RCRA INSPECTOR INSTITUTE
INSPECTOR'S ADDENDUM
Sponsored by
RCRA Enforcement Division,
Office of Waste Programs Enforcement, and
National Enforcement investigations Center,
US Environmental Protection Agency
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RCRA Inspector Institute
Inspector's Addendum
Table of Contents
Title Page No.
I Introduction and Institute Overview 1
II Enforcement Attitude 5
III Hazardous Waste Generation 15
IV Sources of Information 29
V Inspection Procedures: 51
• Inspection of the Site 53
• Overview of Sampling 57
• Reporting and Preserving Inspection Findings 59
VI Access to the Site 65
VII Inspector as a Witness 69
VIII Enforcement Authorities: Making the Case 81
IX Inspections from the Company's Point of View and
Discussions with the Company 91
X HSWA: 99
• Land Disposal Restrictions 101
• Surface Impoundment Retrofit 135
XI Environmental Crime 145
XII Future of the Program 153
Appendix A - (List of RCRA Final Rules Since HSWA) A-l
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RCRA INSPECTOR INSTITUTE
INSPECTOR'S ADDENDUM
INTRODUCTION AND
INSTITUTE OVERVIEW
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RCRA Inspector Institute
Inspector's Addendum
(continued)
Additional Handouts:
• Generator Regulations — Questions and Answers Handbook
• Incinerator Regulations — Questions and Answers Handbook
• Used Oil Regulations — Questions and Answers Handbook
• Case Studies: Generator
Used Oil
Incinerator
Land Ban
• RCRA Inspection Manual
• Tank Inspection Manual
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Introduction and Institute Overview
I. Introduction
• RCRA Enforcement Division (RED)
• National Enforcement Investigations Center (NEIC)
• Regional RCRA Personnel
• State RCRA Personnel
• RCRA/Superfund Hotline Staff
II. Logistics
• RCRA Inspector Newsletter
• Inspection Guidance Documents
• Additional Training
• Specifics for the Institute:
1. Questions
2. Handouts (Case studies, generator rules, etc.)
III. Institute Format
• Interaction between faculty and students and especially between regional
and state inspectors.
• Few true experts in all aspects of RCRA.
• Various means of instruction: case studies, lectures, videos, and group
discussion.
• Developed by a wide range of EPA and state RCRA enforcement
personnel.
• Emphasize that no one course can give all information required to make a
good inspector.
IV. Objectives of Institute
• Provide an understanding of the inspector's responsibilities, duties, and
authority.
• Equip inspectors with tools that are available.
• Emphasize the importance of teamwork.
V. What We Will Not Do:
• Health and Safety
• In-depth regulations (Assume a base knowledge)
• Sampling - overview of whv sampling is important only.
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RCRA INSPECTOR INSTITUTE
INSPECTOR'S ADDENDUM
ENFORCEMENT ATTITUDE
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THE INSPECTOR'S ROLE
I. Inspector's Role in the RCRA Process
A. The Purpose of Inspections
1. Inspecting has a single goal:
(a) detecting violations; and
(b) recording the evidence; so that
(c) action to assure compliance can be taken.
2. Don't lose sight of your goal - getting the "beans" is not enough if
compliance is not achieved
B. Two Major Phases - Gathering Information and Acting on It
1. Phase I - Gathering Information
(a) Site inspections and record reviews
(b) Determines if facility is operating within regulations, terms of
permit, and enforcement actions
(c) Develops evidence for enforcement actions
(d) Types of evaluations:
(1) Compliance Evaluation Inspection (CEI)
(2) Sampling Inspection
(3) Record Review
(4) Comprehensive Groundwater Monitoring Evaluation (CME)
(5) Case Development Inspection
(6) Operation and Maintenance Evaluation
2. Phase II - Acting on the Information
(a) The inspector's role in initiating an enforcement action
(1) Separating the Trees from the Forest - The inspector's role
in identifying matters deserving investigation.
(2) Evaluating the Evidence - The difference between probable
cause and cause to investigate.
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(b) The inspector as the architect of a case
(1) Identifying the Raw Materials - Creating and preserving a
record.
(2) Designing the Structure - Writing a report that will support
an action.
(3) Planning Follow-up Site Inspections with a Purpose
(c) The inspector's role in "voluntary" compliance
(d) The inspector as a witness
(e) Technical/legal teamwork
The Inspector on the Site
A. Objectives
1. Determine compliance with regulations, permit conditions and
enforcement actions
2. Evaluate operations under existing permit to provide input into new
permit requirements
3. Develop evidence to support new enforcement actions
B. Education/Enforcement Approach to the Facility
1. Finding a balanced approach
(a) RCRA is 12 years old.
(b) RCRA is ever-changing and complex.
(c) Responsibility is on the handler to know; ignorance is no
excuse.
(d) More than one way to "skin a cat."
(e) Document in education mode for use in later enforcement
actions.
2. Recognizing and reacting to imminent hazards
(a) Protecting public health and the environment.
(b) Protecting future enforcement actions.
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3. The checklist is only a start
(a) Don't be afraid to be wrong.
(b) Better to be in trouble for requiring too much action than
not enough.
III. Inspection Skills
A. Observations: an act or instance of viewing or noting a fact or
occurrence for some scientific or other special purpose.
B. Reacting to observations
C. Recognizing the violation
D. Preservation of the evidence
E. Communicating the information
IV. Professional Inspector
A. You are an expert in your field
1. Know the regulations
2. Understand your role in the process
3. Know the facility process and history
4. You are professionally as important as the government's consultant,
the chemist, the toxicologist, the hydrogeologist, and the attorneys.
It all turns around you.
5. The facility and its officials: they have to learn to live with you.
The inspector controls the situation.
B. Professional Credentials and Organizations
1. Reasons for credentials
2. Continuing Education
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Summary
A. Action with a Purpose
B. Teamwork and Planning
REMEMBER:
Learn the facility from receiving dock to loading dock and you'll find the
waste streams. Don't be taken to the "regulated units" only.
Approach every inspection as if you'll have to be in court justifying your
actions.
It may take more than two inspections to make a comprehensive enforcement
action.
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EPA INSPECTION TYPES
Compliance Evaluation Inspection (CEP is an on-site evaluation of a handler's
compliance with RCRA regulations, closure plans and permits to gather
information necessary to determine compliance and support enforcement actions.
The inspection includes a characterization of the handler's activities, identifying
types of hazardous wastes on site including F001-F005 and California List wastes
subject to effective land disposal restrictions and the identification of any units
which generate, treat, store or dispose of hazardous solid wastes. The inspector
examines RCRA required records and reports including, but not limited to,
manifests, waste analysis plans, sampling and analysis plans, land disposal
restriction regulation requirements, well system sampling data to determine
whether assessment monitoring should have been triggered, assessment monitoring
plans, incinerator operating and emission records, contingency plans, and
closure/post-closure plans. Corrective Action schedules of compliance may also be
reviewed. This inspection can result in identifying the need for a more intensive
inspection such as a Case Development Inspection.
Sampling Inspection is an inspection in which samples are collected for laboratory
analysis. A sampling inspection may be conducted in conjunction with a
Compliance Evaluation Inspection (or any other inspection except CDI's or
CME's). This type of inspection may be used to evaluate a handler's compliance
with waste analysis plans, land disposal restrictions, etc. If both a CEI and a
sampling inspection are performed, a log must be completed for each inspection to
reflect that both were done.
Record Review is a detailed review of reports, documents, and on-site plans
required for compliance with RCRA regulations including: closure/post-closure
plans and cost estimates, financial assurance documents, ground-water monitoring
waivers, assessment monitoring plans, Part B applications, contingency plans, waste
analysis plans, and preparedness and prevention plans. These are conducted in the
Agency office; they do not occur on-site.
Comprehensive (Groundwater) Monitoring Evaluation (CME) is a detailed
evaluation of the adequacy of the design and operation of a facility's groundwater
monitoring system. Evaluation of the groundwater monitoring system design
should be conducted by a hydrogeologist and includes the review of the
owner/operator's (o/o's) characterization of the hydrogeology beneath hazardous
waste management units; monitoring well placement/depth/spacing; and well design
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and construction. It is essential that the CME ensure that the o/o has designed an
adequate groundwater monitoring system. In addition, an integral part of the CME
is the review of the operation of the groundwater monitoring system through an
evaluation of the o/o's sampling and analysis plan and its implementation. CME's
should be scheduled, to the maximum extent possible, to coincide with o/o sampling
events to permit the field evaluation of sampling techniques. Inspectors should
collect splits or conduct EPA/State sampling as a random check of groundwater
quality data and at any wells which may indicate releases to support enforcement
for corrective action. A comparison of EPA/State and o/o analytical results can be
used to assess laboratory accuracy and establish the reliability of o/o submitted data.
The CME must evaluate whether a facility operating under detection monitoring
should be in assessment/compliance monitoring. If determined necessary, the
inspector should develop the scope of a (follow-up) case development inspection
which could include additional sampling. CME's at assessment/compliance
monitoring facilities include, in addition to the aforementioned evaluations, a
detailed examination of the owner/operator's assessment monitoring plan and field
implementation of the plan.
Case Development Inspection: The objective of this intensive investigation is to
gather sufficient information to support an enforcement action. It should be
emphasized that this is a resource intensive investigation (typically 25 person-days
of effort). Limited document searches and grab samples will not be extensive
enough to be reported at this type of evaluation. The scope of the investigation will
depend upon the enforcement needs. It may include sampling (all media), extensive
documentation of recordkeeping violations, or the initiation of exploratory
techniques such as geophysical investigations and bore hole installation. This
inspection can be used to supplement or strengthen the necessary enforcement
action identified through CEI's, CME's or Record Reviews.
Operation and Maintenance Inspection (O&M) is a periodic inspection of how well
a groundwater monitoring system continues to function once it is considered well
designed. The inspection focuses on the condition of wells and sampling devices.
Evolution of well recovery notes, turbidity of water, total depth, depth of water,
etc. should be compared to historic data. Sampling devices should be tested and if
necessary pulled and visually inspected. The findings of an O&M inspection will
indicate whether case development is warranted and/or will serve to focus future
CMEs. The inspector should be experienced in evaluation of groundwater
monitoring systems e.g., hydrogeologist. This inspection can include sampling.
However, if a great deal of sampling is conducted, a separate log should be filled out
as well for Sampling Inspection.
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THE ONE-PAGE RCRA INSPECTOR'S HANDBOOK
INSPECTION IS ALWAYS A MEANS TO AN END, NOT AN END
UNTO ITSELF.
THE INSPECTION ALWAYS BEGINS IN YOUR OFFICE.
PREPARE FOR ALL ENFORCEMENT POSSIBILITIES
(KEEP YOUR OPTIONS OPEN).
THE LEGAL PROCESS IS AN EXERCISE IN PERSUASION.
THE INSPECTOR IS AN ESSENTIAL MEMBER OF THE
LITIGATION TEAM.
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RCRA INSPECTOR INSTITUTE
INSPECTOR'S ADDENDUM
HAZARDOUS WASTE
GENERATION
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WHAT IS A RCRA HAZARDOUS WASTE?
Definition of a Solid Waste
a>
• A solid waste is any material that is discarded or disposed; a solid waste
does not need to be solid; it may be semi-solid, liquid, or even a contained
gaseous material.
• A material is discarded when it is:
—Abandoned (e.g., disposed of, burned or incinerated, or treated before or
in lieu of being abandoned);
—Recycled (in a manner constituting disposal, burned for energy recovery,
reclaimed, or accumulated speculatively) [See Table 1 below]; or, U
Table
Spent Materials
Sludges (listed in 40 CFR Part 261.31 or 261.32)
Sludges exhibiting a characteristic of hazardous waste
By-products (listed in 40 CFR Pari 261.31 or 261.32)
^•products exhibiting a characteristic of hazardous waste
Commercial chemical products listed in 40 CFR 261.33
Scrap Metal
Use / '
constituting
disposal
(§261.1(c)(1))
(1)
0
n
0
o
0
n
Energy
recovery/fuel
(§261.
e)(2))
Reclamation1
(§261.2(c)(3))
; r ,
Speculative
accumulation
(§261.2(c)(4))
(3)
(4)
0
C)
C)
C)
C)
O
C)
C)
C)
C)
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Exception to the Definition of Solid Waste (40 CFR 261.2) *
• Materials used or reused as ingredients in an industrial process to make a
product, provided the materials are not being reclaimed.
• Materials used or reused as effective substitutes for commercial products.
• Materials returned to the original process from which they are generated,
without first being reclaimed.
Exclusions from the Definition of Solid Waste (40 CFR 261.4)
• Domestic sewage and any mixture of domestic sewage and other wastes that
pass through a sewer system to a POTW.
• Industrial wastewater discharges regulated under the Clean Water Act.
• Irrigation return flow.
• Nuclear materials, or by-products, as defined by the Atomic Energy Act of
1954. ^
• Miningjiiaterials that are not removed from the ground during the extraction
process.
• Eulping liquors^reclaimed in a pulping liquor recovery furnace and reused in
the pulping process (unless speculatively accumulated).
• Spent-sulftiricjicu^used to produce a virgin sulfuric acid (unless speculatively
accumulated).
• Secondary materials that are reclaimed and returned to the original process in
which they were generated and are being reused in the process.
* See "Guidance Manual on the RCRA Regulation of Recycled Hazardous
Waste" EPA 530/SW-86-015 (Available through NTIS—PB 86-208-584)
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The History of Solid Waste
Solid waste is currently defined as any material that is discarded; the term
"discarded" includes any material which is abandoned, recycled (in certain cases),
or considered inherently waste-like. This definition was promulgated January 4,
1985 [50 FR 664], and has been in effect since July 5,1985 or in the case of an
authorized state, when that state adopted the new solid waste definition as part of
their own regulations.
The original definition of solid waste, however, was significantly different
than the current definition. A solid waste was originally defined in the May 19,
1980 Federal Register [45 FR 33119] as:
• Any garbage, refuse, sludge or other waste material which is not excluded
under §261.4(a).
