State Authorization Terms and Topics

Addendum to the State's EPA-Approved Hazardous Waste Management Program

A supplementary document to the EPA binder containing the text of the authorized version of each state provision to which unauthorized amendments have been made. The Addendum consists of an explanatory statement, a table of contents, and a text section and is kept in the office of the EPA region developing the codification package.

Attorney General's Statement (Certification)

 A statement prepared by the state attorney general (or the attorney for the state agencies which have independent legal counsel) as part of the authorization application that identifies and interprets state legal authorities.  The regulatory requirements for the AG Statement are published in 40 CFR 271.7. AG Statements are optionally referenced in 40 CFR 272 as part of the codification, but are not incorporated by reference.  A Model AG Certification is available for viewing or downloading from the Express Authorization page. Old Model AG Statements for specific SPAs/clusters are also available for viewing or downloading from the Program Revision Documents page.

Authorization Application Package

The application materials submitted by the state to EPA for review for state authorization. The package typically includes state statutes, regulations, an AG Statement or addendum, revision checklist, program description, and a memorandum of agreement. The elements that must be included in the state's program submission are specified in 40 CFR 271.5.

Base Program Authorization

The RCRA program initially made available for final authorization, reflecting federal regulations as of July 26, 1982.

Base Program Checklists

The set of checklists submitted for state base program authorization, including Checklists I, II, III, IVA, IVB, and V.

Broader in Scope (BIS)

Provisions that (1) allow the state to regulate more entities or wastes than the federal code or (2) add an aspect to a state's statutes or regulations for which there is no federal counterpart in the RCRA statutes or regulations. Broader in scope provisions are referenced in 40 CFR 272 as part of the codification notice, but are not incorporated by reference.

CFR

See Code of Federal Regulations

Checklists

A tool used to document the state analogs to federal regulatory requirements. They include a column to indicate whether the state requirement is equivalent to, more stringent, or broader in scope than the analogous federal requirement. (Also See Revision Checklists, Base program checklists, State Legislation Checklist, HSWA statutory checklist, RCRA Statutory Checklist, Consolidated Checklists and Special Consolidated Checklists.)

Cluster

A cluster is a set of Revision Checklists developed for federal rules promulgated between a specified period.  The cluster system was set up by EPA in an attempt to limit the number of times states would need to submit revision applications in response to the numerous federal changes stemming from the 1984 HSWA amendments. The cluster periods coincide with the annual publications of the CFR.  The July date was selected to give states time to work on regulations and take them to the legislature (for those states that have legislative review.  The cluster system applies only to state modifications that are necessary because of changes to the federal program after June 30, 1984. It does not apply to state-initiated modifications, or rules promulgated between July 27, 1982, and June 30, 1984 (Checklists 1-8). There are three types of clusters: HSWA Cluster, Non-HSWA Cluster, and RCRA Cluster.

Code of Federal Regulations (CFR)

A codification of final rules published in the Federal Register by the executive departments and agencies of the federal government. The

Codification

The process of placing a rule in the Code of Federal Regulations (CFR). 40 CFR 272 identifies the specific elements of the state program that EPA has approved as RCRA Subtitle C requirements. This is useful for the regulated community and the public, as they can see what elements of the RCRA program a state administers. As part of the codification, the state's procedural and enforcement provisions, as well as those provisions that are broader in scope than the federal program, are also identified.  More information on codification can be found in the Codification Workbook available on the Training Manuals page.

Consolidated Checklists C1 through C11

A consolidation of the checklists used for the initial RCRA Base Program, plus all the revisions to this program.  Each Consolidated Checklist corresponds to a specific Part of the 40 CFR.  They can be used when a state is seeking initial authorization, or when an authorized state makes major revisions to its regulations, such as: renumbering its code; changing from an incorporation by reference to a verbatim adoption, or vice versa; and replacing current state regulations with verbatim adoption of the federal regulations or an incorporation by reference.  A state can also use a Consolidated Checklist to track its own program as it corresponds to the federal code.  It serves as a crosswalk between the state's entire authorized program and the federal regulations.  Consolidated Checklists are helpful in tracking the history of the revisions to each specific provision of the federal regulations.  Each citation shows the Revision Checklists that have affected it.  Endnotes are also used to provide additional information about specific citations.  The 2002 Consolidated Checklists C1 -C11 are available for viewing or downloading.

