SEPA
United States
Environmental Protection
Agency
Office of
Solid Waste and
Emergency Response
DIRECTIVE NUMBER: 9450.oo-i
TITLE: IMPLEMENTATION STRATEGY FOR SMALL QUANTITY
GENERATORS OF 100-1000 KG/MONTH
APPROVAL DATE: APRIL 22, 1986
EFFECTIVE DATE: APRIL 22, 1986
ORIGINATING OFFICE: OFFICE OF SOLID WASTE
E FINAL
G DRAFT
STATUS:
REFERENCE (other documents): N/A
OSWER OSWER OSWER
DIRECTIVE DIRECTIVE D
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OSWER Directive Initiation Request
9450.00.1
Narre o* Contact Person
Martha Madison
Mai. Ccae - Branch
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Implementation Strategy for Small Quantity Generators of 100-1000 KG/Month
Sc.-nma'vct uirsc-.ive . .
Sets out strategy for implementing the regulations pertaining to SQGs
Key Words:
Small Quantity Generators
Type ot Directive (Manual. Policy Directive. Announcement, etc.I
\ Status
! D Orah
; H Final
Q New
Revision
Ooes-tnis Directive Supersede Previous Oirecnvels,' | | Yes ft ] No Does it Supplement Previous Oirective> [ | Yes [ "| No
If "Yes" to Either Question. What Directive (number, titlel
Review Plan
D AA-OSWER
D OERR
D OSW
D OUST
D OWP6
I—I Regions
D OECM
D OGC
D OPPE
a
Other i Specify!
This Request Meets OSWER Directives Svstem Format
Sigrature of Lead Ofdce Directives Officer
: Date
Signature of OSWER Directives Officer
• Date
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OSWER POLICY DIRECTIVE £9450.00-1
IMPLEMENTATION STRATEGY FOR
SMALL QUANTITY GENERATORS OF 100-1000 KG/MONTH
Permits and State Programs Division
Office of Solid Waste
U.. S . Environmental Protection Agency
April 1986
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OSWER POLICY DIRECTIVE #9450.00-1
PREFACE
In the Hazardous and Solid Waste Amendments of 1984
(KSWA), Congress required EPA to promulgate rules applicable to
small quantity generators (SQGs) of 100 to 1000 kg of hazardous
waste in a calendar month. Final regulations were promulgated
on March 24, 1986 (51 FR 10146). These requirements impact a
large new population of generators (approximately 100,000
firms), many of which are small businesses with little or no
experience with Federal hazardous waste standards. The rules
represent the Agency's effort to balance the need to regulate
the 100-1000 kg/mo hazardous waste generator in a way that
protects human health and the environment with the need to
minimize the economic and operational impacts of such
regulation upon small firms.
As a part of its development and analysis of standards for
generators of 100-1000 kg/mo, EPA considered the means by which
the Agency will implement the standards so as to achieve the
maximum environmental benefits in the most expeditious manner.
In developing this Implementation Strategy, the Office of Solid
Waste (OSW) identified issues that the Agency might face in
implementing the rules and outlined alternative means for
resolving those issues. The options were reviewed by EPA
Regions and the States and by EPA Headquarters staff. Comments
were analyzed and incorporated into this Implementation
Strategy as appropriate.
The Implementation Strategy is designed to serve as a- plan
for putting the standards for generators of 100-1000 kg/mo into
effect. The Strategy therefore is organized according to the
major activities that will be undertaken in implementation, in
the general order in which those activities will be carried
out. The responsible entity within EPA is identified in
connection with each major activity. State responsibilities
are noted when the States may be primarily involved in an
activity.
The Strategy will rely primarily upon information
dissemination, voluntary compliance, spot compliance
monitoring, and enforcement action for major violators to
implement the new rules.
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OSWER POLICY DIRECTIVE 39450.0C-1
TABLE OF CONTENTS
Pag^
PREFACE 1
I. KEY ELEMENTS OF THE STRATEGY: AN OVERVIEW 3
11. IMPLEMENTATION STRATEGY 5
A. Regional Preparation for Implementation 5
B. Outreach Activities to Promote Voluntary
Compliance With the New Requirements 5
C. Actions to Identify the Regulated Community
and Process Hazardous Waste Notification
Forms 10
D. State Authorization and Grant Activities 15
E. Compliance Monitoring and Enforcement 13
F. Permitting 22
III. SUMMARY OF RULE 23
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OSWER POLICY DIRECTIVE #9450.00-1
I. KEY ELEMENTS OF IMPLEMENTATION STRATEGY: AN OVERVIEW
The new rules affecting generators of 100-1000 kg/mo are
expected to increase significantly the size of the regulated
community of hazardous waste generators, imposing a substantial
new implementation burden on EPA. The Implementation Strategy
assumes that additional implementation resources will be
provided under RCRA §8001 for education and outreach
activities. Each of the remaining activities must be
accomplished within the current resource limits.
The most important activities, which are described in
detail in Section II, include the following:
• Designation by Regional Offices of staff
responsible for knowing both State and Federal
SOG standards and for answering inquiries from
owners or operators, and preparation by other
Regional staff (i.e., Small Business liaison,
Public Affairs staff) to assist in SQG
implementation activities.
• Outreach activities to inform members of the
regulated community of their responsibilities and
promote voluntary compliance with the rules.
