BACKGROUND DOCUMENT
   RESOURCE CONSERVATION AND RECOVERY ACT
   /



   SUBTITLE C - HAZARDOUS WASTE MANAGEMENT
   SECTION 3004 - STANDARDS APPLICABLE TO
         I"



   OWNERS AND OPERATORS OF HAZARDOUS WASTE




 TREATMENT, STORAGE, AND DISPOSAL FACILITIES
         40 CFR PART 264, SUSPART E



                     AND



         40 CFR PART 265, SUBPART E




MANIFEST SYSTEM, RECORDKEEPING, AND REPORTING
    U.S. ENVIRONMENTAL PROTECTION AGENCY



            OFFICE OF SOLID WASTE



                 APRIL 1980

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                          TABLE OF CONTENTS

                                                                 Page

I.  Introduction                                                    1

    1.  RCRA Mandate                                                1
    2.  Definitions                                                 4

II. Rationale for Need to Regulate                                  6

    1.  Damage Incidents                                            6
    2.  Other Bases                                                 6

HI.  Synopsis of Proposed Regulations                              8

IV. Comment Analysis and Rationale for Chosen Actioji               10
                                                * * ' ,
    A.  General Issues                                             10

        1.  Confidentiality                                        10

            a.  Synopsis of Proposed Regulations                   10
            b.  Rationale for Proposed Regulations                 10
            c.  Comment Analysis and Response                      11

                Issue #1:  Public Disclosure Statement             11
                Issue #2;  Public Availability of Specific
                           Data                                    12
                Issue #3:  Use of Generic Terminology              14

        2.  Burden of Administrative Requirements                  16

            a.  Synopsis of Proposed Regulation                    16
            b.  Rationale for Proposed Regulation                  16
            c.  Comment Analysis and Response                      17

                Issue #1:  General Burden                          17
                Issue #2:  Burden on Hospitals                     21
                Issue #3:  Inapplicability to Continuous
                           Processes                               22
                Issue #4;  Duplication of Reporting  and
                           Recordkeeping under the Clean
                           Water Act                               22
                Issue #5:  Class of Hazard                         23

    B.  §264.70 - Applicability                                    24

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                Table of Contents (Continued)
                                                             Page
    1.  Rationale                                              24
    2.  Final Rule                                             25

C.  §264.71 - Use of Manifest System                           25

    1.  Synopsis of Proposed Regulations                       25
    2.  Rationale for the Proposed Regulations                 25
    3.  Comment Analysis and Response                          27

        a.  General Issues                                     27

            Issue #1:  EPA/State Relationships                 27
            Issue #2:  Universal Manifest                      27
            Issue #3:  Additional Information on Manifest      28

        b.  Acknowledgement of Shipments                       29

            Issue #1;  Multiple Movements                      29
            Issue #2:  Blending of Wastes                      30
            Issue #3;  Agent vs. Authorized Representative     31

        c.  Noting Discrepancies                               31

        d.  Transporter Copy                                   32

        e.  Generator Copy                                     32

            Issue #1;  Time Period                             32
            Issue #2:  Routing of Manifest Copies              35

        f.  Manifest Retention                                 36

        g.  Final Rule                                         39

D.  §264.72 - Manifest Discrepancies                           40

    Issue #1:  Specification of Allowable Deviations           41
    Issue #2:  Reporting of Significant Discrepancies          45
    Issue #3;  Time Period                                     46
    Issue #4:  Alternate Reporting                             47
    Issue #5:  Refusal of Waste with Manifest Discrepancies    48

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                Table of Contents (Continued)
E.  Recordkeeping - General Issues                             49

    Issue #1:  Recordkeeping Based on Degree of Hazard         50
    Issue #2:  Limit Recordkeeping  -                           50
    Issue #3:  Recordkeeping for Nonhazardous Waste         ,   52
    Issue #4:  Congressional Intent                            53
    Issue #5:  Exemption from Recordkeeping                    54

F.  §264.73 - Operating Record                                 54

    1.  Name, Format, and Access to Record                     54

        Issue #1;  Operating "Log" vs. "Record"                55
        Issue #2;  Operating Record Format                     55
        Issue #3:  Public Access to Operating Records          56
        Issue #4:  Warrantless Inspections                     57

    2.  Content of Operating Record                            60

        Synopsis of Proposed Regulation                        60

        Rationale for Proposed Regulation                      60

        Comment Analysis and Response                          61

        Issue #1:  Use Manifest as the Operating Record        61
        Issue #2:  Exempt Incinerators from Recordkeeping      62
        Issue #3:  Exempt Treatment and Storage Facilities     63
        Issue #4:  Nomenclature for Waste Information          64
        Issue #5:  Quantity Descriptions                       66
        Issue #6:  Statistics on Quantities of Waste           67
        Issue #7:  Use of Estimated Quantities                 67
        Issue #8:  Recordkeeping of Waste Location             69
        Issue #9:  Waste Analysis Recordkeeping                70
        Issue #10: Incident Recordkeeping                      71
        Issue #11: Inspection Recordkeeping                    71

    3.  Final Rule                                             72

G.  §264.74 - Availability, Retention, and Disposition of
    Records                                                    74

    1.  Availability of Records                                74

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                Table of Contents (Continued)


                                                             Page

    2.  Retention of Records

    Issue #1:  Retention of Incineration Records               'Jt
    Issue #2:  Retention of Training Records

    3.  Disposition of Records                                 '

H.  General Reporting Issues                                   78

    Issue #1:  Integration with State Programs                 78
    Issue #2;  Joint Filing of Reports                         79
    Issue #3;  Simplify the Reporting Requirements             80

I.  §264.75 - Annual Report                                    81

    1.  Synopsis of Proposed Regulation                        81

    2.  Rationale for the Proposed Regulation                  82

    3.  Comment Analysis and Response                          83

        Issue #1;  Frequency of the Reporting Requirement      83
        Issue #2:  Applicability of the Standard               83
        Issue #3:  Submission of Manifest in lieu of the
                   Annual Report                               84
        Issue #4:  Delivery Document                           84
        Issue #5:  Exemptions to Reporting                     84
        Issue #6:  Submission of the Annual Report             85
        Issue #7:  Inability of the Owner or Operator to Fill
                   Out Sections of the Annual Report Form      86
        Issue #8:  Units of Measurement                        88
        Issue #9;  Additions to the Standards                  89
        Issue #10: Certification Statement                     90

    4.  Final Rule                                             93

J.  §264.76 - Unmanifested Waste Report                        95

    1.  Synopsis of Proposed Regulation                        95

    2.  Rationale for the Proposed Regulation                  96

    3.  Comment Analysis and Response                          97

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                    Table of Contents (Continued)
                                                                 Page
            Issue #1:   Ban or Restrict the Acceptance of
                       Unmanifested Waste                          97
            Issue #2:   Delete the Requirement for
                       Unmanifested Waste Reports                  98
            Issue #3;   Frequency of the Requirement                99
            Issue #4:   Applicability of the Requirement           100

        4.  Final Rule                                          •  100

    K.  §264.77 - Additional Reports                              101

        1.  Synopsis of Proposed Regulation                       101

        2.  Rationale for the Proposed Regulation                 102

        3.  Comment Analysis and Response                         102

            Issue #1:   Reporting Incidents                        102
            Issue #2:   Reporting Ground-Water Monitoring Data     103
            Issue #3:   Reporting Close-Out and Closure of the
                       Facility                                   104

        4.  Final Rule                                            105

    L.  Appendices to the Regulations                             105

References                                                        123

Appendix I - State Regulations                                    125

Appendix II - Use of Generic Nomenclature                         134

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I.  INTRODUCTION

     This document provides background information, rationale, and

supporting data for standards for manifest system compliance, re-

cordkeeping, and reporting at hazardous waste treatment, storage, and

disposal facilities.  These regulations (40 CFR Part 264, Subpart E)

partially implement Section 3004 of the Resource Conservation and Re-

covery Act of 1976, as amended (RCRA).  This document also covers

interim status standards on the same subjects (40 CFR Part 265,

Subpart E).

1.  RCRA Mandate

     In Section 3004 of RCRA, Congress specifically required EPA to

write regulations respecting the maintenance of records of all

hazardous wastes treated, stored, or disposed of and the manner of

such treatment, storage or disposal, as well as satisfactory

reporting, and compliance with the manifest system established under

Section 3002 of RCRA, as follows:

     STANDARDS APPLICABLE TO OWNERS AND OPERATORS OF WASTE TREATMENT,
     STORAGE, AND DISPOSAL FACILITIES

         Section 3004.  Not later than eighteen months after the date
         of enactment of this section, and after the opportunity for
         public hearings and after consultation with appropriate
         Federal and State agencies, the Administrator shall
         promulgate regulations establishing such performance
         standards, applicable to owners and operators of facilities
         for the treatment, storage, or disposal of hazardous waste
         identified or listed under this Subtitle, as may be
         necessary to protect human health and the environment.  Such
         standards shall include, but need not be limited to,
         requirements respecting—

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(1)  maintaining records of all hazardous wastes identified or liste
     under this title which are treated, stored, or disposed of,  as
     the case may be, and the manner in which such wastes were
     treated, stored, or disposed of; and,

(2)  satisfactory reporting, monitoring, and inspection and compli-
     ance with the manifest system referred to in Section 3002 (5J.

     In the legislative history of RCRA (Pub. L. 94-580), the House

Committee on Interstate and Foreign Commerce expressed its clear

awareness that important information about hazardous waste is

unavailable.

         One of the major problems to be addressed in the hazardous
     waste area is the lack of information concerning the components,
     volumes and sources of hazardous waste.1

     The Committee also stated:

     To date there has been no survey or other wide ranging
     investigation of the sources of hazardous or potentially hazard-
     ous waste generation or disposal.2

     The Committee indicated the significance of this lack of infor-

mation:

         As a result, little is known about the actual volume of
     hazardous waste being generated, the geographical distribution
     of the generators or the extent to which hazardous wastes are
     transported.   Neither does the Committee or the EPA know where
     much of the waste which is clearly hazardous is being disposed
     of.
         To gain the information needed to adequately plan for the
     disposal of hazardous waste and to ensure  its proper disposal,
     it is imperative to know what is being generated, where and by
     whom.3

     The Committee then proceeded to identify who should know what  is

being generated, where, and, by whom.  The Committee explicitly

states that in exchange for the freedom from restrictions on the gen-

eration of waste,  and hence interference with production, the waste

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generator is expected to provide information as needed for the

planning of hazardous waste disposal, and as needed to ensure its

proper disposal.4

     In summary, the generator of hazardous waste is to supply

information to the EPA through periodic reports, and to transporters

and disposers through the manifest and  labeling of containerized

hazardous waste.

        Through this process  [of providing information] the Adminis-
     trator will have at hand information on the location and volume
     of wastes being generated.  Transporters of the wastes will know
     what the cargo contains, its general characteristics, and will
     have a warning as to its nature.  Further, those who receive
     such wastes for treatment, storage, or disposal will have accu-
     rate knowledge of the characteristics and constituents of such
     waste prior to working with such wastes.5

     The legislative history  also provides an explanation of

Congressional intent as to the meaning of the term "compliance with

the manifest system" in Section 3004(2).

        Inherent in the manifest system it is expected that there
     will be developed a process whereby those receiving hazardous
     wastes will notify the shipper of such wastes that such wastes
     have been received so that the system will be self-policing....

         The manifest system  finds its completion when such wastes
     are received by those who treat, store or dispose of such wastes
     and notices of receipt of such solid wastes are sent to the
     generator.6

     Thus, a clear requirement for disposers under the manifest sys-

tem is sending the notice of  receipt of hazardous waste to the

generator.

     A further requirement of the manifest system to inform the dis-

poser is explained in the legislative history of RCRA.

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          Further,  the  disposal  facilities will be informed of the
      nature of the waste by the manifest  document and the waste
      labeling.?

      A capsule description of  the manifest  system provides support

 for the use of the manifest as  a record at  disposal facilities.

         Originating with the generators, moving through the  trans-
      portation stage,  registered at an approved disposal site for the
      treatment,  storage, or disposal  of such hazardous waste and re-
      turned to the generator,  the manifest  will give to each party  in
      the chain of  handling a record.8

      In addition,  the  use of this manifest  and record as an  en-

 forcement tool is  clearly intended by Congress.

          It will also  provide  the Administrator with a clear record
      of the movement and final  disposition  of waste originating at
      any specific  site.   Such  records will  greatly assist the
      Administrator,  or state, where appropriate, in its enforcement
      of the hazardous  waste regulations.9

      Within RCRA,  much discretion as  to reporting has been given to

 the Administrator  of EPA by the term  "satisfactory reporting" in

 Section 3004(2).   The  legislative history supports the contention

 that such  reporting  shall  be satisfactory to the Administrator.

          The requirements  shall include periodic reporting to the
      Administrator.10

2.    Definitions

      The following statutory definition of  "manifest" given  in

Section 1004 of RCRA is pertinent to  establishing standards  for

manifests, recordkeeping,  and reporting under Section 3004:

      "The  term 'manifest1  means the form used for identifying the
      quantity, composition,  and the origin, routing, and destination
      of hazardous waste  during  its transportation from the point of
      generation  to  the point of disposal, treatment, or storage.

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     In addition, the following terms which are defined in Part 260

are key to this area of regulation:

     "EPA identification number" means the number assigned by EPA to
     each generator, transporter, and treatment, storage, or disposal
     facility.

     "Facility" means all contiguous land, and structures, other
     appurtenances, and improvements on the land used for treating,
     storing, or  disposing  of hazardous waste.  A facility may con-
     sist of  several treatment, storage, and  or disposal operational
     units (e.g., one or more landfills, surface impoundments, or
     combinations of them).

     "Movement" means that  hazardous waste transported to a facility
     in an individual vehicle.

     "On-site" means the same or geographically contiguous property
     which may be divided by public or private right(s)-of-way,
     provided the entrance  and exit between the properties is at a
     cross-roads  intersection, and access is  by crossing, as opposed
     to going along, the right(s)-of-way.  Non-contiguous properties
     owned by the same person but connected by a right-of-way which
     he controls and to which the public does not have access, is
     also considered on-site property.

     The analysis of comments on the proposed versions of the defini-

tions given in Part 260, and the rationale for the modifications made

to  these definitions in the final rules, is contained in the back-

ground document entitled "Definitions."

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II.  RATIONALE FOR NEED TO REGULATE




1.  Damage Incidents



     Numerous instances of damage to human health and the environment




and the management of wastes have been documented by the EPA.



Selected incidents were described in a U.S. EPA report to Congress in




197412 and in the Legislative History to RCRA.13  Analysis and




further documentation of selected incidents are contained or refer-




enced in background documents supporting other RCRA Subtitle C regula-




tions (e.g., see background document for Subparts C and D,




Preparedness and Prevention, Contingency Plan, and Emergency




Responsel4).




     In general, reporting and recordkeeping requirements help to




assure that the hazardous waste regulations are followed by the regu-




lated community by providing the enforcement agency with sufficient




information to monitor and determine compliance.




     In certain instances,  recordkeeping and reporting can be essen-
                   *



tial to prompt,  proper, and effective response to emergency events




such as spills,  fires, and explosions, or releases to air, land,




surface water,  and ground water.   The existence of records can allow




the accurate assessment of the hazard posed to human health and may




guide proper responses earlier than would be possible otherwise.




2.   Other Bases




     Increased protection of human health and the environment will




result from periodic review by EPA of waste information provided to

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EPA by facilities in reports.  Oversight of waste within a State or




region will be enhanced by reporting.




     EPA examined precedents established by States that have mani-




fest, reporting, and recordkeeping requirements.  These were dis-




cussed in the RCRA Section 3002 draft background document of December




15,  1978.15  Existing and proposed State regulations have been




reviewed and abstracted in Appendix I to this document.  Many of the




concepts and methods used by States are incorporated in EPA's final




regulations.

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III.  SYNOPSIS OF PROPOSED REGULATIONS




     Proposed RCRA  Section 250.43-5, published on December 18, 1978,




specified the manifest, recordkeeping, and reporting requirements for




owners and operators of off-site hazardous waste facilities.  These




requirements prescribed the final steps in the manifest system,




established  in the  Section 3002 rules, which tracks hazardous waste




from its origin with the generator through its trip with the trans-




porter to disposition  at a treatment, storage, or disposal facility.




This system  is central to the cradle-to-grave management system for




hazardous waste.




     Under the proposed rules, owners or operators of facilities that




accepted waste accompanied by a manifest for treatment, storage, or




disposal were required to sign and return the manifest to the genera-




tor within 30 days, and make annual reports to the Regional Adminis-




trator summarizing  information on the manifest, and from other




sources,  including  the types and amounts of waste received, their




source, and other information.




     Under the proposed rules, all facility owners or operators were




required  to keep records of how waste was treated, stored, or dis-




posed.   Also, records were to be kept on the location of waste, waste




analyses,  inspections,  operating conditions, personnel training, mon-




itoring results,  and incidents of damage to human health or the




environment.

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     In addition to the annual report mentioned above, owners or

operators were required to make quarterly reports to the EPA Regional

Administrator of ground-water monitoring data and wastes received

without a manifest.  Further, all facility owners or operators were

required to immediately report incidents, such as fires, explosions,

discharges, and problems  detected via monitoring, to the Regional

Administrator.

     [Comment:  Reporting requirements  for facility owners or opera-
     tors that generate and  treat, store, or dispose of their waste
     at the same location (i.e., on-site) were specified in the pro-
     posed Section 3002 rules.  This caused some confusion.  Conse-
     quently, reporting requirements applicable to the owners or
     operators of both on-site and off-site facilities are consolida-
     ted in the final Section 3004 rules.]

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IV.  COMMENT ANALYSIS AND RATIONALE FOR CHOSEN ACTION


     The Agency received numerous comments from many sources on the


proposed rules for manifests, recordkeeping, and reporting;  Some


comments raised general issues applicable to the entire Subpart.


These general issues are discussed first, followed by analysis of


comments on each specific section of the proposed rule in turn.


A«  General Issues


1.  Confidentiality


a.  Synopsis of Proposed Regulations


     In the proposed hazardous waste regulations, the Agency ex-


pressed its basic stance towards confidentiality in §250.27, which


stated that all information provided in connection with the manifest


and reporting sections must be made available to any person to the


extent and in the manner authorized by Section 3007(b) of the Act,


the Freedom of Information Act (FOIA, 5 U.S.C. Section 552), and the


EPA regulations adopted to implement FOIA (40 CFR Part 2).  This


general provision applied also to the recordkeeping and reporting
                                                      *

systems under Section 3004 of the proposed regulations because they,


were designed to use information supplied on the manifest as the data


base to be compiled.  However, this was not stated explicitly in the


Section 3004 regulations.


b.  Rationale for Proposed Regulations


     The Agency included §250.27 in the proposed rules in response  to


suggestions (made during public review of earlier drafts of the
                                  10

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regulations) that the confidentiality issue should be addressed in

the regulations.  Proposed §250.27 was essentially a restatement of

Congressional intent, as expressed in RCRA Section 3007(b) and the

Freedom of Information Act, and established EPA policy, as expressed

in 40 CFR Part 2, regarding public disclosure of information.  A

similar provision was not  included in the Section 3004 regulations

because the Agency believed it would be redundant, since  the same
                                              *
data base was involved in both cases.

c.  Comment Analysis and Response

Issue #1:  Public Disclosure  Statement

     Commenters  argued that EPA should clearly express its intent to

maximize public  disclosure of information in  the Section  3004 regula-

tions.

Response;

     The Agency  agrees in  principle that the  public should have

access  to information regarding the RCRA hazardous waste  regulatory

program, subject to  Congressional guidance in RCRA Section 3007(b)

and the limitations  of other  applicable statutes.  Further, the

Agency  agrees  that  it was  not clear that proposed §250.27 also ap-

plied  to the  Section 3004  rules.  However, it is duplicative to state

EPA's  policy  in  every regulation  promulgated  under RCRA.  Consequent-

ly,  the Agency has  decided to include a regulation concerning confi-

dentiality  of  information  in  Part 260 of the  final rules, which

covers  general matters  applicable to  all aspects of  the hazardous
                                     11

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waste management  system.  Thus, the Agency's policy is clearly stated

in  the general  section  of the  final rules but not in the Section 3004

regulations.

Issue #2;  Public Availability of Specific Data

     Several commenters argued that certain types of information

should be  made  known  to the  public because public knowledge is essen-

tial to  the effective enforcement of RCRA.  In particular, it was

argued that the public  oversight and citizen suit provisions of the

Act, to  be effective, require public knowledge of:

     1)  information on the  types of waste being handled by facili-
         ties,  especially by landfills;

     2)  information on the  quantities of each type of waste handled
         by facilities;

     3)  data from the monitoring of ground water;

     4)  data from the monitoring of surface water;

     5)  the type of process generating the waste; and,

     6)  the hazardous properties of the waste such as specific
         toxicity information, flammability, and other properites.

     Other commenters stated that the Agency should routinely dis-

close any  information reported to the Agency for fires, explosions

and releases of hazardous waste, including deterioration of ground

water.

     Supporting arguments provided by commenters stated that, in the

past, facility owners and operators have cited confidentiality as an
                                    12

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excuse to prevent public disclosure of such information in instances




where contamination of ground water and surface water have occurred.



