(a) Submission, signature and verification of applications for facility or waste transporter permits. All applications for permits must be submitted in either an electronic format acceptable to the department or print. They must be signed by the applicant as follows:

1. (1) corporations: by a duly authorized principal executive officer of at least the level of vice president;
2. (2) partnership or limited partnership: by a general partner;
3. (3) sole proprietorship: by the proprietor; or

4. (4) a municipal, State, or other governmental entity: by a duly authorized principal executive officer or elected official.

   (b) Level of detail.

   The information contained in an application must contain sufficient detail to:

5. (1) allow the documents to be readily understood;
6. (2) allow the department to ascertain the potential environmental impacts of the proposed facility; and

7. (3) demonstrate that the siting, design, construction, operation, and closure of the facility will be capable of compliance with the applicable requirements of this Part and Parts 361, 362, 363, and 365, and Subpart 374-2 of this Title.

   (c) Contents of a new application for a permit.

   In addition to the information identified in Part 621 of this Title, an application for a new permit must include at a minimum, the following information:

8. (1) Contact information and written permission, including:

   1. (i) the name and address of the owner and of the operator of the proposed facility;
   2. (ii) the name and address of the owner of the property on which the proposed facility is to be located;
   3. (iii) written permission from the owner(s) of land on which the proposed facility is to be located; and
   4. (iv) a certificate under seal of the Department of State, if applicable.

9. (2) Maps and plans. A regional map, a vicinity map, and a site plan, as described in this paragraph.

   1. (i) Regional map. A regional map (having a minimum scale of 1:62,500) that delineates the location of the proposed facility, the location of the closest population centers, communities of disproportionate impact, and transportation systems including highways.
   2. (ii) Vicinity map. A vicinity map (having a minimum scale of 1:24,000) that delineates zoning and land use, communities of disproportionate impact, residences, principal aquifers, primary aquifers, surface waters, wetlands, access roads, and other existing and proposed features on the property and within one-half mile of the perimeter of the property.

   3. (iii) Site plan. A site plan having a minimum scale of 1:2,400 with 5-foot contour intervals (10-foot intervals for land application facilities) that shows:

      1. (a) the location of the proposed facility and its acreage, and the location of any State or Federally regulated wetland or special flood hazard area, including 100-year flood elevations and location of any floodways pursuant to Part 502 of this Title, on the property and within 800 feet of the perimeter of the property;
      2. (b) the location of all public and private water wells, monitoring well, surface water bodies, roads, residences, public areas and buildings, including the identification of any buildings which are owned by the applicant or operator, on the property and within 800 feet of the perimeter of the property;
      3. (c) the location of all proposed structures, appurtenances, screening, fences, gates, roads, parking areas, and areas designated for management of waste;
      4. (d) the drainage characteristics of the proposed facility and of the property on which it is proposed to be located, identifying the direction of stormwater, ditches, and drainage swales together with any drainage controls that exist or will be implemented with facility construction;
      5. (e) the location of soil borings, if applicable;
      6. (f) existing and proposed elevation contours;
      7. (g) the direction of prevailing winds; and
      8. (h) except in the case of land application facilities, the property boundaries, certified by an individual licensed to practice land surveying in the State of New York, of the property on which the facility is proposed to be located.

10. (3) Engineering report.

    1. (i) An engineering report that contains a comprehensive description of the existing site conditions, a full engineering analysis of the facility including engineering calculations and all raw data, a description of the overall process, including flow diagrams, and a functional description of all equipment to be used, including design criteria, engineering calculations and anticipated performance. Engineering drawings and specifications submitted as part of the engineering report must depict process flows, dimensions, elevations, floor plans, and cross sectional views of the facility, including all structures, areas designated for unloading, sorting, processing, storage, and loading, and other waste management areas and equipment. Engineering drawings must contain information on known site conditions and projected use of the site.
    2. (ii) A noise assessment to demonstrate compliance with the leq energy equivalent sound levels proscribed in subdivision (j) of this section. If the noise assessment indicates the leq energy equivalent sound levels will be exceeded, a noise monitoring and control plan to mitigate or monitor sound levels must be included in the application as part of the facility manual.