EPA Binder

The three-ring binder submitted to the Office of the Federal Register as part of the codification of a state's authorized program.  The binder contains a table of contents and copies of the state statutes and regulations to be incorporated by reference into the Code of Federal Regulations.

Express Authorization

Express Authorization is a restructuring of the components of an authorization application that helps states, regardless of their current authorization status or method of adoption, reduce the administrative burden of revising their authorized RCRA programs.  Express Authorization replaces the old Attorneys General Statement (AGS) model and supporting documents, with a simplified AGS with supporting documents as required by the type of revision being authorized. This process change results in less time spent preparing and reviewing the AGS and supporting documentation.  Additional information and documents can be found on the Express Authorization page.

Federal Register Notices

Federal Register notices for final rules can be accessed through the Program Revision Documents page.  Federal Register notices are arranged on this page according to SPA/Cluster.

Guidance Documents

EPA has prepared memos and documents that articulate EPA policies on a number of topics related to state authorization.  Additional information and documents can be found on the Policies and Guidance Documents page.

HSWA - Hazardous and Solid Waste Amendments

The Hazardous and Solid Waste Amendments of 1984 (HSWA).   HSWA broadened the scope and requirements of RCRA. Like RCRA, HSWA is a statute, but HSWA amended an existing statute. Table 1 in 40 CFR 271.1 lists the federal regulations that implement HSWA. Regulations promulgated under HSWA are immediately effective in all states, regardless of authorization status. EPA administers HSWA rules until states are authorized. Examples of HSWA provisions include: land disposal restrictions; corrective action; Toxicity Characteristic (TC) Rule; and boilers and industrial furnaces (BIFs).

HSWA Cluster

There are two multi-year clusters that cover most of the HSWA regulations: Cluster I covers regulations promulgated between November 8, 1984, and June 30, 1987 and includes the majority of the facility standards. Cluster II covers HSWA provisions promulgated between July 1, 1987, and June 30, 1990 and includes the land disposal restriction requirements.

HSWA Statutory Checklist

The HSWA Statutory Checklist was initially developed as part of the state's application for authorization for any of the HSWA provisions.  The checklist was used to document a state's authority for the federal regulations promulgated under HSWA.  This checklist has been replaced by the RCRA Statutory Checklist.

IBR Guidance - Incorporation By Reference

EPA's current guidance for States that incorporate the Federal regulations by reference can be found on the Policies and Guidance Documents page.

Map of Revision Checklist Materials

Provides a good summary of the relationship between (1) the SPAs, (2) the Federal promulgation dates of final rules, (3) the Revision Checklists, and (4) the Clusters.

Memorandum of Agreement (MOA)

The MOA is the state-EPA contract for how the authorized program will operate with respect to the federal hazardous waste program. It is the vehicle for specifying areas of coordination and cooperation and defining the respective roles and responsibilities of EPA and the state. The MOA is required by 40 CFR 271.8 for all base applications. It is not required, however, to be submitted with all state revision applications. Whether an MOA is necessary for a revision depends on how extensively the state's program is changing and whether the current MOA needs updates for reasons beyond the state's application. A Model MOA is available for viewing or downloading from the Program Revision Documents page.

Non-checklisted Items

Not all program revisions for which States may be seeking authorization have Revision Checklists.  Some program revisions are known as "non-checklist" revisions and do not require a completed checklist for authorization application.  This is because the provisions addressed by these revisions are not based on changes in the federal regulations.  A list of non-checklisted revisions include: Statutory authority over the hazardous component of radioactive mixed waste (MW); Surface impoundment requirements for interim status facilities (SR1 and SR2); Sharing of Information with the Agency for Toxic Substances and Disease Registry (SI). Additional information about "non-checklist" program revisions can be found in Appendix E, Exhibit 1, of hard copy version of the June 1995 SAM and in Appendix N--Guidance for State Authorization Issues.

