Geologic Sequestration of Carbon
United States
Environmental Protection
Agency
Underground Injection Control (UIC)
Program Class VI Primacy Manual for
State Directors
Office of Water (4606M) 816-B-14-003 April 2014
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Disclaimer
The Federal Requirements under the Underground Injection Control Program for Carbon
Dioxide Geologic Sequestration Wells (75 FR 77230, December 10, 2010), referred to as the
Class VI Rule, establishes a new class of injection well (Class VI).
The Safe Drinking Water Act (SDWA) provisions and EPA regulations cited in this document
contain legally-binding requirements. In several chapters, this guidance document makes
recommendations and offers alternatives that go beyond the minimum requirements indicated by
the Class VI Rule. This is intended to provide information and recommendations that may be
helpful for UIC Class VI Program implementation efforts. Such recommendations are prefaced
by the words 'may' or 'should' and are to be considered advisory. They are not required
elements of the Class VI Rule. Therefore, this document does not substitute for those provisions
or regulations, nor is it a regulation itself, so it does not impose legally-binding requirements on
EPA, states or the regulated community. The recommendations herein may not be applicable to
each and every situation.
EPA and state decision makers retain the discretion to adopt approaches on a case-by-case basis
that differ from this guidance where appropriate. Any decisions regarding a particular facility
will be made based on the applicable statutes and regulations. Mention of trade names or
commercial products does not constitute endorsement or recommendation for use. EPA is taking
an adaptive rulemaking approach to regulating Class VI injection wells. The agency will
continue to evaluate ongoing research and demonstration projects and gather other relevant
information as needed to refine the Rule. Consequently, this guidance may change in the future
without a formal notice and comment period.
While EPA has made every effort to ensure the accuracy of the discussion in this document, the
obligations of the regulated community are determined by statutes, regulations or other legally
binding requirements. In the event of a conflict between the discussion in this document and any
statute or regulation, this document would not be controlling.
Note that this document only addresses issues covered by EPA's authorities under the SDWA.
Other EPA authorities, such as Clean Air Act (CAA) requirements to report carbon dioxide
injection activities under the Greenhouse Gas Mandatory Reporting Rule (GHG MRR), are not
within the scope of this document.
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Executive Summary
The U.S. Environmental Protection Agency (EPA) Federal Requirements Under the
Underground Injection Control (UIC) Program for Carbon Dioxide Geologic Sequestration
Wells found at 75 FR 77230, December 10, 2010, and codified in the U.S. Code of Federal
Regulations [40 CFR 146.81 et seq.], are referred to as the Class VI Rule. The Class VI Rule
establishes a new class of injection wells (Class VI) and sets minimum federal technical criteria
for Class VI injection wells for the purposes of protecting underground sources of drinking water
(USDWs).
The Safe Drinking Water Act (SOWA, 42 U.S.C. 300h et al.) authorizes EPA to review and
approve UIC Program applications for primary enforcement responsibility (primacy) for the UIC
Program. This UIC Program Class VI Primacy Manual outlines and describes the requirements
for interested states, tribes and territories to develop a UIC Class VI Program and submit a
primacy application to EPA for approval under SDWA Section 1422. This document contains
the following sections:
• Section 1 presents background on the elements of the Class VI Rule and identifies
various tools to support the primacy application process.
• Section 2 presents background on UIC Program Class VI primacy, including options for
states applying for Class VI primacy.
• Section 3 presents the required elements of new UIC Program Class VI primacy
applications.
• Section 4 presents the required elements of UIC Program Class VI primacy revision
applications.
The appendices to this manual include EPA's standard operating procedures for primacy
application reviews; a crosswalk for comparing federal and state Class VI requirements; a
primacy application checklist; and sample letters and notifications as examples of primacy
application elements, including a Memorandum of Agreement, a Memorandum of
Understanding, an Attorney General's statement and a sample program description.
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Table of Contents
Disclaimer i
Executive Summary ii
Table of Contents iii
List of Appendices iv
Acronyms and Abbreviations v
Definitions vi
1.0 Introduction 1
1.1 Elements of the UIC Class VI Rule 1
1.2 Additional UIC Program Primacy Application Tools 3
1.3 Organization of this Document 4
2.0 UIC Program Class VI Primacy 5
2.1 Class VI Primacy Options 6
2.2 Applying for Class VI Primacy 6
3.0 Required Elements of a New SDWA Section 1422 UIC Program Primacy Application:
for States Currently without SDWA Section 1422 Primacy or States with SDWA
Section 1425 Primacy for Class II Wells Only 8
3.1 General Requirements for a New SDWA Section 1422 UIC Program Application 8
3.2 Specific Elements of a New SDWA Section 1422 UIC Program Primacy
Application 9
3.3 Processing New SDWA Section 1422 UIC Program Applications 14
4.0 Required Elements of a SDWA Section 1422 UIC Program Revision Application: for
States Currently with SDWA Section 1422 UIC Program Primacy 16
4.1 General Requirements of a SDWA Section 1422 UIC Program Revision
Application 16
4.2 Specific Elements of a SDWA Section 1422 UIC Program Revision Application 17
4.3 Processing SDWA Section 1422 UIC Program Revision Applications 21
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List of Appendices
Appendix A: Standard Operating Procedures for Processing Class VI Primacy Application/
Program Revision Submittals A-l
Appendix B: Federal/State Regulation Comparison Crosswalk for a SDWA Section 1422
UIC Program Application A-11
Appendix C: Class VI Primacy Application Checklist for Both New SDWA Section 1422
UIC Programs and SDWA Section 1422 UIC Program Revision Applications A-100
Appendix D: Example Memorandum of Agreement A-104
Appendix E: Example Addendum to a Memorandum of Agreement for States with
Existing UIC Programs A-l 12
Appendix F: Example Memorandum of Understanding A-120
Appendix G: Example Attorney General's Statement A-124
Appendix H: Sample Program Description A-126
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Acronyms and Abbreviations
AoR Area of Revi ew
CCS Carbon Capture and Storage
CFR Code of Federal Regulations
DI Direct Implementation
EPA U.S. Environmental Protection Agency
FR Federal Register
FTE Full-Time Equivalent
GS Geologic Sequestration
MO A Memorandum of Agreement
MOU Memorandum of Understanding
OECA Office of Enforcement and Compliance Assurance (EPA)
OGC Office of General Council (EPA)
OGWDW Office of Ground Water and Drinking Water (EPA)
SDWA Safe Drinking Water Act
SOP Standard Operating Procedure
UIC Underground Injection Control
USDW Underground Source(s) of Drinking Water
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Definitions
Key to definition sources:
1: 40 CFR 144.3.
2:40CFR146.81(d).
3: 40 CFR 144.6(f) and 144.80(d).
4: EPA's UIC website (http://water.epa.gov/type/groundwater/uic/glossary.cfm).
5: This definition was drafted for the purposes of this document.
6: Class VI Rule Preamble (75 FR 77230).
Administrator means the Administrator of the United States Environmental Protection Agency,
or an authorized representative.1
Class VI wells are wells that are not experimental in nature that are used for geologic
sequestration of carbon dioxide beneath the lowermost formation containing a USDW; or wells
used for geologic sequestration of carbon dioxide that have been granted a waiver of the
injection depth requirements pursuant to requirements at 40 CFR 146.95; or wells used for
geologic sequestration of carbon dioxide that have received an expansion to the areal extent of an
existing Class II enhanced oil recovery or enhanced gas recovery aquifer exemption pursuant to
40 CFR 146.4 and 40 CFR 144.7(d).3
Geologic sequestration (GS) means the long-term containment of a gaseous, liquid or
supercritical carbon dioxide stream in subsurface geologic formations. This term does not apply
to carbon dioxide capture or transport.2
Geologic sequestration project means an injection well or wells used to emplace a carbon
dioxide stream beneath the lowermost formation containing a USDW; or wells used for geologic
sequestration of carbon dioxide that have been granted a waiver of the injection depth
requirements pursuant to requirements at 40 CFR 146.95; or wells used for geologic
sequestration of carbon dioxide that have received an expansion to the areal extent of an existing
Class II enhanced oil recovery or enhanced gas recovery aquifer exemption pursuant to 40 CFR
146.4 and 144.7(d). It includes the subsurface three-dimensional extent of the carbon dioxide
plume, associated area of elevated pressure and displaced fluids, as well as the surface area
above that delineated region.
Injection depth waiver refers to the provisions at 40 CFR 146.95 that allow owners or operators
to seek a waiver from the Class VI injection depth requirements for GS to allow injection into
non-USDW formations while ensuring that USDWs are protected from endangerment.5
Primacy (primary enforcement responsibility) means the authority to implement the UIC
Program. To receive primacy, a state, territory or tribe must demonstrate to EPA that its UIC
Program is at least as stringent as the federal standards; the state, territory or tribal UIC
requirements may be more stringent than the federal requirements. (For Class II, states must
demonstrate that their programs are effective in preventing pollution of USDWs.) EPA may grant
primacy for all or part of the UIC Program, e.g., for certain classes of injection wells.4
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Underground Injection Control (UIC) Program refers to the program EPA or an approved
state is authorized to implement under the Safe Drinking Water Act (SDWA) that is responsible
for regulating the underground injection of fluids by wells injection. This includes setting the
minimum requirements for construction, operation, permitting and closure of underground
injection wells.5
UIC Program Director refers to the chief administrative officer of any state or tribal agency or
EPA Region that has been delegated to operate an approved UIC Program.4
Underground Source of Drinking Water (USDW) means an aquifer or its portion which
supplies any public water system; or which contains a sufficient quantity of ground water to
supply a public water system; and currently supplies drinking water for human consumption; or
contains fewer than 10,000 mg/L total dissolved solids; and which is not an exempted aquifer.1
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1.0 Introduction
This manual describes the recommended approaches for attaining primary enforcement
responsibility (primacy) for the Underground Injection Control (UIC) Class VI Program in
accordance with the Federal Requirements Under the Underground Injection Control Program
for Carbon Dioxide Geologic Sequestration Wells [75 FR 77230, December 10, 2010] otherwise
referred to as the Class VI Rule. The Class VI Rule was promulgated under the authority of the
Safe Drinking Water Act (SDWA). The Rule outlines the federal requirements for a new class of
injection wells, Class VI. SDWA authorizes the U.S. Environmental Protection Agency (EPA) to
review and approve state UIC Program applications for primacy [SDWA Section 1422(b)(2) and
40 CFR 145.3 l(d)]. This manual is intended to provide procedural support to UIC Program
Directors preparing the required UIC primacy application materials to submit to EPA for
approval.
Throughout this document, the terms "state" and "states" are used to refer to every type of
primacy entity that may implement the UIC Program, including states, U.S. territories, Indian
tribes and EPA Regional offices administering direct implementation (DI) programs. The term
"UIC Program Director" refers to either: 1) the state Director or his/her authorized designee as
identified in the state primacy submission or 2) the EPA Regional Administrator or his/her
authorized designee responsible for directly implementing a UIC Program in a state, territory or
tribal area without primacy (DI program).
1.1 Elements of the UIC Class VI Rule
The UIC Class VI Rule defines a new class of well, Class VI, to be used for the injection of
carbon dioxide for the purposes of geologic sequestration (GS) [40 CFR 146.5(f)]. The Class VI
Rule sets forth federal requirements for the permitting, siting, construction, operation,
monitoring, plugging, post-injection site care and site closure of Class VI injection wells,
including those re-permitted as Class VI wells from other injection well classes [40 CFR 146.82
et seq.}. Box 1 presents a brief overview of the requirements for Class VI injection wells, as
found in 40 CFR 146 Subpart H. For specific, detailed information on the Class VI requirements,
refer to the Class VI Rule and Preamble in the Federal Register [75 FR 77230, December 10,
2010].
States seeking to obtain Class VI primacy will need to develop regulations that ensure the
protection of underground sources of drinking water (USDWs) with requirements for the
permitting, siting, construction, operation, monitoring, plugging, post-injection site care and site
closure of Class VI injection wells to ensure that GS projects are properly managed and do not
endanger USDWs. State regulations must be at least as stringent as the federal Class VI
requirements (see Sections 3 and 4 of this manual for additional information).
For information on issuing Class VI permits that meet the requirements of the Class VI Rule, see
the UIC Program Class VI Implementation Manual for State Directors and the accompanying
series of technical guidance documents for Class VI wells available on EPA's website at:
http://water.epa.gov/type/groundwater/uic/class6/gsguidedoc.cfm.
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Box 1: Overview of the Federal Class VI Rule Requirements
The Class VI permit information requirements establish the information that owners or operators must
submit to obtain a Class VI permit [40 CFR 146.82].
The minimum criteria for siting establish that Class VI injection wells must be located in areas with a
suitable geologic system, including a suitable injection zone that can receive the total anticipated volume
of carbon dioxide and confining zone(s) to contain the injected carbon dioxide stream and displaced
formation fluids [40 CFR 146.83].
The area of review (AoR) and corrective action provisions require computational modeling to delineate
the AoR for proposed Class VI injection wells and require the preparation of and compliance with an AoR
and Corrective Action Plan for delineating the AoR, performing all necessary corrective action, and
periodically reevaluating the delineation and amending the Plan [40 CFR 146.84].
The financial responsibility requirements establish that owners or operators must demonstrate and
maintain financial responsibility for performing corrective action on improperly abandoned wells in the
AoR, injection well plugging, post-injection site care and site closure activities, and emergency and
remedial response [40 CFR 146.85].
The injection well construction requirements specify the design and construction of Class VI injection
wells using materials that are compatible with the carbon dioxide stream over the life of the GS project to
prevent movement of fluids into USDWs [40 CFR 146.86].
The requirements for logging, sampling and testing prior to operation outline activities, including
logs, surveys and tests of the well and formations, that must be performed before injection of carbon
dioxide may commence [40 CFR 146.87].
The injection well operating requirements provide operational measures for Class VI wells to ensure
that the injection of carbon dioxide does not endanger USDWs, along with limitations on injection
pressure and requirements for automatic shut-off devices [40 CFR 146.88].
The mechanical integrity requirements specify continuous monitoring to demonstrate internal
mechanical integrity and annual external mechanical integrity tests [40 CFR 146.89].
The testing and monitoring requirements define the elements that must be included in the required
Testing and Monitoring Plan submitted with a Class VI permit application and implemented throughout
operation of the injection well to demonstrate the safe operation of the injection well and track the position
of the carbon dioxide plume and pressure front [40 CFR 146.90].
The reporting requirements establish the periodic timeframes and circumstances for the reporting of
Class VI injection well testing, monitoring and operating results [40 CFR 146.91].
The injection well plugging requirements specify that a Class VI injection well must be properly plugged
at the end of its operational lifetime to ensure that the well does not become a conduit for fluid movement
into USDWs in the future [40 CFR 146.92].
The post-injection site care and site closure requirements address activities that occur following the
plugging of Class VI wells. The owner or operator must continue to conduct monitoring for 50 years
following the cessation of injection or for an approved alternative timeframe, until it can be demonstrated
that the site no longer poses a risk to USDWs [40 CFR 146.93].
The emergency and remedial response requirements specify that owners or operators of Class VI
injection wells must develop and maintain an approved Emergency and Remedial Response Plan that
describes the actions to be taken to address events that may cause endangerment to a USDW or other
resources [40 CFR 146.94].
The Class VI injection depth waiver requirements provide a process under which Class VI injection well
owners or operators can seek a waiver from the injection depth requirements in order to inject carbon
dioxide into non-USDWs that are located above or between USDWs. Including injection depth waiver
provisions in a state regulation is optional [40 CFR 146.95].
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1.2 Additional UIC Program Primacy Application Tools
To help states apply for UIC Program primacy for Class VI wells, EPA developed materials that
can support states as they develop Class VI primacy applications. EPA also provided Class VI
primacy and implementation training workshops to interested state, tribal and territorial UIC
Program Directors, and will be updating the agency's website to include information specific to
the Class VI Program. All of the tools discussed in this manual, as well as the materials used in
the training workshops, will be available at
http://water.epa.gov/type/groundwater/uic/wells sequestration.cfm.
The primacy application tools available to UIC Program Directors include:
• EPA's Standard Operating Procedures (SOPs) for processing Class VI primacy
application/program revision submittals. These describe the four general phases of the
review and approval process, including: pre-application activities, determining the
completeness of the application, evaluating the application for approval, and
rulemaking and codification in 40 CFR Part 147. The SOPs will facilitate and help
streamline the primacy application review and approval process by identifying the
responsibilities of EPA's Office of Ground Water and Drinking Water (OGWDW)
and Regional staff. The SOPs are presented in Appendix A of this manual.
• A Federal/State Class VI Comparison Crosswalk, presented in Appendix B of this
manual. The crosswalk can be used to identify state Class VI UIC statutory and/or
regulatory provisions that correspond to each federal requirement.
• A Primacy Application Checklist, included in Appendix C of this manual.
• Other templates, such as an example Memoranda of Agreement (MO A) between two
state agencies (for new programs and states with existing UIC Programs), a
Memorandum of Understanding (MOU) between EPA and the state, an Attorney
General's statement, and a program description, which are found in Appendices D-H
of this manual.
• Materials from EPA webcasts on Class VI primacy topics. These include presentation
slides and notes from the Class VI Rule implementation workshops, held in early
2011 (Module 18 addresses applying for Class VI primacy), as well as presentation
slides and notes from a June 2011 webcast on the SOPs and the Class VI Primacy
Applications Website.
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1.3 Organization of this Document
Following this introduction, this document is organized as follows:
• Section 2, UIC Program Class VI Primacy, presents background on UIC Program Class
VI primacy, including options for states applying for Class VI primacy.
• Section 3, Required Elements of a New SDWA Section 1422 UIC Program Primacy
Application: for States Currently without SDWA Section 1422 Primacy or States with
SDWA Section 1425 Primacy for Class II Wells Only, presents the required elements of
UIC Program Class VI primacy applications for new primacy applications.
• Section 4, Required Elements of a SDWA Section 1422 UIC Program Revision
Application: for States Currently with SDWA Section 1422 UIC Program Primacy,
presents the required elements of UIC Program Class VI primacy applications for
program revisions.
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2.0 UIC Program Class VI Primacy
The Safe Drinking Water Act mandates that EPA develop UIC Program requirements
that protect USDWs from endangerment. Underground injection wells (including those in
state territorial waters) are regulated by EPA's UIC Program under the authority of Part C
of SDWA and through EPA's regulations found in 40 CFR Part 144 et seq.
Key components of SDWA Part C include:
• SDWA Section 1421, which requires EPA to propose and promulgate
regulations specifying the minimum requirements for state programs to
prevent underground injection that endangers drinking water sources.
• SDWA Section 1422, which provides that states may apply to EPA for
primacy to administer the UIC Program and authorizes EPA to approve state
programs and grant primacy. To be granted primacy under SDWA Section
1422, a state must, among other things, adopt UIC regulations that are at
least as stringent as the federal requirements, as codified in 40 CFR Parts
144, 145 and 146, or adopt federal UIC requirements by reference or
verbatim. A state program may impose more stringent requirements than the
federal requirements.
• SDWA Section 1425, which authorizes EPA to approve state programs for
Class II injection wells (i.e., injection wells related to oil and gas production).
States seeking primacy under SDWA Section 1425 must demonstrate that
their Class II Program is an effective program to prevent underground
injection that endangers USDWs.
States with an approved UIC Program take full responsibility to implement and enforce
that program. Federal regulatory requirements for Class VI wells can be found in 40 CFR
124 and 144-146, including the six core elements of a new SDWA Section 1422 primacy
application (see below for more information) and the substantive SDWA program
provisions that a state must expand upon in those core elements.
Since SDWA Section 1425 only applies to Class II wells, primacy applications for Class
VI wells must be evaluated under SDWA Section 1422. A state must demonstrate in its
UIC Program Class VI primacy application that it has either:
1 Developed a new UIC Program for all well classes, including Class VI
wells, in accordance with SDWA Section 1422 that is at least as stringent as
the federal requirements found in 40 CFR 124, 144-146 and 148; or
developed a new UIC Program for Class VI wells, independent of the other
UIC well classes, in accordance with SDWA Section 1422 that is at least as
stringent as the federal requirements found in 40 CFR 124 and 144-146 (see
Section 3 for additional information on developing a new UIC Program
primacy application); or
2 Revised its existing SDWA Section 1422 UIC Program to include Class VI
wells with regulations that are at least as stringent as the federal requirements
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found in 40 CFR 124 and 144-146 (see Section 4 for additional information
on developing a UIC Program revision application).
2.1 Class VI Primacy Options
While many of the primacy application and approval process elements are required (refer
to Sections 3 and 4), EPA has included flexibilities in the Class VI Rule and allowed for
state discretion where possible to better address the unique concerns and characteristics
of Class VI injection wells.
Traditionally, EPA has approved primacy applications under SDWA Section 1422 for all
injection well classes and under SDWA Section 1425 for Class II injection wells only.
Under the Class VI Rule [75 FR 77230, 40 CFR 145.1(1)], EPA is allowing states to
apply for independent primacy for Class VI injection wells only under SDWA Section
1422. Thus, states without UIC primacy, or states with only SDWA Section 1425
primacy for Class II wells, can apply for independent primacy for Class VI wells under
SDWA Section 1422. EPA's willingness to accept independent primacy applications for
Class VI wells applies only to Class VI well primacy and does not apply to any other well
class under SDWA Section 1422 (i.e., I, II, III or V). EPA believes that allowing
independent primacy for Class VI wells may encourage states to obtain primacy and to
also develop a more comprehensive approach to managing GS projects and the
integration of carbon capture and storage (CCS) issues that may be outside the scope of
SDWA.
States seeking to obtain primacy for the UIC Class VI Program must follow the statutory
requirements under SDWA Section 1422 and regulatory requirements under 40 CFR 124
and 144-146; however, states seeking to obtain primacy for all well classes under SDWA
Section 1422 must follow the requirements under 40 CFR 124, 144-146 and 148.
2.2 Applying for Class VI Primacy
EPA encourages interested states that already have SDWA Section 1422 primacy to
submit a SDWA Section 1422 UIC Program revision application to EPA for review and
approval. States that have SDWA Section 1425 primacy for Class II wells only, or do not
have primacy for any UIC Programs, can apply for Class VI primacy under SDWA
Section 1422 (independently, or along with the other well classes) by submitting a new
SDWA Section 1422 UIC Program application to EPA.
EPA recommends that states interested in applying for UIC Program Class VI primacy
contact the agency in order to schedule "pre-application" discussions. For example, states
may want to contact EPA to clarify Class VI primacy application or state program
requirements in order to ensure complete and accurate application submissions; these
may assist EPA in conducting a faster review and approval process. EPA also encourages
states to prepare a crosswalk comparing their Class VI regulations against the federal
Class VI Rule before formally submitting a primacy application/program revision (the
crosswalk is presented in Appendix B).
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EPA recognizes that states may choose to develop a UIC Program that is administered by
multiple agencies. EPA believes that states are in the best position to identify the appropriate
agency to oversee Class VI wells and recognizes that, in some states, both the traditional oil and
gas agency and the traditional environmental protection agency may administer some Class VI
requirements. Note that 40 CFR 145.23 requires any agency responsible for administration of the
program to have statewide jurisdiction over the class of injection activities for which it is
responsible.
EPA is required, by statute under SDWA Section 1422(c) and by regulation, to prescribe
and directly implement a UIC Program for states that do not seek primacy or that fail to
demonstrate meeting federal UIC requirements. Following promulgation of the final
Class VI Rule, states were given until September 6, 2011 to apply for primacy; after that
time, EPA began to directly implement the UIC Class VI Program on behalf of states that
chose not to apply for Class VI primacy or did not receive EPA approval for a Class VI
Program. On September 6, 2011, EPA assumed Class VI primacy nationwide. If and/or
when a state receives primacy approval, EPA will transfer the Class VI Program to the
state on the date that the state's Class VI Program is approved.
During the primacy review and approval process, EPA will review and evaluate the proposed
state program, which includes state regulations that are submitted with each primacy application.
EPA will evaluate a state's UIC Program submission based on the stringency and equivalency of
a state's regulations in order to determine whether the state may be granted primacy for the Class
VI Program [SDWA Section 1422(b)(l)(A)(i)].
EPA has developed a set of SOPs for the evaluation and approval/disapproval of state
applications for UIC Class VI Programs. The SOPs will facilitate and help streamline the review
and approval process by identifying the responsibilities of EPA OGWDW and Regional staff.
The SOPs build upon and tailor the primacy application/program revision review process for
Class VI primacy, but do not supersede or replace previous OGWDW guidance, e.g., Guidance
for Review and Approval of State Underground Injection Control (UIC) Programs and Revisions
to Approved State Programs (Guidance #34). The SOPs are presented in Appendix A of this
manual.
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3.0 Required Elements of a New SDWA Section 1422 UIC Program
Primacy Application: for States Currently without SDWA Section 1422
Primacy or States with SDWA Section 1425 Primacy for Class II Wells
Only
States that currently do not have primacy under SDWA Section 1422 must submit a new primacy
application to gain primacy for Class VI wells. Additionally, states with Class II primacy under
SDWA Section 1425 only must submit a new primacy application to gain primacy for Class VI
wells under Section 1422. This section focuses on the elements of the new SDWA Section 1422
UIC Program primacy application, including EPA's rulemaking under 40 CFR 147.
In addition, 40 CFR 145 specifies the primacy application submission requirements, as well as
the procedures EPA will follow when approving, revising and withdrawing state programs under
SDWA Section 1422. The electronic Code of Federal Regulations can be found on the Internet
at: www.ecfr.gov. The Class VI Rule preamble and requirements can be found at 75 FR 77230 or
on the Internet at: http://federalregister.gov/a/2010-29954 and at
http ://water. epa. gov/type/groundwater/uic/class6/gsregulations. cfm.
3.1 General Requirements for a New SDWA Section 1422 UIC Program Application
In accordance with 40 CFR 145.11, 145.12 and 145.13, a new state UIC Program must include
certain substantive provisions before EPA can approve the state program. In the primacy
application, a state must demonstrate that it has the following:
1. The legal authority to implement all required permit requirements found in 40 CFR
145.11 (including the requirements found in 40 CFR 124);
2. The necessary procedures, pursuant to 40 CFR 145.12, for the state's compliance
evaluation program;
3. The necessary administrative, civil and criminal enforcement penalty remedies
pursuant to 40 CFR 145.13;
4. Regulations that are at least as stringent as those promulgated by EPA (e.g.,
permitting, inspection, operation, monitoring and recordkeeping requirements;
inspection and compliance monitoring requirements found in 40 CFR 145.12; and
reporting and recordkeeping requirements found in 40 CFR 144.54 and 146.91 for
Class VI wells); and
5. Statewide jurisdiction over underground inj ection proj ects.
Note that the requirements and provisions of a state's program do not need to be identical to the
federal provisions; however, each requirement must be at least as stringent as the corresponding
federal provision. To expedite the primacy review process, EPA recommends that states
incorporate the federal Class VI regulations by reference or enact the federal Class VI regulation
language verbatim so that each corresponding provision matches exactly.
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3.2 Specific Elements of a New SDWA Section 1422 UIC Program Primacy Application
Under 40 CFR 145.22, states seeking Class VI primacy under SDWA Section 1422 through a
new UIC Program primacy application must submit to EPA the following six core primacy
application elements:
1. A letter from the Governor of the state requesting program approval [40 CFR
145.22(a)(l)];
2. A complete program description describing how the state intends to carry out its
responsibilities [40 CFR 145.22(a)(2) and 145.23];
3. An Attorney General's statement [40 CFR 145.22 (a)(3) and 145.24];
4. A Memorandum of Agreement with the Regional Administrator [40 CFR
145.22(a)(4) and 145.25];
5. A copy of all applicable state statutes and regulations, including those governing state
administrative procedures [40 CFR 145.22(a)(5)]; and
6. A demonstration of compliance with the public participation requirements [40 CFR
145.22(a)(6)].
The following subsections describe in more detail the six core primacy application elements and
the documentation needed for new UIC Program primacy applications.
1. New SDWA Section 1422 UIC Program - Primacy Application: Letter from the
Governor
A new UIC Program Class VI primacy application includes a letter from the Governor of the
state officially requesting approval for Class VI Program primacy. The letter should specify that
approval is sought under SDWA Section 1422 and affirm that the state is willing and able to
carry out the program described in the application.
2. New SDWA Section 1422 UIC Program - Primacy Application: Program Description
A new UIC Program primacy application must also include a program description. Federal
regulations in 40 CFR 145.23 list all of the information that must be submitted as part of the
program description, although some of the requirements will not be applicable to states that
submit an application for independent primacy for Class VI wells. Therefore, the information a
state is required to include in the primacy application program description will depend on:
• A state's current primacy status (i.e., either no UIC primacy or SDWA Section 1425
primacy for Class II wells only), or
• If the state is applying for primacy for all well classes under SDWA Section 1422 or
for independent primacy for Class VI wells.
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At a minimum, the program description must include:
• A narrative on the scope, structure, coverage and processes of the state program
[40 CFR 145.23(a)].
• A description of the organizational structure of the agency administering the
program, including a description of program staff, organization charts, and estimated
costs and sources of funding for implementing the program for the first 2 years [40
CFR 145.23(b)].
o EPA recognizes that states may choose to describe in their UIC primacy
application a UIC Program that is administered by multiple agencies. For
example, the state oil and gas agency could either exercise authority for the Class
VI Program through an MOU with the Class VI primacy agency, or primacy for
the entire Class VI Program could reside with the state oil and gas agency. Under
40 CFR 145.23, if more than one agency will have authority for the program, each
agency must have statewide jurisdiction over each class of activity that will be
administered, and the program description must set out the responsibilities of each
agency and the procedures for coordination.
o A sample MOU between two state agencies is included in Appendix F. The MOU
provides an operating agreement for state agencies to execute their respective
responsibilities concerning regulation of Class VI wells. The example MOU can
be modified based on the state's specific circumstances (e.g., if the agencies will
share responsibilities for other injection well classes).
o Because of the extent and complexity of the information that must be reviewed in
response to Class VI permit applications and evaluated throughout the operational
and post-injection phases of a Class VI project, EPA recommends that permitting
authorities demonstrate in their primacy application that they have in-house staff
or access to contractor support with the following technical expertise:
• Site characterization expertise (e.g., geologists, hydrogeologists, log
analysts/experts, geochemists) to review site characterization data submitted
during permitting and throughout the project duration as per 40 CFR 146.82,
146.83, 146.84, 146.87, 146.90, 146.93, 146.94 and 146.95.
• Modeling expertise (e.g., hydrogeologists, environmental/reservoir modelers)
to evaluate AoR delineation computational modeling during permitting and
AoR reevaluation modeling assessments throughout the project duration as
per 40 CFR 146.84(b) and (e)(4). Familiarity and/or experience with Eclipse,
STOMPCO2, TOUGH2, GEM, Intersect or other simulators used for
modeling the movement of carbon dioxide and the associated pressure front at
GS projects are integral to computational modeling data evaluation.
• Well construction and testing expertise (e.g., well engineers, log
analysts/experts, geologists) to review well construction information and
operational reports on the performance of Class VI wells or witness and/or
evaluate the results of mechanical integrity tests and testing and monitoring
reports as per 40 CFR 146.86, 146.87, 146.88, 146.89, 146.90 and 146.92.
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• Financial expertise to review the financial responsibility information during
permitting and during annual evaluations of the qualifying financial
instruments as per 40 CFR 146.85(e).
• Policy/regulatory expertise (i.e., experts on the UIC Program and the Class VI
Rule) to evaluate compliance with Class VI Rule requirements.
• Risk analysis expertise to evaluate emergency and remedial response scenario
probabilities and appropriate remediation cost estimates as per 40 CFR
146.94.
Class VI permitting is anticipated to be complex, iterative and comprehensive.
Many permitting authorities (states) may take a "team" approach to permitting by
dividing the permit between staff with different areas of expertise. For example, it
is not anticipated that one person will have all the requisite experience to conduct
Class VI permitting independent of other experts. Additionally, due to the nature
of Class VI projects, states may want to plan for and demonstrate in their program
description that they can devote multiple full-time equivalents (FTE) per project
to ensure timely and effective permitting particularly as some states may
encounter a significant permitting burden. This way, states would also
demonstrate that they have the capacity to oversee multiple GS projects within
their states.
A description of permitting, administrative and judicial review procedures [40
CFR 145.23(c)].
Copies of the permit, permit application, reporting and manifest forms. For Class
VI Programs, the state can submit copies of the current forms in use by the state, if
any [40 CFR 145.23(d)]. If the state plans to develop reporting forms for Class VI
wells, they should provide any available drafts or outlines of the forms or a brief
description of the information they plan to request.
A description of the state's compliance tracking and enforcement program [40
CFR 145.23(e)].
A schedule for issuing Class VI permits within 2 years after program approval. For
all other injection well classes, if any, the state must include a schedule for issuing
permits within 5 years after program approval for all injection wells which are
required to have permits [40 CFR 145.23(f)(l)].
A statement of the state's priorities for issuing Class VI permits and the number of
Class VI permits that will be issued during the first 2 years of program operation. For
all other injection well classes, if any, include a description of the priorities
(according to criteria set forth in 40 CFR 146.9) for issuing permits, including the
number of permits in each class of injection well that will be issued each year during
the first 5 years of program operation [40 CFR 145.23(f)(2)].
A description of how the state will meet the mechanical integrity testing
requirements for Class VI wells at 40 CFR 146.89 and 40 CFR 146.8 for other well
classes, including the frequency of testing that will be required and the number of
tests that will be reviewed by the UIC Program Director each year [40 CFR
145.23(f)(3)].
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• A description of the state's procedures to notify owners or operators of injection
wells of the requirement to apply for and obtain a permit For Class VI Programs
approved after December 10, 2011, the state must describe its procedures for
notifying owners or operators of any Class I wells previously permitted for GS, or
owners or operators of any Class V experimental technology wells that are no longer
experimental but will continue to inject carbon dioxide for GS, that they must apply
for a Class VI permit within 1 year of state program approval [40 CFR 145.23(f)(4)].
For other injection well classes, if any, the notification must require well owners or
operators to file a permit application as soon as possible, but no later than 4 years
after state program approval for all injection wells requiring a permit.
• A description of how the state will establish and maintain an injection well
inventory [40 CFR 145.23(f)(7)].
• A description of aquifers, or parts thereof, which the UIC Program Director has
identified under 40 CFR 144.7(b) as exempted aquifers and a summary of
supporting data. For Class VI Programs, states must incorporate information related
to any EPA-approved exemptions expanding the areal extent of existing aquifer
exemptions for Class II enhanced recovery wells transit!oning to Class VI injection
pursuant to new Class VI requirements at 40 CFR 146.4 and 144.7(d), including a
summary of supporting data and the specific location of the aquifer exemption
expansions [40 CFR 145.23(f)(9)].
• A description of the state's procedures for notifying any states, tribes and
territories of Class VI permit applications where the AoR crosses jurisdictional
boundaries and the procedures for documenting these consultations [40 CFR
145.23(f)(13)].
Note that, because the Class VI Rule provides states with certain flexibilities to develop a Class
VI Program that addresses unique characteristics within the state, the program description may
need to include additional information. For example, the Class VI regulations provide the UIC
Program Director with certain discretion, including the option to issue injection depth waivers,
pursuant to 40 CFR 146.95. These waivers, if authorized by state regulation, should be described
in the program description of the primacy application. In addition, EPA recommends the
program description also provide information on how the state will implement the Class VI
financial responsibility requirements.
See 40 CFR 145.23 for more details on all of the required elements of the program description
for a new SDWA Section 1422 UIC Program primacy application, especially if the state is
interested in applying for primacy for all injection well classes, as not all of the requirements in
the CFR are cited here. Appendix H presents a template and sample text for a program
description.
3. New SDWA Section 1422 UIC Program - Primacy Application: Attorney General's
Statement
An Attorney General's statement is a required component of a new program primacy application
[40 CFR 145.24]. This statement is a certification by a qualified representative of the state,
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asserting that state statutes, regulations and judicial decisions demonstrate adequate authority to
administer the UIC Program. The Attorney General's statement also certifies that the state either
does not have environmental audit privilege and/or immunity laws, or, if there are environmental
audit privilege and/or immunity laws, that they will not affect the ability of the state to meet the
enforcement and information gathering requirements under SDWA. In addition, in those states
that elect to divide the program administration between more than one agency, the Attorney
General's statement will need to designate a lead agency for administration of the UIC Program.
An example Attorney General's statement is included in Appendix G of this manual.
4. New SDWA Section 1422 UIC Program - Primacy Application: Memorandum of
Agreement
An MOA between the state and the EPA Regional Administrator is another required element of a
new program primacy application [40 CFR 145.25]. The MOA is the central agreement setting
the provisions and arrangements between the state and EPA concerning the administration,
implementation and enforcement of the state UIC Program. An example MOA is included in
Appendix D of this manual; Appendix E is a sample Addendum to an MOA that is specific to the
Class VI Program that may be of use to states with existing UIC Programs. The MOA including
the Addendum can also be used by states applying for primacy of other well classes.
5. New SDWA Section 1422 UIC Program - Primacy Application: Copies of all
Applicable State Statutes and Regulations
Copies of all applicable state statutes and regulations, including those governing state
administrative procedures, are a required element of a new primacy program application. EPA is
aware that several states have published GS or CCS regulations, and several more states are in
the process of developing their statutory frameworks, regulatory authorities, technical guidance
and strategies for addressing CCS and GS. To facilitate the UIC Class VI Program primacy
application approval process, EPA encourages states to incorporate the federal Class VI
requirements by reference, or to incorporate the federal language verbatim (see Section 1.1 for an
overview of the Class VI Rule requirements).
Appendix B presents a Federal/State Regulatory Comparison Crosswalk. The crosswalk may be
completed by the state in order to identify the statutory or regulatory provisions that correspond
to each federal UIC requirement. A completed crosswalk will help EPA in reviewing the state's
primacy application and may expedite the review and approval process. Note that 40 CFR
145.1 l(b)(l) says that "states need not implement provisions that are identical to the provisions
listed in paragraphs (a)(l) through (a)(32) of this section. Implemented provisions must,
however, establish requirements at least as stringent as the corresponding listed provisions.