Outreach activities will incllide production and
distribution of a Q&A brochure describing the SQG
rules for distribution to trade associations, the ~
press, environmental groups, States and
government agencies, grantees, and owners and
operators; establishment of an informal
information clearinghouse; review, award, and
monitoring of §8001 grants and development of
guidance for future grant awards and evaluation
criteria; development and distribution of a
handbook on the final rules; preparation of a
videotaped training program and slide/tape
presentation materials; and development of a
series of industry-specific pamphlets summarizing
alternative waste management strategies for SQGs.
Activities to identify the members of the
regulated community, assign them EPA
Identification Numbers, and ensure that they are
included in the Hazardous Waste Data Management
System. These activities will include:
contacting trade associations and providing them
with copies of the SQG rules'and with Q&A
brochures for distribution to their members;
issuance of EPA Identification Numbers to SQGs;
development of a policy -concerning issuance of
EPA Identification Numbers to SQGs that have
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OSWER POLICY DIRECTIVE £9450.00-1
already obtained a State ID number; development
of a mechanism for identifying and issuing ID
numbers to generators that are outside the
boundaries of both States and Regions; and
contacting members of selected industry groups by
mail to inform them of SQG requirements;
Activities to assist the States in designing
and implementing programs that will'enable them
to be aurhorized to administer programs to
regulate SQGs will include allowing and
encouraging the use of §8001 Grants by State and
local organizations to assist SQGs; negotiating
Cooperative Agreements between EPA and States;
and reviewing State applications for approval of
program modification.
Compliance monitoring, within the bounds set by
the current RCRA Implementation Plan, including
the development of compliance monitoring goals
and priorities for SQGs and preparation of
guidance on their use; modifications to the
Hazardous Waste Data Management System, as
necessary, to include data on SQGs; development
of a compliance monitoring policy for generators
that are outside the-boundaries of States and
Regions; and inclusion of SQGs on lists of
generators and transporters to be inspected." ^-^
Development of enforcement goals, preparation
of enforcement actions against serious violators,
and preparation of public information concerning
enforcement to ensure that the SQG requirements
are not disregarded by the regulated community.
Permit review and issuance for generators of
100-1000 kg/mo who treat, store and/or dispose of
hazardous waste, and off-site facilities who
handle waste for these generators. Priorities
for permitting generators should be within the
bounds set by the RCRA Implementation Plan.
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OSWER POLICY DIRECTIVE #9450.00-1
II. IMPLEMENTATION STRATEGY
This Strategy outlines the approach to implementation of
the requirements for generators of 100-1000 kg/mo of hazardous
waste (SQGs) that will achieve the maximum environmental
benefits with the resources available. Each element of the
Implementation Strategy is discussed below in terms of the
actions that it will require, the entities that will be
primarily responsible, and the time periods in which it is
expected to be undertaken.
A. Regional Preparation for Implementation
Each Region must ensure that responsibilities have been
assigned to Regional staff for implementation activities.
These activities will include reviewing the standards for
generators of 100-1000 kg/mo that have been set by each State
in the Region and becoming familiar with "any differences
between State and Federal requirements. At least one person,
generally the SQG contact, should be identified as the resource
person for answering inquiries from owners or operators
concerning what requirements they are responsible for •
satisfying. Other Regional staff who should become prepared
for SQG implementation activities include the Regional Small
Business liaison, the Regional Public Affairs Specialists, and
the appropriate contacts for §8001 grants.
B. Outreach Activities to Promote Voluntary Compliance With
the New Requirements
SPA will rely, in part, upon public education and other
outreach activities to ensure that generators of 100-1000 kg/mo
are aware of the new requirements and comply voluntarily with
them. A number of outreach activities are currently underway
and will be completed before the effective date of the
regulations.
The public education and outreach elements of the
Implementation Strategy include activities to be undertaken by
EPA Headquarters, EPA Regional Offices, and States. EPA
Headquarters will perform two basic functions. First, the
Office of Solid Waste (OSW) will establish the content and tone
of information about the final SQG rules and enforcement of the
rules. Second, OSW will serve as a catalyst for outreach
activities to be conducted by States and municipalities. In
particular, OSW will provide guidance to Regions about
activities to fund through RCRA §8001 grants. The Regions are
responsible for disseminating information among States and
members of the regulated community, and for directing Federally
funded outreach activities toward Agency goals. The Regions
are also responsible for providing accurate and timely feedback
to OSW about the successes and failures of outreach activities
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OSWER POLICY DIRECTIVE #9450.00-1
funded under §8001. .This information will be shared with all
Regions to assist them in choices for the §8001 grants in
FY86. The Regions, States and localities will need to provide
generators of 100-1000 kg/mo with additional industry-specific
and location-specific information and assistance, particularly
with respect to locating licensed transporters and hazardous
waste facilities. Published information materials will
continue to recommend that SQGs contact States and localities
for this - information, and Headquarters and Regions will
continue to direct inquiries to States and localities.
OSW has already undertaken several communications
projects. They include preparation of a question-and-answer
brochure for distribution simultaneously with the final
regulations; preparation of a complete handbook on the
regulations, which is scheduled to be issued in summer 1986 and
will accommodate State-specific information; preliminary
development of fact sheets on waste reduction in each industry
group affected by the regulations; and production by the
National Fire Protection Association (NFPA) of a videotape
about the final rules. The NFPA has already produced one
videotape on this subject.
