardous Waste Combustors, as incorporated by reference in subdivision 370.1(e) of this Title.

(h) Termination of interim status.

(1) Interim status terminates when final administrative disposition of a permit application, except an application for a remedial action plan (RAP) under section 373-1.11 of this Subpart, is made.

(2) Failure to furnish a required Part 373 permit application on time, or to furnish in full the information required by the permit application, is grounds for termination of interim status under this subdivision.

(3) The commissioner may revoke the interim status of any facility or operation upon a showing of a violation of any law, rule or regulation related to interim status, or for any other reason that would serve as grounds for revocation of a permit. The procedures governing such revocation shall be the same as those governing the revocation of permits as provided for in Parts 621 and 624 of this Title.

(4) For owners or operators of each land disposal facility which has been granted interim status prior to November 8, 1984, interim status terminates on November 8, 1985, unless:

(i) the owner or operator submits Part B of the USEPA RCRA permit application to the Regional Administrator prior to that date; and

(ii) the owner or operator certifies that the facility is in compliance with all applicable ground water monitoring and financial responsibility requirements.

(5) For owners or operators of each land disposal facility which is in existence on the effective date of statutory or regulatory amendments under the ECL and its regulations that require the facility to have a Part 373 permit and which is granted interim status, interim status terminates twelve months after the date on which the facility first becomes subject to such permit requirements unless the owner or operator of such facility:

(i) submits a Part 373 application for the facility within twelve months after the date on which the facility first became subject to such permit requirements; and

(ii) certifies that the facility is in compliance with all applicable ground water monitoring and financial responsibility requirements.

(6) For owners or operators of any land disposal unit that is granted authority to operate under subparagraph (g)(1)(i), (ii) or (iii) of this section, on the date 12 months after the effective date of such requirement unless the owner or operator certifies that such unit is in compliance with all applicable ground water monitoring and financial responsibility requirements.

(7) For owners or operators of each incinerator facility, which has achieved interim status prior to November 8, 1984, interim status terminates on November 8, 1989, unless the owner or operator of the facility submits a Part 373 permit application for the incinerator facility by November 8, 1986.

(8) For owners or operators of any facility (other than a land disposal or an incinerator facility) which has achieved interim status prior to November 8, 1984, interim status terminates on November 8, 1992, unless the owner or operator of the facility submits a Part 373 application for the facility by November 8, 1988.

(i) Updating interim status applications.

(1) If any owner or operator of a hazardous waste management facility has filed an interim status application and has not yet filed for a Part 373 permit, the owner or operator must file an amended interim status application (EPA RCRA Part A):

(i) with the regional permit administrator in whose jurisdiction the facility is located, and the director, no later than the effective date of revised regulations under Part 371 of this Title, listing or identifying additional hazardous wastes if the facility is treating, storing, or disposing of any of those newly listed or identified wastes;

(ii) as necessary to comply with provisions of subdivision (g) of this section for changes during interim status. Revised EPA RCRA Part A applications for New York State interim status must be filed with the regional permit administrator of jurisdiction and the director.

(2) The owner or operator of a facility who fails to comply with the updating requirements of paragraph (1) of this subdivision does not receive interim status for the wastes not covered by duly filed interim status applications (EPA RCRA Part A's).

§373-1.4 - Permit Application Requirements

(a) General.

(1) These requirements apply to the owner or operator of a hazardous waste management facility who is required by this Part to apply for a permit to construct or operate a facility. At any time after promulgation of this Part, the owner or operator of an existing hazardous waste management facility which has interim status may be required to submit a Part 373 permit application. Any owner or operator will be allowed at least six months from the date of request to submit the permit application. Any owner or operator of an existing hazardous waste management facility may voluntarily submit a Part 373 permit application at any time. Procedures for application, issuance, and administration of research, development, and demonstration permits are found exclusively in subdivision 373-1.9(c) of this Subpart. The expanded public participation requirements are included in section 373-1.10 of this Subpart.

(2) Permit applicant. Whenever the owner and the operator of a facility are different persons, both the owner and the operator will be issued a permit for the facility. The operator is responsible for obtaining the required permit, but the owner is also required to sign the permit application. The operator must also receive the owner's permission to conduct all regulated activities, including adequate agreement for site access during the post-closure period for disposal facilities. Failure to furnish a requested Part 373 permit application on time, or to furnish in full the information required by the permit application, is grounds for termination of interim status under subdivision 373-1.3(h) of this Subpart, and constitutes a violation of this Subpart.

(3) Forms. Applications for permits pursuant to this Part must be submitted on forms prescribed by the commissioner.

(4) Submission of applications. Applications must be submitted as described in this section and subdivisions 373-1.3 (c) through (h) of this Part to the Regional Permit Administrator in the region in which the facility is located or proposed. An application for a Part 373 permit for a new hazardous waste management facility may be filed any time after promulgation of the standards in Subpart 373-2 of this Part, however, all applications must be submitted at least 180 days before physical construction is expected to commence.

(5) Signatories to permit applications and reports.

(i) Applications. All permit applications must be signed as follows:

('a') for a corporation: by a responsible corporate officer. For the purpose of this section, a "responsible corporate officer" means:

('1') a president, secretary, treasurer, or vice-president of the corporation in charge of a principal business function, or any other person who performs similar policy or decision-making functions for the corporation; or

('2') the manager of one or more manufacturing, production or operating facilities employing more than 250 persons or having gross annual sales or expenditures exceeding $25 million (in second-quarter 1980 dollars), if authority to sign documents has been assigned or delegated to the manager in accordance with corporate procedures;

('b') for a partnership or sole proprietorship: by a general partner or the proprietor, respectively; or

('c') for a municipality, State, Federal, or other public agency: by either a principal executive officer or ranking elected official. For purposes of this section, a "principal executive officer" of a governmental agency includes:

('1') the chief executive officer of the agency; or

('2') a senior executive officer having responsibility for the overall operations of a principal geographic unit of the agency.