While states may impose more stringent requirements, they may not make one requirement more
lenient as a tradeoff for making another requirement more stringent." If the state provisions
differ from the federal UIC requirements, the state will want to explain in the crosswalk how its
requirements are no less stringent, in order to facilitate EPA's evaluation of the differences.
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6. New SDWA Section 1422 UIC Program - Primacy Application: Demonstration of
Compliance with the Public Participation Requirements
A demonstration of compliance with the public participation requirements pursuant to 40 CFR
145.31(a) is required for all new UIC Program primacy applications. All states seeking approval
of a UIC Program must issue a public notice indicating the state's intent to adopt a UIC Program,
provide at least a 30-day public comment period and schedule a public hearing. The
demonstration of compliance can be submitted once the notice, comment and hearing
requirements have been met. States must also include: copies of all written comments received
by the state; a transcript, recording or summary of any public hearings; and a "responsiveness
summary" which identifies public participation activities conducted by the state, significant
comments received by the state and how the state responded to those comments.
This public notice must:
• Be circulated in a manner that attracts interested persons (e.g., publication in enough
of the largest newspapers and mailing to persons on approved state mailing lists);
• Indicate when and where the state's proposed program submission may be reviewed
by the public;
• Indicate the cost of obtaining a copy of the program submission;
• Provide for a comment period of at least 30 days;
• Briefly outline the fundamental aspects of the state UIC Program; and
• Identify a person who can be contacted for further information.
After complying with these public notice requirements, states may submit their proposed UIC
Program to EPA for approval. In accordance with the Class VI Rule and to support states with
the Class VI primacy application process, EPA is allowing the electronic submission of required
primacy application information (e.g., letter from the Governor, program description, Attorney
General's statement, MOA, etc.). For Class VI Programs, the entire submission can be sent
electronically. Electronic submissions will reduce the amount of paper used in applying to EPA
for Class VI primacy, thereby reducing the state's cost of submitting a primacy application and
expediting the application and approval processes. Electronic submissions may be sent to:
ClassVIPrimacy@epa.gov. In the event that a state cannot provide an electronic submission, hard
copy submissions provided by mail will be accepted (at least three copies are required, per 40
CFR 145.22(a)). Send hard copy submissions to the U.S. EPA Office of Ground Water and
Drinking Water, 1200 Pennsylvania Avenue, NW (Mail Code: 4606M), Washington, D.C.,
20460, Attention: UIC Class VI Primacy.
3.3 Processing New SDWA Section 1422 UIC Program Applications
When EPA receives a state primacy application, EPA must first determine whether the
application is complete. Once EPA determines that the state's primacy application is complete,
EPA's statutory review period will be deemed to begin on the date of receipt of the state
submission. If EPA finds that a state submission is incomplete, the statutory review period will
not begin until all the necessary information is received. EPA will review and either approve or
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disapprove the application through a rulemaking. For submissions including more than one class
of well, EPA may approve the application in part or disapprove in part, as prescribed under
SOW A Section 1422(b)(2) and 40 CFR 145.
In accordance with 40 CFR 145.3 l(c), once EPA determines that a state's new UIC Program
primacy application is complete, the agency must issue public notice and provide a public
comment period of at least 30 days. EPA will publish the public notice in the Federal Register
and in the state's largest newspapers and mail it to interested persons. The public notice must
include a summary of the proposed UIC Program, note the availability of the submission for
inspection and copying, and provide for a public hearing to be held if there is sufficient public
interest.
After the public comment period has ended and all comments have been evaluated, the state UIC
Program will be either approved or disapproved by the EPA Administrator through a rulemaking
process. If the EPA Administrator approves the state UIC Program, the agency will announce the
program approval in the Federal Register, and the state program will become effective on the
date in the announcement. Concurrently, the state program will be codified under 40 CFR 147.
Appendix A presents EPA's standard operating procedures for review of Class VI primacy
applications.
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4.0 Required Elements of a SDWA Section 1422 UIC Program Revision
Application: for States Currently with SDWA Section 1422 UIC
Program Primacy
States that currently have primacy for UIC injection well classes authorized under SDWA
Section 1422 have previously demonstrated that the state's UIC Program contains the minimum
requirements equivalent to the federal UIC requirements in order to prevent underground
injection that endangers USDWs. These states do not need to submit all of the documentation
described in Section 3 (i.e., information that applies to all injection well classes), but do need to
submit a UIC Program revision application to EPA for approval to incorporate the Class VI
requirements into the current state UIC Program.
EPA acknowledges that revisions to other UIC well class programs may be necessary in order to
include Class VI injection wells in the state UIC Program. EPA encourages states to revise their
UIC Programs as appropriate and to submit all program revision information along with the UIC
Program revision application to add Class VI wells. This subsection of the manual focuses solely
on the Class VI primacy requirements, and states should refer to SDWA Section 1422 and 40
CFR 145.32 for the additional program revision application requirements that may apply.
4.1 General Requirements of a SDWA Section 1422 UIC Program Revision Application
Pursuant to 40 CFR 145.32(b)(l), the SDWA Section 1422 UIC program revision application
must include:
1. A modified program description including, but not limited to, the new requirements
of the Class VI Rule at 40 CFR 145.23(f);
2. A modified Attorney General's Statement;
3. A modified MO A;
4. Copies of state statutes and regulations, including administrative procedures for the
UIC Class VI Program; and
5. A modified Governor's letter (if necessary).
The following sections describe in more detail these five UIC Program revision application
elements and the documentation needed for SDWA Section 1422 UIC program revision
applications to add Class VI wells.
Pursuant to 40 CFR 145.32, the incorporation of the Class VI Rule requires a substantial revision
to state programs, whereby EPA will issue public notice once a complete state UIC Class VI
Program revision application is received. The public notice will be announced in the Federal
Register, and provide for a 30-day opportunity for comment as well as the opportunity to request
a public hearing. EPA will hold a public hearing on the UIC Program revision application if
there is sufficient public interest.
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4.2 Specific Elements of a SDWA Section 1422 UIC Program Revision Application
The following subsections describe in detail the core primacy application elements and the
documentation needed for UIC Program revision applications.
1. SDWA Section 1422 UIC Program Revision - Primacy Application: Modified
Program Description
A state revising its UIC Program to include a Class VI Program will need to address the
following Class Vl-specific elements at 40 CFR 145.23 in the revised program description:
• Any copies of the permit form(s), permit application form(s), reporting form(s)
and manifest form(s) the state intends to use in implementing the Class VI Program
[40 CFR 145.23(d)]. If the state plans to develop reporting forms for Class VI wells,
they should provide any available drafts or outlines of the forms or a brief description
of the information they plan to request.
• Information regarding the schedule and priorities for issuing Class VI permits and
the number of permits to be issued in the first 2 years of program operation [40 CFR
145.23(f)(l) and 145.23(f)(2)].
• How the state will meet the new mechanical integrity testing requirements of 40
CFR 146.89, including the frequency of testing that will be required and the number
of tests that will be reviewed by the UIC Program Director each year [40 CFR
145.23(f)(3)].
• For Class VI Programs approved after December 10, 2011, the state's procedures for
notifying owners or operators of any Class I wells previously permitted for GS, or
owners or operators of any Class V experimental technology wells that are no longer
experimental but will continue to inject carbon dioxide for GS, that they must apply
for a Class VI permit within 1 year of state program approval [40 CFR 145.23(f)(4)].
• Information related to any EPA-approved expansions of the areal extent of
existing aquifer exemptions for Class II enhanced recovery wells transitioning to
Class VI injection for GS pursuant to 40 CFR 146.4(d) and 144.7(d), including a
summary of supporting data and the specific location of the aquifer exemption
expansions [40 CFR 145.23(f)(9)].
• The state's procedures for notifying any states, tribes and territories of Class VI
permit applications where the AoR is predicted to cross jurisdictional boundaries, as
well as the procedures for documenting these consultations [40 CFR 145.23(f)(13)].
Additionally, states revising their primacy programs will likely have already submitted the
following elements of a program description with their original primacy application. These
elements must be updated in the Class VI primacy application to reflect changes since primacy
was approved:
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• Any revisions to the scope, structure, coverage and process of the state program to
include Class VI wells [40 CFR 145.23(a)].
• Any revisions to the organizational structure of the agency that will implement the
Class VI Program [40 CFR 145.23(b)].
o Because of the extent and complexity of the information that must be reviewed in
response to Class VI permit applications and evaluated throughout the operational
and post-injection phases of a Class VI project, EPA recommends that permitting
authorities demonstrate in their primacy application that they have in-house staff
or access to contractor support with the following technical expertise:
• Site characterization expertise (e.g., geologists, hydrogeologists, log
analysts/experts, geochemists) to review site characterization data submitted
during permitting and throughout the project duration as per 40 CFR 146.82,
146.83, 146.84, 146.87, 146.90, 146.93, 146.94 and 146.95.
• Modeling expertise (e.g., hydrogeologists, environmental/reservoir modelers)
to evaluate AoR delineation computational modeling during permitting and
AoR reevaluation modeling assessments throughout the project duration as
per 40 CFR 146.84(b) and (e)(4). Familiarity and/or experience with Eclipse,
STOMPCO2, TOUGH2, GEM, Intersect or other simulators used for
modeling the movement of carbon dioxide and the associated pressure front at
GS projects are integral to computational modeling data evaluation.
• Well construction and testing expertise (e.g., well engineers, log
analysts/experts, geologists) to review well construction information and
operational reports on the performance of Class VI wells or witness and/or
evaluate the results of mechanical integrity tests and testing and monitoring
reports as per 40 CFR 146.86, 146.87, 146.88, 146.89, 146.90 and 146.92.
• Financial expertise to review the financial responsibility information during
permitting and during annual evaluations of the qualifying financial
instruments as per 40 CFR 146.85(e).
• Policy/regulatory expertise (i.e., experts on the UIC Program and the Class VI
Rule) to evaluate compliance with Class VI Rule requirements.
• Risk analysis expertise to evaluate emergency and remedial response scenario
probabilities and appropriate remediation cost estimates as per 40 CFR
146.94.
Class VI permitting is anticipated to be complex, iterative and comprehensive.
Many permitting authorities (states) may take a "team" approach to permitting by
dividing the permit between staff with different areas of expertise. For example, it
is not anticipated that one person will have all the requisite experience to conduct
Class VI permitting independent of other experts. Additionally, due to the nature
of Class VI projects, states may want to plan for and demonstrate in their program
description that they can devote multiple FTE per project to ensure timely and
effective permitting particularly as some states may encounter a significant
permitting burden. This way, states would also demonstrate that they have the
capacity to oversee multiple GS projects within their states.
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o The revised program description should also identify the regulatory authorities of
the respective agencies if the state elects to divide the administration of the UIC
Program between agencies (e.g., whether the state oil and gas agency will
exercise authority for Class VI through an MOU with the Class VI primacy
agency, or by obtaining primacy for the entire Class VI Program). An example
MOU is included in Appendix F of this manual. The example can be modified if
the agencies will share responsibilities for other injection well classes. The state
should also submit revised organizational charts, if appropriate.
• A description of applicable revised state procedures, including any revised
permitting procedures and any revised state administrative or judicial review
procedures [40 CFR 145.23(c)].
• Any revisions to the state's compliance tracking and enforcement program [40
CFR 145.23(e)].
• A description of how the state will establish and maintain an injection well
inventory that includes Class VI wells [40 CFR 145.23(f)(7)].
Finally, EPA recommends that the revised program description include a description of the
injection depth waiver program to be administered, if determined by the state to allow Class
VI injection well owners or operators to apply for a waiver in a supplemental report concurrent
with a permit application [40 CFR 146.95]. In addition, EPA recommends the program
description also provide information on how the state will implement the Class VI financial
responsibility requirements.
Note that the above list focuses on the modified program description requirements from the UIC
Class VI Rule. States are encouraged to consult 40 CFR 144.23 in its entirety for all program
description requirements. Appendix H presents a template and sample text for a program
description.
2. SDWA Section 1422 UIC Program Revision - Primacy Application: Modified
Attorney General's Statement
An updated Attorney General's statement is a required component of a program revision
application [40 CFR 145.24]. This statement is a certification by a qualified representative of the
state, asserting that the state's statutes, regulations and judicial decisions demonstrate adequate
authority to administer the additional Class VI Program requirements. It also certifies that, since
the state was granted primacy for the UIC Program, the state either still does not have
environmental audit privilege and/or immunity laws, or, if there are now environmental audit
privilege and/or immunity laws, that these laws will not affect the ability of the state to meet
enforcement and information-gathering requirements under SDWA. In addition, in those states
that elect to divide the program administration between more than one agency, the Attorney
General's statement will need to designate a lead agency. An example Attorney General's
statement is included in Appendix G of this manual.
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3. SDWA Section 1422 UIC Program Revision - Primacy Application: Modified
Memorandum of Agreement
A revised MOA, as required by 40 CFR 145.25, setting out the new provisions and arrangements
between the state and EPA concerning the administration, implementation and enforcement of
the state's Class VI Program is a required component of a program revision application. An
example MOA is included in Appendix D of this manual. Appendix E is a sample Addendum to
an MOA that is specific to the Class VI Program that may be of use to states with existing UIC
Programs. States revising their current UIC Program can use the MOA Addendum to supplement
the current agreement and add the provisions and arrangements pertaining to the Class VI
Program requirements. The Addendum can be revised or amended based on the specific
circumstances of the agreement (e.g., the transfer of permits) between the state and EPA.
4. SDWA Section 1422 UIC Program Revision - Primacy Application: Copies of all
Applicable State Statutes and Regulations
Copies of all applicable state statutes and regulations, including those governing state
administrative procedures, are also required to be submitted. EPA is aware that several states
have published or are in the process of developing their statutory frameworks, regulations,
technical guidance and strategies for addressing CCS and GS and recognizes the complexity and
importance of the states' approaches to managing GS.
EPA recommends that the Federal/State Regulation Comparison Crosswalk included in
Appendix B be completed by the state to identify state statutory or regulatory provisions that
correspond to each federal requirement. A completed crosswalk will help EPA in reviewing the
state's application and may expedite the review process. Note that 40 CFR 145.1 l(b)(l) says that
"states need not implement provisions that are identical to the provisions listed in paragraphs
(a)(l) through (a)(32) of this section. Implemented provisions must, however, establish
requirements at least as stringent as the corresponding listed provisions. While states may impose
more stringent requirements, they may not make one requirement more lenient as a tradeoff for
making another requirement more stringent." In order to facilitate the application approval
process, EPA encourages states to incorporate the federal requirements by reference, or
incorporate the federal language verbatim. See Section 1.1 for an overview of the Class VI Rule
requirements. If the state's provisions differ from the federal requirements, the state will want to
explain in the crosswalk how its requirements are no less stringent, in order to facilitate EPA's
evaluation of the differences and help EPA in making a stringency determination.
5. SDWA Section 1422 UIC Program Revision - Primacy Application: Modified
Governor's Letter
The Governor's letter may need to be modified to request Class VI Program approval for
primacy and affirm that the state is willing and able to carry out the revised program described in
the application.
In accordance with the Class VI Rule and to support states with the Class VI primacy application
process, EPA is allowing the electronic submission of required primacy application information
(e.g., program description, Attorney General's statement, MOA, etc.). For Class VI Programs,
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the entire submission can be sent electronically. Electronic submissions will reduce the amount
of paper used in applying to EPA for Class VI primacy, thereby reducing the state's cost of
submitting a primacy application and expediting the application and approval processes.
Electronic submissions may be sent to: ClassVIPrimacv@epa.gov. In the event that a state
cannot provide an electronic submission, hard copy submissions provided by mail will be
accepted (at least three copies are required, per 40 CFR 145.22(a)). Send hard copy submissions
to the U.S. EPA Office of Ground Water and Drinking Water, 1200 Pennsylvania Avenue, NW
(Mail Code: 4606M), Washington, D.C., 20460, Attention: UIC Class VI Primacy.
4.3 Processing SDWA Section 1422 UIC Program Revision Applications
As discussed above, once EPA receives a state UIC Program revision application to add Class VI
wells to the current SDWA Section 1422 UIC Program, EPA will review the program revision
application and announce the program revision for public notice and comment.
State UIC Program revisions are determined by EPA to be either substantial or minor revisions.
Adding a Class VI Program to an existing SDWA Section 1422 UIC Program has been
determined to be a substantial program revision pursuant to 40 CFR 145.32. In accordance with
40 CFR 145.32(b)(2), EPA must issue public notice and provide an opportunity to comment for a
period of at least 30 days. EPA must also publish the public notice in the Federal Register, and
in enough of the largest newspapers in the state to provide statewide coverage, and also mail it to
interested persons. The public notice must include a summary of the proposed state UIC Program
revisions and provide for an opportunity for a public hearing to be held if there is sufficient
public interest.
After the public comment period has ended, the state UIC Program revision will be either
approved or disapproved by the EPA Administrator through a formal rulemaking process. If the
EPA Administrator approves the state UIC Program revision, EPA will then announce the
approval in the Federal Register, and the revised state program becomes effective on the date in
the announcement. The revised state program, incorporating all of the additional Class VI
requirements, will be codified under 40 CFR 147. Appendix A presents EPA's standard
operating procedures for review of Class VI primacy applications.
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UIC Program Class VI Primacy 22
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Appendix A
Standard Operating
Procedures for Processing
Class VI Primacy
Application/Program Revision
Submirtals
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Standard Operating Procedures for Processing
Class VI Primacy Application/Program Revision Submittals
Introduction
This document contains standard operating procedures (SOPs) for the evaluation and
approval/disapproval of state applications for primary enforcement responsibility (primacy) for
the Class VI Underground Injection Control (UIC) program.
• States that currently do not have primacy under SDWA Section 1422 must submit a
new primacy application to gain primacy for Class VI wells. (Note that states that only
have Class II primacy under SDWA Section 1425 must also submit a new primacy
application to gain primacy for Class VI wells.)
• States that currently have primacy under SDWA Section 1422 must apply for a
program revision to include Class VI wells in their UIC Programs. EPA considers all
Class VI primacy applications to be substantial revisions of a state's SDWA Section 1422
UIC Program, and rulemakings will be needed to add Class VI to a state's UIC Program.
These SOPs will facilitate and help streamline the review and approval process by identifying the
responsibilities of the Office of Ground Water and Drinking Water (OGWDW) and Regional
staff These SOPs build upon and tailor the primacy application/program revision review process
for Class VI primacy, but do not supersede or replace previous OGWDW guidance, e.g.,
Guidance for Review and Approval of State Underground Injection Control (UIC) Programs and
Revisions to Approved State Programs (Guidance #34).
Primacy application/revision reviews will be carried out by a primacy review team of OGWDW
and Regional staff. Through this team approach, OGWDW staff will support the Regions if
needed or requested, while allowing the Regions to take the lead on their delegated
responsibilities related to reviewing primacy applications and revisions.
Organization
This SOP document is divided into the four general phases of the primacy application/program
revision review process:
• Phase I: Pre-Application Activities, to help the states develop primacy
applications/program revisions that meet all of the requirements for these submittals,
including completing a crosswalk of the state's Class VI regulations.
• Phase II: Receive Application and Determine Completeness, includes the
completeness review, preparation of a Federal Register Notice of Completeness, and
creation of a docket.
• Phase III: Review and Evaluate for Approval, includes activities during and after the
30-day comment period (e.g., primacy application/revision review, public hearings, and
reviewing public comments).
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• Phase IV: Tier III Rulemaking and Codification in 40 CFR Part 147, e.g., preparing
rule text, creating a rulemaking docket, and the final rulemaking process and codification
of state regulations in Part 147.
EPA has developed materials and resources (e.g., templates of common documents) available to
the Regions and states to assist them in developing, reviewing, and implementing an enforceable
Class VI program. All of these materials will be available at
http://water.epa.gov/type/groundwater/uic/wells_sequestration.cfm.
Phase I: Pre-Application Activities
When a state notifies the Region of its intention to submit a Class VI primacy
application/program revision, a review team will be created consisting of an OGWDW and a
Regional lead (i.e., the "primacy review team"). The primacy review team will work together to
identify and resolve problems with the state's application/revision before it is submitted. Once a
state indicates interest in applying for Class VI primacy:
• The Region notifies OGWDW of the state's interest and ensures that all available
information is posted to the Class VI Primacy Applications Website.
• OGWDW and Regional staff form a primacy review team.
• OGWDW begins to enter key information on the status of the state's application into the
primacy application tracking system (e.g., who will review the primacy application and
major milestones in the review process).
EPA plans to engage the states as early as possible in the process. Prior to a state's formal
application submittal:
• States and Regions may access the Class VI Primacy Applications Website. The site has
a library of useful information, including a user's manual and all of the resources
referenced in this document.
• The primacy review team should work with state leads as they develop their primacy
applications, including reviewing draft materials and answering questions.
• The primacy review team should encourage states to prepare a crosswalk of their GS
regulations against the federal Class VI rule before formally submitting the primacy
application/program revision. Two crosswalks are available- one for new SDWA Section
1422 UIC Programs and one for program revisions to add Class VI. Taking this step early
in the process will help the primacy review team identify any significant issues that may
delay or prevent approval of the primacy application/program revision.
• The primacy review team should inquire whether the state plans to submit other program
changes in addition to the Class VI primacy application/revision. For example, have any
state statutory or regulatory changes been made since the last approval date codified in 40
CFR Part 147 that have not been submitted to EPA for review and approval as either non-
substantial or substantial revisions?
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Pre-application activities specific to new primacy applications include:
• Regional staff should ensure that states without primacy under SDWA Section 1422 are
conducting (or are planning to conduct) public participation activities so that
documentation of this can be included in the primacy application.
Pre-application activities specific to primacy revision applications include:
• Regions should work with states to identify which elements of their program need to be
revised to meet the requirements of 40 CFR Part 145.32(b); see Box 2. For example, if
the state's 1425 (i.e., Class II) agency will oversee Class VI wells, information about this
agency will need to be provided in the program revision application. Given the newness
of Class VI requirements and, in some cases, the long period of time since the original
submittal, modified submittals are recommended.
Phase II: Receive Primacy Application and Determine Completeness (30 days)
Box 1 below presents the elements of a new program submission, as required at 40 CFR Part
145.22(a); Box 2 presents the elements of a program revision submission per 40 CFR Part
145.32(b)(l). See the Primacy Manual for detailed information on each element.
Some elements of primacy applications for new programs are not required for program revisions,
since the information was provided in the original UIC primacy application and in subsequent
actions (e.g., lists of USDWs and aquifer exemptions in the state). However, any updates to this
information since the original submittal should be provided in the program revision application
(see Phase I, above).
Box 1: Elements of a New Program Submission [40 CFR Part 145.22(a)]
1. Governor's letter requesting program approval for primacy. [145.22(a)(l)]
2. Complete Program Description that meets the requirements of 145.23 (including
organizational charts, applicable state procedures, permit forms, Memoranda of
Understanding, etc.). New programs must also identify all USDWs and exempted aquifers in
the state. [145.22(a)(2)J See Appendix H of the Primacy Manual for a sample.
3. Attorney General's Statement regarding adequate authority to carry out the program, as
required at 145.24. [145.22(a)(3)] See Appendix G of the Primacy Manual for a sample.
4. Memorandum of Agreement with the Regional Administrator setting out the provisions
and arrangements between the state and EPA. [145.22(a)(4) and 145.25] See Appendices D
and E of the Primacy Manual for a sample MOA and Class VI specific Addendum to an
MOA.
5. Copies of all applicable state statutes and regulations, including those governing state
administrative procedures. [145.22(a)(5)J
6. Documentation of public participation activities prior to program submission.
[145.22(a)(6)]
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Box 2: Elements of a Program Revision Submission [40 CFR Part 145.32(b)(l)]
Modified Program Description (including organizational charts, applicable state
procedures, permit forms, Memoranda of Understanding, etc. addressing the new Class VI
program). See Appendix H of the Primacy Manual for a sample.
Modified Attorney General's Statement regarding adequate authority to carry out the
program. See Appendix G of the Primacy Manual for a sample.
Modified Memorandum of Agreement with the Regional Administrator setting out the
new provisions and arrangements between the state and EPA concerning the state's Class VI
program. See Appendices D and E of the Primacy Manual for a sample MOA and Class VI
specific Addendum to an MOA.
Copies of all applicable state statutes and regulations, including those governing state
administrative procedures.
States may submit a primacy application/program revision via the Class VI Primacy Applications
Website. States may also submit primacy applications/revisions by e-mail to
ClassVIPrimacy@epa.gov or send hard copy submissions to U.S. EPA Office of Ground Water
and Drinking Water, 1200 Pennsylvania Avenue, NW (Mail Code: 4606M), Washington, D.C.,
20460. Attention: UIC Class VI Primacy.
Completeness Review
Within 30 days of receiving a primacy application/program revision, the primacy review team
will make a determination regarding the completeness of the application. This is a required
deadline for new primacy program applications [40 CFR Part 145.22(b)]. While there is no
statutory deadline for reviewing program revisions, meeting the 30-day timeframe is a goal in
order to expedite the Class VI primacy approval process.
• The primacy review team reviews the application for completeness and holds conference
calls to discuss it.
• The primacy review team works together to address any outstanding issues.
• Regions document the final determination as to whether the state's primacy
application/program revision is complete and notify the state of this determination.
A complete package must, at a minimum, contain all of the required pieces (i.e., all of the
elements in Box 1 for new applications and the applicable elements in Box 2 for program
revisions). If a primacy application/program revision is not complete (i.e., if all of the pieces are
not present), the Region will request additional information from the state before proceeding
with the review. However, the primacy review team should work with the state (even before the
application is submitted) so that they submit an application that will eventually be approvable. It
will be necessary to strike a balance between a minimally complete and a "perfect" submittal to
avoid delays in submitting the state's application.
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Federal Register Notice of Completeness and Solicitation of Public Comment
Once the application is determined to be complete, the Region drafts and publishes a public
notice in the Federal Register and in newspapers [40 CFR Part 145.3 l(c) for new applications;
40 CFR Part 145.32(b)(2) for revisions]. For program revisions, the Federal Register Notice is
also referred to as a "Notice of Receipt of Program Revision." The Regional Administrator signs
the notice. The notice will include:
• Notice that the state's primacy application/program revision is complete.
• How to obtain a copy of the application/revision (e.g., docket ID, Regional or OGWDW
contact person).
• Solicitation of public comment (for 30 days).
• Information on a public hearing (new programs) or instructions on how to request one
(program revisions).
A template of a Federal Register Notice of Completeness with "blanks" for Regions to add
public hearing information and instructions for submitting public comments, etc., is available.
Note that the Federal Register office uses Word 2003 software; writers of notices should be sure
to save files as .doc (and not .docx) files to avoid publication delays.
If multiple states within a Region apply for Class VI primacy at or near the same time, the
Region can combine the Notices of Completeness for the states together in one Federal Register
notice. Decisions regarding combining notices will be case-specific (i.e., only when multiple
notices are ready for publication within a few days of each other), so that no reviews are delayed.
Create Docket
OGWDW will create a docket for each primacy application/program revision in preparation for
eventual codification of an approved program. Part 147 rulemaking materials are retained by
OGWDW, and the Regions will keep the remaining materials related to the program approval by
the agency. All pre-decision materials should be retained in case they need to be included in the
docket. Contents of the docket include:
• The complete primacy application/program revision (provided by the primacy review
team).
• A Federal Register Notice of Completeness (provided by the Region).
• Any documents about the hearing that are not in the Federal Register notice, e.g., federal
actions or formal letters, including a letter of deficiency, if these are part of the record.
Phase III: Review Application and Evaluate for Approval (90 days)
During the 30-day public comment period, the Regions will receive public comments, hold a
public hearing, and begin to review the primacy application/program revision.
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Public Hearing
For new Class VI primacy applications, 40 CFR Part 145.3 l(c)(l) requires EPA to issue public
notice indicating a public hearing will be held by EPA. The notice of public hearing can be
included in the Notice of Completeness and must provide at least 30 days notice of the hearing.
The notice of public hearing may require persons wishing to present testimony to file a request
with the Regional Administrator. The public hearing may be cancelled without further notice if
sufficient public interest in a hearing is not expressed.
For substantial program revisions (i.e., to add Class VI), 40 CFR Part 145.32(b)(2) requires
EPA to issue public notice and provide the opportunity for a public hearing. If a public hearing
is requested (even by only one person), the Region is encouraged to hold one.
At least 30 days' advance notice of a hearing is required. To allow the hearing to be held during
the public comment period for the Notice of Completeness, a 60 day comment period is
recommended. The Federal Register notice could say that interested parties must request a
hearing by day 15, then the Region would be able to provide 30 days notice of the hearing, hold
a hearing on day 45, and close the comment period on day 60.
The Regions will determine the logistics of planning the public hearing, including cancelling the
hearing if no one requests it, etc. One option is to plan to hold a hearing, provide information
(e.g., the date and location of the hearing) in the Federal Register Notice of Completeness, and
indicate that the hearing will be cancelled if there is no expressed interest.
Another option is to provide a contact name or other information for requesting a hearing in the
Federal Register Notice of Completeness; then, if a hearing is requested, plan and provide notice
of the hearing (with the date and location of the hearing) in a second Federal Register Notice.
• The Region identifies location and date of public hearing.
• The Region provides notice of public hearing in the Federal Register and via newspaper
advertisements.
• If a hearing is scheduled and there is insufficient public interest, the Region cancels the
hearing.
• The Region takes comment at public hearing; includes remarks in responsiveness
summary.
Primacy Application /Program Revision Review
Once the primacy application/revision is determined to be complete, the primacy review team
will begin a thorough review of the application (i.e., to assess its adequacy). Because the
regulatory crosswalk should have been completed during the pre-application phase, it is assumed
that efforts at this point will focus on the remaining elements of the package.
• Review program description, Attorney General's statement, Memorandum of Agreement,
and Memorandum of Understanding to assess adequacy and conformance with
requirements.
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• Review documentation of public participation activities for new primacy applications.
• If necessary, finalize the regulatory crosswalk (created during the pre-application phase).
• NOTE: the Office of General Counsel (OGC) will answer questions and help resolve any
issues with the primacy application/program revisions, but will not review the
applications.
Following the 30-day comment period, the Regions review and respond to all public comments
and hold public hearings (if they are requested and did not take place during the public comment
period). Based on the comments and the results of the application review, the primacy review
team will make a determination to approve/not approve the primacy application/program
revision. [40 CFRPart 145.32(b)(3)]
Review Public Comments
The Region collects public comments on the state's primacy application/revision, addresses any
comments received, and prepares responses. The Region will take the lead on this effort, with
support from OGWDW as needed.
• The Region creates a public comment table and draft responsiveness summary.
• The Region consults OGWDW as needed in drafting responses.
• Responses to any comments submitted at public hearings must be included in the
responsiveness summary.
• OGWDW approves the responsiveness summary.
Based on the comments, the primacy review team coordinates with states to revise their
applications if needed. Based on the comments and the results of the application review, the
Region will determine whether to recommend that the agency approve or disapprove the primacy
application or program revision. Once all issues with a primacy application/program revision are
resolved and there is a "final" application, OGWDW will initiate a rulemaking (see Phase IV,
below).
Phase IV: Tier III Rulemaking and Codification in Part 147
OGWDW will simultaneously publish in the Federal Register a proposed rule and a Direct Final
Rule approving or disapproving a state's primacy application/program revision. [40 CFR Part
145.3 l(e) for new primacy applications; 40 CFR Part 145.32(b)(4) for revisions] If there is no
public objection to granting Class VI primacy to the state, the Direct Final Rulemaking under
Part 147 will be promulgated. If adverse comment is received, EPA will proceed with the
Proposed Rule, evaluate public comments, and publish a final rule.
The Federal Register notice will explain that EPA intends to approve or disapprove the state's
primacy application. If the primacy application is approved, the notice will include a table of
statutes and regulations for the state, along with references to the Memorandum of Agreement,
Memorandum of Understanding, Attorney General's Statement, and Class VI Program
Description.
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If a Direct Final Rule is rejected because of comments, EPA proceeds with the proposed rule
without having to withdraw the Direct Final Rule. Likewise, if no adverse comments are
received on the Direct Final Rule, the rule is promulgated and no withdrawal of the proposed
rule is necessary.
Prepare Rule Text
• OGWDW drafts Federal Register notices for Direct Final Rule with a companion
Proposed Rule (including an updated table of state statutes and regulations for Part 147).
o Direct Final Rule should contain language saying that, unless adverse comments
are received in 30 days, the rule will go final on the date indicated in the Federal
Register notice. [40 CFR Part 145.3 l(d) for new primacy applications; 40 CFR
Part 145.32(b)(4) for revisions]
o OGWDW will try to include as many states as possible in each rulemaking.
• OGWDW initiates a Tier III rulemaking process to draft a Direct Final Rule with a
companion Proposed Rule. The following Offices must provide concurrence letters for
the Direct Final Rule with a companion Proposed Rule:
o Office of General Counsel,
o Office of Enforcement and Compliance Assurance (OECA), and
o Office of Regional Counsel (ORC).
• OGWDW submits Action Package for signature for the Federal Register notices of the
Direct Final Rule with a companion Proposed Rule. Contents of the Action Package
include:
o An Action Memorandum to be signed by the Assistant Administrator for Water
recommending the Administrator approve and sign rulemakings for the state's
primacy application/revision;
o Concurrence letters from OGC, OECA, and ORC;
o A Federal Register notice of the Administrator's decision; and
o A staff memorandum explaining the maj or issues and their resolution.
Rulemaking Docket
OGWDW will add documents related to the rulemaking to the docket. The documents in the
docket include:
• The final Class VI state primacy application;
• A copy of the binder of state statutes and regulations;
• A Federal Register Notice of Direct Final Rule;
• A Federal Register Notice of Proposed Rule; and
• A summary of responses to public comments if EPA proceeds with a Proposed Rule.
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Publication of Rules, Public Comment, and Final Rules
OGWDW will publish a Direct Final Rule Notice with a companion Proposed Rule Notice in the
Federal Register, along with an updated table of state statutes and regulations in 40 CFR Part
147. The notice will initiate a comment period of 30 days. [40 CFR Part 145.3 l(a)(4) for new
applications; 40 CFR Part 145.32(b)(2) for program revisions]
Where possible, notices of multiple rulemakings may be combined. Decisions regarding
combining notices will be case-specific (i.e., only when multiple notices are ready for
publication within a few days of each other), so that no rulemakings are delayed.
A single adverse comment will not allow EPA to go direct-to-final. Comments that are out of the
scope of the primacy application (e.g., about the Class VI rule) may not need to be addressed;
this would be the Office of General Counsel's decision.
If no adverse comments are received, the Direct Final Rule will be promulgated on the date
indicated in the Federal Register notice.
• OGWDW publishes primacy application/program revision approval in the Federal
Register and updates to the table of state statutes and regulations in 40 CFR Part 147.
• If the notice approves primacy, the Region notifies the state that primacy has been
approved and the state may begin issuing Class VI permits.
If adverse comments are received, EPA proceeds with the Proposed Rule, public comments are
evaluated and addressed, and a final rulemaking process is initiated.
• OGWDW compiles and reviews public comments and creates a responsiveness summary.
• OGWDW initiates a Tier III rulemaking for the new Final Rule and must receive new
concurrence letters from OGC, OECA, and ORC.
• OGWDW places new materials in the docket, including:
o The Federal Register notice of Final Rule;
o A copy of the binder of state statutes and regulations; and
o A responsiveness summary.
• OGWDW publishes notice of a new Final Rule approving or disapproving a state's Class
VIUIC Program in the Federal Register (along with updates to the table of state statutes
and regulations in 40 CFR Part 147).
• Region notifies the state that primacy (as well as expansions to the areal extent of aquifer
exemptions) has been approved, if applicable and the state may begin issuing Class VI
permits.
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Appendix B
Federal/State Regulation
Comparison Crosswalk for a
SDWA Section 1422 UIC
Program Application
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Federal/State Regulation Comparison Crosswalk for a
Section 1422 UIC Program Application for Class VI Wells
The following Federal/State Regulation Comparison Crosswalk for a SDWA Section 1422 UIC
Program Application can be completed by the state to identify the state statutory or regulatory
provisions that correspond to the federal UIC general SDWA Section 1422 requirements and
Class VI requirements. A completed comparison crosswalk will help EPA in reviewing the
state's Class VI primacy application. This crosswalk is one part of a complete UIC Program
primacy application. Additional information on other primacy application requirements can be
found in Sections 3 and 4 of this manual.
Note that 40 CFR 145.1 l(b)(l) says that "states need not implement provisions that are identical
to the provisions listed in paragraphs (a)(l) through (a)(32) of this section. Implemented
provisions must, however, establish requirements at least as stringent as the corresponding listed
provisions. While States may impose more stringent requirements, they may not make one
requirement more lenient as a tradeoff for making another requirement more stringent." If the
state's provisions differ from the federal requirements, the state should explain in the crosswalk
how its requirements are no less stringent, in order to facilitate EPA's evaluation of the
differences.
In the crosswalk, the symbol "***" indicates that additional language can be found in the CRF.
Only language related to general SDWA Section 1422 requirements and the Class VI Rule are
provided in this crosswalk.
Note that some rule provisions in the crosswalk are highlighted in yellow. EPA is not requiring
states to include such provisions in their regulations; however, states may choose to include these
provisions as part of developing a complete program.
The following sections of the UIC regulations are included in this crosswalk (click on the
hyperlinks to move through the document):
Part 124 PROCEDURES FOR DECISION MAKING
Part 144 UNDERGROUND INJECTION CONTROL PROGRAM
Subpart_A General Provisions
Subpart B General Program Requirements
Subpart_D Authorization by Permit
Subpart E Permit Conditions
Part 146 UNDERGROUND INJECTION CONTROL PROGRAM: CRITERIA AND
STANDARDS
Subpart A General Provisions
Subpart_H Criteria and Standards Applicable to Class VI Wells
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Federal Requirement
Federal Citation
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
GENERAL REQUIREMENTS
PART 124-PROCEDURES FOR DECISION MAKING
SUBPART A-GENERAL PROGRAM REQUIREMENTS
40 CFR 124.3 Application for a permit
Applicable to State programs, see §145.1 1 (UIC). (1) Any person
who requires a permit under the RCRA, UIC, NPDES, or PSD
programs shall complete, sign, and submit to the Director an
application for each permit required under §144.1 (UIC).