Non-HSWA Cluster

Non-HSWA Clusters cover a period of one year and apply to rules issued between July 1, 1984, and June 30, 1990, under the authority of the pre-1984 RCRA. States must modify their programs by July 1 of the year following the closing date of the cluster for regulatory changes, and must modify their program by July 1 two years later for any provisions requiring a statutory change.  There are six Non-HSWA clusters.

Official version of the State statutes and regulations

The version of the state's statutes and regulations that is acknowledged by the state as legally enforceable and used in court.

Preliminary Crosswalk

Provides an initial structure for a regulatory or statutory crosswalk so that when the regulations or statutes are examined on a section-by-section basis, the focus can be on classifying each section/paragraph (See Regulatory Crosswalk; Statutory Crosswalk)

Procedural Provisions  

Provisions including public notice, public hearings and appeals. Provisions that give a state agency or commission specific authorities are also considered procedural. Procedural Provisions are referenced in 40 CFR part 272 as part of the codification, but are not incorporated by reference.

Program Description (PD)

A document submitted as part of the state's authorization application package which explains the program the state proposes to administer, together with any forms used to administer the program under state law. It designates the lead agency for the program, and often identifies where the state is broader in scope. Program Descriptions may be referenced in 40 CFR part 272 as part of the codification, but are not incorporated by reference.  A Model Program Description is available for viewing or downloading from the Program Revision Documents page. The elements that must be included in the PD are specified in 40 CFR § 271.6.

RCRA - Resource Conservation and Recovery Act

The Resource Conservation and Recovery Act of 1976, and all amendments of that Act.   Congress developed and enacted RCRA in 1976 in response to public concern regarding the threat posed to human health and the environment by increased waste generation.  RCRA describes, in very broad terms, the kind of waste management program that Congress wanted to establish.  In addition, RCRA instructs EPA to develop and promulgate regulations to implement such a program, and gives the EPA Administrator the authority necessary to carry out the intent of the Act, including the authority to conduct inspections.

RCRA Cluster

RCRA Clusters cover a period of one year and apply to both HSWA and Non-HSWA final rules published from July 1, 1990 to the present. States must modify their programs within one year of the end of the Cluster (or two years if a statutory change is required), and submit an application within 60 days after the modification deadline.  Regional Administrators may grant case-by-case six month extensions to states that cannot meet the modification after good faith efforts (e.g., they may have lengthy public participation requirements, legislative involvement). If, after the extension, a state requests additional time, the Regional Administrator may place the state on a schedule of compliance for up to one additional year.

RCRA Statutory Checklist

The RCRA Statutory Checklist is the current document used by a state to document its authority for the hazardous waste program.  It is a combination of the original State Legislation Checklist and the HSWA Statutory Checklist.  The checklist should be updated and submitted to EPA for approval in case of a renumbering, restructuring, or changes to the state's statutes that affect state authorization. Additional information about the RCRA Statutory Checklist can also be found in the Questions and Answers About Express Authorization document on the Express Authorization page. Two versions of the RCRA Statutory Checklist are available for viewing or downloading from the Express Authorization page.

Regional Codification Team

A group of EPA and state staff members established to work together to help resolve the problems and issues which will arise during the codification process. The team typically consists of the regional representative responsible for the codification, a state authorization specialist from the state being codified, and a representative from the Office of Regional Counsel.

Regulatory Checklists

Used to describe a Base Program Checklist or a Revision Checklist.

Regulatory Crosswalk

An organized approach for classifying each section/paragraph of state regulations so that the authorized program can be accurately identified and so that the information can be easily checked and entered into the codification Federal Register notice. The following information is included for each section/paragraph cited: the amendment or effective date of the authorized version; documentation of the authorization history of the provision; a description or RCRA analogous citation; and whether the section/paragraph is authorized, procedural/enforcement, broader in scope or other unauthorized or extra provision.

Revision (Rule) Checklists

A document based on specific Federal rules published in the Federal Register that addresses changes made to the federal RCRA program beyond the base program. Revision checklists are presented and numbered in chronological order by date of promulgation.  Revision Checklists can be accessed from the Program Revision Documents page.