Response;




     The Agency has sought to balance the public need for information




against legitimate claims of confidentiality.  With respect to infor-




mation collected pursuant to Section 3007(a),  Congressional  guid-




ance, under Section 3007(b) of RCRA, does not  authorize full public




disclosure of  that information, but rather directs the Administrator




to consider as confidential that  information which would be entitled




to protection under Section 1905  of Title 18 of the United States




Code, upon a satisfactory showing by the claimant that his informa-




tion does indeed warrant confidential treatment.




     However, with respect to RCRA regulation  development and




enforcement, Section  3007(b) provides that records, reports, docu-




ments, or information claimed to  be confidential may be disclosed to




other officers, employees, or authorized representatives of the




United States  concerned with carrying out RCRA, or in relevant




proceedings.




     The Agenc, generally favors  broad public  disclosure of RCRA




information.   However, release of particular information will be



decided on a case-by-case basis if claims of confidentiality are made




by the waste generator or facility owner or operator.  Thus, the




Agency believes it is inappropriate to impose  in the regulations a
                                    13

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 blanket  requirement that specific information must be  released  to  the




 public in  all  cases.



     At  the Administrator's discretion, in accordance  with  the  man-




 date of  Section  1006(a) of the Act, the Agency has decided  not  to




 collect  surface  water monitoring data under RCRA regulations.   In-




 stead, surface water monitoring will be the responsibility  of




 facilities according to existing authorities governing discharges  to




 surface  water  under the Clean Water Act.



     Information on the type of process producing a waste stream is




 an element of  the system chosen by EPA to list hazardous wastes under




 Section  3001 regulations.  The background documents supporting  these




 regulations in most cases identify specific industrial categories  and




 processes  which  produce the hazardous wastes listed.   These documents




 are available  to the public.



     The Agency  supports the release of confirmed data on episodes of




 fires, explosions, and releases of hazardous waste which have the




 potential  for  adverse human health and environmental impact as neces-




 sary to  alert  those potentially affected.  Special considerations




 would apply for  instances where enforcement proceedings are possible.




 The notification  of local authorities of serious incidents  is re-



 quired under the  contingency plan regulations in Part  264, Subpart D.




 Issue #3;  Use of Generic Terminology




     Commenters argued that on-site and off-site disposal facilities




handling only one type of waste could have any trade secret
                                     14

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information protected as necessary by  the use  of generic  chemical




names, such as generic terminology consistent  with regulations  imple-




menting Section 5 or Section 8b  (Inventory) of the Toxic  Substances




Control Act (40 CFR 710.7).16  Other commenters felt  that, in




appropriate circumstances, the identity of  the generator  should also




be protected as confidential by  the Agency.




Response:




     The Agency agrees that trade secret information  may  be protected




in some cases by  the use of generic terminology.  For RCRA purposes,




the EPA, in concert with the Department of  Transportation, requires




the use of DOT's  general descriptions  pursuant  to regulations under




49 CFR 172 for the shipping description required on the manifest.




For other records and reports under RCRA Sections 3002 and 3004, as




described later,  the Agency requires a hazardous waste to be



described by its  common name and the EPA Hazardous Waste Numbers




specified in Part 261.  These numbers  also  relate to  general descrip-




tions of the waste.  Thus, the generator, either as shipper of wastes




or as disposer at the site of generation, can  control release of"




information, which the generator believes to be proprietary, by the




use of generic terminology.  However,  for non-listed  hazardous waste,




the Agency requires the process which  produced  the waste  to be iden-




tified, as well as its name and  the EPA Hazardous Waste Number.




     The Agency does not agree that waste descriptions must necessar-




ily entail the same standards for confidentiality as  used by the
                                    15

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Agency in collecting information on pure chemical substances under

TSCA.  Most wastes are mixtures of variable composition, often

including unknown constituents.  Indeed, some commenters argued that

off-site commercial facilities handling such waste should have no

proprietary stake regarding specific hazardous wastes they handle.

2.   Burden of Administrative Requirements

a.  Synopsis of Proposed Regulations

     The Agency believed that the reporting and recordkeeping re-

quired by the proposed Section 3004 regulations, including compliance

with the manifest system, were the minimum necessary to effectively

regulate owners or operators of hazardous waste facilities.  In

general, the Agency attempted to eliminate duplicative and unneces-

sary reporting, and to reduce administrative burdens consistent with

obeying the mandate of RCRA Sections 1006 and 3004.  Comments were

requested on the utility, burden, and practicality of the recordkeep-

ing and reporting requirements.

b.  Rationale for Proposed Regulations

     Administrative standards under the proposed regulations carried

out the Congressional mandate in Section 3004

     (1)   to maintain records of all hazardous waste which is
          treated,  stored,  or disposed of, and the manner in which
          such wastes were managed; and

     (2)   to ensure satisfactory reporting, and compliance with the
          manifest  system established under Section 3002 regula-
          tions.
                                    16

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c.  Comment Analysis and Response




Issue #1;  General Burden




     A number of commenters expressed general concern that the admin-




istrative requirements were excessive, particularly for small firms.




The proposed manifest, recordkeeping, and reporting requirements were




described as not cost effective and not substantially contributing to




human health and environmental protection.  One commenter described




the manifest and general recordkeeping requirements as releasing a



flood of paperwork which would largely go unread and unappreciated.




     Commenters described the administrative burden as costly.




Others called it unnecessary and impractical, particularly in requir-




ing the various reports and signatures of generators, transporters,




and disposal operators.  [EPA points out, however, that neither the




proposed nor final rules require transporter reports.]




     Commenters stated that the paperwork associated with the pro-




posed manifest, recordkeeping, and reporting system would be substan-




tial and duplicative, and would require additional personnel in




government and industry to process the necessary paperwork.




Response:



     The Agency agrees that the paperwork associated with control of




hazardous waste will be substantial.  The Agency does not agree,




however, with the commenters who suggested that the manifest  system,




recordkeeping, and reporting proposed under  §250.43-5 imposed an




unnecessary burden on the regulated community.  Numerous past
                                    17

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documented damage cases have resulted from improper waste disposal jn




part because wastes were not tracked and little liability or respon-




sibility was assigned or accepted by the waste generators, transport-




ers, or disposers.  A recent EPA study estimated that just the




cleanup costs of past improper disposal practices, which these regu-




lations seek to end, amount to as much as $50 billion.*'  This




figure does not include human nor environmental costs.  Just one




incident, at the Love Canal in New York, resulted in lawsuits claim-




ing more than $2.65 billion in damages.*°  These incidents have




been exacerbated by the lack of definitive information concerning the




composition and disposition of the wastes.  These RCRA manifest,




recordkeeping, and reporting requirements are designed to minimize




the likelihood of incidents like these occurring again.  To the end,




the Agency believes that the various records, reports, and signatures




of treaters, storers, and disposers are necessary to allow EPA en-




forcement officials to assign responsibility, and ultimately liabil-




ity, in cases where problems arise.




     To institute needed reforms in hazardous waste disposal prac-




tices, among other goals, Congress passed and the President approved




the new hazardous waste control program in RCRA.  The Act mandates a




waste control system expressly including a waste manifest tracking




system with associated reporting and recordkeeping.




     The Agency does not agree that the resulting paperwork will be




duplicative.  The Agency has made every effort to eliminate any
                                  18

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duplication and has documented these attempts in the Reports Impact




Analysis which was developed internally in response to the Presi-




dent's paperwork reduction campaign.19  For example, EPA and DOT




developed joint regulations and manifest formats for the transporta-




tion of hazardous waste to avoid duplicative EPA regulations and




paperwork, since much of  the information required by EPA on the mani-




fest is also required by  DOT.  [See Issue #4 below for more discus-




sion on this point.]




     EPA points to the use of manifest systems in the States of




California, Texas, and Illinois, among others, to show that hazardous




waste manifest systems are practical and workable.  EPA review of



these and other systems is partially described in Appendix I of this




document and in the background document for Section 3002.20




     Detailed study of the costs of the total RCRA interim status




administrative cost indicates a cost of about $36 million initially




and $40 million annually  thereafter.21  This figure includes all




costs of complying with notification, manifest system, recordkeeping,




and reporting requirements, as well as other requirements such as




inspections and preparing closure and post-closure plans.  Consider-




ing that an estimated 72,000 installations will be regulated under




the program, the Agency does not believe that, for the regulated




community in general, the cost of this aspect of the program will be




excessive.
                                    19

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      The EPA recognizes  the  potential paperwork burden  on  small




 firms.   In the  final  Part  261 regulations,  the Agency has  defined




 special  requirements  for small  firms, based upon  the amount  of waste




 generated.  The exclusion  limits are described in the final  Part 261




 regulations.  These exclusions  will reduce  the paperwork burden  on




 off-site hazardous waste facilities as well, because otherwise they




 would have had  to handle numerous small waste shipments.




      EPA believes the final  regulations maximize  cost-effectiveness




 by maximizing the self-policing aspects of  the system,  which is  based




 on return of the manifest  to the generator by the facility owner or




 operator.  (See discussion below under §264.71 -  Use of Manifest




 System.)  Annual reporting requirements are the minimum necessary for




 EPA oversight of the  program.   In addition, this  information will be




 used for trend  analysis, analyses of regulation effectiveness, revi-



 sion of  the  regulations  where required, and to assist development of




 supplementary guidance documents, among other purposes.




      The Agency agrees that  additional personnel will be required,




 both  in  government and industry, to maintain records and prepare  and




 evaluate  reports.  As to private industry personnel requirements, EPA




 feels strongly,   in view  of documented damage incidents and industry




waste management assessment  studies, that the added personnel costs




are justifiable  and indeed legislatively mandated.  Nonetheless,  EPA




has attempted to minimize the need for additional government and




industry personnel wherever possible in these rules.
                                   20

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     EPA has conducted an  overall  review  of  the burden  imposed by the




hazardous waste rules.  Through  a  process of refinement,  this review




resulted in reduced  reporting  and  recordkeeping requirements.  Full




documentation and discussion of  the  results  of this process are in-




cluded in the final  Reports Impact Analysis  which  the Agency is pub-




lishing as a separate background document in support of the final



rules.22




Issue #2:  Burden on Hospitals




     A commenter stated that requirements for a manifest  procedure




will significantly increase hospital recordkeeping requirements and




therefore increase the total number  of personnel employed.



Response:




     Based upon comments received  on the  proposed Section 3001 reg-




ulations, the number of infectious wastes from hospitals considered



to be hazardous wastes has been  reduced substantially from that pro-




posed.  Further, the Agency has  deferred  listing infectious wastes as




hazardous wastes.  Thus, hospitals will have  no manifest and record-




keeping burden at the outset of  the  RCRA  hazardous waste program and,




ultimately, will have a smaller  burden than  the commenter contempla-




ted.  EPA agrees that additional cost and personnel may be required




of hospitals, as well as of other  segments of society.  However,




these requirements are imposed only  to the extent needed  to comply




with the Congressional mandate to  protect human health  and the envi-




ronment from improper hazardous  waste management practices.
                                    21

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Issue #3:  Inapplicability to Continuous Processes'

     A commenter stated that the manifest and reporting system was

generally inappropriate for application to continuous processes  in  an

industrial wastewater treatment plant.  The commenter felt the mani-

fest, recordkeeping, and reporting requirements were intended for in-

termittent and batch treatment and disposal of solid wastes and

sludges.

Response:

     The Agency agrees that continuous production of sludges and

solid wastes at industrial wastewater treatment plants and elsewhere

creates the need for a different recordkeeping system than was de-

scribed under proposed §250.43-5, which envisioned recordkeeping

based upon routine use of the manifest.  In the final regulations,

facilities have the option to use different recordkeeping systems

appropriate to operations at their facilities.  The concept of the

operating log in the proposed regulations has been broadened in the

final regulations to be consistent with both an automatic data pro-

cessing system and continuous recording of unit process operations.

Issue #4:  Duplication of Reporting and Recordkeeping Under the
           Clean Water Act

     A commenter stated that RCRA Section 3004 would duplicate re-

ports required now by regulations promulgated under the Clean Water

Act, and to be required in the future under regulations currently

being developed by EPA to specify Best Available Treatment (BAT)

technologies for toxic materials in industrial wastes.  In addition


                                    22

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the commenter stated that such duplication was  inconsistent with the



Federal government's highly publicized program  to reduce redundant



paperwork and reporting requirements.




Response;




     The EPA disagrees with this comment.  First, Congress specific-




ally exempted from RCRA industrial wastewater discharges which are




point sources subject to permits under Section 402 of the Clean Water




Act, as amended.- This exemption is  found in RCRA under the defini-




tion of "Solid Waste" at Section 1004(27).  Second, these final RCRA




regulations do not regulate discharges to sewers; these aspects are




covered in the pretreatment program  under Section 307(b) of the Clean




Water Act, as amended.23  Third, the Agency has not yet issued




final BAT guidelines.  The Agency will minimize duplication of



reporting in the two programs to the extent possible while still




satisfactorily complying with the two statutes involved.




Issue #5:  Class of Hazard




     A few commenters supported the  reporting of detailed information




on "truly" hazardous wastes as being of value, but added that




information is not needed nor would  be of value on other wastes.




Response:



     The Agency agrees with the concept that information needs could




vary with class or degree of hazard  of a waste.  As noted in the




preamble to the final rules, EPA is  developing a class of hazard




system for technical waste management requirements under Section 3004
                                    23

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regulations.  However, the Agency believes the final manifest,




recordkeeping, and reporting requirements are the minimum necessary




for any hazardous waste, regardless of class of hazard.  The Agency




anticipates the possibility of adding different recordkeeping and




reporting requirements in the future for the classes of highest




hazard identified in the new system.




B.   §264.70 - Applicability




1.   Rationale




     This is a new section added to the final rules to explicitly




state who is subject to the Section 3004 facility manifest, record-




keeping, and reporting requirements.  In the proposed rules, the




Agency attempted to group together all generator requirements in the




Section 3002 rules.  Thus, these proposed rules contained some re-




porting requirements which applied to on-site treatment, storage, and




disposal facilities operated by the generator.  Similar rules for




off-site facilities were specified in the proposed Section 3004 re-



gulations.




     Many commenters were confused as to which set Lf rules applied




to them.   To clarify the situation, the Agency in the final rules has




consolidated all facility manifest, recordkeeping, and reporting re-




quirements in the Section 3004 regulations.   These rules apply to




owners  and operators of both o  site and off-site facilities, except




that manifest-related sections do not apply to owners and operators




of on-site facilities that do not accept any waste from off-site



sources.




                                    24

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2.  Final Rule

§264.70  Applicability

    The regulations  in  this  Subpart  apply  to  owners  and  operators of
    both on-site and off-site  facilities,  except  as  §264.1  provides
    otherwise.  Sections  264.71,  264.72, and  264.76  do not  apply to
    owners and  operators  of  on-site  facilities  that  do not  receive
    any hazardous waste from off-site sources.

    The final  interim status standard at §265.70  is  essentially
    identical  to the above rule.

C.    §264.71 -  Use  of Manifest System [Proposed as  §250.43-5(a)]

1.    Synopsis  of Proposed Regulations

      The proposed  regulations  prescribed the  final  steps in the mani-

fest  system  established in Section 3002 regulations  to track

hazardous waste from its  origin with the generator  through  its trip

with  the transporter to its  disposition at a  treatment,  storage, or

disposal facility.   Owners or  operators of facilities which receive

waste from off-site were  to  sign  and date  the manifest,  return a copy

of  the manifest to  the  transporter immediately, and  return  the mani-

fest  to the  generator within 30 days of receipt of  the waste.  Owners

or  operators were  also  to note discrepancies  in type or  quantity of

waste actually received from that described on  the  manifest. They

were  required  to notify EPA immediately if discrepancies were dis-

covered.

2.    Rationale for  the  Proposed Regulations

      The proposed  Section 3004 manifest rules applied only  to owners

or  operators of facilities which  receive hazardous  waste accompanied

by  a  manifest  from off-site sources.  The  facility owner or operator
                                      25

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was required to sign and date the manifest upon arrival of the waste




at the facility in order to verify that the waste had arrived safety




at its intended destination.  He was required to provide a copy of




the signed and dated manifest to the transporter so that the trans-




porter would have a record of delivery.




     The Agency believes that the waste generator has primary




responsibility to assure safe delivery of his waste to an off-site




waste management facility.  Consequently, the manifest was required




to be returned to the generator because this action completed the




information feedback loop, thus assuring the generator that his waste




had arrived at the facility to which it was sent.  The proposed rules




allowed up to 30-days for the facility owner or operator to return




the manifest to the generator in order to allow the facility owner or




operator to combine return of manifests with monthly billings to




generators, thus reducing paperwork and labor and postage costs.  If




the generator did not receive a properly signed manifest for each




waste shipment within 30 days, he was required (in the proposed




Section 3002 rules) to make a quarterly exception report to EPA.




     The facility owner or operator was required to note discrepan-




cies in type or quantity of waste received, compared to the data on




the manifest,  to provide a check against bonafide errors and unscrup-




ulous generators or transporters.  This is part of the self-policing




system mentioned earlier.  Discrepancies were to be reported immedi-




ately to EPA so that enforcement officials could follow up and rec-




tify any illegal practices found.





                                   26

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3.   Comment Analysis and Response




a.   General Issues




Issue #1:  EPA/State Relationships




     Commenters stated that regulations should specify how an ac-




cepted State manifest would be  integrated with the EPA national mani-




fest system.  Another commenter specifically asked if reports were to




be sent  to both the State and EPA.




Response:




     These commenters seem to misunderstand the basic point that the




EPA regulations apply only in States  that are not authorized by EPA




to conduct a RCRA hazardous waste program.  Where a State has an




on-going program with a manifest system different from the Federal




manifest, the State manifest may be used if the State program is




authorized under the regulations implementing Section 3006 and the




State manifest meets the Federal manifest format requirements.  Where




the State program is not authorized by EPA, facility owners or opera-




tors must use the Federal manifest and send reports to EPA.




     The reader is directed to  the Section 3002 background document




for further discussion.




Issue #2:  Universal Manifest




     A commenter recommended that a universal manifest accompany each




shipment and that the term "delivery  document" be deleted from the




rules.
                                    27

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Response:




     The Agency's detailed response to the question of the use of a




universal manifest is contained in the Section 3002 background docu-




ment.  The intent is to specify a "format" rather than a single




"form," thus providing flexibility to waste generators to tailor the




requirements of the manifest to their own business practices.




     In the final Section 3004 regulations, the term "delivery docu-




ment" has been deleted for purposes of clarity.  (See Section 3003




background document.)  However, the term "shipping paper" is used for




rail or water (bulk shipment) transport to be consistent with Depart-




ment of Transportation usage.  The shipping paper must contain all




the information required on the manifest, except the EPA identifica-




tion numbers, generator's certification,  and signatures.   40 CFR




262.23(c) requires the generator to send three copies of the manifest




to the facility when hazardous waste is sent by rail or water (bulk




shipment).




Issue #3:  Additional Information on Manifest




     Commenters suggested that additional information should be con-




veyed from the facility owner or operator to the generator using the




manifest.  One commenter stated that the facility should indicate on




the manifest, within 30 days, the fact, method, and date of waste




disposal or recovery.  Another commenter was more specific and asked




that information as to sale of the waste for recovery should be pro-




vided to the generator to help limit the generator's future liability




in the event of improper disposal.




                                    28

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Response:

     The Agency disagrees with  these  suggestions.   The  principal

purpose of the manifest  is  to track wastes  from  the generator to the

disposer.  The Agency does  not  believe  it should regulate the addi-

tional information a generator  is  to  receive  from  the disposer on the

manifest, other than confirmation  of  delivery.   The facility owner or

operator is  required to  record  and report to  EPA the method(s) of

treatment, storage, or disposal of each waste received  at the facil-

ity.  If the generator wishes to receive that information from the

facility owner or operator, he  can obtain it  through channels other

than the manifest.

b.   §264.71(a)(l) and (b)(l) - Acknowledgement  of Shipments
     [Proposed as §250.43(a)(3)]

     Proposed §250.43-5(a)(3) required  that the  facility owner or

operator acknowledge each individual  shipment received, and use a

special procedure for the acknowledgement of  multiple shipments in

conformance  with §250.22(f) of  the proposed Section 3002 regulations.

Issue #1:  Multiple Movements

     Several commenters  requested  the deletion of  proposed §250.43-

5(a)(3) because their comments  on  proposed  §250.22(f) suggested that

single manifests for multiple movements  should not be allowed.  No

comments were received on the requirement to  acknowledge each indi-

vidual movement.
                                     29

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Response:




     The resolution of this issue is discussed in the background




document for Section 3002 under the heading "Multiple Movements -




Single Manifest."  Multiple waste movements by a single generator




during any one day using a single manifest are not allowed in the




final Section 3002 regulations.  The final Section 3004 rules have




been modified to reflect that decision.




Issue #2:  Blending of Wastes




     A cotnmenter recommended that the Section 3004 manifest procedure




specifically address situations where blending of multiple wastes oc-




curs.




Response:




     If a generator blends wastes before shipment, only one waste




blend would be listed on a given manifest.  The facility owner or




operator would sign and date the manifest upon receipt of the blended




waste.  If a transporter were to pick up the same waste from several




different generators and blend them together in his truck for ease of




transport (as opposed to blending for treatment), a separate manifest




would be required from each generator involved.  The facility owner




or operator would acknowledge receipt of the blended waste by signing



and dating each manifest.




     If a transporter were to pick up different wastes from different




generators and blend them together at the transporter's facility




(e.g., a transfer station), that facility would require a permit and
                                    30

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the transporter would also be the  facility owner or operator.  If the




transporter then ships the blended waste onward to another facility,




the transporter is also the waste generator, and would have to




originate a new manifest.