11. (4) Facility manual. A facility manual, which must include the following:

    1. (i) Waste control plan. The waste control plan describing:

       1. (a) the facility’s service area, both inside and outside New York State, including a list of all planning units or Native American tribes or nations within New York State and counties, provinces or tribes or nations outside of New York State;
       2. (b) the waste that will be accepted at the facility including the type, source, quantity, and, as required for a particular waste stream in Parts 361, 362, 363, or 365 of this Title, analytical results. The description of the quantity must specify the expected average and maximum daily and annual amounts, on a weight and volume basis, and must be specified for each individual type of waste and for the total amount of waste accepted;
       3. (c) authorized locations where wastes, including residues, are transported when they leave the facility and what arrangements exist or will exist (contracts, etc.) that verify receiving entities will accept the waste;
       4. (d) inspection, education, and contractual measures to ensure that the facility receives and treats only authorized waste, including a program to identify, control, segregate, quarantine, record, store, and dispose of unauthorized waste;
       5. (e) if friable asbestos-containing waste is accepted at the facility, a detailed waste plan specific to that waste must be included that outlines the procedures for managing the waste;
       6. (f) if recyclables are managed at the facility, a detailed plan must be included that describes the types of recyclables that will be recovered, the procedures that will be used for recovery and storage of the recyclables and the disposition of recyclables when they leave the facility;
       7. (g) the procedures that will be used for managing mercury-added consumer products that are separately delivered to the facility; and

       8. (h) in the case of a landfill, a municipal waste combustor, or a transfer facility, a detailed plan must be included that:

          1. (1) describes procedures to ensure that source-separated recyclables, source-separated yard trimmings and tree debris, source-separated food scraps, and source-separated electronic waste and other product stewardship designated materials are not accepted for disposal, and describes actions to be taken if these materials are received at the facility; and
          2. (2) describes procedures and time-frames for conducting periodic waste characterization surveys.

    2. (ii) Operations and maintenance plan. The plan must include the following:

       1. (a) a description of the overall operation of the facility, including procedures to be followed during start up and scheduled and unscheduled shutdown of operations;
       2. (b) the type, purpose, size, capacity, and associated detention times for all waste handling, storage, and processing equipment and structures, including back-up facilities and equipment;
       3. (c) a process flow diagram for waste during normal operation. The flow diagram must indicate the average and maximum quantity of waste handled on a weight and volume basis;
       4. (d) a description of all machinery, equipment, and structures used in waste management operations of the facility, including the design capacity;
       5. (e) a description of the drainage system used for the collection and storage of leachate and the method and location used for disposal of the leachate;
       6. (f) the monitoring, maintenance and inspection procedures related to waste management;
       7. (g) a description of the actions to be taken in response to significant interruptions to the facility’s normal operations;
       8. (h) the schedule of operation including the days and hours when the facility will be open to accept and transfer waste, and the days and hours when operations will occur within the facility;
       9. (i) a list of all equipment and instruments requiring calibration and a schedule of proposed calibration intervals;
       10. (j) the estimated maximum daily traffic flow to and from the facility, the type and size of vehicles, and the maximum number of vehicles that can be accommodated on site;
       11. (k) where treatment of waste will occur at the facility, a detailed description of each treatment method and unit, including the operating parameters that will be attained to achieve the intended treatment and the frequency, location, and method for monitoring the operating parameters;
       12. (l) a discussion of compliance with the operating requirements that are identified in section 360.19 of this Part and Parts 361, 362, 363, and 365, and Subpart 374-2 of this Title;
       13. (m) the location of all facility records related to the permit; and
       14. (n) a description of the operation of a residential drop-off area, if applicable, for non-commercial vehicles to unload waste and recyclables.
    3. (iii) Training plan. A training plan that identifies all of the facility’s personnel by title and responsibilities and that describes the training program, both classroom and on-the job, that will be used to educate each individual on the procedures necessary to ensure compliance with the requirements applicable to the facility, including but not limited to the plans and procedures identified in this section and all authorizations, permits, and approvals that will be required for the facility; and that describes the training that will be provided and all procedures and equipment that will be used during emergencies, contingencies and standard operations.

    4. (iv) Emergency Response Plan. An emergency response plan must include the following:

       1. (a) a description of actions that facility personnel would take in response to emergencies including fires, explosions, natural disasters, and spills that occur at the facility. The plan must identify the personnel, equipment, and protocols to be utilized in response to each type of emergency. The plan must also include contact information for designated emergency contacts;
       2. (b) a description of the facility’s ability and proposed methods to respond to a natural or manmade disaster that, although it may not have a direct impact on the facility itself, may call for expanded or non-standard services to be provided by the facility (for example, longer operating hours) if department approval is granted for those services.