Under the original definition of solid waste:
• An "other waste material" is any solid, liquid, semi-solid or contained gaseous
material resulting from industrial, commercial, mining, or agricultural
operations, or from community activities which:
—Is discarded or is being stored or treated prior to being discarded;
—Has served its intended use and sometimes is discarded; or
—Is a manufacturing or mining by-product and sometimes is discarded.
• A material is "discarded" if it is abandoned (and not used, re-used, reclaimed,
or recycled) by being:
— Disposed of; or
—Burned or incinerated, except where the material is burned for energy
recovery; or
—Physically, chemically, or biologically treated in lieu of or prior to being
disposed of.
The EPA's major reason for redefining solid waste in January of 1985 was to
clarify which materials were solid wastes when recycled. The revised definition of
solid waste identified certain materials as solid waste if the materials were recycled
by being:
—Used in manner constituting disposal;
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—Burned for energy recovery;
—Reclaimed; or
—Speculatively accumulated.
Identification of a RCRA Hazardous Waste
• A solid waste is a hazardous waste if it is not excluded from regulation as a
hazardous waste and meets one of the following conditions:
—Is listed in Subpart D of 40 CFR Part 261;
—Exhibits a characteristic defined in Subpart C of 40 CFR Part 261;
—Is a mixture containing a listed hazardous waste and a non-hazardous solid
waste;
—Is derived from storage, treatment or disposal of a hazardous wastes.
• Materials that do not satisfy any of these above conditions are not
"hazardous," regardless of how dangerous they actually are (e.g., asbestos and
PCBs are not RCRA hazardous wastes).
Listings of Hazardous Waste
A solid waste is a listed hazardous waste if it is named on one of the following lists:
• Commercial chemical products, P and U wastes (40 CFR 261.33(e) and (0);
• Specific source wastes, K wastes (40 CFR 261.32); or
• Non-specific source wastes, F wastes (40 CFR 261.31).
Commercial Chemical Products Listings (P and U Wastes)
• These lists are limited in scope.
• The listings cover only those products that are generically identified using the
name of a single listed constituent. For example:
—Discarded benzene and discarded toluene are both listed commercial
chemical products;
—A discarded mixture of benzene and toluene, however will not qualify as a
listed commercial chemical product; or
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—A discarded mixture of dieldrin (a listed pesticide), benzene, and toluene
will qualify as a listed commercial chemical product, however, because it is
a formulation that is generically referred to as "dieldrin" (the sole active
ingredient).
• The listings cover only unused commercial chemical products.
—Even if a material is used in such a way that its composition is not altered,
the material will not qualify as a commercial chemical product.
—The most common materials covered are off-specification products.
Materials that are capable of being used will generally not be discarded.
• Other materials that contain P- and U-listed constituents are not considered
hazardous unless they are listed elsewhere in the regulations or exhibit a
characteristic.
Listings for Wastes from Specific Sources (K Wastes)
• The listings in 40 CFR §261.32 identify individual waste streams from
specific industries (e.g., K050 = "heat exchanger bundle cleaning sludge from
the petroleum refining industry.")
• Many of these listings are difficult to interpret (e.g., they are related to the
source of the material as well as to the composition).
• Examples
—Wood preservation (e.g., K001 = bottom sediment, sludge from the
treatment of wastewaters from wood preserving processes that use creosote
and/or pentachlorophenol.)
—Inorganic pigments (e.g., K007 = wastewater treatment sludge from the
production of iron blue pigments.)
—Organic chemicals (e.g., Kill = product wastewaters from the production
of dinitrotoluene via nitration of toluene.)
—Inorganic chemicals (e.g., K071 = Brine purification muds from the
mercury cell process in chlorine production, where separately prepurified
brine is not used.)
—Pesticides (e.g., K043 = 2,6 Dichlorophenol waste from the production of
2,4-D.)
—Secondary lead (e.g., K069 = emission control dust/sludge from secondary
lead smelting.)
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—Ink formulation (e.g., K086 = solvent washes and sludges, caustic washes
and sludges, or water washes and sludges from cleaning tubs and equipment
used in the formulation of ink from pigments, driers, soaps, and stabilizers
containing chromium and lead.)
—Explosives (e.g., K045 = spent carbon from the treatment of wastewater
containing explosives.)
—Petroleum refining (e.g., K051 = API separator sludge from the petroleum
refining industry.)
—Iron and steel (e.g., K061 = emission control dust/sludge from the primary
production of steel in electric furnaces.)
—Coking (e.g., K087 = decanter tank tar sludge from coking operations.)
—Veterinary pharmaceuticals (e.g., K084 = wastewater treatment sludges
generated during the production of veterinary pharmaceuticals from arsenic
or organic-arsenic compounds.)
Listings for Wastes from Non-specific Sources (F Wastes)
• The listings in 40 CFR 261.31 identify waste streams that may be generated in
several industries.
-^-^-Spent solvents
^—Electroplating wastes
Dioxin-containing wastes
• Many of these listings are difficult to interpret.
• Examples of hazardous wastes from non-specific sources are:
—Spent solvents;
—Electroplating wastes;
—Metal heat-treating wastes;
—Chlorinated aliphatic manufacturing residues; and
—Wastes from the production or manufacturing use of chlorophenolics.
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Spent Solvent Listings (F001-F005)
• The spent solvent listings are the most difficult listings to understand.
• The listings identify several of the most common spent industrial solvents as
hazardous materials (e.g., spent methanol, toluene, acetone, methylene
chloride, and perchloroethylene).
• However, many materials that contain these constituents are not considered to
be F-listed wastes.
• The listed_£hemicals must have been used for their "solvent properties" (i.e.,
to dissolve or mobilizeotKer constituents). Examples of solvent use covered
by the listings are:
—Degreasers and cleaners;
—Diluents;
—Extractants; and
—Reaction and synthesis media.
• Listed chemicals that are used for some other purpose (e.g., to serve as a
reactant in a chemical reaction) are not considered to be F-listed wastes.
• Listed chemicals that are used as ingredients in commercial products are
also not considered to be F-listed wastes, even if they fulfill a solvent function
(e.g., as carriers in a solvent-based paint).
• There are exclusions from the mixture rule for certain mixtures of small
amounts of spent solvents and wastewaters the discharge of which is subject to
regulation under the Clean Water Act [e.g., 261.3(a)(iv)(A) spent solvents
listed in 261.31 (carbon tetrachloride, tetrachloroethylene and
trichloroethylene) whose maximum total weekly usage divided by the average
flow of wastewater into the headworks of the facility's wastewater treatment
system does not exceed 1 ppm].
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Characteristic Materials
• EPA has identified four characteristics of hazardous waste (Subpart C of 40
CFR 261)
—Ignitability
—Corrosivity
—Reactivity
—Extraction Procedure (EP) toxicity
• Solid waste generators are required to determine whether their wastes exhibit
any of these characteristics.
Characteristic Materials—Ignitability
• A liquid material is ignitable if it has a flash point lower than 140°F.
• Solid materials and contained gaseous materials also may be ignitable, but
different standards apply to such materials.
—Is solid material capable under standard temperature and pressure of
causing fire through friction, absorption of moisture, or spontaneous
chemical changes and, when ignited, burns so vigorously and persistently
that it creates a hazard?
—Is the substance an ignitable compressed gas as defined in 49 CFR 173.300?
—Is the substance an oxidizer as defined in 49 CFR 173.151?
Characteristic Materials—Corrosivity
• A liquid material is corrosive if any one of the following criteria is satisfied:
—It has a pH less than or equal to 2.0
—It has a pH greater than or equal to 12.5
—It is capable of corroding steel at a rate of more than one-quarter of an inch
per year at a temperature of 55°C.
• Solid and gaseous materials are never considered corrosive.
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Characteristic Materials—Reactivity
• A material is reactive if:
—It is explosive;
—It reacts violently with water; or
—It generates toxic gas when exposed to water or other liquids that are
moderately acidic or alkaline.
Characteristic Materials—Extraction Procedure (EP) Toxicity
• The EP Toxicity Characteristic is the only characteristic that was developed
specifically for use in the RCRA hazardous waste program.
• EP toxicity is designed to identify those wastes that would leach dangerous
concentrations of toxic constituents into groundwater supplies if they were
disposed in a municipal solid waste landfill.
• The EP test works as follows:
—A representative sample of the waste is separated into its solid and liquid
components;
—The solid component is diluted with acetic acid and agitated continuously
for 24 hours;
—The resulting liquid is added to the original liquid component;
—The combined extract is analyzed for the presence of 8 metals, 4 pesticides,
and 2 herbicides; and
—If any of the 14 contaminants is present in concentrations greater than
specified regulatory thresholds, the materials is considered EP toxic.
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Characteristic Materials—EP Toxic Levels
The EP toxic constituents and the maximum concentration allowed in their extracts
are:
EPA Hazardous
Waste
Contaminant
Maximum
Concentration
Number (mg/1)
D004
Arsenic
5.0
D005
Barium
100.0
D006
Cadmium
1.0
D007
Chromium
5.0
D008
Lead
5.0
D009
Mercury
0.2
D010
Selenium
1.0
D011
Silver
5.0
D012
Endrin
0.02
D013
Lindane
0.4
D014
Methoxychlor
10.0
D015
Toxaphene
0.5
D016
2,4-D
10.0
D017
2,4,5-TP Silvex
1.0
"Mixture" Rule
Any mixture of a listed hazardous waste and a solid waste is a hazardous waste.
• For example, if a generator mixes one drop of a listed electroplating waste
with 1,000 gallons of non-hazardous wastewater, the mixture (all 1,000
gallons) is hazardous.
• If a generator mixes an EP toxic waste (i.e., a RCRA hazardous waste) with
1,000 gallons of non-hazardous wastewater, the resulting mixture is not
hazardous (unless it is still EP toxic or meets one of the other hazardous waste
characteristics).
• There are de minimus provisions in 40 CFR 261.3 for wastewaster/solvent
mixtures.
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"Derived From" Rule
• Any solid waste derived from the treatment, storage, or disposal of a listed
hazardous waste is considered a hazardous waste.
—For characteristic waste, the derived from waste is only hazardous if it
exhibits a characteristic."
• This rule is designed to identify a wide variety of waste streams that would
otherwise not be regulated as hazardous. For example:
—Sludges from the storage of listed hazardous wastes; and
—Filters that are used to clean spent solvents before the solvents are reused.
• This rule applies even if the purpose of the treatment process is to render the
waste non-hazardous. For example:
—Ash from the incineration of a listed organic waste is considered hazardous;
and
—Listed inorganic wastes that have been stabilized to prevent migration of the
hazardous constituents are, nevertheless, hazardous.
"Contained In" Interpretation
• Any material that contains a listed hazardous waste must be managed as if it
were a hazardous waste, so long as it continues to contain the listed hazardous
waste.
• EPA has adopted this interpretation on the grounds that it is regulating only
the listed portion of the waste; the rest of the material, such as soil or
groundwater, is merely "coming along for the ride."
• The "contained in" interpretation eliminated some of the problems associated
with the "mixture" rule. For example:
—Under the "mixture" rule, contaminated soil from a spill of a listed
hazardous waste is not hazardous, unless it is P- or U-list contaminated;
—Soils from cleanup of P and U wastes are specifically listed as P and U
wastes;
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—Soil is not a hazardous waste, but the contaminating waste "contained in"
the soifstill is hazardous; and
—Under the "contained in" interpretation, such a soil must be managed as if it
was hazardous.
• The "derived from rule" does not apply to "contained in" wastes. As a result,
these wastes do not have to be delisted if they are treated so that they no longer
contain the listed waste.
• The determination of when a waste no longer contains a listed hazardous waste
(i.e., when it is decontaminated) is subject to future guidance.
Exclusions from RCRA Hazardous Waste
Delisting (40 CFR 261.22)
• Wastes that are hazardous by listing, by the "mixture" rule, or by the "derived
from" rule, may be excluded from regulation on a case-by-case basis through
the delisting mechanism.
• Delisting can serve as a "safety valve" to avoid regulation of "hazardous
materials" that do not actually pose a threat to human health and the
environment.
• There are several problems with the delisting program. For example:
—It is costly, complicated, and time-consuming for both EPA and the
regulated community.
—It is impractical for wastes that are generated on an infrequent or one-time
basis.
Categorical Exclusions (40 CFR 261.4(b))
• Household wastes.
• Large-volume/low-toxicity wastes for which Subtitle C regulation may not be
appropriate (i.e., utility wastes, and oil and gas production wastes).
• Trivalent-chromium wastes (e.g., wastes from the leather tanning industry).
• Arsenical-treated wood products.
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HSWA vs. Non-HSWA Provisions
• All of the hazardous waste regulations are passed under one of two statutory
authorities;
—The Resource Conservation and Recovery Act (RCRA) of 1976; or
—The Hazardous and Solid Waste Amendments (HSWA) of 1984.
• Regulations passed under HSWA authority are typically referred to as HSWA
provisions; standards promulgated under RCRA authority are termed pre-
HSWA (ornon-HSWA) provisions.
• Prior to the enactment of HSWA, a State could be granted authorization under
RCRA §3006 to implement its own hazardous waste program in lieu of EPA if
the State could demonstrate its program was at least as stringent as the Federal
program. Once a State is granted RCRA (pre HSWA) authorization:
—Federal requirements do not apply in that State; the State refers only to its
own statutes and regulations; and
—New Federal RCRA requirements (e.g., new generator regulations) become
effective in that State only after the State adopted the new requirements as
part of their program.
• After HSWA, an authorized State was required to obtain HSWA authorization
under RCRA §3006(g) before that State could administer any HSWA
provisions.
—New HSWA provisions (e.g., the land disposal restrictions) go into effect at
the same time in an authorized state as an unauthorized State.
• An authorized State may adopt requirements which are more stringent or
broader in scope than the Federal requirements.
—Requirements which are more stringent (for example, a requirement for
TSDFs to maintain records for 20 years) become part of the Federally
approved program.
—Requirements which are broader in scope (for example, listing used oil as a
hazardous waste) do not become part of the Federally approved program.
28
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RCRA INSPECTOR INSTITUTE
INSPECTOR'S ADDENDUM
SOURCES OF INFORMATION
29
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PEOPLE AS SOURCES OF INFORMATION
I. Introduction
A. Definitions
1.
