Fact Sheet

Transportable Treatment Unit Operating Under Permit by Rule

June 2023*

Introduction

The Department of Toxic Substances Control (DTSC) is providing information to assist new and existing Transportable Treatment Unit (TTU) operators in complying with Permit by Rule (PBR) laws and regulations. A TTU is mobile equipment that is used to treat hazardous waste. Compliance with PBR regulations fully authorizes hazardous waste treatment operations without need of a hazardous waste facilities permit from DTSC. PBR laws are part of the tiered permitting system for hazardous waste treatment in California. DTSC periodically provides updates to correct, clarify and introduce changes to regulations to promote compliance.

This fact sheet applies to TTU operations exclusively. For information regarding hazardous waste treatment in Fixed Treatment Units (FTUs) see the “Fixed Treatment Unit Operating Under Permit by Rule” fact sheet.

NOTE This fact sheet will help you determine if you are eligible to operate a TTU under PBR. It will also help you understand the various administrative and technical operating requirements for conducting onsite treatment of hazardous waste under the PBR tier. However, be advised that this fact sheet contains general information only and is not a substitute for the actual laws, the California Health and Safety Code (Health and Safety Code) division 20, chapter 6.5, and California Code of Regulations, title 22, division 4.5.

Eligibility

You are eligible to operate a TTU under PBR if the waste(s) and treatment process(es) are listed in Title 22, California Code of Regulations, section 67450.11. Additionally, to be eligible:

• You may only treat waste that is generated onsite and treatment must occur in tanks or containers;
• A TTU may operate at each site for up to a year, but additional time can be granted;
• You may not treat waste that is reactive or extremely hazardous;
• You may not treat waste that requires a federal hazardous waste treatment permit under the federal Resource Conservation and Recovery Act of 1976 as amended;
• You may not treat waste in landfills, surface impoundments, injection wells, waste piles, land treatment units, or thermal destruction units; and
• You can treat waste at an off-site facility only if the off-site facility is permitted to manage the same wastestream with the treatment process to be used by the TTU. The total processing rate for any wastestream, including all fixed units and all TTUs, cannot exceed, at any time, the capacity stated in the facility’s permit.

Notification

Unit Specific Notification

For each TTU that you operate, submit to DTSC four completed copies of the Transportable Treatment Unit Permit by Rule/Conditional Exemption Unit-Specific Notification (DTSC Form 1199, (1/96)) form. You must submit the notification forms at least 45 days before beginning the first waste treatment. If you demonstrate good cause, DTSC can shorten the period between notification and treatment start up. You must also submit four annual notifications (same form as above) by March 1st of each year following the year in which you submitted the initial notifications, unless DTSC notifies you of an alternate submittal date (California Code of Regulations, title 22, section 67450.3(a)(1)).

Complete each notification as required by California Code of Regulations, title 22, section 67450.2(a)(2). Sign and date each form as required by section 66270.11. Send the form by email to TTUnoi@dtsc.ca.gov in lieu of sending hard copies. Be sure that you save the acknowledgement(s) of your emailed notifications.

Site Specific Notification

Prior to conducting treatment at any site, you must notify DTSC, as required by the California Code of Regulations, title 22, section 67450.3(a)(3). Submit a Transportable Treatment Unit Permit by Rule Site-Specific Notification form (DTSC Form 1197) for each site where the TTU will perform treatment – to DTSC’s Headquarters. You must submit this form at least 21 days prior to each site visit. If you demonstrate good cause, DTSC can shorten the time between notification and treatment start up. Complete the form as required by California Code of Regulations, title 22, section 67450.3(a)(3). Sign and date the notification as required by section 66270.11. Additionally, you must certify that you have notified the local Certified Unified Program Agency (CUPA) and any other affected local agencies of the intended dates of operation of the TTU (see California Code of Regulations, title 22, section 67450.3(a)(3)(B)).

Send notifications by email to TTUnoi@dtc.ca.gov in lieu of sending hard copies to the address below. Be sure that you receive an acknowledgement of your email notifications.

DTSC Headquarters
Attn. TTU Notifications
P.O. Box 806
Sacramento, CA 95812-0806

Submit amended notifications within 30-days of any changes to the original notification (California Code of Regulations, title 22, section 67450.3(a)(2)). Always keep copies of the notifications that you submitted and any acknowledgments that you have received.