    5. (v) A noise monitoring and control plan, if required pursuant to subparagraph (3)(ii) of this subdivision, must include the following:

       1. (a) a description of areas of operation where noise propagation off-site is most probable to occur;
       2. (b) mitigation measures (e.g., real-time monitoring system, noise barriers) or modified operational controls that would be utilized to mitigate facility noise when operations are occurring (e.g., reduced equipment operation, limiting trucks tipping in the specified area, limited hours of operation);
       3. (c) protocol for noise monitoring including monitoring locations, methods and equipment, monitoring frequency and duration, and action levels;
       4. (d) criteria for discontinuing the noise monitoring and control plan.
    6. (vi) Closure plan. A closure plan that specifically identifies how the facility will comply with the requirements for closure in section 360.21 of this Part and any closure requirements in Parts 361, 362, 363, and 365, and Subpart 374-2 of this Title.

12. (5) State and local plan consistency. A demonstration that the facility is consistent with the goals and objectives of:

    1. (i) the New York State solid waste management policy identified under subdivision (1) of ECL section 27-0106, with an emphasis on diversion from thermal treatment and disposal;
    2. (ii) the New York State solid waste management plan; and
    3. (iii) the department-approved local solid waste management plan (LSWMP) in effect, if one exists, for the municipalities in the facility’s service area;
    4. (iv) for those municipalities in the service area that do not have a LSWMP in effect, an identification that the municipalities have a department-approved CRA in effect.
13. (6) If a facility requiring a permit includes facilities or collection events which would qualify as an exempt or registered facility or collection event, those operations must be described in the permit application.

(e) In addition to the criteria outlined in section 621.3(e) of this Title, a permit can be denied or revoked based upon the unsuitability of the owner, operator or applicant, as set forth in this subdivision. In addition to any other available grounds, the department can, consistent with the policies of article 23-A of the Correction Law, and the provisions of section 70-0115 of the ECL, deny, suspend, revoke or modify any permit, renewal or modification after determining in writing that such action is required to protect the public health or safety. Some of the factors the department can consider in arriving at such determination include:

1. (1) the owner or operator has been determined in an administrative, civil or criminal proceeding to have violated any provision of the ECL or other environmental law administered by the department, any order or determination of the commissioner, any regulation of the department, or any similar statute, regulation, order or permit condition of the Federal, other state, or local government agency, on one or more occasions the violation that was the basis for the action posed a potential for significant adverse impacts to public health or the environment, or represents a pattern of noncompliance;
2. (2) the owner or operator provides materially false or inaccurate information or statements in the permit application;
3. (3) the owner, operator or applicant has in any matter within the jurisdiction of the department knowingly falsified or concealed a material fact, knowingly submitted a false statement or made use of or made a false statement on or in connection with any document or application submitted to the department;

4. (4) the owner, operator or applicant, except for Part 364 of this Title transporters of hazardous waste and regulated medical waste, is either:

   1. (i) an individual who had a substantial interest in or acted as a high managerial agent or director for any corporation, partnership, association or organization which committed an act or failed to act, and such act or failure to act could be the basis for the denial of a permit or registration pursuant to this Part, if such corporation, partnership, association or organization applied for a permit pursuant to this Part;
   2. (ii) a corporation, partnership, association, organization, or any principal thereof, or any person holding a substantial interest therein, which committed an act or failed to act, and such act or failure to act could be the basis for the denial of a permit or registration pursuant to this Part, if such corporation, partnership, association or organization applied for a permit pursuant to this Part;
   3. (iii) a corporation, partnership, association or organization or any high managerial agent or director thereof, or any person holding a substantial interest therein, acting as high managerial agent or director for or holding a substantial interest in another corporation, partnership, association or organization which committed an act or failed to act, and such act or failure to act could be the basis for the denial of a permit or registration pursuant to this Part had such other corporation, partnership, association or organization applied for a permit under this Part; or

5. (5) for a Part 364 of this Title transporter of hazardous waste or regulated medical waste (RMW):

   1. (i) the owner, operator, or applicant has been found in a civil proceeding to have committed a negligent or intentionally tortious act, or has been convicted in a criminal proceeding of a criminal act involving the handling, storing, treating, disposing or transporting of solid waste;
   2. (ii) the owner, operator or applicant has been convicted of a criminal offense, under the laws of any state or of the United States, which involves a violent felony offense, fraud, bribery, perjury, theft or an offense against public administration as that term is used in article 195 of the Penal Law; or

   3. (iii) the owner, operator or applicant has in any matter within the jurisdiction of the department knowingly falsified or concealed a material fact, knowingly submitted a false statement or made use of or made a false statement on or in connection with any document or application submitted to the department.