Conversations
2.
Interviews
3.
Interrogations
Who
are the sources of information?
1.
Company representatives
a. Environmental Coordinator/Emergency Coordinator
b. Safety Director
c. Treatment Plant Operators
d. Plant Workers (employees)
e. Ex-employees
f. Ask for an organization chart - You'll probably have to get past
the environmental coordinator at some point, know the names to
ask for either up the line or down.
g. You can meet a whole new group of faces on unannounced
inspections or spill investigations at 2 a.m.
2. Others
a. Neighbors, bystanders, customers, local police, utility people.
b. Consultants: past and present.
c. Other regulatory inspectors
-Air, NPDES, TSCA, Soil Conservation, Oil Storage, OSHA,
Construction inspectors
d. Newspaper reporters (investigative)
II. Conversations During the Course of an Inspection
A. Asking employees for information while inspecting processes/areas.
B. Listening for information.
31
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The Formal Interview
A. When to Interview
1. Formal interviewing during the course of an inspection.
a. This type of interview will, in most cases, be conducted with
someone who holds a management position with the company.
b. Areas to be covered would be those necessary to do a thorough
inspection (i.e., problem areas, safety considerations, type of
production, chemicals used, waste disposal methods,
identification of documents).
c. This type of interview would probably be nonadversarial. The
company may feel compelled to answer the questions raised by
the inspector.
2. Interviewing outside the scope of an inspection.
a. Interviews conducted at a facility
(1) There may be times when an inspector will want to obtain
further information on a facility after an inspection has been
completed. Therefore, the inspector could go back to the
facility and ask additional questions. The company may
become concerned since the inspector is returning and may
not be as hospitable as it was during the inspection.
(2) Let them know you are coming back(?).
(3) Be open about why you have to come back(?).
b. Interviews conducted away from the facility
It may be beneficial for the inspector to speak with various
employees of the company away from the workplace.
Interviews conducted in this manner usually focus on some type
of illegal activity being conducted at the plant. Employees tend
to speak more freely when they are not at work.
B. Preparation
1. Background information - It is imperative to find out as much as
possible about the individual and/or company involved. This
includes the operations of the company, die waste produced and
suppliers.
32
-------
2. Know what you are talking about. By knowing the operations of
the facility and past practices it is easier to conduct the interview.
3. Meet your objectives - Cover the areas which are important to your
case. Make sure all your questions are answered.
4. If at all possible conduct the interview in person as opposed to over
the telephone.
C. Location and Timing of Interview
1. Privacy is a concern - It is always better to conduct interviews in an
area where interruptions are kept to a minimum. This enables the
interview to flow more easily.
2. Time of the interview is important.
a. Attentiveness of interviewee.
b. How to deal with situations where time is limited.
D. Conducting the Interview
1. Initial contact —First impressions are lasting. A few factors are
important to remember.
a. Dress appropriately.
b. Act professional —Always conduct yourself in a professional
manner. Remain calm and collected. Try to establish a
rapport.
c. If at all possible, have two (2) people present during the
interview. This gives the inspector the benefit of having
another person back up what was said during the interview
should the interviewee deny at a later time what was discussed
during the interview.
d. Properly identify yourself and state your purpose at the
beginning of the interview. This will clear up any confusion.
2. Information
a. Get background information from individual. Such information
as complete name, address and phone number are important.
b. Stay on subject matter. Try not to deviate from the areas of
concern. Try to keep interview in order; going systematically
from one area to the next.
c. The important questions usually involve who, what, where,
when, why and how.
33
-------
d. Use open-ended questions to get at issues (i.e., non-"leading"
—questions). Follow-up on answers.
e. Get specific answers. If interviewee answers in generalities push
him/her for specifics.
f. Be stem if the situation calls for this method. If you know the
interviewee is not being totally truthful, you may want to push
harder for the truth.
3. Miranda Warnings? When.
E. Employee Protection Under RCRA Section 7001
IV. Non-Verbal Communication
A. Gestures can tell a lot about how the interviewee feels or what he/she is
thinking. At the same time, it is important to note that the interviewer
also gives off forms of non-verbal communication.
B. Silence is a form of non-verbal communication. It creates uneasiness and
tension. It can be used to the advantage of the interviewer.
C. Some areas to watch closely are the eyes, eyebrows, mouth, legs and
arms. Also listen for change in voice inflection and look for sings of
perspiration.
V. Preservation of the Conversation or the Interview
A. Note-Taking
1. Preserve the original notes.
2. The written or typed report of the interview should be done in a
timely fashion.
B. Tape Recording
34
-------
STATEMENTS & FOLLOW-UPS
1. Statement: John Doe dumped waste.
Follow-up: How do you know?
2. Statement: The boss told me to dump the sludge.
Follow-up: Who is your boss? When did he tell you to dump the sludge?
How often have you dumped sludge? Where did you dump the sludge?
3. Statement: The wastes were produced in our manufacturing process.
Follow-up: What do you manufacture? What wastes are produced by your
manufacturing process?
4. Statement: The underground tank is located by the garage.
Follow-up: How do you know? Have you seen anything being dumped into
the tank?
5. Statement: The liquid from the tank drains into the field by the use of a pipe.
Follow-up: Was the pipe always part of this system? Why was the pipe
installed? Who installed the pipe? Have you seen the liquid being drained
into the field?
6. Statement: We always dumped the waste in this manner.
Follow-up: How long have you worked for the company? How long have
you been dumping the waste in this manner? How were the waste disposed of
prior to this method? Is this a company policy to dump the waste in this
manner? If so, who determines the company policy? Is the company policy
written down in some form?
7. Statement: I dumped the toluene over the bank behind the company.
Follow-up: Who told you to dump the toluene over the bank? How long have
you dumped the toluene in this manner? Has anyone else besides yourself
dumped the toluene in this manner?
35
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8. Statement: Our company manufactures angle iron shelving?
Follow-up: Describe the manufacturing process at your plant from the raw
product to the finished product. What wastes, if any, are produced from this
process? How are these wastes disposed of?
9. Statement: We disposed of the sludge at the County Landfill.
Follow-up: Is the County Landfill permitted to handle your sludge? Who
transported the waste to the County Landfill? Are they permitted to
transport the waste?
10. Statement: I am the environmental engineer for the company.
Follow-up: What are your responsibilities as environmental engineer? Are
you responsible for obtaining the proper permits for your company? If not,
who does? Who is your supervisor?
11. Statement: We talked about disposal methods for the cyanide at our weekly
meeting.
Follow-up: Who attended this meeting? What was said at the meeting? Are
there written minutes kept of those meetings?
12. Statement: A manifest was used when the waste was transported to the
disposal facility.
Follow-up: What disposal facility was used? Who transported the waste?
Who signed the manifest? Do you have a copy of the manifest?
36
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ADDITIONAL SOURCES OF INFORMATION
I. Existing or Recorded Information
A. Environmental Agency Files
1. permit applications/administrative records
2. correspondence
3. inspection reports
4. sampling data
5. citizen complaints
6. files from other media programs (e.g.. air, water)
7. enforcement files
B. RCRA Required Information
1. manifests
2. annual/biennial reports
3. periodic groundwater reports
4. certification/notification filings
C. EPA or State Files
D. OSHA and State OSHA Files
E. SARA Title III - Right-to-Know, and State Right-to-Know
F. Underground Storage Tank Registry
G. Workmen's Compensation Claims
1. employee identities
2. operational information
3. responsible individuals
H. Labor and Industry records
1. employee lists
2. employee status or continuation reports
I. Corporate and partnership papers
37
-------
J. SEC Filings
1. form 10-K
a. principal products and properties
b. legal proceedings
c. financial data
d. business trends
e. directors and officers
2. form 10-q (quarterly report)
3. form 8-K (unscheduled material events)
4. annual report
K. Dow Jones Reports
L. Dunn and Bradstreet Reports
M. Consumer Protection files
1. complaints
2. consent orders
3. inspection or reports
N. State transportation (hazardous substances) agency
0. County planning agency photos
P. Photographic and historical imagery
1. EPIC photos and analysis
2. National Archives (Suitland, MD)
3. Soil Conservation Services, (NOOA, Salt Lake City, UT)
4. EROS Data Center (US GS/NOAA, Sioux Falls, SD)
5. Federal and state transportation agencies
6. Environmental Monitoring System Lab (EPIC Advanced Monitoring
System Division, Las Vegas, NV)
7. Commercial aerial mapping
9. Local planning commisions
10. National Cartographic Information Center (Reston, VA)
11. State Geological Surveys
38
-------
Q. Local records
1. tax maps
2. engineering maps
3. construction permits and applications
4. sewer line maps
5. title (deed) records
6. fire marshal
R. Local police officials and records
S. Uniform Commercial Code filings
T. Court records
1. pleadings from private litigation
2. discovery materials from private litigation
3. bankruptcy files
U. Information systems
1. NEIC (Denver, CO)
2. Northeast Hazardous Waste Project (Trenton, NJ)
V. State Industrial Directories/Guides
W. Tax Information
1. State returns
2. Federal returns pursuant to 26 USC §6103(i)
X. ICC Data
1. applications
2. inspections
3. results of violations
Y. State Utilities Commission
39
-------
Z. Administrative orders for information
1. § 104(e) of CERCLA (42 U.S.C. §9604[e])
2. §§3007 and 7001, of RCRA (42 U.S.C. §§6927 and 6971)
3. §308 of CWA (33 U.S. C. §1318)
4. §§ 507 and 509 of CWA (33 U.S.C. §§1367(e) and 1369)
5. State Authority
AA. Discovery Evidence
BB. Sales brochures and publications
CC. Trade associations and special interest publications
DD. Environmental audits and risk assessment
EE. Insurance analyses and assessments. (Sanborn insurance
maps: pre-1929, Library of Congress)
FF. Manufacturer's materials safety data sheets
II. Inchoate Evidence
A. Interviews
B. Inspections
C. Sampling
D. Surveillance/Observations
40
-------
»
S.I.C.
industrial
classification
index
*0
INOCX Of PVOOOCTS
j | C R«f*r to »h« Industrial
jetton Un4f Which Monufacturort
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-------
STATISTICAL INFORMATION
A County-by-County Analysis of Employment As Well As
A Classification of Companies by S.I.C.
GEOGRAPHIC SECTION
Lists Counties In Alpha Sequence, With Corporate Data-in Depth
On Manufacturing Companies
STANDARD INDUSTRIAL CLASSIFICATIONS
600 Product Groupings Showing All Manufacturers In The State
ALPHABETIC SECTION
Lists Manufacturers Who Constitute or Serve Industry
INDUSTRIAL PRODUCT SECTION
Provides 3,600 Separate Product and Sub-Product Classifications
-------
geographic
section
iQAUS County
population 70.200
^aOTTSTOWH • 689
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-------
company
alphabetic
section
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wasningcor, 3.C. .0549
Form' L0 —1<
°iC 2 8 13fi 1
ANNUAL REPORT PURSUANT TO SEC-ION 13 or 1SM)X> orvr.uerfl
OF THE SECURITIES EXCHANv. ACT OF 1934 'Vtu-
for tne fiscal year ended September 30, 1984
Commission file
Number 1-481*7
3QWMAR INSTRUMENT CORPORATION
(Exact name of registrant as specified in its charter)
Ind iana
(State or otner jurisdiction of
incorporation or organization)
531 Main Street, Acton, MA
(Aoaress of principal executive
off ices)
Registrant's telephone number,
including area code:
35-0905052
(I.R.S.Employer
Identification No.)
01720
(Zip Code)
617-263-8365
Securities registered pursuant to Section 12(b) of the Act:
Name of each exchange
Title of each class on which reclstered
Common Stock, without par value American Stock Exchange
(Stated value $0.10 per share)
13 1/2% Convertible Subordinated American Stock Exchange
Debentures due 1995
Securities registered pursuant to Section 12(g) of the Act: None
Indicate by check mark whether the registrant (1) has filed
all reports required to be filed by Section 13 or IS (d) of the
Securities Exchange Act of 1934 during the preceding 12 months (or
for such shorter period that the registrant was required to file
such reports), and (2) has been subject to such filing require-
ments for the past 90 days. Yea x No
The aggregate market value of the Coomon Stock held by non-
affiliates (based upon the closing.price of the shares on the
American Stock Exchange) was approximately 512,250,000 as of
November 9, 1984.
On November 30, 1984, 4,636,500 stares of Common Stock were
outstanding.
DOCUMENTS INCORPORATES B! REFERENCE
Portions of the 1984 Annual Repo.e are incorporated by
reference in portions of Part X and Part XZ.
Portions of the definitive proxy statement for the 1985
Annual Meeting are incorporated by reference in Part XXX.
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TABLE OF CONTENTS
Subject
Page
PART I
I tern 1
BUSINESS 1
Financial information About Industry Segments .... 1
Narrative Description of Business
Electronic Equipment e-i Components 1
Electronics Segment R#wlew 2
Electromechanical and mechanical
Equipment and Compormts 3
Electromechanical Sega..nt Review 4
Sales 6
Research, Engineering and Development 6
Environmental Protection S
Qnployees 6
Foreign Operations 7
Executive Officers of the Company 7
Item 2
PROPERTIES 9
"tern 3
LEGAL PROCEEDINGS 10
Item 4
SUBMISSION OP MATTERS TO A VOTE OP SECURITY HOLDERS ....10
PART II
Uem S
MARKET POR THE REGISTRANT'S COMMON EQUITY
AMD RELATED STOCKHOLDER MATTERS 10
:r*m 6
SELECTED FINANCIAL DATA 10
Item 7
MANAGEMENT'S DISCUSSION AND ANALYSIS OP
FINANCIAL CONDITION AND RESULTS OP OPERATIONS 10
Item 8
PINANCIAL STATEMENTS AND SUPPLEMENTARY DATA 10
Item 9
DISAGREEMENTS ON ACCOUNTING AND FINANCIAL DISCLOSURE . U
-i-
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RCRA INSPECTOR INSTITUTE
INSPECTOR'S ADDENDUM
INSPECTION PROCEDURES
51
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GENERAL INSPECTION PROCEDURES
I. INSPECTION OF THE SITE
A. Types of Field Inspections Conducted:
1. RCRA Inspections (CEI, O&M, LAI)
2. Complaint Investigations
3. Emergency Spill Response
4. Enforcement Cases (Case Development)
5. RCRA Closure/Groundwater Monitoring
6. Routine Verification of Permitted Facilities
B. Initial Considerations for the Inspector
1. Is the inspection or investigation being conducted in a reactive or
proactive mode?
a. Examples of reactive and proactive responses
2. Plan an inspection or response. The following guidelines or questions
can assist in planning the response to a reactive situation (i.e., complaints,
spills).
a. How reliable is the source of the complaint and can the complaint be
verified?
b. Is there an immediate danger to life or property?
c. Are there other agencies that can assist in the response or should be
notified?
d. What resources will be required immediately and long term (i.e.,
sampling)?
e. Are there potential legal obstacles?
f. Is there information available about the facility?