Applications are not required for underground injections authorized
by rules (§§ 144.21 through 144.26).
The Director shall not begin the processing of a permit until the
applicant has fully complied with the application requirements for
that permit. See §144.31 (UIC).
Permit applications must comply with the signature and
certification requirements of § 144.32 (UIC).
40CFR124.3(a)(l)
(Seealsol45.11(a)(24))
40 CFR 124.3(a)(2)
(See also 145.11(a)(24))
40 CFR 124.3(a)(3)
(Seealsol45.11(a)(24))
§ 124.5 Modification, revocation and reissuance, or termination of permits.
(Applicable to State programs, see §145.1 1 (UIC).) Permits may be
modified, revoked and reissued, or terminated either at the request
of any interested person (including the permittee) or upon the
Director's initiative. However, permits may only be modified,
revoked and reissued, or terminated for the reasons specified in §
144.39 or 144.40 (UIC). All requests shall be in writing and shall
contain facts or reasons supporting the request.
If the Director decides the request is not justified, he or she shall
send the requester a brief written response giving a reason for the
decision. Denials of requests for modification, revocation and
reissuance, or termination are not subject to public notice,
comment, or hearings.
40 CFR 124.5(a)
(Seealsol45.11(a)(25))
40 CFR 124.5(b)
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Federal Requirement
(Applicable to State programs, see 40 CFR 145.1 1 (UIC)). (1) If
the Director tentatively decides to modify or revoke and reissue a
permit under 404 CFR 144.39 (UIC), he or she shall prepare a draft
permit under § 124.6 incorporating the proposed changes. The
Director may request additional information and, in the case of a
modified permit, may require the submission of an updated
application. In the case of revoked and reissued permits, the
Director shall require the submission of a new application.
In a permit modification under this section, only those conditions
to be modified shall be reopened when a new draft permit is
prepared. All other aspects of the existing permit shall remain in
effect for the duration of the unmodified permit. When a permit is
revoked and reissued under this section, the entire permit is
reopened just as if the permit had expired and was being reissued.
During any revocation and reissuance proceeding the permittee
shall comply with all conditions of the existing permit until a new
final permit is reissued.
"Minor modifications" as defined in § 144.41 (UIC) are not
subject to the requirements of this section.
(Applicable to State programs, see §145.1 1 (UIC) of this chapter.)
(1 ) If the Director tentatively decides to terminate: A permit under
§ 144.40 (UIC) of this chapter, he or she shall issue a notice of
intent to terminate. A notice of intent to terminate is a type of draft
permit which follows the same procedures as any draft permit
prepared under § 124.6 of this chapter.
Federal Citation
40CFR124.5(c)(l)
(Seealsol45.11(a)(25))
40 CFR 124.5(c)(2)
(Seealsol45.11(a)(25))
40 CFR 124.5(c)(3)
(Seealsol45.11(a)(25))
40CFR124.5(d)(l)
(Seealsol45.11(a)(25))
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
§ 124.6 Draft permits.
(Applicable to State programs, see §145.1 1 (UIC).) Once an
application is complete, the Director shall tentatively decide
whether to prepare a draft permit or to deny the application.
If the Director tentatively decides to deny the permit application,
he or she shall issue a notice of intent to deny. A notice of intent to
deny the permit application is a type of draft permit which follows
the same procedures as any draft permit prepared under this
section. See § 124.6(e). If the Director's final decision (§ 124.15) is
that the tentative decision to deny the permit application was
incorrect, he or she shall withdraw the notice of intent to deny and
40 CFR 124.6(a)
(Seealsol45.11(a)(26))
40 CFR 124.6(b)
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Federal Requirement
proceed to prepare a draft permit under paragraph (d) of this
section.
(Applicable to State programs, see §145.1 1 (UIC).) If the Director
decides to prepare a draft permit, he or she shall prepare a draft
permit that contains the following information:
All conditions under §144.51 and 144.42 (UIC);
All compliance schedules under §144.53 (UIC);
All monitoring requirements under §144.54 (UIC); and
For:
***
UIC permits, permit conditions under § 144.52;
(Applicable to State programs, see §145.1 1 (UIC).) Draft permits
prepared by a State shall be accompanied by a fact sheet if required
under § 124.8.
§ 124.8 Fact sheet.
A fact sheet shall be prepared for every draft permit for a major,
UIC facility or activity, and for every draft permit which the
Director finds is the subject of wide-spread 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 Director
shall send this fact sheet to the applicant and, on request, to any
other person.
The fact sheet shall include, when applicable:
A brief description of the type of facility or activity which is the
subject of the draft permit;
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.
Federal Citation
40 CFR 124.6(d)
(Seealsol45.11(a)(26))
40CFR124.6(d)(l)
(Seealsol45.11(a)(26))
40 CFR 124.6(d)(2)
(Seealsol45.11(a)(26))
40 CFR 124.6(d)(3)
(Seealsol45.11(a)(26))
40 CFR 124.6(d)(4)(ii)
(Seealsol45.11(a)(26))
40 CFR 124.6(e)
(Seealsol45.11(a)(26))
40 CFR 124.8(a)
(Seealsol45.11(a)(27))
40 CFR 124. 8(b)
(Seealsol45.11(a)(27))
40CFR124.8(b)(l)
(Seealsol45.11(a)(27))
40 CFR 124.8(b)(2)
(Seealsol45.11(a)(27))
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
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A brief summary of the basis for the draft permit conditions
including references to applicable statutory or regulatory
provisions;
Reasons why any requested variances or alternatives to required
standards do or do not appear justified;
A description of the procedures for reaching a final decision on the
draft permit including: (i) The beginning and ending dates of the
comment period under § 124. 10 and the address where comments
will be received; (ii) Procedures for requesting a hearing and the
nature of that hearing; and (iii) Any other procedures by which the
public may participate in the final decision.
Name and telephone number of a person to contact for additional
information.
Federal Citation
40 CFR 124.8(b)(4)
(Seealsol45.11(a)(27))
40 CFR 124.8(b)(5)
(Seealsol45.11(a)(27))
40 CFR 124.8(b)(6)
(Seealsol45.11(a)(27))
40 CFR 124.8(b)(7)
(Seealsol45.11(a)(27))
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
40 CFR 124.10 Public notice of permit actions and public comment period.
Scope. (1) The Director shall give public notice that the following
actions have occurred:
A permit application has been tentatively denied under § 124. 6(b);
(Applicable to State programs, see §145.11 (UIC).) A draft permit
has been prepared under § 124. 6(d);
(Applicable to State programs, see §145.11 (UIC).) A hearing has
been scheduled under § 124.12;
An appeal has been granted under § 124. 19(c);
No public notice is required when a request for permit
modification, revocation and reissuance, or termination is denied
under § 124. 5(b). Written notice of that denial shall be given to the
requester and to the permittee.
Timing (applicable to State programs, see §145.1 1 (UIC)). (1)
Public notice of the preparation of a draft permit (including a
notice of intent to deny a permit application) required under
paragraph (a) of this section shall allow at least 30 days for public
comment. (2) Public notice of a public hearing shall be given at
40CFR124.10(a)(l)
(Seealsol45.11(a)(28))
40CFR124.10(a)(l)(i)
40CFR124.10(a)(l)(ii)
(Seealsol45.11(a)(28))
40CFR124.10(a)(l)(iii)
(Seealsol45.11(a)(28))
40CFR124.10(a)(l)(iv)
40CFR124.10(a)(2)
40CFR124.10(b)
(Seealsol45.11(a)(28))
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Federal Requirement
Federal Citation
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
least 30 days before the hearing. (Public notice of the hearing may
be given at the same time as public notice of the draft permit and
the two notices may be combined.)
Methods (applicable to State programs, see 40 CFR 145.11 (UIC)).
Public notice of activities described in paragraph (a)(l) of this
section shall be given by the following methods: (1) By mailing a
copy of a notice to the following persons (any person otherwise
entitled to receive notice under this paragraph may waive his or her
rights to receive notice for any classes and categories of permits);
40CFR124.10(c)(l)
(Seealsol45.11(a)(28))
The applicant;
40CFR124.10(c)(l)(i)
(Seealsol45.11(a)(28))
Any other agency which the Director knows has issued or is
required to issue a RCRA, UIC, PSD (or other permit under the
Clean Air Act), NPDES, 404, sludge management permit, or ocean
dumping permit under the Marine Research Protection and
Sanctuaries Act for the same facility or activity (including EPA
when the draft permit is prepared by the State);
40CFR124.10(c)(l)(ii)
(Seealsol45.11(a)(28))
Federal and State agencies with jurisdiction over fish, shellfish, and
wildlife resources and over coastal zone management plans, the
Advisory Council on Historic Preservation, State Historic
Preservation Officers, including any affected States (Indian
Tribes). (For purposes of this paragraph, and in the context of the
Underground Injection Control Program only, the term State
includes Indian Tribes treated as States.)
40CFR124.10(c)(l)(iii)
(Seealsol45.11(a)(28))
Persons on a mailing list developed by:
(A) Including those who request in writing to be on the list;
(B) Soliciting persons for "area lists" from participants in past
permit proceedings in that area; and
(C) Notifying the public of the opportunity to be put on the mailing
list through periodic publication in the public press and in such
publications as Regional and State funded newsletters,
environmental bulletins, or State law journals. (The Director may
update the mailing list from time to time by requesting written
indication of continued interest from those listed. The Director may
delete from the list the name of any person who fails to respond to
such a request.)
40CFR124.10(c)(l)(ix)
(Seealsol45.11(a)(28))
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(A) To any unit of local government having jurisdiction over the
area where the facility is proposed to be located; and (B) to each
State agency having any authority under State law with respect to
the construction or operation of such facility.
For Class VI injection well UIC permits, mailing or emailing a
notice to State and local oil and gas regulatory agencies and State
agencies regulating mineral exploration and recovery, the Director
of the Public Water Supply Supervision program in the State, and
all agencies that oversee injection wells in the State.
For major permits publication of a notice in a daily or weekly
newspaper within the area affected by the facility or activity;
When the program is being administered by an approved State, in a
manner constituting legal notice to the public under State law; and
Any other method reasonably calculated to give actual notice of the
action in question to the persons potentially affected by it,
including press releases or any other forum or medium to elicit
public participation.
Contents (applicable to State programs, see §145.1 1 (UIC))— (1)
All public notices. All public notices issued under this part shall
contain the following minimum information:
Name and address of the office processing the permit action for
which notice is being given;
Name and address of the permittee or permit applicant and, if
different, of the facility or activity regulated by the permit;
A brief description of the business conducted at the facility or
activity described in the permit application or the draft permit.
Name, address and telephone number of a person from whom
interested persons may obtain further information, including copies
of the draft permit, fact sheet, and the application; and
A brief description of the comment procedures required by §§
124. 1 1 and 124. 12 and the time and place of any hearing that will
be held, including a statement of procedures to request a hearing
(unless a hearing has already been scheduled) and other procedures
by which the public may participate in the final permit decision.
Federal Citation
40CFR124.10(c)(l)(x)
(Seealsol45.11(a)(28))
40CFR124.10(c)(l)(xi)
(Seealsol45.11(a)(28))
40CFR124.10(c)(2)(i)
(Seealsol45.11(a)(28))
40CFR124.10(c)(3)
(Seealsol45.11(a)(28))
40CFR124.10(c)(4)
(Seealsol45.11(a)(28))
40CFR124.10(d)(l)
(Seealsol45.11(a)(28))
40CFR124.10(d)(l)(i)
(Seealsol45.11(a)(28))
40CFR124.10(d)(l)(ii)
(Seealsol45.11(a)(28))
40CFR124.10(d)(l)(iii)
(Seealsol45.11(a)(28))
40CFR124.10(d)(l)(iv)
(Seealsol45.11(a)(28))
40CFR124.10(d)(l)(v)
(Seealsol45.11(a)(28))
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
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Any additional information considered necessary or proper.
Public notices for hearings. In addition to the general public notice
described in paragraph (d)(l) of this section, the public notice of a
hearing under § 124.12 shall contain the following information:
Reference to the date of previous public notices relating to the
permit;
Date, time, and place of the hearing;
A brief description of the nature and purpose of the hearing,
including the applicable rules and procedures;
(Applicable to State programs, see §145.11 (UIC).) In addition to
the general public notice described in paragraph (d)(l) of this
section, all persons identified in paragraphs (c)(l) (i), (ii), (iii), and
(iv) of this section shall be mailed a copy of the fact sheet, the
permit application (if any) and the draft permit (if any).
Federal Citation
40CFR124.10(d)(l)(x)
(Seealsol45.11(a)(28))
40CFR124.10(d)(2)
(Seealsol45.11(a)(28))
40CFR124.10(d)(2)(i)
(Seealsol45.11(a)(28))
40CFR124.10(d)(2)(ii)
(Seealsol45.11(a)(28))
40CFR124.10(d)(2)(iii)
(Seealsol45.11(a)(28))
40CFR124.10(e)
(Seealsol45.11(a)(28))
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
§ 124.11 Public comments and requests for public hearings.
(Applicable to State programs, see §145.1 1 (UIC).) During the
public comment period provided under§ 124.10, any interested
person may submit written comments on the draft permit and may
request a public hearing, if no hearing has already been scheduled.
A request for a public hearing shall be in writing and shall state the
nature of the issues proposed to be raised in the hearing. All
comments shall be considered in making the final decision and
shall be answered as provided in § 124.17.
40CFR124.il
(Seealsol45.11(a)(29))
§ 124.12 Public hearings.
(Applicable to State programs, see §145.1 1 (UIC).) (1) The
Director shall hold a public hearing whenever he or she finds, on
the basis of requests, a significant degree of public interest in a
draft permit(s);
The Director may also hold a public hearing at his or her
discretion, whenever, for instance, such a hearing might clarify one
or more issues involved in the permit decision;
40CFR124.12(a)(l)
(Seealsol45.11(a)(30))
40CFR124.12(a)(2)
(Seealsol45.11(a)(30))
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Public notice of the hearing shall
be given as specified in § 124.10.
Any person may submit oral or written statements and data
concerning the draft permit. Reasonable limits may be set upon the
time allowed for oral statements, and the submission of statements
in writing may be required. The public comment period under §
124. 10 shall automatically be extended to the close of any public
hearing under this section. The hearing officer may also extend the
comment period by so stating at the hearing.
A tape recording or written transcript of the hearing shall be made
available to the public.
Federal Citation
40CFR124.12(a)(4)
(Seealsol45.11(a)(30))
40CFR124.12(c)
40CFR124.12(d)
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
§ 124.17 Response to comments.
(Applicable to State programs, see § 145.1 1 (UIC).) At the time
that any final permit decision is issued under § 124.15, the Director
shall issue a response to comments. States are only required to
issue a response to comments when a final permit is issued. This
response shall:
Specify which provisions, if any, of the draft permit have been
changed in the final permit decision, and the reasons for the
change; and
Briefly describe and respond to all significant comments on the
draft permit raised during the public comment period, or during
any hearing.
(Applicable to State programs, see §145.11 (UIC).) The response
to comments shall be available to the public.
40CFR124.17(a)
(Seealsol45.11(a)(31))
40CFR124.17(a)(l)
(Seealsol45.11(a)(31))
40CFR124.17(a)(2)
(Seealsol45.11(a)(31))
40CFR124.17(c)
(Seealsol45.11(a)(31))
PART 144-UNDERGROUND INJECTION CONTROL PROGRAM
SUBPART A-GENERAL PROVISIONS
40 CFR 144.1 Purpose and scope of Part 144.
Subpart H of 40 CFR 146 sets forth requirements for owners or
operators of Class VI injection wells.
Scope of the permit or rule requirement. The UIC permit program
regulates underground injection by six classes of wells (see
40CFR144.1(f)(l)(viii)
40CFR144.1(g)
Note that states are not expected to have language
equivalent to this section, as the requirements mentioned
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Federal Requirement
Federal Citation
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
definition of "well injection," 40 CFR 144.3). The six classes of
wells are set forth in 40 CFR 144.6. All owners or operators of
these injection wells must be authorized either by permit or rule by
the Director. In carrying out the mandate of the SDWA, this
subpart provides that no injection shall be authorized by permit or
rule if it results in the movement of fluid containing any
contaminant into underground sources of drinking water (USDWs
-see 40 CFR 144.3 for definition), if the presence of that
contaminant may cause a violation of any primary drinking water
regulation under 40 CFR part 141 or may adversely affect the
health of persons (40 CFR 144.12). Existing Class IV wells which
inject hazardous waste directly into an underground source of
drinking water are to be eliminated over a period of six months and
new such Class IV wells are to be prohibited (40 CFR 144.13). For
Class V wells, if remedial action appears necessary, a permit may
be required (40 CFR 144.25) or the Director must require remedial
action or closure by order (40 CFR 144.6(c)). During UIC program
development, the Director may identify aquifers and portions of
aquifers which are actual or potential sources of drinking water.
This will provide an aid to the Director in carrying out his or her
duty to protect all USDWs. An aquifer is a USDW if it fits the
definition under 40 CFR 144.3, even if it has not been "identified."
The Director may also designate "exempted aquifers" using the
criteria in 40 CFR 146.4 of this chapter. Such aquifers are those
which would otherwise qualify as "underground sources of
drinking water" to be protected, but which have no real potential to
be used as drinking water sources. Therefore, they are not USDWs.
No aquifer is an exempted aquifer until it has been affirmatively
designated under the procedures at 40 CFR 144.7. Aquifers which
do not fit the definition of "underground source of drinking water"
are not "exempted aquifers." They are simply not subject to the
special protection afforded USDWs. During initial Class VI
program development, the Director shall not expand the areal
extent of an existing Class II enhanced oil recovery or enhanced
gas recovery aquifer exemption for Class VI injection wells and
EPA shall not approve a program that applies for aquifer
exemption expansions of Class II-Class VI exemptions as part of
the program description. All Class II to Class VI aquifer exemption
expansions previously issued by EPA must be incorporated into the
here are described in more detail in other parts of the
regulation. They are included here to provide background
on and a summary of the UIC program.
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Class VI program descriptions pursuant to requirements at 40 CFR
145.23(f)(9).***
Federal Citation
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
40 CFR 144.3 Definitions.
Administrator means the Administrator of the United States
Environmental Protection Agency, or an authorized representative.
Application means the EPA standard national forms for applying
for a permit, including any additions, revisions or modifications to
the forms; or forms approved by EPA for use in approved States,
including any approved modifications or revisions.
Approved State Program means a UIC program administered by
the State or Indian Tribe that has been approved by EPA according
to SDWA sections 1422 and/or 1425.
Aquifer means a geological "formation," group of formations, or
part of a formation that is capable of yielding a significant amount
of water to a well or spring.
Contaminant means any physical, chemical, biological, or
radiological substance or matter in water.
Director means the Regional Administrator, the State director or
the Tribal director as the context requires, or an authorized
representative. When there is no approved State or Tribal program,
and there is an EPA administered program, "Director" means the
Regional Administrator. When there is an approved State or Tribal
program, "Director" normally means the State or Tribal director. In
some circumstances, however, EPA retains the authority to take
certain actions even when there is an approved State or Tribal
program. In such cases, the term "Director" means the Regional
Administrator and not the State or Tribal director.
Draft permit means a document prepared under §124.6 indicating
the Director's tentative decision to issue or deny, modify, revoke
and reissue, terminate, or reissue a "permit." A notice of intent to
This language is required only if the state's regulation
does not explicitly use the term "EPA Administrator"
when referring to the EPA Administrator. For example, if
the state refers to the EPA Administrator as simply "the
Administrator," this definition is required. If the state
uses the term "EPA Administrator" in its rule language,
no definition is required.
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terminate a permit, and a notice of intent to deny a permit, as
discussed in §124.5 are types of "draft permits." A denial of a
request for modification, revocation and reissuance, or termination,
as discussed in §124.5 is not a "draft permit."
Drilling mud means a heavy suspension used in drilling an
"injection well," introduced down the drill pipe and through the
drill bit.
Eligible Indian Tribe is a Tribe that meets the statutory
requirements established at 42 U.S.C. 300J-1 1 (b)(l ).
Environmental Protection Agency ("EPA") means the United
States Environmental Protection Agency.
Exempted aquifer means an "aquifer" or its portion that meets the
criteria in the definition of "underground source of drinking water"
but which has been exempted according to the procedures in
§144.7.
Existing injection well means an "injection well" other than a "new
injection well."
Facility or activity means any UIC "injection well," or an other
facility or activity that is subject to regulation under the UIC
program.
Fluid means any material or substance which flows or moves
whether in a semisolid, liquid, sludge, gas, or any other form or
state.
Formation means a body of consolidated or unconsolidated rock
characterized by a degree of litho logic homogeneity which is
prevailingly, but not necessarily, tabular and is mappable on the
earth's surface or traceable in the subsurface.
Formation fluid means "fluid" present in a "formation" under
natural conditions as opposed to introduced fluids, such as "drilling
mud."
Geologic sequestration means the long-term containment of a
gaseous, liquid, or supercritical carbon dioxide stream in
subsurface geologic formations. This term does not apply to carbon
dioxide capture or transport.
Federal Citation
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
This definition is optional if the state does not distinguish
between new and existing injection wells.
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Ground water means water below the land surface in a zone of
saturation.
Hazardous waste means a hazardous waste as defined in 40 CFR
261.3.
Indian Tribe means any Indian Tribe having a Federally
recognized governing body carrying out substantial governmental
duties and powers over a defined area.
Injection well means a "well" into which "fluids" are being
injected.
New injection wells means an "injection well" which began
injection after a UIC program for the State applicable to the well is
approved or prescribed.
Owner or operator means the owner or operator of any "facility or
activity" subject to regulation under the UIC program.
Permit means an authorization, license, or equivalent control
document issued by EPA or an approved State to implement the
requirements of this part, parts 145, 146 and 124. "Permit"
includes an area permit (§144.33) and an emergency permit
(§144.34). Permit does not include UIC authorization by rule
(§144.21), or any permit which has not yet been the subject of final
agency action, such as a "draft permit."
Person means an individual, association, partnership, corporation,
municipality, state, federal, or tribal agency, or an agency or
employee thereof
RCRA means the Solid Waste Disposal Act as amended by the
Resource Conservation and Recovery Act of 1976 (Pub. L. 94-
580, as amended by Pub. L. 95-609, Pub. L. 96-510, 42 U.S.C.
6901 etseq.).
Regional Administrator means the Regional Administrator of the
appropriate Regional Office of the Environmental Protection
Agency or the authorized representative of the Regional
Administrator.
Federal Citation
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
This language is optional if the state regulation does not
distinguish between new and existing wells.
This language is required only if the state's regulation
does not explicitly use the term "EPA Regional
Administrator" when referring to the EPA Regional
Administrator. For example, if the state refers to the EPA
Regional Administrator as simply "the Regional
Administrator," this definition is required. If the state
uses the term "EPA Regional Administrator" in its rule
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SDWA means the Safe Drinking Water Act (Pub. L. 93-523, as
amended; 42 U.S.C. 300f etseq.).
Site means the land or water area where any "facility or activity" is
physically located or conducted, including adjacent land used in
connection with the facility or activity.
State means any of the 50 States, the District of Columbia, Guam,
the Commonwealth of Puerto Rico, the Virgin Islands, American
Samoa, the Trust Territory of the Pacific Islands, the
Commonwealth of the Northern Mariana Islands, or an Indian
Tribe treated as a State.
State Director means the chief administrative officer of any State,
interstate, or Tribal agency operating an "approved program," or
the delegated representative of the State director. If the
responsibility is divided among two or more States, interstate, or
Tribal agencies, "State Director" means the chief administrative
officer of the State, interstate, or Tribal agency authorized to
perform the particular procedure or function to which reference is
made.
Stratum (plural strata) means a single sedimentary bed or layer,
regardless of thickness, that consists of generally the same kind of
rock material.
Total dissolved solids means the total dissolved (filterable) solids
as determined by use of the method specified in 40 CFR part 136.
UIC means the Underground Injection Control program under Part
C of the Safe Drinking Water Act, including an "approved State
program."
Underground injection means a "well injection."
Underground source of drinking -water (USDW) means an aquifer
or its portion:
(a)(l) Which supplies any public water system; or
(2) Which contains a sufficient quantity of ground water to supply
a public water system; and
(i) Currently supplies drinking water for human consumption; or
(ii) Contains fewer than 10,000 mg/1 total dissolved solids; and
Federal Citation
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
language, no definition is required.
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(b) Which is not an exempted aquifer.
Well means: A bored, drilled, or driven shaft whose depth is
greater than the largest surface dimension; or, a dug hole whose
depth is greater than the largest surface dimension; or, an improved
sinkhole; or, a subsurface fluid distribution system.
Well injection means the subsurface emplacement of fluids through
a well.
Federal Citation
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
40 CFR 144.6 Classification of wells.
Injection wells are classified as follows:
Class II. Wells which inject fluids:
Which are brought to the surface in connection with natural gas
storage operations, or conventional oil or natural gas production
and may be commingled with waste waters from gas plants which
are an integral part of production operations, unless those waters
are classified as a hazardous waste at the time of injection.
For enhanced recovery of oil or natural gas; and
For storage of hydrocarbons which are liquid at standard
temperature and pressure.
Class V. Injection wells not included in Class I, II, III, IV, or VI.
Specific types of Class V injection wells are described in 40 CFR
144.81.
Class VI. Wells that are not experimental in nature that are used for
geologic sequestration of carbon dioxide beneath the lowermost
formation containing a USDW; or, wells used for geologic
sequestration of carbon dioxide that have been granted a waiver of
the injection depth requirements pursuant to requirements at §
146.95 of this chapter; or, wells used for geologic sequestration
of carbon dioxide that have received an expansion to the areal
extent of an existing Class II enhanced oil recovery or enhanced
gas recovery aquifer exemption pursuant to §§ 146.4 of this
chapter and 144. 7(d).
40 CFR 144.6
(See also 145.11(a)(2))
40 CFR 144.6(b)
(Seealsol45.11(a)(2))
40CFR144.6(b)(l)
(Seealsol45.11(a)(2))
40 CFR 144.6(b)(2)
(Seealsol45.11(a)(2))
40 CFR 144.6(b)(3)
(Seealsol45.11(a)(2))
40 CFR 144.6(e)
(Seealsol45.11(a)(2))
40 CFR 144.6(fj
(See also 145. ll(a)(2))
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Federal Requirement
Federal Citation
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
40 CFR 144.7 Identification of underground sources of drinking water and exempted aquifers.
The Director may identify (by narrative description, illustrations,
maps, or other means) and shall protect as underground sources of
drinking water, all aquifers and parts of aquifers which meet the
definition of "underground source of drinking water" in § 144.3,
except to the extent there is an applicable aquifer exemption
under paragraph (b) of this section or an expansion to the areal
extent of an existing Class II enhanced oil recovery or enhanced
gas recovery aquifer exemption for the exclusive purpose of
Class VI injection for geologic sequestration under paragraph (d)
of this section. Other than EPA approved aquifer exemption
expansions that meet the criteria set forth in § 146.4(d) of this
chapter, new aquifer exemptions shall not be issued for Class VI
injection wells. Even if an aquifer has not been specifically
identified by the Director, it is an underground source of drinking
water if it meets the definition in § 144.3.
40 CFR 144.7(a)
(Seealsol45.11(a)(3))
The Director may identify (by narrative description, illustrations,
maps, or other means) and describe in geographic and/or geometric
terms (such as vertical and lateral limits and gradient) which are
clear and definite, all aquifers or parts thereof which the Director
proposes to designate as exempted aquifers using the criteria in 40
CFR 146.4.
40CFR144.7(b)(l)
(Seealsol45.11(a)(3))
No designation of an exempted aquifer submitted as part of a UIC
program shall be final until approved by the Administrator as part
of a UIC program. No designation of an expansion to the areal
extent of a Class II enhanced oil recovery or enhanced gas
recovery
aquifer exemption for the exclusive purpose of Class VI injection
for geologic sequestration shall be final until approved by the
Administrator as a revision to the applicable Federal UIC program
under part 147 or as a substantial revision of an approved State
UIC program in accordance with § 145.32 of this chapter.
40 CFR 144.7(b)(2)
(Seealsol45.11(a)(3))
Expansion to the areal extent of existing Class II aquifer
exemptions for Class VI wells. Owners or operators of Class II
enhanced oil recovery or enhanced gas recovery wells may request
that the Director approve an expansion to the areal extent of an
aquifer exemption already in place for a Class II enhanced oil
40 CFR 144.7(d)
(Seealsol45.11(a)(3))
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Federal Requirement
recovery or enhanced gas recovery well for the exclusive purpose
of Class VI injection for geologic sequestration. Such requests
must be treated as a revision to the applicable Federal UIC
program under part 147 or as a substantial program revision to an
approved State UIC program under § 145.32 of this chapter and
will not be final until approved by EPA.
The owner or operator of a Class II enhanced oil recovery or
enhanced gas recovery well that requests an expansion of the areal
extent of an existing aquifer exemption for the exclusive purpose
of Class VI injection for geologic sequestration must define (by
narrative description, illustrations, maps, or other means) and
describe in geographic and/or geometric terms (such as vertical and
lateral limits and gradient) that are clear and definite, all aquifers or
parts thereof that are requested to be designated as exempted using
the criteria in § 146.4 of this chapter.
In evaluating a request to expand the areal extent of an aquifer
exemption of a Class II enhanced oil recovery or enhanced gas
recovery well for the purpose of Class VI injection, the Director
must determine that the request meets the criteria for exemptions in
§ 146.4. In making the determination, the Director shall consider:
Current and potential future use of the USDWs to be exempted as
drinking water resources;
The predicted extent of the injected carbon dioxide plume, and any
mobilized fluids that may result in degradation of water quality,
over the lifetime of the GS project, as informed by computational
modeling performed pursuant to § 146.84(c)(l ), in order to ensure
that the proposed injection operation will not at any time endanger
USDWs including non-exempted portions of the injection
formation;
Whether the areal extent of the expanded aquifer exemption is of
sufficient size to account for any possible revisions to the
computational model during reevaluation of the area of review,
pursuant to § 146.84(e); and
Any information submitted to support a waiver request made by
the owner or operator under § 146.95, if appropriate.
Federal Citation
40CFR144.7(d)(l)
(Seealsol45.11(a)(3))
40 CFR 144.7(d)(2)
(Seealsol45.11(a)(3))
40 CFR 144.7(d)(2)(i)
(Seealsol45.11(a)(3))
40 CFR 144.7(d)(2)(ii)
(Seealsol45.11(a)(3))
40 CFR 144.7(d)(2)(iii)
(Seealsol45.11(a)(3))
40 CFR 144.7(d)(2)(iv)
(Seealsol45.11(a)(3))
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
40 CFR 144.8 Noncompliance and program reporting by the Director.
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Federal Requirement
The Director shall prepare quarterly and annual reports as detailed
below. When the State is the permit-issuing authority, the State
Director shall submit any reports required under this section to the
Regional Administrator, (a) Quarterly reports. The Director shall
submit quarterly narrative reports for major facilities as follows:
Format. The report shall use the following format:
(i) Provide an alphabetized list of permittees. When two or more
permittees have the same name, the lowest permit number shall be
entered first.
For each entry on the list, include the following information in the
following order:
(A) Name, location, and permit number of the noncomplying
permittees.
(B) A brief description and date of each instance of noncompliance
for that permittee. Instances of noncompliance may include one or
more the kinds set forth in paragraph (a)(2) of this section. When a
permittee has noncompliance of more than one kind, combine the
information into a single entry for each such permittee.
(C) The date(s) and a brief description of the action(s) taken by the
Director to ensure compliance.
(D) Status of the instance(s) of noncompliance with the date of the
review of the status or the date of resolution.
(E) Any details which tend to explain or mitigate the instance(s) of
noncompliance.
Instances of noncompliance to be reported. Any instances of
noncompliance within the following categories shall be reported in
Federal Citation
40 CFR 144.8(a)
(Seealsol45.11(a)(4))
40CFR144.8(a)(l)(i)
(Seealsol45.11(a)(4))
40CFR144.8(a)(l)(ii)
(Seealsol45.11(a)(4))
40 CFR 144.8(a)(2)
(Seealsol45.11(a)(4))
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
States may choose not to include the requirements in
144.8 in their regulations; however, states will need to
demonstrate that they have the authority to implement
these requirements as required by 145.1 l(a)(4) by citing
their statutory and regulatory authority here, and they
will need to include these requirements and conditions in
their memoranda of agreement with their respective EPA
regional office (see 40 CFR 145.25 and 40 CFR
145. 32(b )(!)). States may also be asked to describe how
they plan to comply with the requirements in 144.8 in
their program descriptions.
See above.
See above.
See above.
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Federal Requirement
Federal Citation
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
successive reports until the noncompliance is reported as resolved.
Once noncompliance is reported as resolved it need not appear in
subsequent reports.
Failure to complete construction elements. When the permittee has
failed to complete, by the date specified in the permit, an element
of a compliance schedule involving either planning for
construction or a construction step (for example, begin
construction, attain operation level); and the permittee has not
returned to compliance by accomplishing the required elements of
the schedule within 30 days from the date a compliance schedule
report is due under the permit.
40 CFR 144.8(a)(2)(i)
(Seealsol45.11(a)(4))
See above.
Modifications to schedules of compliance. When a schedule of
compliance in the permit has been modified under §§144.39 or
144.41 because of the permittee's noncompliance.
40 CFR 144.8(a)(2)(ii)
(Seealsol45.11(a)(4))
See above.
Failure to complete or provide compliance schedule or monitoring
reports. When the permittee has failed to complete or provide a
report required in a permit compliance schedule (for example,
progress report or notice of noncompliance or compliance) or a
monitoring report; and the permittee has not submitted the
complete report within 30 days from the date it is due under the
permit for compliance schedules, or from the date specified in the
permit for monitoring reports.
40 CFR 144.8(a)(2)(iii)
(Seealsol45.11(a)(4))
See above.
Deficient reports. When the required reports provided by the
permittee are so deficient as to cause misunderstanding by the
Director and thus impede the review of the status of compliance.
40 CFR 144.8(a)(2)(iv)
(Seealsol45.11(a)(4))
See above.
Noncompliance -with other permit requirements. Noncompliance
shall be reported in the following circumstances:
(A) Whenever the permittee has violated a permit requirement
(other than reported under paragraph (a)(2) (i) or (ii) of this
section), and has not returned to compliance within 45 days from
the date reporting of noncompliance was due under the permit; or
(B) When the Director determines that a pattern of noncompliance
exists for a major facility permittee over the most recent four
consecutive reporting periods. This pattern includes any violation
of the same requirement in two consecutive reporting periods, and
40 CFR 144.8(a)(2)(v)
(Seealsol45.11(a)(4))
See above.
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Federal Requirement
any violation of one or more requirements in each of four
consecutive reporting periods; or
(C) When the Director determines significant permit
noncompliance or other significant event has occurred, such as a
migration of fluids into a USDW.
All other. Statistical information shall be reported quarterly on all
other instances of noncompliance by major facilities with permit
requirements not otherwise reported under paragraph (a) of this
section.
Annual reports — (1) Annual noncompliance report. Statistical
reports shall be submitted by the Director on nonmajor UIC
permittees indicating the total number reviewed, the number of
noncomplying nonmajor permittees, the number of enforcement
actions, and number of permit modifications extending compliance
deadlines. The statistical information shall be organized to follow
the types of noncompliance listed in paragraph (a) of this section.
For State-administered UIC Programs only. In addition to the
annual noncompliance report, the State Director shall:
Submit each year a program report to the Administrator (in a
manner and form prescribed by the Administrator) consisting of:
A detailed description of the State's implementation of its
program;
Suggested changes, if any to the program description (see §
145.23(f)) which are necessary to reflect more accurately the
State's progress in issuing permits;
An updated inventory of active underground injection operations in
the State.
All Class VI program reports shall be consistent with reporting
requirements set forth in §146.91 of this chapter.
Schedule. (1) For all quarterly reports. On the last working day of
May, August, November, and February, the State Director shall
Federal Citation
40 CFR 144.8(a)(2)(vi)
(Seealsol45.11(a)(4))
40CFR144.8(b)(l)
(Seealsol45.11(a)(4))
40 CFR 144.8(b)(2)(i)
(Seealsol45.11(a)(4))
40 CFR 144.8(b)(2)(i)(A)
(Seealsol45.11(a)(4))
40 CFR 144.8(b)(2)(i)(B)
(Seealsol45.11(a)(4))
40 CFR 144.8(b)(2)(i)(C)
(Seealsol45.11(a)(4))
40 CFR 144.8(b)(2)(iii)
(Seealsol45.11(a)(4))
40CFR144.8(c)(l)
(Seealsol45.11(a)(4))
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
See above.
See above.
See above.
See above.
See above.
See above.
See above.
See above.
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Federal Requirement
submit to the Regional Administrator information concerning
noncompliance with permit requirements by major facilities in the
State in accordance with the following schedule. The Regional
Administrator shall prepare and submit information for EPA-issued
permits to EPA Headquarters in accordance with the same
schedule.
QUARTERS COVERED BY REPORTS ON
NONCOMPLIANCE BY MAJOR FACILITIES
[Date for completion of reports]
January February and March 1 May 3 1
April, May, and June 1 Aug. 31
July August and September 1 Nov 30
October, November, and December 1 Feb. 28
1 Reports must be made available to the public for inspection
and copying on this date.
For all annual reports. The period for annual reports shall be for the
calendar year ending December 3 1 , with reports completed and
available to the public no more than 60 days later.
SUBPART B-GENERAL PROGRAM REQUIREMENTS
40 CFR 144.11 Prohibition of unauthorized injection.
Any underground injection, except into a well authorized by rule or
except as authorized by permit issued under the UIC program, is
prohibited. The construction of any well required to have a permit
is prohibited until the permit has been issued.
Federal Citation
40 CFR 144.8(c)(2)
(Seealsol45.11(a)(4))
40CFR144.il
(Seealsol45.11(a)(5))
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
See above.