      (f) Permit modifications.

      An application to modify a permit must include a description of the proposed modification, a description of the impacts of the proposed modification on the facility, and a demonstration that, under the modified permit, the facility will comply with applicable parts of this Title.

6. (1) For the purposes of Part 621 of this Title, the department will treat an application to modify a permit for a facility as a new application if, in addition to the reasons described in section 621.11(h) of this Title, any of the following conditions are met:

   1. (i) a horizontal or vertical increase in size of a landfill beyond the limits approved in the permit; or
   2. (ii) in the absence of a minor project designation under section 621.4(m)(2) of this Title, an expansion or acceptance rate increase at any facility.

7. (2) A permit modification may be required if the owner or operator of a facility with a permit proposes to include a facility component on the site that would otherwise qualify as a registered facility or collection event.

   (g) Permit renewals.

8. (1) Submission deadline. A complete application for renewal of a permit must be submitted at least 180 days before the existing permit expires in order to be considered timely for the purposes of the State Administrative Procedure Act. An application for renewal of the permit must be made on forms authorized by the department.

9. (2) Renewal application contents. An application for renewal of a permit must include the following:

   1. (i) an updated record of compliance and a demonstration that the facility will be capable of compliance with all applicable requirements of the ECL and this Title and with all permit conditions and a description of how compliance with the requirements and conditions will be ensured;
   2. (ii) a demonstration that the facility is consistent with the State solid waste management policy identified under subdivision (1) of ECL section 27-0106 and the goals and objectives of the New York State solid waste management plan, with an emphasis on diversion from thermal treatment and disposal; and
   3. (iii) for a renewal application submitted by or on behalf of a municipality for a facility subject to Part 362 or 363 of this Title, a comprehensive recycling analysis in accordance with section 360.11 of this Part.
   4. (iv) submission of an updated operations and maintenance manual.

10. (3) An application for renewal that includes physical or operational changes to the facility will also be considered a permit modification request.

    (h) Facilities at or near sites undergoing a remedial program.

11. (1) If a facility permitted under this Part is proposed to be located at or within 150 feet of the boundary of a site undergoing a remedial program, the applicant must submit an report that discusses the potential impacts of the facility on the remedial program for that site. For the purposes of this subdivision, a remedial program is any activity defined in 6 NYCRR 375-1.2 and subject to ECL article 27 title 13 (Inactive Hazardous Waste Disposal Sites), ECL article 27 title 14 (Brownfields Cleanup Program sites), ECL article 56 title 5 (Environmental Restoration Project sites), ECL article 52 title 3 (Hazardous Waste Site Remediation Projects), ECL article 27 title 9 (RCRA Corrective Action Program) or the department’s Voluntary Cleanup Program, or in Navigation Law section 176 (Spill Response Program for the cleanup of petroleum discharges). The proposed facility must not interfere significantly with any potential, ongoing or completed remedial program.

12. (2) If a new facility or an expansion of an existing facility is proposed to be located at an inactive hazardous waste site classified as a P site by the department, the applicant must submit as part of a complete application, sufficient information to enable the department to classify the site in question as class 1, 2, 3, 4 or 5 or to delete the site from the Registry of Inactive Hazardous Waste Disposal Sites.

    (i) Duration of permits.

    A permit issued pursuant to this Part will be issued for a period not to exceed 10 years.

    (j) Supervision and certification of construction.

    The construction of a facility and each stage of construction of a facility must be undertaken under the supervision of an individual licensed to practice engineering in the State of New York. Upon completion of construction, that individual must certify in writing that the construction is in accordance with the terms of the department-issued permit. Operation of the facility and any stage in the operation of a facility cannot commence until approval from the department is received.