53
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C. Site Control
1. Identify everyone that accompanies you during the site inspection. In a
large facility the inspector may encounter a wide variety of personnel that
may be assigned to assist during the inspection. Take the time to write
down the name of the individuals who assist or accompany you during the
inspection. This will enhance your ability to further follow-up in the
event that additional information is reauired.
a. Considerations include shutting down a manufacturing process, news
media, etc.
b. Prevent individuals from tampering with waste and other potential
evidence.
c. Prevent possible exposure to unauthorized personnel.
2. Conduct an overview of the areas to be inspected,
- What to look for?
1. Drums
2. Storage Tanks (underground, above)
3. Other types of containers (i.e., rolloffs)
4. Lagoons, cooling ponds
5. Sewer drains, piping, valves, hoses
6. Tankers, tractor trailers
7. License plate numbers
8. Labels, markings, etc. on containers or drums
9. Spillage or other type of release
10. Vegetation damage
11. Signs of excavation or movement of drums, etc.
3. Keep in mind potential sampling locations.
2. Limit interference
D. Site Entry
1. Note potential chemical and physical hazards
;r -
54
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E. Documentation of Field Activities (Use field book)
General information:
1. Date and time
2. Names of all people present
3. Location and address of site (draw site map and show sample locations)
4. Weather conditions
5. Conversations and observations occurring on-site
6. Additional environmental information
a. Geologic data
b. Population factors
c. Site security
7. Record field instrument readings
8. Photography
a. If possible, photograph the site and any area where physical evidence is
to be collected prior to collection of that evidence.
b. Keep a log of the photographs you take.
c. Note the camera type, lens, film speed, flash, etc.
d. If a camera is not available, attempt to sketch the area.
9. Inventory of the Site
- Record the physical objects (i.e. drums) that are on the site. Use of
drum inventory forms to record:
1. Type of container (i.e., steel, plastic)
2. Size
3. Color(s)
4. Condition of drum
5. Label information (i.e. Manufacturer, Product Name, Lot
Numbers, Hazardous Information
10. Chain of Custody
a. What is chain of custody (provide a definition)
b. Removal of physical evidence - considerations
55
-------
1. Evaluate the need to remove the evidence.
2. Photograph prior to removal.
3. Keep a log or inventory of the evidence removed.
4. Provide a receipt for items you remove.
Chain of Custody Forms
Considerations after you leave the site.
1. Minimize people in the chain of custody
2. Proper storage of the evidence.
56
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II. OVERVIEW OF SAMPLING
The purpose of sampling is to obtain information (i.e., analytical data) which will
identify unknown chemical compounds/constituents. It may also serve to determine
extent of contamination and potential for harm. Without such information,
regulatory programs and enforcement actions are difficult to implement.
A. Sampling Philosophy
Determine goals of sampling (what will results show)
1. Reasons for sampling:
a. Regulatory function (inspection, compliance, closure, etc.)
b. Enforcement action (evidence for litigation)
2. Factors which determine number of samples:
a. Variety of wastes present
b. Can samples be composited
c. Physical and health hazards in obtaining samples (safety
considerations)
d. Extent of analyses (number of parameters)
e. Economics and laboratory constraints
3. Factors which determine location of sampling points and methods of
sampling:
a. Is release ongoing? (Sudden v. Non-Sudden Release)
b. Want to show that material is waste
c. Analysis will document violation
d. Avoid sampling if field instruments or sampling area show unsafe
conditions
e. Known vs. unknown waste
4. Efficiently select sampling points to provide sufficient data to satisfy your
purpose
5. Sample using approved methods in order to provide valid analytical data:
a. Maintain sample integrity
b. Quality assurance/quality control
6. Ensure adequate safety margin
57
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7. Coordinate sampling activities with team members:
- Develop sampling plan (example to be provided)
8. Do not over-sample:
a. Risk bias in favor of defense
b. Unnecessary costs
c. Overload laboratory
B. Legal Consideration in Sampling
1. Search and seizure issues
- Private property vs. commercial property
2. Always use standard sampling procedures (NOTE: If not possible, be
able to justify and prove sample validity)
3. Use clean, calibrated equipment
4. Utilize proper decontamination for any reusable sampling equipment
5. Offer to split samples with responsible parties
6. Determine state policy on sample storage pending litigation
C. Sample documentation
1. Sample number
2. Sample location description (drum number (ID), site map, etc.)
3. Physical descriptions of sample (matrix, quantity, color, etc.)
4. Sampling methods
a. Were splits taken
b. Preservatives
5. Total quantity of each waste type on-site (may be estimate)
6. Reference laboratory and chain-of-custody
58
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III. REPORTING AND PRESERVING INSPECTION FINDINGS
A. Report Writing
1. Communication - Central purpose is to communicate information to the
reader.
2. Strive to eliminate any possibility of erroneous conclusions, inferences or
interpretations.
3. Focus on the Facts — An effectively prepared report saves time for the
inspector and the reviewers by assisting those who must make the final
decision and take action on the report.
4. A report must be complete and provide a basis for action.
a. If the report is not complete and factual, time will be wasted in
attempting to remedy the situation by making a supplemental
investigation or report, or the violation may be lost altogether due to
inability to reconstruct the evidentiary foundation that would allow an
enforcement action to proceed.
b. A report is a written record of the results of the investigation and
provides the permanent record which may later be used as evidence
itself or to refresh a recollection.
c. The report serves as a starting point for the next inspection. It should
identify processes, problems and areas of particular concern. It also
must fully inform other inspectors who may become responsible for
subsequent inspections.
d. The report should identify what processes or parts of the facility were
not examined, if any. This information will provide assistance for
future inspections or return inspections; it will also make clear the
extent of the evidentiary foundation for any enforcement action that
might be based on the report.
59
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B. Report Writing Tips
1. General Standards of Investigations Writings
a. Write to express- not to impress. The inspector's purpose is to relate
the facts and evidence necessary to prove the elements of the offense.
How the evidence was acquired is neither relevant nor material-ejccept,
occasionally, to show the absence of a "taint." tsOsCJi.
it simple. Write plainly and with simple language.
The inspector should keep in mind that the
goal is to communicate to the reader. The less energy that the reader
spends understanding the words and their relationships, the easier it
will be for the reader to understand the writer's thoughts.
2. Including Surrounding Circumstances
For example, the inspector should include facts about a witness'
background if they reflect on the witness' credibility; and small details
that the inspector would not ordinarily recall six months to a year after
doing the inspection or report.
3. Test for Completeness - The report is complete only if it answers the
questions who, what, when, why and how.
a. The "who" in reports.
• All individuals mentioned in a report should be completely
identified the first time the name is mentioned; including their first,
middle and last names, if possible.
• The individual should be identified by a brief descriptive phrase
identifying who he/she is (e.g., whether plant manager, neighbor,
employee, etc.)
• A complete description of the person should be given if the name or
any other identifying information is not available.
\jJyvJai \jb - /Wt ^
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b. The "what" in reports.
• What happened? It does not mean what could have happened or
might have happened. It means what, to the inspector's knowledge,
happened.
c. The "when" in reports
• The when is the date and time of the observation or an
approximation if the exact time is unknown. Time is usually not
critical unless it refers to an observed event (e.g., a process upset, a
sampling procedure).
d. The "where" in reports.
• Where is a definitive place to the exclusion of all other places. It
should be clearly identified that there is not confusion or
misinterpretation.
e. The "why" in reports.
• This is most significant with respect to violations where intent is an
element of the offense (e.g., potential criminal violation). In such
cases, the report writer's objective is to set forth the facts that show
the intent with such clarity that there is no need for his own
conclusions or opinions to be in the report. If the suspect or
individual states why he did an act, the report would be factual if it
reported "Jones said that he dumped it because."
f. The "how" in reports.
° Explanation of industrial processes and waste handling procedures
is important for completeness.
• Conjecture about "how" things might have occurred should be
avoided. (But possible violations should be noted.)
4. Conciseness - Conciseness is not omission - it takes practice to be both
concise and complete.
a. Conciseness may be omitting words but it is never omitting facts, detail
and necessary explanation. Clarity and completeness are more
important than conciseness.
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b. Conciseness means simply the removal of elaboration or what is not
essential in the report. The inspector should:
- use short sentences and paragraphs; and,
- use active verbs.
5. Clarity and Logical Presentation
The report must be written clearly in order to avoid misinterpretation.
Writing takes time and effort. Order your thoughts; select those most
useful to the reader; arrange them logically; and select the words that will
best convey your thoughts to the reader.
a. Pronouns - Careless use of personal pronouns is a frequent cause of
ambiguity, (e.g., "He said he dumped it"; or "they claim they
monitored the impoundment".) If it is not absolutely clear to whom
a pronoun refers, do not use it.
b. Concrete Expressions - Use a concrete specific expression over an
abstract or general statement. Poor writing often reflects a failure
to select words which paint a clear mental picture.
c. Avoid the "it" habit.
d. Simplicity
e. Punctuation - Punctuation is important in order to make the
meaning easy to understand, (e.g., "I checked process output, no
leaks; observed leachate collection system.")
6. Report Formats
C. Field Notes
1. What to Write Down
2. What to Avoid
3. Should you Keep Field Notes?
4. Record of Telephone Contacts
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D. Maintenance of Enforcement Files
1. Contents
a. Should Contain AH Relevant Documents
- Reports
- Documentary Evidence
- Photographs
- Sampling Data Sheets and Lab Reports
b. Should Contain Only Relevant Documents
- not materials relating to other cases
- not miscellaneous handwritten notes or old routing slips
c. Should Be Maintained According to Consistent Policies
- e.g., destroy all drafts and intermediate drafts
- use document control sheets
2. Maintenance
a. Assure Physical Integrity
b. Limit Access
3. Confidentiality
a. How to Preserve "Confidential Business Information"
b. How to Preserve Enforcement Confidentiality
• Ways that Companies Can Gain Access to Files
• Privileges
• Effect of Leaks
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64
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RCRA INSPECTOR INSTITUTE
INSPECTOR'S ADDENDUM
ACCESS TO THE SITE
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RIGHT OF ACCESS
I. The Theory of Searches and Inspections
A. Is there an expectation of privacy which society is prepared to recognize
as legitimate and reasonable?
1. Open field
2. Plain view
3. Abandonment
4. Prevasively or closely regulated industry
B. Is there a reduced expectation of privacy?
1. Neutral regulatory inspection scheme
2. Statutory right of entry
C. If any expectation of privacy exists, has it been waived?
1. Oral consent
2. Written consent
3. Consent by permit condition or other administrative action
D. If expectation of privacy has not been waived, or if loss of privacy is not
honored by property occupant:
1. Administrative search warrant
2. Traditional search warrant
3. Equitable relief from court of record
II. Common Situations
A. Entry is denied.
1. Documenting the denial
2. Advance notice is not required (in most states)
3. Identify who denied access (guard, manager, etc.)
4. Demeanor of inspector in responding to denial
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B. Area is fenced; no one is present.
1. Documenting that no one is present
2. Documenting "abandonment"
3. Emergencies
C. Access is limited.
1. Types of limitations (photos, samples, documents, portions of
facility)
2. Response to limitations
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RCRA INSPECTOR INSTITUTE
INSPECTOR'S ADDENDUM
INSPECTOR AS A WITNESS
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THE INSPECTOR AS WITNESS
The purpose of this segment of the course will be to familiarize inspectors
with the process by which the legal system handles the results of their inspection and
information gathering process. The primary focus of this exercise is to transmit to
the inspector an understanding of how the information which he or she gathers
during an inspection is used by lawyers to influence the result of litigation. This
segment of the course will consist of four parts:
1. An overview of the legal process.
2. The inspector's "bill of rights."
3. Direct examination: what it is and how to prepare.
4. Cross-examination: what it is and how to prepare.
After completing this segment of the course, the inspector should have an
understanding of how lawyers-both the government lawyer and the attorney for
the company-will attempt to characterize (1) the information gathered by the
inspector, (2) the conduct of the inspector during the inspection, and (3) the
professional training and qualifications of the inspector, so as to influence the
weight that the decision-maker Gudge, administrative law judge, hearing examiner,
or jury) will give to the testimony of the inspector. The inspector should also have
an understanding of how to prepare for testimony, and what to expect during the
trial or hearing.
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I. Overview of the Litigation Process (Civil, Criminal and
Administrative)
A. Litigation is based on persuasion.
B. The difference between "scientific proof' and "legal proof."
1. Scientific proof is the demonstration of a principle or condition by a
process of observation, experiment and controlling variables so as to
exclude alternative hypotheses.
2. Legal proof is sufficient evidence to persuade the finder of fact that
something is true.
C. The significance of the difference.
1. Because legal proof whatever is necessary to persuade the fact finder, the
manner in which information concerning those facts is presented becomes
as important as the substantive information itself.
2. In other words, facts must be presented not simply in an objective manner,
but rather in a persuasive manner so as to influence a fact finder to believe
that they are true.
3. Thus, the inspector must understand that the attorney must present facts
and information in a manner which is most persuasive to convince a third
party to accept the belief that the information is true and should be relied
upon as the basis for a decision.
D. Rules govern the presentation of proof in a formal proceeding.
1. The difference between scientific proof and legal proof is not the only
influence upon the preparation and presentation of testimony. Every
proceeding (civil, criminal, or administrative) also has formal rules that
govern the presentations of testimony and other evidence (such as
exhibits).