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Federal Requirement
Federal Citation
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
40 CFR 144.12 Prohibition of movement of fluid into underground sources of drinking water.
No owner or operator shall construct, operate, maintain, convert,
plug, abandon, or conduct any other injection activity in a manner
that allows the movement of fluid containing any contaminant into
underground sources of drinking water, if the presence of that
contaminant may cause a violation of any primary drinking water
regulation under 40 CFR part 142 or may otherwise adversely
affect the health of persons. The applicant for a permit shall have
the burden of showing that the requirements of this paragraph are
met.
For Class I, II, III, and VI wells, if any water quality monitoring of
an underground source of drinking water indicates the movement
of any contaminant into the underground source of drinking water,
except as authorized under part 146, the Director shall prescribe
such additional requirements for construction, corrective action,
operation, monitoring, or reporting (including closure of the
injection well) as are necessary to prevent such movement. In the
case of wells authorized by permit, these additional requirements
shall be imposed by modifying the permit in accordance with
§144.39, or the permit may be terminated under §144.40 if cause
exists, or appropriate enforcement action may be taken if the
permit has been violated.
Notwithstanding any other provision of this section, the Director
may take emergency action upon receipt of information that a
contaminant which is present in or likely to enter a public water
system or underground source of drinking water may present an
imminent and substantial endangerment to the health of persons.
40CFR144.12(a)
(See also 145.11(a)(6))
40CFR144.12(b)
(Seealsol45.11(a)(6))
40CFR144.12(e)
(Seealsol45.11(a)(6))
40 CFR 144.15 Prohibition of non-experimental Class V wells for geologic sequestration.
The construction, operation or maintenance of any non-
experimental Class V geologic sequestration well is prohibited.
40 CFR 144. 15
40 CFR 144.16 Waiver of requirement by Director.
When injection does not occur into, through or above an
underground source of drinking water, the Director may authorize
a well or project with less stringent requirements for area of
review, construction, mechanical integrity, operation, monitoring,
40CFR144.16(a)
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Federal Requirement
and reporting than required in 40 CFR part 146 or § 144.52 to the
extent that the reduction in requirements will not result in an
increased risk of movement of fluids into an underground source of
drinking water.
When injection occurs through or above an underground source of
drinking water, but the radius of endangering influence when
computed under § 146.06(a) is smaller or equal to the radius of the
well, the Director may authorize a well or project with less
stringent requirements for operation, monitoring, and reporting
than required in 40 CFR part 146 or § 144.52 to the extent that the
reduction in requirements will not result in an increased risk of
movement of fluids into an underground source of drinking water.
When reducing requirements under paragraph (a) or (b) of this
section, the Director shall prepare a fact sheet under § 124.8
explaining the reasons for the action.
Federal Citation
40CFR144.16(b)
40CFR144.16(c)
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
40 CFR 144. 17 Records.
The Director or the Administrator may require, by written notice
on a selective well-by-well basis, an owner or operator of an
injection well to establish and maintain records, make reports,
conduct monitoring, and provide other information as is deemed
necessary to determine whether the owner or operator has acted or
is acting in compliance with Part C of the SDWA or its
implementing regulations.
40 CFR 144. 17
40 CFR 144.18 Requirements for Class VI wells.
Owners or operators of Class VI wells must obtain a permit. Class
VI wells cannot be authorized by rule to inject carbon dioxide.
40 CFR 144. 18
40 CFR 144.19 Transitioning from Class II to Class VL
Owners or operators that are injecting carbon dioxide for the
primary purpose of long- term storage into an oil and gas reservoir
must apply for and obtain a Class VI geologic sequestration permit
when there is an increased risk to USDWs compared to Class II
operations. In determining if there is an increased risk to USDWs,
the owner or operator must consider the factors specified in
§144.19(b).
40CFR144.19(a)
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Federal Requirement
The Director shall determine when there is an increased risk to
USDWs compared to Class II operations and a Class VI permit is
required. In order to make this determination the Director must
consider the following:
Increase in reservoir pressure within the injection zone(s);
Increase in carbon dioxide injection rates;
Decrease in reservoir production rates;
Distance between the injection zone(s) and USDWs;
Suitability of the Class II area of review delineation;
Quality of abandoned well plugs within the area of review;
The owner's or operator's plan for recovery of carbon dioxide at
the cessation of injection;
The source and properties of injected carbon dioxide; and
Any additional site-specific factors as determined by the Director.
Federal Citation
40CFR144.19(b)
40CFR144.19(b)(l)
40CFR144.19(b)(2)
40CFR144.19(b)(3)
40CFR144.19(b)(4)
40CFR144.19(b)(5)
40CFR144.19(b)(6)
40CFR144.19(b)(7)
40CFR144.19(b)(8)
40CFR144.19(b)(9)
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
SUBPART C-AUTHORIZATION OF UNDERGROUND INJECTION BY RULE
40 CFR 144.22 Existing Class II enhanced recovery and hydrocarbon storage wells.
Duration of well authorization by rule. Well authorization under
this section expires upon the effective date of a permit issued
pursuant to 40 CFR 144.19, 144.25, 144.31, 144.33 or 144.34; after
plugging and abandonment in accordance with an approved
plugging and abandonment plan pursuant to 40 CFR 144.28(c) and
146. 10; and upon submission of a plugging and abandonment
report pursuant to 40 CFR 144.28(k); or upon conversion in
compliance with 40 CFR 144.28(j).
40 CFR 144.22(b)
SUBPART D-AUTHORIZATION BY PERMIT
40 CFR 144.31 Application for a permit; authorization by permit.
Permit application. Unless an underground injection well is
authorized by rule under subpart C of this part, all injection
activities including construction of an injection well are prohibited
until the owner or operator is authorized by permit. An owner or
operator of a well currently authorized by rule must apply for a
40CFR144.31(a)
(See also 145. ll(a)(10))
Note that the last sentence in this provision does not
apply to Class VI programs. It applies to Class I
hazardous programs.
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Federal Requirement
permit under this section unless well authorization by rule was for
the life of the well or project. Authorization by rule for a well or
project for which a permit application has been submitted
terminates for the well or project upon the effective date of the
permit. Procedures for applications, issuance and administration of
emergency permits are found exclusively in § 144.34. A RCRA
permit applying the standards of part 264, subpart C of this chapter
will constitute a UIC permit for hazardous waste injection wells for
which the technical standards in part 146 of this chapter are not
generally appropriate.
Who applies? When a facility or activity is owned by one person
but is operated by another person, it is the operator's duty to obtain
a permit.
Time to apply. Any person who performs or proposes an
underground injection for which a permit is or will be required
shall submit an application to the Director in accordance with the
UIC program as follows:
For existing wells, as expeditiously as practicable and in
accordance with the schedule in any program description under §
145.23(f), but no later than 4 years from the approval or
promulgation of the UIC program.
For new injection wells, except new wells in projects authorized
under § 144.21(d) or authorized by an existing area permit under §
144.33(c), a reasonable time before construction is expected to
begin.
Completeness. The Director shall not issue a permit before
receiving a complete application for a permit except for emergency
permits. An application for a permit is complete when the Director
receives an application form and any supplemental information
which are completed to his or her satisfaction. The completeness of
any application for a permit shall be judged independently of the
status of any other permit application or permit for the same
facility or activity.
Information requirements. All applicants for Class I, II, III, and V
permits shall provide the following information to the Director,
using the application form provided by the Director. Applicants for
Federal Citation
40CFR144.31(b)
(See also 145. ll(a)(10))
40CFR144.31(c)
(See also 145. ll(a)(10))
40CFR144.31(c)(l)
(See also 145. ll(a)(10))
40CFR144.31(c)(2)
(See also 145. ll(a)(10))
40CFR144.31(d)
(See also 145. ll(a)(10))
40CFR144.31(e)
(See also 145. ll(a)(10))
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
Note that emergency permits will not be granted for
Class VI wells.
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Federal Requirement
Class VI permits shall follow the criteria provided in § 146.82 of
this chapter.
The activities conducted by the applicant which require it to obtain
permits under RCRA, UIC, the National Pollution Discharge
Elimination system (NPDES) program under the Clean Water Act,
or the Prevention of Significant Deterioration (PSD) program
under the Clean Air Act.
Name, mailing address, and location of the facility for which the
application is submitted.
Up to four SIC codes which best reflect the principal products or
services provided by the facility.
The operator's name, address, telephone number, ownership status,
and status as Federal, State, private, public, or other entity.
Whether the facility is located on Indian lands.
A listing of all permits or construction approvals received or
applied for under any of the following programs:
Hazardous Waste Management program under RCRA.
UIC program under SDWA.
NPDES program under CWA.
Prevention of Significant Deterioration (PSD) program under the
Clean Air Act.
Nonattainment program under the Clean Air Act.
National Emission Standards for Hazardous Pollutants
(NESHAPS) preconstruction approval under the Clean Air Act.
Ocean dumping permits under the Marine Protection Research and
Sanctuaries Act.
Federal Citation
40CFR144.31(e)(l)
(See also 145. ll(a)(10))
40CFR144.31(e)(2)
(See also 145. ll(a)(10))
40CFR144.31(e)(3)
(See also 145. ll(a)(10))
40CFR144.31(e)(4)
(See also 145. ll(a)(10))
40CFR144.31(e)(5)
(See also 145. ll(a)(10))
40CFR144.31(e)(6)
(See also 145. ll(a)(10))
40CFR144.31(e)(6)(i)
(See also 145.11(a)(10))
40CFR144.31(e)(6)(ii)
(See also 145. ll(a)(10))
40CFR144.31(e)(6)(iii)
(See also 145. ll(a)(10))
40CFR144.31(e)(6)(iv)
(See also 145. ll(a)(10))
40CFR144.31(e)(6)(v)
(See also 145. ll(a)(10))
40CFR144.31(e)(6)(vi)
(See also 145. ll(a)(10))
40CFR144.31(e)(6)(vii)
(See also 145. ll(a)(10))
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
Note that this language is not required for land-locked
states. Coastal states must include this language in their
state regulations.
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Dredge and fill permits under section 404 of CWA.
Other relevant environmental permits, including State permits.
Federal Citation
40CFR144.31(e)(6)(viii)
(See also 145. ll(a)(10))
40CFR144.31(e)(6)(ix)
(See also 145. ll(a)(10))
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
§ 144.32 Signatories to permit applications and reports.
Applications. All permit applications, except those submitted for
Class II wells (see paragraph (b) of this section), shall be signed as
follows:
For a corporation: by a responsible corporate officer. For the
purpose of this section, a responsible corporate officer means;
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
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. NOTE: EPA does not require specific
assignments or delegations of authority to responsible corporate
officers identified in § 144.32(a)(l)(i). The Agency will presume
that these responsible corporate officers have the requisite
authority to sign permit applications unless the corporation has
notified the Director to the contrary. Corporate procedures
governing authority to sign permit applications may provide for
assignment or delegation to applicable corporate positions under §
144. 32(a)(l)(ii) rather than to specific individuals.
For a partnership or sole proprietorship: by a general partner or the
proprietor, respectively; or
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 Federal
agency includes:
The chief executive officer of the agency, or
40 CFR 144.32(a)
(Seealsol45.11(a)(ll))
40CFR144.32(a)(l)
(Seealsol45.11(a)(ll))
40CFR144.32(a)(l)(i)
(Seealsol45.11(a)(ll))
40CFR144.32(a)(l)(ii)
(Seealsol45.11(a)(ll))
40 CFR 144.32(a)(2)
(Seealsol45.11(a)(ll))
40 CFR 144.32(a)(3)
(Seealsol45.11(a)(ll))
40 CFR 144.32(a)(3)(i)
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a senior executive officer having responsibility for the overall
operations of a principal geographic unit of the agency (e.g.,
Regional Administrators of EPA).
Reports. All reports required by permits, other information
requested by the Director, and all permit applications submitted for
Class II wells under § 144.31 shall be signed by a person described
in paragraph (a) of this section, or by a duly authorized
representative of that person. A person is a duly authorized
representative only if:
The authorization is made in writing by a person described in
paragraph (a) of this section;
The authorization specifies either an individual or a position
having responsibility for the 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
The written authorization is submitted to the Director.
Changes to authorization. If an authorization under paragraph (b)
of this section 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
paragraph (b) of this section must be submitted to the Director
prior to or together with any reports, information, or applications to
be signed by an authorized representative.
Certification. Any person signing a document under paragraph (a)
or (b) of this section shall 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
Federal Citation
(Seealsol45.11(a)(ll))
40 CFR 144.32(a)(3)(ii)
(Seealsol45.11(a)(ll))
40 CFR 144.32(b)
(Seealsol45.11(a)(ll))
40CFR144.32(b)(l)
(Seealsol45.11(a)(ll))
40 CFR 144.32(b)(2)
(Seealsol45.11(a)(ll))
40 CFR 144.32(b)(3)
(Seealsol45.11(a)(ll))
40 CFR 144.32(c)
(Seealsol45.11(a)(ll))
40 CFR 144.32(d)
(Seealsol45.11(a)(ll))
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
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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.
40 CFR 144.33 Area permits.
The Director may issue a permit on an area basis, rather than for
each well individually, provided that the permit is for injection
wells:
Used to inject other than hazardous waste; and
Other than Class VI wells.
§ 144.35 Effect of a permit.
Except for Class II and III wells, compliance with a permit during
its term constitutes compliance, for purposes of enforcement, with
Part C of the SDWA. However, a permit may be modified, revoked
and reissued, or terminated during its term for cause as set forth in
§§ 144.39 and 144.40.
The issuance of a permit does not convey any property rights of
any sort, or any exclusive privilege.
The issuance of a permit does not authorize any injury to persons
or property or invasion of other private rights, or any infringement
of State or local law or regulations.
Federal Citation
40 CFR 144.33(a)
(See also 145. ll(a)(12))
40 CFR 144.33(a)(4)
(See also 145. ll(a)(12))
40 CFR 144.33(a)(5)
(See also 145. ll(a)(12))
40 CFR 144.35(a)
(See also 145. ll(a)(14))
40 CFR 144.35(b)
(See also 145. ll(a)(14))
40 CFR 144.35(c)
(See also 145. ll(a)(14))
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
Note that area permits are not allowed for Class VI wells;
area permit provisions are included in this crosswalk only
to show that they are banned for Class VI.
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Federal Citation
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
40 CFR 144.36 Duration of permits.
Permits for Class I and V wells shall be effective for a fixed term
not to exceed 10 years. UIC permits for Class II and III wells shall
be issued for a period up to the operating life of the facility. UIC
permits for Class VI wells shall be issued for the operating life of
the facility and the post-injection site care period. The Director
shall review each issued Class II, III, and VI well UIC permit at
least once every 5 years to determine whether it should be
modified, revoked and reissued, terminated or a minor
modification made as provided in §§144.39, 144.40, or 144.41.
40 CFR 144.36(a)
(Seealsol45.11(a)(15))
40 CFR 144.38 Transfer of permits.
Transfers by modification. Except as provided in paragraph (b) of
this section, a permit may be transferred by the permittee to a new
owner or operator only if the permit has been modified or revoked
and reissued (under § 144.39(b)(2)), or a minor modification made
(under § 144.41(d)), to identify the new permittee and incorporate
such other requirements as may be necessary under the Safe
Drinking Water Act.
Automatic transfers. As an alternative to transfers under paragraph
(a) of this section, any UIC permit for a well not injecting
hazardous waste or injecting carbon dioxide for geologic
sequestration may be automatically transferred to a new permittee
if:
40 CFR 144.38(a)
(See also 145. ll(a)(16))
40 CFR 144.38(b)
Note that automatic transfers are not permitted for Class
VI. This provision is included only to show the language
that prohibits them.
40 CFR 144.39 Modification or revocation and reissuance of permits.
When the Director receives any information (for example, inspects
the facility, receives information submitted by the permittee as
required in the permit (see § 144.51 of this chapter), receives a
request for modification or revocation and reissuance under §
124.5, or conducts a review of the permit file) he or she may
determine whether or not one or more of the causes listed in
paragraphs (a) and (b) of this section for modification or revocation
and reissuance or both exist. If cause exists, the Director may
modify or revoke and reissue the permit accordingly, subject to the
limitations of paragraph (c) of this section, and may request an
updated application if necessary. When a permit is modified, only
the conditions subject to modification are reopened. If a permit is
40 CFR 144.39
(Seealsol45.11(a)(17))
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Federal Citation
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
revoked and reissued, the entire permit is reopened and subject to
revision and the permit is reissued for a new term. See §
124.5(c)(2) of this chapter. If cause does not exist under this
section or § 144.41 of this chapter, the Director shall not modify or
revoke and reissue the permit. If a permit modification satisfies the
criteria in § 144.41 for "minor modifications" the permit may be
modified without a draft permit or public review. Otherwise, a
draft permit must be prepared and other procedures in part 124
must be followed.
Causes for modification. The following are causes for
modification. For Class I hazardous waste injection wells, Class II,
Class III or Class VI wells the following may be causes for
revocation and reissuance as well as modification; and for all other
wells the following may be cause for revocation or reissuance as
well as modification when the permittee requests or agrees.
40 CFR 144.39(a)
(Seealsol45.11(a)(17))
Alterations. There are material and substantial alterations or
additions to the permitted facility or activity which occurred after
permit issuance which justify the application of permit conditions
that are different or absent in the existing permit.
40CFR144.39(a)(l)
(Seealsol45.11(a)(17))
Information. The Director has received information. Permits other
than for Class II and III wells may be modified during their terms
for this cause only if the information was not available at the time
of permit issuance (other than revised regulations, guidance, or test
methods) and would have justified the application of different
permit conditions at the time of issuance. For UIC area permits (§
144.33), this cause shall include any information indicating that
cumulative effects on the environment are unacceptable.
40 CFR 144.39(a)(2)
(Seealsol45.11(a)(17))
Note that area permits are prohibited for Class VI wells.
New regulations. The standards or regulations on which the permit
was based have been changed by promulgation of new or amended
standards or regulations or by judicial decision after the permit was
issued. Permits other than for Class I hazardous waste injection
wells, Class II, Class III or Class VI wells may be modified during
their permit terms for this cause only as follows:
40 CFR 144.39(a)(3)
(Seealsol45.11(a)(17))
Compliance schedules. The Director determines good cause exists
for modification of a compliance schedule, such as an act of God,
strike, flood, or materials shortage or other events over which the
permittee has little or no control and for which there is no
40 CFR 144.39(a)(4)
(Seealsol45.11(a)(17))
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reasonably available remedy. See also § 144.41(c) (minor
modifications).
Basis for modification of Class VI permits. Additionally, for Class
VI wells, whenever the Director determines that permit changes are
necessary based on:
Area of review reevaluations under §146.84(e)(l) of this chapter;
Any amendments to the testing and monitoring plan under
§ 1 46. 90(j) of this chapter;
Any amendments to the injection well plugging plan under
§146.92(c) of this chapter;
Any amendments to the post-injection site care and site closure
plan under §146.93(a)(3) of this chapter;
Any amendments to the emergency and remedial response plan
under §146.94(d) of this chapter; or
A review of monitoring and/or testing results conducted in
accordance with permit requirements.
Causes for modification or revocation and reissuance. The
following are causes to modify or, alternatively, revoke and reissue
a permit:
Cause exists for termination under § 144.40, and the Director
determines that modification or revocation and reissuance is
appropriate.
The Director has received notification (as required in the permit,
see § 144.41(d)) of a proposed transfer of the permit. A permit also
may be modified to reflect a transfer after the effective date of an
automatic transfer (§ 144.38(b)) but will not be revoked and
reissued after the effective date of the transfer except upon the
request of the new permittee.
A determination that the waste being injected is a hazardous waste
as defined in § 261.3 either because the definition has been revised,
or because a previous determination has been changed.
Facility siting. Suitability of the facility location will not be
Federal Citation
40 CFR 144.39(a)(5)
(Seealsol45.11(a)(17))
40 CFR 144.39(a)(5)(i)
(Seealsol45.11(a)(17))
40 CFR 144.39(a)(5)(ii)
(Seealsol45.11(a)(17))
40 CFR 144.39(a)(5)(iii)
(Seealsol45.11(a)(17))
40 CFR 144.39(a)(5)(iv)
(See also 145.11(a)(17))
40 CFR 144.39(a)(5)(v)
(Seealsol45.11(a)(17))
40 CFR 144.39(a)(5)(vi)
(Seealsol45.11(a)(17))
40 CFR 144.39(b)
(Seealsol45.11(a)(17))
40CFR144.39(b)(l)
(Seealsol45.11(a)(17))
40 CFR 144.39(b)(2)
(Seealsol45.11(a)(17))
40 CFR 144.39(b)(3)
(Seealsol45.11(a)(17))
40 CFR 144.39(c)
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
Note that automatic transfers are not permitted for Class
VI wells.
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considered at the time of permit modification or revocation and
reissuance unless new information or standards indicate that a
threat to human health or the environment exists which was
unknown at the time of permit issuance.
Federal Citation
(Seealsol45.11(a)(17))
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
40 CFR 144.40 Termination of permits.
The Director may terminate a permit during its term, or deny a
permit renewal application for the following causes:
Noncompliance by the permittee with any condition of the permit;
The permittee's failure in the application or during the permit
issuance process to disclose fully all relevant facts, or the
permittee's misrepresentation of any relevant facts at any time; or
A determination that the permitted activity endangers human health
or the environment and can only be regulated to acceptable levels
by permit modification or termination;
The Director shall follow the applicable procedures in part 124 in
terminating any permit under this section.
40 CFR 144.40(a)
(See also 145. ll(a)(18))
40CFR144.40(a)(l)
(See also 145.11(a)(18))
40 CFR 144.40(a)(2)
(See also 145. ll(a)(18))
40 CFR 144.40(a)(3)
(See also 145. ll(a)(18))
40 CFR 144.40(b)
(See also 145. ll(a)(18))
40 CFR 144.41 Minor modifications of permits.
Upon the consent of the permittee, the Director may modify a
permit to make the corrections or allowances for changes in the
permitted activity listed in this section, without following the
procedures of part 124. Any permit modification not processed as a
minor modification under this section must be made for cause and
with part 124 draft permit and public notice as required in §144.39.
Minor modifications may only:
Correct typographical errors;
Require more frequent monitoring or reporting by the permittee;
Change an interim compliance date in a schedule of compliance,
provided the new date is not more than 120 days after the date
specified in the existing permit and does not interfere with
attainment of the final compliance date requirement; or
Allow for a change in ownership or operational control of a facility
where the Director determines that no other change in the permit is
40 CFR 144.41
40 CFR 144.41(a)
40 CFR 144.41(b)
40 CFR 144.41(c)
40 CFR 144.41(d)
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necessary, provided that a written agreement containing a specific
date for transfer of permit responsibility, coverage, and liability
between the current and new permittees has been submitted to the
Director.
Change quantities or types of fluids injected which are within the
capacity of the facility as permitted and, in the judgment of the
Director, would not interfere with the operation of the facility or its
ability to meet conditions described in the permit and would not
change its classification.
Change construction requirements approved by the Director
pursuant to § 144.52(a)(l) (establishing UIC permit conditions),
provided that any such alteration shall comply with the
requirements of this part and part 146.
Amend a Class VI injection well testing and monitoring plan,
plugging plan, post-injection site care and site closure plan, or
emergency and remedial response plan where the modifications
merely clarify or correct the plan, as determined by the Director.
Federal Citation
40 CFR 144.41(e)
40 CFR 144.41(fj
40 CFR 144.41(h)
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
SUBPART E-PERMIT CONDITIONS
40 CFR 144.51 Conditions applicable to all permits.
The following conditions apply to all UIC permits. All conditions
applicable to all permits shall be incorporated into the permits
either expressly or by reference. If incorporated by reference, a
specific citation to these regulations (or the corresponding
approved State regulations) must be given in the permit.
Duty to comply. The permittee must comply with all conditions of
this permit. Any permit noncompliance constitutes a violation of
the Safe Drinking Water Act and is grounds for enforcement
action; for permit termination, revocation and reissuance, or
modification; or for denial of a permit renewal application; except
that the permittee need not comply with the provisions of this
permit to the extent and for the duration such noncompliance is
authorized in an emergency permit under §144.34.
Duty to reapply. If the permittee wishes to continue an activity
regulated by this permit after the expiration date of this permit, the
permittee must apply for and obtain a new permit.
40 CFR 144. 51
(See also 145. ll(a)(19))
40CFR144.51(a)
(See also 145. ll(a)(19))
40CFR144.51(b)
(See also 145. ll(a)(19))
Note that emergency permits mentioned in this provision
will not be granted for Class VI wells.
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Need to halt or reduce activity not a defense. It shall not be a
defense for a permittee in an enforcement action that it would have
been necessary to halt or reduce the permitted activity in order to
maintain compliance with the conditions of this permit.
Duty to mitigate. The permittee shall take all reasonable steps to
minimize or correct any adverse impact on the environment
resulting from noncompliance with this permit.
Proper operation and maintenance. The permittee shall at all times
properly operate and maintain all facilities and systems of
treatment and control (and related appurtenances) which are
installed or used by the permittee to achieve compliance with the
conditions of this permit. Proper operation and maintenance
includes effective performance, adequate funding, adequate
operator staffing and training, and adequate laboratory and process
controls, including appropriate quality assurance procedures. This
provision requires the operation of back-up or auxiliary facilities or
similar systems only when necessary to achieve compliance with
the conditions of the permit.
Permit actions. This permit may be modified, revoked and
reissued, or terminated for cause. The filing of a request by the
permittee for a permit modification, revocation and reissuance, or
termination, or a notification of planned changes or anticipated
noncompliance, does not stay any permit condition.
Property rights. This permit does not convey any property rights of
any sort, or any exclusive privilege.
Duty to provide information. The permittee shall furnish to the
Director, within a time specified, any information which the
Director may request to determine whether cause exists for
modifying, revoking and reissuing, or terminating this permit, or to
determine compliance with this permit. The permittee shall also
furnish to the Director, upon request, copies of records required to
be kept by this permit.
Inspection and entry. The permittee shall allow the Director, or an
authorized representative, upon the presentation of credentials and
other documents as may be required by law, to:
Enter upon the permittee's premises where a regulated facility or
Federal Citation
40CFR144.51(c)
(See also 145. ll(a)(19))
40CFR144.51(d)
(See also 145. ll(a)(19))
40CFR144.51(e)
(See also 145. ll(a)(19))
40 CFR 144.51(fj
(See also 145. ll(a)(19))
40CFR144.51(g)
(See also 145. ll(a)(19))
40CFR144.51(h)
(See also 145. ll(a)(19))
40CFR144.51(i)
(See also 145. ll(a)(19))
40CFR144.51(i)(l)
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
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activity is located or conducted, or where records must be kept
under the conditions of this permit;
Have access to and copy, at reasonable times, any records that
must be kept under the conditions of this permit;
Inspect at reasonable times any facilities, equipment (including
monitoring and control equipment), practices, or operations
regulated or required under this permit; and
Sample or monitor at reasonable times, for the purposes of assuring
permit compliance or as otherwise authorized by the SDWA, any
substances or parameters at any location.
Monitoring and records. (1) Samples and measurements taken for
the purpose of monitoring shall be representative of the monitored
activity.
The permittee shall retain records of all monitoring information,
including the following:
Calibration and maintenance records and all original strip chart
recordings for continuous monitoring instrumentation, copies of all
reports required by this permit, and records of all data used to
complete the application for this permit, for a period of at least 3
years from the date of the sample, measurement, report, or
application. This period may be extended by request of the
Director at any time; and
The nature and composition of all injected fluids until three years
after the completion of any plugging and abandonment procedures
specified under §144.52(a)(6), or under part 146 subpart G as
appropriate. The Director may require the owner or operator to
deliver the records to the Director at the conclusion of the retention
period.
Records of monitoring information shall include:
The date, exact place, and time of sampling or measurements;
The individual(s) who performed the sampling or measurements;
Federal Citation
(See also 145. ll(a)(19))
40CFR144.51(i)(2)
(See also 145. ll(a)(19))
40CFR144.51(i)(3)
(See also 145.11(a)(19))
40CFR144.51(i)(4)
(See also 145. ll(a)(19))
40CFR144.51(j)(l)
(See also 145. ll(a)(19))
40CFR144.51(j)(2)
(See also 145. ll(a)(19))
40CFR144.51(j)(2)(i)
(See also 145. ll(a)(19))
40CFR144.51(j)(2)(ii)
(See also 145. ll(a)(19))
40CFR144.51(j)(3)
(See also 145. ll(a)(19))
40CFR144.51(j)(3)(i)
(See also 145. ll(a)(19))
40CFR144.51(j)(3)(ii)
(See also 145. ll(a)(19))
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
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The date(s) analyses were performed;
The individual(s) who performed the analyses;
The analytical techniques or methods used; and
The results of such analyses.
Owners or operators of Class VI wells shall retain records as
specified in subpart H of part 146, including §§146.84(g),
146.91(fj, 146.92(d), 146.93(f), and 146.93(h) of this chapter.
Signatory requirement. All applications, reports, or information
submitted to the Administrator shall be signed and certified. (See
§144.32.)
Reporting requirements. (1) Planned changes. The permittee shall
give notice to the Director as soon as possible of any planned
physical alterations or additions to the permitted facility.
Anticipated noncompliance. The permittee shall give advance
notice to the Director of any planned changes in the permitted
facility or activity which may result in noncompliance with permit
requirements.
Transfers. This permit is not transferable to any person except after
notice to the Director. The Director may require modification or
revocation and reissuance of the permit to change the name of the
permittee and incorporate such other requirements as may be
necessary under the Safe Drinking Water Act. (See §144.38; in
some cases, modification or revocation and reissuance is
mandatory.)
Monitoring reports. Monitoring results shall be reported at the
intervals specified elsewhere in this permit.
Compliance schedules. Reports of compliance or noncompliance
with, or any progress reports on, interim and final requirements
contained in any compliance schedule of this permit shall be
submitted no later than 30 days following each schedule date.
Federal Citation
40CFR144.51(j)(3)(iii)
(See also 145. ll(a)(19))
40CFR144.51(j)(3)(iv)
(See also 145.11(a)(19))
40CFR144.51(j)(3)(v)
(See also 145. ll(a)(19))
40CFR144.51(j)(3)(vi)
(See also 145. ll(a)(19))
40CFR144.51(j)(4)
(See also 145. ll(a)(19))
40CFR144.51(k)
(See also 145. ll(a)(19))
40CFR144.51(1)(1)
(See also 145. ll(a)(19))
40CFR144.51(1)(2)
(See also 145. ll(a)(19))
40CFR144.51(1)(3)
(See also 145.11(a)(19))
40CFR144.51(1)(4)
(See also 145. ll(a)(19))
40CFR144.51(1)(5)
(See also 145. ll(a)(19))
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
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Twenty-four hour reporting. The permittee shall report any
noncompliance which may endanger health or the environment,
including:
Any monitoring or other information which indicates that any
contaminant may cause an endangerment to a USDW; or
Any noncompliance with a permit condition or malfunction of the
injection system which may cause fluid migration into or between
USDWs.
Any information shall be provided orally within 24 hours from the
time the permittee becomes aware of the circumstances. A written
submission shall also be provided within 5 days of the time the
permittee becomes aware of the circumstances. The written
submission shall contain a description of the noncompliance and its
cause, the period of noncompliance, including exact dates and
times, and if the noncompliance has not been corrected, the
anticipated time it is expected to continue; and steps taken or
planned to reduce, eliminate, and prevent reoccurrence of the
noncompliance.
Other noncompliance. The permittee shall report all instances of
noncompliance not reported under paragraphs (1) (4), (5), and (6)
of this section, at the time monitoring reports are submitted. The
reports shall contain the information listed in paragraph (1)(6) of
this section.
Other information. Where the permittee becomes aware that it
failed to submit any relevant facts in a permit application, or
submitted incorrect information in a permit application or in any
report to the Director, it shall promptly submit such facts or
information.
Requirements prior to commencing injection. Except for all new
wells authorized by an area permit under § 144. 33 (c), a new
injection well may not commence injection until construction is
complete, and
The permittee has submitted notice of completion of construction
to the Director; and
The Director has inspected or otherwise reviewed the new injection
Federal Citation
40CFR144.51(1)(6)
(See also 145. ll(a)(19))
40CFR144.51(l)(6)(i)
(See also 145. ll(a)(19))
40CFR144.51(l)(6)(ii)
(See also 145. ll(a)(19))
40CFR144.51(1)(7)
(See also 145. ll(a)(19))
40CFR144.51(1)(8)
(See also 145. ll(a)(19))
40CFR144.51(m)
(See also 145. ll(a)(19))
40CFR144.51(m)(l)
(See also 145. ll(a)(19))
40CFR144.51(m)(2)(i)
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
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Federal Citation
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
well and finds it is in compliance with the conditions of the permit;
(See also 145.ll(a)(19))
The permittee has not received notice form the Director of his or
her intent to inspect or otherwise review the new injection well
within 13 days of the date of the notice in paragraph (m)(l) of this
section, in which case prior inspection or review is waived and the
permittee may commence injection. The Director shall include in
his notice a reasonable time period in which he shall inspect the
well.
40CFR144.51(m)(2)(ii)
(See also 145.ll(a)(19))
The permittee shall notify the Director at such times as the permit
requires before conversion or abandonment of the well or in the
case of area permits before closure of the project.
40CFR144.51(n)
(See also 145.ll(a)(19))
A Class I, II or III permit shall include and a Class V permit may
include conditions which meet the applicable requirements of
§146.10 of this chapter to ensure that plugging and abandonment
of the well will not allow the movement of fluids into or between
USDWs. Where the plan meets the requirements of §146.10 of this
chapter, the Director shall incorporate the plan into the permit as a
permit condition. Where the Director's review of an application
indicates that the permittee's plan is inadequate, the Director may
require the applicant to revise the plan, prescribe conditions
meeting the requirements of this paragraph, or deny the permit.
A Class VI permit shall include conditions which meet the
requirements set forth in §146.92 of this chapter. Where the plan
meets the requirements of§146.92ofthis chapter, the Director
shall incorporate it into the permit as a permit condition. For
purposes of this paragraph, temporary or intermittent cessation of
injection operations is not abandonment.
40 CFR 144.51(o)
(See also 145.ll(a)(19))
Duty to establish and maintain mechanical integrity. The owner or
operator of a Class I, II, III or VI well permitted under this part
shall establish mechanical integrity prior to commencing injection
or on a schedule determined by the Director. Thereafter the owner
or operator of Class I, II, and III wells must maintain mechanical
integrity as defined in §146.8 of this chapter and the owner or
operator of Class VI wells must maintain mechanical integrity as
defined in §146.89 of this chapter.
40CFR144.51(q)(l)
(See also 145.ll(a)(19))
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Federal Citation
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
When the Director determines that a Class I, II, III or VI well lacks
mechanical integrity pursuant to §§146.8 or 146.89 of this chapter
for Class VI of this chapter, he/she shall give written notice of
his/her determination to the owner or operator. Unless the Director
requires immediate cessation, the owner or operator shall cease
injection into the well within 48 hours of receipt of the Director's
determination. The Director may allow plugging of the well
pursuant to the requirements of § 146.10 of this chapter or require
the permittee to perform such additional construction, operation,
monitoring, reporting and corrective action as is necessary to
prevent the movement of fluid into or between USDWs caused by
the lack of mechanical integrity. The owner or operator may
resume injection upon written notification from the Director that
the owner or operator has demonstrated mechanical integrity
pursuant to §146.8 of this chapter.
40CFR144.51(q)(2)
(See also 145.ll(a)(19))
40 CFR 144.52 Establishing permit conditions.
In addition to conditions required in §144.51, the Director shall
establish conditions, as required on a case-by-case basis under
§144.36 (duration of permits), §144.53(a) (schedules of
compliance), §144.54 (monitoring). Permits for owners or
operators of Class VI injection wells shall include conditions
meeting the requirements of subpart H of part 146. Permits for
other wells shall contain the following requirements, when
applicable.
40 CFR 144.52(a)
(Seealsol45.11(a)(20))
Construction requirements as set forth in part 146. Existing wells
shall achieve compliance with such requirements according to a
compliance schedule established as a permit condition. The owner
or operator of a proposed new injection well shall submit plans for
testing, drilling, and construction as part of the permit application.
Except as authorized by an area permit, no construction may
commence until a permit has been issued containing construction
requirements (see § 144.11). New wells shall be in compliance with
these requirements prior to commencing injection operations.
Changes in construction plans during construction may be
approved by the Administrator as minor modifications (§144.41).
No such changes may be physically incorporated into construction
40CFR144.52(a)(l)
(Seealsol45.11(a)(20))
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of the well prior to approval of the modification by the Director.
Corrective action as set forth in §§144.55, 146.7, and 146.84 of this
chapter.
Operation requirements as set forth in 40 CFR part 146; the permit
shall establish any maximum injection volumes and/or pressures
necessary to assure that fractures are not initiated in the confining
zone, that injected fluids do not migrate into any underground
source of drinking water, that formation fluids are not displaced
into any underground source of drinking water, and to assure
compliance with the part 146 operating requirements.
Monitoring and reporting requirements as set forth in 40 CFR part
146. The permittee shall be required to identify types of tests and
methods used to generate the monitoring data.
Financial responsibility, (i) The permittee, including the transferor
of a permit, is required to demonstrate and maintain financial
responsibility and resources to close, plug, and abandon the
underground injection operation in a manner prescribed by the
Director until:
The well has been plugged and abandoned in accordance with an
approved plugging and abandonment plan pursuant to §§144.51(o),
146. 10, and 146.92 of this chapter, and submitted a plugging and
abandonment report pursuant to §144.51(p); or
The well has been converted in compliance with the requirements
of§144.51(n);or
The transferor of a permit has received notice from the Director
that the owner or operator receiving transfer of the permit, the new
permittee, has demonstrated financial responsibility for the well.
The permittee shall show evidence of such financial responsibility
to the Director by the submission of a surety bond, or other
adequate assurance, such as a financial statement or other materials
acceptable to the Director. The owner or operator of a well
injecting hazardous waste must comply with the financial
responsibility requirements of subpart F of this part.
