United States
Environmental Protection
Agency
Solid Waste and
Emergency Response
(5305W)
PB96-780176
EPA530-R-95-049
November 1995
RCRA/UST> Superfund, & EPCRA
Hotline Training Module
Introduction to:
Generators
(40 CFR Part 262)
Updated as of July 1995
fnferrnation Reoources Center
US EF& (3404)
401 iV< Street SW
Washington, DC 20460
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DISCLAIMER
This document was developed by Booz-Allen & Hamilton Inc. under contract 68-WO-0039 to EPA. It is intended
to be used as a training tool for Hotline specialists and does not represent a statement of EPA policy.
The information in this document is not by any means a complete representation of EPA's regulations or policies.
This document is used only in the capacity of the Hotline training and is not used as a reference tool on Hotline
calls. The Hotline revises and updates this document as regulatory program areas change.
The information in this document may not necessarily reflect the current position of the Agency. This document
is not intended and cannot be relied upon to create any rights, substantive or procedural, enforceable by any
party in litigation with the United States.
RCRA/UST, Superfund & EPCRA Phone Numbers:
National toll-free (outside ot DC area)
Local number (within DC area}
National toll-free for the hearing Impaired (TDD)
(800) 424-9346
(703)412-9810
(800) 553-7672
The Hotline is open from 9 am to 6 pm Eastern Standard Time,
Monday through Friday, except for federal holidays.
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GENERATORS
CONTENTS
1. Introduction 1
2. Regulatory Summary 3
2.1 Hazardous Waste Determination 3
2.2 Definition of Generator 4
2.3 Three Generator Classifications 5
2.4 Counting Waste 7
2.5 Accumulation Standards 8
2.6 Pre-Transport Requirements 12
2.7 Reporting and Recordkeeping 14
2.8 Export and Import Requirements 14
2.9 Farmers 15
2.10 Special Issues 15
2.11 Summary Chart 18
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Generators -1
1. INTRODUCTION
RCRA sets forth requirements for handling the volumes of waste generated in the
United States each year. Based on the authority granted by RCRA Subtitle C, EPA
has developed regulations for the cradle-to-grave management of hazardous waste.
Persons who produce hazardous waste, called hazardous waste generators, are the
first link in this cradle-to-grave system. The RCRA regulations establish basic
hazardous waste management standards for generators. The generator regulations
ensure that hazardous waste is handled safely to protect human health and the
environment while minimizing interference with daily business operations. A
solid foundation in the generator regulations is critical to a thorough understanding
of the regulations governing the management of hazardous waste from the
moment it is produced, or the point of generation, through final disposition.
When you have completed this module, you will be able to explain the definitions
and regulations that apply to generators of hazardous waste. Specifically, you will be
able to:
• Define the terms "generator" and "co-generator"
* List the three classes of generators, outline the different generation and
accumulation limits, and provide specific regulatory and CFR citations
• Define episodic generation
1 j
• Explain the use of EPA identification (ID) numbers and manifests
• Outline the accumulation standards, define "empty tank" and "start time"
for waste accumulation purposes, and identify regulations pertaining to
accumulation in tanks, containers, containment buildings, and on drip
pads
• Define "satellite accumulation" and provide the applicable FR citations
• Cite the CFR section covering recordkeeping and reporting requirements
for generators
• Recognize copies of notification forms and manifests, and explain how
they are obtained.
Use this list of objectives to check your knowledge of this topic after you complete
the training session.
The information in this document is not by any means a complete representation of EPA s regulations or policies, but is
an introduction used for Hotline training purposes. For complete and current information, please call the
RCRA/U§r; Superrund, and EPCRA Hotline.
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2 - Generators
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline trainingpurposes. For complete and current information, please call the
RCRA/UST, Superfund, and EPCKA Hotline.
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Generators - 3
2. REGULATORY SUMMARY
The RCRA regulations establish a comprehensive hazardous waste management
system under RCRA Subtitle C. RCRA regulates hazardous waste from its point of
generation through its point of final disposal. Hazardous waste generators are the
first link in the cradle-to-grave hazardous waste management system. Pursuant to
the authority granted by RCRA §3002(a), EPA has developed generator standards
that address on-site accumulation of hazardous waste, cradle-to-grave tracking
(manifest system), labeling, and recordkeeping and reporting requirements. These
standards are found in 40 CFR Part 262.
Recognizing that generators produce waste in different quantities, Congress
established three categories of generators within the RCRA statute: large quantity
generators (LQGs), small quantity generators (SQGs), and conditionally exempt
small quantity generators (CESQGs). The extent of regulation to which hazardous
waste generators are subject depends on the volume of hazardous waste each
generator produces. This module defines the three classifications of generators and
explains the varying degree of regulation to which each is subject.
In order to fully understand the responsibilities of hazardous waste generators, we
will first review the hazardous waste determination process.