Issue #3;  "Agent" vs. "Authorized Representative"




     In the final rules, to be consistent with EPA's NPDES regula-




tions, the term "authorized representative" is defined as the person




responsible for the overall operation  of the facility, such as a




plant manager or superintendent.  For  the proper use of the manifest




system, in EPA's opinion, it is not necessary to require manifests or




shipping papers to be signed by a person of such high rank within an




organization.  Other facility personnel designated by the owner or




operator could be authorized to sign manifests or shipping papers




without jeopordizing the integrity of  the manifest system.  Conse-




quently, the proposed term "authorized representative" is replaced in




this final rule by the term "the owner or operator, or his agent,"




with respect to use of the manifest system.  However, reports submit-




ted to EPA must be signed by the owner or operator or his "authorized




representative," rather than his "agent."



c.  §264.71(a)(2) and (b)(2) - Noting Discrepancies




     The final rule requires the facility owner or operator or his




agent to note significant discrepancies in a movement received in the




comment section of each copy of the manifest or shipping paper.  A




discussion of comments received concerning manifest discrepancies,
                                    31

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and of the meaning of a significant discrepancy, is given below under

Section IV.D.  (§264.72 - Manifest Discrepancies.)

d.  §264.71(a)(3) and (b)(3) - Transporter Copy [Proposed as
    §250.43-5(a)(D]

Rationale for Final Rule

     Proposed §250.43-5(a)(l) provided that an authorized representa-

tive of the facility certify receipt of each waste shipment by sign-

ing and dating the manifest, and giving a copy of the manifest to the

transporter.

     No comments were received on this section of the regulations.

However, in response to comments received on proposed Section 3003

regulations, §264.71(b)(3) provides that, for rail or water (bulk

shipment) transport, a copy of the signed shipping paper is to be

provided to the final rail or water (bulk shipment) carrier.  (See

Section 3002 background document.)

e.   §264.71(a)(4) and (b)(4) - Generator Copy [Proposed as
     §250.43-5(a)(2)]

     Proposed §250.43-5(a)(2) provided that the manifest or delivery

document, after it had been signed and dated by an authorized repre-

sentative of the facility, must be forwarded within 30 days to the

generator as certification of receipt of the shipment covered by the

manifest or delivery document.

Issue #1;   Time Period

     Many commenters expressed opinions and desires to either modify

or retain the time period for the return of the manifest to the waste

generator.

                                   32

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Option 1;  Retain 30 Days




     A number of cotnmenters  supported  the  proposed  30-day  time period



allowed for transmitting the manifest  as reasonable, and argued its



retention to (1) allow  an  orderly  return of manifests,  (2) greatly



reduce paperwork and the chances of  losing one  of the manifests, and



(3) allow the generator to prepare his reports  based on receipt of
                             t


submittals at expected  times rather  than a continuous stream of mani-



fests received  at varying  intervals.



Option 2;  Shorten Time Period



     A number of commenters  requested  that the  time period be short-



ened to one or  two weeks to  (1) allow  more effective and timely



follow-up on waste shipments, (2)  give generators more  time to com-



plete exception reports, and (3) avoid loss of  documents.



     Other commenters suggested that,  coupled with  a return period of



15 days, the regulations should require the generator to follow up



any manifest not returned  by the disposer, and  notify the Regional



Administrator when a shipment cannot be located to  provide for earl-



ier detection should something go  wrong during  shipment.



Option 3:  Immediate Return  of Manifests



     A number of commenters  suggested  that the  time period be made



one day because (1) the manifest requires  only  a signature and date,



and immediate mailing would  be simple  for  the disposal  facility



operator; (2) even with this one-day requirement, manifest turnaround



time would be about 10  days; and (3) one-day turnaround was necessary
                                    33

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for effective follow-up by the generator and the EPA on wastes  for




which manifests are not returned to the generator.




     However, some commenters argued against immediate return of




manifests by disposers as being unreasonable since time would be




needed to check out any discrepancies and record data from the mani-




fest.  These commenters felt a shorter return period would not pro-




vide any enforcement benefit nor prevent illegal dumping*




Option 4:  Extend Period




     A commenter recommended that a return time period of 90 days




would be more reasonable and workable based upon experience with the




California manifest system.  Another commenter suggested that the




period be extended to allow more time for recording data from each




manifest for reporting, but_did not suggest a specific time exten-



sion.




Response:




     After careful review of comments on this issue,  the Agency has




decided to retain the 30-day time period allowed for return of mani-




fests to the generator, as proposed.  The Agency believes a 30-day




time period is reasonable and does not preclude returning  of mani-




fests within a shorter time period should a generator insist that the



facility owner or operator do so.




     The final Section 3002 rules provide that the generator must




send to the Regional Administrator a letter report (an Exception




Report) describing efforts to find each lost manifest, together with
                                   34

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a copy of the manifest for the  lost movement, no  later than 45 days




after the waste is  accepted by  the  initial  transporter.  While a




shorter time period for manifest return might result in better detec-




tion should something go wrong  during  transportation, the Agency




believes these incidents will be infrequent.  For the great majority




of movements, a shorter manifest return time period is not needed




and, if imposed, would increase paperwork and labor and postage costs




without additional  benefit.   In the Agency's opinion, the exception




reporting requirements established under Section 3002 regulations




should adequately address human health and  environmental considera-




tions.  (See Section 3002 background document for more details.)




     The Agency believes that quarterly return of manifests would not




provide acceptable  protection of human health and the environment for



the reasons explained in the  Section 3002 background document.  Fur-




ther, return of the manifest  to the generator does not preclude




preparing facility  reports from the facility owner's or operator's




copy.




Issue #2:  Routing  of Manifest  Copies




     A commenter suggested that facility owners or operators should




return manifests to the permitting  agency,  rather than to the genera-




tor, to eliminate the need for  exception reports by the generator.




Another commenter argued that the regulation should provide flexibil-




ity to allow manifests to be  returned  to either an authorized State




agency or the generator.  This  would allow  States to become aware of
                                     35

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exceptions earlier.  A related comment argued that States with

programs adequate to identify missing movements should have the

authority not to require the manifest to be returned to the

generator.  Another commenter recommended that efforts be made to

reduce the number .of copies of manifests required to be distributed

and retained in order to minimize costs and space requirements.

Response;

     The Agency strongly believes that the waste generator, rather

than EPA, should be responsible for ensuring that his hazardous waste

actually arrives at the intended facility.  The manifest routing

system is designed to provide the generator with the feedback infor-

mation necessary to make that determination.  While this system may

require more copies of manifests to be distributed and maintained

than would be the case in other systems, it will result in more time-

ly and effective discovery of errant movements and allow prompt

enforcement actions.  The rationale for the EPA manifest system is

discussed in more detail in the Section 3002 background document.

     As noted earlier, the Agency's regulations apply in States that

are not authorized to carry out the RCRA hazardous waste program.

States with an authorized program will control the manifest system in

accordance with their RCRA authorization agreement.

f.   §264.71 (a)(5) and (b)(5) - Manifest Retention [Proposed as
     S250.43-5(b)(6)]~~

     Proposed §250.43-5(b)(6) required the owner or operator of a

facility accepting deliveries of hazardous waste from off-site
                                   36

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sources for treatment, storage, or  disposal  to  retain  for  a period of




three years a copy of each manifest or  delivery document as certified




by the generator, transporter, and  owner  or  operator of the facility.




This rule has been moved  from the recordkeeping section to the mani-




fest section of  the  final rule in order to consolidate all manifest-




related requirements in one  location within  the rules.




     One commenter stated that all  facilities accepting waste should




retain all manifests for  the duration of  the facility's operation




rather than for  only three years as proposed.   In support, the com-




menter argued that problems  at Love Canal surfaced 25 years after the




last recorded use of the  dump and,  therefore, three years  is too




short a period for recordkeeping, considering the longevity of many




hazardous materials  and their potential threat  to human health and




the environment.




Response;




     The Agency  agrees that  records of  all hazardous wastes handled




should be kept until facility closure.  However, the Agency does not




agree that all hazardous  waste manifests  need to be kept on file for




that long a period.



     The Agency  anticipates  both short-range and long-range uses for




hazardous waste  records.  Retention of  manifests or shipping papers




for a three-year period is sufficient for the majority of  enforcement




cases involving  the  generation and  transportation of hazardous waste,
                                     37

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which are likely to be discovered and acted upon within that period.




Thus, the Agency has specified a three-year retention period for man-




ifests or shipping papers in the generator (Section 3002) and trans-




porter (Section 3003) rules, as well as in these rules for facility




owners or operators.  However, if the owner or operator is the sub-




ject of an enforcement action which is unresolved at the time the




three year retention period expires, the final rule at §264.74(a)




specifies that the owner or operator must retain a copy of each mani-




fest or shipping paper at issue during the course of the enforcement




action.




     For longer-range uses, such as responding to Love Canal-type




situations, the facility recordkeeping rules require owners or opera-




tors to retain records (but not necessarily manifests) of all hazard-




ous waste handled until facility closure.  The requirement allows the




owner or operator the flexibility to design a recordkeeping system




suitable to the specific needs of his operation. Larger facilities




may use automatic data processing systems.  Smaller facilities may




choose to retain manifests as the basis for recordkeeping.




     In addition, the Agency will receive and retain reports which




summarize the waste transported to each facility.  These reports will




contain a description of the waste, the quantity of the waste, and




the EPA identification number of the generator or transporter.




Therefore,  the Agency will be able to review and summarize the data




on the annual reports for a particular facility, should any emergency
                                   38

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or slow release problem arise  at  a  facility  after  the manifests or

shipping papers have been  destroyed.

     For the reasons given above, the Agency has retained the re-

quirement for facility owners  or  operators to keep copies of all

manifests or shipping papers for  at least three years, or until any

enforcement action regarding the  facility is resolved, whichever is

later.

g.  Final Rule

     The final rule for §264.71 reflects all of the points discussed

above, and reads as follows:

§264.71  Use of Manifest System
                           «
     (a)  If a facility receives hazardous waste accompanied by a
          manifest, the owner  or  operator, or his agent, must:

          (1)  Sign and date each copy of the manifest to certify
               that the hazardous waste covered by the manifest was
               received;

          (2)  Note any significant discrepancies in the manifest (as
               defined in  §264.72(a)) on each copy of the manifest;

          (3)  Immediately give the transporter at least one copy of
               the signed  manifest;

          (4)  Within 30 days  after the delivery, send a copy of the
               manifest to the generator; and

          (5)  Retain at the facility a copy of each manifest for at
               least three years  from the date of delivery.

     (b)  If a facility receives, from a rail or water (bulk ship-
          ment) transporter, hazardous waste which is accompanied
          by a shipping paper containing all the information required
          on the manifest  (excluding the EPA identification numbers,
          generator's certification, and signatures), the owner or
          operator, or his  agent, must:
                                    39

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          (1)  Sign and date each copy of the shipping paper  to
               certify that the hazardous waste covered by the
               shipping paper was received;

          (2)  Note any significant discrepancies in the shipping
               paper (as defined in §264.72(a)) on each copy  of  the
               shipping paper;

          (3)  Immediately give the rail or water (bulk shipment)
               transporter at least one copy of the shipping  paper;
               i
          (4)  Within 30 days after the delivery, send a copy of the
               shipping paper to the generator; however, if the mani-
               fest is received within 30 days after the date of
               waste delivery, the owner or operator, or his  agent,
               must sign and date the manifest and return it  to the
               generator in lieu of the shipping paper; and

          (5)  Retain at the facility a copy of each shipping paper
               and manifest for at least three years from the date of
               delivery.

     The final interim status standard at §265.71 is essentially
identical to the above.

D.  §264.72 - Manifest Discrepancies [Proposed as §250.43-5(a)(4)]

     Proposed §250.43-5(a)(4) required the facility owner or operator

to notify the generator of any discrepancies,  such as differences in

the type and quantity of hazardous waste actually received from that

described on the manifest or delivery document,  by indicating these

discrepancies in the comment section of the manifest.  In addition,

the owner or operator was required to notify the Regional Administra-

tor immediately when such discrepancies were discovered,  by forward-

ing a copy of the manifest or delivery document  to the Regional

Administrator.

     No comments  were received opposing the concept of the proposed

standard.  However,  commenters suggested that:
                                   40

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     -  allowable deviations should be specified




     -  only "significant" discrepancies should be reported




     -  a time limit for the discrepancy report should be specified




     -  discrepancies should be reported to States




     -  facilities should not accept shipments with discrepancies.




These issues are discussed below in turn.




Issue #1:  Specification of Allowable Deviations




     Several commenters suggested  that an allowable deviation be spe-




cified in the regulations.  A commenter gave the example that a




facility owner should not be required to report the receipt of 4,900




gallons of waste when the manifest shows 5,000 gallons; or a waste




received with a pH of 9.1 when the manifest shows a pH of 8.8.  An-




other commenter suggested that an allowable range for deviations




might be 1 percent, 2.5 percent, or 5 percent before notification is




required.  In support, this commenter noted that normal errors by




measuring devices or personnel would require notification.




Response;



     In response to commenter's requests to define an allowable de-




viation, the Agency determined that separate provisions should be




developed for determing what is a  significant difference in terms of




waste quantity and type.




Difference in Quantity



     One kind of discrepancy is a  difference in the waste quantity




reported on the manifest or shipping paper and the quantity actually




delivered to a facility.




                                    41

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     If less than the manifested amount of waste is delivered, the




loss of a portion of the waste would be of concern to the Agency.




Loss in transit would be reportable, if the result of a discharge,




under the final Section 3003 regulations.  The likelihood of inten-




tional "midnight" dumping from a vehicle destined for a permitted




disposal facility seems low, especially if the waste generator has




paid the transporter and disposer separately for transport and dis-




posal of the amount designated on the manifest.  Nonetheless, re-




quiring the disposer to note and report discrepancies in waste




amounts acts as a check on the transporter.




     Those instances where an excess amount of waste is delivered to




a facility are not as serious since a facility owner or operator




would wish to be paid for the larger quantity of waste actually dis-




posed.  As a result, overages should be self-policing.




     Scales with the ability to measure the weight of a truckload of




bulk waste have a certain limited sensitivity and may not be calibra-




ted with precision.  Thus, it seems likely that errors in measurement




at the sending and receiving sites, due to use of different scales,




could happen often.  For example, if the sensitivity of scales for




both shipper and receiver were 1 percent, which is a normal value for




such scales,  measurement of an average shipment of bulk waste could




have an error of about 2 percent due to scale accuracy and calibra-




tion alone.  Other additive errors could be introduced by other fac-




tors, such as gasoline or waste evaporation losses during transport,




temperature variations,  and human error.





                                    42

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   •  Neither the proposed nor  final  rules, however, require the waste




generator or facility owner or operator  to have bulk waste weighing




scales, such as the truck scales commonly used by State highway




patrols, since weighing scales are not appropriate to all waste types




or handling situations.  In the absence  of weighing scales, bulk




waste amounts (weight) can be  obtained by a combination of volume and




specific gravity measurements.




     Bulk waste transport trucks and rail cars are of different sizes




and shapes.  The concensus of  four hazardous waste facility operators




polled by EPA was  that bulk waste volume could be estimated no better




than 5 percent, and that a volume error would have to be greater than




5 percent to be noticed routinely.   The  accuracy of ASTM specific




gravity measurement methods is approximately +_ 1 percent for homo-



geneous materials  with no phase separations and assuming no human




error.  Measurements made by the shipper and receiver routinely could




vary by 2 percent.  Consequently, bulk waste quantity measurements




based on volume and specific gravity commonly could be in error by _+_




7 percent.



     In summary, many factors  enter  into the decision as to setting




limits on the variation in amounts of bulk waste which would trigger




a discrepancy notation and report.   Limits on sensitivity and cali-




bration of weighing scales, as well  as possible variations in volume




and density measurements, argue for  allowing relatively large errors




for bulk shipments, such as 5  to 10  percent.  Further, the Agency
                                    43

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does not wish to be swamped with discrepancy reports as a result of




setting discrepancy limits too tightly.




     On balance, the Agency believes it is reasonable to set limits




which would not routinely trigger discrepancy findings, but which




also do not allow excessive amounts of hazardous waste to be unac-




counted for.  Further, the Agency believes that many apparent dis-




crepancies can be resolved without Agency intervention (see




discussion of following issue).  Consequently, for the final rule,




the Agency has selected an allowable discrepancy limit of 10 percent




in weight of the manifested waste amount, with respect to bulk ship-




ments.




     The selected limit does not apply to batch shipments,  however.




A discrepancy of one drum in a movement would be considered suffi-




cient cause for the facility owner or operator to start follow-up




procedures.  The Agency decided to apply a different limit  to batch




shipments, even though the Agency recognizes that the amounts of




waste involved can vary considerably, because such discrepancies can




be detected easily by a simple count.




Difference in Type




     Another kind of possible discrepancy between the waste manifest




or shipping paper and the actual shipment is a. difference in the




chemical or physical nature of the waste.




     The Agency's  intention in this respect is to have facilities




flag obvious differences  in waste type, such as waste solvents
                                   44

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received versus waste acids  listed  on the manifest,  and  failure to




identify toxic contaminants  in waste, as  opposed to  more subtle




changes, such as part-per-million variations  in  the  concentrations of




heavy metals within  a sludge.   The  Agency wishes to  ensure that a




facility is properly equipped  to  handle  the wastes received, and not




subject to surprises in waste  type  introduced by mistake or on pur-




pose by waste generators or  transporters.  Facility  waste sampling




and analysis requirements (see §264.13)  should ensure discovery of




obvious waste type differences in most cases.




     No comments were received specifically on this  point but the




Agency has revised the  final rules  to clarify its intention nonethe-




less.




Issue #2:  Reporting of Significant Discrepancies




     Several commenters stressed  the importance  of requiring only




significant discrepancies to be reported, based  on the judgment of




the owner or operator,  arguing that regulatory agencies  would be




swamped with unnecessary paperwork  resulting  from the reporting of




inadvertent errors or unimportant mistakes.




Response;



     The Agency  agrees  with  commenters that the  reporting of inadver-




tent errors or unimportant mistakes is unnecessary.  The Agency




believes that a  distinction  should  be made between discovering a dis-




crepancy and reporting  the discrepancy.
                                     45

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     The Agency believes that the logical and reasonable response,




upon discovery of a discrepancy in waste amount or type, by the




facility owner or operator, is for the facility owner or operator to




contact the waste generator, and transporter if necessary, and try  to




resolve the discrepancy.  The discrepancy should be reported to EPA




only if it cannot be resolved satisfactorily.  In this manner, the




number of discrepancy reports can be minimized, and the reports will




focus on truly significant discrepancies.  The final rules have been




written to include this procedure.




Issue #3:  Time Period




     Several commenters felt that the proposed requirement for imme-




diate discrepancy reporting was too stringent and asked that a time




limit to report discrepancies be set, since more time might be needed




to determine the existence of a discrepancy.  Some commenters sug-




gested that a 10-working-day time limit would make the system more




efficient.  Other commenters suggested 30 days from receipt of the




shipment as a more practical requirement.




Response:




     The Agency agrees with the commenters  that a time frame (other




than immediate) for reporting discrepancies to the Regional Adminis-




trator should be specified.  All discrepancies should be discovered




soon after arrival of the waste at the facility.  Discrepancies in




amount should be found at the weighing station, if there is one,  or




waste receiving area before the facility owner or operator or his
                                   46

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agent signs the incoming manifest  or  shipping paper.  Discrepancies




in type can be discovered by  inspection,  in  some cases, or by samp-




ling and analysis of incoming wastes, which  usually is completed




within a matter of hours.




     It is expected that the  facility owner  or operator will attempt




to reconcile most potentially reportable  discrepancies by telephone




conversations with the waste  generator  or transporter.  It should be




possible to check records,  etc., and  provide feedback in a matter of




days, even if mailing time  is included.




     Consequently, the Agency believes  discovery and reconciliation




of discrepancies, where possible,  can be  accomplished within 15 days




of receipt of the waste at  the  disposal facility.  The final rules,




therefore, specify that unresolved significant discrepancies and




attempts to reconcile them  must be described in a  letter report to




the Regional Administrator, with a copy of the manifest or shipping




paper at issue, within 15 days  after receiving the waste.




Issue #4:  Alternate Reporting



     A commenter suggested  that discrepancies be reported to an




authorized State agency in  the  case of  a  State having an authorized




hazardous waste program under Section 3006 of the  Act.




Response;



     The commenter's request  that  discrepancies be reported to an




authorized State agency indicates  a misunderstanding of the hazardous




waste regulations.
                                    47

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     As noted earlier, the EPA regulations apply in States which are




not authorized to carry out the RCRA hazardous waste program.  Dis-




crepancy reports would be sent to State agencies, in lieu of EPA, in




those States which are authorized.  Consequently, the commenter's




suggestion has not been adopted in the final rules.




Issue #5:  Refusal of Waste with Manifest Discrepancies




     A commenter suggested that, if there are discrepancies in the




manifest, the hazardous waste should not be accepted until the gener-




ator or transporter reconciles the discrepancies.