OSW will develop a "generic" handbook that can be
modified, adapted or used by States, county and local
governments, regional organizations, and other interested
parties, such as trade associations and trade publications. To
the extent feasible, the materials will be designed to accept
locale-spe-cif ic and/or industry-specific modifications. The
materials will include:
• Rules presented in readily understandable
language, so that SQGs are not required to use
the Code of Federal Regulations to understand the
requirements;
• Industry-specific information; and
• Persuasive components that emphasize the
environmental benefits of compliance as well as
civil and criminal penalties for non-compliance
and potential civil liability.
OSW will begin immediately to collect information from the
Regions about the status of §8001 grant-supported SQG projects
(for example, details of projects, assessments of successes and
failures) and will encourage and develop informal guidance for
Regional awards of SQG projects in FY86.
A broad range of programs (educational, technical, legal,
and administrative) by States, universities, and other entities
will be initiated through §8001 grants. A work group of
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CSWER POLICY DIRECTIVE #9450.CO-1
Regional and Headquarters staff will'-be convened at
Headquarters in mid-April 1986 to review FY85 §8001 grant
activities. Drawing on the experience and opinions of work
group members, OSW will develop informal guidance to the
Regions, more specific than was provided in FY85, about types
of activities to fund. The focus of the work group meeting
will be on:
• Encouraging Regions to fund the following types
of activities:
Training programs and educational workshops
for generators of 100-1000 kg/mo.
Publication of locale-specific and
industry-specific materials on compliance
alternatives; and
Development of information exchanges
concerning transporter services, TSD
facilities, etc.
• Providing general guidance based on experience
with grant awards in FY85 to assist Regions in
performing technical and cost evaluations (e.g.,
instructor qualifications for workshops; range of
expected per-participant costs).
. An informal inforrnat'ionr-clearinghouse concerning outreach
activities will be established and representative outreach
projects will be identified. The mailing list of each §8001
grantee should include the other grantees, and copies of
outreach materials prepared by each grantee should be provided
to the other grantees. In addition, Headquarters will identify
and provide information to grantees (from trade press, and
other sources) on a systematic basis concerning SQG outreach.
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OSWER POLICY DIRECTIVE #9450.00-1
TABLE 1
OUTREACH ACTIVITIES
Activity
Responsible
Organiza-ion
Target Date
I Presentations to interested
;groups and associations
Collaboration with key
ifederal facilities
;Assign SQG resource person
.and become familiar with
:Federal and State SQG
|requirements
iProduce Q&A brochure to
!accompany final rules
i
'Distribute FR reprints
; and Q&A brochures.--ro_:
j • - trade associations
i - trade press
i - environmental groups
! - Congress
j - government agencies
j - States
I - grantees
i
i
iEstablish information
|"clearinghouse" on
:SQG activities
I
jSolicit proposals for,
|award, and monitor
; §8001 SQG grants
i
!Develop guidance for
!future grant awards and
(evaluation criteria
!
iDevelop general "handbook"
ion final rules
Headquarters
and Regional
Offices
Headquarters
and Regional
Offices
Regional
Offices
Headquarters
(OSW)
Headquarters
Headquarters
Headquarters
Headquarters
Headquarters
Regional Offices
Regional Offices
Headquarters
Regional Offices
Headquarters
and Regional
Offices
Headquarters
Ongoing
Ongoing
Ongoing
March, 1986
March, 1986
March, 1986
Beginning in
April, 1986
Orientation
meeting in
April, 1986
June, 1986
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OSWER POLICY DIRECTIVE £9450.00-1
Activity
TABLE 1 (continued)
OUTREACH ACTIVITIES
Responsible
Organization
Target Date
Distribute handbook to
Regional Offices and
interested trade
associations
Disseminate handbook among
States and regulated SQGs
NFPA videotaped training
program on 'the final rules
Develop slide/tape presen-
tation for use by States,
trade associations,
Chambers of Commerce, etc.
Develop.series of industry-
specific pamphlets
summarizing alternative
waste management strategies
Ifbr. SQGs ' '•
Headquarters
July, 1936
Regional Offices July, 1986
Headquarters
Headquarters
Headquarters
September,
1986
September,
1986
Completed by
December,
1986
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OSWER POLICY DIRECTIVE #9450.00-1
C. Actions to Identify the Regulated Community and Process
Hazardous Waste Notification Forms
Because of the large number of firms generating from
100-1000 kg/mo of hazardous waste, EPA will rely to a large
extent upon voluntary compliance as the primary means by which
the firms will be identified and brought into the regulated
community. However, EPA recognizes that some firms may not
comply voluntarily, and that obstacles exist to a program in
which EPA identifies such firms. Most firms will not currently
be subject to any system of environmental regulation, and
therefore will not be included in existing EPA or State data
bases. A large number of firms may require identification, and
SQGs are likely to be less visible than larger generators.
Firms may deliberately attempt to avoid being identified.
Furthermore, many SOGs are likely to be uninformed about
regulatory requirements and reluctant to submit- voluntary
notices or apply for identificarion numbers. Education and
outreach programs and other measures will be necessary to
stimulate SQG response.