2.1 HAZARDOUS WASTE DETERMINATION
As discussed in earlier modules, §262.11 requires generators to determine if their
waste is hazardous. The hazardous waste determination requirement applies to all
generators of solid waste. Section 262.11 sets forth the following three-step
hazardous waste determination process that any person who generates a solid waste,
as defined in §261.2, must follow. First, the generator must determine if the solid
waste is excluded from RCRA regulation under §261.4, Second, if the waste is not
excluded, the generator must determine if it is listed in Subpart D of Part 261. Third,
for purposes of compliance with the land disposal restrictions or if the waste is not
listed in Subpart D of Part 261, the generator must identify all relevant hazardous
waste characteristics in Subpart C of Part 261. The modules "Hazardous Waste
Identification," "Definition of Solid Waste and Hazardous Waste Recycling," and
"Solid and Hazardous Waste Exclusions" together present the process of hazardous
waste determination in detail. It is the generator's responsibility to determine if his
or her wastes are defined as hazardous and therefore subject to regulation under
Subtitle C. As discussed in Sections 2.3 and 2.4 of this module, once a generator
determines a material meets the definition of a hazardous waste, the generator must
determine the extent of regulation to which he or she is subject.
The information in this document is not by any means a complete representation of EPA s regulations or policies, but is
an introduction used for Hotline training purposes. For complete and current information, please call the
RCRA/USX Superfund, and EPCRA Hotline.
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4 - Generators
Generators are not required to perform analytical testing to identify their waste.
They are, however, required to accurately characterize their waste. This means they
may make a hazardous waste determination by testing or applying their knowledge
of the waste's chemical and physical properties as specified in §262.11 (e.g.,
knowledge of the process, inputs, reactions, operating status for the day).
2.2 DEFINITION OF GENERATOR
Section 260.10 defines a generator as "any person/ by site, whose act or process
produces hazardous waste identified or listed in Part 261 or whose act first causes a
hazardous waste to become subject to regulation." This definition contains three
important terms that must be addressed to fully understand the generator
regulations.
The first term "by site" refers to where a hazardous waste is generated. The
regulations do not explicitly define the term "site". EPA tracks hazardous waste
generation on a site-specific basis or by "individual generation site." To do this, EPA
issues unique identification numbers to identify generators by site. Activities
occurring under the control of an owner or operator on a single piece of property
should be evaluated collectively for hazardous waste generation. For example, if
Company A operates three laboratories on a single piece of property, all three
laboratories may share one EPA identification number, and the waste from all three
laboratories may be evaluated together. If, however, Company A operates three
laboratories at three different locations that are not considered to be on contiguous
property, each laboratory is viewed as a separate potential generator and is required
to obtain an individual EPA identification number for each site.
The second term is "person." Person is defined in §260.10 as "an individual, trust,
firm, joint stock company, federal agency, corporation (including a government
corporation), partnership, association, state, municipality, commission, political
subdivision of a state, or any interstate body." The definition of person encompasses
any entity involved with a process that generates hazardous waste.
The third key component of the generator definition is the phrase "act or process."
Because a generator is defined as the person whose act or process first causes a
hazardous waste to become subject to regulation, sometimes the generator of a waste
may not necessarily be the person who actually produced the waste. For example, if
a cleaning service removes residues from a product storage tank excluded under
§261.4(c), the person removing the residues is the first person to cause the waste to
become subject to regulation, not the owner of the tank (i.e., the person who
produced the waste).
The information in this document is not by any means a complete representation of bFA s regulations or policies, out is
an introduction used for Hotline training purposes. For complete and current information, please call the
UST Superfund, and EPCRA Hotline.
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Generators - 5
CO-GENERATORS
In the above residue removal example, the person removing the waste from the
unit is not the owner or operator of the unit, but he or she may be considered a
generator. The owner or operator of the unit may also be considered a generator
since the act of operating the unit led to the generation of the hazardous waste. In
other words, both the remover of the waste and the owner or operator of the tank
are considered to be co-generators. In cases where one or more persons meet the
definition of generator, all persons are jointly and severally liable for compliance
with the generator regulations. The parties may through a mutual decision have
one party assume the duties of generator, but in the event that a violation occurs, all
persons meeting the definition of generator could be held liable for the proper
management of the waste (October 30,1980; 45 FR 72026).
2.3 THREE GENERATOR CLASSIFICATIONS
The original generator regulations, published on May 19,1980, set forth
comprehensive requirements for those persons who generated 1,000 kg or more of
hazardous waste in a calendar month (45 FR 33142). These regulations also included
generators who produced more than 1 kg of acute hazardous waste in a calendar
month. Persons generating less than 1,000 kg of hazardous waste (or less than or
equal to 1 kg of acute hazardous waste) in a calendar month were granted a
conditional exemption and subject to reduced regulatory requirements.