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2. The inspector should understand that the attorney must be certain that
presentation of the testimony and other evidence conforms to these rules.
If it does not, the fact-finder is not allowed to consider the evidence, and
therefore it never becomes a legal "fact." The attorney should know the
rules in detail, but the inspector should be sensitive to the need to satisfy
the formal requirements.
3.- A general understanding of the reasons for the rules will help the
inspector work with the attorney in preparing to testify. The formal rules
are aimed at assuring that the testimony or other evidence is relevant,
competent, and reliable. Such an understanding helps overcome the view
expressed by some inexperienced inspectors that the rules are "just
technicalities."
. The Inspector's Bill of Rights: What the inspector should expect from
the government attorney who is preparing the inspector to give testimony at a
legal hearing.
A. The lawyer should explain to the inspector the inspector's role in the overall
case.
1. The attorney should explain to the inspector the factual elements that the
government must prove to establish its case.
2. The attorney should explain to the inspector which of those
elements the attorney is attempting to establish through the
inspector's testimony.
—The attorney should answer the inspector's questions about what parts of
the case will be established through other witnesses and how that
testimony will be integrated with the inspector's testimony.
B. The attorney should get to know the inspector and understand what the
inspector's limits are in presenting testimony.
1. The attorney should develop a feel for the style which best suits the
inspector's personality.
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2. The attorney should encourage the inspector to ask questions and express
concerns about any aspects of the inspector's testimony with which the
inspector feels uncomfortable. In order for the inspector to make a
relaxed and confident presentation, the inspector must be able to freely
discuss with the government attorney those aspects of the inspector's
involvement with the case which trouble him or her and obtain an
understanding of how those troubling aspects are either relevant or
irrelevant to the matters which must be established in the legal process.
C. The attorney should provide the inspector with suggestions as to how to
improve the persuasive content of die information which the inspector is
trying to present.
1. The attorney should help the inspector structure the order of the
testimony into the most persuasive logical sequence.
2. The attorney should help the inspector where necessary, to put technically
complex information into language which is understandable by the
layman who is frequently the trier of the fact.
3. The attorney should discuss with the inspector whether visual evidence
such as pictures, charts, graphs, etc. or demonstrative evidence will assist
in presenting complex information in a clear, understanding and
persuasive manner.
D. The attorney should prepare the inspector for objections by the opposing
attorney.
1. The attorney should explain what objections may occur and how the
attorney proposes to deal with them (e.g., by asking the inspector a series
of additional questions to provide a "foundation").
E. The attorney should help the inspector prepare for the likely avenues of
cross-examination.
1. The attorney should candidly discuss with the inspector the weak points, if
any, in the government's case, and how to respond.
2. The attorney should candidly discuss with the inspector whatever has been
learned about the regulatee's side of the story through the formal
discovery process.
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3. The attorney should inform the inspector about the ways in which the
attorney would try to attack or undercut the inspector's testimony if the
government attorney were acting as the attorney for the regulatee.
4. The attorney should inform the inspector of anything he/she knows about
the style and techniques of the attorney for the regulatee.
* * * *
Demonstration of a meeting between government attorney and inspector in
preparation for presenting direct testimony.
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III. Direct Examination
A. The purpose of the direct testimony is to communicate in as persuasive a
manner as possible the truth of the facts concerning which the inspector will
testify.
B. Preparing to Testify
1. Reviewing your file: How familiar do you need to be with details?
2. Reviewing other documents:
a. Other investigators/inspectors' files?
b. Discovery?
3. Revisiting the site?
4. Rehearsal versus practice: Staging a mock examination and cross
examination.
C. Demeanor - what it is and how to have a proper one.
1. The best direct testimony is delivered:
• in a style natural to the witness
• in a logical manner
• using the simplest language possible to communicate the
information accurately.
2. The witness should use a conversational tone of voice and should speak
directly to the finder of fact, not to the attorney who is asking the
question.
3. Sound objective while advocating your position.
D. The common mistakes to be avoided in delivering direct testimony.
1. Do not overprepare.
- Obviously "canned testimony" is unpersuasive. The finder of fact can tell
that the witness himself/herself is not sure of the accuracy of the
information concerning which he/she is testifying.
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2. Don't be overly technical.
a. A frequent mistake which witnesses with a scientific background make
is that they speak in terminology which is not readily understandable
to a layman who lacks the technical training of the witness.
b. More often than not, the finder of fact will be a layman who does not
have a technical background.
3. Don't equivocate.
a. There is noting more damaging than a witness who, when testifying
concerning a fact, clearly communicates through evasive language
that the witness himself or herself does not believe the accuracy of
the information concerning which he or she has testified.
b. If the inspector has any doubts concerning the accuracy of the
information about which he or she is testifying, the inspector should
resolve this matter with the government attorney during case
preparation so as to obviate the need for equivocation when on the
witness stand.
. Cross-Examination
A. The lawyer's rules of cross-examination.
1. Set forth below is an example of the rules which competent lawyers follow
in conducting cross-examination of the witness.
2. The rules set forth below demonstrate that during cross-examination the
cross-examining attorney is not engaged in neutral, objective search for
truth, but rather is attempting to lead the inspector to a predetermined
result.
3. Rules by which attorneys conduct cross-examination.
a. Be brief, short and succinct.
b. Ask short questions in plain words.
c. Ask only leading questions: always put words in the mouth of the
witness.
d. Never ask a question for which you do not know the answer: cross-
examination is not discovery.
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e. Listen to the answer and for volunteered information. Frequently it
provides a lead for further questions.
f. Don't quarrel with the witness: when you.get a stupid answer, stop
and leave it there.
g. Don't allow the witness to repeat his or her direct testimony: The
more the finder of the facts hears the same testimony repeated, the
more he is likely to believe it.
h. Never permit the witness to explain.
i. Save the ultimate point for closing argument: don't give the witness a
chance to talk his or her way around the point you are trying to
make.
4. The goal of cross-examination is not to seek objective information, but
rather, in some way, to decrease the likelihood that the finder of fact will
believe the information provided in direct testimony.
5. Typical areas of cross-examination in hazardous waste enforcement cases.
B. Rules the witness should follow during cross-examination.
1. Always repeat to yourself the question which the regulatee's attorney has
asked you one time before responding to it.
—This rule has two functions: first, it allows you to make sure you
understand the question and second, it gives time for your attorney to object
if it is not a proper question.
2. In repeating the question to yourself, ask yourself if there is ambiguity in
the question.
a. If you find a part of the question which you do not understand, say so.
Never answer a question when you are not sure of the full meaning of
the question that is asked.
b. Answer only the question that has been asked.
c. Usually you should not volunteer information. If the regulatee's
attorney hasn't asked the right questions, that is the attorney's
problem, not yours. If the roles were reversed, he or she would not
help you.
d. At times, your attorney may want you to give an expansive answer.
That should be coordinated ahead of time.
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3. Listen for objections from the government attorney. Frequently the
government attorney's objection can provide you with an idea as to how to
respond to the question.
4. Answer completely and honestly.
5. Admit when you do not know an answer.
a. Never attempt to answer a question when you really don't know the
answer. If you attempt to answer when you do not know the answer,
you will probably find that your lack of knowledge is demonstrated
very quickly.
b. Don't ever speculate in giving an answer. (There is only one exception
: if the judge has ordered vou to answer a question and you remain
uncertain about your answer, use phrases such as "I'm guessing, but"
or "I'm just speculating that".)
6. Discuss in advance with the government attorney how you should handle
questions which are presented to you that require a "yes" or "no" answer.
In situations where a simple "yes" or "no" would be misleading standing
alone, the witness may ordinarily request an opportunity to explain his or
her answer.
7. If your deposition was taken prior to the trial, always review your
deposition and make sure that you answer questions during cross-
examination the same way as during your deposition.
—If you have a good explanation as to why your answer is different, you
may try to give a different answer but make sure you have discussed that
in advance with the government attorney.
8. No matter how nice the regulatee's attorney is to you, never assume that
he or she is your friend.
9. Do not argue with the regulatee's attorney. Stick to what you know and do
so calmly and professionally. Some cross-examiners deliberately try to
provoke the witness in order to get the witness to show bias or to
volunteer additional information.
C. The Function of Redirect Examination
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Examples of cross-examination tactics designed to discredit direct testimony.
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RCRA INSPECTOR INSTITUTE
INSPECTOR'S ADDENDUM
ENFORCEMENT AUTHORITIES:
MAKING THE CASE
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ENFORCEMENT AUTHORITIES/MAKING THE CASE
ENFORCEMENT TOOLS
I. Warning letter, notice of violation, site complaint.
A. Easy to issue; low resource requirements; documents the violation
(useful if later formal enforcement action); no formal appeal. Required
in some states as prerequisite to order.
B. Has no legal effect. Relies entirely on "voluntary" compliance. Has no
deterrent impact (i.e.. does not deter future violations; simply says to
"fix" the current violation).
II. Administrative Order
A. Enforceable; may carry penalty; may get media interest.
B. Appealable; resource-intensive; may result in long delay (except in those
states where the order is immediately effective when an appeal is
pending).
III. Civil Litigation
A. Greatest range, flexibility and completeness of remedies; substantial media
interest; transaction costs to defendant are
high.
B. Time consuming; resource-intensive; depends on the judge.
IV. Criminal Prosecution
A. Strongest sanction; greatest effect on individual behavior, stronger
deterrent effect on defendant and others in regulated community;
substantial media interest.
B. Resource-intensive; strict procedural requirements; high burden of proof
for government; may require proof of intent; usually doesn't order
remedy to violations (unless part of plea bargain or ordered as condition
of probation or sentence suspension).
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V. Permit actions; "permit bar"; contractor "listing"; other
enforcement tools.
* * * *
Build your case through the inspection process so that all these options are
available.
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EPA ENFORCEMENT AUTHORITIES
Permit Denial
40 CFR Part 124; 270.51(c)(2).
Permit Modification
40 CFR Part 270, Subpart D
Permit Suspension/Revocation
RCRA §3005(d) - "noncompliance"
RCRA §3008(a)(3) - "violation"
RCRA §3008(h) - "release" (revocation/suspension of interim status)
40 CFR §270.43 -
violation of permit conditions; failure to disclose
relevant facts, or misrepresentation; danger to health
or environment that can only be regulated to
"acceptable levels" by termination.
Administrative Orders
RCRA §3008(a) -
RCRA §3008(h) -
RCRA §3013 -
"violation"; may include penalty for the violation;
administrative hearing.
"release" from interim status facility; penalty only for
failure to comply with the order; administrative
"paper" hearing.
"presence" or "release" of hazardous waste that "may
present a substantial hazard to human health or the
environment;" penalty only for failing to comply with
the order (also liable for reimbursement to EPA); no
administrative hearing.
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RCRA §7003 -
CERCLA §106 -
RCRA §3007
condition that "may present an imminent and
substantial endangerment to health or the
environment." (includes solid waste); penalty only for
failing to comply with the order; no administrative
hearing.
"may be an imminent and substantial endangerment to
the public health or welfare or the environment because
of an actual or threatened release of hazardous
substance from a facility; "penalty only for failure to
comply with order (also liable for response costs and
treble punitive damages). No administrative hearing.
"information" and "records." While not an order
itself, failure to comply with a §3007 information
request is a violation under §3008(a) and thus carries a
civil penalty. No administrative hearing.
Civil Litigation
RCRA §3008(a)
RCRA §3008(h)
RCRA §3013(e)
RCRA §7003
CERCLA §106
CERCLA §107
Criminal Prosecution
RCRA §3008(d) - "knowing violation":
(1) transports to unpermitted facility;
(2) TSD without permit, or in violation of material permit
condition, or in violation of material condition or
requirement of interim status;
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(3) omits material information, or makes false material
statement in any "application, label, manifest, record,
report, permit, or other document filed, maintained, or
used for purposes of compliance."
(4) "destroys, alters, conceals, or fails to file any record,
application, manifest, report, or other document
required to be maintained or filed for purposes of
compliance."
(5) transports without manifest, or causes to be transported
without a manifest;
(6) exports without consent of receiving country, or in
nonconformance with international agreement;
(7) handles used oil in violation of any material permit
condition or requirement, or material condition or
requirement of applicable regulations.
RCRA §3008(e) -
commits one of the above "knowing" violations and
thereby knowingly "places another person in imminent
danger of death or serious bodily injury."
""itle 18,
d.S. Code
Knowing and willful false statement.
Conspiracy to defraud the United States-
Wire fraud/mail fraud.
Contractor Listing
40 CFR Part 15
violations.
"adjudicated" Clean Air Act or Clejin Water Act
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STATE ENFORCEMENT AUTHORITIES
Permit Denial
Permit "Bar"
Permit Modification
Permit Suspension/Revocation
Administrative Order
Summary Offense
Civil Litigation
Contempt
Criminal Prosecution
Property Transfer Bars and Superliens
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MAKTNG THE CASE
1. A manufacturing facility located in a semi-rural area has two waste
management units, one which is a double-lined surface impoundment,
and the other of which is a landfill. It has submitted a complete Part B
application and is operating its impoundment under interim status; a
closure plan has been submitted for the landfill. The installed
groundwater monitoring network in general appears adequately designed
to detect groundwater contamination from either unit, and assessment
monitoring has not been triggered by sampling for the four Part 265
indicator parameters. You receive a report that one month ago a citizen
observed a large fish kill in a farm pond located adjacent to the facility
(and approximately 50 meters from the facility boundary). The pond is
moderately down slope from the facility and is also in the general
direction of any groundwater flow which might be leaving the facility.
The pond discharges into a small creek which has a water intake
approximately one-half mile downstream. What are your options?
2. An electroplating company accumulates its hazardous wastes in above-
ground storage tanks in drums located on the site. The wastes are
removed every 60-90 days, properly manifested and shipped to a TSD
facility. The tanks currently appear to be in good condition, as do the
drums currently on-site, but the surrounding vegetation is dead or
clearly stressed, and standing water in nearby puddles has a sheen and
smells bad. The local geology is chiefly porous limestone with some
shale units, and sinkholes are fairly common features. Records indicate
that two underground tanks were removed from the storage area in 1980.