(ii) Reports. All reports required by permits and other information requested by the commissioner must be signed by a person described in subparagraph (i) of this paragraph, or by a duly authorized representative of that person. A person is a duly authorized representative only if:

('a') the authorization is made in writing by a person described in subparagraph (i) of this paragraph;

('b') the authorization specifies either an individual or a position having responsibility for overall operation of the regulated facility or activity, such as the position of plant manager, operator of a well or a well field, superintendent, or position of equivalent responsibility (a duly authorized representative may thus be either a named individual or any individual occupying a named position); and

('c') the written authorization is submitted to the commissioner.

(iii) Changes to authorization. If an authorization under subparagraph (ii) of this paragraph is no longer accurate because a different individual or position has responsibility for the overall operation of the facility, a new authorization satisfying the requirements of subparagraph (ii) must be submitted to the commissioner prior to or together with any reports, information or applications to be signed by an authorized representative.

(iv) Certification.

('a') Any person signing a document under subparagraph (i) or (ii) of this paragraph shall make the following certification:

"I certify under penalty of law that this document and all attachments were prepared under my direction or supervision according to a system designed to assure that qualified personnel properly gather and evaluate the information submitted. Based on my inquiry of the person or persons who manage the system, or those persons directly responsible for gathering the information, the information submitted is, to the best of my knowledge and belief, true, accurate, and complete. I am aware that there are significant penalties for submitting false information, including the possibility of fine and imprisonment for knowing violations."

('b') For remedial action plans (RAPs) under section 373-1.11 of this Subpart, if the operator certifies according to clause ('a') of this subparagraph, then the owner may choose to make the following certification instead of the certification in clause ('a') of this subparagraph:

"Based on my knowledge of the conditions of the property described in the RAP and my inquiry of the person or persons who manage the system referenced in the operator's certification, or those persons directly responsible for gathering the information, the information submitted is, upon information and belief, true, accurate, and complete. I am aware that there are significant penalties for submitting false information, including the possibility of fine and imprisonment for knowing violations."

(b) Completeness. Prior to commencing review of any application, the commissioner must determine that the application is complete. However, the commissioner may deny a permit for the active life of a hazardous waste management facility or unit before receiving a complete application for a permit. In order for an application to be determined complete, the applicant must:

(1) satisfy the general requirements for complete application contained in Part 621 of this Title (Uniform Procedures Regulations);

(2) include all information required, both general and specific to the type of facility under this Part;

(3) include any supplemental information requested by the commissioner in a notice of incompleteness; and

(4) submit the exposure information described in paragraphs 373-1.5(d)(10) and (h)(10) of this Subpart.

(c) Siting certificate requirements. Certain facilities will require a certificate of environmental safety and public necessity pursuant to Title 11 of article 27 of the ECL and Part 361 of this Title.

(d) Draft permits for RCRA delegated permits.

(1) In the case of RCRA delegated permits, once an application is complete, the commissioner will issue a draft permit or a notice of intent to deny the application.

(2) A draft permit shall contain the following information:

(i) all permit conditions applicable to the specific facility as set forth in section 373-1.6(a) of this Subpart;

(ii) all monitoring requirements set forth in section 373-1.6(b);

(iii) all required conditions as set forth in subdivision 373-1.6(c); and

(iv) all compliance schedule requirements set forth in subdivision 373-1.6(d).

(3) All draft permits prepared under this subdivision shall be accompanied by a statement of basis or fact sheet based on the administrative record publicly noticed and made available for public comment as set forth in Part 621 of this Title.

(e) Statement of basis. The department shall prepare a statement of basis for every draft permit for which a fact sheet under subdivision (f) of this section is not prepared. The statement of basis shall briefly describe the derivation of the conditions of the draft permit and the reasons for them or, in the case of notices of intent to deny or terminate, reasons supporting the tentative decision. The statement of basis shall be sent to the applicant and, on request, to any other person.

(f) Fact sheet.

(1) A fact sheet shall be prepared for every draft permit for a major HWM facility and for every draft permit which the commissioner finds is the subject of widespread public interest or raises major issues. The fact sheet shall briefly set forth the principal facts and the significant factual, legal, methodological and policy questions considered in preparing the draft permit. The commissioner shall send this fact sheet to the applicant and, on request, to any other person.

(2) The fact sheet shall include, when applicable:

(i) a brief description of the type of facility or activity which is the subject of the draft permit;

(ii) the type and quantity of wastes, fluids, or pollutants which are proposed to be or are being treated, stored, disposed of, injected, emitted, or discharged;

(iii) a brief summary of the basis for the draft permit conditions including references to applicable statutory or regulatory provisions and appropriate supporting references to the administrative record;

(iv) reasons why any requested variances or alternatives to required standards do or do not appear justified;

(v) a description of the procedures for reaching a final decision on the draft permit, including:

('a') the beginning and ending dates of the comment period and the address where comments will be received;

('b') procedures for requesting a hearing and the nature of that hearing; and

('c') any other procedures by which the public may participate in the final decision; and

(vi) name and telephone number of a person to contact for additional information.

(g) Recordkeeping. Applicants must keep records of all data used to complete permit applications and any supplemental information submitted under sections 373-1.3, 373-1.4 and 373-1.5 of this Subpart for a period of at least three years from the date the application is signed.

(h) The commissioner may require a permittee or an applicant to submit information in order to establish permit conditions under paragraph 373-1.6(c)(2) of this Subpart.