Congress amended the definition of generator in the Hazardous and Solid Waste
Amendments of 1984 (HSWA), requiring EPA to regulate more stringently persons
who generate between 100 and 1,000 kg of hazardous waste in a calendar month. On
March 24,1986 (51 FR 10146), EPA issued final regulations establishing a third class
of generators (persons generating 100-1,000 kg per month), and narrowed the scope
of the conditional exemption to include only persons generating 100 kg or less of
hazardous waste in a calendar month. Generators who produce 1 kg or less of an
acute hazardous waste were also granted the conditional exemption.
Generators now fall into one of three general groups according to the amount of
waste generated in a calendar month. The three classes of generators are described
below in Table 1. Since the regulations become increasingly stringent as the volume
of waste generated grows, accurate counting of the waste is critical. This complex
counting issue will be addressed in the next section of the module.
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline trainingpurposes. For complete and current information, please call the
RCRA/UST, Superfund, and EPCRA Hotline.
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6 - Generators
Table 1
QUANTITY DETERMINES WHICH REGULATIONS APPLY
Generator
Large Quantity (LQG)
Small Quantity (SQG)
Conditionally Exempt
Small Quantity (CESQG)
Quantity
>1000 kg/month
(approx.>2200 Ibs)
>1 kg/month acute
Between 100-1000 kg/ month
(approx. 220-2200 Ibs)
<100 kg/month
<1 kg acute
<100 kg acute residue
Regulation
All Part 262 Requirements
Part 262, Subparts A, B, C
(§262.34(d) is specific to
SQGs), and E and portions of
Subpart D as specified in
§262.44
§261.5
LARGE QUANTITY GENERATOR
Large quantity generators (LQGs) produce 1,000 kg or more of hazardous waste per
calendar month, or more than 1 kg of acutely hazardous waste (i.e., waste codes
denoted with the hazard code "H" and all P-listed wastes). Wastes from these
generators are subject to full regulation under Part 262.
SMALL QUANTITY GENERATOR
Small quantity generators (SQGs) produce between 100-1,000 kg of hazardous waste
per calendar month and are subject to modified regulations found in Part 262.
Generally, SQGs must comply with some but not all of the regulations that apply to
LQGs. Simplified requirements are specified for SQGs in place of some LQG
requirements.
CONDITIONALLY EXEMPT SMALL QUANTITY GENERATOR
Conditionally exempt small quantity generators (CESQGs) produce 100 kg or less of
hazardous waste per calendar month. In addition, generators who produce 1 kg or
less of acutely hazardous waste, or 100 kg or less of contaminated soil, waste, or
debris resulting from the cleanup of an acute hazardous waste spill, are CESQGs.
CESQGs are exempt from Parts 262-270 if they comply with the requirements of
§261.5.
The information in this document is not by any means a complete representation of EPA s regulations or policies, DU» •
an introduction used for Hotline training purposes. For complete and current information, please call the
RCRA/USX Superfund, and EPCRA Hotline.
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Generators • 7
EPISODIC GENERATORS
Generators may periodically exceed or fall below their normal generation limits in
any given calendar month. If the amount of waste generated in a given calendar
month places the generator in a different category, he or she is responsible for
complying with all applicable requirements of that category for all waste generated
during that calendar month. For example, if a generator produces 300 kg of
hazardous waste in March, that waste is subject to the small quantity generator
regulations; if the same generator produces 1500 kg of hazardous waste in April, that
waste is subject to the large quantity generator regulations (March 24,1986; 51 FR
10153).
2.4 COUNTING WASTE
Generators must count the quantity of hazardous waste generated each month in
order to determine their generator classification. The regulations stating which
hazardous wastes are counted in a generator's monthly quantity determination are
found in §§261.5(c) and (d). All generators must comply with the counting
requirements found in §261.5(c) and (d), even though the counting requirement is
found in the section of the regulations that primarily applies to CESQGs.
Section 261.5(c) states that wastes which are not subject to regulation or are subject
only to P62.ll, §262.12, §262.40(c), and §262.41 do not need to be counted. Generally,
wastes subject to "substantive regulation" or regulations related directly to the
treatment, storage, transportation, or disposal of hazardous wastes are counted in a
generator's monthly quantity determination. Wastes that are not subject to
substantive regulation need not be counted (March 24,1986; 51 FR 10152). Examples
of wastes that are not subject to substantive regulation include:
• Wastes excluded from regulation by §261.4, including wastes commingled
with domestic sewage which pass through a sewer system to a POTW for
treatment (unless the waste is managed in nonexempt units prior to
discharge to the sewer system: e.g., an accumulation tank or container
regulated under §262.34)
• Corrosive wastes neutralized in an elementary neutralization unit that is
exempt from regulation under §§264.1 and 265.1 (unless managed in a
nonexempt unit before entering the neutralization unit).
Section 261.5(c) further states that recyclable hazardous wastes subject to the
requirements of §§261.6(b) and (c) and Subparts C, D, and F of Part 266 are counted in
the generator's monthly quantity determination. By omission, this provision
indicates that other recycled hazardous wastes (identified in §261.6(a)) are exempt
from counting requirements. Examples of wastes that would not need to be counted
are:
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline trainingpurposes. For complete and current information, please call the
RCRA/UST, Superfund, and EPCRA Hotline.