What are your options?
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1A6LC OF MffHMIlY
Air
Wattr
Superfund
Nsllcldtt
Sol id Watt*
Orinfcing Wtlir
Toxict
iMpKllW
Authority
CAA 114
40 era 60.4.
M*
CWA 306. 402
40 Cffl 122.41
23). 7
CiatLA 104
flfRA 6,9
40 era iM.is,
169.3
BCRA 3007, 900*
40 CM 270.30
SOWA 1445
40 CFB 144.51.
142.34
1SCA U 717.17,
40 era 792.15
lKtrAMfln|
Authority
CAA 114. 206
111
40 era SI.
60, 79"
CWA 306 , 402
40 era 122.41,
172.46, 213.1,
233.11
CttClA 103
MfBA 4.6
40 Cfa 160.6),
160 185-195,
169. 171.11
RCRA >002,
300J, M04
40 CfB 262.40.
261.22 . 264.74.
264.2)9. 264.309
26S. 74, 26S.94,
26S.279, 265.109.
9003, 270.30,
270.>1
SOMA 1445
40 era u« si.
144.54,
141.31-33
ISCA 8
40 era 704, 710,
717.5, 720.76,
761. 761.180.
762.60 , 763.144,
792.165-195
Confidential
Informal Im
(40 Cf« 2.201-2.215)
CAA Mi, JO7
40 era 2.301,
53,51,60
DM 306
40 Cta 2.302
122.7, 233.16
aacu 104
flftt 7,10
40 era 2.307
«C«A 3007,9005
40 era 2.305,
260.2. 270.12
SOW 1445
40 era 2.304,
144.5
ISCA 14
40 era 2.306,
704.7, 707.75,
710.7, 712.15,
717.19.
720.85-95.
750.16, 750 36,
762.60, 763.74
iMrgtncy
Authority
CAA 30)
CWA 504
40 Cfa 233.36
CIBCU 104, 106
FiraA 27
40 era 164.
166
KM 7003
40 era 122.7
SOWA 1431
40 era 144.14
ISCA 7
taplvyM
frttKtlM
CAA 121
CWA 507
CfatLA 110
acaA 7001
SOWA 1450
ISCA 23
ftntHIti
CAA 113
CWA 309
40 era 233.28
CiaCLA 103
rifBA 14.IS
RCRA )008,
9006
SOWA 142),
1424. 14)1, 1441
TSCA 15, 16
• #4.077-7, $4.*7t-7. S4.44I-7*. M.406, M.I006.M.
" 9I.J20-.JU, 57.105, 57.305, 57.404. 50, 60.7, *1.10, <1.24, 4I.M-7I, 7t.J, 85.407. 05.1006, 6i.1906. 0*.077-7, 06.OM-J9 < 40,
M.IM-70 tikru 02, M.542-76, 06.009, S6.10Q9-M.
-------
RCRA INSPECTOR INSTITUTE
INSPECTOR'S ADDENDUM
INSPECTIONS FROM THE COMPANY'S
POINT OF VIEW AND DISCUSSIONS
WITH THE COMPANY
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INSPECTIONS FROM THE COMPANY'S POINT OF VIEW
The inspector is in a better position to do a thorough job if he or she
understands how companies view the inspection process, and typical company
objectives and methods for dealing with the inspection. Awareness of these goals
and methods will enable the inspector to avoid common pitfalls, and to use the
company's objectives as leverage in conducting a thorough inspection.
I. Company Objectives
A. To avoid the discovery of violations by the inspector.
B. To avoid repeat inspections. (They are disruptive of business, take time
and attention, and may discover violations previously overlooked).
C. To prevent, frustrate, or minimize enforcement actions (and their
consequences) that result from those violations that are discovered.
D. To comply with the law(?).
II. Company Methods
A. Limit what the inspector sees—
1. Check inspector's credentials and authority for access and limit
inspector's access to only those areas of facility directly related to
the inspection authority.
2. Assign inspection coordinator to accompany the inspector and
direct inspector's attention.
3. Establish itinerary to control what processes are seen and not
seen; and control timing of what is seen (i.e., to allow quick clean-
up of other areas); on large facilities insist on company vehicle
with company driver.
4. Avoid process upset areas (identify as "down" areas).
5. Maintain all RCRA-required documents in one book and only
show inspector that book.
6. Establish document control system with frequent purging of
documents.
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B. Interpret what the inspector sees—
1. Assign inspection coordinator to accompany the inspector and
interpret what is being seen.
2. Instruct employees that only the inspection coordinator should talk
to the inspector.
3. Establish itinerary to show process in a particular sequence
e.g.. to "tell the story", and thus minimize questions or
discrepancies.
4. Obtain blanks of checklist forms used by the inspector or agency,
and attempt to guide inspection by answers to checklist questions—
i.e.. encourage rigid adherence to checklist.
C. Persuade the inspector of company's goodwill and its interest in
compliance.
1. Appear cooperative, responsive-e.g., offer to provide documents,
assistance.
2. Establish trust, rapport with inspector.
3. This approach is aimed at (a) making the inspector relax and be
less thorough or nit-picking than the inspector might otherwise be,
and (b) influencing the outcome if a violation is detected (i.e.,
increasing the likelihood that the inspector will allow the company
to correct it without a formal enforcement action).
D. Obtain and maintain a record to rebut the inspector (for use if a formal
enforcement action or negotiation occurs).
1. Accompany inspector, prepare report on what inspector does and
sees.
2. Copy any documents the inspector copies.
3. Demand prints of photos taken by the inspector.
4. Split samples (often not tested by company, because test
results may be obtainable by government).
5. Obtain blanks of forms, manuals, checklists or other documents
used by inspector.
6. Request copy of completed inspection sheet/checklist before
inspector leaves the facility.
94
-------
E. Obtain admissions and representations from the inspector.
1. Insist on an exit interview identifying all violations. [The
company's theory is that if the inspector doesn't identify them, the
company will argue its "good faith" or other "defenses" to any
penalties, or at least to the penalty amounts, that may be sought later
for these violations . If the inspector does identify some violations,
the company will raise these same arguments to any violations not
identified at that time; also the company will demand to know how
it should correct the violations identified, hoping to "lock in" the
agency in a particular off-the-cuff remedial scheme].
2. Seek interpretations from the inspector as to the meaning of
regulations or the propriety of certain practices. [If the inspector
gives a favorable interpretation, the company will use the
interpretation to its advantage and claim reliance on the inspector
if the interpretation is later alleged to be wrong. Note that if the
inspector gives an unfavorable interpretation, however, the
company is not legally bound by it].
3. Attempt to find out when the inspector will return.
F. Intimidate the inspector.
1. This approach may be used by some companies instead of
attempting to persuade the inspector of the company's goodwill;
or, in some cases, in subtle combination with that approach.
2. This may include a hard-nosed attitude, frequent demands on the
inspector during the inspection, threatened ejection from the
premises, argument over the proper scope of the inspection, and'
legal argument to the inspector by the company's lawyer, while
the inspector has no attorney present.
3. Another approach is to overwhelm the inspector (particularly
the newer or inexperienced inspector) with technical mumbo-
jumbo so that the inspector becomes defensive and limits the
inspection and his or her questions in order not to look stupid or
uninformed.
95
-------
Dealing With Company Methods
A & B. Don't be limited by the company or its attempt to "shape" the
inspection.
1. Plan the inspection ahead of time and stick to the plan unless you
decide to pursue a different avenue during the course of the
inspection.
2. Find out the name of each individual who is the decision-maker
(in charge of) each facility operation. Three reasons: 1) aids in
follow-up investigation for case development; 2) establishes
possible basis for individual liability; and 3) makes it harder for
the company to limit your conversation to just the inspection
coordinator.
3. Ask questions of appropriate people even if otherwise instructed
by the company; or, at a minimum, ask the inspection coordinator
to ask your question to the appropriate employee in your presence
(most will be too embarrassed not to; they don't want to look like
they're hiding anything. Recall that they want to persuade you of
their goodwill and interest in compliance). .
4. Try to avoid going with inspection coordinator unless you need
that assistance.
5. Don't accept statements that a given area is off limits because it is
a non-RCRA area. Your authority is broad.
6. Ask for documents that you need to do a thorough inspection; not
just those in a compliance book.
7. If you are told that a document is not available because of a
company policy of purging files, insist on receiving a copy of the
written policy.
C. Remain professional regardless of the company's attitude.
D. Don't volunteer that you will provide things to the company.
1. You have the obligation to split samples if requested.
2. You need not, in most states, supply prints of photographs.
3. Company requests for forms and other documents should be by
letter to the agency so that a formal decision can be made.
96
-------
E. Do not bind the agency by "admissions" or representations.
1. Your function is to gather information rather than to convey it.
2. An exit interview, if any, should be brief, given to one person,
and conducted with adequate disclaimers to preserve all
enforcement options.
3. You have no obligation to provide interpretations of regulations,
particularly while conducting a field inspection.
F. Don't be intimidated by company attitudes and tactics.
1. Carry on as planned; maintain a professional attitude.
2. Obstruction of an inspection is a misdemeanor in some states.
3. Court orders and warrants can be obtained if necessary.
4. Don't get into a legal argument. Just carry out the inspection
unless prevented from doing so. Take detailed notes if you are
prevented, to support further action (i.e., warrant application,
etc.)
5. The inspector should not be overwhelmed by the technical
mumbo-jumbo approach. Insist that the process be explained
until you understand it. Remember that companies want to avoid
return inspections; use this leverage to your advantage.
Negotiations and Discussions with the Company
97
-------
98
-------
RCRA INSPECTOR INSTITUTE
INSPECTOR'S ADDENDUM
THE HAZARDOUS AND SOLID
WASTE AMENDMENTS OF 1984
99
-------
RCRA INSPECTOR INSTITUTE
INSPECTOR'S ADDENDUM
LAND DISPOSAL RESTRICTIONS
101
-------
LAND BAN RESTRICTION SCHEDULE
November 8,1986
F001-F005 Solvent Wastes
Dioxin-Containing Wastes
July 8,1987
August 8,1988
June 8} 1989
May 8,1990
California List Wastes .
->^hJLo
1st Third of Listed Hazardous Wastes
T
(3
2nd Third of Listed Hazardous Wastes
Remaining Third of Listed Hazardous
Wastes and Characteristic Wastes
-------
LDRs Do Not Apply To
Small Quantity Generators of less than 100 kg/
month (1 kg/month of acutely hazardous
wastes).
Wastes disposed prior to November 8, 1986,
unless there is new placement or new
generation.
-------
Solvent- and Dioxin-Containina Wastes
The following solvent-containing wastes are re-
stricted:
-» Wastes listed under RCRA F001—F005 in 40 CFR §261.31
The following dioxin-containing wastes are re-
stricted. aJLo^-. »
-» Wastes listed under RCRA F020—F023, and
-» F026—F028 in 40 CFR §261.31.
-------
Effective Dates for Solvent
and Dioxin Wastes
Waste
Effective Date
F001-F005 (Spent solvents)
F020-F023, F026-F028 (Dioxin-containing wastes)
Solvent wastes from small quantity generators
Solvent wastes generated from CERCLA/RCRA
corrective actions
Solvent-water mixtures, solvent-containing sludges,
or non-CERCLA/RCRA corrective action soils
with less than 1% total solvent constituents
Contaminated soil from CERCLA/RCRA corrective
actions
Contaminated debris from CERCLA/RCRA
corrective actions
Contaminated soil not from CERCLA/RCRA
corrective actions
November 8,1986
November 8,1988
November 8,1988
November 8,1988
November 8,1988
November 8,1990
November 8,1990
November 8,1988
-------
California List Wastes
The California list wastes are RCRA listed or characteristic hazardous
wastes that are liquids (except Halogenated Organic Compounds
(HOCs)) and contain one or more of the following: nsri-
*Free cyanides (greater than or equal to 1,000 mg/l);
'Certain metals:
~ Arsenic (in concentrations greater than or equal to 500 mg/l);
~ Cadmium (in concentrations greater than or equal to 100 mg/l);
~ Chromium (in concentrations greater than or equal to 500 mg/l);
~ Lead (in concentrations greater than or equal to 500 mg/l);
~ Mercury (in concentrations greater than or equal to 20 mg/l);
~ Nickel (in concentrations greater than or equal to 134 mg/l);
~ Selenium (in concentrations greater than or equal to 100 mg/l);
~ Thallium (in concentrations greater than or equal to 130 mg/l);
PCBs (in concentrations greater than or equal to 50 ppm);
Solid or liquid HOCs (in concentrations greater than or equal to 1,000
mg/kg or 1000 mg/l, respectively); or
Have a pH less than or equal to 2.
*Statutory requirements, but not codified in the regulations (40 CFR, Part 268).
-------
California List Prohibitions
California list wastes are regulated under the
LDRs only if they contain a RCRA listed or
characteristic waste.
General rule is that if a treatment standard has
been promulgated for that listed or charac-
teristic waste, the more specific treatment
standard takes precedence over a California list
standard.
-------
Effective Dates for
California List Wastes
WASTE
EFFECTIVE DATE
California list (except HOCs)
Dilute HOCs (greater than or equal to 1,000
mg/l and less than 10,000 mg/l)
Liquid and non-liquid HOCs rut
Contaminated soil and debris from CERCLA/
RCRA corrective actions
Contaminated soil and debris NOT from
CERCLA/RCRA corrective actions
July 8,1987
July 8,1987
November 8,1988
November 8,1990
July 8,1989
-------
First Third Wastes With Extensions
Of The Effective Date
WASTE
EFFECTIVE DATE
Petroleum Refinery Wastes
K048, K049, K050, K051, K052
August 8,1990
Electric Arc Furnace Dust
K061 (High Zinc)
August 8,1990
Brine Refining Muds/
Mercury Cell Process
K071
August 8,1990
Wastewater Treatment Sludges/
Mercury Cell Process
K106
August 8,1990
-------
Effective Dates For Certain
First Third Wastes
WASTE
EFFECTIVE DATE
Soil and debris contaminated with First Third
Wastes for which BDAT is based on solids incineration
August 8, 1990
Soil and debris contaminated with First Third
Wastes for which BDAT is other than solids incineration
August 8, 1988
Contaminated groundwater/leachate derived from
disposal of First Third "soft hammer" wastes*
May 8,1990
Wastewater residues from treatment of "soft hammer"
wastes*
May 8,1990
Mixed radioactive/First Third wastes*
May 8,1990
*EPA moved these wastes to the Third Third.