Under the final rule, generators of 100 to 1000 kg of
hazardous waste per month are required to obtain a U.S. EPA
Identification Number. This is accomplished through completion
of EPA Form' 8700-12 "Notification of Hazardous Waste Activity"
(or an authorized State's equivalent form). State hazardous
waste agencies are playing an increasingly active role in the
distribution, processing, and review of notification forms. In
42 States, the.State agency functions as the primary point of
contact for SQG notifiers. However, EPA Regional Offices
currently have responsibility for the actual assignment of all
U.S. EPA Identification Numbers regardless of a State's
authorization status. This will not change.
OSW will rely, in part, upon trade associations, hazardous
waste management firms doing business with SQGs, and hazardous
waste transporters to provide assistance in conveying
information to generators of 100-1000 kg/mo about regulatory
requirements. Many of the hazardous waste transporters and
management firms will require generators of 100-1000 kg/mo to
register and obtain EPA Identification Numbers, because they
will make compliance with the regulatory requirements a
condition of providing services. Transporters and treatment,
storage, and disposal facilities will assist generators of
100-1000 kg/mo with compliance-related activities, such as
preparation of notifications, obtaining EPA Identification
Numbers, and filling out of manifests.
In addition, to ensure that important groups of SQGs that
do not have strong relationships with trade associations are
not ignored, OSW will contact members of certain industries,
identified by SIC codes, by direct mail. This activity should
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OSWER POLICY DIRECTIVE #9450.00-1
ensure that a high proportion of the members of that SIC code
who are generators of 100-1000 kg/mo are brought- quickly into
the regulatory system.
Firms that have already notified EPA, received
identification numbers, and been included in the Hazardous
Waste Data Management System (HWDMS) will have satisfied the
notification requirement and should not be contacted further.
The Region's may use HWDMS to identify those firms that already
have EPA Identification Numbers and that are coded in the
database as SQGs before September 22, 1986. The Regions might
consider sending a letter to such firms notifying them that
they do not need to apply for a new EPA ID number but must now
comply with Part 262.
OSW and the Office of Waste Programs Enforcement (OWPE)
will also use compliance monitoring to identify the regulated
community. Citizen complaints and other reports of spills and
violations may be used to identify firms that have not
voluntarily notified EPA and obtained an EPA Identification
Number.
-. EPA currently estimates that 100,000 additional generators
will be required to notify as regulated small quantity
generators. The actual number of generators who file a
notification form may be even higher, 'due to confusion over
requirements, precaurionary_fi_ling/ or as a result of more
stringent =f£ate requYremen"t"s. TEis' means a very~"signif icant
workload on EPA Regional Offices and States to process a large
number of notification forms.
Two separate activities are involved in the processing of
notification forms: (1) assignment of an EPA Identification
Number, and (2) entry of data from Form 8700-12 into the HWDMS
System. All EPA Regional Offices currently have Regional
and/or contractual staff available who routinely perform these
functions. However, existing staff may not be able to keep up
with the expected large number of new notifications without a
significant expansion of resources. As a result, OSW has added
$150,000 in additional funds earmarked specifically to assist
EPA Regional Offices in the processing of notification forms
from generators of 100-1000 kg/mo. This funding source was
available to the Regions at the beginning of FY86 and will
continue to be available throughout the fiscal year. Any
Regional Office not' currently using the funding source and
wishing to do so should contact the CSC Site Manager in that
Regional Office.
OSW recognizes that a Region may receive enough forms in a
given week that it will experience a temporary backlog in its
ability to process them in a timely manner, even with
additional funding. Consequently, OSW has informed the Regions
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OSWER POLICY DIRECTIVE $9450.00-1
that in the event of- a significant backlog all efforts should
be centered on the most critical function first: the
assignment of an EPA Identification Number. As time and
resources allow, the less critical (though extremely important)
function of data entry into HWDMS can proceed. However, in
Regions that provide generator notification through
computer-generated acknowledgements, the two functions will
have to be performed simultaneously.
A number of States already regulate generators of less
than 1000 kg/mo. In particular, many States already require
small quantity generators to use an identification number.
Some States require small quantity generators to obtain an EPA
ID number, and have them apply either directly to the EPA
Regional Offices or through the State offices. Other States
require a State-issued number, which may differ in format from
the EPA numbering system. Under the new rules, small quantity
generators of 100-1000 kg/mo will be required to obtain an EPA
ID number issued by the Regional Offices.
Those small quantity generators who already have an EPA
Identification Number will not be required to submit a second
notification. Generators with a State-issued number, however,
must obtain an EPA number as well. There are two roles a State
can play. ' At a minimum, the. State should contact all 100-1000
kg/mo generators identified .in its files and notify them of the
new requirements. If the State wishes to take the initiative,
>uld—p-tov-i-de—-the—E-PA: -Regional Of f ice with all required
notification information on the 100-1000 kg/mo generator
possessing a State ID number, and arrange for a U.S. EPA
Identification Number to be assigned. In this latter case,
additional information may have to be gathered from the
generator to ensure that all Federally required notification
information is available. In this instance, the State would be
acting as the handlers agent.*
States will be given the option of establishing
cross-references between State and Federal numbers, or adopting
the Federal numbers for State records as well.