For Class VI wells, the permittee shall show evidence of such
Federal Citation
40 CFR 144.52(a)(2)
(Seealsol45.11(a)(20))
40 CFR 144.52(a)(3)
(Seealsol45.11(a)(20))
40 CFR 144.52(a)(5)
(Seealsol45.11(a)(20))
40 CFR 144.52(a)(7)(i)
(Seealsol45.11(a)(20))
40 CFR 144.52(a)(7)(i)(A)
(Seealsol45.11(a)(20))
40 CFR 144.52(a)(7)(i)(B)
(Seealsol45.11(a)(20))
40 CFR 144.52(a)(7)(i)(C)
(Seealsol45.11(a)(20))
40 CFR 144.52(a)(7)(ii)
(Seealsol45.11(a)(20))
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financial responsibility to the Director by the submission of a
qualifying instrument (see §146.85(a) of this chapter), such as a
financial statement or other materials acceptable to the Director.
The owner or operator of a Class VI well must comply with the
financial responsibility requirements set forth in §146.85 of this
chapter.
Mechanical integrity. A permit for any Class I, II, III or VI well or
injection project which lacks mechanical integrity shall include,
and for any Class V well may include, a condition prohibiting
injection operations until the permittee shows to the satisfaction of
the Director under §§146.8, or 146.89 for Class VI, that the well
has mechanical integrity.
Additional conditions. The Director shall impose on a case-by-case
basis such additional conditions as are necessary to prevent the
migration of fluids into underground sources of drinking water.
In addition to conditions required in all permits the Director shall
establish conditions in permits as required on a case-by-case basis,
to provide for and assure compliance with all applicable
requirements of the SDWA and parts 144, 145, 146 and 124.
For a State issued permit, an applicable requirement is a State
statutory or regulatory requirement which takes effect prior to final
administrative disposition of the permit. For State and EPA
administered programs, an applicable requirement is also any
requirement which takes effect prior to the modification or
revocation and reissuance of a permit, to the extent allowed in
§144.39.
New or reissued permits, and to the extent allowed under §144.39
modified or revoked and reissued permits, shall incorporate each of
the applicable requirements referenced in §144.52.
Incorporation. All permit conditions shall be incorporated either
expressly or by reference. If incorporated by reference, a specific
citation to the applicable regulations or requirements must be given
in the permit.
Federal Citation
40 CFR 144.52(a)(8)
(Seealsol45.11(a)(20))
40 CFR 144.52(a)(9)
(Seealsol45.11(a)(20))
40CFR144.52(b)(l)
(Seealsol45.11(a)(20))
40 CFR 144.52(b)(2)
(Seealsol45.11(a)(20))
40 CFR 144.52(b)(3)
(Seealsol45.11(a)(20))
40 CFR 144.52(c)
(Seealsol45.11(a)(20))
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
40 CFR 144.53 Schedule of compliance.
General. The permit may, when appropriate, specify a schedule of
40 CFR 144.53(a)
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compliance leading to compliance with the SDWA and parts 144,
145, 146, and 124.
Time for compliance. Any schedules of compliance shall require
compliance as soon as possible, and in no case later than 3 years
after the effective date of the permit.
Interim dates. Except as provided in paragraph (b)(l)(ii) of this
section, if a permit establishes a schedule of compliance which
exceeds 1 year from the date of permit issuance, the schedule shall
set forth interim requirements and the dates for their achievement.
The time between interim dates shall not exceed 1 year.
If the time necessary for completion of any interim requirement is
more than 1 year and is not readily divisible into stages for
completion, the permit shall specify interim dates for the
submission of reports of progress toward completion of the interim
requirements and indicate a projected completion date.
Reporting. The permit shall be written to require that if paragraph
(a)(l) of this section is applicable, progress reports be submitted no
later than 30 days following each interim date and the final date of
compliance.
Federal Citation
(Seealsol45.11(a)(21))
40CFR144.53(a)(l)
(Seealsol45.11(a)(21))
40 CFR 144.53(a)(2)
(Seealsol45.11(a)(21))
40 CFR 144.53(a)(2)(i)
(Seealsol45.11(a)(21))
40 CFR 144.53(a)(2)(ii)
(Seealsol45.11(a)(21))
40 CFR 144.53(a)(3)
(Seealsol45.11(a)(21))
State Citation and
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40 CFR 144.54 Requirements for recording and reporting of monitoring results.
All permits shall specify:
Requirements concerning the proper use, maintenance, and
installation, when appropriate, of monitoring equipment or
methods (including biological monitoring methods when
appropriate);
Required monitoring including type, intervals, and frequency
sufficient to yield data which are representative of the monitored
activity including when appropriate, continuous monitoring;
Applicable reporting requirements based upon the impact of the
regulated activity and as specified in part 146. Reporting shall be
no less frequent than specified in the above regulations.
40 CFR 144.54(a)
(Seealsol45.11(a)(22))
40 CFR 144.54(b)
(Seealsol45.11(a)(22))
40 CFR 144.54(c)
(Seealsol45.11(a)(22))
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Federal Citation
State Citation and
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(document title, page
number, section/paragraph)
Different From Federal Requirement?
PART 146-UNDERGROUND INJECTION CONTROL PROGRAM: CRITERIA AND STANDARDS
SUBPART A-GENERAL PROVISIONS
40 CFR 146.1 Applicability and scope.
(a) This part sets forth technical criteria and standards for the
Underground Injection Control Program. This part should be read
in conjunction with 40 CFR parts 124, 144, and 145, which also
apply to UIC programs. 40 CFR part 144 defines the regulatory
framework of EPA administered permit programs. 40 CFR part
145 describes the elements of an appro vable State program and
procedures for EPA approval of State participation in the permit
programs. 40 CFR part 124 describes the procedures the Agency
will use for issuing permits under the covered programs. Certain of
these procedures will also apply to State-administered programs as
specified in 40 CFR part 145.
Upon the approval, partial approval or promulgation of a State UIC
program by the Administrator, any underground injection which is
not authorized by the Director by rule or by permit is unlawful.
40CFR146.1(a)
40CFR146.1(b)
Note that states are not expected to have language
equivalent to this section. This provision is included here
to provide background on the UIC program.
40 CFR 146.3 Definitions
Abandoned well means a well whose use has been permanently
discontinued or which is in a state of disrepair such that it cannot
be used for its intended purpose or for observation purposes.
Casing means a pipe or tubing of appropriate material, of varying
diameter and weight, lowered into a borehole during or after
drilling in order to support the sides of the hole and thus prevent
the walls from caving, to prevent loss of drilling mud into porous
ground, or to prevent water, gas, or other fluid from entering or
leaving the hole.
Cementing means the operation whereby a cement slurry is
pumped into a drilled hole and/or forced behind the casing.
Effective date of a UIC program means the date that a State UIC
program is approved or established by the Administrator.
Experimental technology means a technology which has not been
proven feasible under the conditions in which it is being tested.
Fault means a surface or zone of rock fracture along which there
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has been displacement.
Flow rate means the volume per time unit given to the flow of
gases or other fluid substance which emerges from an orifice,
pump, turbine or passes along a conduit or channel.
Lithology means the description of rocks on the basis of their
physical and chemical characteristics.
Owner or operator means the owner or operator of any facility or
activity subject to regulation under the RCRA, UIC, NPDES, or
404 programs.
Packer means a device lowered into a well to produce a fluid-tight
seal.
Permit means an authorization, license, or equivalent control
document issued by EPA or an "approved State" to implement the
requirements of this part and parts 124, 144, and 145. Permit does
not include RCRA interim status (§122.23), UIC authorization by
rule (§§144.21 to 144.26 and 144.15), or any permit which has not
yet been the subject of final agency action, such as a "draft permit"
or a "proposed permit."
Plugging means the act or process of stopping the flow of water,
oil or gas into or out of a formation through a borehole or well
penetrating that formation.
Plugging record means a systematic listing of permanent or
temporary abandonment of water, oil, gas, test, exploration and
waste injection wells, and may contain a well log, description of
amounts and types of plugging material used, the method
employed for plugging, a description of formations which are
sealed and a graphic log of the well showing formation location,
formation thickness, and location of plugging structures.
Pressure means the total load or force per unit area acting on a
surface.
Sole or principal source aquifer means an aquifer which has been
designated by the Administrator pursuant to section 1424 (a) or (e)
of the SDWA.
Surface casing means the first string of well casing to be installed
Federal Citation
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Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
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in the well.
Well plug means a watertight and gaslight seal installed in a
borehole or well to prevent movement of fluids.
Well stimulation means several processes used to clean the well
bore, enlarge channels, and increase pore space in the interval to be
injected thus making it possible for wastewater to move more
readily into the formation, and includes (1) surging, (2) jetting, (3)
blasting, (4) acidizing, (5) hydraulic fracturing.
Well monitoring means the measurement by on-site instruments or
laboratory methods, of the quality of water in a well
Federal Citation
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
40 CFR 146.4 Criteria for exempted aquifers.
An aquifer or a portion thereof which meets the criteria for an
"underground source of drinking water" in §146.3 may be
determined under §144.7 of this chapter to be an "exempted
aquifer" for Class I-V wells if it meets the criteria in paragraphs
(a) through (c) of this section. Class VI wells must meet the criteria
under paragraph (d) of this section:
It does not currently serve as a source of drinking water; and
It cannot now and will not in the future serve as a source of
drinking water because:
It is mineral, hydrocarbon or geothermal energy producing, or can
be demonstrated by a permit applicant as part of a permit
application for a Class II or III operation to contain minerals or
hydrocarbons that considering their quantity and location are
expected to be commercially producible.
It is situated at a depth or location which makes recovery of water
for drinking water purposes economically or technologically
impractical;
It is so contaminated that it would be economically or
technologically impractical to render that water fit for human
consumption; or
It is located over a Class III well mining area subject to subsidence
or catastrophic collapse; or
40 CFR 146.4
40 CFR 146.4(a)
40 CFR 146.4(b)
40CFR146.4(b)(l)
40 CFR 146.4(b)(2)
40 CFR 146.4(b)(3)
40 CFR 146.4(b)(4)
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The total dissolved solids content of the ground water is more than
3,000 and less than 10,000 mg/1 and it is not reasonably expected
to supply a public water system.
The areal extent of an aquifer exemption for a Class II enhanced oil
recovery or enhanced gas recovery well may be expanded for the
exclusive purpose of Class VI injection for geologic sequestration
under §144. 7(d) of this chapter if it meets the following criteria:
It does not currently serve as a source of drinking water; and
The total dissolved solids content of the ground water is more than
3,000 mg/1 and less than 10,000 mg/1; and
It is not reasonably expected to supply a public water system.
Federal Citation
40 CFR 146.4(c)
40 CFR 146.4(d)
40CFR146.4(d)(l)
40 CFR 146.4(d)(2)
40 CFR 146.4(d)(3)
State Citation and
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(document title, page
number, section/paragraph)
Different From Federal Requirement?
SUBPART H-CRITERIA AND STANDARDS APPLICABLE TO CLASS VI WELLS
40 CFR 146.81 Applicability.
This subpart establishes criteria and standards for underground
injection control programs to regulate any Class VI carbon dioxide
geologic sequestration injection wells.
This subpart applies to any wells used to inject carbon dioxide
specifically for the purpose of geologic sequestration, i.e., the long-
term containment of a gaseous, liquid, or supercritical carbon
dioxide stream in subsurface geologic formations.
This subpart also applies to owners or operators of permit- or rule-
authorized Class I, Class II, or Class V experimental carbon
dioxide injection projects who seek to apply for a Class VI
geologic sequestration permit for their well or wells. Owners or
operators seeking to convert existing Class I, Class II, or Class V
experimental wells to Class VI geologic sequestration wells must
demonstrate to the Director that the wells were engineered and
constructed to meet the requirements at 40 CFR 146.86(a) and
ensure protection of USDWs, in lieu of requirements at 40 CFR
146.86(b) and 146.87(a). By December 10, 201 1, owners or
operators of either Class I wells previously permitted for the
purpose of geologic sequestration or Class V experimental
technology wells no longer being used for experimental purposes
that will continue injection of carbon dioxide for the purpose of GS
40 CFR 146.81(a)
40 CFR 146.81(b)
40 CFR 146.81(c)
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must apply for a Class VI permit. A converted well must still meet
all other requirements under part 146.
Definitions. The following definitions apply to this subpart. To the
extent that these definitions conflict with those in 40 CFR 144.3 or
146.3, these definitions govern for Class VI wells: area of review,
carbon dioxide plume, carbon dioxide stream, confining zone,
corrective action, geologic sequestration, geologic sequestration
project, injection zone, post-injection site care, pressure front, site
closure, transmissive fault or fracture.
40 CFR 146.82 Required Class VI permit information.
This section sets forth the information which must be considered
by the Director in authorizing Class VI wells. For converted Class
I, Class II, or Class V experimental wells, certain maps, cross-
sections, tabulations of wells within the area of review and other
data may be included in the application by reference provided they
are current, readily available to the Director, and sufficiently
identified to be retrieved. In cases where EPA issues the permit, all
the information in this section must be submitted to the Regional
Administrator.
Prior to the issuance of a permit for the construction of a new Class
VI well or the conversion of an existing Class I, Class II, or Class
V well to a Class VI well, the owner or operator shall submit,
pursuant to 40 CFR 146.91(e), and the Director shall consider the
following:
Information required in 40 CFR 144.31 (e)(l) through (6);
A map showing the injection well for which a permit is sought and
the applicable area of review consistent with 40 CFR 146.84.
Within the area of review, the map must show the number or name,
and location of all injection wells, producing wells, abandoned
wells, plugged wells or dry holes, deep stratigraphic boreholes,
State- or EPA-approved subsurface cleanup sites, surface bodies of
water, springs, mines (surface and subsurface), quarries, water
wells, other pertinent surface features including structures intended
for human occupancy, State, Tribal, and Territory boundaries, and
roads. The map should also show faults, if known or suspected.
Only information of public record is required to be included on this
Federal Citation
40 CFR 146.81(d)
40 CFR 146.82
40 CFR 146.82(a)
40CFR146.82(a)(l)
40 CFR 146.82(a)(2)
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(document title, page
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map;
Information on the geologic structure and hydrogeologic properties
of the proposed storage site and overlying formations, including:
Maps and cross sections of the area of review;
The location, orientation, and properties of known or suspected
faults and fractures that may transect the confining zone(s) in the
area of review and a determination that they would not interfere
with containment;
Data on the depth, areal extent, thickness, mineralogy, porosity,
permeability, and capillary pressure of the injection and confining
zone(s); including geology/facies changes based on field data
which may include geologic cores, outcrop data, seismic surveys,
well logs, and names and lithologic descriptions;
Geomechanical information on fractures, stress, ductility, rock
strength, and in situ fluid pressures within the confining zone(s);
Information on the seismic history including the presence and
depth of seismic sources and a determination that the seismicity
would not interfere with containment; and
Geologic and topographic maps and cross sections illustrating
regional geology, hydrogeology, and the geologic structure of the
local area.
A tabulation of all wells within the area of review which penetrate
the injection or confining zone(s). Such data must include a
description of each well's type, construction, date drilled, location,
depth, record of plugging and/or completion, and any additional
information the Director may require;
Maps and stratigraphic cross sections indicating the general
vertical and lateral limits of all USDWs, water wells and springs
within the area of review, their positions relative to the injection
zone(s), and the direction of water movement, where known;
Baseline geochemical data on subsurface formations, including all
USDWs in the area of review,
Proposed operating data for the proposed geologic sequestration
site:
Federal Citation
40 CFR 146.82(a)(3)
40 CFR 146.82(a)(3)(i)
40 CFR 146.82(a)(3)(ii)
40 CFR 146.82(a)(3)(iii)
40 CFR 146.82(a)(3)(iv)
40 CFR 146.82(a)(3)(v)
40 CFR 146.82(a)(3)(vi)
40 CFR 146.82(a)(4)
40 CFR 146.82(a)(5)
40 CFR 146.82(a)(6)
40 CFR 146.82(a)(7)
State Citation and
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(document title, page
number, section/paragraph)
Different From Federal Requirement?
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Average and maximum daily rate and volume and/or mass and
total anticipated volume and/or mass of the carbon dioxide stream;
Average and maximum injection pressure;
The source(s) of the carbon dioxide stream; and
An analysis of the chemical and physical characteristics of the
carbon dioxide stream.
Proposed pre-operational formation testing program to obtain an
analysis of the chemical and physical characteristics of the
injection zone(s) and confining zone(s) and that meets the
requirements at 40 CFR 146.87;
Proposed stimulation program, a description of stimulation fluids
to be used and a determination that stimulation will not interfere
with containment;
Proposed procedure to outline steps necessary to conduct injection
operation;
Schematics or other appropriate drawings of the surface and
subsurface construction details of the well;
Injection well construction procedures that meet the requirements
of 40 CFR 146.86;
Proposed area of review and corrective action plan that meets the
requirements under 40 CFR 146.84;
A demonstration, satisfactory to the Director, that the applicant has
met the financial responsibility requirements under 40 CFR
146.85;
Proposed testing and monitoring plan required by 40 CFR 146.90;
Proposed injection well plugging plan required by 40 CFR
146.92(b);
Proposed post-injection site care and site closure plan required by
40 CFR 146.93(a);
At the Director's discretion, a demonstration of an alternative post-
injection site care timeframe required by 40 CFR 146.93(c);
Proposed emergency and remedial response plan required by 40
Federal Citation
40 CFR 146.82(a)(7)(i)
40 CFR 146.82(a)(7)(ii)
40 CFR 146.82(a)(7)(iii)
40 CFR 146.82(a)(7)(iv)
40 CFR 146.82(a)(8)
40 CFR 146.82(a)(9)
40 CFR 146.82(a)(10)
40CFR146.82(a)(ll)
40 CFR 146.82(a)(12)
40CFR146.82(a)(13)
40 CFR 146.82(a)(14)
40CFR146.82(a)(15)
40 CFR 146.82(a)(16)
40 CFR 146.82(a)(17)
40CFR146.82(a)(18)
40CFR146.82(a)(19)
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(document title, page
number, section/paragraph)
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CFR 146.94(a);
A list of contacts, submitted to the Director, for those States,
Tribes, and Territories identified to be within the area of review of
the Class VI project based on information provided in paragraph
(a)(2) of this section; and
Any other information requested by the Director.
The Director shall notify, in writing, any States, Tribes, or
Territories within the area of review of the Class VI project based
on information provided in paragraphs (a)(2) and (a)(20) of this
section of the permit application and pursuant to the requirements
at40CFR145.23(f)(13).
Prior to granting approval for the operation of a Class VI well, the
Director shall consider the following information:
The final area of review based on modeling, using data obtained
during logging and testing of the well and the formation as
required by paragraphs (c)(2), (3), (4), (6), (7), and (10) of this
section;
Any relevant updates, based on data obtained during logging and
testing of the well and the formation as required by paragraphs
(c)(3), (4), (6), (7), and (10) of this section, to the information on
the geologic structure and hydrogeologic properties of the
proposed storage site and overlying formations, submitted to
satisfy the requirements of paragraph (a)(3) of this section;
Information on the compatibility of the carbon dioxide stream with
fluids in the injection zone(s) and minerals in both the injection
and the confining zone(s), based on the results of the formation
testing program, and with the materials used to construct the well;
The results of the formation testing program required at paragraph
(a)(8) of this section;
Final injection well construction procedures that meet the
requirements of 40 CFR 146.86;
The status of corrective action on wells in the area of review;
All available logging and testing program data on the well required
by 40 CFR 146.87;
Federal Citation
40 CFR 146.82(a)(20)
40CFR146.82(a)(21)
40 CFR 146.82(b)
40 CFR 146.82(c)
40CFR146.82(c)(l)
40 CFR 146.82(c)(2)
40 CFR 146.82(c)(3)
40 CFR 146.82(c)(4)
40 CFR 146.82(c)(5)
40 CFR 146.82(c)(6)
40 CFR 146.82(c)(7)
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A demonstration of mechanical integrity pursuant to 40 CFR
146.89;
Any updates to the proposed area of review and corrective action
plan, testing and monitoring plan, injection well plugging plan,
post-injection site care and site closure plan, or the emergency and
remedial response plan submitted under paragraph (a) of this
section, which are necessary to address new information collected
during logging and testing of the well and the formation as
required by all paragraphs of this section, and any updates to the
alternative post-injection site care timeframe demonstration
submitted under paragraph (a) of this section, which are necessary
to address new information collected during the logging and testing
of the well and the formation as required by all paragraphs of this
section; and
Any other information requested by the Director.
Owners or operators seeking a waiver of the requirement to inject
below the lowermost USDW must also refer to 40 CFR 146.95 and
submit a supplemental report, as required at 40 CFR 146.95(a).
The supplemental report is not part of the permit application.
40 CFR 146.83 Minimum criteria for siting.
Owners or operators of Class VI wells must demonstrate to the
satisfaction of the Director that the wells will be sited in areas with
a suitable geologic system. The owners or operators must
demonstrate that the geologic system comprises:
An injection zone(s) of sufficient areal extent, thickness, porosity,
and permeability to receive the total anticipated volume of the
carbon dioxide stream;
Confining zone(s) free of transmissive faults or fractures and of
sufficient areal extent and integrity to contain the injected carbon
dioxide stream and displaced formation fluids and allow injection
at proposed maximum pressures and volumes without initiating or
propagating fractures in the confining zone(s).
The Director may require owners or operators of Class VI wells to
identify and characterize additional zones that will impede vertical
fluid movement, are free of faults and fractures that may interfere
Federal Citation
40 CFR 146.82(c)(8)
40 CFR 146.82(c)(9)
40 CFR 146.82(c)(10)
40 CFR 146.82(d)
40 CFR 146.83(a)
40CFR146.83(a)(l)
40 CFR 146.83(a)(2)
40 CFR 146.83(b)
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with containment, allow for pressure dissipation, and provide
additional opportunities for monitoring, mitigation, and
remediation.
40 CFR 146.84 Area of review and corrective action.
The area of review is the region surrounding the geologic
sequestration project where USDWs may be endangered by the
injection activity. The area of review is delineated using
computational modeling that accounts for the physical and
chemical properties of all phases of the injected carbon dioxide
stream and is based on available site characterization, monitoring,
and operational data.
The owner or operator of a Class VI well must prepare, maintain,
and comply with a plan to delineate the area of review for a
proposed geologic sequestration project, periodically reevaluate the
delineation, and perform corrective action that meets the
requirements of this section and is acceptable to the Director. The
requirement to maintain and implement an approved plan is
directly enforceable regardless of whether the requirement is a
condition of the permit. As a part of the permit application for
approval by the Director, the owner or operator must submit an
area of review and corrective action plan that includes the
following information:
The method for delineating the area of review that meets the
requirements of paragraph (c) of this section, including the model
to be used, assumptions that will be made, and the site
characterization data on which the model will be based;
A description of:
The minimum fixed frequency, not to exceed five years, at which
the owner or operator proposes to reevaluate the area of review,
The monitoring and operational conditions that would warrant a
reevaluation of the area of review prior to the next scheduled
reevaluation as determined by the minimum fixed frequency
established in paragraph (b)(2)(i) of this section.
How monitoring and operational data (e.g., injection rate and
pressure) will be used to inform an area of review reevaluation;
Federal Citation
40 CFR 146.84(a)
40 CFR 146.84(b)
40CFR146.84(b)(l)
40 CFR 146.84(b)(2)
40 CFR 146.84(b)(2)(i)
40 CFR 146.84(b)(2)(ii)
40 CFR 146.84(b)(2)(iii)
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and
How corrective action will be conducted to meet the requirements
of paragraph (d) of this section, including what corrective action
will be performed prior to injection and what, if any, portions of
the area of review will have corrective action addressed on a
phased basis and how the phasing will be determined; how
corrective action will be adjusted if there are changes in the area of
review; and how site access will be guaranteed for future corrective
action.
Owners or operators of Class VI wells must perform the following
actions to delineate the area of review and identify all wells that
require corrective action:
Predict, using existing site characterization, monitoring and
operational data, and computational modeling, the projected lateral
and vertical migration of the carbon dioxide plume and formation
fluids in the subsurface from the commencement of injection
activities until the plume movement ceases, until pressure
differentials sufficient to cause the movement of injected fluids or
formation fluids into a USDW are no longer present, or until the
end of a fixed time period as determined by the Director. The
model must:
Be based on detailed geologic data collected to characterize the
injection zone(s), confining zone(s) and any additional zones; and
anticipated operating data, including injection pressures, rates, and
total volumes over the proposed life of the geologic sequestration
project;
Take into account any geologic heterogeneities, other
discontinuities, data quality, and their possible impact on model
predictions; and
Consider potential migration through faults, fractures, and artificial
penetrations.
Using methods approved by the Director, identify all penetrations,
including active and abandoned wells and underground mines, in
the area of review that may penetrate the confining zone(s).
Provide a description of each well's type, construction, date drilled,
location, depth, record of plugging and/or completion, and any
Federal Citation
40 CFR 146.84(b)(2)(iv)
40 CFR 146.84(c)
40CFR146.84(c)(l)
40CFR146.84(c)(l)(i)
40CFR146.84(c)(l)(ii)
40CFR146.84(c)(l)(iii)
40 CFR 146.84(c)(2)
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additional information the Director may require; and
Determine which abandoned wells in the area of review have been
plugged in a manner that prevents the movement of carbon dioxide
or other fluids that may endanger USDWs, including use of
materials compatible with the carbon dioxide stream.
Owners or operators of Class VI wells must perform corrective
action on all wells in the area of review that are determined to need
corrective action, using methods designed to prevent the movement
of fluid into or between USDWs, including use of materials
compatible with the carbon dioxide stream, where appropriate.
At the minimum fixed frequency, not to exceed five years, as
specified in the area of review and corrective action plan, or when
monitoring and operational conditions warrant, owners or operators
must:
Reevaluate the area of review in the same manner specified in
paragraph (c)(l) of this section;
Identify all wells in the reevaluated area of review that require
corrective action in the same manner specified in paragraph (c) of
this section;
Perform corrective action on wells requiring corrective action in
the reevaluated area of review in the same manner specified in
paragraph (d) of this section; and
Submit an amended area of review and corrective action plan or
demonstrate to the Director through monitoring data and modeling
results that no amendment to the area of review and corrective
action plan is needed. Any amendments to the area of review and
corrective action plan must be approved by the Director, must be
incorporated into the permit, and are subject to the permit
modification requirements at 40 CFR 144.39 or 144.41, as
appropriate.
The emergency and remedial response plan (as required by 40 CFR
146.94) and the demonstration of financial responsibility (as
described by 40 CFR 146.85) must account for the area of review
delineated as specified in paragraph (c)(l) of this section or the
most recently evaluated area of review delineated under paragraph
Federal Citation
40 CFR 146.84(c)(3)
40 CFR 146.84(d)
40 CFR 146.84(e)
40CFR146.84(e)(l)
40 CFR 146.84(e)(2)
40 CFR 146.84(e)(3)
40 CFR 146.84(e)(4)
40 CFR 146.84(fj
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(e) of this section, regardless of whether or not corrective action in
the area of review is phased.
All modeling inputs and data used to support area of review
reevaluations under paragraph (e) of this section shall be retained
for 10 years.
40 CFR 146.85 Financial responsibility.
The owner or operator must demonstrate and maintain financial
responsibility as determined by the Director that meets the
following conditions:
The financial responsibility instrument(s) used must be from the
following list of qualifying instruments:
Trust Funds
Surety Bonds
Letter of Credit
Insurance
Self Insurance (i.e., Financial Test and Corporate Guarantee)
Escrow Account
Any other instrument(s) satisfactory to the Director
The qualifying instruments) must be sufficient to cover the cost
of:
Corrective action (that meets the requirements of 40 CFR 146.84);
Injection well plugging (that meets the requirements of 40 CFR
146.92);
Post injection site care and site closure (that meets the
requirements of 40 CFR 146.93); and
Emergency and remedial response (that meets the requirements of
40 CFR 146.94).
The financial responsibility instrument(s) must be sufficient to
address endangerment of underground sources of drinking water.
The qualifying financial responsibility instrument(s) must comprise
Federal Citation
40 CFR 146.84(g)
40 CFR 146.85(a)
40CFR146.85(a)(l)
40CFR146.85(a)(l)(i)
40CFR146.85(a)(l)(ii)
40CFR146.85(a)(l)(iii)
40CFR146.85(a)(l)(iv)
40CFR146.85(a)(l)(v)
40CFR146.85(a)(l)(vi)
40CFR146.85(a)(l)(vii)
40 CFR 146.85(a)(2)
40 CFR 146.85(a)(2)(i)
40 CFR 146.85(a)(2)(ii)
40 CFR 146.85(a)(2)(iii)
40 CFR 146.85(a)(2)(iv)
40 CFR 146.85(a)(3)
40 CFR 146.85(a)(4)
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protective conditions of coverage.
Protective conditions of coverage must include at a minimum
cancellation, renewal, and continuation provisions, specifications
on when the provider becomes liable following a notice of
cancellation if there is a failure to renew with a new qualifying
financial instrument, and requirements for the provider to meet a
minimum rating, minimum capitalization, and ability to pass the
bond rating when applicable.
40 CFR 146.85(a)(4)(i)
Cancellation - for purposes of this part, an owner or operator must
provide that their financial mechanism may not cancel, terminate
or fail to renew except for failure to pay such financial instrument.
If there is a failure to pay the financial instrument, the financial
institution may elect to cancel, terminate, or fail to renew the
instrument by sending notice by certified mail to the owner or
operator and the Director. The cancellation must not be final for
120 days after receipt of cancellation notice. The owner or operator
must provide an alternate financial responsibility demonstration
within 60 days of notice of cancellation, and if an alternate
financial responsibility demonstration is not acceptable (or
possible), any funds from the instrument being cancelled must be
released within 60 days of notification by the Director.
40 CFR 146.85(a)(4)(i)(A)
Renewal - for purposes of this part, owners or operators must
renew all financial instruments, if an instrument expires, for the
entire term of the geologic sequestration project. The instrument
may be automatically renewed as long as the owner or operator has
the option of renewal at the face amount of the expiring instrument.
The automatic renewal of the instrument must, at a minimum,
provide the holder with the option of renewal at the face amount of
the expiring financial instrument.
40 CFR 146.85(a)(4)(i)(B)
Cancellation, termination, or failure to renew may not occur and
the financial instrument will remain in full force and effect in the
event that on or before the date of expiration: the Director deems
the facility abandoned; or the permit is terminated or revoked or a
new permit is denied; or closure is ordered by the Director or a
U.S. district court or other court of competent jurisdiction; or the
owner or operator is named as debtor in a voluntary or involuntary
proceeding under Title 11 (Bankruptcy), U.S. Code; or the amount
40 CFR 146.85(a)(4)(i)(C)
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due is paid.
The qualifying financial responsibility instrument(s) must be
approved by the Director.
The Director shall consider and approve the financial responsibility
demonstration for all the phases of the geologic sequestration
project prior to issue a Class VI permit (40 CFR 146.82).
The owner or operator must provide any updated information
related to their financial responsibility instruments) on an annual
basis and if there are any changes, the Director must evaluate,
within a reasonable time, the financial responsibility demonstration
to confirm that the instrument(s) used remain adequate for use. The
owner or operator must maintain financial responsibility
requirements regardless of the status of the Director's review of the
financial responsibility demonstration.
The Director may disapprove the use of a financial instrument if he
determines that it is not sufficient to meet the requirements of this
section.
The owner or operator may demonstrate financial responsibility by
using one or multiple qualifying financial instruments for specific
phases of the geologic sequestration project.
In the event that the owner or operator combines more than one
instrument for a specific geologic sequestration phase (e.g., well
plugging), such combination must be limited to instruments that
are not based on financial strength or performance (i.e., self
insurance or performance bond), for example trust funds, surety
bonds guaranteeing payment into a trust fund, letters of credit,
escrow account, and insurance. In this case, it is the combination of
mechanisms, rather than the single mechanism, which must
provide financial responsibility for an amount at least equal to the
current cost estimate.
When using a third-party instrument to demonstrate financial
responsibility, the owner or operator must provide a proof that the
third-party providers either have passed financial strength
requirements based on credit ratings; or has met a minimum rating,
minimum capitalization, and ability to pass the bond rating when
applicable.
Federal Citation
40 CFR 146.85(a)(5)
40 CFR 146.85(a)(5)(i)
40 CFR 146.85(a)(5)(ii)
40 CFR 146.85(a)(5)(iii)
40 CFR 146.85(a)(6)
40 CFR 146.85(a)(6)(i)
40 CFR 146.85(a)(6)(ii)
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An owner or operator using certain types of third party instruments
must establish a standby trust to enable EPA to be party to the
financial responsibility agreement without EPA being the
beneficiary of any funds. The standby trust fund must be used
along with other financial responsibility instruments (e.g., surety
bonds, letters of credit, or escrow accounts) to provide a location to
place funds if needed.
40 CFR 146.85(a)(6)(iii)
An owner or operator may deposit money to an escrow account to
cover financial responsibility requirements; this account must
segregate funds sufficient to cover estimated costs for Class VI
(geologic sequestration) financial responsibility from other
accounts and uses.
40 CFR 146.85(a)(6)(iv)
An owner or operator or its guarantor may use self insurance to
demonstrate financial responsibility for geologic sequestration
projects. In order to satisfy this requirement the owner or operator
must meet a Tangible Net Worth of an amount approved by the
Director, have a Net working capital and tangible net worth each at
least six times the sum of the current well plugging, post injection
site care and site closure cost, have assets located in the United
States amounting to at least 90 percent of total assets or at least six
times the sum of the current well plugging, post injection site care
and site closure cost, and must submit a report of its bond rating
and financial information annually. In addition the owner or
operator must either: have a bond rating test of AAA, AA, A, or
BBB as issued by Standard & Poor's or Aaa, Aa, A, or Baa as
issued by Moody's; or meet all of the following five financial ratio
thresholds: a ratio of total liabilities to net worth less than 2.0; a
ratio of current assets to current liabilities greater than 1.5; a ratio
of the sum of net income plus depreciation, depletion, and
amortization to total liabilities greater than 0.1; a ratio of current
assets minus current liabilities to total assets greater than -0.1; and
a net profit (revenues minus expenses) greater than 0.
40 CFR 146.85(a)(6)(v)
An owner or operator who is not able to meet corporate financial
test criteria may arrange a corporate guarantee by demonstrating
that its corporate parent meets the financial test requirements on its
behalf. The parent's demonstration that it meets the financial test
requirement is insufficient if it has not also guaranteed to fulfill the
40 CFR 146.85(a)(6)(vi)
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obligations for the owner or operator.
An owner or operator may obtain an insurance policy to cover the
estimated costs of geologic sequestration activities requiring
financial responsibility. This insurance policy must be obtained
from a third party provider.
The requirement to maintain adequate financial responsibility and
resources is directly enforceable regardless of whether the
requirement is a condition of the permit.
The owner or operator must maintain financial responsibility and
resources until:
The Director receives and approves the completed post-injection
site care and site closure plan; and
The Director approves site closure.
The owner or operator may be released from a financial instrument
in the following circumstances:
The owner or operator has completed the phase of the geologic
sequestration project for which the financial instrument was
required and has fulfilled all its financial obligations as determined
by the Director, including obtaining financial responsibility for the
next phase of the GS project, if required; or
The owner or operator has submitted a replacement financial
instrument and received written approval from the Director
accepting the new financial instrument and releasing the owner or
operator from the previous financial instrument.
The owner or operator must have a detailed written estimate, in
current dollars, of the cost of performing corrective action on wells
in the area of review, plugging the injection well(s), post-injection
site care and site closure, and emergency and remedial response.
The cost estimate must be performed for each phase separately and
must be based on the costs to the regulatory agency of hiring a
third party to perform the required activities. A third party is a
party who is not within the corporate structure of the owner or
operator.
During the active life of the geologic sequestration project, the
Federal Citation
40 CFR 146.85(a)(6)(vii)
40 CFR 146.85(b)
40CFR146.85(b)(l)
40CFR146.85(b)(l)(i)
40CFR146.85(b)(l)(ii)
40 CFR 146.85(b)(2)
40 CFR 146.85(b)(2)(i)
40 CFR 146.85(b)(2)(ii)
40 CFR 146.85(c)
40CFR146.85(c)(l)
40 CFR 146.85(c)(2)
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owner or operator must adjust the cost estimate for inflation within
60 days prior to the anniversary date of the establishment of the
financial instrument(s) used to comply with paragraph (a) of this
section and provide this adjustment to the Director. The owner or
operator must also provide to the Director written updates of
adjustments to the cost estimate within 60 days of any amendments
to the area of review and corrective action plan (40 CFR 146.84),
the injection well plugging plan (146.92), the post-injection site
care and site closure plan (40 CFR 146.93), and the emergency and
remedial response plan (40 CFR 146.94).
The Director must approve any decrease or increase to the initial
cost estimate. During the active life of the geologic sequestration
project, the owner or operator must revise the cost estimate no later
than 60 days after the Director has approved the request to modify
the area of review and corrective action plan (40 CFR 146.84), the
injection well plugging plan (40 CFR 146.92), the post-injection
site care and site closure plan (40 CFR 146.93), and the emergency
and response plan (40 CFR 146.94), if the change in the plan
increases the cost. If the change to the plans decreases the cost, any
withdrawal of funds must be approved by the Director. Any
decrease to the value of the financial assurance instrument must
first be approved by the Director. The revised cost estimate must
be adjusted for inflation as specified at paragraph (c)(2) of this
section.
40 CFR 146.85(c)(3)
Whenever the current cost estimate increases to an amount greater
than the face amount of a financial instrument currently in use, the
owner or operator, within 60 days after the increase, must either
cause the face amount to be increased to an amount at least equal
to the current cost estimate and submit evidence of such increase to
the Director, or obtain other financial responsibility instruments to
cover the increase. Whenever the current cost estimate decreases,
the face amount of the financial assurance instrument may be
reduced to the amount of the current cost estimate only after the
owner or operator has received written approval from the Director.
40 CFR 146.85(c)(4)
The owner or operator must notify the Director by certified mail of
adverse financial conditions such as bankruptcy that may affect the
ability to carry out injection well plugging and post-injection site
40 CFR 146.85(d)
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care and site closure.
In the event that the owner or operator or the third party provider
of a financial responsibility instrument is going through a
bankruptcy, the owner or operator must notify the Director by
certified mail of the commencement of a voluntary or involuntary
proceeding under Title 1 1 (Bankruptcy), U.S. Code, naming the
owner or operator as debtor, within 10 days after commencement
of the proceeding.