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8 - Generators
• Scrap metal sent for recycling
• Used oil burned for energy recovery or recycled in some other manner
(e.g., re-refined)
• Spent lead-acid batteries being reclaimed.
In addition, to avoid double counting, §261.5(d) states that the following types of
waste need not be counted when determining generator classification. All of these
wastes have already been counted when they were initially generated:
• Hazardous waste when removed from on-site storage
• Hazardous waste produced by on-site treatment (including reclamation) as
long as the hazardous waste was counted once
• Spent materials generated, reclaimed, and subsequently reused on-site, as
long as the spent material is counted once.
2.5 ACCUMULATION STANDARDS
Storage of hazardous waste generally requires a permit under the RCRA regulations.
There are, however, provisions under RCRA that allow generators to "accumulate"
hazardous waste on-site without a permit as long as they comply with certain
management standards for their accumulation unit(s) and for their facility (such as
contingency plan and personnel training requirements). The length of time a
generator is allowed to accumulate his or her waste will vary depending on the
generator's classification, as illustrated in Table 2. The regulations pertaining to
accumulation of hazardous waste on-site are found in §262.34 and in §261.5 for
CESQGs.
Table 2
TYPE OF GENERATOR DETERMINES LENGTH OF ACCUMULATION TIME
Generator
Large Quantity
Small Quantity
Conditionally Exempt
Small Quantity
On-site Accumulation Time
< 90 days on-site
< 180 days on-site or
< 270 days if shipped
200 miles or more
N/A
On-site
Quantity Limit
No Limit
6,000kg
IXWOkg
1 kg acute
100 kg acute spill residue
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes. For complete and current information, please call the
RCRA/Usi; Superfund, and EPCRA Hotline.
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Generators - 9
ACCUMULATION UNITS
Large quantity generators accumulating hazardous wastes under §262.34 may only
do so in containers, tanks, containment buildings, or on drip pads. Small quantity
generators may only accumulate waste in tanks or containers. While these units do
not need RCRA storage permits when used for generator accumulation, they must
comply with certain standards found in the Part 265 requirements for interim status
units, such as release detection and prevention requirements, and closure
requirements. Generators who accumulate hazardous waste in containers must
comply with Part 265, Subpart I. Generators who accumulate hazardous waste in
tanks must comply with Part 265, Subpart J, including secondary containment and
release detection. Generators who accumulate hazardous waste in containment
buildings must comply with Part 265, Subpart DD. Generators who accumulate
hazardous waste on drip pads must comply with Part 265, Subpart W (only
generators managing wood preserving wastes may use drip pads for hazardous
waste accumulation). All accumulation containers and tanks must be labeled or
marked "Hazardous Waste." Finally, large quantity generators must comply with
the air emission control requirements in Part 265, Subparts AA, BB, and CC for
accumulation tanks and containers (§§262.34(a)(l)(i) and (ii)).
SATELLITE ACCUMULATION
Prior to consolidation in the generator's accumulation area, §262.34(c) allows
generators to accumulate hazardous waste at or near the point where it is initially
generated and collected during daily operations (49 FR 49568; December 20,1984). A
person may accumulate up to 55 gallons of hazardous waste or 1-quart of acute
hazardous waste at each satellite accumulation area, if it is under the control of the
person operating the process that generates the waste. Limited standards, such as
labeling and maintaining the container in good condition, apply to satellite areas
(§§262.34(c)(l)(i) and (ii)). Once the 55-gallon or 1-quart limit is exceeded at the
satellite area, the excess waste must be dated and moved within 72 hours to the
central accumulation area where §262.34 standards apply (or the waste can be
shipped directly off-site).
"START TIME'VEMPTY TANK"
The time period for generator accumulation starts when waste is first placed in or
on the empty accumulation unit (tank, container, drip pad, or containment
building). A container must be marked with the date accumulation began. In order
to avoid exceeding the time limits when accumulating in a tank, the generator
should fully empty the tank every 90,180, or 270 days as appropriate (47 FR 1248;
January 11,1982). All wastes must be removed from drip pads and their associated
collection systems at least once every 90 days (§262.34(a)(l)(iii)(A)).
The information in this document is not by any means a complete representation of EPA s regulations or policies, but is
an introduction used for Hotline training purposes. For complete and current information, please call the
RCRA/UST, Superfund, and EPCRA Hotline.
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10 - Generators
ACCUMULATION TIME LIMITS
Under §262.34(3), a LQG is allowed to accumulate hazardous waste on-site for 90
days or less in specified units without obtaining a storage permit or interim status, if
he or she complies with Part 265 management standards as specified in §262.34.
(Generators that accept waste from other generators are owners or operators of
storage facilities subject to Parts 264/265.)
