Case No. 2020-27282-H
























Complainant and Respondent desire to settle and compromise this action without hearing or adjudication of any issue of fact or law, and consent to the entry of the following Findings of Fact and Order. Pursuant to Indiana Code (“IC”) 13-30-3-3, entry into the terms of this Agreed Order does not constitute an admission of any violation contained herein. Respondent’s entry into this Agreed Order shall not constitute a waiver of any defense, legal or equitable, which Respondent may have in any future administrative or judicial proceeding, except a proceeding to enforce this order.




1.            Complainant is the Commissioner (“Complainant”) of the Indiana Department of Environmental Management (“IDEM”), a department of the State of Indiana created by IC 13-13-1-1.


2.            Respondent is Raytheon Technologies Corporation (“Respondent”), which owns the company with United States Environmental Protection Agency (“EPA”) ID No. IND005162607 located at 303 N. Jackson Street, in Andrews, Huntington County, Indiana (“Site”).


3.            IDEM has jurisdiction over the parties and the subject matter of this action.


4.            Pursuant to IC 13-30-3-3, IDEM issued a Notice of Violation (“NOV”) via United Stated Postal Service (“USPS”) to:


John Baron, Remediation Project Manager for

Raytheon Technologies Corporation

Corporate EHS Department

Remediation Group

c/o 165 Lower Flying Point Road

Freeport, Maine 04032


5.            Respondent notified EPA of Small Quantity Generator activities in February 2020.


6.            Raytheon Technologies Corporation currently researches, develops, and manufactures advanced technology products in the aerospace and defense industry.  Prior subsidiaries of Raytheon manufactured parts for the automotive industry.


7.            Except as noted below, 329 Indiana Administrative Code (“IAC”) 3.1 incorporates federal hazardous waste management requirements found in 40 Code of Federal Regulations (“CFR”) Parts 260 through 270 and Part 273.


8.            As relevant here, in 2008, EPA promulgated a Transfer-Based Exclusion under 40 CFR 261.4(a)(24) to allow certain material, including spent carbon filters, to be managed as a hazardous secondary material.  This federal provision provided a specific exemption from the definition of solid waste for any “hazardous secondary materials” that are transferred to another person for purposes of reclamation. IDEM did not adopt the Transfer-Based Exclusion.


9.            In early 2015, EPA amended the Transfer-Based Exclusion at 40 CFR 261.4(a)(24) to create the Verified Recycler Exclusion. IDEM affirmatively amended its rules to adopt the Verified Recycler Exclusion. However, a federal court vacated the Verified Recycler Exclusion and re-instated the prior Transfer-Based Exclusion. When this occurred, IDEM’s incorporation of the Verified Recycler Exclusion became void.


10.         On February 19, 2020, IDEM published a first notice to amend its rules to re-promulgate the Transfer-Based Exclusion because “Indiana’s current hazardous waste requirements are inconsistent with the federal definition of solid waste for purposes of hazardous waste management.” At the time of entry into this Order, the Transfer-Based Exclusion has not yet been re-adopted.


11.         During an inspection of the Site on July 30, 2020 conducted by a representative of IDEM, the following violations were found:


a.            Pursuant to 40 Code of Federal Regulations (“CFR”) 262.11, a person who generates a solid waste, as defined in 40 CFR 261.2, must make an accurate determination as to whether that waste is a hazardous waste in order to ensure wastes are properly managed according to applicable RCRA regulations.


As noted during the inspection,  Respondent  made arrangements for the transport of fifteen (15) 55-gallon drums of spent carbon filters for recycling as a non-hazardous waste when they should have been listed hazardous waste with waste codes F001 and U228.


b.            Pursuant to 40 CFR 262.18(c), a generator must not offer its hazardous waste to transporters or to treatment, storage, or disposal facilities that have not received and EPA identification number.


As noted during the inspection, Respondent failed to transport fifteen (15) 55-gallon drums as hazardous waste to a permitted RCRA Part B TSD facility but transported them as nonhazardous waste to an unpermitted facility.


c.            Pursuant to 40 CFR 262.20 and IC 13-30-2-1(12), a generator who transports, or offers for transportation, hazardous waste for offsite treatment, storage, or disposal, must prepare a manifest. A generator must designate on the manifest one facility which is permitted to handle the waste described on the manifest. A generator may designate an alternate facility to handle its waste in the event that an emergency prevents delivery of the waste to the primary designated facility.


As noted during the inspection, fifteen (15) 55-gallon drums of spent carbon filters were shipped off in 2019 as non-hazardous waste for recycling and had no manifest prepared.


12.         Upon receipt of IDEM’s inspection findings and a determination that Indiana does not follow at this time EPA’s reclamation rules for hazardous secondary materials, Raytheon prepared a manifest for the fifteen (15) 55-gallon drums of spent carbon filters and disposed of the drums as listed hazardous waste instead of recycling same.


13.         Orders of the Commissioner are subject to administrative review by the Office of Environmental Adjudication under IC 4-21.5; however, in recognition of the settlement reached, Respondent acknowledges notice of this right and waives any right to administrative and judicial review of this Agreed Order.