A guarantor of a corporate guarantee must make such a notification
to the Director if he/she is named as debtor, as required under the
terms of the corporate guarantee.
An owner or operator who fulfills the requirements of paragraph
(a) of this section by obtaining a trust fund, surety bond, letter of
credit, escrow account, or insurance policy will be deemed to be
without the required financial assurance in the event of bankruptcy
of the trustee or issuing institution, or a suspension or revocation of
the authority of the trustee institution to act as trustee of the
institution issuing the trust fund, surety bond, letter of credit,
escrow account, or insurance policy. The owner or operator must
establish other financial assurance within 60 days after such an
event.
The owner or operator must provide an adjustment of the cost
estimate to the Director within 60 days of notification by the
Director, if the Director determines during the annual evaluation of
the qualifying financial responsibility instrument(s) that the most
recent demonstration is no longer adequate to cover the cost of
corrective action (as required by 40 CFR 146.84), injection well
plugging (as required by 40 CFR 146.92), post-injection site care
and site closure (as required by 40 CFR 146.93), and emergency
and remedial response (as required by 40 CFR 146.94).
The Director must approve the use and length of pay-in-periods for
trust funds or escrow accounts.
40 CFR 146.86 Injection well construction requirements.
General. The owner or operator must ensure that all Class VI wells
are constructed and completed to:
Federal Citation
40CFR146.85(d)(l)
40 CFR 146.85(d)(2)
40 CFR 146.85(d)(3)
40 CFR 146.85(e)
40 CFR 146.85(fj
40 CFR 146.86(a)
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Prevent the movement of fluids into or between USDWs or into
any unauthorized zones;
Permit the use of appropriate testing devices and workover tools;
and
Permit continuous monitoring of the annulus space between the
injection tubing and long string casing.
Casing and Cementing of Class VI Wells.
Casing and cement or other materials used in the construction of
each Class VI well must have sufficient structural strength and be
designed for the life of the geologic sequestration project. All well
materials must be compatible with fluids with which the materials
may be expected to come into contact and must meet or exceed
standards developed for such materials by the American Petroleum
Institute, ASTM International, or comparable standards acceptable
to the Director. The casing and cementing program must be
designed to prevent the movement of fluids into or between
USDWs. In order to allow the Director to determine and specify
casing and cementing requirements, the owner or operator must
provide the following information:
Depth to the injection zone(s);
Injection pressure, external pressure, internal pressure, and axial
loading;
Hole size;
Size and grade of all casing strings (wall thickness, external
diameter, nominal weight, length, joint specification, and
construction material);
Corrosiveness of the carbon dioxide stream and formation fluids;
Down-hole temperatures;
Lithology of injection and confining zone(s);
Type or grade of cement and cement additives; and
Quantity, chemical composition, and temperature of the carbon
dioxide stream.
Federal Citation
40CFR146.86(a)(l)
40 CFR 146.86(a)(2)
40 CFR 146.86(a)(3)
40 CFR 146.86(b)
40CFR146.86(b)(l)
40CFR146.86(b)(l)(i)
40CFR146.86(b)(l)(ii)
40CFR146.86(b)(l)(iii)
40CFR146.86(b)(l)(iv)
40CFR146.86(b)(l)(v)
40CFR146.86(b)(l)(vi)
40CFR146.86(b)(l)(vii)
40CFR146.86(b)(l)(viii)
40CFR146.86(b)(l)(ix)
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Surface casing must extend through the base of the lowermost
USDW and be cemented to the surface through the use of a single
or multiple strings of casing and cement.
At least one long string casing, using a sufficient number of
centralizers, must extend to the injection zone and must be
cemented by circulating cement to the surface in one or more
stages.
Circulation of cement may be accomplished by staging. The
Director may approve an alternative method of cementing in cases
where the cement cannot be recirculated to the surface, provided
the owner or operator can demonstrate by using logs that the
cement does not allow fluid movement behind the well bore.
Cement and cement additives must be compatible with the carbon
dioxide stream and formation fluids and of sufficient quality and
quantity to maintain integrity over the design life of the geologic
sequestration project. The integrity and location of the cement shall
be verified using technology capable of evaluating cement quality
radially and identifying the location of channels to ensure that
USDWs are not endangered.
Tubing and packer.
Tubing and packer materials used in the construction of each Class
VI well must be compatible with fluids with which the materials
may be expected to come into contact and must meet or exceed
standards developed for such materials by the American Petroleum
Institute, ASTM International, or comparable standards acceptable
to the Director.
All owners or operators of Class VI wells must inject fluids
through tubing with a packer set at a depth opposite a cemented
interval at the location approved by the Director.
In order for the Director to determine and specify requirements for
tubing and packer, the owner or operator must submit the
following information:
Depth of setting;
Characteristics of the carbon dioxide stream (chemical content,
corrosiveness, temperature, and density) and formation fluids;
Federal Citation
40 CFR 146.86(b)(2)
40 CFR 146.86(b)(3)
40 CFR 146.86(b)(4)
40 CFR 146.86(b)(5)
40 CFR 146.86(c)
40CFR146.86(c)(l)
40 CFR 146.86(c)(2)
40 CFR 146.86(c)(3)
40 CFR 146.86(c)(3)(i)
40 CFR 146.86(c)(3)(ii)
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Maximum proposed injection pressure;
Maximum proposed annular pressure;
Proposed injection rate (intermittent or continuous) and volume
and/or mass of the carbon dioxide stream;
Size of tubing and casing; and
Tubing tensile, burst, and collapse strengths.
40 CFR 146.87 Logging, sampling, and testing prior to
injection well operation.
During the drilling and construction of a Class VI injection well,
the owner or operator must run appropriate logs, surveys and tests
to determine or verify the depth, thickness, porosity, permeability,
and lithology of, and the salinity of any formation fluids in all
relevant geologic formations to ensure conformance with the
injection well construction requirements under 40 CFR 146.86 and
to establish accurate baseline data against which future
measurements may be compared. The owner or operator must
submit to the Director a descriptive report prepared by a
knowledgeable log analyst that includes an interpretation of the
results of such logs and tests. At a minimum, such logs and tests
must include:
Deviation checks during drilling on all holes constructed by
drilling a pilot hole which is enlarged by reaming or another
method. Such checks must be at sufficiently frequent intervals to
determine the location of the borehole and to ensure that vertical
avenues for fluid movement in the form of diverging holes are not
created during drilling; and
Before and upon installation of the surface casing:
Resistivity, spontaneous potential, and caliper logs before the
casing is installed; and
A cement bond and variable density log to evaluate cement quality
radially, and a temperature log after the casing is set and cemented.
Before and upon installation of the long string casing:
Resistivity, spontaneous potential, porosity, caliper, gamma ray,
Federal Citation
40 CFR 146.86(c)(3)(iii)
40 CFR 146.86(c)(3)(iv)
40 CFR 146.86(c)(3)(v)
40 CFR 146.86(c)(3)(vi)
40 CFR 146.86(c)(3)(vii)
40 CFR 146.87(a)
40CFR146.87(a)(l)
40 CFR 146.87(a)(2)
40 CFR 146.87(a)(2)(i)
40 CFR 146.87(a)(2)(ii)
40 CFR 146.87(a)(3)
40 CFR 146.87(a)(3)(i)
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fracture finder logs, and any other logs the Director requires for the
given geology before the casing is installed; and
A cement bond and variable density log, and a temperature log
after the casing is set and cemented.
A series of tests designed to demonstrate the internal and external
mechanical integrity of injection wells, which may include:
A pressure test with liquid or gas;
A tracer survey such as oxygen-activation logging;
A temperature or noise log;
A casing inspection log; and
Any alternative methods that provide equivalent or better
information and that are required by and/or approved of by the
Director.
The owner or operator must take whole cores or sidewall cores of
the injection zone and confining system and formation fluid
samples from the injection zone(s), and must submit to the Director
a detailed report prepared by a log analyst that includes: well log
analyses (including well logs), core analyses, and formation fluid
sample information. The Director may accept information on cores
from nearby wells if the owner or operator can demonstrate that
core retrieval is not possible and that such cores are representative
of conditions at the well. The Director may require the owner or
operator to core other formations in the borehole.
The owner or operator must record the fluid temperature, pH,
conductivity, reservoir pressure, and static fluid level of the
injection zone(s).
At a minimum, the owner or operator must determine or calculate
the following information concerning the injection and confining
zone(s):
Fracture pressure;
Other physical and chemical characteristics of the injection and
confining zone(s); and
Physical and chemical characteristics of the formation fluids in the
Federal Citation
40 CFR 146.87(a)(3)(ii)
40 CFR 146.87(a)(4)
40 CFR 146.87(a)(4)(i)
40 CFR 146.87(a)(4)(ii)
40 CFR 146.87(a)(4)(iii)
40 CFR 146.87(a)(4)(iv)
40 CFR 146.87(a)(5)
40 CFR 146.87(b)
40 CFR 146.87(c)
40 CFR 146.87(d)
40CFR146.87(d)(l)
40 CFR 146.87(d)(2)
40 CFR 146.87(d)(3)
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injection zone(s).
Upon completion, but prior to operation, the owner or operator
must conduct the following tests to verify hydrogeologic
characteristics of the injection zone(s):
A pressure fall-off test; and,
A pump test; or
Injectivity tests.
The owner or operator must provide the Director with the
opportunity to witness all logging and testing by this subpart. The
owner or operator must submit a schedule of such activities to the
Director 30 days prior to conducting the first test and submit any
changes to the schedule 30 days prior to the next scheduled test.
40 CFR 146.88 Injection well operating requirements.
Except during stimulation, the owner or operator must ensure that
injection pressure does not exceed 90 percent of the fracture
pressure of the injection zone(s) so as to ensure that the injection
does not initiate new fractures or propagate existing fractures in the
injection zone(s). In no case may injection pressure initiate
fractures in the confining zone(s) or cause the movement of
injection or formation fluids that endangers a USDW. Pursuant to
requirements at 40 CFR 146.82(a)(9), all stimulation programs
must be approved by the Director as part of the permit application
and incorporated into the permit.
Injection between the outermost casing protecting USDWs and the
well bore is prohibited.
The owner or operator must fill the annulus between the tubing and
the long string casing with a non-corrosive fluid approved by the
Director. The owner or operator must maintain on the annulus a
pressure that exceeds the operating injection pressure, unless the
Director determines that such requirement might harm the integrity
of the well or endanger USDWs.
Other than during periods of well workover (maintenance)
approved by the Director in which the sealed tubing-casing annulus
is disassembled for maintenance or corrective procedures, the
Federal Citation
40 CFR 146.87(e)
40CFR146.87(e)(l)
40 CFR 146.87(e)(2)
40 CFR 146.87(e)(3)
40 CFR 146.87(fj
40 CFR 146.88(a)
40 CFR 146.88(b)
40 CFR 146.88(c)
40 CFR 146.88(d)
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owner or operator must maintain mechanical integrity of the
injection well at all times.
The owner or operator must install and use:
Continuous recording devices to monitor: the injection pressure;
the rate, volume and/or mass, and temperature of the carbon
dioxide stream; and the pressure on the annulus between the tubing
and the long string casing and annulus fluid volume; and
Alarms and automatic surface shut-off systems or, at the discretion
of the Director, down-hole shut-off systems (e.g., automatic shut-
off, check valves) for onshore wells or, other mechanical devices
that provide equivalent protection; and
Alarms and automatic down-hole shut-off systems for wells
located offshore but within State territorial waters, designed to alert
the operator and shut-in the well when operating parameters such
as annulus pressure, injection rate, or other parameters diverge
beyond permitted ranges and/or gradients specified in the permit.
If a shutdown (i.e., down-hole or at the surface) is triggered or a
loss of mechanical integrity is discovered, the owner or operator
must immediately investigate and identify as expeditiously as
possible the cause of the shutoff If, upon such investigation, the
well appears to be lacking mechanical integrity, or if monitoring
required under paragraph (e) of this section otherwise indicates that
the well may be lacking mechanical integrity, the owner or
operator must:
Immediately cease injection;
Take all steps reasonably necessary to determine whether there
may have been a release of the injected carbon dioxide stream or
formation fluids into any unauthorized zone;
Notify the Director within 24 hours;
Restore and demonstrate mechanical integrity to the satisfaction of
the Director prior to resuming injection; and
Notify the Director when injection can be expected to resume.
40 CFR 146.89 Mechanical integrity.
Federal Citation
40 CFR 146.88(e)
40CFR146.88(e)(l)
40 CFR 146.88(e)(2)
40 CFR 146.88(e)(3)
40 CFR 146.88(fj
40CFR146.88(f)(l)
40 CFR 146.88(f)(2)
40 CFR 146.88(fj(3)
40 CFR 146.88(f)(4)
40 CFR 146.88(f)(5)
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A Class VI well has mechanical integrity if:
There is no significant leak in the casing, tubing, or packer; and
There is no significant fluid movement into a USDW through
channels adjacent to the injection well bore.
To evaluate the absence of significant leaks under paragraph (a)(l )
of this section, owners or operators must, following an initial
annulus pressure test, continuously monitor injection pressure, rate,
injected volumes; pressure on the annulus between tubing and
long-string casing; and annulus fluid volume as specified in 40
CFR 146.88 (e);
At least once per year, the owner or operator must use one of the
following methods to determine the absence of significant fluid
movement under paragraph (a)(2) of this section:
An approved tracer survey such as an oxygen-activation log; or
A temperature or noise log.
If required by the Director, at a frequency specified in the testing
and monitoring plan required at 40 CFR 146.90, the owner or
operator must run a casing inspection log to determine the presence
or absence of corrosion in the long-string casing.
The Director may require any other test to evaluate mechanical
integrity under paragraphs (a)(l) or (a)(2) of this section. Also, the
Director may allow the use of a test to demonstrate mechanical
integrity other than those listed above with the written approval of
the Administrator. To obtain approval for a new mechanical
integrity test, the Director must submit a written request to the
Administrator setting forth the proposed test and all technical data
supporting its use. The Administrator may approve the request if
he or she determines that it will reliably demonstrate the
mechanical integrity of wells for which its use is proposed. Any
alternate method approved by the Administrator will be published
in the Federal Register and may be used in all States in accordance
with applicable State law unless its use is restricted at the time of
approval by the Administrator.
In conducting and evaluating the tests enumerated in this section or
others to be allowed by the Director, the owner or operator and the
Federal Citation
40 CFR 146.89(a)
40CFR146.89(a)(l)
40 CFR 146.89(a)(2)
40 CFR 146.89(b)
40 CFR 146.89(c)
40CFR146.89(c)(l)
40 CFR 146.89(c)(2)
40 CFR 146.89(d)
40 CFR 146.89(e)
40 CFR 146.89(fj
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Director must apply methods and standards generally accepted in
the industry. When the owner or operator reports the results of
mechanical integrity tests to the Director, he/she shall include a
description of the test(s) and the method(s) used. In making his/her
evaluation, the Director must review monitoring and other test data
submitted since the previous evaluation.
The Director may require additional or alternative tests if the
results presented by the owner or operator under paragraphs (a)
through (d) of this section are not satisfactory to the Director to
demonstrate that there is no significant leak in the casing, tubing,
or packer, or to demonstrate that there is no significant movement
of fluid into a USDW resulting from the injection activity as stated
in paragraphs (a)(l) and (2) of this section.
40 CFR 146.90 Testing and monitoring requirements.
The owner or operator of a Class VI well must prepare, maintain,
and comply with a testing and monitoring plan to verify that the
geologic sequestration project is operating as permitted and is not
endangering USDWs. The requirement to maintain and implement
an approved plan is directly enforceable regardless of whether the
requirement is a condition of the permit. The testing and
monitoring plan must be submitted with the permit application, for
Director approval, and must include a description of how the
owner or operator will meet the requirements of this section,
including accessing sites for all necessary monitoring and testing
during the life of the project. Testing and monitoring associated
with geologic sequestration projects must, at a minimum, include:
Analysis of the carbon dioxide stream with sufficient frequency to
yield data representative of its chemical and physical
characteristics;
Installation and use, except during well workovers as defined in 40
CFR 146.88(d), of continuous recording devices to monitor
injection pressure, rate, and volume; the pressure on the annulus
between the tubing and the long string casing; and the annulus
fluid volume added;
Corrosion monitoring of the well materials for loss of mass,
thickness, cracking, pitting, and other signs of corrosion, which
Federal Citation
40 CFR 146.89(g)
40 CFR 146.90
40 CFR 146.90(a)
40 CFR 146.90(b)
40 CFR 146.90(c)
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must be performed on a quarterly basis to ensure that the well
components meet the minimum standards for material strength and
performance set forth in 40 CFR 146.86(b), by:
Analyzing coupons of the well construction materials placed in
contact with the carbon dioxide stream; or
Routing the carbon dioxide stream through a loop constructed with
the material used in the well and inspecting the materials in the
loop; or
Using an alternative method approved by the Director;
Periodic monitoring of the ground water quality and geochemical
changes above the confining zone(s) that may be a result of carbon
dioxide movement through the confining zone(s) or additional
identified zones including:
The location and number of monitoring wells based on specific
information about the geologic sequestration project, including
injection rate and volume, geology, the presence of artificial
penetrations, and other factors; and
The monitoring frequency and spatial distribution of monitoring
wells based on baseline geochemical data that has been collected
under 40 CFR 146.82(a)(6) and on any modeling results in the area
of review evaluation required by 40 CFR 146.84(c).
A demonstration of external mechanical integrity pursuant to 40
CFR 146.89(c) at least once per year until the injection well is
plugged; and, if required by the Director, a casing inspection log
pursuant to requirements at 40 CFR 146.89(d) at a frequency
established in the testing and monitoring plan;
A pressure fall-off test at least once every five years unless more
frequent testing is required by the Director based on site-specific
information;
Testing and monitoring to track the extent of the carbon dioxide
plume and the presence or absence of elevated pressure (e.g., the
pressure front) by using:
Direct methods in the injection zone(s); and,
Indirect methods (e.g., seismic, electrical, gravity, or
Federal Citation
40CFR146.90(c)(l)
40 CFR 146.90(c)(2)
40 CFR 146.90(c)(3)
40 CFR 146.90(d)
40CFR146.90(d)(l)
40 CFR 146.90(d)(2)
40 CFR 146.90(e)
40 CFR 146.90(fj
40 CFR 146.90(g)
40CFR146.90(g)(l)
40 CFR 146.90(g)(2)
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Federal Citation
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electromagnetic surveys and/or down-hole carbon dioxide
detection tools), unless the Director determines, based on site-
specific geology, that such methods are not appropriate;
The Director may require surface air monitoring and/or soil gas
monitoring to detect movement of carbon dioxide that could
endanger a USDW.
40 CFR 146.90(h)
Design of Class VI surface air and/or soil gas monitoring must be
based on potential risks to USDWs within the area of review,
40CFR146.90(h)(l)
The monitoring frequency and spatial distribution of surface air
monitoring and/or soil gas monitoring must be decided using
baseline data, and the monitoring plan must describe how the
proposed monitoring will yield useful information on the area of
review delineation and/or compliance with standards under 40 CFR
144.12;
40 CFR 146.90(h)(2)
If an owner or operator demonstrates that monitoring employed
under 40 CFR 98.440 to 98.449 of this chapter (Clean Air Act, 42
U.S.C. 7401 et seq.) accomplishes the goals of (h)(l) and (2) of
this section, and meets the requirements pursuant to 40 CFR
146.91(c)(5), a Director that requires surface air/soil gas
monitoring must approve the use of monitoring employed under
98.440 to 98.449 of this chapter. Compliance with 40 CFR 98.440
to 98.449 of this chapter pursuant to this provision is considered a
condition of the Class VI permit;
40 CFR 146.90(h)(3)
Any additional monitoring, as required by the Director, necessary
to support, upgrade, and improve computational modeling of the
area of review evaluation required under 40 CFR 146.84(c) and to
determine compliance with standards under 40 CFR 144.12;
40 CFR 146.90(i)
The owner or operator shall periodically review the testing and
monitoring plan to incorporate monitoring data collected under this
subpart, operational data collected under 40 CFR 146.88, and the
most recent area of review reevaluation performed under 40 CFR
146.84(e). In no case shall the owner or operator review the testing
and monitoring plan less often than once every five years. Based
on this review, the owner or operator shall submit an amended
testing and monitoring plan or demonstrate to the Director that no
amendment to the testing and monitoring plan is needed. Any
40 CFR 146.90(j)
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amendments to the testing and monitoring plan must be approved
by the Director, must be incorporated into the permit, and are
subject to the permit modification requirements at 40 CFR 144.39
or 144.41, as appropriate. Amended plans or demonstrations shall
be submitted to the Director as follows:
Within one year of an area of review reevaluation;
Following any significant changes to the facility, such as addition
of monitoring wells or newly permitted injection wells within the
area of review, on a schedule determined by the Director; or
When required by the Director.
A quality assurance and surveillance plan for all testing and
monitoring requirements.
40 CFR 146.91 Reporting requirements.
The owner or operator must, at a minimum, provide, as specified in
paragraph (e) of this section, the following reports to the Director,
for each permitted Class VI well:
Semi-annual reports containing:
Any changes to the physical, chemical, and other relevant
characteristics of the carbon dioxide stream from the proposed
operating data;
Monthly average, maximum, and minimum values for injection
pressure, flow rate and volume, and annular pressure;
A description of any event that exceeds operating parameters for
annulus pressure or injection pressure specified in the permit;
A description of any event which triggers a shut-off device
required pursuant to 40 CFR 146.88(e) and the response taken;
The monthly volume and/or mass of the carbon dioxide stream
injected over the reporting period and the volume injected
cumulatively over the life of the project;
Monthly annulus fluid volume added; and
The results of monitoring prescribed under 40 CFR 146.90.
Report, within 30 days, the results of:
Federal Citation
40CFR146.90(j)(l)
40 CFR 146.90(j)(2)
40 CFR 146.90(j)(3)
40 CFR 146.90(k)
40 CFR 146.91
40 CFR 146.91(a)
40CFR146.91(a)(l)
40 CFR 146.91(a)(2)
40 CFR 146.91(a)(3)
40 CFR 146.91(a)(4)
40 CFR 146.91(a)(5)
40 CFR 146.91(a)(6)
40 CFR 146.91(a)(7)
40 CFR 146.91(b)
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Periodic tests of mechanical integrity;
Any well workover; and,
Any other test of the injection well conducted by the permittee if
required by the Director.
Report, within 24 hours:
Any evidence that the injected carbon dioxide stream or associated
pressure front may cause an endangerment to a USDW;
Any noncompliance with a permit condition, or malfunction of the
injection system, which may cause fluid migration into or between
USDWs;
Any triggering of a shut-off system (i.e., down-hole or at the
surface);
Any failure to maintain mechanical integrity; or.
Pursuant to compliance with the requirement at 40 CFR 146.90(h)
for surface air/soil gas monitoring or other monitoring
technologies, if required by the Director, any release of carbon
dioxide to the atmosphere or biosphere.
Owners or operators must notify the Director in writing 30 days in
advance of:
Any planned well workover;
Any planned stimulation activities, other than stimulation for
formation testing conducted under 40 CFR 146.82; and
Any other planned test of the injection well conducted by the
permittee.
Regardless of whether a State has primary enforcement
responsibility, owners or operators must submit all required
reports, submittals, and notifications under subpart H of this part to
EPA in an electronic format approved by EPA.
Records shall be retained by the owner or operator as follows:
All data collected under 40 CFR 146.82 for Class VI permit
applications shall be retained throughout the life of the geologic
sequestration project and for 10 years following site closure.
Federal Citation
40CFR146.91(b)(l)
40 CFR 146.91(b)(2)
40 CFR 146.91(b)(3)
40 CFR 146.91(c)
40CFR146.91(c)(l)
40 CFR 146.91(c)(2)
40 CFR 146.91(c)(3)
40CFR146.91(c)(4)
40 CFR 146.91(c)(5)
40 CFR 146.91(d)
40CFR146.91(d)(l)
40 CFR 146.91(d)(2)
40 CFR 146.91(d)(3)
40 CFR 146.91(e)
40 CFR 146.91(fj
40CFR146.91(f)(l)
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Data on the nature and composition of all injected fluids collected
pursuant to 40 CFR 146.90(a) shall be retained until 10 years after
site closure. The Director may require the owner or operator to
deliver the records to the Director at the conclusion of the retention
period.
Monitoring data collected pursuant to 40 CFR 146.90(b) through
(i) shall be retained for 10 years after it is collected.
Well plugging reports, post-injection site care data, including, if
appropriate, data and information used to develop the
demonstration of the alternative post-injection site care timeframe,
and the site closure report collected pursuant to requirements at 40
CFR 146.93(f) and (h) shall be retained for 10 years following site
closure.
The Director has authority to require the owner or operator to
retain any records required in this subpart for longer than 10 years
after site closure.
40 CFR 146.92 Injection well plugging.
Prior to the well plugging, the owner or operator must flush each
Class VI injection well with a buffer fluid, determine bottomhole
reservoir pressure, and perform a final external mechanical
integrity test.
Well Plugging Plan. The owner or operator of a Class VI well must
prepare, maintain, and comply with a plan that is acceptable to the
Director. The requirement to maintain and implement an approved
plan is directly enforceable regardless of whether the requirement
is a condition of the permit. The well plugging plan must be
submitted as part of the permit application and must include the
following information:
Appropriate tests or measures for determining bottomhole reservoir
pressure;
Appropriate testing methods to ensure external mechanical
integrity as specified in 40 CFR 146.89;
The type and number of plugs to be used;
The placement of each plug, including the elevation of the top and
Federal Citation
40 CFR 146.91(f)(2)
40 CFR 146.91(f)(3)
40 CFR 146.91(f)(4)
40CFR146.91(f)(5)
40 CFR 146.92(a)
40 CFR 146.92(b)
40CFR146.92(b)(l)
40 CFR 146.92(b)(2)
40 CFR 146.92(b)(3)
40 CFR 146.92(b)(4)
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bottom of each plug;
The type, grade, and quantity of material to be used in plugging.
The material must be compatible with the carbon dioxide stream;
and
The method of placement of the plugs.
Notice of intent to plug. The owner or operator must notify the
Director in writing pursuant to 40 CFR 146.91(e), at least 60 days
before plugging of a well. At this time, if any changes have been
made to the original well plugging plan, the owner or operator
must also provide the revised well plugging plan. The Director
may allow for a shorter notice period. Any amendments to the
injection well plugging plan must be approved by the Director,
must be incorporated into the permit, and are subject to the permit
modification requirements at 40 CFR 144.39 or 144.41, as
appropriate.
Plugging report. Within 60 days after plugging, the owner or
operator must submit, pursuant to 40 CFR 146.91(e), a plugging
report to the Director. The report must be certified as accurate by
the owner or operator and by the person who performed the
plugging operation (if other than the owner or operator.) The
owner or operator shall retain the well plugging report for 10 years
following site closure.
40 CFR 146.93 Post-injection site care and site closure.
The owner or operator of a Class VI well must prepare, maintain,
and comply with a plan for post-injection site care and site closure
that meets the requirements of paragraph (a)(2) of this section and
is acceptable to the Director. The requirement to maintain and
implement an approved plan is directly enforceable regardless of
whether the requirement is a condition of the permit.
The owner or operator must submit the post-injection site care and
site closure plan as a part of the permit application to be approved
by the Director.
The post-injection site care and site closure plan must include the
following information:
The pressure differential between pre-injection and predicted post-
Federal Citation
40 CFR 146.92(b)(5)
40 CFR 146.92(b)(6)
40 CFR 146.92(c)
40 CFR 146.92(d)
40 CFR 146.93(a)
40CFR146.93(a)(l)
40 CFR 146.93(a)(2)
40 CFR 146.93(a)(2)(i)
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injection pressures in the injection zone(s);
The predicted position of the carbon dioxide plume and associated
pressure front at site closure as demonstrated in the area of review
evaluation required under 40 CFR 146.84(c)(l);
A description of post-injection monitoring location, methods, and
proposed frequency;
A proposed schedule for submitting post-injection site care
monitoring results to the Director pursuant to 40 CFR 146.91(e);
and,
The duration of the post-injection site care timeframe and, if
approved by the Director, the demonstration of the alternative post-
injection site care timeframe that ensures non-endangerment of
USDWs.
Upon cessation of injection, owners or operators of Class VI wells
must either submit an amended post-injection site care and site
closure plan or demonstrate to the Director through monitoring
data and modeling results that no amendment to the plan is needed.
Any amendments to the post-injection site care and site closure
plan must be approved by the Director, be incorporated into the
permit, and are subject to the permit modification requirements at
40 CFR 144.39 or 144.41, as appropriate.
At any time during the life of the geologic sequestration project,
the owner or operator may modify and resubmit the post-injection
site care and site closure plan for the Director's approval within 30
days of such change.
The owner or operator shall monitor the site following the
cessation of injection to show the position of the carbon dioxide
plume and pressure front and demonstrate that USDWs are not
being endangered.
Following the cessation of injection, the owner or operator shall
continue to conduct monitoring as specified in the Director-
approved post-injection site care and site closure plan for at least
50 years or for the duration of the alternative timeframe approved
by the Director pursuant to requirements in paragraph (c) of this
section, unless he/she makes a demonstration under (b)(2) of this
Federal Citation
40 CFR 146.93(a)(2)(ii)
40 CFR 146.93(a)(2)(iii)
40 CFR 146.93(a)(2)(iv)
40 CFR 146.93(a)(2)(v)
40 CFR 146.93(a)(3)
40 CFR 146.93(a)(4)
40 CFR 146.93(b)
40CFR146.93(b)(l)
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Federal Citation
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section. The monitoring must continue until the geologic
sequestration project no longer poses an endangerment to USDWs
and the demonstration under (b)(2) of this section is submitted and
approved by the Director.
If the owner or operator can demonstrate to the satisfaction of the
Director before 50 years or prior to the end of the approved
alternative timeframe based on monitoring and other site-specific
data, that the geologic sequestration project no longer poses an
endangerment to USDWs, the Director may approve an
amendment to the post-injection site care and site closure plan to
reduce the frequency of monitoring or may authorize site closure
before the end of the 50-year period or prior to the end of the
approved alternative timeframe, where he or she has substantial
evidence that the geologic sequestration project no longer poses a
risk of endangerment to USDWs.
40 CFR 146.93(b)(2)
Prior to authorization for site closure, the owner or operator must
submit to the Director for review and approval a demonstration,
based on monitoring and other site-specific data, that no additional
monitoring is needed to ensure that the geologic sequestration
project does not pose an endangerment to USDWs.
40 CFR 146.93(b)(3)
If the demonstration in paragraph (b)(3) of this section cannot be
made (i.e., additional monitoring is needed to ensure that the
geologic sequestration project does not pose an endangerment to
USDWs) at the end of the 50-year period or at the end of the
approved alternative timeframe, or if the Director does not approve
the demonstration, the owner or operator must submit to the
Director a plan to continue post-injection site care until a
demonstration can be made and approved by the Director.
40 CFR 146.93(b)(4)
Demonstration of alternative post-injection site care timeframe. At
the Director's discretion, the Director may approve, in consultation
with EPA, an alternative post-injection site care timeframe other
than the 50 year default, if an owner or operator can demonstrate
during the permitting process that an alternative post-injection site
care timeframe is appropriate and ensures non-endangerment of
USDWs. The demonstration must be based on significant, site-
specific data and information including all data and information
collected pursuant to 40 CFR 146.82 and 146.83, and must contain
40 CFR 146.93(c)
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substantial evidence that the geologic sequestration project will no
longer pose a risk of endangerment to USDWs at the end of the
alternative post-injection site care timeframe.
A demonstration of an alternative post- injection site care
timeframe must include consideration and documentation of:
The results of computational modeling performed pursuant to
delineation of the area of review under 40 CFR 146.84;
The predicted timeframe for pressure decline within the injection
zone, and any other zones, such that formation fluids may not be
forced into any USDWs; and/or the timeframe for pressure decline
to pre-injection pressures;
The predicted rate of carbon dioxide plume migration within the
injection zone, and the predicted timeframe for the cessation of
migration;
A description of the site-specific processes that will result in
carbon dioxide trapping including immobilization by capillary
trapping, dissolution, and mineralization at the site;
The predicted rate of carbon dioxide trapping in the immobile
capillary phase, dissolved phase, and/or mineral phase;
The results of laboratory analyses, research studies, and/or field or
site-specific studies to verify the information required in
paragraphs (iv) and (v) of this section;
A characterization of the confining zone(s) including a
demonstration that it is free of transmissive faults, fractures, and
micro-fractures and of appropriate thickness, permeability, and
integrity to impede fluid (e.g., carbon dioxide, formation fluids)
movement;
The presence of potential conduits for fluid movement including
planned injection wells and project monitoring wells associated
with the proposed geologic sequestration project or any other
projects in proximity to the predicted/modeled, final extent of the
carbon dioxide plume and area of elevated pressure;
A description of the well construction and an assessment of the
quality of plugs of all abandoned wells within the area of review;
Federal Citation
40CFR146.93(c)(l)
40CFR146.93(c)(l)(i)
40CFR146.93(c)(l)(ii)
40CFR146.93(c)(l)(iii)
40CFR146.93(c)(l)(iv)
40CFR146.93(c)(l)(v)
40CFR146.93(c)(l)(vi)
40CFR146.93(c)(l)(vii)
40CFR146.93(c)(l)(viii)
40CFR146.93(c)(l)(ix)
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
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Federal Requirement
The distance between the injection zone and the nearest USDWs
above and/or below the injection zone; and
Any additional site-specific factors required by the Director.
Information submitted to support the demonstration in paragraph
(c)(l) of this section must meet the following criteria:
All analyses and tests performed to support the demonstration must
be accurate, reproducible, and performed in accordance with the
established quality assurance standards;
Estimation techniques must be appropriate and EPA-certified test
protocols must be used where available;
Predictive models must be appropriate and tailored to the site
conditions, composition of the carbon dioxide stream and injection
and site conditions over the life of the geologic sequestration
project;
Predictive models must be calibrated using existing information
(e.g., at Class I, Class II, or Class V experimental technology well
sites) where sufficient data are available;
Reasonably conservative values and modeling assumptions must
be used and disclosed to the Director whenever values are
estimated on the basis of known, historical information instead of
site-specific measurements;
An analysis must be performed to identify and assess aspects of the
alternative post-injection site care timeframe demonstration that
contribute significantly to uncertainty. The owner or operator must
conduct sensitivity analyses to determine the effect that significant
uncertainty may contribute to the modeling demonstration.
An approved quality assurance and quality control plan must
address all aspects of the demonstration; and,
Any additional criteria required by the Director.
Notice of intent for site closure. The owner or operator must notify
the Director in writing at least 120 days before site closure. At this
time, if any changes have been made to the original post-injection
site care and site closure plan, the owner or operator must also
provide the revised plan. The Director may allow for a shorter
Federal Citation
40CFR146.93(c)(l)(x)
40CFR146.93(c)(l)(xi)
40 CFR 146.93(c)(2)
40 CFR 146.93(c)(2)(i)
40 CFR 146.93(c)(2)(ii)
40 CFR 146.93(c)(2)(iii)
40 CFR 146.93(c)(2)(iv)
40 CFR 146.93(c)(2)(v)
40 CFR 146.93(c)(2)(vi)
40 CFR 146.93(c)(2)(vii)
40 CFR 146.93(c)(2)(viii)
40 CFR 146.93(d)
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
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notice period.
After the Director has authorized site closure, the owner or
operator must plug all monitoring wells in a manner which will not
allow movement of injection or formation fluids that endangers a
USDW.
The owner or operator must submit a site closure report to the
Director within 90 days of site closure, which must thereafter be
retained at a location designated by the Director for 10 years. The
report must include:
Documentation of appropriate injection and monitoring well
plugging as specified in 40 CFR 146.92 and paragraph (e) of this
section. The owner or operator must provide a copy of a survey
plat which has been submitted to the local zoning authority
designated by the Director. The plat must indicate the location of
the injection well relative to permanently surveyed benchmarks.
The owner or operator must also submit a copy of the plat to the
Regional Administrator of the appropriate EPA Regional Office;
Documentation of appropriate notification and information to such
State, local and Tribal authorities that have authority over drilling
activities to enable such State, local, and Tribal authorities to
impose appropriate conditions on subsequent drilling activities that
may penetrate the injection and confining zone(s); and
Records reflecting the nature, composition, and volume of the
carbon dioxide stream.
Each owner or operator of a Class VI injection well must record a
notation on the deed to the facility property or any other document
that is normally examined during title search that will in perpetuity
provide any potential purchaser of the property the following
information:
The fact that land has been used to sequester carbon dioxide;
The name of the State agency, local authority, and/or Tribe with
which the survey plat was filed, as well as the address of the
Environmental Protection Agency Regional Office to which it was
submitted; and
The volume of fluid injected, the injection zone or zones into
Federal Citation
40 CFR 146.93(e)
40 CFR 146.93(1)
40CFR146.93(f)(l)
40 CFR 146.93(f)(2)
40 CFR 146.93(f)(3)
40 CFR 146.93(g)
40CFR146.93(g)(l)
40 CFR 146.93(g)(2)
40 CFR 146.93(g)(3)
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
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which it was injected, and the period over which injection
occurred.
The owner or operator must retain for 10 years following site
closure, records collected during the post-injection site care period.
The owner or operator must deliver the records to the Director at
the conclusion of the retention period, and the records must
thereafter be retained at a location designated by the Director for
that purpose.
40 CFR 146.94 Emergency and remedial response.
As part of the permit application, the owner or operator must
provide the Director with an emergency and remedial response
plan that describes actions the owner or operator must take to
address movement of the injection or formation fluids that may
cause an endangerment to a USDW during construction, operation,
and post-injection site care periods. The requirement to maintain
and implement an approved plan is directly enforceable regardless
of whether the requirement is a condition of the permit.
If the owner or operator obtains evidence that the injected carbon
dioxide stream and associated pressure front may cause an
endangerment to a USDW, the owner or operator must:
Immediately cease injection;
Take all steps reasonably necessary to identify and characterize
any release;
Notify the Director within 24 hours; and
Implement the emergency and remedial response plan approved by
the Director.