A SQG may accumulate up to 6,000 kg of hazardous waste for 180 days or less
without a storage permit or interim status if he or she complies with the modified
standards in §262.34(d). If the TSDF is 200 miles or more away, the generator may
accumulate hazardous waste for 270 days or less (§262.34(e)). If the generator exceeds
the 6,000 kg or the applicable accumulation time limit, he or she becomes subject to
all applicable requirements of Parts 264/265. Note that these extended time limits
only apply to SQGs accumulating waste in tanks or containers. Small quantity
generators who accumulate waste in containment buildings or on drip pads are
subject to the accumulation standards for large quantity generators.
Generators may receive a 30-day extension to their 90-day, 180-day, or 270-day
accumulation period if uncontrollable and unforeseen circumstances cause them to
accumulate waste on-site for longer than the allowed time period. Such an
extension may be granted by a Regional Administrator or authorized state on a case-
by-case basis (§262.34(b)). An example of an uncontrolled or unforeseen
circumstance is a truckers' strike preventing the shipment of waste off-site.
Large and small quantity generators accumulating beyond the authorized time
limits for their category become subject to the requirements of Parts 264/265. A SQG
who accumulates more than 6,000 kg during the authorized period is also subject to
the storage facility regulations in Part 264 or 265.
TREATMENT WITHOUT A PERMIT
EPA interprets the accumulation provisions of §262.34 as allowing generators to
store their waste for the allotted time period and to treat their waste in the
accumulation unit, provided the generator complies with the requirements of
§262.34 as well as the unit-specific requirements in Fart 265 for tanks, containers, or
containment buildings. This interpretation allows generators to treat hazardous
waste on-site without obtaining a permit or interim status (51 FR 10168; March 24,
1986, and 57 FR 37194; August 18,1992). Some states interpret "accumulation" to
include only storage and not treatment, however, and these states may require the
generator to obtain a permit in order to conduct treatment. Generators who treat
wastes in accumulation tanks, containers, or containment buildings for purposes of
meeting treatment standards under the land disposal restrictions (Part 268) must
comply with §268.7(a)(4) and have a waste analysis plan on-site (discussed further in
the module entitled "Land Disposal Restrictions"). EPA has not extended the
interpretation of accumulation to allow generators of wood preserving wastes to
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline trainingpurposes. For complete and current information, please call the
RCRA/UST, Superfund, and EPCRA Hotline.
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Generators -11
treat waste on drip pads because drip pads are intended to serve solely as a means of
conveying treated wood drippage and other related wastes to an associated collection
system.
GENERAL STANDARDS
LQGs accumulating hazardous waste on-site under §262.34(a) must comply with the
preparedness and prevention procedures of Part 265, Subpart C. These requirements
include having an emergency coordinator and testing and maintaining emergency
equipment SQGs are subject to less stringent requirements for emergency
preparedness (§§262.34(d)(5)(i) and (ii)).
LQGs must develop and maintain a contingency plan on-site, as found in Part 265,
Subpart D, which outlines the response procedures necessary to minimize the
hazards posed by fires, explosions, or unplanned releases of hazardous waste from
the facility (§262.34(a)(4)). Such a plan is not required for SQGs, although
§262.34(d)(5)(iv) outlines appropriate response procedures.
LQGs must comply with the personnel training requirements referenced in §265.16.
These regulations require facility personnel to complete classroom or on-the-job
training to become familiar with proper hazardous waste management and
emergency procedures for the wastes handled at the facility. SQGs must follow
modified personnel training requirements under §262.34(d)(5)(iii).
CESQGs
Hazardous waste generated by CESQGs is not subject to specific management
standards (Parts 262-270) for accumulation under the federal hazardous waste
regulations provided they do not accumulate more than 1,000 kg of hazardous waste
(or more than 1 kg of acute hazardous waste, or more than 100 kg of spill residue
from an acute hazardous waste) on-site at any time. A CESQG who exceeds the 1,000
kg limit for hazardous waste becomes subject to the SQG requirements in §262.34(d).
On the other hand, a CESQG becomes subject to full regulation (i.e., large quantity
generator regulations) when the quantity of waste accumulated exceeds any of the
limits specified for acute hazardous wastes (§261.5(f)).
Section 261.5(g)(3) states that CESQGs may either treat or dispose of their waste in an
on-site facility, or ensure delivery to an off-site treatment, storage, or disposal
facility. The on-site or off-site facility, if located in the United States, must be:
• A federally permitted or interim status hazardous waste treatment,
storage, or disposal facility
• A facility that is located in an authorized state and that is authorized to
manage hazardous waste
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline trainingpurposes. For complete and current information, please call the
RCRA/UST, Superfund, and EPCRA Hotline.
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12 - Generators
A facility permitted, licensed, or registered by a state to manage
municipal or industrial solid waste
A facility which beneficially uses, reuses, or reclaims the waste.
2.6 PRE-TRANSPORT REQUIREMENTS
Before shipping hazardous waste off-site to a RCRA facility for treatment, storage, or
disposal, a generator must comply with numerous pre-transport requirements.