Finally, this rule has identified a new type of handler
with a unique problem. Off-shore oil drilling operations may
qualify as SQGs under this rule. Many of these rigs operate in
U.S. waters that are outside the boundaries of Regions or
1 In those cases when a State identification number is
compatible with the EPA numbering system, little more than
HWDMS entry will be necessary. In the remaining cases, a new
EPA Identification Number will be assigned and the State will
forward the new ID number to the generator.
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OSWER POLICY DIRECTIVE #9450.00-1
States. As of yet, no formal mechanism exists for the issuance
of EPA ID numbers and the resulting responsibility for
inspections. OSW, in conjunction with OWPE, will pursue this
issue to resolution.
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OSWER POLICY DIRECTIVE #9450.00-1
TABLE 2
IDENTIFYING REGULATED COMMUNITY AND PROCESSING
HAZARDOUS WASTE NOTIFICATION FORMS
Activity
Responsible
Organization
Target Date
Contact Trade Associations
with Federal Register
reprints and Q&A brochures
Issue EPA Identification
Numbers to SQGs
Process requests for ear-
marked CSC funds from
Regions
Develop policy for SQGs
that have already obtain-
ed a State ID number
i
I
'.Develop mechanism for gen-
;erators that are outside
,the boundaries of both
;States and Regions (e.g.,
'offshore oil wells)
'Contact members of select-
led industry groups by mail
!to inform them of SQG
i requirements
Headquarters
Regional
Offices
Headcruarters.
Headquarters
Headquarters
Headquarters
March, 1986
Ongoing
Ongoing
Before
September 22,
1986
Before
September 22,
1986
Before
September 22,
1986
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OSWER POLICY DIRECTIVE #9450.00-1
D. State Authorization and Grant Activities
An important feature of the KSWA provisions is that they
take effect in both authorized and nonauthorized States at the
same time. All States seeking authorization for their snail
quantity generator program must submit applications for program
approval, regardless of whether or not they already regulate
small quantity generators. In effect, no State will have
approved small quantity generator requirements by October 1986,
and EPA will be responsible for implementing the Federal
requirements in all States. Until a State program is approved,
both the Federal and State standards will apply, .and the
regulated community must comply with all requirements. while
some of the requirements will have an effective date after
October 1986, it is unlikely that all States will apply for and
receive approval of their small quantity generator requirements
before many of the Federal provisions go into effect.
Until a State's SQG program is approved (for either
interim or final authorization), it may enter into a
Cooperative Agreement with EPA to assist in the administration
of Federal requirements in the State. Under- the Cooperative
Agreement, EPA retains all legal authority. The Cooperative
Agreement delineates a set of activities that may be performed
by a designated State agency (e.g., inspection, outreach,
enforcement). Use of a Cooperative Agreement minimizes
duplication of regulatory efforts, disruption of existing State
•programs, and_..confusion among the regulated community. RCRA
grant money is made available to the State to perform these
activities. It appears that all of the small quantity
generator regulations could be implemented by a Stare under a
Cooperative Agreement (with the exception of issuance of EPA
Identification Numbers, discussed above, 'which is always done
by the EPA Regional Offices). In addition, enforcement
responsibilities may be deferred to a State using this
mechanism.
In developing Cooperative Agreements, EPA Regions will
work closely with States to determine where Federal
requirements differ from State programs, and in particular
where Federal standards are more stringent, so that States can
effectively implement both sets of requirements until
authorized for that portion of the HSWA provisions. A
regulatory checklist may assist in comparing existing State
program provisions to Federal standards and identifying
insufficient coverage in the State that should be included in
the Cooperative Agreement. A regulatory checklist is included
as Table 5. States.can also use -his checklist in their SQG
authorization applications. Whenever possible, Regions should
work together with States and local governments in the conduct
of SQG enforcement. States (or local governments in those
situations in which the State allows local governments to take
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OSWER POLICY DIRECTIVE £9450.00-I
primary responsibility) should be encouraged to take the
enforcement lead with respect to SQGs.
Cooperative agreements for FY87 are already being
negotiated. States that desire funding for SQG programs must
include in their negotiated grant work program a plan that (1)
shows how the State will use the outreach products developed al
EPA Headquarters (such as distribution plans for materials or
plans for conducting workshops) or otherwise conduct outreach
activities of their own; (2) outlines an inspection program
tailored to identify generators most likely to present a
hazard; and (3) describes a high-visibility enforcement
program. Significant uncommitted inspection resources are
budgeted for these activities.
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OSWER POLICY DIRECTIVE £9450.00-1
TABLE 3
STATE AUTHORIZATION AND GRANT ACTIVITIES
Activity
Responsible
Organization
arget Date
jProvide §8001 Grant Infor- Regional
imation to States Offices
:
.'Negotiate FY87 Coopera- Regional
:tive Agreements including Offices
: SQG activities
j
'•If Regulations must be States
• revised - submit Official
jApplication for Approval
!of Program Modification
i
!If Statutes must be States
irevised - submit Official
!Application for Approval
iof Program Modification
March-October!
1986
No later
than October
1986
No later :
than December1
1986* ;
No later
than December
1987*
! * In the event that rhe "cluster" rule (51 FR 498-504,
iJanuary 6, 1986) becomes final as proposed, the. States will
;have a longer time to submit an authorization application ro
;implement the SQG program. SPA has proposed a one-time
'multi-year HSWA cluster to encompass the HSWA provisions that
I are promulgated or take effect between the date of enactment
I(November 8, 1984) and June 30, 1987. States would be
irequired to adopt these HSWA provisions by July 1, 1988, if
jonly regulatory changes are needed, or July 1, 1989, for any
ispecific HSWA provisions that necessitated State statutory
changes.