The Director may allow the operator to resume injection prior to
remediation if the owner or operator demonstrates that the injection
operation will not endanger USDWs.
The owner or operator shall periodically review the emergency and
remedial response plan developed under paragraph (a) of this
section. In no case shall the owner or operator review the
emergency and remedial response plan less often than once every
five years. Based on this review, the owner or operator shall submit
Federal Citation
40 CFR 146.93(h)
40 CFR 146.94(a)
40 CFR 146.94(b)
40CFR146.94(b)(l)
40 CFR 146.94(b)(2)
40 CFR 146.94(b)(3)
40 CFR 146.94(b)(4)
40 CFR 146.94(c)
40 CFR 146.94(d)
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
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an amended emergency and remedial response plan or demonstrate
to the Director that no amendment to the emergency and remedial
response plan is needed. Any amendments to the emergency and
remedial response plan must be approved by the Director, must be
incorporated into the permit, and are subject to the permit
modification requirements at 40 CFR 144.39 or 144.41, as
appropriate. Amended plans or demonstrations shall be submitted
to the Director as follows:
Within one year of an area of review reevaluation;
Following any significant changes to the facility, such as addition
of injection or monitoring wells, on a schedule determined by the
Director; or
When required by the Director.
40 CFR 146.95 Class VI injection depth waiver requirements.
This section sets forth information which an owner or operator
seeking a waiver of the Class VI injection depth requirements must
submit to the Director; information the Director must consider in
consultation with all affected Public Water System Supervision
Directors; the procedure for Director - Regional Administrator
communication and waiver issuance; and the additional
requirements that apply to owners or operators of Class VI wells
granted a waiver of the injection depth requirements.
In seeking a waiver of the requirement to inject below the
lowermost USDW, the owner or operator must submit a
supplemental report concurrent with permit application. The
supplemental report must include the following,
A demonstration that the injection zone(s) is/are laterally
continuous, is not a USDW, and is not hydraulically connected to
USDWs; does not outcrop; has adequate injectivity, volume, and
sufficient porosity to safely contain the injected carbon dioxide and
formation fluids; and has appropriate geochemistry.
A demonstration that the injection zone(s) is/are bounded by
laterally continuous, impermeable confining units above and below
the injection zone(s) adequate to prevent fluid movement and
pressure buildup outside of the injection zone(s); and that the
Federal Citation
40CFR146.94(d)(l)
40 CFR 146.94(d)(2)
40 CFR 146.94(d)(3)
40 CFR 146.95
40 CFR 146.95(a)
40CFR146.95(a)(l)
40 CFR 146.95(a)(2)
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
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Federal Requirement
confining unit(s) is/are free of transmissive faults and fractures.
The report shall further characterize the regional fracture properties
and contain a demonstration that such fractures will not interfere
with injection, serve as conduits, or endanger USDWs.
A demonstration, using computational modeling, that USDWs
above and below the injection zone will not be endangered as a
result of fluid movement. This modeling should be conducted in
conjunction with the area of review determination, as described in
40 CFR 146.84, and is subject to requirements, as described in 40
CFR 146.84(c), and periodic reevaluation, as described in 40 CFR
146.84(e).
A demonstration that well design and construction, in conjunction
with the waiver, will ensure isolation of the injectate in lieu of
requirements at 146.86(a)(l) and will meet well construction
requirements in paragraph (f) of this section.
A description of how the monitoring and testing and any additional
plans will be tailored to the geologic sequestration project to ensure
protection of USDWs above and below the injection zone(s), if a
waiver is granted.
Information on the location of all the public water supplies
affected, reasonably likely to be affected, or served by USDWs in
the area of review.
Any other information requested by the Director to inform the
Regional Administrator's decision to issue a waiver.
To inform the Regional Administrator's decision on whether to
grant a waiver of the injection depth requirements at 40 CFR
144.6, 146. 5(f), and 146.86(a)(l), the Director must submit, to the
Regional Administrator, documentation of the following:
An evaluation of the following information as it relates to siting,
construction, and operation of a geologic sequestration project with
a waiver:
The integrity of the upper and lower confining units;
The suitability of the injection zone(s) (e.g., lateral continuity; lack
of transmissive faults and fractures; knowledge of current or
planned artificial penetrations into the injection zone(s) or
Federal Citation
40 CFR 146.95(a)(3)
40 CFR 146.95(a)(4)
40 CFR 146.95(a)(5)
40 CFR 146.95(a)(6)
40 CFR 146.95(a)(7)
40 CFR 146.95(b)
40CFR146.95(b)(l)
40CFR146.95(b)(l)(i)
40CFR146.95(b)(l)(ii)
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
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Federal Requirement
formations below the injection zone);
The potential capacity of the geologic formation(s) to sequester
carbon dioxide, accounting for the availability of alternative
injection sites;
All other site characterization data, the proposed emergency and
remedial response plan, and a demonstration of financial
responsibility;
Community needs, demands, and supply from drinking water
resources;
Planned needs, potential and/or future use of USDWs and non-
USDWs in the area;
Planned or permitted water, hydrocarbon, or mineral resource
exploitation potential of the proposed injection formation(s) and
other formations both above and below the injection zone to
determine if there are any plans to drill through the formation to
access resources in or beneath the proposed injection
zone(s)/formation(s);
The proposed plan for securing alternative resources or treating
USDW formation waters in the event of contamination related to
the Class VI injection activity; and,
Any other applicable considerations or information requested by
the Director.
Consultation with the Public Water System Supervision Directors
of all States and Tribes having jurisdiction over lands within the
area of review of a well for which a waiver is sought.
Any written waiver-related information submitted by the Public
Water System Supervision Director(s) to the (UIC) Director.
Pursuant to requirements at 40 CFR 124.10 of this chapter and
concurrent with the Class VI permit application notice process, the
Director shall give public notice that a waiver application has been
submitted. The notice shall clearly state:
The depth of the proposed injection zone(s);
The location of the injection well(s);
Federal Citation
40CFR146.95(b)(l)(iii)
40CFR146.95(b)(l)(iv)
40CFR146.95(b)(l)(v)
40CFR146.95(b)(l)(vi)
40CFR146.95(b)(l)(vii)
40CFR146.95(b)(l)(viii)
40CFR146.95(b)(l)(ix)
40 CFR 146.95(b)(2)
40 CFR 146.95(b)(3)
40 CFR 146.95(c)
40CFR146.95(c)(l)
40 CFR 146.95(c)(2)
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
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The name and depth of all USDWs within the area of review,
A map of the area of review,
The names of any public water supplies affected, reasonably likely
to be affected, or served by USDWs in the area of review; and,
The results of UlC-Public Water System Supervision consultation
required under paragraph (b)(2) of this section.
Following public notice, the Director shall provide all information
received through the waiver application process to the Regional
Administrator. Based on the information provided, the Regional
Administrator shall provide written concurrence or non-
concurrence regarding waiver issuance.
If the Regional Administrator determines that additional
information is required to support a decision, the Director shall
provide the information. At his or her discretion, the Regional
Administrator may require that public notice of the new
information be initiated.
In no case shall a Director of a State-approved program issue a
waiver without receipt of written concurrence from the Regional
Administrator.
If a waiver is issued, within 30 days of waiver issuance, EPA shall
post the following information on the Office of Water's Web site:
The depth of the proposed injection zone(s);
The location of the injection well(s);
The name and depth of all USDWs within the area of review,
A map of the area of review,
The names of any public water supplies affected, reasonably likely
to be affected, or served by USDWs in the area of review; and
The date of waiver issuance.
Upon receipt of a waiver of the requirement to inject below the
lowermost USDW for geologic sequestration, the owner or
operator of the Class VI well must comply with:
All requirements at 40 CFR 146.84, 146.85, 146.87, 146.88,
Federal Citation
40 CFR 146.95(c)(3)
40 CFR 146.95(c)(4)
40 CFR 146.95(c)(5)
40 CFR 146.95(c)(6)
40 CFR 146.95(d)
40CFR146.95(d)(l)
40 CFR 146.95(d)(2)
40 CFR 146.95(e)
40CFR146.95(e)(l)
40 CFR 146.95(e)(2)
40 CFR 146.95(e)(3)
40 CFR 146.95(e)(4)
40 CFR 146.95(e)(5)
40 CFR 146.95(e)(6)
40 CFR 146.95(fj
40CFR146.95(f)(l)
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
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146.89, 146.91, 146.92, and 146.94;
All requirements at 40 CFR 146.86 with the following modified
requirements:
The owner or operator must ensure that Class VI wells with a
waiver are constructed and completed to prevent movement of
fluids into any unauthorized zones including USDWs, in lieu of
requirements at 40 CFR 146.86(a)(l).
The casing and cementing program must be designed to prevent the
movement of fluids into any unauthorized zones including USDWs
in lieu of requirements at 40 CFR 146.86(b)(l ).
The surface casing must extend through the base of the nearest
USDW directly above the injection zone and be cemented to the
surface; or, at the Director's discretion, another formation above
the injection zone and below the nearest USDW above the
injection zone.
All requirements at 40 CFR 146.90 with the following modified
requirements:
The owner or operator shall monitor the groundwater quality,
geochemical changes, and pressure in the first USDWs
immediately above and below the injection zone(s); and in any
other formations at the discretion of the Director.
Testing and monitoring to track the extent of the carbon dioxide
plume and the presence or absence of elevated pressure (e.g., the
pressure front) by using direct methods to monitor for pressure
changes in the injection zone(s); and, indirect methods (e.g.,
seismic, electrical, gravity, or electromagnetic surveys and/or
down-hole carbon dioxide detection tools), unless the Director
determines, based on site-specific geology, that such methods are
not appropriate.
All requirements at 40 CFR 146.93 with the following, modified
post-injection site care monitoring requirements:
The owner or operator shall monitor the groundwater quality,
geochemical changes and pressure in the first USDWs immediately
above and below the injection zone; and in any other formations at
the discretion of the Director.
Federal Citation
40 CFR 146.95(f)(2)
40 CFR 146.95(f)(2)(i)
40 CFR 146.95(f)(2)(ii)
40 CFR 146.95(f)(2)(iii)
40 CFR 146.95(f)(3)
40 CFR 146.95(f)(3)(i)
40 CFR 146.95(f)(3)(ii)
40 CFR 146.95(f)(4)
40 CFR 146.95(f)(4)(i)
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
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Testing and monitoring to track the extent of the carbon dioxide
plume and the presence or absence of elevated pressure (e.g., the
pressure front) by using direct methods in the injection zone(s);
and indirect methods (e.g., seismic, electrical, gravity, or
electromagnetic surveys and/or down-hole carbon dioxide
detection tools), unless the Director determines based on site-
specific geology, that such methods are not appropriate;
Any additional requirements requested by the Director designed to
ensure protection of USDWs above and below the injection
zone(s).
Federal Citation
40 CFR 146.95(f)(4)(ii)
40 CFR 146.95(f)(5)
State Citation and
Regulatory Text
(document title, page
number, section/paragraph)
Different From Federal Requirement?
40 CFR PART 147-STATE, TRIBAL, AND EPA-ADMINISTERED UNDERGROUND INJECTION CONTROL PROGRAMS
SUBPART A-GENERAL PROVISIONS
40 CFR 147.1 Purpose and scope.
Class VI well owners or operators must comply with 40 CFR
146.91(e) notwithstanding any State program approvals.
40CFR147.1(f)
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Appendix C
Class VI Primacy Application
Checklist for Both New SDWA
Section 1422 UIC Programs and
SDWA Section 1422 UIC
Program Revision Applications
-------
Class VI Primacy Application Checklist for Both New UIC
Programs and UIC Program Revision Applications
The following Primacy Application Checklist is intended to aid states in ensuring that they have
assembled all the necessary documentation for a primacy program application. While it includes
the required elements of a primacy program application, it is not a comprehensive list. Therefore,
states should refer to 40 CFR 145 Subpart B ("Requirements for State Programs") and 40 CFR
145 Subpart C ("State Program Submissions") for additional information. In addition, states
submitting a New UIC Program Application should also refer to 40 CFR 124 ("Procedures for
Decision-making") for more information on the primacy and public participation requirements of
the UIC Program that must be met before submitting a New UIC Program Application to EPA.
Additional information on primacy application materials and requirements can be found in
Sections 3 and 4 of this manual.
In addition to completing this checklist below, states can also use the Federal/State Regulatory
Comparison Crosswalk included in Appendix B to help identify state statutory or regulatory
provisions that correspond to each federal requirement. A completed crosswalk will help EPA in
reviewing the state application for UlC/Class VI primacy.
REQUIRED ITEM
REQUIRED ELEMENTS FOUND IN 40 CFR 145.11 - 145.14 SUBPART B
REQUIRED ELEMENTS FOUND IN 40 CFR 145 SUBPART C (see below)
INCLUDED?
Yes D No D
New SDWA Section 1422 UIC Program Primacy Applications
A letter from the Governor of the state requesting program approval as required by 40 CFR
145.22(a)(l)
A complete program description as required by 40 CFR 145.23
A narrative on the scope, structure, coverage and processes of the state
program [40 CFR 145. 23(a)]
A description of the organizational structure/responsibilities, organizational
charts, and costs and funding sources of the implementing agency [40 CFR
145.23(b)]
A description of permitting, administrative and judicial review procedures
[40 CFR 145.23(c)]
Copies of permit, application, reporting and manifest forms [40 CFR
145.23(d)]
A description of the state's compliance tracking and enforcement program [40
CFR 145.23(e)]
A schedule for issuing permits [40 CFR 145.23(f)(l)]
A statement of the state's priorities for issuing Class VI permits and the
number of permits that will be issued [40 CFR 145.23(f)(2)]
A description of how the state will meet the mechanical integrity testing
requirements [40 CFR 145.23(f)(3)]
A description of the state's procedures to notify owners or operators of
injection wells of the requirement that they apply for and obtain a permit [40
CFR 145.23(f)(4)]
A description of how the state will establish and maintain a UIC well
inventory [40 CFR 145.23(f)(7)]
A description of exempted aquifers, expansions of the areal extent of existing
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
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REQUIRED ITEM
aquifer exemptions for Class II EOR/EGR transitioning to Class VI injection,
and a summary of supporting data and the specific locations [40 CFR
145.23(f)(9)]
A description of the state's transboundary notification and documentation
procedures [40 CFR 145.23(f)(13)]
An Attorney General's statement as required by 40 CFR 145.24
A Memorandum of Agreement with the EPA Regional Administrator as required by 40 CFR
145.25
Copies of all applicable state statutes and regulations, including those governing state
administrative procedures as required by 40 CFR 145.22(a)(5)
The Federal/State Regulation Comparison Crosswalk (Appendix B of this Manual)
A demonstration of compliance with public participation requirements as required by 40
CFR 145.22(a)(6) and 145.31(a)-(b)
State issued public notice of the intent to adopt a UIC Program and seek
approval from EPA: circulated statewide by large newspapers and mailing
directly to interested persons
Notice indicates when and where the state's proposed program submission
may be reviewed by the public
Notice indicates the cost of obtaining a copy of the submission
Notice provides for a 30-day public comment period
Notice schedules a public hearing on the state program
Notice briefly outlines the fundamental aspects of the state UIC Program
Notice identifies a person that the public can contact for further information
Copies of all written comments received by the state
A transcript, recording or summary of any public hearings
Responsiveness summary
Compliance with requirements of 40 CFR 124
SDWA Section 1422 UIC Program Revision Applications
A modified program description
A description of the organizational structure for the Primacy Agency [40 CFR
145.23(b)]
A description of the organizational structure/responsibilities, organizational
charts, and costs and funding sources of the implementing agency [40 CFR
145.23(b)]
A schedule for issuing permits [40 CFR 145.23(f)(l)]
A statement of the state's priorities for issuing Class VI permits and the
number of permits that will be issued [40 CFR 145.23(f)(2)]
A description of how the state will meet the new mechanical integrity testing
requirements [40 CFR 145.23(f)(3)]
A description of the state's procedures to notify owners or operators of Class
I wells previously permitted for geologic sequestration, or any Class V
experimental technology wells that are no longer experimental but will
continue to inject carbon dioxide for GS, of the requirement that they apply
for and obtain a permit [40 CFR 145.23(f)(4)]
A description of exempted aquifers, expansions of the areal extent of existing
aquifer exemptions for Class II EOR/EGR transitioning to Class VI injection,
and a summary of supporting data and the specific locations. [40 CFR
145.23(f)(9)]
A description of the state's transboundary notification and documentation
INCLUDED?
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
Yes D No D
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REQUIRED ITEM
procedures [40 CFR 145.23(f)(13)]
An updated Attorney General's statement as required by 40 CFR 145.24
A revised Memorandum of Agreement with the EPA Regional Administrator as required by
40 CFR 145 .25
Copies of all applicable state statutes and regulations, including those governing state
administrative procedures as required by 40 CFR 145.25.22(a)(5)
The Federal/State Regulation Comparison Crosswalk (Appendix B of this Manual)
INCLUDED?
Yes D No D
Yes D No D
Yes D No D
Yes D No D
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Appendix D
Example Memorandum of
Agreement
-------
MEMORANDUM OF AGREEMENT
Between
Insert Name of State
And
The United States Environmental Protection Agency Region Insert
Region Number
I. General
This Memorandum of Agreement ("Agreement") establishes policies, responsibilities and procedures pursuant
to 40 CFR parts 124, 144, 145, 146, and Section 1421 of the Safe Drinking Water Act ("SDWA" or "the Act")
for Insert Name of State Underground Injection Control Program ("state program") as authorized by Part C of
SDWA (P.L. 93-523 as amended; 42 U.S.C. 300f et seq.).
This Agreement is entered into by Insert Name of State and signed by Insert Name of State Signer of Insert
Name of State Agency (e.g. Department of Environmental Protection), (hereafter, "the state" or "the
Department") with the United States Environmental Protection Agency, Region Insert Region Number, and
signed by Insert Name of Regional Administrator, Regional Administrator (hereafter, "EPA" or "Regional
Administrator"). This Agreement shall become effective when approved by the Regional Administrator.
A. Lead Agency Responsibilities
The lead agency, Insert Name of State Agency that receives the annual program grant, as designated by the
Governor of the state, is also the lead agency to coordinate the state program. This lead agency shall
coordinate the state program to facilitate communication between the EPA and the state agencies having
program responsibilities. These responsibilities shall include, but not be limited to, the submission of grant
applications, reporting and monitoring results, and annual report requirements. The Department is
responsible for and has authority over all Class Insert All Applicable Well Classes injection wells.
B. Review and Modifications
This Agreement shall be reviewed annually as part of the annual program grant and State/EPA Agreement
("SEA") process. The annual program grant and the SEA shall be consistent with this Agreement and may
not override this Agreement.
This Agreement may be modified upon the initiative of the state or the EPA. Modifications must be in
writing and must be signed by the Department and the Regional Administrator. Modifications become
effective when signed by both parties. Modifications may be made by revision prior to the effective date of
this Agreement or subsequently by addenda attached to this Agreement and consecutively numbered,
signed, and dated.
C. Conformance with Laws and Regulations
The Department shall administer the Underground Injection Control (UIC) program consistent with the
state's submission for program approval, this MOA, SDWA, current federal policies and regulations,
promulgated minimum requirements, priorities established as part of the annually approved state UIC
grant, state and federal law, and any separate working agreements which shall be entered into with the
Regional Administrator as necessary for the full administration of the UIC program.
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D. Responsibilities of Parties
Each of the parties has responsibilities to assure that the UIC requirements are met. The parties agree to
maintain a high level of cooperation and coordination between state and EPA staffs in a partnership to
assure successful and effective administration of the UIC program. In this partnership, the Regional
Administrator will provide to the Department necessary technical and policy assistance on program
matters.
The Regional Administrator is responsible for keeping the Department apprised, in a timely manner, of the
meaning and content of the federal guidelines, technical standards, regulations, policy decisions,
directives, and any other factors which affect the UIC program.
The strategies and priorities for issuance, compliance, monitoring and enforcement of permits, and
implementation of technical requirements shall be established in the state's program description, the
annual SEA, or in subsequent working agreements. If requested by either party, meetings will be
scheduled at reasonable intervals between the state and EPA to review specific operating procedures,
resolve problems, or discuss mutual concerns involving the administration of the UIC program.
E. Sharing of Information
The Department shall promptly inform EPA of any proposed, pending, or enacted modifications to laws,
regulations, or guidelines, and any judicial decisions or administrative actions, which might affect the state
program and the state's authority to administer the program. The Department shall promptly inform EPA
of any resource allocation changes (for example, personnel budget, equipment, etc.) which might affect the
state's ability to administer the program.
Any information obtained or used by the state under its UIC program shall be available to EPA upon
request without restriction. If the information has been submitted to the state under a claim of
confidentiality, the state must submit that claim to EPA when providing EPA such information. Any
information obtained from a state and subject to a claim of confidentiality will be treated in accordance
with 40 CFR Part 2. If EPA obtains information from the state that is not claimed to be confidential, EPA
may make that information available to the public without further notice.
EPA shall furnish the state the information in its files not submitted under a claim of confidentiality which
the state needs to implement its approved program. EPA shall furnish to states information submitted to
EPA under a claim of confidentiality which the state needs to implement its approved program subject to
conditions in 40 CFR Part 2.
F. Duty to Revise Program
As stated in 40 CFR 145.32(e), within 270 days of any amendment to any regulation promulgated at 40
CFR 124, 144, 145 or 146 revising or adding any requirement respecting state UIC programs, the state
shall submit notice to EPA showing that the state program meets the revised or added requirements.
G. Duration of MOA
This Agreement will remain in effect until such time as state primacy enforcement responsibility is
returned to EPA by the state, or withdrawn by EPA, according to the provisions of 40 CFR Part 145.31.
H. General Provisions
Nothing in this Agreement is intended to affect any UIC or program requirement, including any standards
or prohibitions established by state or local law, as long as the state or local requirements are no less
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stringent than or are deemed equally protective as: (1) any set forth in the UIC regulations; or (2) other
requirements or prohibitions established under SDWA or applicable regulations.
Nothing in this Agreement shall be construed to limit the authority of the EPA to take action pursuant to
Sections 1421, 1422, 1424, 1425, 1426, 1431 or other sections of SDWA.
This MOA does not create any right or benefit, substantive or procedural, enforceable by law or equity, by
persons who are not party to this agreement, against Insert Name of State Agency or EPA, their officers or
employees, or any other person. This MOA does not direct or apply to any person outside of Insert Name
of State Agency and EPA.
II. Permitting
A. General
Thes state is responsible for expeditiously drafting, circulating, issuing, modifying, reissuing, and
terminating UIC permits and shall do so in accordance with 40 CFR Part 124.3. The Director shall
review and issue permits based on the permit conditions of 40 CFR Parts 144-146, and 40 CFR 148.
Permits shall be issued which comply with applicable Federal and state requirements. Class VI
permits shall be modified pursuant to 40 CFR 144.39 (permit modifications) and 40 CFR 144.41
(minor modifications).
All Class VI permits shall meet the public participation requirements at 40 CFR 25 and 124, interstate
coordination requirements at 40 CFR 146.82(b), and permitting procedures at 40 CFR 124 for Class
VI wells.
B. Class VI Injection Depth Waivers
The state shall provide all information received through the injection depth waiver application process
described in 40 CFR 146.95, to the Regional Administrator. Based on the information provided, the
Regional Administrator shall provide written concurrence or non-concurrence regarding waiver
issuance. The state shall not issue a Class VI injection depth waiver without receipt of written
concurrence from the Regional Administrator.
C. Post-Injection Site Care and Site Closure
The state and EPA agree to consult on any alternative post-injection site care timeframes (other than
the 50 year default timeframe required by 40 CFR 146.93), if an owner or operator can demonstrate
during the permitting process that an alternative post-injection site care timeframe is appropriate and
ensures non-endangerment of USDWs.
Pursuant to 40 CFR 145.1(g), nothing in this MOA precludes the state from adopting or enforcing
requirements which are more stringent or more extensive than those required under federal
regulations, and if the state program has a greater scope of coverage than required by Federal law, the
additional coverage is not part of the federally approved program.
D. Transfer of Responsibility from EPA
The Regional Administrator shall transfer from EPA to the state any pending permit, applications and
any other information relevant to program operation not already in the possession of the state Director
when a state assumes primacy for the program.
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[NOTE —If a state lacks the authority to directly administer permits issued by the Federal
government, a procedure should be established to transfer responsibility for these permits.
For example, EPA and the state and the permittee could agree that the state would issue a permit(s)
identical to the outstanding Federal permit which would simultaneously be terminated.]
E. Coordination with EPA (Discretionary)
EPA and the state may coordinate when appropriate the processing of permits for facilities or
activities that require permits from both EPA and the state under different programs.
[NOTE —To promote efficiency and to avoid duplication and inconsistency, states are encouraged to
enter into joint processing agreements with EPA for permit issuance. Likewise, states are encouraged
to coordinate or consolidate their own permit programs and activities.]
F. Consolidation of Permit Issuance (Discretionary)
The state and EPA may agree on provisions for joint processing of permits for facilities or activities
which require permits from both EPA and the state under different programs. The state and EPA may
consolidate draft permits, fact sheets, public comment periods, and any public hearings on those
permits which are jointly processed. The Director shall not, however, proceed with joint processing of
permits if this would result in an unreasonable delay in the issuance of one or more permits.
G. Compliance Schedule and Reports
The Director agrees to establish compliance schedules in permits where appropriate and to require
periodic reporting on compliance with compliance schedules and other permit conditions.
H. Environmental Justice
The UIC Program Director agrees to examine the potential risks of a proposed Class VI well within
his or her jurisdiction to identify and address any particular impacts on minority and low-income
populations.
III. Compliance Monitoring
H. General
The state shall operate a timely and effective compliance monitoring system to track compliance with
program requirements. For purposes of this Agreement, the terms "compliance monitoring" or
"compliance evaluation" shall refer to all efforts associated with determining compliance with UIC
program requirements.
I. Compliance Schedule
The state agrees to maintain procedures to receive, evaluate, retain, and investigate all notices and reports
that are required by program regulations. These procedures shall also include the necessary elements to
investigate the failure of persons required to submit such notices and reports. The state shall initiate
appropriate compliance actions when required information is not received or when the reports are not
submitted.
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J. Review of Compliance Reports
The state shall conduct a timely and substantive review of all such reports to determine compliance status.
The state shall operate a tracking system to determine if: (1) the reports required by program regulations
are submitted; (2) the submitted reports are complete and accurate; and (3) the program requirements are
met. The reports and notices shall be evaluated for compliance status in accordance with the state
compliance program and the program requirements.
K. Inspection and Surveillance
The Department agrees to have inspection and surveillance procedures to determine compliance or
noncompliance with the applicable requirements of the UIC program. Survey or other methods of
surveillance shall be utilized to identify persons who have not complied with program requirements. Any
compilations, index, or inventory obtained for such facilities or activities shall be made available to the
Regional Administrator upon request.
The Department shall conduct inspections of the facilities and activities subject to regulatory requirements.
These compliance monitoring inspections shall be performed to assess compliance with all UIC program
requirements and include selecting and evaluating a facility's monitoring and reporting program. These
inspections shall be conducted to determine compliance or noncompliance, verify the accuracy of
information submitted in reporting forms and monitoring data, and to verify the adequacy of sampling,
monitoring, and other methods to provide the information.
L. Authority to Enter
The Department (and other state designees) engaged in compliance monitoring and evaluation shall have
the authority to enter any site or premises subject to regulation or to review and copy the records of
relevant program operations where such records are kept.
M. Admissibility
Any investigatory inspections shall be conducted and samples and other information collected in a manner
to provide evidence admissible in an enforcement proceeding or in court.
IV. Enforcement
A. General
The state is responsible for taking timely and appropriate enforcement action against persons in violation
of program requirements, compliance schedules, technical requirements and other UIC program
requirements. This includes violations detected by state or federal inspections.
The state shall notify EPA of any enforcement actions taken by the state. Failure by the state to initiate
appropriate enforcement action against a substantive violation may be the basis for EPA's determination
that the State has failed to take timely enforcement action. Such a determination shall result in EPA filing
an action to enforce the state's rules consistent with Section 1423 of the SDWA.
Failure by the state to initiate appropriate enforcement action against a substantive violation may be the
basis for EPA's determination that the state has failed to take timely enforcement action.
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B. Enforcement Mechanisms
The state shall have the mechanism to restrain immediately and effectively any person engaging in any
unauthorized activity or operation, which is endangering or causing damage to public health or the
environment as applicable to the program requirements. The state agency administering the program shall
also have the means to sue in courts of competent jurisdiction to prohibit any threatened or continuing
violation of any program requirement. Additionally, the state agency administering the program shall have
the mechanism to access or sue to recover in court civil penalties and criminal remedies as established in
40CFR145.13.
C. EPA Enforcement
Nothing in this Agreement shall affect EPA's authority or responsibility to take enforcement actions under
Sections 1423 and 1431 of SDWA.
When the state has a fully approved program, the EPA will not take enforcement actions without
providing prior notice to the state and otherwise complying with sections 1423 and 1431 of SDWA.
D. Assessment of Fines
The state shall agree to assess civil penalties in amounts appropriate to the violation as required in Section
145.13(c) of the regulations.
V. EPA Oversight
A. General
EPA shall oversee the state's administration of the UIC program on a continuing basis to assure that such
administration is consistent with this MOA, the state UIC grant application, and all applicable
requirements embodied in current regulations, policies and federal law.
In addition to the specific oversight activities listed in this section, EPA may from time to time request
specific information, and the state shall submit and provide access to files necessary for evaluating the
Department's administration of the UIC program.
B. Immediate Reporting on Noncompliance
The Department shall immediately notify the Regional Administrator by telephone, or otherwise, of any
major, imminent hazard to public health resulting from the endangerment of an underground source of
drinking water of the state by well injection.
C. Program Reports
The state shall submit program reports to the Regional Administrator in accordance with Section 144.8.
All Class VI program reports shall be consistent with reporting requirements set forth in 40 CFR 146.91
and shall be submitted to the Regional Administrator in accordance with 40 CFR 144.8. The reports are to
be submitted quarterly using the specified 7520 reporting forms and include a narrative.
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D. Inspection and Surveillance by EPA
The Regional Administrator may select facilities and activities within the state for EPA inspection.
EPA may conduct such inspections jointly with the state. The Department shall give the Regional
Administrator adequate notice to participate in any compliance evaluation inspection scheduled by the
state.
The Regional Administrator may also choose to conduct inspections independently of the state's schedule.
In such cases, the EPA shall notify the state as least seven (7) days before any inspection that EPA
determines to be necessary to allow coordination of scheduling and allow joint inspection. However, if an
emergency exists, or for some reason it is impossible to give advance notification, the Regional
Administrator may waive advance notification to inspect a facility. In keeping with Section 1445(b)(2) of
SDWA, the state understands not to inform the person whose property is to be entered of the pending
inspection.
E. Annual Performance Evaluation
EPA shall conduct, at least annually, performance evaluations of the state program using program reports
and other requested information to determine state program consistency with the program submission,
SDWA applicable regulations, and applicable guidance and policies. The review will not only include a
review of financial expenditures but reviews on progress towards program implementation, changes in the
program description, and efforts towards progress on program elements.
EPA shall submit a summary of the evaluation findings to the state outlining the deficiencies in program
performance and recommendations for improving state operations. The report also might provide guidance
for the development of an upcoming grant application. The state shall have 15 working days from the date
of receipt to concur with or comment on the findings and recommendations.
VI. Signatures
Insert Name of State Agency
By
Insert Name of State Signer
Insert Title of State Signer
Date
U.S. Environmental Protection Agency, Region Insert Region Number
By
Insert Name of Regional Administrator
Regional Administrator
Date
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Appendix E
Example Addendum to a
Memorandum of Agreement for
States with Existing UIC
Programs
-------
MEMORANDUM OF AGREEMENT ADDENDUM 1
Between
Insert Name of State
And
The United States Environmental Protection Agency Region Insert
Region Number
I. General
The Memorandum of Agreement between the state of Insert Name of State and the EPA Region Insert Region
Number, dated Insert date of Underground Injection Control (UIC) Program Memorandum of Agreement
(program MOA), is supplemented by this Addendum 1. All terms defined in the program MOA shall have the
same meanings for purposes of this Addendum 1.
This Agreement is entered into by Insert Name of State and signed by Insert Name of State Signer of Insert
Name of State Agency (e.g. Department of Environmental Protection), (hereafter, "the state" or "the
Department") with the United States Environmental Protection Agency, Region Insert Region Number, and
signed by Insert Name of Regional Administrator, Regional Administrator (hereafter, "EPA" or "Regional
Administrator"). This Agreement shall become effective when approved by the Regional Administrator.
A. Lead Agency Responsibilities
The Insert Name of State Agency is the lead agency to coordinate the implementation of the Class VI UIC
program. This lead agency shall coordinate the state program to facilitate communication between the
EPA and any other state agencies having program responsibilities for other injection well classes. These
responsibilities shall include, but not be limited to, the submission of grant applications, reporting and
monitoring results, and annual report requirements. The Insert Name of State Agency is responsible for
and has authority over all Class VI injection wells.
B. Review and Modifications
This Agreement shall be reviewed annually as part of the annual program grant and State/EPA Agreement
("SEA") process. The annual program grant and the SEA shall be consistent with this Agreement and may
not override this Agreement.
This Agreement may be modified upon the initiative of the state or the EPA. Modifications must be in
writing and must be signed by the Insert Name of State Agency and the Regional Administrator.
Modifications become effective when signed by both parties. Modifications may be made by revision prior
to the effective date of this Agreement or subsequently by addenda attached to this Agreement and
consecutively numbered, signed, and dated.
C. Conformance with Laws and Regulations
The Insert Name of State shall administer the Class VI UIC program consistent with the state's submission
for program approval, the program MOA, this Addendum, the Safe Drinking Water Act (SDWA), current
federal policies and regulations, promulgated minimum requirements, priorities established as part of the
annually approved state UIC grant, state and federal law, and any separate working agreements which
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shall be entered into with the Regional Administrator as necessary for the full administration of the Class
VIUIC program.
D. Responsibilities of Parties
Each of the parties has responsibilities to assure that the Class VI UIC requirements are met. The parties
agree to maintain a high level of cooperation and coordination between state and EPA staffs in a
partnership to assure successful and effective administration of the Class VI UIC program. In this
partnership, the Regional Administrator will provide to the Insert Name of State Agency necessary
technical and policy assistance on program matters.
The Regional Administrator is responsible for keeping the Insert Name of State Agency apprised, in a
timely manner, of the meaning and content of the federal guidelines, technical standards, regulations,
policy decisions, directives, and any other factors which affect the UIC program.
The strategies and priorities for issuance, compliance, monitoring and enforcement of permits, and
implementation of technical requirements shall be established in the state's program description, the
annual SEA, or in subsequent working agreements. If requested by either party, meetings will be
scheduled at reasonable intervals between the state and EPA to review specific operating procedures,
resolve problems, or discuss mutual concerns involving the administration of the Class VI UIC program.
E. Sharing of Information
The Insert Name of State Agency shall promptly inform EPA of any proposed, pending, or enacted
modifications to laws, regulations, or guidelines, and any judicial decisions or administrative actions,
which might affect the state program and the state's authority to administer the program. The Insert Name
of State Agency shall promptly inform EPA of any resource allocation changes (for example, personnel
budget, equipment, etc.) which might affect the state's ability to administer the program.
Any information obtained or used by the state under its Class VI UIC program shall be available to EPA
upon request without restriction. If the information has been submitted to the state under a claim of
confidentiality, the state must submit that claim to EPA when providing EPA such information. Any
information obtained from a state and subject to a claim of confidentiality will be treated in accordance
with 40 CFR Part 2. If EPA obtains information from the state that is not claimed to be confidential, EPA
may make that information available to the public without further notice.
EPA shall furnish the state the information in its files not submitted under a claim of confidentiality which
the state needs to implement its approved program. EPA shall furnish to states information submitted to
EPA under a claim of confidentiality which the state needs to implement its approved program subject to
conditions in 40 CFR Part 2.
F. Duty to Revise Program
As stated in 40 CFR 145.32(e), within 270 days of any amendment to any regulation promulgated at 40
CFR 124, 144, 145 or 146 revising or adding any requirement respecting state UIC programs, the state
shall submit notice to EPA showing that the state program meets the revised or added requirements.
G. Duration of MOA
This Agreement will remain in effect until such time as state primacy enforcement responsibility is
returned to EPA by the state, or withdrawn by EPA, according to the provisions of 40 CFR Part 145.31.
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H. General Provisions
Nothing in this Agreement is intended to affect any Class VIUIC or program requirement, including any
standards or prohibitions established by state or local law, as long as the state or local requirements are no
less stringent than or are deemed equally protective as: (1) any set forth in the Class VI UIC regulations; or
(2) other requirements or prohibitions established under SDWA or applicable regulations.
Nothing in this Agreement shall be construed to limit the authority of the EPA to take action pursuant to
Sections 1421, 1422, 1424, 1425, 1426, 1431 or other sections of SDWA.
This MOA does not create any right or benefit, substantive or procedural, enforceable by law or equity, by
persons who are not party to this agreement, against Insert Name of State Agency or EPA, their officers or
employees, or any other person. This MOA does not direct or apply to any person outside of Insert Name
of State Agency and EPA.
II. Permitting
A. General
The state is responsible for expeditiously drafting, circulating, issuing, reissuing, and terminating
Class VI permits and shall do so in accordance with 40 CFR Part 124.3. The Director shall review and
issue permits based on the permit conditions of 40 CFR Parts 40 CFR 144-146, and 40 CFR 148.
Class VI permits shall be modified pursuant to 40 CFR 144.39 (permit modifications) and 40 CFR
144.41 (minor modifications). Permits shall be issued which comply with applicable federal and state
requirements.
All Class VI permits shall meet the public participation requirements at 40 CFR 25 and 124, interstate
coordination requirements at 40 CFR 146.82(b), and permitting procedures at 40 CFR 124 for Class
VI wells.