Response:




     The Agency agrees in principle that significant discrepancies in




the manifest or shipping paper should be reconciled between the gen-




erator or transporter and the disposer.  However, the Agency dis-




agrees with the suggestion that the waste not be accepted by the dis-




poser.  In the Agency's view, it is more protective of human health




and the environment for wastes to be accepted by a responsible dispo-




ser, and properly managed while reconciliation is attempted, than for




the waste to be rejected with the possibility of its improper dispo-




sal elsewhere.  In addition, writing such a regulation would conflict




with the Agency's decision to allow the disposer to accept unmani-




fested movements of hazardous waste (see §264.76).  Consequently, the




suggestion has not been adopted in the final rule.  However, the dis-




poser is not obligated to accept the waste if there were a signifi-



cant discrepancy in quantity or type.
                                  48

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Final Regulatory Language

     The final regulation was  rewritten for  greater  clarity and, in

keeping with the rationale  discussed  above,  the meaning of a

significant discrepancy  and the  time  period  for discrepancy reports

were specified.  Accordingly,  the  final rule reads as  follows:

§264.72  Manifest Discrepancies

     (a)  Manifest  discrepancies are  differences  between  the quantity
          or type of hazardous waste  designated on the manifest or
          shipping  paper, and  the  quantity or type of  hazardous waste
          a facility actually  receives.  Significant discrepancies in
          quantity  are:  (1) for bulk waste,  variations greater than
          10 percent in  weight and (2)  for batch  waste, any variation
          in piece  count, such as  a discrepancy of one drum in a
          truckload.   Significant  discrepancies in type are obvious
          differences  which can  be discovered by  inspection or waste
          analysis, such as waste  solvent substituted  for waste acid,
          or toxic  constituents  not reported on the manifest or ship-
          ping paper.

     (b)  Upon discovering  a signficiant discrepancy,  the owner or
          operator  must  attempt  to reconcile the  discrepancy with the
          waste generator or transporter (e.g., with telephone con-
          versations).  If  the discrepancy is not resolved within 15
          days after receiving the waste, the owner or operator must
          immediately  submit to  the Regional Administrator a letter
          describing the discrepancy  and attempts to reconcile it,
          and a copy of  the manifest  or shipping  paper at issue.

     The final interim status  standard at §265.72 is identical to
     the above.

E.  Recordkeeping - General Issues

     Proposed §250.43-5(b)  prescribed that an owner or operator main-

tain, as part of the operating log, records  of waste managed at the

facility, the locations  of  stored  and disposed waste,  waste analysis

records, monitoring data, summary  reports and records  of  incidents,

records or results  of  visual inspections, records of operating


                                    49

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conditions, and training records.  Retention times for various




records were proposed as well.  Commenters raised a number of general




issues regarding recordkeeping at hazardous waste management facili-




ties.  These issues are discussed in this section.




Issue #1;   Recordkeeping Based on Degree of Hazard




     A commenter stated that recordkeeping should be consistent with




the degree of hazard of the waste.




Response:




     The Agency has incorporated some considerations of class of




hazard into the technical regulations, and intends to expand this




concept in future rulemaking.  However, the Agency does not agree




that any great savings in paperwork would be possible under any class




or degree of hazard system for recordkeeping because the present




recordkeeping system is the minimum acceptable system in the Agency's




view.  A class or degree of hazard system might, however, require a




greater degree and specificity of recordkeeping to take better ac-




count of those wastes designated by EPA as more hazardous than "nor-




mal" hazardous waste.  (See related discussion at IV.A.2., Issue #5.)




Issue #2:   Limit Recordkeeping




     Some commenters felt that the proposed recordkeeping require-




ments were too detailed, were unjustified, and would create addition-




al expense without benefits.  One commenter felt that the required




records should only contain information of potential value in an




emergency situation on the site, such as storage or burial locations
                                   50

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for wastes which might cause  immediate  danger to  employees  or emer-




gency personnel responding  to an incident.   The commenter suggested




that long-range information of a statistical or maintenance value




only should be forwarded  to the Administrator for determination as to




its value for permanent maintenance,  and  that any specific records to




be maintained should  be proposed in the permit application  and agreed




to at the time a permit is  issued.




     Another commenter felt that only records of  importance in




assessing the facility's  performance  (primarily monitoring data)




should be required.   This commenter then  stated that documentation of




personnel training, operating procedures, etc., is not necessary and




is an undue burden  for a  properly operating  facility.




Response:




     The Agency does  not believe that the limited recordkeeping sug- '




gested by the commenters would be sufficient to assure meeting the




RCRA mandate for protection of human  health  and the environment.  In




both the proposed and final rules,  the  Agency has  carefully weighed




the burden of recordkeeping against the needs for accurate data asso-




ciated with human health and  environmental protection, and for en-




forcement of the rules.  In the Agency's  opinion,  each recordkeeping




requirement is necessary  for  these  purposes,  and  is based on lessons




learned from improper hazardous waste facility operations in the




past.  The Agency's proposed  and final  recordkeeping requirements are




closely tied to the operation of the  facility, and the burden of the




requirements should be minimal at a properly operating facility.




                                     51

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     The commenter who suggested forwarding long-range information  of




a statistical or maintenance value to the Administrator for determi-




nation is, in fact, proposing a massive reporting requirement much




larger in its impact upon facilities than the annual report required




by the final rules.  In addition, the requirement suggested by the




commenter would result in the accumulation of more information than




the Agency will likely be able to use.  Therefore, the Agency rejects




this suggestion as impractical and unnecessarily burdensome.




     The Agency believes that adequate facility recordkeeping is an




integral part of proper facility operations.  These records may be




needed to assist owners or operators in emergency situations, or en-




forcement officials who may be called upon to investigate problems at




any time.  However, facility owners or operators will need to meet




only those requirements that apply to their facility.  The final




regulations are designed to allow facilities sufficient flexibility




to adapt or extend their present recordkeeping, billing practices,




operating logs, and reports to State, local, and other Federal agen-




cies to meet the incremental burden of RCRA.  The Agency expects




recordkeeping will be included as part of the permit process.  During




the interim status period, however, owners or operators will be




expected to meet all applicable recordkeeping requirements.




Issue #3;  Recordkeeping for Nonhazardous Waste




     A commenter suggested that records of all waste shipments should




be kept in case wastes originally thought to be nonhazardous are




determined to be hazardous at a later time.




                                    52

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Response:




     The Agency recognizes  that  facilities  which  handle  hazardous




waste may also handle nonhazardous  waste.   There  may  indeed be wastes




considered as nonhazardous  now,  but which may be  listed  as hazardous




later.  Other wastes may  simply  be  managed  as nonhazardous because




the generator has  not tested them,  or because of  variations between




tested waste and later  batches.




     To the extent that*such situations  are deliberate attempts to




avoid the law, incident reporting and enforcement inspections will




provide a remedy.   To the extent that such  situations occur in good




faith, however, the Agency believes it would be unnecessarily burden-




some to impose such a requirement in these  regulations.




Issue #4:  Congressional  Intent




     A commenter claimed  that the proposed  §250.43-5(b)  recordkeeping




requirements were  contrary to Congressional intent because manifests




are not required for on-site disposal of hazardous waste, yet the in-




formation required to be  kept by the proposed regulation was substan-




tially identical to the information on a manifest. Therefore, the




practical effect of the proposed regulation (according to the com-




menter) would be to impose indirectly on facilities recordkeeping




requirements which Congress chose not to impose directly.




Response;



     The Agency disagrees that recordkeeping at on-site  facilities  is




contrary to Congressional intent.  Section  3004(1) of the Act, which
                                     53

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mandates recordkeeping at hazardous waste facilities, makes no dis-




tinction between on-site and off-site facilities.  The manifest  is




primarily a waste transport tracking and control document.  Record-




keeping requirements for facilities are independent of the manifest,




and serve different purposes.  It happens that the core information




which appears on the manifest (e.g., origin, quantity, and type  of




waste), is also necessary for recordkeeping purposes,




Issue #5:  Exemption from Recordkeeping




     A commenter claimed that the proposed recordkeeping requirements




should not be required for on-site process-associated incinerators.




Responses




     The Agency in the final Section 3001 and 3004 rules has excluded




from RCRA Subtitle C control boilers which burn waste as a fuel.  An




"on-site process-associated incinerator" may qualify for this exemp-




tion.  (See Section 3001 background document for further details.)




F.  §264.73 - Operating Record [Proposed as §250.43-5(b)]




1.   Name, Format, and Access to Record




     Proposed §250.43-5(b)(l) required a facility owner or operator




to keep an operating log, and to open the log for inspection by any




duly designated employee or agent of EPA at all reasonable times.  A




number of commenters raised issues concerning the name, format, and




access to the operating log, as  discussed below.
                                    54

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Issue #1:  Operating "Log" vs.   "Record"




     A commenter suggested that  the proposed term "operating  log" be




changed to the term "operating record"  to allow the use  of  automatic




data processing systems.




Response:




     The Agency agrees  that  the  use of  an ADP system is  consistent




with the recordkeeping  system flexibility intended by the proposed




regulations.  Further,  the  large area of  some facilities, and the




variety of functions performed at some  facilities,  make  it  very un-




likely that all required  information would be recorded in one opera-




ting log at only one location.   In writing the proposed  rules, the




Agency assumed a number of  logs, or records, would be maintained at




each facility.  All such  records taken  together would then  constitute




the facility's operating  log.



     The Agency agrees  that  the  term "operating record"  more  accur-




ately reflects the Agency's  intentions  and expected commercial prac-




tice than does the term "operating log."   The Agency has therefore




changed all references  in the final regulations from "log"  to




"record."



Issue #2:  Operating Record  Format



     A commenter requested that  EPA include in the regulations an ex-




hibit of an operating log if a particular format is desired.   Another




commenter requested clarification as to whether separate records are




required for  each  type  of waste, each waste shipment, or some other




grouping.



                                     55

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Response:




     The Agency does not believe a specific format for the operating




record is necessary or justified in view of the wide variations pos-




sible in activities and types of waste handled at various facilities.




Consequently, the Agency has not included an exhibit of an operating




record in these final regulations.  Separate records are required for




each waste type or some other grouping *  Records of each waste move-




ment will automatically result from the requirement to keep copies of




each manifest or shipping paper received.




Issue #3:  Public Access to Operating Record




     A number of commenters recommended that the operating record




kept by  the owner or operator of a facility should be open to State




and local officials to ensure proper inspections and to duly repre-




sented members of the pub lie, within the bounds of confidentiality,




to provide the public with the necessary information to determine the




extent and type of public participation appropriate.  Another com-




menter, however, felt all reference to access to the operating record




should be deleted as unnecessary.




Response;




     The Agency interprets its authority under RCRA as insufficient




to prescribe by regulation access by either the public or State and




local officials to hazardous waste management facilities.  Both EPA




and State officials (in States which have authorized RCRA programs)




will have access to facilities under the authority of Section 3007(a)
                                    56

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of RCRA.  Where States do  not  have  an authorized RCRA program,  access




to facilities by State officials  will be a matter of State  law.




     The Agency has determined that RCRA does  not provide for public




access to facilities  except  to the  extent provided for in the public




hearing process under the  RCRA permit regulations.   Through  its




regulations  implementing the Freedom of Information Act, EPA has




provided for a degree of public access to information reported  to EPA




which should allow adequate  public  knowledge of facility operations.




The Agency recognizes that hazardous waste facilities are industrial




areas to which access must be  controlled by the owner or operator.




The broad inspection  powers  of the  Act and the reasonable limits on




public release of  information  have  been described in detail  earlier




under the discussion  on  "confidentiality."




     The Agency has,  therefore, specified in the final  regulations




under §§264.74(a)  and 265.74(a) that all records,  including  plans,




must be furnished  upon request, and made available  at all reasonable




times for inspection, by any officer,  employee,  or  representative of




EPA who is duly designated by  the Administrator.




Issue #4:  Warrantless Inspections



     A commenter suggested that the proposed requirement that the




operating record be open to  any duly designated employee or  agent of




the Agency authorized warrantless administrative inspections without




the consent  of the facility's  owner or operator.  The commenter




stated that  the United States  Supreme Court, in Marshall v.  Barlow's,
                                     57

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Inc. , 413 U.S. 266 (1978), held that the Fourth Amendment prohibits

administrative personnel from conducting warrantless inspections

without the consent of the facility's owner or operator.  The com-

menter quoted an EPA Office of General Counsel memorandum which,

according to the commenter, directed each program office exercising

rights of entry (including the authority of RCRA) to draft regula-

tions governing EPA's entry procedures under RCRA, and directed the

Agency to seek consent to enter, and to seek warrants where consent

is refused.

     The commenter, therefore, recommended that the proposed regula-

tion be amended to require the Agency to seek the consent of the

facility's owner or operator before inspecting the operating record,

to provide reasonable notice of the Agency's intent to inspect, and

to seek appropriate relief should a generator refuse to consent to

the inspection.

Response:

     EPA's information-gathering activities under RCRA Section 3007

are subject to the Fourth Amendment's protection against unreasonable

searches as enunciated by the Supreme Court in Marshall v.  Barlow's

Inc., supra.  It should be noted that the Supreme Court in Barlow's,

quoting Almeida-Sanchez v.  United States (413 U.S. 266,271), empha-

sized that

     A central difference between those cases [involving warrantless
     searches_of pervasively regulated industries] and this one is
     that businessmen engaged in such Federally licensed and regula-
     ted enterprises  accept the burdens as well as the benefits of


                                    58

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     their trade whereas the petitioner here was  not  engaged in any
     regulated or  licensed business.   The businessman in a regulated
     industry in effect consents  to  the restrictions  placed on him.

     Despite the recommendation of the General  Counsel  in 1978, EPA

has decided not to promulgate regulations implementing  Marshall v.
                            /
Barlow's Inc.  That case establishes  standards  of conduct for Federal

officials and enforcement personnel.   Therefore,  regulations are

unnecessary, because internal directives  to EPA personnel will suf-

fice.  EPA's exercise of its Section  3007 authority will be conducted

in a manner consistent with the decision.

Rationale for Final Regulation

     EPA maintains that acceptable standards of hazardous waste man-

agement necessarily require that  a facility maintain  an operating

record.  In addition, the record  must be  open to  inspection by

authorized EPA officers, employees, or representatives  for enforce-

ment or regulation development purposes.   The Agency  interprets the

term "at all reasonable times" to include the normal  operating hours

at the facility, but reserves the right to inspect the  facility at

other than normal  operating hours on  a case-by-case basis.

     For the reasons discussed above, the Agency  replaced the term

"log" with "record" to clarify the broad  variety  and  dispersion of

records that might constitute the operating record of a facility.

The Agency changed the term "designated"  to "designated by the

Administrator" to  clarify the official status and responsibilities of

officers, employees, or representatives of EPA, which the Agency had
                                    59

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assumed was implicit in the proposed regulations, but may have  led  to

misinterpretation by the regulated community.

2.   Content of Operating Record

Synopsis of Proposed Regulation

     Proposed §250.43-5(b)(2) required the following information  to

be promptly recorded and maintained in the operating record until

closure of the facility:

     a.  Waste management information

         (1)  A description of each hazardous waste

         (2)  A description of the hazardous properites of each waste

         (3)  The quantity of each hazardous waste treated, stored,
              or disposed

         (4)  The method of treatment, storage, and disposal used for
              each waste

         (5)  The dates of treatment, storage, and disposal of each
              hazardous waste.

     b.  Locations where waste was stored or disposed

     c.  Waste analysis information

     d.  Ground-water monitoring data

     e.  Summary reports and records of incidents

     f.  Records and results of visual inspections

Rationale for Proposed Regulation

     RCRA Section 3004(1) requires that recordkeeping standards in-

clude maintaining records of all hazardous waste identified or listed

under Section 3001 rules which is treated, stored, or disposed of,

and the manner in which such wastes were treated, stored or disposed.


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EPA, therefore, imposed waste management recordkeeping  requirements




in the Section 3004  proposed rules to comply with RCRA.




     The Agency required  that the location of stored and  disposed




waste, and the results of waste analyses, be recorded to  allow




assessment of any  localized problems at storage sites and disposal




cells, such  as fires,  releases, and ground-water contamination.




These records can  provide information allowing a more effective




response to  incidents  or  emergencies.




     Recordkeeping requirements for ground-water monitoring data,




incidents, and inspections were specified in other provisions of the




proposed Section 3004  rules.  They were repeated in this  rule to en-




sure that all facility records were maintained in a central location.




Comment Analysis and Response




     Commenters raised a  number of general and specific points con-




cerning the  content  of the operating record.  These are discussed be-




low in turn.



Issue #1;  Use Manifest as the Operating Record



     A commenter stated that the majority of the information to be




entered into the operating record is information already  contained on




the manifest, and  that needless duplication could be eliminated by



requiring only that  the facility operator retain a copy of the mani-




fest and that he need  not record information contained  therein in the




operating record.
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Response:




     Neither the proposed nor final recordkeeping requirements pre-




clude the facility owner or operator from using copies of retained




manifests (with suitable notation to show EPA Hazardous Waste Num-




bers, waste disposition, and location) as part of the operating




record.  In addition, cross-references to retained manifest copies




filed elsewhere are also compatible with the final recordkeeping




regulations.




     The Agency cannot design a general recordkeeping system that




would be suitable for each facility.  There exists a tradeoff between




the cost of recordkeeping of all manifests for the life of the facil-




ity and the cost of generating a new record at the facility for each




waste received.  The Agency has allowed manifests to be destroyed




after three years, but at their discretion facility owners or opera-




tors may choose to maintain manifests until facility closure to




simplify recordkeeping.




     However, on-site disposers do not use manifests.  Further, for




both on-site and off-site facilities, the operating record must con-




tain other information that is not carried on the manifest.  The




Agency, therefore, rejects the suggestion that the regulations




require retention of the manifest in place of the operating record.




Issue #2:  Exempt Incinerators from Recordkeeping




     A commenter stated that because incineration destroys hazardous




waste, thus eliminating future threat to human health and the
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environment, maintaining  incineration records  until closure  of  the
facility is unnecessary;  the  commenter therefore recommended that all
incinerators be exempted  from recordkeeping requirements.
Response;
     The Agency believes  that recordkeeping for  all hazardous waste
disposition is required by RCRA.   The incineration of hazardous waste
may produce hazardous  residues or emissions even if most of  the waste
is destroyed by incineration.  Incineration of wastes should be sup-
ported by trial burns  for which recordkeeping  will be necessary for
safe management of  subsequent batches of  similar waste.  Further, in-
cineration records  are needed to  support  preparation of annual
reports.  Consequently, the Agency has maintained recordkeeping
requirements for  incinerators in  the  final  regulations.
Issue #3:  Exempt Treatment and Storage Facilities
     A commenter  questioned the applicability  of the proposed record-
keeping requirements to treatment and storage  facilities on  the
grounds that treatment and storage facilities  do not have predeter-
mined closure dates, as would a landfill, and  therefore it would con-
stitute an unnecessary burden to  maintain such records for an
indefinite period of time. For this  reason, the commenter recommend-
ed exemption of treatment and storage facilities from the recordkeep-
ing requirement.
Response:
     Both the proposed and final  rules for  closure of all facilities,
including treatment and storage facilities,  require  the preparation
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of a closure plan which includes the estimated date of closure.  Fur-


ther, a facility permit is issued for a specified period.  The Agency

believes that records of the operation of storage and treatment


facilities must be maintained in order to meet the requirements of


RCRA and the technical regulations, and thus has rejected the exemp-

                                              /
tion recommended by the commenter.

Issue #4:  Nomenclature for Waste Information

     A commenter complained that proposed §250.43-5(b)(2)(i)(A) and

(B) were poorly constructed and needed redrafting, with the inclusion


of examples, to avoid confusing the reader.  The proposed sections at


issue concerned the use of DOT or EPA waste descriptions in the

operating record.


Response:


     The Agency attempted to provide the most cost-effective, flexi-

ble, and least burdensome method for recording waste management


information.  The waste manifest contains much of the information

needed.  Consequently, the recordkeeping requirements were keyed to


manifest information to which management method and date were added.


The proposed rules for waste descriptions allowed use of DOT shipping

descriptions and DOT hazard classes, as well as EPA waste names and


characteristics identified in the proposed Section 3001 rules.


     In retrospect, the Agency now believes this was not the best


approach.   The proposed Section 3004 rules for recordkeeping applied

to both on-site and off-site facilities, but separate rules for
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on-site facility reporting  were contained in the proposed  Section




3002 rules.  On-site  facilities do not use manifests,  and  thus




recordkeeping based on DOT  nomenclature is not  appropriate for these




facilities.  This  problem has been corrected in the  final  rules.




     To simplify the  rules,  and to avoid confusion between on-site




and off-site facility recordkeeping requirements,  the  Agency has




decided to base all facility recordkeeping and  reporting on EPA




nomenclature for waste names and characteristics.




     The Section 3001 rules define hazardous waste in  two  ways:  (1)




by listing specific hazardous waste,  and (2) by identifying charac-




teristics of hazardous waste.  To simplify the  proposed rules fur-




ther, the final Section 3001 rules assign a four-digit EPA Hazardous




Waste Number to each  listed waste, and to each  hazardous waste char-




acteristic.  These numbers  must be used to describe hazardous waste




for recordkeeping  and reporting purposes, along with the waste's




common name.



     For most listed  wastes, the process that produces the waste is




identified in the  listing,  and thus this information is automatically




contained within the  EPA Hazardous Waste Number assigned to it.  This




is not the case, however, for nonlisted wastes  identified  as hazard-




ous via the characteristics.  Consequently,  the Agency requires for




nonlisted waste that  the process which generated the waste be record-




ed and reported, as well as the EPA Hazardous Waste Number.



     All of the above points are reflected in the  final recordkeeping




and reporting rules for hazardous waste management facilities.  The




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same rules apply to all facilities, whether on-site or off-site.