Revision Checklist Linkage Table

This table shows which Revision Checklists are related (i.e., which checklists affect similar sections of code).  For example: Revision Checklists 34, 39, 50, 63, 78, 109, 137 and 151 are considered "linked" because they all deal with the Land Disposal Restrictions.  Similarly, Revision Checklists 112, 122, 130 and 166 are "linked" because they deal with the Used Oil Management Standards.  A state may use the Revision Checklist Linkage Table to verify that all related changes to the state's program are made at the same time.  For example, a state which wants to adopt the Wood Preserving Listing should include Revision Checklists 82, 92 and 120. The Revision Checklist Linkage Table is available for viewing or downloading from the Program Revision Documents page.

Rule Checklists

See Revision (Rule) Checklists.

SPA

See State Program Advisory. 

Special Consolidated Checklist

A consolidation of the Revision Checklists for a major rule, such as the Land Disposal Restrictions (LDR), Used Oil, Wood Preserving Listing, etc..  The Special Consolidated Checklists are useful for a state that wants to adopt a major program area, such as the LDR.  It eliminates the need to submit several Revision Checklists.    Each citation on a Special Consolidated Checklist shows the Revision Checklists that have affected it.  Endnotes are also used to provide additional information about specific citations.  The 2002 Special Consolidated Checklists are available for viewing or downloading.

State Authorization Specialist

A state staff person on the regional codification team who provides support in obtaining background documents and the official versions of the state's statutes and regulations.

State Legislation Checklist

This checklist was part of the Base Program authorization documents and was used to document state hazardous waste enabling authority for final authorization under section 3006(b) of RCRA. It provided a crosswalk between a state's statutes and RCRA and was submitted as part of the state base program authorization.  The State Legislation Checklist has been replaced by the RCRA Statutory Checklist.

State Program Advisory (SPA)

The SPA is a guidance manual issued by EPA each year. It describes that documents have been developed for a particular Cluster and provides directions to states on developing authorization applications.  The documents in each SPA may include new Revision Checklists, changes to existing checklists from a previous Cluster, a model AG Statement, Consolidated Checklists, and other guidance materials consisting of (1) the Map of Revision Checklist Materials which provides a good summary of the relationship between the SPAs, Federal promulgation dates of final rules, Revision Checklists, and Clusters; (2) two tables (Table G-1 and Table G-2) which provide a list of all the Revision Checklists, organized in different ways and which include the due dates for states to submit authorization applications; (3) the Revision Checklist Linkage Table shows which Revision Checklists are related; and (4) a list of Superseded Checklists.

StATS

The State Authorization Tracking System (StATS) is an information management system designed to document the progress of each state and territory in establishing and maintaining RCRA-authorized hazardous waste management programs. StATS tracks the status of each state with regard to each change made to the federal hazardous waste regulations.

Statutory Checklist

See RCRA Statutory Checklist; State Legislation Checklist; and HSWA Statutory Checklist

Statutory Crosswalk

An organized approach for classifying each section/paragraph of state statutes so that the authorized program can be accurately identified and so that the information can be easily checked and entered into the codification Federal Register notice. The following information is included for each section/paragraph cited: the amendment or effective date of the authorized version of the provision; a description or RCRA analog; the basis for the classification (authorization history); and whether the section/paragraph is authorized, procedural/enforcement, broader in scope, or other unauthorized or extra provision.

Table G-1

Provides a list of the Revision Checklists by cluster and specifies the due date for the cluster.  The Table also includes the Federal Register reference for each checklist. Table G-1 may be used for guidance on the time frame for submitting the program revisions represented by each checklist. Table G-1 is available for viewing or downloading from the Program Revision Documents page.

Table G-2

Provides a list of the Revision Checklists in numerical order.  The table also lists the title of the federal requirement and the associated cluster. Table G-2 may be used as a quick reference for determining which revision cluster a checklist is in.  A list of the non-checklisted items are also listed in Table G-2. Table G-2 is available for viewing or downloading from the Program Revision Documents page.