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OSWER POLICY DIRECTIVE £9450.00-1
E. Compliance Monitoring And Enforcement
To the greatest extent possible, existing compliance
monitoring methods as applied to generators of greater than
1000 kg/mo also will be applied to the population of generators
of 100-1000 kg/mo. Because of the large number of generators
to inspect, the limited number of inspectors, and the
relatively small proportion of inspection resources allocated
to generators, however, • this strategy will result in some
reliance on voluntary compliance, coupled with EPA or State
response to complaints.
Standard compliance monitoring procedures may be augmented
in three additional ways. First, when possible, local levels
of government may be relied upon to provide compliance
monitoring that extends the available resources and coverage.
In some situations, local governments may provide information
to EPA or to a State. Reliance on local government for
compliance monitoring will have the advantages that local
governments are likely to be informed about activities of local
businesses and that compliance monitoring can be conducted
frequently. However, EPA may authorize only State-level
agencies and may not delegate monitoring to a local
government. If a State chooses to use local levels of
government to provide compliance monitoring, the State will be
required, during the authorization process-to identify the local
government agencies to be involved-. The State will also be
required to describe- the functional-local governments—wi-t± '—
perform, the procedures for coordination and interaction, the
resources to be provided by local government, and the State's
procedures for oversight. It is also necessary to ensure that
.local government agencies are informed about requirements,
apply consistent standards, take strong enforcement action when
required, and possess sufficient resources.
Second, other environmental programs might be identified
that could be used in conjunction with the SQG program to
extend the resources and coverage available for compliance
monitoring. Such piggybacking of SQG compliance monitoring
with compliance monitoring for other associated environmental
requirements such as the Clean Air Act, the Clean Water Act,
and the underground storage tank program might broaden the
coverage that could be obtained and increase the available
resources. Additional program development would be required
before joint compliance monitoring could be possible.
Third, in FY 1987 EPA Headquarters, with the Regions, will
prepare.guidance for the Regions on how to use compliance
monitoring criteria to focus attention on particular types of
firms or activities. Such criteria will allow concentration of
compliance monitoring on certain industries or geographic
areas, based on risk, location criteria, hazard of wastes,
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OSWER POLICY DIRECTIVE #9450.00-1
and/or technology. Compliance monitoring or enforcement
actions should also be conducted when complaints are received.
As noted above, data concerning generators of 100-1000
kg/mo will be entered into KWDMS. After these data have been
entered, compliance statistics will be generated from HWDMS.
HWDMS will be revised to reflect the inclusion of generators of
100-1000 kg/mo in the system by changing CHOI "Activity Code -
Generator Facility" to specify two categories: generators of
1000 kg/mo or more and generators of less than 1000 kg/mo.
Additional "header" data (i.e., identifying SOG status, names,
addresses, wa^te data) is expected to require approximately a
15-18 percent increase in the size of HWDMS. In order to
retrieve information for developing plans, establishing
priorities for future action, or assessing compliance patterns,
however, additional programming may be required.
Enforcement actions against generators of 100-1000 kg/mo
who are not in compliance with the existing rules by EPA
Regions or States should be chosen to achieve the most
effective level of enforcement with limited resources. Purely
paperwork violations relating to incomplete or erroneous forms
or manifests will be treated by enforcement personnel as
relatively non-severe violations and given a low priority.
Care should be taken to avoid giving the impression that
stringent enforcement actions are being taken against small
firms for minor violations. Warning letters or Notices of
Violation can be used for paperwork violations when necessary,
but care should be taken to ensure that the enforcement action
is commensurate with the seriousness of the violation, and is
designed to ensure that firms are brought into the regulated
community.
Regional/State enforcement actions should be taken in
appropriate cases, and the results of the enforcement actions
used as the basis for public education when possible.
Ordinarily, a Notice of Violation or warning letter, followed
by continued non-compliance, will precede any administrative
complaint or order. Enforcement should be taken against
generators of 100-1000 kg/mo who commit serious and knowing
violations (e.g., illegal on-site or off-site disposal) that
present serious threats to human health or the environment.
Such violations will frequently be brought to the attention of
enforcement personnel by citizen complaints and other forms of
compliance monitoring that do not require heavy commitments of
resources.
The existing priorities established in the RCRA
Implementation Plan for FY86 and the RCRA Enforcement Response
Policy do not place a high priority on SQG compliance
monitoring and enforcement activities in comparison to
compliance monitoring and enforcement response to other threats
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OSWER POLICY DIRECTIVE #9450.00-1
to human health and the environment. Small quantity generators
should receive a portion of the inspections conducted at
generators and transporters.
At this time, no formal policy addresses compliance
monitoring and enforcement for generators outside the
boundaries of States and Regions (e.g., offshore oil wells). A
section of the compliance monitoring and enforcement strategy
will address who is responsible for issuing an ID number,
monitoring compliance, or taking enforcement action when
necessary for such generators.