Consequently, the Agency believes the revised waste description rules

are more straightforward and less confusing than those proposed.

Issue #5:  Quantity Descriptions

     Several commenters asked that additional units of measurement

for waste quantity be allowed under proposed §250.43-5(b)(2)(i)(C)

and elsewhere.  One commenter asked that the use of metric units be

allowed.  Another suggested that cubic feet be allowed since it is a

commonly used waste unit.  Another commenter suggested that the units

of barrels also be allowed since barrels is a common unit of measure.

Response;

     The Agency agrees that the use of metric units should be encour-

aged, and the Agency will use metric units.  Other parts of the pro-

posed regulations gave metric equivalents to English units of

measurement.  The Agency has included metric units in the table of

units suitable for recordkeeping and reporting in the final rule.

     The proposed and final rules allow owners or operators to record
                                             i
waste quantity in "cubic yards."  Although the use of "cubic feet" is

also common, it is easy to convert meas_rements made in "cubic feet"

to "cubic yards."  Considerations of ADP usage also argue for use of

a minimum set of interconvertible units as the basis of recordkeeping

and reporting9  Therefore, "cubic feet" has not been added to the

list of units designated in the final rule.

     The use of barrels as a unit of measure, although common in cer-

tain industries,  would be ambiguous for purposes of waste disposal

                                    66

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records due to the variation  in barrel  sizes  used  by waste disposers.




Not all barrels that would  be reported  would  be  of the  same size.




Also, barrels may not  be  full.   The Agency has decided  that too many




inaccuracies could be  introduced and thus  has rejected  the suggestion




to include barrels as  a unit  of measure.




Issue #6:  Statistics  on  Quantities of  Waste




     A commenter  suggested  that if EPA  needs  waste tonnage statis-




tics, EPA should  require  that copies of manifests  be sent to the




regional EPA office.




Response:




     As previously discussed, EPA has rejected the option of sending




copies of manifests  to the  regional EPA offices.   Further, many




facilities required  to keep records and make  reports do not use mani-




fests.  Hence,  the commenter's  suggestion  is  not practical.




Issue #7:  Use  of Estimated Quantities




     A commenter  argued that  exact quantity measurements at facil-




ities would not be possible without "costly flow meters and weighing



hoppers fot which there would be no benefit other  than  RCRA-required




recordkeeping."   The commenter  argued that estimated quantities would




be sufficiently accurate  and  more cost  effective for on-site dispo-




sal.  Another commenter stated  that estimated quantities for on-site




waste disposal would be adequate, on the grounds that it would be




impractical to weigh every  truck.  A third commenter stated that




specific quantity information cannot be determined by the disposal







                                     67

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facility due to the variations in means of measurement (i.e., tons,




barrels, gallons), the inability to measure at the disposal facility,




and the inaccuracies of any such measurement.  The commenter also




argued that the value of the information must be weighed against the




added cost and the added exposure and hazard to personnel at the




disposal facility while performing the measurement.




Response:




     The Agency recognizes the validity of the commenter's arguments




indicating the need for a more flexible approach to reporting of




quantities.  Inasmuch as the Agency has not required waste generators




or facility owners or operators to own truck scales or other measure-




ment devices, it seems inconsistent to create a "de facto" require-




ment by requiring a greater degree of accuracy in measuring wastes




than may be necessary.  Many off-site facilities use truck scales or




other measuring devices for business purposes.  Further,  Federal and




many State transportation rules require accurate weight measurements




of off-site movements.  Thus, EPA does not believe it is necessary to




supplement existing requirements and common business practice with




explicit EPA rules in this area.




     The Agency recognizes, however, that where no manifest is used,




i.e., at on-site facilities, manifest-reported quantities will be




nonexistent.  The Agency therefore has permitted the use of estimated




quantities at on-site facilities as an alternative to manifest-




reported quantities in the final rules.  Note, however, that the
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owners or operators  of  on-site  facilities  are required  to  certify the




accuracy of these estimates  in  their annual  reports  to  the Agency.



Issue #8;  Recordkeeping  of  Waste  Location




     A number of commenters  to  proposed  §250.43-5(b)(2)(ii) suggested




refinements and exemptions to recordkeeping  of waste  disposal loca-




tions.  Commenters  suggested that  cross-references  to specific mani-




fest identification numbers  should be included when  locations are




recorded.  Other commenters  suggested that facilities disposing of a




limited number of compatible wastes should not be required to record




locations for each  type of waste.   Another commenter  suggested that




the volume and nature of  the waste should  be recorded as well as the




location information.




Response:




     The Agency agrees  that  cross-references to specific manifests by




using the manifest  numbers,  where  appropriate, would  be practical and




consistent with such concerns as resource  recovery and emergency




response and has accordingly incorporated  this suggestion  into the




final regulations.



     The commenters  who suggested  an exclusion for compatible wastes




may have misunderstood  the level of detail required to record waste




locations.  The Agency  intends  waste treatment, storage, and disposal




locations to be recorded  only on maps or diagrams.  Consequently, the




Agency believes the  exemption suggested by the commenters  would




unnecessarily complicate  the regulation without removing any
                                     69

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significant burden.  Further, the Agency believes that the disposal




locations of all hazardous wastes should be recorded, whether or not




the wastes are compatible, because waste compatibility is only one of




many waste characteristics of potential interest at a later time.




     The suggestion that volume and nature of the waste be recorded




along with the location has been addressed by the inclusion of quan-




tity in the recordkeeping rule, and the requirements for (1) using




EPA Hazardous Waste Numbers in recordkeeping, because these numbers




relate to the nature of the waste, and (2) recording the results of




waste analyses under §264.13 in the operating record.




Issue #9:  Waste Analysis Recordkeeping




     A commenter suggested that waste analysis recordkeeping required




by proposed §250.43-5(b)(2)(iii) was not needed since the information




would duplicate that reported to the facility on the manifest'.  An-




other commenter suggested that waste analysis should be described as




"waste characterization appropriate to the physical state, nature,




and management method of the waste."




Response:




     The Agency disagrees that manifest information on wastes, such




as name, DOT hazard class, and EPA Hazardous Waste Number, would




adequately characterize the waste for management purposes at the




facility.  Further waste analyses are independently required by




§264.13 of the final rule.  The rule in this section merely requires




these waste analysis records to be maintained at the facility.
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     The term "waste analysis"  as  it  is used in the final  regulations




at §264.13 is discussed  in the  waste  analysis background document.



Monitoring Data Recordkeeping




     No comments were  received  on  proposed  §250.43-5(b)(2)(iv).



Issue #10;  Incident Recordkeeping




     A commenter stated  that the words  "requiring initiation of a




contingency plan,  or"  should be deleted from proposed  §250.43-



5(b)(2)(v).




Response:




     The commenter did not provide any  reasons  why  recordkeeping of




the implementation of  a  contingency plan should be  deleted.




     The Agency holds  to its rationale  for  the  recording of such




incidents as fires, explosions,  and releases  that require  implement-




ing the contingency plan as being  important  as  a  record of facility




operations and response.   Additional  rationale  is supplied in the




background document for  contingency plans.




Issue #11;  Inspection Recordkeeping



     A commenter stated  that proposed §250.43-5(b)(2) (iv)  should be




changed to read "records  or results of  unusual  or unexpected observa-




tions made during  visual  inspections."




Response;



     The Agency believes  that proof of  compliance with the inspection




provisions of §264.15  requires  a record that  the  inspections were, in




fact, performed, as well  as records of  unusual  or unexpected observa-




tions.  Therefore,  the language  of the  proposed requirement has been



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retained.  The retention time for these records has been reduced to

three years in the final rule.  (See the Inspections background docu-

ment for further discussion.)

3.  Final Rule

     Based on the discussions of the above issues, the proposed rules

have been revised.  The final Phase I Part 264 rules for the content

of the operating record read as follows:

§264.73  Operating record

     (a)  The owner or operator must keep a written operating record
          at his facility.

     (b)  The following information must be recorded, as it becomes
          available, and maintained in the operating record until
          closure of the facility:

          (1)  A description and the quantity of each hazardous waste
               received, and the method(s) and date(s) of its treat-
               ment, torage, or disposal at the facility as required
               by Appendix I;

          (2)  The location of each hazardous waste within the facil-
               ity and the quantity at each location.  For disposal
               facilities, the location and quantity of each hazard-
               ous waste must be recorded on a map or diagram of each
               cell or disposal area.  For all facilities, this in-
               formation must include cross-references to specific
               manifest document numbers, if the waste was accompan-
               ied by a manifest;

          (3)  Records and results of waste analyses performed as
               specified in §264.13;

          (4)  Summary reports and details of all incidents that
               require implementing the contingency plan as specified
               in §264.56(j);

          (5)  Records and results of inspections as required by
               §264.15(d) (except these data need be kept only three
               years); and
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          (6)  For off-site  facilities,  notices  to  generators as spe-
               cified  in  §264.12(b).

     The final interim status  standards  make  reference  to additional

sections of Part 265 which are not  included in the  Phase I Part 264

standards.  Accordingly,  the final  interim status standards of

§265.73 read as follows:

§265.73  Operating record

     (a)  The owner or operator must  keep a written operating record
          at his facility.

     (b)  The following information must be recorded, as it becomes
          available, and  maintained in the operating record until
          closure of the  facility:

          (1)  A description and  the  quantity of each hazardous waste
               received,  and the method(s) and date(s)  of its treat-
               ment, storage,  or  disposal at  the facility as required
               by Appendix I;

          (2)  The location  of each hazardous waste within the facil-
               ity and the quantity at each location.   For disposal
               facilities, the location  and quantity of each hazard-
               ous waste  must  be  recorded on  a map  or diagram of each
               cell or disposal area.  For all facilities, this in-
               formation  must  include cross-references  to specific
               manifest document  numbers, if  the waste  was acompanied
               by a manifest;

          (3)  Records and results  of waste analyses and trial tests
               performed  as  specified in §§265.13,  265.193, 265.225,
               265.252, 265.273, 265.345, 265.375,  and  265.402;

          (4)  Summary reports  and  details of all incidents that
               require implementing the  contingency plan as specified
               in §265.56(j);

          (5)  Records and results  of inspections as required by
               §265.15(d) (except these  data  need be kept only three
               years);

          (6)  Monitoring, testing, or analytical data where required
               by §§265.90,  265.94, 265.276,  265.278, 265.280(d)(l),
               265.347, and  265.377; and

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          (7)  All closure cost estimates under  §265.142  and,  for
               disposal facilities, all post-closure  cost estimates
               under §265.144.

G.   §264.74 - Availability, Retention, and Disposition  of Records
     [Proposed as §250.43-5(b)(3)]

1.   Availability of Records

     Several separate requirements for making records available  to

the  Regional Administrator were specified in the proposed rules.  In

the  final rules, these separate requirements are grouped  into  one

general rule, and the separate requirements are deleted.   (See rela-

ted  discussions under Section IV.F. - Operating Record.)

2.   Retention of Records

Issue #1:  Retention of Incineration Records

     A commenter to proposed §250.43-5(b)(4) stated that  the holding

period for incinerator operating records should be reduced to  one

year, as opposed to three years in the proposed rule.

Response^;

     The Agency has deferred promulgation of general Section 3004

standards for incinerators until a later date.  The Section 3004

interim status standards for incinerators do not require  that  records

be kept of incinerator operating conditions because all existing

incinerators may not have the necessary monitoring equipment and  it

may be impossible to install this equipment without major modifica-

tions to the incinerator.  Thus, the recordkeeping requirement for

incinerator operating conditions in this section of the regulations
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has been deferred  for  the time being.   Consequently,  it is  inappro-




priate to respond  to the commenter's suggestion until the final  in-



cinerator rules  are promulgated.




Issue #2:  Retention of Training  Records




     A commenter to proposed §250.43-5(b)(5)  stated that retention of




training records until! the closure of the facility seemed excessive,




and recommended  retention for three years.   Another comment asked for




deletion of  the  requirement as unworkable and unnecessary.



Response:




     The Agency  sought to make clear in the proposed  rules  that  the




records of job  titles, job descriptions, and training requirements




would  likely not change over the  life of the facility.   Thus, once




generated, such  records would be  sufficient with minor  changes.  The




Agency has responded  to the commenter's concerns by specifying (in




§264.16(e))  that training records of former employees must  be kept




for at least three years from the date the  employee last worked  at




the facility, but  not  until closure of the  facility.



     The Agency does  not agree that the recordkeeping requirement




proposed was unworkable and unnecessary.  Such records  document  that




the training requirements have been met.  Therefore,  the Agency  has




retained the training  recordkeeping requirement, modified as noted




above, but has  shifted the requirement to §264.16 of  the final




regulations.
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[Comment:  Proposed §250.43-5(b)(6) concerning retention of manifests
has been moved in the final rule to the section entitled "Use of
Manifest System" at §264.71(a)(5).  Comments on the proposed rule
were discussed earlier in the manifest section of this document,]

3.  Disposition of Records

     A commenter stated that the proposed §250.43-5(b)(3) requirement

to turn over waste management and landfill disposal location records

to EPA upon facility closure could be burdensome in some cases.  The

commenter noted that, for example, a landfill owner or operator ac-

cepting 25,000 truckloads per year over a 20-year period would accu-

mulate records fo 500,000 transactions.  The commenter felt it would

be more appropriate to turn over these records to EPA on an annual

basis.

Response:

     The commenter makes a valid point.  The Agency will receive the

waste management information (waste description, quantity,  and man-

agement method) on an annual basis via the annual report, and thus it

is redundant for the owner or operator to resubmit cumulative records

of this information upon facility closure.

     In the final rule, the Agency has clarified its intention that

locations of treated, stored,  or disposed waste are to be recorded on

maps or diagrams.

     All stored waste is to be treated or disposed of prior to facil-

ity closure.  Thus, maps of waste treatment and storage locations are

required to be maintained during facility operation, but need not be

submitted upon proper facility closure.  Submission of waste disposal


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location maps upon closure  should  not  be  burdensome.   Consequently,

the Agency in the final  rule has deleted  the  requirement  for submis-

sion of cumulative waste management  information  to EPA upon facility

closure, but has retained the  requirement that waste  disposal loca-

tion records be turned over to EPA upon closure.

     The Agency has  added the  requirement to  this rule that the

records of waste disposal locations  also  must be turned over to the

local land authority upon closure  of a disposal  facility  (see Closure

and Post-closure background document for  further discussion).

     The final rule  for  availability,  retention, and  disposition of

records reads as follows:

§264.74  Availability, Retention,  and  Disposition of  Records

     (a)  All records, including plans, required under this Part must
          be furnished upon request, and  made available at all rea-
          sonable times  for inspection, by any officer, employee, or
          representative of EPA who  is  duly designated by the Admin-
          istrator.

     (b)  The retention  period for all  records required under this
          Part is extended  automatically  during  the course of any
          unresolved enforcement action regarding the facility or as
          requested  by the  Administrator.

     (c)  A copy of  records of waste disposal locations and quanti-
          ties under §264.73(b)(2) must be submitted  to the Regional
          Administrator  and local  land authority upon closure of the
          facilityfsee. £  ->-63' "
-------
§265.74  Availability, Retention, and Disposition of Records

      (a)  All records, including plans, required under  this Part must
          be furnished upon request, and made  available at  all  rea-
          sonable times for inspection, by any officer,  employee, or
          representative of EPA who is duly designated  by the Admin-
          istrator.

      (b)  The retention period for all records required under this
          Part is extended automatically during the course  of any
          unresolved enforcement action regarding the facility  or as
          requested by the Administrator.

      (c)  A copy of records of waste disposal  locations  and quanti-
          ties under §265.73(b)(2) must be submitted to  the Regional
          Administrator and local land authority upon closure of the
          facility (see §265.119).

H.  General Reporting Issues

Issue #1:  Integration with State Programs

Summary of Comments

      1.  The reporting requirements should be deleted if the State
         has assumed the responsibility for regulating hazardous
         waste facilities.

      2.  In States with authorized programs, the reports should
         be sent to the applicable State agency, rather than to
         the Regional Administrator.

      3.  EPA should be responsible for sending copies of the
         facility's reports to the officials of the municipality
         where the facility is located.

Response

     The first two commenters apparently did not realize that the

proposed rules are Federal regulations which,  when promulgated,

will apply only to facilities in States which do not have authorized

hazardous waste programs.   If a State has an authorized program,  then

the facilities in the State are subject to the reporting regulations
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prescribed by the  State,  and not to the Federal regulations  promul-

gated under  Section 3004 of RCRA.  Thus, facilities in States  with

authorized RCRA programs are not subject to any of the reporting

requirements specified in the proposed or final rules.  For  these

facilities,  owners or operators will be required to submit reports to

the director of the State program, who will in turn forward  portions

of the  data  collected in these reports to the Regional Administrator.

     The  Agency agrees that it may be desirable for local officials

to be familiar  with the information contained in the reports submit-

ted to  the Regional Administrator.  However,  the Agency believes that

it is the local officials'  responsibility to  obtain this information,

if desired.  The reports submitted to the Agency are available to

local officials (pursuant to the Freedom of Information Act),  so

that any  official desiring this information in most cases can  obtain

a copy  of a  facility's report by requesting it from EPA.

Issue #2:  Joint Filing of Reports

Summary of Comments

     1.   Fii-s  with more than one site should be allowed to  submit
          reports for all sites.

     <..   The regulations should allow for an Assumption of Duties
          Contract between the generator and the facility owner or
          operator whereby legal responsibility for complying with
          the reporting requirements can be allocated to the  owner
          or  operator.

Response

     If a corporate headquarters maintains the records for the

various facilities it controls, both the proposed and final  rules


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allow the firm's headquarters to submit reports for each of  its  fa-




cilities.



     The Agency cannot regulate nor prohibit owners or operators  from




assuming responsibility for the generator's reporting requirements,




if owners or operators choose to do so.  Contract law provides the




appropriate mechanism  for owners or operators to assume the  genera-




tor's reporting requirements.  If, however, the generator's  contrac-




ted duties are not performed, the generator will be held responsible




for not complying with the RCRA reporting requirements.




Issue #3:  Simplify the Reporting Requirements




Summary of Comments




     The reporting requirements are too complicated because  there are




too many variations (e.g., quarterly vs. annual reporting, on-site




vs. off-site management, manifested vs. unmanifested waste,  etc.) and




too many details.  For this reason, the regulations should be revised




by reducing the number of variations and eliminating unnecessary de-




tails.



Response




     The proposed rules contained different reporting requirements




under differen t circumstances because the information which  is avail-




able and necessary varies in different circumstances.   For example,




the information which can be readily obtained on manifested waste




differs from that obtainable for unmanifested waste (e.g., the name




of the generator or the identity of the waste may be unknown in
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the latter case).  The proposed  regulations  were  designed to reflect



this difference in the availability  of  information.




     Similarly, the frequency  of the reporting  requirements differed




in the proposed rules because  the Agency's need to readily know




about the disposition of waste varies under  different circumstances.




(Compare the Agency's rationale  for  the proposed  quarterly reporting




requirement for unmanifested waste—in  Section  K.2 of this document—




and the rationale for the  proposed annual reporting requirement—in




Section K, "Frequency of Reports," in the background document enti-




tled "Section 3002 - Standards Applicable to Generators of Hazardous



Waste."]




     However, the proposed rules have been modified to delete the




proposed §250.23(d) requirements for waste managed on-site.  Since




these requirements were similar  to those proposed in §250.43-5(c) for




waste managed off-site, the Agency consolidated these requirements in




the final rules, so that the final §§264.75-264.77 reporting require-




ments apply to waste managed both off-site and  on-site.  The Agency




believes that this modification  is consistent with the commenter's




request for simpler standards.




I.  §264.75 -  Annual Report




1.   Synopsis of Proposed  Regulation



     The proposed rules required that owners or operators file an




annual report summarizing  the  information contained on the manifests




   delivery documents corresponding  to  the incoming waste received at
or
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the facility during the reporting year.  The report was to be sent to

the Regional Administrator within four weeks after the closing date

of the reporting year, and was to contain the following information:

     -  the identification code, name, and address of the facility

     -  the closing date of the reporting year

     -  the identification code of each generator from which waste
        was received during the reporting year (for international
        shipments, the name and address of the generator was also
        required);

     -  the name, common code and quantity of each waste received
        from each generator (the quantity was to be reported in
        pounds, tons, gallons, or cubic yards)

     -  the method used to manage each waste

     -  a statement which certified that the report was true,
        accurate, and complete

2.   Rationale for the Proposed Regulation

     Because the proposed reporting requirements for off-site facil-

ities (as prescribed in §250.43-5(c)(5)) were comparable to those

for on-site facilities (as prescribed in §250.23(d)),  the rationale

for the frequency and content of the proposed reporting requirements

for both types of facilities is the same.  Therefore,  refer to the

rationale for the proposed reporting requirements of §250.23(d), as

described in Section K of the background document entitled "Section

3002 - Standards Applicable to Generators of Hazardous Waste", for

the rationale for the proposed reporting requirements  of §250.43-

5(c)(5).
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3.   Comment Analysis  and  Response

Issue #1:  Frequency of  the Reporting Requirement

     The response  to the comments suggesting intervals  other  than

that specified  in  the  standard (e.g., quarterly vs.  annually)  for the

filing of the reports  to the Regional Administrator,  is contained in

Section  K,  "Frequency  of Reports," in the background document  enti-

tled "Section 3002 -  Standards Applicable to Generators of Hazardous

Waste."