These requirements include obtaining an EPA ID number, preparing a Uniform
Hazardous Waste Manifest (EPA Form 8700-22), and complying with several
Department of Transportation (DOT) requirements.
EPA IDENTIFICATION NUMBERS
A generator must obtain an EPA ID number before treating, storing, disposing,
transporting, or offering for transport hazardous waste. EPA ID numbers are site-
specific numbers assigned to generators, transporters, and treatment, storage, or
disposal facilities, and need only be obtained once. Conditionally exempt small
quantity generators do not need EPA ID numbers. Each EPA ID number consists of
three letters and nine digits. The first two letters are simply the two-letter
abbreviation for the state in which the facility is located. The third letter is either a
"D" for facilities with permanent ID numbers or a "T" for a facility with a temporary
number. The three letters are followed by a nine-digit number uniquely associated
with the site. Emergency EPA ID numbers are available in certain situations
(December 24,1980; 45 FR 85022).
EPA ID numbers are obtained by filing Form 8700-12, "Notification of Regulated
Waste Activity," with the appropriate EPA regional or authorized state RCRA office.
The notification forms themselves are obtained from state or regional offices.
MANIFEST (EPA FORM 8700-22)
A generator who transports, or offers for transportation, hazardous waste for off-site
treatment, storage, or disposal must prepare a Uniform Hazardous Waste Manifest.
The manifest is a multiple-copy tracking document for hazardous waste shipments
that is required by DOT and EPA. The manifest tracks the chain of custody for the
waste from the point it leaves the generator to final disposition. Each party that
manages the waste signs the manifest and retains a copy, providing critical
continuity between the generator and receiving facility (Part 262, Subpart B). Once
the chain is complete, the receiving facility returns a signed copy of the manifest to
the generator. If a generator does not receive a copy of the manifest signed by the
designated facility owner or operator within 45 days of the date the waste was
accepted by the initial transporter (60 days for a small quantity generator), he or she
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes. For complete and current information, please can the
RCRA/UST, Superfund, and EPCRA Hotline.
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Generators -13
must file an exception report (§262.42). Conditionally exempt small quantity
generators are not required to use a manifest when shipping their waste off-site.
A copy of the manifest form and instructions for completing it are found in the
Appendix to Part 262. All numbered sections on the manifest must be completed to
meet federal requirements. The lettered sections are options which may be required
by the generator's or receiving facility's state. Since states may customize the
manifest, §262.21 explains which state's manifest must be used when waste
transportation is interstate. Including the EPA waste code on the manifest is not an
EPA requirement, but might be required by state law.
DESIGNATED FACILITY
According to §262.20, a generator must designate one facility on the manifest which
is permitted to handle the waste described on the manifest. A designated facility, as
defined in §260.10, is a federally or state-permitted treatment, storage, or disposal
facility or a recycling facility that does not store waste on-site prior to recycling as
regulated under §261.6(c)(2). The generator may also designate an alternate facility
in case the transporter cannot deliver the waste to the primary designated facility. If
the transporter is unable to deliver the shipment to either facility on the manifest,
the generator must either designate a third facility or have the transporter return
the waste.
"ON-SITE" TRANSPORTATION
The Part 262 manifesting requirements do not apply to "on-site" transportation of
hazardous waste. "On-site" is defined in §260.10 as:
• Contiguous property - property that is one continuous plot of land or
several plots of adjoining land
• Noncontiguous properties with a private right-of-way under the control of
the owner of the properties
• Contiguous property divided by a road (public or private) with the
property entrance and exit directly across from each other and
perpendicular to the road (crossroads intersection).
DEPARTMENT OF TRANSPORTATION REQUIREMENTS
DOT requires that generators meet several requirements before transporting or
offering hazardous waste for transport off-site, including packaging (§262.30),
labeling (§262.31), marking (§262.32), and placarding (§262.33). The DOT regulations
are found in 49 CFR Parts 172-179.
The information in this document is not by any means a complete representation of EPA s regulations or policies, but is
an introduction used for Hotline training purposes. For complete and current information, please call the
RCRA/UST, Superfund, and EPCRA Hotline.
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14 - Generators
2.7 REPORTING AND RECORDKEEPING
Generators have several recordkeeping and reporting responsibilities under Subpart
D of Part 262. These requirements specify the records a generator must keep, and the
length of time a generator must retain these records. Small quantity generators
have special requirements under this subpart, identified in §262.44.
REPORTING REQUIREMENTS
LQGs who ship hazardous waste off-site to a TSDF, or who treat, store, or dispose of
hazardous waste on-site, must submit a biennial report (EPA form 8700-13A) to EPA
by March 1 of each even-numbered year (§262.41). The biennial report compiles data
collected from off-site shipments of waste during the previous calendar year. The
report includes information such as the EPA ID number, name, and address of the
generator; the EPA ID number, name, and address of each TSDF in the United States
to which waste was sent during the period (as well as quantity of hazardous waste
sent); the EPA ID number, name, and address of each transporter; and a description
of the efforts taken to reduce the volume and toxicity of the waste generated (waste
minimization report).