Generator Operating Standards

If you operate a TTU under PBR and generate hazardous waste, you must comply with hazardous waste generator standards in California Code of Regulations, title 22, division 4.5, chapter 12. For an overview of these standards, see DTSC’s fact sheets titled “Hazardous Waste Generator Requirements Fact Sheet” (November 2022) and “Accumulating Hazardous Wastes at Generator Sites Fact Sheet” (January 2022).

Operating Records

If you generate hazardous waste, you must maintain all records required by the hazardous waste generator standards. In addition, all owners and operators of TTUs operating under PBR must maintain the following records at the site where the TTU is operating (California Code of Regulations, title 22,  section 67450.3(a)(10)):

• A waste analysis plan for the treatment operation as specified in California Code of Regulations, title 22, section 66265.13(b);
• A written inspection schedule as specified in section 66265.15(b);
• Training documents as specified in section 66265.16(d)(3) as they pertain to the operator(s);
• A contingency plan which contains the information specified in section 66265.52;
• A copy of the most recent Unit-Specific Notification submitted as required by section 67450.2(a)(1), 67450.3(a)(1) and 67450.3(a)(2), and DTSC acknowledgement;
• A copy of the most recent Site-Specific Notification as specified in section 67450.3(a)(3) and 67450.3(a)(4), and DTSC acknowledgement;
• A copy of the closure plan as required in section 67450.3(a)(13)(B);
• A copy of documents related to the environmental investigation and any cleanup, abatement or other necessary remedial action taken pursuant to section 67450.7, if applicable; and
• Documentation of any convictions, judgments, settlements, or orders resulting from any action by any local, State, or federal environmental or public health enforcement agency concerning the operation of the facility within the last three years, as the documents would be available under the California Public Records Act (Chapter 3.5 (commencing with Section 6250) of Part 1 of Division 7 of Title 1 of the Government Code) and the Information Practices Act of 1977 (Chapter 1 (commencing with Section 1798) of Title 1.8 of Part 4 of the Civil Code).

Containers

If you treat hazardous waste in containers, you must comply with the standards for container storage and transfer activities specified in California Code of Regulations, title 22, division 4.5, chapter 14, section 66264.175, and chapter 15, article 9 (commencing with section 66265.170). Requirements include proper management for all container transfer and storage areas, proper management of the containers to prevent leaks, and weekly inspections of the storage areas.

Tank Systems

If you treat hazardous waste in tanks (on ground or above ground) you must comply with the standards for storage and treatment of hazardous wastes in tank systems applicable to generators.

Large Quantity Generators

If you generate 1,000 kilograms (approx. 2,200 pounds) or more of hazardous waste per month, you must comply with the standards for storage and treatment of hazardous wastes in tanks set forth in California Code of Regulations, title 22, division 4.5, chapter 15, article 10, sections 66265.190-66265.199, except 66265.197. Most new and existing tank systems must undergo an integrity assessment and have secondary containment before being placed into service. The assessment must be in writing and certified by a qualified professional engineer (California Code of Regulations., title 22, section 66265.192(a)). Tanks must be reassessed every five years.

Small Quantities Generators

If you generate less than 1,000 kilograms of waste per month, and the total waste accumulated onsite never exceeds 6,000 kilograms, you must comply with the federal tank standards (California Code of Regulations, title 22, section 66262.34(d)). The significant difference is that you are not required, generally, to provide secondary containment and engineer certifications for your tank system.

Security

You and/or the owner or operator of the facility where the TTU is operating must take certain measures to prevent the unknowing entry, and minimize the possibility of the unauthorized entry of persons or livestock onto the active portion of the facility, unless you can demonstrate that:

• Physical contact with the waste, structures, or equipment within the active portion of the facility will not injure unknowing or unauthorized persons or livestock; and
• Disturbance of the waste or equipment by the unknowing or unauthorized entry of persons or livestock will not cause a violation of the hazardous waste requirements in California Code of Regulations, title 22, division 4.5, chapter 15.

Otherwise, to ensure security you and/or the facility owner or operator must provide:

• A 24- hour surveillance system which continuously monitors and controls entry onto the active portion of the facility (e.g., television monitoring or surveillance by guards or facility personnel); or
• An artificial or natural barrier (e.g., a fence in good repair, or a fence combined with a cliff) which completely surrounds the active portion of the facility, and a means to always control entry (e.g., an attendant, television monitors, locked entrance, or controlled roadway access to the facility). For more information, see California Code of Regulations, title 22, section 66265.14.