Issue #2:   Applicability of the Standard

Summary  of  Comments

      1.   The standard should be deleted because it duplicates  the
          requirements  of proposed §250.23.

      2.   The Agency should clarify that the standard only refers
          to hazardous waste received off-site and only applies to
          waste  shipments accompanied by a manifest.

Response

      The reporting requirements of proposed §250.23(d) only applied

 to on-site facilities.  The reporting requirements of proposed

 §250.43-5(c)(5), on the other hand,  only applied to off-site facil-

 ities.   Because the two standards applied  to different types of fa-

 cilities, the  proposed  standards were not  duplicative.  However,  the

 Agency has consolidated the reporting requirements for waste managed

 at off-site and on-site facilities in the  final  Section 3004 rules.

 Therefore, proposed §250.23(d) has been  deleted  from the  final rules.

      The final §264.75  reporting  requirements  apply to both off-site

 and on-site facilities.   Since manifests  are not required for waste


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both generated and managed on-site, the final rules do not specify




that §264.75 applies only to waste movements accompanied by a mani-




fest.




Issue #3:  Submission of Manifests in Lieu of The Annual Report




     The response to the comment suggesting the transmittal of




manifests, in lieu of the annual report, is addressed in Section K,




"Adequacy of Reports", in the background document entitled "Section




3002 - Standards Applicable to Generators of Hazardous Waste".




Issue #4;  Delivery Document




Summary of Comments




     The phrase "or delivery document" should be deleted from the




standard.




Response




     The phrase "or delivery document" has been deleted throughout




the final RCRA Subtitle C rules.  The rationale for the inclusion




of the phrase in the proposed rules,  and the exclusion of the phrase




from the final rules, is contained in the Background Document enti-




tled "Section 3003 - Standards Applicable to Transporters of




Hazardous Waste".




Issue #5:  Exemptions to Reporting



Summary of Comments




     Facilities  which treat waste on-site (e.g., neutralization




processes)  should be exempt from the  reporting requirements because




the resulting information will be of  questionable value.
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 Response

      One of the purposes  of  the  reporting requirements  is  to enable

 the Agency to ascertain the  quantity and  disposition of hazardous

 waste generated in  the United  States.   In order  to  develop an accu-

vrate accounting of  all hazardous waste  generated in the country, the

 Agency must receive reports  on all waste  managed at all facilities,

 including waste treated at on-site facilities.   Therefore, the Agency

 rejects the suggestion  to exempt from the reporting requirements fa-

 cilities which treat waste on-site.

 Issue #6;  Submission of  the Annual  Report

 Summary of Comments

      1.  The proposed turnaround time of  four weeks from the end of
          the reporting year  to the time when the annual report must
          be submitted to  the Agency  is  too short because:

         -   most  large  firms will require more than four weeks to
             prepare the annual report;

             the paperwork burden of  the report is so great that the
             operation of  the facility will have  to  be stopped in
             order to complete  the report  if the  required turnaround
             time  is only  30  days;

             four  weeks does  not  allow sufficient time for the return
             of recent manifests.

      2.   EPA should provide a standardized form amenable to key
           punch for annual reporting.

 Response

      The Agency agrees  that  more than 30  days may be needed to com-

 pile the information needed  to complete the facility annual report.

 The owners or operators of both  on-site and off-site facilities may
                                     8-5

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be generators of hazardous waste sent elsewhere, as well as disposers

of hazardous waste.  To allow waste generators sufficient time to

collect all manifests to file their annual report, the final Section

3002 rules allow 60 days, rather than 30 days, from the end of the

calendar year to file the annual report.*  In order to be consistent

with the reporting requirements for waste generators, and to avoid

confusion and unnecessary burden, the deadline for submitting the

annual report for waste management facilities has also been extended

to 60 days.

      The Agency agrees that the report form should be made amenable

to key punch in order for the Agency to more readily utilize the data

collected on the report forms.  Therefore, the report form in the

final rules has been designed for this purpose.

Issue #7:  Inability of The Owner or Operator to Fill Out Sections
           of Annual Report Form

Summary of Comments

     1.  The owner or operator may be unable to fill out the part
         of the form designating the generator of the waste because
         this information is protected through State health depart-
         ment confidentiality rulings.


     2.  The quantity of waste managed at the facility cannot be
         determined by the owner or operator due to:


             variations in the means of measurement (e.g.,  tons,
             barrels, gallons);
*See Section K, "Frequency of Reports," in the background document
 entitled "Section 3002 - Standards Applicable to Generators of
 Hazardous Waste," for a further explanation for the extension of
 the deadline for returning annual reports at on-site facilities.
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         -   inability to accurately measure at  the disposal site:
             and

             the cost of such measurements  in  terms of manpower
             and employee exposure  to  the waste.

         Since the generator is being  charged  for the quantity
         of waste designated on the accompanying manifest, it is
         unlikely that materials  listed on  the manifest will be
         diverted.

Response

     1.  Section 3007(b) of RCRA  provides that information obtained

under Section 3007(a) authority may be treated as confidential if it

     concerns or relates to trade secrets,  processes, opera-
     tions, style of work, or apparatus, or to the identity,
     confidential statistical data, amount  or source of any
     income, profits, losses, or  expenditures of any person,
     firm, partnership, corporation, or association; [18
     U.S.C. §1905]

EPA has protected such information  through  the regulations of 40 CFR

Part 2, which provides that information which companies indicate

they wish treated as confidential will be released only if EPA finds,

among other things, that the release of this information is not

"likely to cause substantial harm to the company's competitive posi-

tion" [40 CFR §2.208(a)(l)].

     Although the Agency does not believe that the identity of the

generator would satisfy the above criteria  for information to be

treated as confidential, EPA's regulations  do not prohibit companies

from asserting claims for confidentiality for such information.

     If a company indicates that  it considers confidential the iden-

tity of the generator, and EPA finds that this information should not
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be protected, then the RCRA requirement that all manifests be signed

by the generator will supersede any State regulation which protects

the identity of the generator.  Because the Agency believes that few

such claims for confidentiality will be upheld, the Agency expects

that as soon as the RCRA rules become effective, owners or operators

will be able to designate the generator of the manifested waste on

the report form.

     2.  See response to Issue #7:  "Use of Estimated Quantities" in

Section IV.F.2.—"Recordkeeping - Content of Operating Record—of

this document.

Issue #8:  Units of Measurement

Summary of Comments

     1.  EPA should allow the use of metric units in reports

     2.  "Cubic feet" should be added to the list of units designated
         in the standard

Response

     1.  The Agency agrees that the use of the metric system should

be encouraged, and the Agency will use metric units.  Therefore, the

final rules have been revised to allow owners or operators to report

the quantity of waste managed at the facility by weight in metric

units or English units.

     2.  See response to Issue #5:  "Quantity Descriptions" in Sec-

tion IV.F.2—"Recordkeeping - Content of Operating Record"—of this

document.
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Issue #9;  Additions  to  the  Standard

Summary of Comments

     The following reporting requirements  should  be  added  to the

standard:

     1.  The volume and  type of waste stored  at facilities;*

     2.  The location, volume,  and type of waste  disposed  in secure
         landfills;*

     3.  Surface water monitoring  data.

Response

     Proposed  §250.43-5(c)(5)(iii)(E)  required owners or operators

to report the  volume  of  waste received from each  generator.  Proposed

§250.43-5(c)(5)(iii)(G)  required owners  or  operators to report the

method used to treat, store,  or dispose  the waste received at fa-

cilities.  Taken together, these two  standards required that owners

or operators report the  volume  of  each waste  stored at facilities.

Therefore, the commenters1 suggestion  to require  the reporting of the

volume and type of waste stored at facilities was already required in

the proposed rules.

     Proposed  §§250.45-2(b)(3)  and 250.43-5(b)(l) required that the

location of each hazardous waste be recorded  in the facility's oper-

ating log.  In addition,  proposed  §250.43-7(1) required that, within
*The commenters also suggested  that the reporting requirements for
 stored and landfilled waste (1 and 2 above) should be submitted
 quarterly.  This aspect  of the commenters1 suggestions is addressed
 in Section K, "Frequency of Reports," in the background document en-
 titled "Section 3002-Standards Applicable to Generators of Hazardous
 Waste."
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180 days after completion of closure, owners or operators must submit

a survey plat to the local land authority and to the Regional Admin-

istrator which indicates the type and location of the hazardous waste

disposed of in their landfills.  The Agency believes that these re-

quirements provide EPA with adequate access to information regarding

the content of hazardous waste landfills, so that the additional

reporting requirement suggested by the commenters is unnecessary.

     Because the standards prescribed under the Clean Water Act (CWA)

already include provisions for the monitoring of discharges to navi-

gable waters, it would be duplicative for EPA to establish surface

water monitoring standards under Subtitle C of RCRA for facilities

regulated under the CWA.  Therefore, because no monitoring require-

ments for surface water have been included in the final RCRA rules,

no reporting requirements for surface water monitoring data have been

added to the final reporting standards.

Issue #10;  Certification Statement

Summary of Comments

     1.  The phrase "to the best of my knowledge" should be inserted,
         and the word "personal" sho Id be deleted, from the proposed
         certification statement because:

             the person signing the certification may not have com-
             piled the actual information reported, and thus, will
             not have "^rsonal knowledge of each of the many pieces
             of information reported.

             the proposed wording of the statement places the indi-
             vidual who signs the report in the position of being
             criminally liable for errors beyond his control.  In
             many instances, an error could be made even though
             there was a good faith effort to submit accurate in-
             formation.

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     2.   The ^sentence "I am aware that  there are significent pen-
         alties^for submitting  false  information,  including the
         possibility of fine and imprisonment" should be deleted
         from the statement because the sentence is:

             unnecessary, since it is evident that anyone who
             knowingly submits a false  report to the Federal
             government is subject to significant  penalties.

             offensive and, therefore,  uncalled for.

     3.   Owners or operators should be  required to certify that
         they have properly disposed of all waste committed to
         them.

Response

     The Agency agrees that the certification statement should

reflect, to the extent possible, the signer's personal knowledge of
                                                    »
the truth, accuracy and completeness of the submission.  The owner

or operator or his authorized representative may not have firsthand

knowledge of the truth, accuracy, and completeness of the information

submitted.  Accordingly, the Agency has changed the certification

statement on the annual report to require the owner or operator or

his authorized representative to state that "based on my inquiry of

those individuals immediately responsible for obtaining the informa-
        ;' ^
tion, I  believe that the information is true, accurate, and com-

plete."   This formulation, adopted from EPA's NPDES regulations,

recognizes both the limits of the signer's personal knowledge and

the Agency's need for accurate and complete information.  It allows

the owner or operator to respond on the basis of his belief, but sets

forth precisely what the basis of that belief must be.
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     The Agency disagrees with the commenter's suggestion to delete




from the certification statement:  "I am aware that there are sig-




nificant penalties for submitting false information, including the




possibility of fine and imprisonment."  The Agency included this




sentence in the statement to impress upon the signer the necessity




for submitting complete and accurate information.  The Agency be-




lieves that some owners or operators may not realize that the knowing




submission of false information to EPA may subject the signer to sig-




nificant penalties.  Therefore, the sentence has been retained in the




certification statement in the final rules.




     The Agency believes that it is unnecessary to amend the certi-




fication statement to include a statement that the owner or operator




has properly managed all the waste committed to him.  The Agency has




designed the Annual Report to be useful for gathering essential in-




formation on the activities of persons handling hazardous wastes.




This information will be used in implementing the Federal hazardous




waste program.  Although the Annual Report will prove valuable in




developing enforcement strategies and, perhaps, in indicating par-




ticular targets for enforcement actions, the Report is not primarily




intended or designed as an enforcement tool.  Other mechanisms exist




which are specifically tailored for enforcement needs.  These include




unmanifested waste reports filed by the owner or operator and excep-




tions reports filed by generators.
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     The certification statement  on  the Annual  Report  is  intended to

impress upon the signer  the  necessity  for providing  good  information.

The statement was drafted  to ensure  that  the  signer  take  serious

steps to verify the truth, accuracy, and  completeness  of  the report.

Among the information so certified is  the signer's statements con-

cerning the quantities of  waste handled and their disposition.  If

he reports that 100 drums  of waste X were stored, it is assumed that

the 100 drums were stored  in accordance with  the terms and conditions

of his permit.  The statement cannot,  however,  realistically serve

as the owner's or operator's voucher that all the waste that he has

treated, stored, or disposed of in the past year was handled prop-

erly.  If EPA learns of  improper  management,  its enforcement action

will be based primarily  on the improper activities rather than the

falsity of the report.   To require the suggested certification state-

ment would not increase  EPA's information on  improper practices, nor

would it provide a strong  basis for an enforcement action.

4.  Final Rule

§264.75  Annual Report

     The owner or operator must prepare and submit a single copy of
an annual report to the  Regional  Administrator  by March 1 of each
year.  The report form and instructions in Appendix II must be used
for this report.  The annual report must  cover  facility activities
during the previous calendar year and  must include the following
information:

     (a)  The EPA identification  number,  name,  and address of the
          facility;
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     (b)   The calendar year covered by the report;.

     (c)   For off-site facilities,  the EPA identification number of
          each hazardous waste generator from which the facility
          received a hazardous waste during the year;  for imported
          shipments, the report must give the name and ad dress of
          the foreign generator;

     (d)   A description and the quantity of each hazardous waste
          the facility received during the year.  For  off-site fa-
          cilities, this information must be listed by EPA identi-
          fication number of each generator;

     (e)   The method of treatment,  storage, or disposal for each
          hazardous waste; and

     (f)   The certification signed  by the owner or operator of the
          facility or his authorized representative.

     The final interim status standards at §265-75 references addi-

tional sections which are not included in the Phase I  Part 264 reg-

ulations :

§265.75  Annual Report

     The owner or operator must prepare and submit a single copy of
an annual report to the Regional Administrator by March 1 of each
year.  The report form and instructions in Appendix II must be used
for this report.  The annual report must cover facility activities
during the previous calendar year and must include the following
information:

     (a)   The EPA identification number, name, and address of the
          facility;

     (b)   The calendar year covered by the report;

     (c)   For off-site facilities,  the EPA identification number of
          each hazardous waste generator from which the facility
          received a hazardous waste during the year;  for imported
          shipments, the report must give the name and address of the
          foreign generator;
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     (d)   A description and the quantity of each hazardous waste
          the^facility^received during the year.  For off-site fa-
          cilities, this information must be listed by EPA identi-
          fication number of each generator;

     (e)   The method of treatment, storage, or disposal for each
          hazardous waste;

     (f)   Monitoring data under §265.94(a)(2)(ii) and (iii), and
          (b)(2), where required;

     (g)   The most recent closure cost estimate under §265.142,  and,
          for disposal facilities, the most recent post- closure cost
          estimate under §265.144; and

    --{h)   The certification signed by the owner or operator of the
          facility or his authorized representative.

J.  §264.76 - Unmanifested Waste Report

1.   Synopsis of Proposed Regulation

     The  proposed standard required that owners or operators file a

quarterly report to the Regional Administrator describing hazardous

waste received at the facility not accompanied by a manifest or  de-

livery document, unless the waste was not required to be accompanied

by a manifest or delivery document because of the generator exemp-

tions provided in proposed §250.29 of the Section 3002 regulations.

The quarterly report was to contain the following information:

         the identification code, name, and address of the facility

         the closing date of the reporting year

         the word "unmanifested" in the column entitled "Manifest
         Document Number"

         the name and address of the generator, if known, or the
         transporter

     -   the DOT shipping name, if applicable, or the EPA name
         (as listed in Subpart A) for the waste


                                  95

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         the quantity of each waste received (the quantity was
         to be reported in pounds, tons, gallons, or cubic yards)

         a statement which certified that the report was true,
         accurate, and complete

         an explanation, if known, as to why the shipment was
         unmanifested

2.   Rationale for the Proposed Regulation

     The Agency believes that facility owners or operators should be

allowed to accept unmanifested hazardous waste.  In the Agency's

view, it is more protective of human health and the environment for

unmanifested hazardous waste to be accepted by a responsible facility

and properly managed, than to reject the waste and face the possibil-

ity of its improper disposal elsewhere.  However, the owner or opera-

tor is not required to accept unmanifested hazardous waste.

     The Agency wants to have records of how this waste is managed,

if it is accepted.  Furthermore, because of the uncertainty asso-

ciated with unmanifested hazardous waste, the Agency wants to know

as much as it can about the waste, as soon as possible.  Prompt sub-

mission of the details regarding unmanifested waste will enable the

Agency to ensure that the facility is managing the waste (with which

the facility may have limited management experience) in an appropri-

ate manner, and will also allow the Agency to detect any suspicious

patterns of unusually high incidences of unmanifested waste in par-

ticular areas.  Such incidences should be infrequent, since it is

illegal to transport hazardous waste without a manifest.  The latter
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type of information would be helpful  in tracking  down hazardous waste

generators who may be  attempting to avoid the  system, and would be

used by the Agency to  develop  enforcement actions against the gener-

ator.

3.   Comment Analysis  and Response

Issue #1:  Ban/Restrict  the Acceptance of Unmanifested Waste

Summary of Comments

     1.  Facilities  should  not be allowed to accept unmanifested
         hazardous waste.

     2.  Facilities  should  only be  allowed to  accept unmanifested
         waste  in severe emergencies.

Response

     As explained in the rationale  for the proposed rule, the Agency

believes that  there  are  legitimate  reasons why owners or operators

should be allowed to accept this type of waste.   If rejected, the

waste may be abandoned along  the side of a road.   The waste must be

managed eventually and,  thus,  should  be accepted  at facilities.

     The Agency agrees that the receipt of unmanifested waste should

not  be a normal operating procedure.   However,  the Agency does not

agree that unmanifested  waste  should  only be allowed to be accepted

in severe emergencies.  In  the example of the  abandonment of waste

along a roadside, such an  incident  may not pose an imminent threat

to human health and  the  environment (since the severity of the sit-

uation is dependent  upon the  character of the  abandoned waste), but

the  Agency believes  that it is preferable to transport the waste to
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a facility as soon as possible, rather than leave the waste along the

side of the road.  Therefore, the Agency rejects the suggestion to

allow owners or operators to accept unmanifested waste in only severe

emergencies.

Issue #2:  Delete the Requirement for Unmanifested Waste Reports

Summary of Comments

     The requirement should be deleted because:

         it is burdensome, unnecessary, and submitted so infrequently
         as to make the information of little or no value to the
         Agency

         the owner or operator will have to run all of the toxicity
         tests on each shipment in order to determine which shipments
         are hazardous

Response

     The Agency disagrees that the information contained in the re-

ports is useless.  The discussion of the rationale for the standard

explains why the Agency believes this information is valuable.  The

Agency recognizes that, in some cases, it may be impossible for own-

ers or operators to identify the source of unmanifested waste re-

ceived at facilities.  Therefore, the final rules have been reworded

to specify that this information only has to be reported if it is

available.  Nevertheless, the waste analysis standards of §264.13

require that owners or operators must obtain sufficient information

on the composition and properties of waste received at the facility

in order to manage the waste in accordance with the Section 3004

standards.  Therefore, although owners or operators may be unable to
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identify the source of unmanifested waste  received  at  the  facility,




they are required  to  analyze  all  incoming  waste  (including unmani-




fested waste) to the  extent necessary  to obtain  sufficient infor-




mation to manage the  waste in compliance with  the Section  3004



standards.




Issue #3:  The Frequency  of the Requirement




     The proposed  rules required  that  reports  on unmanifested waste




must be filed quarterly.  The Agency believed  at that  time that




quarterly reporting of unmanifested shipments  of waste provided a




reasonable trade-off  between  the  Agency's  need to quickly know about




this type of waste, and the owner's or operator's desire to operate




his facility without  having to constantly  submit reports to the




Regional Administrator.




     Commenters suggested that the report  to the Regional Administra-




tor should be made annually instead of quarterly, but gave no ratio-




nale for this suggestion.



     Upon review of this  issue, the Agency has decided that unman-




ifested waste reports should  be submitted  on a case-by-case basis,




rather than quarterly as  proposed, or  annually as suggested by the




commenters.  As noted above,  submission of these reports should be




infrequent, and, therefore, not burdensome.  To  maximize the useful-




ness of the reports for enforcement purposes,  the reports  should be




submitted to EPA soon after the manifested waste is received.  There-




fore, in the final rules, the frequency of the reporting requirement




is specified as "within 15 days after  receiving  the waste."




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     Small quantities of hazardous waste are excluded from regulation

under this Part and do not require a manifest.  Where a facility

receives unmanifested hazardous wastes, it may be difficult for the

facility owner or operator to determine whether an unmanifested waste

report should be filed.  In such cases, the Agency suggests that the

owner or operator obtain from each generator a certification that the

waste qualifies for exclusion.  Otherwise, the owner or operator

should file an unmanifested waste report for the hazardous waste

movement.

Issue #4;  Applicability of the Requirement

Summary of Comments

     The standard should apply only to facilities that receive waste

generated off-site.

Response

     Since manifests are not required for waste managed on-site, the

proposed standard only applies to facilities that receive unmani-

fested waste generated off-site.  This includes on-site facilities

which might, in an emergency, accept unmanifested waste generated

off-site.