As stated earlier, LQGs and SQGs may also need to submit exception reports under
§262.42. EPA may require the generator to submit additional reports or information
pursuant to §262.43.
RECORDKEEPING REQUIREMENTS
Under §262.40, the generator must keep a signed copy of the manifest for at least
three years from the date the waste was accepted by the initial transporter. The
generator must also retain a copy of each biennial report for a period of three years
from the due date of the report. In addition to these requirements, a generator must
keep records of any test results, waste analyses, or other determinations made in
accordance with §262.11 for at least three years. These time periods are extended
automatically during the course of any enforcement action.
2.8 EXPORT AND IMPORT REQUIREMENTS
Part 262 contains several provisions that apply to exporters and importers of
hazardous waste. Part 262, Subpart E, applies to exporters of hazardous waste and is
designed to ensure that hazardous waste is not exported to a foreign country
without that country's prior consent. Part 262, Subpart F, contains the regulations
that apply to importers of hazardous waste. Regulations will be developed in the
future to implement the Basel Convention, an international agreement on the
movement of hazardous waste sponsored by the United Nations, of which the
United States is a signatory.
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline trainingpurposes. For complete and current information, please call the
RCRA/UST, Superfund, and EPCRA Hotline.
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Generators -15
EXPORTS
A person who exports hazardous waste must follow the requirements outlined in
§§262,50-262.57, The requirements placed on exporters of hazardous waste include
specific notification of intent to export (§262.53) and proper notification as required
by the land disposal restriction program. Exporters must also ensure they are in
compliance with any applicable international trade agreements.
IMPORTS
Any person who imports hazardous waste is considered the generator of the waste
and must comply with all the requirements of Part 262, as well as the special
importer regulations of Subpart F. These special regulations require the importer to
use the name and address of the foreign generator and the importer's name, address,
and EPA ID number on the manifest The transporter and the U.S. facility arranging
for the importation of the waste are both considered importers, however, the parties
must agree on which one of the two will assume the generator duties.
2.9 FARMERS
Part 262, Subpart E, contains a special provision for farmers managing waste
pesticides. A fanner disposing of waste pesticides from his or her own use which
are hazardous wastes is not required to comply with the standards in Part 262 or
with the standards in Parts 264,265,268, or 270 for those wastes, provided he or she
triple rinses the containers in accordance with §261.7(b)(3), and disposes of the
pesticide residue and rinsate on his or her own farm in a manner consistent with
the disposal instructions on the pesticide label. If the label does not contain disposal
instructions, the fanner may not dispose of the pesticide or rinsate on his or her
property and must comply with Subtitle C regulations for disposal (45 FR 12732;
February 26,1980).
2.10 SPECIAL ISSUES
Complex generator topics that are frequent subjects of Hotline calls are clarified
below.
ACTIVE/INACTIVE MANAGEMENT
One question that is frequently received on the Hotline addresses the applicability of
the RCRA Subtitle C regulations to wastes that were disposed before they became
subject to regulation as hazardous. For example, callers may ask if a waste disposed
prior to the effective date of the original Subtitle C regulations (i.e., disposed prior to
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes. For complete and current information, please call the
RCRA/USX Superfund, and ETCRA Hotline.
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16 - Generators
November 19,1980) is subject to hazardous waste regulation. Information
Specialists should respond by explaining that regardless of when a waste was
generated or when it was disposed, any waste that exhibits a characteristic of
hazardous waste or meets a hazardous waste listing description is a RCRA Subtitle C
hazardous waste; the determining factor is whether the waste is "actively managed"
on or after the date that the waste becomes subject to hazardous waste regulation
(57 FE 37298; August 18,1992). The term active management means physically
disturbing wastes within a waste management unit or disposing additional
hazardous waste in existing units containing previously disposed wastes (57 FR
37298; August 18,1992). For example, an F001 waste that was disposed of in 1950
became a hazardous waste as of November 19,1980, the effective date of the F001
listing. The waste is not subject to hazardous waste regulation, however, unless the
waste is physically disturbed (e.g., exhumed). Once a person excavates the waste, he
or she is considered the generator since his or her act first caused the waste to
become subject to hazardous waste regulation (refer back to the definition of
generator in §260.10) and is subject to all applicable Part 262 requirements. Note mat
excavation of contaminated soil during routine construction operations, such as
pipeline installation, is not considered active management if the soil is redeposited
into the same excavated area.
CLOSURE STANDARDS
For each accumulation unit, generators must comply with certain disposal and
decontamination requirements once they cease operating these units. These are
known as closure requirements. Generators must comply with the generic closure
requirements in §265.111 and §265.114, and the unit-specific closure requirements
found in Part 265, Subpart I (containers), Subpart J (tanks), Subpart W (drip pads),
and Subpart DD (containment buildings). The closure requirements include
removing and decontaminating all contaminated equipment, structures, and soil to
minimize the need for further maintenance and prevent post-closure escape of
hazardous waste.