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OSWER POLICY DIRECTIVE S9450.CO-1
TABLE 4
COMPLIANCE MONITORING AND ENFORCEMENT
Activity
Responsible
Organization
Target Date
iModify HWDMS
'Develop policy for gen-
ierators that are outside
,'the boundaries of both
.States and Regions (e.g.,
'offshore oil wells)
;Include SQGs on list of
|generators and trans-
porters to be inspected
j".
; Identify serious violations
;of regulations.and prepare
.enforcement actions
Keadoruarters
Headquarters
(OWPE and OSW)
Regional
Offices
Regional
Offices
Before i
September 22,:
1986 :
Before
September 22, ;
1985 ;
Before !
October 1986 i
Ongoing; |
Beginning in !
October 1986 i
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OSWER POLICY DIRECTIVE £9450.GC-1
F. Permitting
The rule affecting generators of 100-iOCC kg/mo will acid
the following types of facilities to the universe of potential
permittees:
• Generators of 100-1000 kg/mo who treat their
wastes an-site in other than accumulation tanks
and containers during the 180 (or 270) day
storage periods.
• Generators of 100-1000 kg/mo who dispose of
their wastes on-site.
• Generators of 100-1000 kg/mo who store wastes
on-site for more than 180 (or 270) days.
• Off-site hazardous waste management facilities
that handle wastes only from generators of
100-1000 kg/mo.
• Off-site hazardous waste management facilities
that handle wastes from both large quantity
generators and generators of 100-1000 kg/mo.
(These facilities, of courseware already
regulated. Nevertheless, they may have to revise
their Part A/Part B applications 'or seek permit
modif ications . )
The Agency, however, does not expect that the rule will
substantially increase the number of facilities seeking interim
status or a permit. Of the approximately 100,000 generators of
100-1000 kg/mo of hazardous waste, EPA estimates that only 5-10
percent of these generators currently manage their wastes on
site. Moreover, the Agency expects that a substantially
smaller percentage of 100-1000 kg/mo generators will actually
obtain interim status or a RCRA permit, because of the costs of
complying with the Part 264 and 265 facility standards.
In light of the unknown number of projected new permits,
the newly-regulated hazardous waste management facilities will
be integrated into the existing permitting program. Until the
interim status application deadline for SQGs is reached,
however, precise workload projections are not possible.
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OSWER POLICY DIRECTIVE 39450.CO-1
III. SUMMARY OF RULE
On March 24, 1986, EPA removed generators cf 100-1000
kg/mo of hazardous waste from the existing small quantity
generator (SQG) provision in 40 CFR §261.5, established special
requirements for hazardous waste generated by these generators,
and promulgated final regulations that place such generators
under 40 CFR Part 262, the general standards applicable to
generators of hazardous waste. (51 FR 10146) The Agency also
promulgated specific amendments to Part 262 to exempt these
generators from some of the .standards for generators of more
than 1000 kg/mo. Under the new rules, generators of 100-1000
kg/mo are required to:
• determine whether their wastes are hazardous
(already required under 40 CFR §261.5);
• obtain an EPA Identification Number;
• store hazardous waste on-site for no more than
180 or 270 days in compliance with specially
modified storage standards (unless they comply
with the full regulations for hazardous waste
management facilities);
• offer their wastes only to transporters and
facilities with an EPA Identification Number;
• comply with applicable Department of
Transportation (DOT) requirements for shipping
wastes off-site;
• use a multi-part "roundtrip" Uniform Hazardous
Waste Manifest to accompany the waste to its
final destination; and
• maintain copies of manifests for three years.
These requirements for generators of 100-1000 kg/mo are
less stringent than those applicable to generators of greater
than 1000 kg/mo in two major areas. First, the regulation
completely exempts 100-1000 kg/mo generators from exception and
biennial reporting, and it exempts them from the manifest
requirements when the waste is reclaimed under contractual
arrangements with very specific conditions.
A second significant difference for 100-1000 kg/mo
generators involves the accumulation of hazardous waste on-site
prior to shipment of the waste to an off-site treatment,
storage, or disposal facility (TSDF). The rules allow
generators of 100-1000 kg/mo to accumulate or store waste
on-site in tanks or containers for up to 180 days (or 270 days
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OSWER POLICY DIRECTIVE #9450.00-1
if they must ship their waste more than 200 miles for treatment
or disposal), without obtaining interim status or a permit.
The rules also change slightly the specific storage
requirements from those applicable to generators of more than
1000 kg/mo of hazardous waste. Generators of 100-1000 kg/mo
are not required to prepare a contingency plan document or
conduct formal personnel training programs. They are, however,
subject to certain specific requirements for contingency and
emergency procedures and for ensuring that their employees are
fully aware of these procedures as well as proper hazardous
waste handling techniques. Generators of 100-1000 kg/mo that
store hazardous wastes in tanks or containers during the 180
(or 270) day accumulation period are subject to all of the
exisring requirements of Subparts I and J of Parts 264 and 265
as well as to the preparedness and prevention standards-
contained in Subpart C of Parts 264 and 265. The Agency has
not yet determined what modifications to the existing Subpart J
requirements might be appropriate for generators of 100-1000
kg/mo. The amendments simplify the counting of wastes that are
recycled on-site and subject generators of less than 100 kg/mo
of hazardous waste who'accumulate more than 1000 kg/mo on-site
at one time to the modified standards for 100-1000 kg/mo
generators instead of to full regulation under Part 262.