Fees

If you operate a TTU under PBR, you will be billed an annual PBR fee. The fee is administered by the California Department of Tax and Fee Administration. You will be billed annually, until the unit has been certified closed, according to California Code of Regulations, title 22, section 67450.3(a)(13). If you operate during any part of a calendar year, you may be billed a PBR fee for the entire year. The fee was set at $4600 per treatment unit in 2022.

Financial Assurance

You must prepare a written estimate of the cost to close each treatment unit. Estimate the actual cost that you would incur in closing each unit when using your own staff and personal equipment. You may consider any salvage value that may be realized from the sale of the wastes, facility structure or equipment, land or other facility assets. Attach this estimate to the Certification of Financial Assurance for Permit by Rule and Conditionally Authorized Operations page of the Unified Program Consolidated Form (click here) and submit to DTSC with your initial notification.

You must adjust the estimate for inflation by March 1st of each year using a specified inflation factor and revise the closure plan whenever a change in the plan increases the cost of closure (California Code of Regulations, title 22, section 67450.13(a)(2)). This information must be maintained at the facility. If your closure cost estimate is more than $10,000, you must provide financial assurance for closure of the treatment units by one of the financial mechanisms listed in California Code of Regulations, title 22, section 67450.13(a)(5), or an alternative mechanism, as provided by section 67450.13(c). Submit the financial assurance mechanism with your initial notification(s) to DTSC, at least 45 days before commencing the first treatment of waste.

If your closure cost estimate is $10,000 or less, you do not need to submit a financial assurance mechanism. However, you must submit to DTSC a signed statement by which you certify that the TTU facility has sufficient financial resources to cover the cost of closure (California Code of Regulations, title 22, section 67450.13(d)). Note: PBR facilities are not required to have third party liability insurance for environmental accidents.

Corrective Action

Corrective Action includes assessing the property for any previous releases of hazardous wastes using a Tiered Permitting Phase I Environmental Assessment Checklist, and cleaning up any contamination that poses a risk to public health and the environment. Health & Safety Code, section 25200.14(a) requires that you submit a Phase I Environmental Assessment Checklist within one year of initial authorization. You should submit the checklist to DTSC and a copy to your CUPA before the one-year deadline.

NOTE If further investigation is needed, submit a cleanup schedule within 90 days of submission of the checklist, to DTSC or the CUPA.

Closure of Treatment Units

You are required to prepare and maintain a written closure plan pursuant to California Code of Regulations, title 22, section 67450.3(a)(13). When you cease operating any treatment unit that was authorized under PBR, you must remove or decontaminate all hazardous waste, waste residues, container system components, soils, and other structures or equipment contaminated with hazardous waste from the unit. In addition, the TTU owner or operator and an independent professional engineer registered in California must certify that the treatment unit has been closed according to the closure plan and the regulations (see California Code of Regulations, title 22, section 67450.3(a)(13)(G)). If hazardous waste contamination of the site has occurred, you must notify DTSC. You should also notify the local CUPA. When you permanently cease operations of a TTU, you must notify DTSC in writing that you have properly closed the unit pursuant to California Code of Regulations, title 22, section 67450.3(a)(13). This notification should include the following information:

• Company name;
• Address;
• EPA ID number;
• Tier of authorized unit(s); and
• Date of closure.

Public Notice and Local Land Use

You are not required to publish a public notice regarding your treatment operation. For the purposes of local land use decisions, your facility is not considered a hazardous waste treatment facility when authorized under PBR.

Disclosure Requirement

You are not required to provide a full disclosure statement according to Health and Safety Code section 25200.4. However, you must provide a disclosure statement documenting any convictions, judgments, settlements or orders resulting from environmental violations concerning the operation of the facility within the previous three years (California Code of Regulations, title 22,  section 67450.3(a)(10)(H)).

Training Classes

California Compliance School offers training on Tiered Permitting. The class focuses on how to comply with hazardous waste management requirements.  Contact California Compliance School for information. California Compliance School also offers four generator modules, with classes available at central locations statewide or at your worksite.

More Information & Contacts

For assistance or additional information, CUPA addresses, and phone numbers are available on CalEPA’s CUPA website. You can also contact the DTSC office nearest you, or call our Regulatory Assistance Officers at:

Toll-Free in CA: 800-728-6942 or 800 72-TOXIC
Outside CA: 916-324-2439
Email: RAO@dtsc.ca.gov

*Disclaimer

This fact sheet does not replace or supersede relevant statutes and regulations. The information contained in this fact sheet is based upon the statutes and regulations in effect as of the date of the fact sheet. Interested parties should keep apprised of subsequent changes to relevant statutes and regulations.