SATELLITE ACCUMULATION
Generators may accumulate up to 55 gallons of hazardous waste or one quart of
acute hazardous waste at or near the point of generation provided the operator of
the process generating the waste controls the accumulation area. There is some
guidance on satellite accumulation and the phrase "at or near the point of
generation" (49 FR 49568; December 20,1984). Once the 55-gallon limit is reached in
the satellite accumulation area, the container(s) must be dated so that inspectors can
be sure they are removed within 72 hours. The 90- or 180-day clock starts ticking for
satellite waste as soon as it enters the 90- or 180-day accumulation area (§262.34).
The information in this document is not by any means a complete representation of EPA s regulations or policies, but is
an introduction used for Hotline trainingpurposes. For complete and current information, please call the
RCRA/UfflvSupernind.and EPCRA Hotline.
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Generators -17
WASTE MINIMIZATION
One of the mandates of RCRA is to reduce or eliminate the generation of hazardous
waste as expeditiously as possible (RCRA §1003(b)). Hazardous waste generators,
when preparing a manifest, are required to certify that they have taken steps to
minimize the amount of hazardous waste that they generate. Large quantity
generators must certify that they have "a program in place" to reduce the volume
and toxicity of the hazardous waste they generate; small quantity generators must
certify that they have made a good faith effort to minimize their waste generation.
Large quantity generators must also include a description of the efforts undertaken
during the year to reduce the volume and toxicity of waste generated and a
description of the changes in volume and toxicity of waste actually achieved during
the year on their biennial reports. EPA outlined six basic elements that should be
included in a waste minimization program in the May 28,1993, Federal Register (58
FR 31114). You should be familiar with these elements as well as the statutory
authority for the waste minimization requirements.
AIR EMISSION STANDARDS
RCRA requirements for controlling hazardous air emissions for generators
accumulating in tanks and containers are frequently discussed on the Hotline. With
the promulgation of the Subpart CC air emission standards (December 6,1994; 59 FR
62896), large quantity generators must comply with all applicable air emission
standards in Part 265, Subparts AA, BB, and CC (§§262.34(a)(l)(i) and (ii)). These
regulations are discussed in detail in the module entitled "Air Emissions."
UNIVERSAL WASTE
Universal wastes are certain hazardous batteries, pesticides, and thermostats
handled under the special regulations in Part 273. The universal waste rule
modified the CESQG regulations. CESQGs must send their hazardous waste only to
facilities specified under §§261.5(f) and (g). The universal waste rule (May 11,1995;
60 FR 25492) added provisions for CESQGs generating universal waste to send their
universal waste to a facility subject to Part 273.
The information in this document is not by any means a complete representation of EPA's regulations or policies, but is
an introduction used for Hotline training purposes. For complete and current information, please call the
RCRA/USX Superfund, and ETCRA Hofline.
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18 - Generators
2.11 SUMMARY CHART
Quantity Limits
EPA ID Number
On-Site
Accumulation
Quantity
Accumulation Time
Limits
Storage Requirements
Off-site Management
of Waste
Manifest
Biennial Report
Personnel Training
Contingency Plan
Emergency
Procedures
DOT Transport
Requirements
CESQG
<100 kg/month
<1 kg acute/month
§§261.5(a) and (e)
Not required
i261.1»
<1000kg
< 1kg acute
< 100 kg spill residue
from acute
§§2615(0(2) and (e)(2)
None
§261.5
None
§261.5
State a ^proved or RCRA
permitted/interim status
facility
§§2615(0(3) and (K)(3)
Not required
§261.5
Not required
§261.?
Not required
§261.?
Not required
261.5
Not required
§261.?
Yes
(as required by DOT)
SQG
between 100-1000 kg/month
§262.34(d)
Required
§262.12
<6000kg
§262.34(d)(l)
< 180 days or
< 270 days
5§262.34(d) and (e)
Basic requirements with
technical standards for
tanks or containers
§§262.34(d)(2) and (3)
RCRA permitted/interim
status facility
§262.20(b)
Required
§262.20
Not required
§262.4*
Basic training required
S262.34(d)(5)(iiif
Basic plan
§262/41000 kg/month or
>1 kg of acute hazardous
waste/month
Part 262 and §2615(e)
Required
S2&.12
No Limit
< 90 days
§262.34(a)
Full compliance for
management of tanks,
containers, drip pads, or
containment buildings
§262.34(a)
RCRA permitted/interim
status facility
§262.20(b)
Required
§2&.20
Required
§2*67.41
Required
§2«.34(a)(4)
Full plan required
§26£34(a)<4)
Required
§262.34(a)(4)
Yes
§§262.30-262.33
The information in this document is not by any means a complete representation of EPA s regulations or pobaes, but is
an introduction used for Hotline training purposes. For complete and current information, please call the
RCRA/Usi; Superfund, and EPCRA Hotline.
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