-------
Hard Hammers
"Hard hammer" provisions in the statute prohibit land dis-
posal of certain wastes if EPA fails to promulgate treatment
standards by the statutory deadlines.
"Hard hammers" apply to:
3 Solvents and dioxins—November 8, 1986
3 California List—July 8, 1987
3 All listed and characteristic wastes—May 8, 1990
-------
Soft Hammers
"Soft hammer" provisions apply to First Third and Second
Third wastes with no treatment standards promulgated by
the statutory deadlines. Such wastes may be land disposed
in a landfill or surface impoundment only if:
O The land disposal unit meets the minimum technology require-
ments or is equivalent; and
O The generator has determined that placement in a landfill or
surface impoundment is the only practical alternative to treat
ment currently available.
Soft hammer provisions apply only to placement in landfills
and surface impoundments; wastes may be land disposed
in waste piles and land treatment units without further re-
striction.
HUT 10
jL~V.CA
-Z—f. ^
-------
Notification
Waste does not meet the standards or
treatment levels.
Must provide with each shipment:
— Waste code
—Treatment standards or levels
— Manifest number
— Waste analysis data
-------
Certification
-> Waste meets the treatment standards or levels
upon generation.
-> Signed certification with each shipment that
information is correct.
-------
Soft Hammer Notice
f
No treatment standard for waste.
Must provide with each shipment.
• Waste number.
• Manifest number.
• Waste analysis data.
-------
Soft Hammer Demonstration/Certification
Effort to locate and contract treatment.
One-time demonstration.
—List of facilities
—Addresses
—Telephone numbers
—Contact dates
Certification accompanies demonstration.
-------
INSPECTION PRIORITIES
Commercial Land Disposal Facilities
Non-commercial TSDFs
Commercial Treatment and Storage Facilities
Generators—(by industry)
—organic chemicals, 13 restricted waste codes
—petroleum refining, 7 restricted waste codes
—electroplating, 1 restricted waste code
Commercial transfer stations and major transporters
-------
KEY COMPONENTS OF AN INSPECTION AND
POSSIBLE VIOLATIONS — GENERATORS
•> Is the restricted waste properly classified?
•> Is there notification/certification and where
appropriate, certification/demonstration
sent to the TSDF?
•> Do restricted wastes require treatment?
Is the generator improperly storing re-
stricted wastes?
-------
Is the restricted waste properly classified?
Potential for misclassification of F-solvents as D001.
Potential for misclassification of listed waste; check the process,
and check state of waste, either wastewater or non-wastewater.
-------
Notification/Certification to the TSDF
• Are They Sent with Each Shipment of Waste?
• Is All Required Information Included?
• Does the TSDF Retain Copies?
-------
Do restricted wastes require treatment?
Evaluate basis of applied knowledge.
Determine adequacy of generator sampling/testing.
-------
Is the generator improperly storing restricted wastes?
Generators should store restricted wastes for less than 90 days.
Generator can get a 30-day extension beyond 90 days.
If it is necessary to store much longer, the generator can apply for
interim status per §268.50(a)(1).
-------
POSSIBLE VIOLATIONS - GENERATORS
~ Illegal transport and disposal of restricted wastes.
~ Falsification of certification.
/ Failure to notify/certify.
~ Deficient waste analysis/sampling.
—Nonrepresentative sampling.
—Lab QA/QC.
—Generators "applied knowledge" not adequate.
/ Invalid demonstration/certification for soft hammer waste.
—No effort to locate treatment.
—Claim of no "available" treatment.
—Claim of no "practical" treatment.
—Inappropriate treatment technology employed.
-------
POSSIBLE VIOLATIONS - GENERATORS (Cont'd)
~ Misclassification of waste.
~ Exceeding 90-day storage.
~ Dilution of waste to meet treatment standards.
-------
Kev Components of an Inspection and Possible
Violations - TSDFs
Is TSDF conducting an adequate review of incoming wastes?
Is TSDF adequately testing waste residue after treatment?
Is storage facility complying with the 1 year storage limit for restricted
wastes?
Is the TSDF complying with requirements on the use of surface
impoundments?
Is the TSDF diluting restricted wastes to meet treatment standards?
Does the disposal facility retain notices from generators and treaters?
-------
Is TSDF conducting an adequate review of incoming
wastes?
>- Review waste analysis plans for necessary revisions.
>- Check waste codes to verify first third wastes, CA-list wastes,
solvents, dioxins.
>- Review operating records to identify potential "problem" generators.
—Generators not submitting certifications/notices.
—Generators shipping wastes that were previously shipped as first
third wastes, or shipping non-F solvents that were previously
F-solvents.
—Generators not submitting one-time demonstrations.
>- Review permit operating conditions.
—Check regulated units.
—Check for units not specified on permit.
-------
Is the TSDF adequately testing waste residue after
treatment?
Hard hammer wastes — test residue to determine if treatment
standards are met.
Soft hammer wastes — certify that waste was treated according to
generator demonstration.
-------
Is the storage facility complying with the 1 year
storage limit for restricted wastes?
>- Facility must be able to show that storage is necessary in
order to facilitate proper recovery, treatment or disposal.
>- May store beyond 1 year — on a case-by-case basis.
-------
Is the TSDF complying with requirements on use of
surface impoundments?
Treatment of restricted wastes must occur in a unit meeting
minimum technology standards, and untreated residues must
be removed annually.
Disposal of soft hammer wastes must only occur in a minimum
technology unit.
*With regard to soft hammer wastes, "facility" meeting minimum
technology means only "unit" meeting minimum technology.
-------
Is the TSDF diluting restricted wastes to meet
treatment standards?
IU* Dilution of any restricted waste is prohibited. Wastes must be
classified under a land ban category upon point of generation.
-------
Does the disposal facility retain notices from
generators and treaters?
Iin* Disposal facilities must keep copies of generator
notification/certifications and generator certification/
demonstrations as well as treatment facility
certifications.
-------
POSSIBLE VIOLATIONS - TSDFs
~ Landfilling restricted wastes (untreated).
~ Shipment of restricted waste to land disposal facility with
false certification.
~ Treatment of restricted wastes in surface impoundments that
do not meet minimum technology standards / Leaving un-
treated residue in surface impoundments for more than 1
year.
~ Falsification of treatment records or test results.
~ Dilution of wastes.
~ Reclassification of restricted wastes and shipment to a land
disposal facility under a false waste code.
~ Inadequate waste analysis.
-------
LDR CASE STUDY
Facility: Alloy Steel Inc.
Activity: Metal Finishing
Scenario:
Alloy Steel generates 3 different waste streams as a result of their metal
finishing process which are affected by the Land Disposal Restrictions. Alloy
utilizes a distillation system on-site to process a solvent mixture containing 1,1,1-
trichloroethane (TCA), which in turn, generates residual distillation bottoms
containing approximately 15-20% TCA. The TCA mixture is used to remove metal
shavings from the final product, as well as, a degreasing agent for some machinery.
Analysis performed show that the TCA used to remove the shavings has a
concentration of nearly 70% and that used for degreasing purposes, being
primarily mineral spirts and water, is about 22%. Also, every 3 to 4 months the
distillation tank is rinsed out with water and collected. This dilute waste-solvent
mixture is analyzed and found to contain less than 1 mg/1.
LDR Compliance:
• Waste streams 1&2 used for solvent purposes (i.e., extractant and
degreasing)
• TCA concentration greater than BDAT prohibition level, thus restricted
• Alloy (generator) must keep in its records information equivalent to
notification (i.e., treatment standards, analytical data) due to on-site
treatment
• Alloy (treater) "generating" restricted still bottom residuals, must submit
notification with each shipment to receiving TSD
• Waste stream #3, waste-water solvent mixture, properly analyzed (TCA or
TCLP), concentration less than BDAT level of 1.05 mg/1, thus no longer
restricted
• Alloy (treater) must submit certification with each shipment of waste stream
#3 to receiving TSD
133
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134
-------
RCRA INSPECTOR INSTITUTE
INSPECTOR'S ADDENDUM
SURFACE IMPOUNDMENT RETROFITTING
135
-------
MINIMUM TECHNOLOGICAL
REQUIREMENTS FOR INTERIM STATUS
SURFACE IMPOUNDMENTS (3005 (j))
A. What are the minimum technological requirements?
• Installation of two or more liners;
• Leachate collection system between the liners;
and
• Groundwater monitoring
Groundwater Monitoring
Well
Hazardous Waste
Flexible Membrane Liner
(Upper Component)
Low Permeability Soil
"(Lower Component)
Bottom
Liner
Leachate. Collection
System
B. Which surface impoundments are affected?
30050(1)
3005(j)(6)(A)
3005(j)(6)(B)
(1) Interim status surface impoundments in
existence and receiving hazardous waste
on or before November 8, 1984.
(2) Surface impoundments at facilities permitted
after November 8, 1984 that have not retro-
fitted or received a variance.
(3) Surface impoundments that become subject to
RCRA requirements due to promulgation
of additional hazardous waste listings or
characteristics.
(4) Surface impoundments initially granted a
variance but due to change in condition (i.e.
leak) no longer qualify.
137
-------
STATUTORY REQUIREMENTS FOR
INTERIM STATUS SURFACE IMPOUNDMENTS
(3005(j)(l))
INTERIM STATUS SURFACE IMPOUNDMENT
RECEIVING HAZARDOUS WASTE
AND IN EXISTENCE ON
NOVEMBER 8,1984
Hiunkms Wuu
r
"MINIMUM TECH-
REQUIREMENTS
Ortnadvtter Mooiamaf
Weil
Upper Flexible
Mcnhm I
MUST, BY
NOVEMBER 8,1988
1 ob 2 °» 3
' u u u u
Lciduit
Symm
Lower Rouble
Liner
(Upper Gonpoam)
Low Pcnnrihbty Sod
(Lower Caa^oaeu)
STOP RECEIVING
HAZARDOUS WASTE
AND HAVE BEGUN
CLOSURE PROCESS
STATUTORY VARIANCE
FROM
"MINIMUM TECH"
REQUIREMENTS
138
-------
COMPLIANCE DATES
A. Surface impoundments in existence and
receiving hazardous waste on November 8,
1984:
• Must comply with minimum technological
requirements by November 8, 1988; or
• Stop receiving hazardous waste by
November 8, 1988 and have begun closure
procedures; or
• Obtain a statutory variance
B. Surface impoundments with newly listed or
characteristic waste:
4 years to comply
2 years to apply
3 years to reply
• Must comply with minimum technological
requirements within four (4) years of a new
rule; or
• Must apply for variance within two (2) years of
new rule.
• Regional Administrator must respond to a
variance application within three (3) years of
new rule.
C. Surface impoundments that lose variance due
to change in condition(s):
• Must comply with minimum technological
requirements within two (2) years.
• If variance was initially granted to a surface
impoundment that contained treated waste
water subject to the Clean Water Act, three (3)
years are given to retrofit.
139
-------
VARIANCES
The application deadline for a variance was
November 8, 1986. EPA had until November 8, 1987
to make a determination on these applications.
The three variances include:
Compliance with
Clean Water Act
(1) The surface impoundment must:
• Have at least one liner which is not
leaking;
• Be located more than 1/4 mile from an
underground source of drinking
water; and
• [the facility must be] in compliance with
groundwater monitoring for RCRA
permitted facilities (3005(j)(2)).
(2) The surface impoundment must:
• Contain treated wastewater during
secondary phases of aggressive biological
treatment at a facility whose discharge is
regulated under the Clean Water Act
(CWA);
• [the facility must be] in compliance with
groundwater monitoring for permitted
RCRA facilities; and
• The facility must be in compliance with
CWA regulations or identify and
achieve significant degradation of toxic
pollutants (3005(j)(3)).
(3) The owner or operator must:
• Demonstrate that the surface
impoundment is located, designed and
operated to assure no migration of
hazardous constituents to groundwater or
surface water in the future (3005(j)(4)).
140
-------
3005(j)(13)
EXEMPTION
An exemption may be obtained if the owner/operator,
prior to October 1, 1984, has entered into, and is in
compliance with a consent order, decree, or agreement
with the Agency (or an authorized state) mandating
corrective action that is equivalent to the minimum
technological requirements.
141
-------
Without approved
closure plans...
With approved
closure plans...
CLOSURE TIMELINE
In the current regulations, closure is triggered by the
receipt of the last volume of hazardous waste (264/
265.113).
A. Facilities without approved closure plans.
1. Must submit closure plan 180 days prior to
expected date that closure will begin.
(June 13, 1988 for surface impoundments that
stop receiving hazardous waste on
November 8, 1988.)
2. Stop receiving hazardous waste by
November 8,1988.
3. Closure activities must begin within 90 days of
receipt of last volume of hazardous waste or
within 90 days after approval of closure plan,
whichever is later.
B. Facilities with approved closure plan.
1. Notify RA 60 days before date closure is
expected to begin (October 10, 1988 if last
receipt of hazardous waste was 11/8/88).
2. Closure must begin for all facilities with
approved closure plans within 30 days of last
receipt of hazardous waste. (December 8, 1988
if last receipt was 11/8/88).
3. Within 90 days of last receipt of hazardous
waste, all hazardous waste must have been
treated, disposed of, or stored elsewhere
according to the closure plan.
142
-------
REFERENCES
1. Federal Registers
July 15,1985 50ER28701
Final Rule. Minimum technology
requirements for surface impoundments
pursuant to HSWA.
March 28,1986 51FR10706
Proposed Rule. More minimum
technological requirements for
surface impoundment design.
June 6, 1988 53FR20738
Proposed Rule. Delay of closure period
for hazardous waste management
facilities.
June 30,1988 53ER24717
Notice of Agency View on Retrofitting.
Hazardous waste TSD facilities—
Surface impoundment retrofitting
requirements; Closure requirements.