4.  Final Rule

§264.76  Unmanifested Waste Report

     If a facility accepts for treatment, storage, or disposal any
hazardous waste from an off-site source without an accompanying
manifest, or without an accompanying shipping paper as described in
§263.20(e)(2) of this Chapter, and if the waste is not excluded from
the manifest requirement by §261.5 of this Chapter, then the owner or
operator must prepare and submit a single copy of a report to the


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Regional Administrator within 15  days  after receiving  the waste.  The
report form and  instructions  in Appendix II must  be  used for  this
report.  The report must  include  the following  information:

     (a)  The EPA  identification  number,  name,  and address of the
          facility;


     (b)  The date the facility received the waste;


     (c)  The EPA  identification  number,  name,  and address of the
          generator and the transporter,  if available;

     (d)  A description and the quantity of each  unmanifested
          hazardous waste the facility received;


     (e)  The method  of treatment,  storage,  or  disposal for each
          hazardous waste;


     (f)  The certification signed  by  the owner or operator of the
          facility or his authorized representative; and

     (g)  A brief  explanation of  why the waste was unmanifested, if
          known.


     The final interim status standard at §265.76 is identical to the

above.

K.  §264.77 - Additional  Reports

1.   Synopsis of Proposed Regulations

     In addition to the annual and  unmanifested waste reporting re-

quirements, §250.43-5(c)  of the proposed  rules also contained stan-

dards which required  that owners  or operators report:

         fires, explosions, and discharges or releases of hazardous
         waste immediately, as specified  in  proposed §250.43-3(c)(i);

         ground-water monitoring  data  to  the Regional Administrator
         on a quarterly basis,  as specified  in proposed §250.43-
         8(c)(4) and  (d)(l);  and

         before facility  close-out  or  before facility closure to the
         Regional  Administrator,  as  specified in proposed §250.43-7.
                                    101

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2«   Rationale for the Proposed Regulations

     The purpose of the regulations was to gather all of the proposed

Section 3004 reporting requirements into one section of the regula-

tions so that owners or operators could refer to one place to deter-

mine the reporting requirements with which they must comply.  The

rationale for each of the reporting requirements referenced in pro-

posed §250.43-5(c) is provided in the background documents pertaining

to the sections of the proposed regulations in which the referenced

standards are contained.

3.   Comment Analysis and Response

jssue #1:  Reporting Incidents

Summary of Comments:

     1.  The requirement to report fires, explosions, and discharges
         should be deleted because It duplicates the reporting
         requirements prescribed under the Toxic Substances Control
         Act (TSCA).

     2.  The phrase "outside the facility" should be inserted in the
         standard.

Response

     The reporting requirements under TSCA apply only to toxic sub-

stances. The reporting requirements prescribed under Subtitle C of

RCRA apply to waste which is listed or meets the characteristics

described in Section 3001 rules.  These characteristics include not

only toxicity, but also ignitability, reactivity, and corrosivity.

Thus, the universe of substances controlled under RCRA overlaps with,

but is not identical to, those substances regulated under TSCA.
                                    102

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Therefore, because  the  reporting requirements prescribed under  TSCA

are not an adequate substitute for the RCRA reporting requirements,

the Agency rejects  the  commenter's suggestion to delete  the  standard.

     The Agency  has adopted the commenter's suggestion by inserting

the phrase "outside the facility" in the emergency procedure regula-

tions  (see §264.56(d)  and the background document on contingency  plan

and emergency procedures) for reporting incidents which  could threat-

en human health, or the environment, outside the facility.   Reports

under  §264.56(j), however,  are required for any incident that re-

quires  implementing the contingency plan.

Issue  #2;  Reporting Ground-water Monitoring Data

Summary of Comments

     1.  Annual  reports of ground-water monitoring data  should  be
         sufficient to bring changes evidenced by monitoring to
         the attention of the EPA.

     2.  Reporting  of routine monitoring should be on an annual
         basis to reduce the quantity of paperwork associated
         with the reporting requirements.

     3.  A semiannual or an annual reporting of monitoring data
         should  be  sufficient if variations are reported within
         seven days of such a finding*

Response

     The frequency  of reporting requirement for routine  ground-water

monitoring data  has been changed from quarterly to annual reporting

in the final rule.   Significant variations  in such data  must be

reported within  seven days.  The response to comments received  on

this issue is contained in the background document on ground-water


monitoring.
                                     103

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Issue #3:  Reporting Closeout and Closure of the Facility

Summary of Comments

     The standard should be reworded to specify that "owners or

operators must notify the Regional Administrator prior to closeout

and prior to closure in accordance with the time schedule specified

in §250.43-7" because:

         use of the defined terms "closeout" and "closure" will
         lend more certainty to the meaning of the provision; and

         specific reference to the time schedule will clarify that
         it is the only portion of §250.43-7 being referenced.

Response

     Closure requirements are not included in the Phase I Part 264

regulations.  The Agency's response, therefore, applies to the Part

265 interim status standards.

     The Agency agrees that use of the term "closure" in the standard

lends clarity to the meaning of the provision.  Therefore, the stan-

dard has been changed accordingly.  The term "close-out" is no longer

used in any of the Section 3004 standards.

     The Agency agrees that, instead of referring to all of the

closure standards, the final reporting standards should refer only

to the section of the closure standards in which the reporting re-

quirements—and the time schedule—for notification of closure are

specified.  Accordingly, the final §265.77 reporting standards refer

to §265.115 of the final closure standards.
                                    104

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4.  Final Rule

§264.77  Additional Reports

     In addition to submitting  the  annual  report and unmanifested
waste reports described  in §§264.75 and  264.76, the owner or operator
must also report to the  Regional Administrator releases, fires, and
explosions as specified  in §264.56(j).

     The final interim status standard at  §265.77 references addi-

tional sections which  are not included in  the Phase I Part 264 regu-

lations:

§265.77  Additional Reports

     In addition to submitting  the  annual  report and unmanifested
waste reports described  in §§265.75 and  265.76, the owner or operator
must also report to the  Regional Administrator:

     (a)  Releases, fires, and  explosions  as specified in §265.56(j);

     (b)  Ground-water contamination and monitoring data as specified
          in §§265.93  and 265.94; and

     (c)  Facility closure as specified  in §265.115.

L.  Appendices to the  Regulation

     In order to make  the regulations clearer, the Agency in these

final rules has moved  recordkeeping details to Appendix I of the

regulation, and the reporting form  and instructions to Appendix II of

the regulation.  TLjse appendices for Part 265 are more comprehensive

than those  for Phase I of Part  264,  since  Part 265 addresses addi-

tional provisions not  included  in the Phase I Part 264 regulations.

Otherwise,  the two sets  of Appendices are  very similar.  Appendices I

and II for Part 265 follow.
                                 105

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                              APPENDIX I

                     RECORDKEEPING INSTRUCTIONS


     The recordkeeping provisions of §265.73 specify that an owner or

operator must keep a written operating record at his facility.  This

appendix provides additional instructions for keeping portions of the

operating record.  See S265.73(b) for additional recordkeeping

requirements.

     The following information must be recorded, as it becomes avail-

able, and maintained in the operating record until closure of the

facility in the following manner:
                                    «
     Records of each hazardous waste received, treated, stored, or
     disposed of at the facility which include the following:

          (1)  A description by its common name and the EPA Hazardous
          Waste Number(s) from Part 261 of this Chapter which apply
          to the waste.  The waste description also must include the
          waste's physical form, i.e., liquid, sludge, solid, or con-
          tained gas.  If the waste is not listed in Part 261, Sub-
          part D, of this Chapter, the description also must include
          the process that produced it (for example, solid filter
          cake from production of 	, EPA Hazardous Waste Number
          W051).

               Each hazardous waste listed in Part 261, Subpart D, of
          this Chapter, and each hazardous waste characteristic
          defined in Part 261, Sufapart C, of this Chapter, has a
          four-digit EPA Hazardous Waste Number assigned to it.
          This number must be used for recordkeeping and reporting
          purposes.  Where a hazardous waste contains more than one
          listed hazardous waste, or where more than one hazardous
          waste characteristic applies to the waste, the waste
          description must include all applicable EPA Hazardous Waste
          Numbers.

          (2)  The estimated or manifest-reported weight, or volume
          and density, where applicable, in one of the units of mea-
          sure specified in Table 1; and


                                   106

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(3)  The method(s) (by handling code(s) as specified in
Table 2) and date(s) of  treatment, storage, or disposal.
                           107

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                               TABLE 1
Unit of Measure
Pounds
Short Tons (2000 Ibs)
Gallons (U.S.)
Cubic Yards
Kilograms
Tonnes (1000 kg)
Liters
Cubic Meters
Symbol *
P
T
G
Y
K
M
L
C
Density
—
—
P/G
T/Y
—
—
K/L
M/C
* Single digit symbols are used here for data processing purposes,
                                   108

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                               TABLE 2

             HANDLING CODES FOR TREATMENT, STORAGE. AND
                          DISPOSAL METHODS
     Enter the handling code(s) listed below that most closely

represents the technique(s) used at the facility to treat,  store,  or

dispose of each quantity of hazardous waste received.

1.   Storage

SOI  Container (barrel, drum, etc.)
S02  Tank
SOS  Waste pile
S04  Surface impoundment
805  Other (specify)

2.   Treatment
     (a)  Thermal Treatment

T06  Liquid injection incinerator
T07  Rotary kiln incinerator
T08  Fluidized bed incinerator
T09  Multiple hearth incinerator
T10  Infrared furnace incinerator
Til  Molten salt destructor
T12  Pyrolysis
T13  Wet air oxidation
T14  Calcination
T15  Microwave discharge
T16  Cement kiln
T17  Lime kiln
T18  Other (specify)

     (b)  Chemical Treatment

T19  Absorption mound
T20  Absorption field
T21  Chemical fixation
T22  Chemical oxidation
T23  Chemical precipitation
T24  Chemical reduction
T25  Chlorination
T26  Chlorinolysis
T27  Cyanide destruction


                                   109

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T28  Degradation
T29  Detoxification
T30  Ion exchange
T31  Neutralization
T32  Ozonation
T33  Photolysis
T34  Other (specify)

     (c)  Physical Treatment
          (1)  Separation of components

T35  Centrifugation
T36  Clarification
T37  Coagulation
T38  Decanting
T39  Encapsulation
T40  Filtration
T41  Flocculation
T42  Flotation
T43  Foaming
T44  Sedimentation
T45  Thickening
T46  Ultrafiltration
T47  Other (specify)

          (2)  Removal of Specific Compounds
   >
T48  Absorption-molecular sieve
T49  Activated carbon
T50  Blending
T51  Catalysis
T52  Crystallization
T53  Dialysis
T54  Distillation
T55  Electrodialysis
T56  Electrolysis
T57  Evaporation
T58  High gradient magnetic separation
T59  Leaching
T60  Liquid ion exchange
T61  Liquid-liquid extraction
T62  Reverse osmosis
T63  Solvent recovery
T64  Stripping
T65  Sand filter
T66  Other (specify)
                                    110

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     (d)  Biological Treatment

T66  Activated sludge
T68  Aerobic lagoon
T69  Aerobic tank
T70  Anaerobic lagoon
T71  Composting
T72  Septic tank
T73  Spray injection
T74  Thickening filter
T75  Tricking filter
T76  Waste stabilization pond
T77  Other (specify)
T78-T79   [Reserved]

3.  Disposal

D80  Underground injection
D81  Landfill
D82  Land treatment
D83  Ocean disposal
D84  Surface impoundment (to be closed as a landfill)
D85  Other (specify)
                                    111

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  Appendix II
EPA Report Form




      and




 Instructions
         112

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                                                                                     for generators or facilities before completing
                                                                        o
nformation requested herein is required by law


JSTALLATION'S EPA I.D. NUMBER
          PLEASE PLACE LABEL IN THIS SPACE
                                                                            ±ARTA; GENERATOR aHHUAL REPORT
                                                                                        	_	.	j-


                                                                          THIS REPORT IS FOR THE YEAR ENDING DEC.31. j | 9



                                                                         __    PART B; FACILITY ANNUAL REPORT
                                                                                THIS REPORT FOR YEAR ENDING DEC. 31,
                                                                            PARTC:  UNMANIFESTED WASTE REPORT
                                                                         THIS REPORT IS FOR A WASTE
                                                                            RECEIVED (day. ma., & yr.)
JAME OF INSTALLATION^!
                                    was
                                             i
                                                		   -    . ^f- *  •"- ^" ^.~  - ; J*< r -~_-^,r* I i'fc i* * •"•" 1|W ^h V^'TJ  * ^ ,' *• ^ ^ TT/_'4n"J' •• ' j3 J •i_M.i
-------
Please print or type with ELITE type
                                                                                             Form Approved OMB No. 158-ROOX.
                                                                                      XVII. FACILITY'S EPA 1.0. NO.

                                                                                      sT"
                                                                                      •Ml
                                                                                      G
FOR OFFICIAL.
  USE ONLY   >
 (Ittm* 1 * 3)
                                                         GENERATOR ADDRESS (street or P.O. box, city, ttate, & zip code)
 XVIII. GENERATOR'S EPA I.D
 XIX. GENERATOR NAME Specify)
 XXI. WASTE IDENTIFICATION
                                                                           B. EPA
                                                                        HAZARDOUS
                                                                          WASTE
                                                                          NUMBER
                                                                       (tee instructions)
                                                   U.S. ENVIRONMENTAL PROTECTION AGENCY
                                                   FACILITY REPORT - PARTS B & C
                                                (Collected under the authority of Section 3004 of RCRA.)
 10
 11
 12
                                                                    2»   -   31
                                                                              it   •   11
 EPA Form 8700-138 (5-80 i

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                        GENERAL INSTRUCTIONS
                       HAZARDOUS WASTE  REPORT
                          (EPA Form 8700-13)
IMPORTANT;  READ ALL  INSTRUCTIONS  BEFORE  COMPLETING THIS FORM
Section     TYPE OF HAZARDOUS WASTE  REPORT:
   I
            Part A:  Generator  Annual  Report

              For generators who  ship  their waste off-site to facili-
              ties which  they do  not own  or operate; fill in the
              reporting year for  this  report  (e.g., 1982).

NOTE;  Generators who  ship hazardous waste off-site to a facility
       which they own  or  operate  must  complete  the facility (Part B)
       report instead  of  the Part A  report.

            Part B;  Facility Annual Report

              For owners  or operators  of  on-site or off-site facili-
              ties that treat,  store,  or  dispose of hazardous waste;
              fill in  the reporting  year  for  this report (e.g.,
              1982).

            Part C;  Unmanifested Waste Report

              For facility owners or operators who accept for treat-
              ment, storage, or disposal  any  hazardous waste from an
              off-site source without  an  accompanying manifest; fill
              in the date the waste  was received at the facility
              (e.g., 04-12-1982).
Section
  II
 thru
Section
  IV
INSTALLATION I.D. NUMBER, NAME OF INSTALLATION,  AND
INSTALLATION MAILING ADDRESS:

  If you received a preprinted label from EPA,  attach it
  in the space provided and leave Sections II through IV
  blank.  If there is an error or omission on the label,
  cross out the incorrect information and fill  in the
  appropriate item(s).  If you did not receive  a pre-
  printed label, complete Section II through Section IV.
                                 115

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Section
   V
LOCATION OF INSTALLATION:

  If your installation location address is different than
  the mailing address, enter the location address of your
  installation.
Section
  VI
INSTALLATION CONTACT

  Enter the name (last and first) and telephone number of
  the person who may be contacted regarding information
  contained in this report.
Section
  VII
TRANSPORTATION SERVICES USED (For Part A reports ONLY)

  List the EPA Identification Number for each transporter
  whose services you used during the reporting year.
Section
 VIII
COST ESTIMATES FOR FACILITIES (For Part B reports ONLY)

     A.  Enter the most recent cost estimate for facility
         closure in dollars.  See Subpart H of 40 CFR
         parts 264 or 265 for more detail.

     B.  For disposal facilities only, enter the most
         recent cost estimate for post closure monitoring
         and maintenance.  See Subpart H of 40 CFR Parts
         264 or 265 for more detail.
Section     CERTIFICATION
  IX
              The generator or his authorized represents ive (Part A
              reports) or the owner or operator of the facility or
              his authorized representative (Parts B and C reports)
              must sign and date the certificatio  where indicated.
              The printed or typed name of the person signing the
              report must also be included where indicated.

NOTE:  Since more than one page is required for each report, enter
       the page number of each sheek in the lower right corner as
       well as the total number of pages.
                                 116

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                       FACILITY ANNUAL REPORT
                          PART B INSTRUCTIONS
                          (EPA Form 8700-13B)
Facility Annual Report  for  owners  or  operators of on-site or off-site
facilities that treat,  store, or dispose of hazardous waste.

NOTE:  Generators who ship  hazardous  waste off-site to a facility
       they own or operate  must complete this Part B report instead
       of the Generator (Part A) Annual Report.

IMPORTANT:  READ ALL INSTRUCTIONS  BEFORE COMPLETING THIS FORM
Section
 XVI
TYPE OF REPORT

  Put an "X" in the box marked Part B.
Section
 XVII
FACILITY'S EPA IDENTIFICATION NUMBER

  Enter the EPA identification number for your facility.

Example:  XVII FACILITY'S EPA I.D. NUMBER
            |M|A|D|3|8|3|1|2|6|4|8T7T
Section
 XVIII
Section
  XIX
GENERATOR'S EPA IDENTIFICATION NUMBER

  Enter the EPA identification number of the generator of
  the waste described under Section XXI which was
  received by your facility during the reporting year.  A
  separate sheet must be used for each generator.  If the
  waste came from a foreign generator, enter the EPA
  identification number of the importer in this section
  and enter the name and address of the foreign generator
  in Section XXII, Comments.  If the waste was generated
  and treated, stored, or disposed of at the same instal-
  lation, leave this section blank.

GENERATOR'S NAME

  Enter the name of the generator corresponding to the
  generator's EPA identification number in Section XVIII.
                                  117

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              If the waste was generated and treated, stored, or dis-
              posed of at the same installation, enter "ON-SITE."
              If the waste came from a foreign generator, enter    ^
              name of the importer corresponding to the EPA identifi-
              cation number in Section XVIII.
Section
  XX
GENERATOR'S ADDRESS

  Enter the address of the generator corresponding to the
  generator's EPA identification number in Section XVIII.
  If the waste was generated and treated,  stored, or dis-
  posed of at the same installation, leave this section
  blank.  If the waste came from a foreign generator,
  enter the address of the importer corresponding to the
  EPA identification number in Section XVIII.
Section
  XXI
WASTE IDENTIFICATION

  All information in this section must be entered by line
  number.  A separate line entry is required for each
  different waste or mixture of wastes that your facility
  received during the reporting, year.  The handling code
  applicable to that waste at the end of the reporting
  year should be reported.  If a different handling code
  applies to portions of the same waste (e.g.,  part of
  the waste is stored while the remainder was "chemically
  fixed" during the year), use a separate line entry for
  each portion.

Example:
XXI WASTE IDENTIFICATION
Line I A. DESCRIPTION
No. | OF WASTE
1. | Steel 'finishing sludge
2. | Steel finishing sludge
|B. HAZARDOUS
I WASTE NO.
I K060
I K060
K061
K061
C. HANDL.
CODE
S02
T21
ID. AMT.
1
1 25000
1157245
1 E.
lUNIT
1 T
1 T
Section DESCRIPTION OF WASTE
XXI-A
              For hazardous wastes that are listed under 40 CFR Part
              261, Subpart D, enter the EPA listed name, abbreviated
              if necessary.  Where mixtures of listed wastes were
              received, enter the description which you believe best
              describes the waste.

                                 118

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              For unlisted hazardous waste  identified under 40 CFR
              Part 261, Subpart  C,  enter  the  description which you
              believe best describes the  waste.   Include the specific
              manufacturing or other process  generating the waste
              (e.g., green sludge from widget manufacturing) and, if
              known, the chemical or generic  chemical name of the
              waste.
Section
 XXI-B
EPA HAZARDOUS WASTE NUMBER

  For listed waste, enter the four digit EPA Hazardous
  Waste Number from 40 CFR Part 261, Subpart D, which
  identifies the waste.

  For a mixture of more than one listed waste, enter each
  of the applicable EPA Hazardous Waste Numbers.

  Four spaces are provided.  If more space is needed,
  continue on the next line(s) and leave all other infor-
  mation on that line blank.

Example:
XXI  WASTE IDENTIFICATION
Line
No.
1.
2.
A.
Steel

DESCRIPTION
OF WASTE
finishing

sludge

IB
1
1
1
1
1
. HAZARDOUS
WASTE NO.
K060 |
K062 |
K064 |
1
K061
K063


C. HANDL.
CODE
T21
ID.
1
AMT.
12917455
1
1 E.
(UNIT
1 T
1
I 1
1 1
              For unlisted hazardous wastes, enter the EPA Hazardous
              Waste Numbers from 40 CFR Part 261, Subpart C, applic-
              able to the waste.  If more than four spaces are
              required, follow the procedure described above.
Section
 XXI-C
HANDLING CODE

  Enter one EPA handling code for each waste line entry.
   Where several handling steps have occurred during the
  year, report only the handling code representing the
  waste's status at the end of the reporting year or its
  final disposition.  EPA handling codes are given in
  Appendix I of this Part.
                                    119

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Section
 XXI-D
AMOUNT OF WASTE

  Enter the total amount of waste described on this line
  which you received during this reporting year.
Section
 XXI-E
UNIT OF MEASURE

  Enter the unit of measure code for the quantity of
  waste described on this line.  Units of measure which
  must be used in this report and the appropriate codes
              are:
                      UNITS OF MEASURE

                      pounds
                      short tons (2000 Ibs)
                      kilograms
                      tonnes (1000 kg)
                                         CODE

                                          P
                                          T
                                          K
                                          M
              Units of volume may not be used for reporting but must
              be converted into one of the above units of weight,
              taking into account the appropriate density or specific
              gravity of the waste.
Section
 XXII
COMMENTS

  This space may be used to explain or clarify any entry.
  If used, enter a cross-reference to the appropriate
  Section number.
NOTE;  Since more than one page is required for each report, enter
       the page number of each sheet in the lower right hand corner
       as well as the total number of pages.
WHERE REQUIRED BY 40 CFR 264 or 265, SUBPARTS F 0£ R,  ATTACH GROUND-
WATER MONITORING DATA TO THIS REPORT.
                                 120

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                      UNMANIFESTED WASTE REPORT
                         PART C INSTRUCTIONS
                         (EPA Fora 8700-13B)
Unmanifested Waste Report  for  facility owners or operators who accept
for treatment, storage, or  disposal any hazardous waste from an off-
site source without an  accompanying manifest.