1.            This Agreed Order shall be effective (“Effective Date”) when it is approved by Complainant or Complainant’s delegate and has been received by Respondent. This Agreed Order shall have no force or effect until the Effective Date.


2.            Respondent shall comply with the rules listed in the findings of fact above.


3.            Upon the Effective Date of this Agreed Order, Respondent shall comply with 40 CFR 262.11. Specifically, Respondent shall make a hazardous waste determination on any solid waste generated in the future to determine if that waste is hazardous. If the waste is hazardous, it shall be managed according to the applicable regulations.


4.            Upon the Effective Date of this Agreed Order, Respondent shall comply with 40 CFR 262.18(c). Specifically, Respondent shall not offer its hazardous waste to transporters or to treatment, storage, or disposal facilities that have not received an EPA identification number.


5.            Upon the Effective Date of this Agreed Order, Respondent shall comply with 40 CFR 262.20 and IC 13-30-2-1(12). Specifically, Respondent shall ensure any regulated hazardous waste offered for transportation is accompanied by a uniform hazardous waste manifest designated to a permitted treatment, storage, or disposal facility.


6.            All submittals required by this Agreed Order, unless IDEM notifies the Respondent otherwise in writing, shall be sent to:


Jodi Pisula, Enforcement Case Manager

Office of Land Quality

Indiana Department of Environmental Management

100 North Senate Avenue

Indianapolis, IN 46204-2251


7.            Pursuant to IC 13-30-4-1, Respondent is assessed and agrees to pay a civil penalty of Thirteen Thousand Dollars ($13,000.00). Said penalty amount shall be due and payable to the “Environmental Management Special Fund” within thirty (30) days of the Effective Date; the thirtieth day being the “Due Date.”


8.            The civil penalty is payable by check to the “Environmental Management Special Fund.” Checks shall include the Case Number of this action and shall be mailed to:


Indiana Department of Environmental Management

Accounts Receivable

IGCN, Room 1340

100 North Senate Avenue

Indianapolis, IN 46204


9.            In the event that the monies due to IDEM pursuant to this Agreed Order are not paid on or before their Due Date, Respondent shall pay interest on the unpaid balance at the rate established by IC 24-4.6-1. The interest shall be computed as having accrued from the Due Date until the date that Respondent pays any unpaid balance. Such interest shall be payable to the Environmental Management Special Fund and shall be payable to IDEM in the manner specified in Paragraph 8, above.


10.         Signatories to this Agreed Order certify that they are fully authorized to execute this Agreed Order and legally bind the party they represent.


11.         This Agreed Order shall apply to and be binding upon Respondent and all successors and assigns. Respondent shall provide a copy of this Agreed Order, if in force, to any subsequent owners, successors, or assigns before ownership rights are transferred.


12.         No change in ownership, corporate, or partnership status of Respondent shall in any way alter the Respondent’s status or responsibilities under this Agreed Order.


13.         Respondent shall ensure that all contractors, firms, and other persons performing work under this Agreed Order comply with the terms of this Agreed Order.


14.         In the event that any terms of this Agreed Order are found to be invalid, the remaining terms shall remain in full force and effect and shall be construed and enforced as if this Agreed Order did not contain the invalid terms.


15.         This Agreed Order is not and shall not be interpreted to be a permit or a modification of an existing permit. This Agreed Order, and IDEM’s review or approval of any submittal made by Respondent pursuant to this Agreed Order, shall not in any way relieve Respondent of the obligation to comply with the requirements of any applicable permits or any applicable Federal or State laws or regulations.


16.         Complainant does not, by its approval of this Agreed Order, warrant or aver in any manner that Respondent’s compliance with any aspect of this Agreed Order will result in compliance with the provisions of any permit, order, or any applicable Federal or State law or regulation. Additionally, IDEM or anyone acting on its behalf shall not be held liable for any costs or penalties Respondent may incur as a result of Respondent’s efforts to comply with this Agreed Order.


17.         Nothing in this Agreed Order shall prevent or limit IDEM’s rights to obtain penalties or injunctive relief under any applicable Federal or State law or regulation, except that IDEM may not, and hereby waives its right to, seek additional civil penalties for the violations specified in the NOV.


18.         Nothing in this Agreed Order shall prevent IDEM or anyone acting on its behalf from communicating with the U.S. Environmental Protection Agency (U.S. EPA) or any other agency or entity about any matters relating to this enforcement action. IDEM or anyone acting on its behalf shall not be held liable for any costs or penalties Respondent may incur as a result of such communications with the U.S. EPA or any other agency or entity.


19.         This Agreed Order shall remain in effect until IDEM issues a Resolution of Case letter to Respondent.




Department of Environmental Management

 Raytheon Technologies Corporation



By: _________________________

By:  _________________________


Jennifer Reno, Section Chief



Enforcement Section

Printed: ______________________

Office of Land Quality



Title: ________________________



Date: __________________

Date: _______________________












By: ________________________







Date: ______________________






_______________, 20_____.




For the Commissioner:




Signed 7/12/2021


Peggy Dorsey, Assistant Commissioner


Office of Land Quality