B. Class VI Injection Depth Waivers
The state shall provide all information received through the injection depth waiver application process
described in 40 CFR 146.95, to the Regional Administrator. Based on the information provided, the
Regional Administrator shall provide written concurrence or non-concurrence regarding waiver
issuance. The state shall not issue a Class VI injection depth waiver without receipt of written
concurrence from the Regional Administrator.
C. Post-Injection Site Care and Site Closure
The state and EPA agree to consult on any alternative post-injection site care timeframes (other than
the 50 year default timeframe required by 40 CFR 146.93), if an owner or operator can demonstrate
during the permitting process that an alternative post-injection site care timeframe is appropriate and
ensures non-endangerment of USDWs.
Pursuant to 40 CFR 145.1(g) nothing in this MOA precludes the state from adopting or enforcing
requirements which are more stringent or more extensive than those required under federal
regulations, and if the state program has a greater scope of coverage than required by Federal law, the
additional coverage is not part of the federally approved program.
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D. Transfer of Responsibility from EPA
The Regional Administrator shall transfer to the state any pending permits, applications, and any
other information relevant to Class VIUIC program operation not already in the possession of the
state Director when a state assumes primacy for the Class VI program.
[NOTE —If a state lacks the authority to directly administer permits issued by the federal
government, a procedure should be established to transfer responsibility for these permits. For
example, EPA and the state and the permittee could agree that the state would issue a Class VI
permit(s) identical to the outstanding Federal permit which would simultaneously be terminated.]
E. Coordination with EPA (Discretionary)
EPA and the state may coordinate when appropriate the processing of permits for facilities or
activities that require permits from both EPA and the state under different programs.
[NOTE —To promote efficiency and to avoid duplication and inconsistency, states are encouraged to
enter into joint processing agreements with EPA for permit issuance. Likewise, states are encouraged
to coordinate or consolidate their own permit programs and activities.]
F. Consolidation of Permit Issuance (Discretionary)
The state and EPA may agree on provisions for joint processing of permits for facilities or activities
which require permits from both EPA and the state under different programs. The state and EPA may
consolidate draft permits, fact sheets, public comment periods and any public hearings on those
permits which are jointly processed. The Director shall not, however, proceed with joint processing of
permits if this would result in unreasonable delay in the issuance of one or more permits.
G. Compliance Schedule and Reports
The Director agrees to establish compliance schedules in permits where appropriate and to require
periodic reporting on compliance with compliance schedules and other permit conditions.
H. Environmental Justice
The UIC Program Director agrees to examine the potential risks of a proposed Class VI well within
his or her jurisdiction to identify and address any particular impacts on minority and low-income
populations.
III. Compliance Monitoring
A. General
The state shall operate a timely and effective compliance monitoring system to track compliance with
program requirements. For purposes of this Agreement, the terms "compliance monitoring" or
"compliance evaluation" shall refer to all efforts associated with determining compliance with Class VI
UIC program requirements.
B. Compliance Schedule
The state agrees to maintain procedures to receive, evaluate, retain and investigate all notices and reports
that are required by program regulations. These procedures shall also include the necessary elements to
investigate the failure of persons required to submit such notices and reports. The state shall initiate
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appropriate compliance actions when required information is not received or when the reports are not
submitted.
C. Review of Compliance Reports
The state shall conduct a timely and substantive review of all such reports to determine compliance status.
The state shall operate a tracking system to determine if: (1) the reports required by program regulations
are submitted; (2) the submitted reports are complete and accurate; and (3) the program requirements are
met. The reports and notices shall be evaluated for compliance status in accordance with the state
compliance program and the program requirements.
D. Inspection and Surveillance
The Insert Name of State Agency agrees to have inspection and surveillance procedures to determine
compliance or noncompliance with the applicable requirements of the Class VI program. Survey or other
methods of surveillance shall be utilized to identify persons who have not complied with program
requirements. Any compilations, index, or inventory obtained for such facilities or activities shall be made
available to the Regional Administrator upon request.
The Insert Name of State Agency shall conduct inspections of the facilities and activities subject to
regulatory requirements. These compliance monitoring inspections shall be performed to assess
compliance with all UIC program requirements and include selecting and evaluating a facility's
monitoring and reporting program. These inspections shall be conducted to determine compliance or
noncompliance, verify the accuracy of information submitted in reporting forms and monitoring data, and
to verify the adequacy of sampling, monitoring, and other methods to provide the information.
E. Authority to Enter
The Insert Name of State Agency (and other state designees) engaged in compliance monitoring and
evaluation shall have the authority to enter any site or premises subject to regulation or to review and copy
the records of relevant program operations where such records are kept.
F. Admissibility
Any investigatory inspections shall be conducted and samples and other information collected in a manner
to provide evidence admissible in an enforcement proceeding or in court.
IV. Enforcement
A. General
The state is responsible for taking timely and appropriate enforcement action against persons in violation
of Class VI program requirements, compliance schedules, technical and other Class VI program
requirements. This includes violations detected by state or federal inspections.
The EPA shall be notified of any enforcement actions taken by the state. Failure by the state to initiate
appropriate enforcement action against a substantive violation may be the basis for EPA's determination
that the state has failed to take timely enforcement action. Such a determination shall result in EPA filing
an action to enforce the state's rules consistent with Section 1423 of the SDWA.
Failure by the state to initiate appropriate enforcement action against a substantive violation may be the
basis for EPA's determination that the state has failed to take timely enforcement action.
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B. Enforcement Mechanisms
The state shall have the mechanism to restrain immediately and effectively any person engaging in any
unauthorized activity or operation, which is endangering or causing damage to public health or the
environment as applicable to the program requirements. The state agency administering the Class VI
program shall also have the means to sue in courts of competent jurisdiction to prohibit any threatened or
continuing violation of any program requirement. Additionally, the state agency administering the Class
VI program shall have the mechanism to access or sue to recover in court civil penalties and criminal
remedies as established in 40 CFR 145.13.
C. EPA Enforcement
Nothing in this Agreement shall affect EPA's authority or responsibility to take enforcement actions under
Sections 1423 and 1431 of SDWA.
When the state has a fully approved Class VI program, the EPA will not take enforcement actions without
providing prior notice to the state and otherwise complying with sections 1423 and 1431 of SDWA.
D. Assessment of Fines
The state shall agree to assess civil penalties in amounts appropriate to the violation as required in Section
145.13(c) of the regulations.
V. EPA Oversight
A. General
EPA shall oversee the state's administration of the Class VI program on a continuing basis to assure that
such administration is consistent with this Agreement, the program MOA, the state UIC grant application,
and all applicable requirements embodied in current regulations, policies, and federal law.
In addition to the specific oversight activities listed in this section, EPA may from time to time request
specific information, and the state shall submit and provide access to files necessary for evaluating the
state's administration of the Class VI program.
B. Immediate Reporting on Noncompliance
The Insert Name of State Agency shall immediately notify the Regional Administrator by telephone, or
otherwise, of any major, imminent hazard to public health resulting from the endangerment of an USDW
of the state by well injection.
C. Program Reports
The state shall submit all Class VI program reports to the Regional Administrator in accordance with 40
CFR 144.8. All Class VI program reports shall be consistent with reporting requirements set forth in 40
CFR 146.91 and shall be submitted to the Regional Administrator in accordance with 40 CFR 144.8. The
reports are to be submitted quarterly using the specified 7520 reporting forms and include a narrative.
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D. Inspection and Surveillance by EPA
The Regional Administrator may select facilities and activities within the state for EPA inspection.
EPA may conduct such inspections jointly with the state. The Insert Name of State Agency shall give the
Regional Administrator adequate notice to participate in any compliance evaluation inspection scheduled
by the state.
The Regional Administrator may also choose to conduct inspections independently of the state's schedule.
In such cases, the EPA shall notify the state as least seven (7) days before any inspection that EPA
determines to be necessary to allow coordination of scheduling and allow joint inspection. However, if an
emergency exists, or for some reason it is impossible to give advance notification, the Regional
Administrator may waive advance notification to inspect a facility. In keeping with Section 1445(b)(2) of
SDWA, the state understands not to inform the person whose property is to be entered of the pending
inspection.
E. Annual Performance Evaluation
EPA shall conduct, at least annually, performance evaluations of the state program using program reports
and other requested information to determine state program consistency with the program submission,
SDWA applicable regulations, and applicable guidance and policies. The review will not only include a
review of financial expenditures but reviews on progress towards program implementation, changes in the
program description, and efforts towards progress on program elements.
EPA shall submit a summary of the evaluation findings to the state outlining the deficiencies in program
performance and recommendations for improving state operations. The report also might provide guidance
for the development of an upcoming grant application. The state shall have 15 working days from the date
of receipt to concur with or comment on the findings and recommendations.
VI. Signatures
Insert Name of State Agency
By
Insert Name of State Signer
Insert Title of State Signer
Date
U.S. Environmental Protection Agency, Region Insert Region Number
By
Insert Name of Regional Administrator
Regional Administrator
Date
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Appendix F
Example Memorandum of
Understanding
-------
MEMORANDUM OF UNDERSTANDING
Between
Insert Name of Agency/Department
And
Insert Name of Agency/Department
I. PURPOSE
This Memorandum of Understanding provides an operating agreement by which Insert Name of
Agency/Department and Insert Name of Agency/Department shall execute their respective
responsibilities concerning regulation of Underground Injection Control (UIC) Class VI wells in
the state/Commonwealth of Insert Name of State.
II. BACKGROUND
On December 10, 2010, the United States Environmental Protection Agency published the UIC
Geologic Sequestration Class VI Rule (75 FR 77230) under the authority of the Safe Drinking
Water Act (SOWA). The Rule defines a new class of injection well, Class VI, used for geologic
sequestration of carbon dioxide beneath the lowermost formation containing an underground
source of drinking water (USDW).
Currently, Insert Name of Agency/Department is the designated regulatory authority in the
state/Commonwealth of Insert Name of State responsible for Insert Agency/Department's
current regulatory responsibility for UIC (e.g., protection of underground sources of drinking
water through the regulation of Class I, II, IV, and V Underground Injection Control Wells).
Also currently, Insert Name of 'Agency/Department is the designated regulatory authority in the
state/Commonwealth Insert Name of State responsible for Insert Agency/Department's current
regulatory responsibility for UIC (e.g., administering the Class II Underground Injection
Control program).
Because some of the requirements of the Class VI program may include areas of regulatory
overlap (e.g., criteria for siting, area of review, corrective action), Insert Name of
Agency/Department and Insert Name of Agency/Department agree that it is in their mutual
interest and benefit to work cooperatively in implementing the Class VI program.
III. AUTHORITIES
This cooperative agreement is entered into with full recognition of the following regulatory
mandates/authorities:
The Insert Name of Agency/Department has jurisdiction for Insert Regulated Activity (e.g.
oilfield operations, downhole operations, underground injection control, carbon capture and
storage), in accordance with Insert Specific State Regulation Citations Including all Relevant
Definitions (e.g. Chapter # of State/Territory/Tribe Environmental Code, Section ).
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The Insert Name of Agency/Department has jurisdiction for Insert Regulated Activity (e.g.
permitting other classes of underground injection control wells), in accordance with Insert
Specific State Regulation Citations Including all Relevant Definitions (e.g. Chapter # of
State/Territory/Tribe Environmental Code, Section ).
Insert any specific statutory or regulatory citations, if any, giving the respective
Agencies/Departments the authority to enter into this MOV.
IV. SPECIFIC RESPONSIBILITIES
To provide an effective, streamlined, coordinated application and permitting/approval process for
Class VI wells, and to reduce or eliminate duplicative administration of regulations and
requirements, Insert Name of Agency/Department and Insert Name of Agency/Department
hereby agree to adhere to the procedures set forth in this MOU for fulfilling the requirements of
the UIC Class VI program. The procedures shall be carried out in a cooperative manner, to fulfill
the objectives of Insert Name of Agency/Department and Insert Name of Agency/Department,
and reduce regulatory burden.
Insert Name of Agency/Department Responsibility
Insert Class VIRequirement (e.g. site characterization, reporting, public involvement, etc.).
Insert Agency Action
Insert Agency Action
Continue as necessary to describe the specific jurisdictions of the Agency/Department for each
Class VI requirement.
Insert Name of Agency/Department Responsibility
Insert Class VIRequirement (e.g. site characterization, reporting, public involvement, etc.).
Insert Agency Action
Insert Agency Action
Continue as necessary to describe the specific jurisdictions of the Agency/Department for each
Class VI requirement.
V. INTERAGENCY ACTIVITIES
Insert and describe any activities that require the two agencies to cooperate and describe any
procedures (such as the frequency of meetings), to facilitate these activities.
VI. CLASS VI CONTACTS
Insert Name
Insert Agency
Insert Address
Insert e-mail
Insert Phone Number
Insert Name
Insert Agency
Insert Address
Insert e-mail
Insert Phone Number
VII. TERM OF AGREEMENT
This agreement shall be effective from the date of execution and shall remain in full force and
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effect for Insert Term of Agreement unless terminated earlier by written notice from either party
to the other party. This agreement may be modified, extended, or amended upon written request
of either party and written concurrence of the other party.
VIII. DISPUTES
Staff from Insert Name of Agency/Department and Insert Name of Agency/Department shall
meet and attempt to resolve any disputes regarding the interpretation of this MOU or disputes
regarding definitions, requirements, or terms of art. Any unresolved disputes shall be elevated to
Senior Management level for both Agencies.
IX. APPROVALS
By signature below, the parties to this MOU certify that the individuals listed in this document as
representatives of the parties hereto are authorized to act in their respective areas for matters
related to this agreement.
Signature of Authorized Representative Date
Signature of Authorized Representative Date
Signature of Authorized Representative Date
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Appendix G
Example Attorney General's
Statement
-------
Example Attorney General's Statement
I hereby certify, pursuant to my authority as (1) and in accordance with the Safe Drinking Water Act as
amended, and 40 CFR 145.24(a), that in my opinion the laws of the [State/Commonwealth of (2)] [or
tribal ordinances of (3)] to carry out the program set forth in the State UIC Program Description pursuant
to 40 CFR 145.23 submitted by the (4) have been duly adopted and are enforceable. The specific
authorities provided are contained in statutes or regulations that are lawfully adopted at the time this
Statement is approved and signed and will be fully effective by the time the program is approved.
I. For States with No Audit Privilege and/or Immunity Laws
Furthermore, I certify that [State/Commonwealth of (2)] has not enacted any environmental audit
privilege and/or immunity laws.
II. For States with Audit Laws that do Not Apply to the State Agency Administering the Safe Drinking
Water Act
Furthermore, I certify that the environmental [audit privilege and/or immunity law] of the
[State/Commonwealth of (2)] does not affect the ability of (2) to meet enforcement and
information gathering requirements under the Safe Drinking Water Act because the [audit
privilege and/or immunity law] does not apply to the program set forth in the State UIC Program
Description pursuant to 40 CFR 145.23. The Safe Drinking Water Act program set forth in the
State UIC Program Description is administered by (4); the [audit privilege and/or immunity law]
does not affect programs implemented by (4), thus the program set forth in the Program
Description is unaffected by the provisions of [State/Commonwealth of (2)] [audit privilege
and/or immunity law].
III. For States with Audit Privilege and/or Immunity Laws that Worked with EPA to Satisfy
Requirements for Federally Authorized, Delegated, or Approved Environmental Programs
Furthermore, I certify that the environmental [audit privilege and/or immunity law] of the
[State/Commonwealth of (2)] does not affect the ability of (2) to meet enforcement and
information gathering requirements under the Safe Drinking Water Act because
[State/Commonwealth of (2)] has enacted statutory revisions and/or issued a clarifying Attorney
General's Statement to satisfy requirements for federally authorized, delegated, or approved
environmental programs.
Seal of Office
Signature
Name and Title
Date
(1) State Attorney General or attorney for the primacy agency if it has independent legal counsel.
(2) Name of state or commonwealth.
(3) Name of tribe.
(4) Name of primacy agency.
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Appendix H
Sample Program Description
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Class VI Underground Injection Control Program Description
This document is a template for a Class VIUIC program description that can be used for new
SDWA Section 1422 Class VI primacy applications or SDWA Section 1422 program revision
applications to add Class VI. Sample text is provided for each program description requirement
found at 40 CFR 145.23. States are not required to use this text; rather, it is provided as a guide
to illustrate the level of detail EPA expects states to provide in their program descriptions.
For additional details on the requirements for a new SDWA Section 1422 Class VI primacy
application, see Section 3.2 of this manual and for additional information about SDWA Section
1422 program revision applications to add Class VI wells, see Section 4.2 of this manual.
1. Program Scope, Structure, Coverage and Processes
Describe the current status of the state's UIC Program, including when and for which well
classes the state received primacy under SDWA Section 1422 of SDWA, Class II primacy under
SDWA Section 1425 (if applicable), and the agency that will implement the Class VIprogram. If
an agency other than the designated 1422 lead agency will be implementing the Class VI UIC
program (or any other agencies will implement related aspects of Class VI well oversight, e.g.,
inspections), describe the responsibilities of each agency and the procedures for coordination,
e.g., via an MOU. An example MOU is included in Appendix F of this manual.
This is required to be included in new primacy applications; program revision applications must
contain any relevant updates if information has changed since primacy was approved [40 CFR
145.2 3 (a)].
Sample text is provided below.
[Insert state name] received Underground Injection Control (UIC) Program primacy under
Section 1422 of SDWA for Classes [insert all well classes for which the state has primacy
under SDWA Section 1422, including Class II if appropriate] on [insert approval date] and
designated [insert name of lead 1422 agency] as the lead agency to coordinate the state's UIC
Program under Section 1422 of SDWA. If more than one state agency has authority to issue UIC
permits, list those agencies and the well classes for which these agencies can issue UIC permits.
Include this paragraph if applicable: [Insert state name] received primacy for Class II wells
under Section 1425 of SDWA on [insert approval date] and designated [insert name of1425
agency] as the lead agency to coordinate the state's SDWA Section 1425 UIC Program.
Upon approval of primacy for Class VI wells, [insert name of agency that will oversee Class VI
wells] will have jurisdiction over the Class VI UIC Program and the authority to issue Class VI
permits and administer and implement the Class VI Program.
Include this paragraph if applicable: [Insert name of agency that will oversee Class VI wells]
and [insert name of lead 1422 agency] have signed a Memorandum of Understanding that
outlines the respective responsibilities of each agency concerning regulation of Class VI wells.
This Memorandum of Understanding is provided in the state's primacy application.
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2. Implementing Agency Organizational Structure
Describe the organizational structure of the agency administering the Class VI Program,
including program staff, organizational charts, and estimated costs and sources of funding for
implementing the program for the first 2 years.
Due to the extent and complexity of the information in Class VIpermit applications, EPA
recommends that the program description include a discussion of how in-house and/or
contractor staff collectively have the technical expertise needed to evaluate permit applications
and oversee GSprojects.
This is required in new primacy applications; program revision applications must include any
relevant updates [40 CFR 145.23(b)].
Sample text is provided below.
Staff in [insert name of Class VI agency} have [in-house expertise/access to contractor staff\
with skills in the technical and policy areas relevant to evaluating Class VI permit applications,
issuing Class VI permits, and overseeing GS projects throughout their life span. The state plans
to implement a "team" approach to permitting by dividing permit applications among staff with
relevant areas of expertise. The table below identifies the sources of this expertise. [Insert
checks in the columns as appropriate.}
Expertise Area
Site characterization, e.g., geologists, hydrogeologists,
geochemists, and log analysts/experts to review site characterization
data submitted during permitting and throughout the project duration.
Modeling, e.g., hydrogeologists and environmental/reservoir
modelers to evaluate area of review (AoR) delineation computational
models during permitting and AoR reevaluations.
Well construction and testing, e.g., well engineers, log
analysts/experts, and geologists to review well construction
information and operational reports on the performance of Class VI
wells and review/evaluate testing and monitoring reports.
Finance experts to review financial responsibility information during
permitting and annual evaluations of financial instruments.
Risk analysts to evaluate emergency and remedial response
scenario probabilities and remediation cost estimates.
Policy/regulatory experts on the DIG Program and the Class VI Rule
to evaluate compliance with Class VI Rule requirements.
Enforcement/compliance, e.g., staff who can initiate and pursue
appropriate enforcement actions when permit or rule requirements
are violated.
Inspectors including well engineers or log analysts/experts to inspect
wells or witness construction activities, workovers, and/or mechanical
integrity tests.
In-House
Contractor
^
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Figure 1 presents an organizational chart of [insert name of Class VI agency}. Insert or attach
an organizational chart.
The state estimates that running the Class VI Program will cost ^[insert estimated annual cost of
running the state's Class VIprogram] annually. Sources of funding include: [describe all
available funding sources, e.g., grants, salary/contract dollars allocated to the program,
dedicated portions of the state budget, etc.]. The table below illustrates how the state anticipates
these funds will be allocated to various program activities. [Insertpercentages or dollar values
in the right-hand column. ]
Activity
Permit application reviews and permit issuance.
Project oversight/review of operating data and
testing and monitoring data and reports.
Inspections/witnessing construction or tests.
Data management.
Enforcement/compliance-related activities.
Program oversight/administration.
Annual expenditures/Percent of
budget
$/%
3. Permitting, Administrative and Judicial Review Procedures
Describe the state's procedures for issuing Class VI permits and conducting administrative and
judicial reviews. To facilitate review of the primacy application, EPA recommends that the
program description heavily reference appropriate sections of the state's regulations.
This is required in new primacy applications; program revision applications must describe all
applicable revisions to permitting, administrative, and judicial review procedures [40 CFR
145.23(c)].
Sample text is provided below.
Permitting Procedures
The state's Class VI Program requires all owners or operators seeking to inject carbon dioxide
for the purpose of geologic sequestration to obtain a Class VI permit to construct or convert a
well and gain approval to operate prior to commencing injection activities.
Class VI permit applications will be reviewed by staff of [insert name of Class VI agency] and
issued in accordance with [insert name/citation of the state's Class VI rule].
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Reviewing Class VI Permit Applications
When [insert name of Class VI agency} receives a permit application, staff will review it to
determine if it contains all of the information outlined in [insert citation of the section of the
state's Class VI rule related to the required elements of a permit application]. Any deficiencies
will be noted and, if necessary, the agency will request additional information from the applicant.
If the owner or operator of a Class II enhanced recovery (ER) well that is transit!oning to Class
VI determines that it is necessary to expand the areal extent of the original Class II aquifer
exemption, the agency will evaluate the request for the expansion following procedures
described in Section 11 below and pursuant to the requirements of 40 CFR 144.7(d) and 146.4.
If an injection depth waiver is sought, the agency will evaluate the application for an injection
depth waiver to determine if it meets the requirements at [insert citation of the section of the
state's Class VI rule related to injection depth waivers} and that underground sources of
drinking water (USDWs) will be protected. See Section 13 below for more on the state's
injection depth waiver program.
After confirming that all of the required information was submitted with the permit application,
agency staff will review the Class VI permit application using a multi-step process, as described
below.
First, staff will perform a technical review to determine that the submitted data is accurate and of
high quality, has undergone appropriate quality assurance procedures, is representative of the
project and the site, and is sufficiently complete to support a full technical evaluation.
Next, a full technical evaluation of the submitted information will be performed to support the
decision on the suitability of the site per the requirements at [insert citation of the section of the
state's Class VI rule related to minimum criteria for siting GS sites]. This includes an
evaluation of the geologic system, the well, and the proposed operations to ensure that the
project will be protective of USDWs.
If the state plans to conduct environmental justice analyses of permit applications, include a
paragraph similar to this: The agency will also identify whether any portions of the AoR
encompass an environmental justice (EJ) area. If this is the case, the agency will conduct
enhanced public outreach activities to these communities, e.g., by providing materials in
alternative languages. The agency will conduct outreach to stakeholders, if appropriate.
As needed throughout the permit application review process, agency staff will discuss the
application with the owner or operator to ensure that needed information is provided as
expeditiously as possible.
Draft Permit Issuance and Public Participation
Upon completion of the permit application evaluation, [insert name of Class VI agency} will
tentatively determine whether to prepare a draft permit or to deny the application. If the agency
prepares a draft permit, the agency will prepare a [fact sheet/statement of basis] summarizing
the project and issue a public notice of the comment period and a public hearing according to
procedures listed in [insert citation of the section of the state's rules related public notification
and hearings}.
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The agency will also notify any states, tribes or territories within the area of review of the GS
project and document the results of this consultation, pursuant to [insert citation of the section of
the state's Class VI rule related to notifying other jurisdictions about the project]. See Section
12 for additional information on procedures for this notification.
After completion of the public hearing and review of public comments, a final permitting
decision will be made and, if appropriate, a Class VI permit will be issued. The permit will
authorize the applicant to construct the injection well or convert an existing well to Class VI. The
agency will also issue a response to all public comments received.
Approving Injection in a Class VI Well
Following well drilling/conversion and completion activities, the permit applicant will submit
information that the agency will consider in determining whether to approve operation of the
injection well. If the information provided meets all the requirements at [insert citation of the
section of the state's Class VI rule related to information to be considered before approving
operation], the agency will authorize the applicant to inject carbon dioxide.
Administrative and Judicial Review of Permits
Administrative reviews of Class VI permits will take place in accordance with [insert citation of
the section of the state's rules related to administrative review of permitting procedures}.
Judicial reviews of Class VI permits would be conducted in accordance with [insert citation of
the section of the state's rules on procedures for civil or administrative actions related to
complaints on permitting actions].
4. Permit, Permit Applications, Reporting and Manifest Forms
Provide copies of any permit, permit application, reporting and manifest forms used by the
state. Because Class VI is a new well class, it is possible that the state may not have developed
any forms. If the state plans to develop reporting forms for Class VI wells, provide any available
drafts or outlines of the forms or a brief description of the information the state plans to request.
This is required in new primacy applications, and program revision applications must include
copies of all revised forms [40 CFR 145.23(d)].
5. Compliance Tracking and Enforcement Program
Describe the state's procedures for monitoring compliance and taking enforcement actions.
This is required to be included in new primacy applications; program revision applications
should provide any relevant updates if information has changed since primacy was approved [40
CFR 145.23(e)].
Sample text is provided below.
Compliance Monitoring
Compliance monitoring will, at a minimum, include on-site inspections conducted by authorized
agents of [insert name of Class VI agency] and a review of operating and monitoring reports
submitted in compliance with [insert citation of the section of the state's Class VI rule related
to reporting requirements] to verify that the construction, completion, operation, maintenance,
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and site closure of GS projects are performed according to approved plans and specifications and
meet all permit and regulatory requirements.
The state's compliance monitoring program includes the following activities:
• Reviewing plans and reports (e.g., well completion reports, test results, workover reports)
submitted by permit applicants or owners or operators.
• Conducting site inspections to verify or witness construction, operation and
testing/maintenance procedures. Site inspections will be conducted by the agency's
authorized agents.
• Investigating complaints alleging improper construction, completion, operation or
maintenance of a GS project.
• Performing compliance monitoring (e.g., reviewing monitoring, operating and
maintenance data) to verify compliance with permit conditions, regulations and any
other conditions or stipulations.
• Conducting annual inspections and compliance follow-up inspections of GS projects.
Enforcement Procedures
Any person violating [insert citation of the state's Class VI rule], any condition of a Class VI
permit, or any rule or order of [insert name of Class VI agency} is subject to enforcement action.
The agency is responsible for initiating, pursuing and resolving enforcement actions.
Enforcement proceedings may result in modification, revocation or suspension of any permit
issued under authority of the UIC Program.
The agency will attempt to handle all minor violations through informal means, such as
correspondence between agency staff and the alleged violator. The agency's primary concern
will be those violations that may have significant effects on the environment or may endanger
USDWs.
If further enforcement action is required, the state may seek civil penalty up to ^[insert
maximum civil penalty amount] per day under [insert citation of the state's enforcement
authority provisions].
6. Schedule for Issuing Class VI Permits
Provide a schedule for issuing Class VIpermits within 2 years after program approval and, for
other injection well classes, a schedule for issuing permits for those well classes within 5 years
after program approval. If the state does not anticipate issuing any Class VIpermits in the first
two years but permit applications are expected in, e.g., the first 5 years, indicate this in the
program description.
This is required in both new primacy applications and program revision applications [40 CFR
145.23(f)(l)].
Sample text is provided below.
The agency anticipates that, during the first two years after approval of the state Class VI
Program, [insert number of applications expected] permit applications will be submitted,
including [insert number] permit applications in year 1 and [insert number] permit applications
in year 2.
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The agency expects that reviewing Class VI permit applications will require [insert anticipated
permit application review timeframe, in months] months following the date a complete permit
application is submitted.
7. State Priorities for Issuing Class VI Permits
Include information regarding the state's priorities for issuing Class VI permits and the number
of Class VI permits that will be issued during the first 2 years of program operation, and for the
first 5 years for any other injection well classes. If the state does not anticipate issuing any Class
VIpermits in the first two years, indicate this in the program description.
This is required in both new primacy applications and program revision applications [40 CFR
145.23(f)(2)].
Sample text is provided below.
It is anticipated that during the first two years after approval of the state Class VI program,
[insert number] permits will be issued by [insert name of Class VI agency}.
8. Mechanical Integrity Testing Requirements
Describe how the state will meet the mechanical integrity testing (MIT) requirements of 40 CFR
146.89 for Class VI wells and 40 CFR 146.8 for other well classes. Describe the required testing
frequency and the number of tests that will be reviewed each year.
This is required in both new primacy applications and program revision applications [40 CFR
145.23(f)(3)].
Sample text is provided below.
To evaluate the absence of significant leaks, owners or operators of Class VI wells must,
following an initial annulus pressure test, continuously monitor injection pressure, rate, injected
volumes, pressure on the annulus between tubing and long-string casing, and annulus fluid
volume, pursuant to [insert citation of the section of the state's Class VI rule related to
continuous monitoring].
At least [insert minimum external MIT frequency], owners or operators must use an approved
tracer survey or a temperature or noise log to determine the absence of significant fluid
movement pursuant to [insert citation of the section of the state's Class VI rule related to
performing external MITs}.
The agency may require additional or alternative tests if the results presented by the owner or
operator are not satisfactory to demonstrate mechanical integrity.
The agency expects to review the results of [insert number] MITs from Class VI well owners or
operators each year.
9. Procedures to Notify Operators of the Requirement to Apply for and Obtain a Permit
Describe the state's procedures for notifying owners or operators of the requirement to apply for
and obtain a Class VIpermit, including (1) notifying owners or operators of Class I wells
injecting carbon dioxide or Class V experimental technology wells that are no longer
experimental that they must apply for a Class VI permit within 1 year of state program approval
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in order to continue to inject carbon dioxide for GS and/or (2) identifying Class IIER wells that
are approaching risk thresholds and repermitting as Class VI wells is necessary. If no such wells
(i.e., Class I, Class IIER, or Class Vexperimental technology wells) are in the state, note this in
the program description.
This is required in both new primacy applications and program revision applications [40 CFR
145.23(f)(4)].
Sample text is provided below.
Class I and Class V Wells
If there are Class I or Class V experimental technology wells in the state that inject carbon
dioxide, describe the approach to identify and notify owners or operators.
The agency will review the state's UIC inventory and identify Class I wells previously permitted
for GS of carbon dioxide and Class V experimental technology wells at projects that are no
longer experimental but will continue to inject carbon dioxide for GS.
The agency will contact the owners or operators of these wells and inform them that they must
cease injection or apply for a Class VI permit within 1 year of state program approval. Agency
staff will provide the owners or operators with information about the state's Class VI regulation
and about applying for a Class VI permit pursuant to [insert citation of the section of the state's
Class VI rule requiring owners or operators of non-experimental carbon dioxide injection
wells to obtain a Class VI permit}. Permitting of these wells will be conducted as described in
Section 3 above.
Class HER Wells
If there are Class II ER wells in the state that are used to inject carbon dioxide, describe the
approach to identify and notify owners or operators.
The agency will evaluate information about Class II carbon dioxide-ER wells (e.g., carbon
dioxide injection and production data or information related to the other factors at [insert citation
of the section of the state's Class VI rule related to factors to consider in determining when
there is an increased risk to USDWs]) and identify whether any projects are approaching risk
thresholds. The agency will coordinate with [insert name of 1425 agency} as needed to obtain
the data needed for this review.
If such increased risk is present, the agency will contact the owners or operators of these wells
and inform them that they must apply for a Class VI permit. Agency staff will provide
information about the state's Class VI regulation and about applying for a Class VI permit
pursuant to [insert citation of the section of the state's Class VI rule related to re-
permitting/converting Class II ER wells}. Permitting of these wells will be conducted as
described in Section 3 above.
10. Injection Well Inventory
Provide a description of how the state will establish and maintain an injection well inventory.
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This is required to be included in new primacy applications; program revision applications must
include any relevant updates if information has changed since primacy was approved [40 CFR
145.23(f)(7)].
11. Exempted Aquifers
Describe aquifers, or portions of aquifers, that have been designated as exempted aquifers under
40 CFR 144.7(b), and provide information related to expanding the areal extent of existing
aquifer exemptions for Class 11ER wells transitioning to Class VI. If there are no existing Class
II aquifer exemptions in the state (and therefore no expansions would be necessary), indicate this
in the program description.
This is required in both new primacy applications and program revision applications [40 CFR
145.23(f)(9)].
Sample text is provided below.
Owners or operators of Class II ER wells may apply to expand the areal extent of Class II aquifer
exemptions. Such requests must be submitted concurrently with Class VI permit applications,
pursuant to [insert citation of the section of the state's Class VI rule related to applications to
expand the areal extent of Class II aquifer exemptions].
If such requests are received, the agency will evaluate the application to determine that the area
of the proposed expansion is sufficiently large to contain the carbon dioxide plume and pressure
front and was determined in a manner that is consistent with the AoR modeling required under
[insert citation of the section of the state's Class VI rule related to AoR delineations] and
whether the request meets the criteria at 40 CFR 146.4.
Following this evaluation and a determination that the proposed expansion of the areal extent of
the aquifer exemption meets the requirements at 40 CFR 144.7(d) and 146.4, the agency will
forward the request to the EPA regional office. No designation of an expansion of the areal
extent of a Class II ER aquifer exemption for GS injection will be final unless approved by the
US EPA Administrator as a revision. Other than US EPA-approved expansions of the areal
extent of existing Class II aquifer exemptions, no aquifer exemptions will be issued for Class VI
injection-related activities.
12. Transboundary Notification and Documentation Procedures
Describe how the state will notify any states, tribes and territories if the AoR of a proposed
Class VI well crosses jurisdictional boundaries, including the procedures for documenting these
consultations.
This is required in both new primacy applications and program revision applications [40 CFR
145.23(f)(13)].
Sample text is provided below.
Due to the potentially large AoRs associated with GS projects, interstate issues may need to be
taken into account. Pursuant to [insert citation of the section of the state's Class VI rule related
to notifying other jurisdictions about the project], the state will notify authorities in any states,
tribes, and territories of Class VI permit applications where the AoR crosses jurisdictional
boundaries.
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Permit applicants must provide a list of contacts for those states, tribes and territories
identified to be within the AoR of the Class VI project pursuant to [insert citation of the section
of the state's Class VI rule related to submitting state, tribal, and territorial contact
information}.
Based on this information and a review of the extent of the AoR, the state will notify appropriate
staff in writing to provide information about the proposed project and invite them to provide
input during the permit application review process or participate in/monitor the public
participation process associated with the permit application.
The state will document all input received and the responses provided. This documentation will
be made a part of the administrative record for the permit application.
13. Injection Depth Waivers
If the state plans to adopt an injection depth waiver program, describe how the program will be
administered. If the state does not plan to adopt requirements for injection depth waivers,
indicate this in the program description.
Sample text is provided below.
The state's regulation, at [insert citation of the section of the state's Class VI rule related to
injection depth waivers], includes provisions for owners or operators of Class VI wells seeking
to inject into non-USDWs that lie above or between USDWs to apply for and receive injection
depth waivers.
Owners or operators must apply for an injection depth waiver at the time they submit their Class
VI permit application. The waiver application must include all of the information at [insert
citation of the section of the state's Class VI rule related to the content of injection depth
waiver applications}.
The agency will evaluate this information to ensure that USDW protection, site-specific drinking
water resource issues, and the use and impact of GS technologies on all USDWs are considered
and documented as part of the decision to grant a waiver. The agency will also evaluate all of the
information at [insert citation of the section of the state's Class VI rule related to information
the Director must consider in evaluating injection depth waivers].
If the agency determines, based on this review, that approval of the proposed injection depth
waiver would allow injection that is protective of USDWs, the agency will:
• Consult with the Public Water System Supervision (PWSS) Programs of all states,
territories and tribes having jurisdiction within the AoR of the proposed well to inform
them of the pending waiver application pursuant to the requirements at [insert citation of
the section of the state's Class VI rule related to consultations on injection depth
waivers}. Any written or verbal responses to this consultation will be documented and
made a part of the administrative record for the Class VI permit application.
• Notify the public that a waiver application has been submitted, pursuant to the procedures
at [insert citation of the section of the state's Class VI rule related to public notice of
injection depth waivers] and evaluate and respond to all public comments.
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• Forward all relevant information, including the results of an evaluation of the information
described above, documentation of consultation with the PWSS Director, and public
input on the proposed waiver to the EPA Regional Administrator. The state will not issue
a Class VI permit to inject into non-USDWs above or between USDWs unless the EPA
Regional Administrator approves an injection depth waiver, per 40 CFR 146.95(d).
Following approval of an injection depth waiver, the agency would include additional conditions
in the Class VI permit to ensure the protection of USDWs above and below the injection zone
pursuant to the requirements at [insert citation of the section of the state's Class VI rule related
to additional permit conditions for wells operating under injection depth waivers].
14. Financial Responsibility
EPA recommends that the state describe how it will implement the financial responsibility
requirements of the Class VI Rule.
Sample text is provided below.
The state's regulation, at [insert citation of the section of the state's Class VI rule related to
financial responsibility], requires owners or operators of Class VI wells to demonstrate and
maintain financial resources to perform all required corrective action, plug the injection well,
conduct post injection site care and site closure, and perform any needed emergency and
remedial response.
Agency staff with financial expertise will review the cost estimates provided by applicants to
verify that they are sufficient to cover these activities and evaluate the financial instruments the
applicant proposes to use to verify that they qualify and are appropriate.
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