IMPORTANT;  READ ALL INSTRUCTIONS  BEFORE  COMPLETING THIS FORM

     For the Unmanifested Waste  Report, EPA Forms 8700-13 and 8700-
13B must be filled out  according to the directions for the Part-B
Facility Annual Report  except  that:   (1)  blocks for which information
is not available to the owner  or operator of the reporting facility
may be marked  "UNKNOWN," and  (2) the  following special instructions
apply:
Section
 VIII
COST ESTIMATES FOR FACILITIES

  Do not enter closure or post-closure cost estimates.
Section      TYPE  OF REPORT
  XVI
               Put an  "X" in the  box marked Part C.
Section     DESCRIPTION OF WASTE
 XXI-A
               Use as many line numbers  as  are  needed  to describe the
               waste.
 Section
 XXI-C
HANDLING CODE

  Enter the handling code which describes the status of
  the waste on the date the report is filed.
 Section
 XXI-D
AMOUNT OF WASTE

  Enter the amount of waste received, rather than a total
  annual aggregate.
                                  121

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Section     COMMENTS
 XXII
                 a.  Enter the EPA Identification number, name, and
                     address of the transporter, if known.  If the
                     transporter is not known to you, enter the name
                     and chauffeur license number of the driver and
                     the State and license number of the transporting
                     vehicle which presented the waste to your
                     facility, if known.

                 b.  Enter an explanation of how the waste movement
                     was presented to your facility; why you believe
                     the waste is hazardous; and how your facility
                     plans to manage the waste.   Continue on a separ-
                     ate blank sheet of paper if additional space is
                     needed.
            MONITORING DATA

              Oo not attach monitoring data.
                                122

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                              References


 1.  RCRA Legislative History.   In U.S. Code:  Congressional and
     Administrative News.   94th  Congress, 2nd Session.  Volume 5,
      !       *, « ConSress-  Ho*se.  Report of the Committee on Inter-
     state and Foreign Commerce.  House Document 94-1491, p. 26.

 2.  Ibid, p. 26.

 3.  Ibid, p. 26.

 4.  Ibid, p. 26.

 5.  Ibid, p. 26.

 6.  U.S. Congress.  Congressional Record.  House.  September 27,
     1976, p. H11148.

 7.  Ibid, p. H11154.

 8.  Op. Git., House Document 94-1491, p. 27.

 9.  Ibid, p. 27.

10.  Op. Cit., House Document 94-1491, p. 28.

11.  U.S. Environmental Protection Agency.  Hazardous Waste Damage
     Incident Files and Summaries.  Public Docket for RCRA Subtitle
     C.  Office of Solid Waste.  Room 2101.  Waterside Mall.
     Washington, D.C.

12.  U.S. Environmental Protection Agency.  Report to Congress:   Dis-
     posal of Hazardous Waste.  Office of Solid Waste Management
     Programs.  Publication SW-115.  1974.

13.  Op. Cit., House Document 94-1491, pp. 17 - 23.

14.  U.S. EPA.  Background  Document for 40 CFR Parts 264 and 265,
     Subparts C and D, Preparedness and Prevention, Contingency  Plan,
     and Emergency Response, April 1980.

15.  U.S. EPA.  RCRA Subtitle C Section 3002 Draft Background Docu-
     ment.  Office of Solid Waste.  BD-8.  December 15, 1978.

16.  U.S. EPA.  "Toxic Substances Inventory Regulations".  Code  of
     Federal Regulations, Title 40, Part 710.7.
                                 123

-------
17.   U.S.  EPA.   Office of Solid Waste.   "Analysis of Ground Water
     Contamination Incident In Niagara  Falls,  New York".   Draft Re-
     port.  Prepared by Fred C. Hart Associates,  Inc. Contract No.
     68-01-3897.  July 28, 1978 and

     Wright, A.P., D. Huber, and G.K. Welshans.   "National Survey of
     Hazardous  Waste Problems and Associated Clean up Costs", in
     Hazardous  Material Risk Assessment, Disposal and Management.
     1979 National Conference.  April 25 - 27,  1979.  Miami Beach,
     Florida.  Information Transfer, Inc.  Silver Spring  Maryland.
     Le Catalog No. 79-67389.  pp. 23-29.

18.   McNeil, Donald G., Jr.  "Emptied Niagara Neighborhood Now Looks
     Like a Disaster Area".  The New York Times,  November 22, 1979.
     p. B4.

19.   U.S.  EPA.   RCRA Subtitle C.  Reports Impact  Analysis.  Draft of
     March 1979.  Office of Solid Waste.

20.   RCRA Section 3002 Final Background Document, February 19,  1980.

21.   U.S.  EPA.   Integrated Economic Impact Assessment of  Hazardous
     Waste Management Regulations.  Draft Report.  Arthur D.  Little
     Inc.  for Office of Solid Waste. April 1980.

22.   U.S.  EPA.   RCRA Subtitle C Reports Impact Analysis.   April,
     1980.

23.   U.S.  EPA.   "General Pretreatment Regulations For Existing and
     New Sources of Pollution".  Federal Register Vol. 43, No.  123.
     Monday, June 26, 1978, pp. 27736 - 27773.
                                 124

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                             APPENDIX  I




  State Regulations - Manifest System. Recordkeeping and Reporting






     In recent years, several States have enacted laws and regula-




tions which require various aspects of manifest use, recordkeeping




and reporting by hazardous waste management facilities.  After review




of the California, Louisiana, Minnesota, Texas, and Washington State




regulations, the Agency  found that many of the concepts and require-




ments in them were applicable (directly or with modification) to the




administrative aspects of the RCRA mandate for use of the manifest




system, recordkeeping and reporting at hazardous waste management




facilities.  This Appendix provides an abstract of selected regula-




tions promulgated by the aforementioned States that influenced the




development of the RCRA  regulation.




I.  MANIFEST SYSTEM



     A manifest system is an integral part of the regulatory struc-




ture of the hazardous waste management programs in California^,




Louisiana^, Minnesota^,  Texas^, and Washington5.  The regula-




tions promulgated in each of these States require that a manifest or




shipping paper/ticket accompany the hazardous waste from the genera-




tor of the waste, through the transporter, to a treatment, storage,




or disposal facility.  Each member (i.e., the generator, transporter,




treater, storer, or disposer) of the system is responsible for pro-




viding complete and accurate information to the other members of the




system via the manifest.




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                       Manifest Discrepancies

     Louisiana (§5.4.3) requires that hazardous waste facility

operators report any irregularities between the waste actually

received and the waste described on the manifest, or any other

irregularities to the Department of Natural Resources within five

days of receipt of the waste.

      Amount of Time Allowed for Facility Owner or Operator to
                  Return Manifest to the Generator

     Minnesota and Louisiana are the only States of those reviewed by

the Agency that specify a period of time within which the manifest

must be returned to the generator.  Minnesota (§4.9008)  specifies two

days after relinquishing possession, or within two days  of ultimate

disposition, whichever is applicable (this requirement only applies

to off-site facilities).  Louisiana requires that facility operators

mail the original and final copy to the generator no later than the

next working day.  The other three States reviewed by the Agency

simply require submission of a manifest to the State regulatory

agency (California §60235 and Washington - WAG 173-302-260) or to the

transporter (Texas §4.03).

II.  RECORDKEEPING

 Period of Retention of Manifests by the Facility Owner  or Operator

     In the States surveyed, copies of manifests (or the information

on the manifest in the case of California (§60257)) are  required to

be retained by hazardous waste facility operators for one to five

years.  The specific periods of retention are given below.


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          State.             Regulation No.         Period of Retention


        California             §60259                 1 yr.



        Texas                  §4-03                  3 yr. (minimum)


        Louisiana              §5.4.3                 2 yr. (minimum)


        Minnesota              §4.9008               5 yr.


      Washington (WAG  173-302-270) requires  that disposal site


 operators retain at least  one copy of the manifest at the disposal


 site.  No retention period is specified in Washington's rules.


                   Other Recordkeeping Requirements


      Texas requires on-site disposers of Class I Waste* to maintain


 records of their on-site disposal activity.  These records should
              4>

 include, as a minimum, information regarding the quantity, character,


 and classification of the  waste, and the method and location of


. disposal (§4.03).


      The Texas Technical Guideline entitled, "Records"^ suggests


 (i.e., the Guidelines are  suggestive rather than regulatory) that a


 disposer maintain two types of records; (1) Waste Disposal by waste


 description, disposal method, amount,  and location, and (2) Monitor-


 ing Data by sample point,  date, and  analysis.


                            Operating  Record


   ^   The Minnesota Pollution Control Agency (MPCA) requires the faci-


 lity operator—except land disposal  facility operators—to main: .in a



 log at the facility site that indicates,
 *"Class I Waste" -- All waste materials not classified as Class II

  or III, normally including all industrial solid wastes in liquid

  form and all hazardous wastes.   (Texas Industrial Solid Waste

  Management Regulation; Section 1.02 - Definitions.)


                                   127

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     (1)   the date that each shipment arrived,


     (2)   the shipment number,


     (3)   the name of the generator,


     (4)   the name of the transporter,


     (5)   the location of the shipment at the facility and,


     (6)   the date that the hazardous waste was processed, disposed

          of, or transported from the facility.


     The  facility operator must submit the log to the Agency (MPCA)


upon the  request of its Director (§4.9004).


     The  content of a land disposal facility's "operating record" is


slightly  different in Minnesota's Rules.  A ledger for each cell is


required  containing the information required in 1, 2 and 3 above and,


the amount of each shipment in gallons or tons, and the chemical


composition of each shipment of hazardous waste.  Facility operators


must submit the ledger to the MPCA when each cell is closed, or when


requested to do so by the Director of the MPCA.


                      Records of Waste Location


     California requires operators of hazardous waste disposal sites


(where solid and hazardous wastes are not commingled) to record on a


map the general location and identity of hazardous wastes disposed of


at the facility (§60257).


     Before accepting any waste for disposal, the Texas Water Quality


Board (TWQB) requires owners/operators of new industrial solid waste
           \

sites to  submit for recordation in the county deed, a decription of


the portion of the tract to be utilized for ultimate disposal of



                                  128

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industrial solid waste.  Existing  facilities were required to submit


this information within  180 days of  the effective date (December 31,


1975) of that regulation.  The  owners or operators are also required


to identify and submit the TWQB class or classes of waste disposed


of, or to be disposed of, and the  address of the persons to be con-


tacted for more specific information on the waste (§1.05).


     Washington requires that site operators maintain survey records


at the site which  indicate the  exact location and boundaries of each


burial trench and  evaporation pond.  The survey record must contain


the following information:


     (1)  Dimension  of the trenches  and ponds;


     (2)  Its relation to the nearest USGS bench mark and monument;


     (3)  Volume and type of waste buried;


     (4)  Dates for  beginning and  completing burial and evaporation

          operations.


A  current copy of  this survey record is required to be kept at the


county auditor's office  (WAC  173-302-270).


III.  REPORTING
                     i '.,

     The regulatory  agencies  of California (§60259), Minnesota


(§4.9004),  and Texas (§4.03)  require owners or operators of off-site


facilities  to  submit a monthly  report which largely consists of


either a summary of  the  information  from the manifest, or copies of


all manifests  received  plus  a summary.
                                  129

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     These States have different reporting requirements for on-site




facilities.  Minnesota (§4.9004) requires operators to submit the




same type of report as operators of off-site facilities, except the




reporting interval is quarterly instead of monthly.




     California only requires on-site facilities to submit informa-




tion on disposal activities.  Information to be submitted about the




waste includes identity, source, chemical composition, weight or




volume, physical state, container type, hazardous properties, and




methods used to dispose of each waste (§60261).




     Texas has no general reporting requirements for on-site facili-




ties (§4.03); only recordkeeping is required.  However, on-site dis-




posers of Class I waste may be required to compile an Annual Disposal




Summary from their records.  If required, this report must be submit-




ted to the Texas Water Quality Board on a date specified by the




TWQB's Executive Director.




     Louisiana requires owners or operators of all facilities to sub-




mit a quarterly report to the Department including manifest numbers




and total quantity—by the type—of waste handled (§5.4.3).




     Washington requires the operator to send written notification of




each manifest to the Department of Ecology at the time of delivery of




the waste (WAC 173-302-260).




                         Additional Reports




     Washington (WAC 173-302-330) and Minnesota (§4.9004) require




quarterly reporting of monitoring or environmental sampling results
                                 130

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to the applicable State  regulatory agency.  Washington also requires




operators to report telephone and written accounts of any accidents




or emergencies  (e.g.,  spills, fire, explosion, or chemical reaction).




     Minnesota  (§4.9004)  requires that  facility operators give the




MPCA a minimum  of 90 days written notice—or  180 days in the case of




land disposal facilities—before closing a  facility.




                    Inspection  of Records/Reports




     Washington (WAG 173-302-330) requires  operators to allow any




duly authorized representative  of the State Department of Ecology, at




any reasonable  hour of the  day, to inspect  any records, reports,




information, or test results relating to the  purpose of its regula-




tions.




     California's regulations (§60177)  specify that the Director or




any duly  authorized representative of the State Department of Health




may, by appointment, inspect and copy any pertinent records, reports,




information or  test results relating to the requirements of the haz-




ardous waste regulations.  An appointment is  not needed for inspec-




tion of pertinent records during the facility's business office




hours.



     Texas requires that all records and shipping tickets be kept




readily available for  review upon request by  the TWQB staff at any




reasonable hour (§4.03).  The Technical Guideline on Records (No. 8)




also suggests that records  of waste disposal, and monitoring data be




kept readily available for  review by the TWQB staff.







                                  131

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     Louisiana requires that hazardous waste facility operators main-




tain file copies of manifests for at least two years for inspection




by the Department of Natural Resources (§5.4.3).
                                  132

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                       References - Appendix I

1.  California State Department of Health Hazardous Waste Regula-
    tions.  Title 22, Division 4.  Environmental Health, Chapter 2.
    Hazardous Waste, Article 6.  Requirements for Management of
    Hazardous and Extremely Hazardous Wastes (Register 77, No.
    42-10-15-77).

2.  State of Louisiana Department of Natural Resources.  Rules and
    Regulations, Hazardous Waste Management Plan.  Mandated by:  Act
    334 of  1978.  Effective:  August 1, 1979.

3.  Minnesota Code  of Agency Rules - Pollution Control Agency (PCA).
    Identification, Labeling, Classification, Storage, Collection,
    Transportation  and Disposal of Hazardous Waste.  State Register,
    Monday, June 11,  1979  (Effective:   June 18,  1979).

4.  Texas Water  Quality  Board Industrial  Solid Waste Management Regu-
    lation  (Board Order  No.  75-1125-1).   Effective:  December 31,
    1975.

5.  Washington Administrative Code  (WAC).  Hazardous Waste Regula-
    tion.   Chapter  173-302.   July  12,  1978.

6.  Texas Water  Quality  Board Industrial  Solid Waste Management.
    Technical  Guideline  No.  8,  "Records".  Issued May  3,  1976.
                                  133

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                            APPENDIX II




                     Use of Generic Nomenclature




     This Appendix illustrates generic nomenclature suitable for the




description of chemical substances of unknown or variable composi-




tion, complex mixtures, and biological materials as might be used by




industrial firms who might wish to protect the exact chemical compo-




sition of a waste component and yet provide specific information as




to the chemical nature of the waste.
                                 134

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           GENERIC NOMENCLATURE FOR CHEMICAL SUBSTANCES OF UNKNOWN OR VARIABLE COMPOSITION,
                               COMPLEX MIXTURES AND BIOLOGICAL MATERIALS1
Biological materials
    .(Animals)
   ..Animal products
  ...Amino acids
 ... .Peptides
 ....Proteins
	Albumins
	Caseins
	Gelatins
.....Hemoglobins
  ... Enzymes
  ...Fats and Oils, animal
 .... Grease
 ....Lard
 ....Sperm oil
 ....Tallow
	Alkyd resins, tallow
  ...Fatty acids
  ...Glycerides
  ...Waxes
 ....Wool wax
	Lanolin
    .Microorganisms
   ..Bacteria
   ..Fungi
  ...least
   ..(Microorganism products)
  ...Amino acids
 ....Peptides
 ....Proteins
  ...Enzymes
    .(Plants)
   ..Fungi
   ..Plant products
  ...Amino acids
 ....Peptides
 ....Proteins
	Glutens
  ...Carbonhydrat es
 ....Cellulose
 ....Gumes
 ....Starch
  ...Enzymes
  ...Fats and oils, plant
 ....Castor oil
	Alkyd resins, caster oil
 ....Cocoa Butter
	Coconut Oil
	Alkyd resins, coconut  oil
  ... .Corn oil
 ....Cottonseed oil
 ....Linseed oil
	Alkyd resins, linseed  oil
 	Olive oil
 	Palm oil
 ....Peanut oil
 ....Rape oil
 ....Safflower oil
	Alkyd resins, safflower oil
 ....Soybean oil
	Alkyd resins, soybean  oil
 ....Sunflower oil
	Alkyd resins, sunflower oil
 	Tall oil
	Alkyd resins, tall oil
                                  .tung oil
                                  .Alkyd resins,  tung oil
                                ...Fatty acids
                                ...Flavonoids
                                ...Glycerides
                               ....Lecithins
                                ...Humic acids
                                ...Resins
                               ....Balsams
                               .... Copals
                               ....Rosin
                              	Alkyd resins,  rosin
                              	Resin acids and Rosin acids
                                ...Rubber
                                .. .Waxes
                                ...Wood products
                               ....Cellulose
                               ....Lignin
                               ....Shellac
                               .... Tannins
                               ....Turpentine
                              Coal
                                  .(Coking products)
                                 ..Coke
                                 ..Tar
                                ...Asphalt
                                ...Creosote
                                ...Pitch
                                ...Tar acids
                                .. .Tar bases
                                  .(Gasification  products)
                                 ..Fuel gases
                                  .(Liquefaction  products)
                                 ..Distillates
                                 ..Extracts
                                 . .Residues
                              (Inorganic compounds)
                                  .Alkali metal compounds
                                 ..Soaps
                                  .Alkaline earth compounds
                                  .Bases
                                  .Group IIIA element compounds
                                 . .Horaces
                                  .Group IVA element  compounds
                                 ..Carbonates
                                 ..Carbon black
                                 ..Silica gel
                                 ..Silicates
                                 ..Siloxanes and  Silicones
                                .. .Silsequioxanes
                                  .Group VA element compounds
                                 . .Phosphates
                                 . .Polyphosphoric acids
                                  .Group VIA element  compounds
                                 ..Oxides
                                 ..Sulfates
                                 ..Sulfides
                                ...Polysulfides
                                  .Halogen compounds
                                  .Helium-group gas compounds
                                  .Group IB element compounds
                                  .Group IIB element  compounds
                                  .Group IIIB element compounds
                                 ..Rare earth metals
                                  .Group IVB element  compounds
    .Group VB element compounds
    .Group VIB element compounds
    .Group VIIIB element compounds
    .Group VIII element compounds
Minerals, Ores and Rocks
    .Alloys
    .Aluminum ores
    .Asphalt
    .Bentonite
    .Copper ores
    .Iron ores
    .Lead ores
    .Molybdenum ores
    .Zinc ores
Natural gas
    .Hydrocarbons
  ..Alkanes
  ..Alkanes
(Organic compounds)
    .Acid chlorides
    .(Acids)
  ..Car boxy lie acids
 ...Amino acids
... .Peptides
 ...Fatty acids
....Soaps
 ...Humic acids
 ...Naphthenic acids
 ...Resin acids and Rosin acids
  . .Sulfonic acids
    .Alcohols
  ..Glycols
  ..2-Hydroxyethyl compounds
  ..Phenols
 ...Tar acids
Aldehydes
    .Amides
    .Amines
    .Anhydrides
    .Azo compounds
    .Carbohydrates
  ..Polysaccharides
 ...Cellulose
 .. .Starch
    .Epoxides
    .Esters
  ..Borates
  ..Carbonates
  ..Glycerides
  ..Phosphates
  ..Polyphosphoric acids
  ..Silicates
  ..Sulfates
    .Ethers
    .Flavonoids
    .Group IIIA element compounds
    .Group VA element compounds
    .Group VIB element compounds
    .Heterocyclic compounds
  ..Imidazole compounds
  ..Imidazolium compounds
  . .Pthalocyanines
    .Hydrocarbons
  ..Alkanes
  ..Alkenes
 "•From
Toxic Substances Control Acfi Chemical Substance Inventory.   User Guide.   Volume IV,  p.  495ff.
                                            135

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