Those 'generators of 100-1000 kg/mo who treat, store, or
dispose of their hazardous waste on-site and who do not qualify
for the 180 or 270 day exclusion are subject to all of the
Parts 264 and 265 facility standards currently applicable to
other hazardous waste TSDFs, including obtaining interim status
and a RCRA permit. EPA saw no basis for reducing the technical
standards, because the potential hazards to human health and
the environment appeared to be equivalent to those from other
fully regulated TSDFs. However, because of the major impacts
these facility requirements would probably have on many of
these firms, EPA has delayed the effective date of this portion
of the regulations for one year from the date of publication of
the final rules in the Federal Register (i.e., until March
24, 1987). This will allow these firms additional time to
arrange for off-site disposal or to upgrade their on-site
practices to comply fully with the Parts 264 and 265 facility
standards.
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OSWER POLICY DIRECTIVE .>'9450.00-1
TABLE 5
SQG REVISION'S CHECKLIST
FEDERAL
REQUIREMENT
STATE AUTHORITY
IF DIFFERENT FROM FEDERAL
RCRA CITE | STATUTE | REGULATION7 | REQUIREMENT, EXPLAIN
PART 261 -- IDENTIFICATION AND LISTING OF HAZARDOUS WASTE
SUBPART A - GENERAL
SPECIAL REQUIREMENTS FOR HAZARDOUS WASTE GENERATED BY CONDITIONALLY EXEMPT
SMALL QUANTITY GENERATORS
Definition of a | 261.5(a)
conditionally
exempt generator
Exceptions to
1
Requirements for
recycled hazard-
ous waste
Determining the
quantity of
hazardous waste
generated
Generator
requirements for
exclusion of
acutely hazardous
waste from full
regulation
261. 5(b)
261. 5(c)
261. 5(d)
261. 5(f)
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OSWER POLICY DIRECTIVE -79450. GO-1
TABLE 5 (continued)
SQG REVISIONS CHECKLIST
FEDERAL
REQUIREMENT
Less than ICO kg/
mo accumulation
on site
Requirements for
hazardous waste
of 100-1000 kg/mo
mixed with non-
hazardous waste
RCRA CITE
261. 5(g)
261. 5(h)
STATE AUTHORITY
STATUTE | REGULATION
1
I
I? DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
•
PART 262 -- STANDARDS APPLICABLE TO GENERATORS OF HAZARDOUS WASTE
SUBPART B - THE -MANIFEST
GENERAL REQUIREMENTS
Exemption from
manifest for cer-
tain waste recla-
mation agreements
262.20(e)
SUBPART C - PRE-TRANSPORT REQUIREMENTS
ACCUMULATION TIME
On-site accumula- | 262.34(d)
cion for genera- |
tors of 100-1000 I
kg/mo j
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OSWER POLICY DIRECTIVE ?,:9450.00-1
TABLE 5 (continued)
SQG REVISIONS CHECKLIST
FEDERAL
REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE I REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
Special accumula-
tion provisions
for generators of
100-1000 kg/mo
-who must trans-
port waste over
200 miles
262.34(e)
Requirements for
generators of
100-1000 kg/mo
on-site accumula-
tion for more
than 180 (or 270)
days
262.34(f)
SUBPART D - RECORDKEEPING AND REPORTING
SPECIAL REQUIREMENTS FOR GENERATORS OF BETWEEN 100 AND 1000 KG/MO
Exemptions to
reporting and
recordkeeping
requiremen-3 for
generators of
100-1000 kg/mo
262.44
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OSVER POLICY DIRECTIVE ?;9450.00-1
TABLE 5 (continued)
SQG REVISIONS CHECKLIST
FEDERAL | | STATE AUTHORITY | IF DIFFERENT FROM FEDERAL
REQUIREMENT ! RCRA CITE | STATUTE | REGULATION j REQUIREMENT, EXPLAIN
I I I |
PART 263 -- STANDARDS APPLICABLE TO TRANSPORTERS OF HAZARDOUS WASTE
SUBPART B - COMPLIANCE WITH THE MANIFEST SYSTEM AND RECORDKEEPING
THE MANIFEST SYSTEM
. ..
Requirements for | 263.20(h) | |
transporter | | |
exemption from | I I
manifest and | I |
recordkeeping | | |
requirements I ' I I
I ' I !
PART 270 -- EPA ADMINISTERED PERMIT PROGRAMS: THE HAZARDOUS WASTE PERMIT PROGRAM
SUBPART A - GENERAL INFORMATION
PURPOSE AND SCOPE OF THESE REGULATIONS
. ..
Permit exemptions | 270.1(c)(2) | |
for generators | (i) | |
who accumulate | | |
waste on-site for | j |
less than time | | |
periods in 40 CFR j | |
262.34 I I I
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OSVER POLICY DIRECTIVE ->'9450.00-1
TABLE 5 (continued)
SQG REVISIONS CHECKLIST
FEDERAL | | STATE AUTHORITY I IF DIFFERENT FROM FEDERAL
REQUIREMENT | RCRA CITE | STATUTE | REGULATION j REQUIREMENT, EXPLAIN
I | | |
SUBPART B : PERMIT APPLICATION
GENERAL APPLICATION REQUIREMENTS
.. .
Existing HWM | 270.10(e) | I
facilities and | (l)
interim status |
qualifications |
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