2. Policy Memoranda and Guidance Documents
OSWER directive # 9484.00-52 Surface Impoundment Retrofitting
(October 15,1987) Time Allowed for Closure
June 15, 1986
Interim Status Surface Impoundments
Retrofitting Variances
(NTIS # PB 86-212-263)
OSWER directive # 9484.00-3
(September 15,1986)
Implementation Strategy for Surface
Impoundment Retrofitting Exemptions.
143
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144
-------
RCRA INSPECTOR INSTITUTE
INSPECTOR'S ADDENDUM
ENVIRONMENTAL CRIME
145
-------
ENVIRONMENTAL CRIME
I. Differentiating Between Civil and Criminal Enforcement
A. Goal of civil enforcement is primarily to bring violator into compliance and
to make environment "whole" through penalties tied to damages.
B. Goal of criminal enforcement is to punish violator and deter others from
committing similar violations.
C. Standard of proof in civil and administrative cases is comparatively low.
D. Standard of proof in criminal case is comparatively high.
E. Rules of evidence, particularly in administrative proceedings, are somewhat
relaxed.
F. Rules of evidence and procedural rights protecting defendant in a criminal
case are strictly applied.
G. Criminal prosecution often requires proof of "intent," or knowing or willful
violation.
II. Hazardous Waste Industry: Cast of Characters
A. Generators (thousands)
B. Transporters (hundreds)
C. TSDs (tens)
III. The Generator
A. For generator, disposal issue is one of expense (overhead), not income.
B. For most generators and managers, incentives and bonuses are earned for
maximizing profit, not complying with environmental rules.
C. Only incentive for complying with environmental laws is fear of
enforcement.
147
-------
D. Methods of beating the system:
1. Transporting off-site some, but not all, of notified waste.
2. Performing waste characterizations incorrectly to avoid identifying
hazardous wastes.
3. Commingling hazardous wastes with non-hazardous wastes.
4. "Storing" wastes for excessive periods.
5. Altering waste stream processes to qualify for NPDES permit
exception and other exceptions.
IV. Transporter
A. Probably least closely regulated of all three.
B. Has great incentive to dispose illegally if generator pays it both hauling and
disposal costs.
C. May employ drivers who will cut comers or dump loads to save time or effort.
V. Commercial TSD Facilities
A. Unlike generators, a TSD's profit comes directly from maximizing waste
flow.
B. In general, profits from legal disposal are so great that illegal conduct is
illogical.
C. However, certain unusual circumstances may exist:
1. Troubling monitoring results—which may require expensive remediation
—may drive TSD to falsify data or alter facility.
2. Imminent exhaustion of filling space may drive TSD to dump off-site.
3. Pressure from "good customer" may lead TSD to accept unapproved
wastes.
4. Fear of loss of business may cause treatment facility to continue operating
ineffectively during equipment failures.
148
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
Washington, d.c. 20460
SEP 2 I IS8T
OMU \ OF FNFOBCI M| M
AMKOMfl U\<7
MOMTOHING
MEMORANDUM
SUBJECT:
FROM:
TO:
Environmental Criminal Conduct Coming To The
Attention Of Agency Officials And Employees
Thomas L. Adams, Jr.
Assistant Administrator
Assistant Administrators
Regional Administrators
Deputy Regional Administrators
Associate Enforcement Counsels
Program Enforcement Directors
Regional Counsels I-X
V\ .
It is important that all acts of the regulated community
exhibiting actual or suspected environmental criminal conduct
which come to the attention of any employee of the Agency be
referred to the Office of Criminal Investigations for review and
possible investigation. I urge each of you to communicate this
policy regularly to all of the employees under your supervision.
It should also be included in any new employee orientation or
training that you conduct.
It is not expected or desired that your staff attempt an in
depth legal analysis of whether environmental criminal conduct
occurred. The highly trained Special Agents in the Office of
Criminal Investigations will do that with the help of attorneys
in the Office of Criminal Enforcement Counsel, the Office of
Regional Counsel and the Environmental Crimes Section of the
Department of Justice. However, in order for employees to
recognize possible environmental criminal conduct generally and
whether the case is meritorious, the factors listed below should
assist their efforts. In addition, my office will help provide
training to your staff in this essential area of enforcement.
FACTORS TO CONSIDER IN DETERMINING WHETHER
A MATTER SHOULD BE REFERRED FOR CRIMINAL INVESTIGATION
1. Knowing or Willful Behavior. All federal environmental
statutes require some degree of intent or voluntariness (usually
expressed in the statute as "Knowingly" or "willfully") before a
criminal case can be proved. Prosecutions under the Clean Water
Act can be prosecuted also for simple negligent acts (careless-
ness) without demonstrating intent, although such situations are
generally of lower prosecutorial priority than are knowing
-------
violations. Almost every federal environmental statute expresses
the type of mental state required to be shown for an act to be
criminally punishable.
When statutes, such as the environmental laws, are enacted
for the purpose of protecting public health and welfare, and
especially in subject areas where there is a strong likelihood of
protective governmental regulation, the government generally only
has to prove that a person knew what he was doing and he did it
voluntarily, not accidentally, in order to establish the state of
mind required for a conviction. It is not necessary to show that
he actually knew what the law required or that he acted with the
specific purpose of violating that law. Also, the knowledge
necessary for a criminal conviction may be proven circumstan-
tially; it need not always be shown directly. For example, while
there may be no direct evidence (such as a statement by the
defendant) that he knew a particular material was a hazardous
waste, a document found in his file describing it as such would
be good circumstantial evidence of knowledge. Thus employees
should be alert to indirect indicators of knowledge and other
elements of the offense.
2. Elements of the Offense. In addition to the required
degree of intent, each statutory offense consists of a number of
other elements, each one of which must be proved. For example,
the crime of disposal of hazardous wastes without a permit in
violation of RCRA 8 3008 (d) requires the government to prove
beyond a reasonable doubt that (1) a person (2) knowingly (3)
disposed of (4) any hazardous waste listed or identified by
characteristic (5) without a permit. Similarly, every
environmental offense must be analyzed in terms of its component
elements.
Determining whether the required degree of intent and each
of the elements of the offense exists and can be proven sometimes
entails a complex legal analysis which should be left to the
investigators and their attorneys. When faced with a possible
criminal case where the intent may be marginal, it is best to
advise employees to err on the side of caution and refer the
matter for the investigators and attorneys to analyze.
3. Impact on Government's Regulatory Function. Many of
EPA's regulatory systems rely heavily on complete and accurate
voluntary reporting from the regulated community. When infor-
mation or documents required to be filed are falsified, concealed
or intentionally destroyed, the integrity of the system is in
danger. The degree to which an act may have threatened or
damaged the system is another factor that can be weighed in the
decision to prosecute, but is not a requirement.
4. Harm. The extent of harm or threat of harm to human
health or the environment is another factor that is reviewed to
determine whether a case should be prosecuted. Prosecutors may
look at the duration of the harm or threat, the toxicity of the
-------
pollutants involved, and the proximity to population centers,
among others. Proof of harm is not a prerequisite to pro-
secution, but is a factor considered in exercising prosecutorial
discretion.
5. Patterns or Practices. It is useful to review a
subject's historical record of noncompliance before prosecution.
The past practices of a company, whether good or bad, can weigh
heavily in sentencing, thereby effecting its deterrent value and
prosecutorial merit.
6. Deterrence. A major value of criminal prosecution in an
environmental enforcement context is its ability to deter others
from doing the same type of act for fear of being prosecuted
themselves. For the deterrence to be effective, others similarly
situated must become aware of the prosecution. In some areas,
one criminal conviction with appropriate penalties can motivate
much of the regulated industry to be in compliance. Although
this factor is considered, it is not a prerequisite for prose-
cution.
OTHER CONSIDERATIONS
The factors discussed above are not exclusive and are not in
any particular order of importance. Many of the factors overlap.
How to weigh the various factors in any given case will depend on
the circumstances involved.
It is possible that an event involving environmental
criminal activity will not be investigated further or prosecuted.
There are innumerable reasons for this including, for example,
lack of prosecutorial merit, inadequate proof, the matter would
be better handled civilly or administratively, the state is
prosecuting the matter, the matter is not commensurate with
Agency priorities, and lack of resources. However, if the Office
of Criminal Investigations determines that criminal activity
occurred after formally opening a case investigation, only the
United States Attorney (or his representative) in the District or
the Department of Justice can decline to criminally prosecute the
case.
If a potential environmental criminal matter comes to the
attention of an employee, consultation with the Office of
Criminal Investigation should be sought at the earliest
opportunity. When in doubt, it is far better to consult with the
Office of Criminal Investigations on matters that may be
questionable than to risk the possibility of overlooking or
failing to recognize serious environmental criminal conduct.
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RCRA INSPECTOR INSTITUTE
INSPECTOR'S ADDENDUM
FUTURE OF THE PROGRAM
153
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FUTURE OF THE RCRA INSPECTION PROGRAM
I. Overall Direction of the Program
A. Few new major areas within the universe will be undertaken. However, more
complexity will be added to existing regulations.
B. 1984 HSWA Amendments—New regulatory initiatives:
1. Definition of Hazardous Waste
• DeMinimis Regulation
2. Determination of how to manage Bevill wastes. These large volume wastes
are currently excluded from Subtitle C and are listed below:
Section 261.4 (b) of RCRA:
(4) Fly ash waste, bottom ash waste, slag waste, and flue gas
emission control waste generated primarily from the combustion of
coal or other fossil fuels;
(5) Drilling fluids, produced wastes and other wastes from exploration,
development or production of crude oil, natural gas, or geothermal
energy;
(7) Solid wastes from the extraction, beneficiation and processing
of ores and minerals (including coal), including phosphate rock and
overburden from the mining of uranium ore; and
(8) Cement kiln dust waste.
3. Land Disposal Restrictions Program:
• Continuation of program to include the second third listed wastes
4. Incinerator Regulations
a. Proposal in 1989 to include emission standards
b. Tie into industrial boiler and furnace regulations
155
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5. Hazardous waste export rule
6. Corrective action -proposed Subpart S rule due in 1989
7. Subtitle D-solid waste program changes
C. 1989 RCRA Reauthorization
1.Will be authorized in 1989
2. Substantive changes not expected due to major change in 1984
3. Major shift to Subtitle D
D. New types of inspections:
1. Operation and Maintenance Ground Water
2. Laboratory Audit
3. Land Ban (normally part of a routine CEI)
4. Corrective action (compliance order, SWMU locations)
5. Surface impoundment retrofit (similar to LOIS)
6. State oversight—more intensive EPA oversight of State inspections
E. RCRA Implementation Plan (RIP)
1. Annual document that provides guidance on implementing the RCRA Subtitle
C program and provides a framework for determining priorities at the
national and State levels.
2. 1989 RIP national priorities:
a. Make final determinations on operating incineration facility permits by
November, 1989;
b. Ensure that environmentally significant TSDFs and closing land disposal
facilities are identified and adequately addressed by either operating
permits, post-closure permits, corrective action orders, or closure;
c. Process permits for new and expanded treatment and incineration capacity,
RD&D permit applications, off-site commercial treatment facilities, and
permit modifications; and
d. Conduct inspections mandated by HSWA, SARA, and Agency policy and
pursue enforcement against significant violators.
156
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F. Enforcement Response Policy (ERP)
1. December 1984 ERP
Multiyear policy that provides guidance on classifying violations, selecting the
appropriate enforcement action in response to various categories of RCRA
violators and taking federal enforcement action in States with authorized
programs
2. December 1987 ERP
a. Effective October 1,1988
b. Better define the category of High Priority Violator (HPV) and Class I
violations
c. Broadening of acceptable responses to HPVs
d. Specify reasons for deviation from enforcement action responses
e. Examples of HPV, Class I and Class II violations included in Appendix
G. Inspector Enhancement Strategy
1. RCRA Inspector Newsletter
2. RCRA Training Institute
3. Improved mechanisms for higher grade technical positions
4. Mandatory training that includes a flexible curriculum
(u. -
157
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II. Summary of Workshop Topics—Key Points
Enforcement Attitude
• Essential part of enforcement
• Role involves diverse skills including observation, interviewing, and
preserving information
• Requires in-depth knowledge of regulations
Hazardous Waste Generation
• Understand the process (how, what, volume, waste type and code)
• Determine if there are solid waste definition problems
Sources of Information
• Inspector should be aware there are numerous sources of information on
facility activities that can be accessed during an investigation
General Inspection Procedures
• Inspection of the Site
—Review files and determine information gaps
—Organize notes and important questions to ask
—Coordinate with other offices or agencies
—Determine potential health and safety concerns
—Conduct the inspection according to EPA or State SOPs, including
entrance conference, record reviews, site tour, observation recording,
and exit interview
• Overview of Sampling
—Workshop did not attempt to teach sampling
—Must understand definition of solid waste
—Must be trained to properly sample
—Quality assurance/quality control concerns
158
-------
• Reporting and Preserving Inspection Findings
—Extremely important that report is complete and accurate
—Various formats of reports must contain a minimum of information on
facility operations, waste generation, waste handling, and summary of
violations
—Files should be maintained on each facility
Access to the Site
• Know your legal authority for entry and inspection
• You have the right to access
The Inspector as a Witness
• Understand the legal process
• Consult with government attorney prior to hearing
• Review rules for direct cross-examination
Enforcement Authorities: Making the Case
• Do not bind the agency by interpretations made in the field
• Various authorities under RCRA, CWA, CAA, CERCLA, and TSCA that
can be used depending on site situation
• HSWA expanded the RCRA authorities with corrective action
Inspections from the Company's Point of View and Discussions With
the Company
• Do not be intimidated by technical jargon and audacity.
• Identify when company attempts to limit or shape the inspection.
• Remain professional regardless of the company's attitude.
• Don't volunteer information or items to the company.
• Do not bind the agency by interpretations made in the field.
159
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Hazardous and Solid Waste Amendments of 1984
• State inspectors must be aware of the new amendments that are effective in
each state regardless of whether the state is authorized or not, including
land ban and surface impoundment retrofitting.
Environmental Crime
• Be aware of potential criminal activity when conducting routine RCRA
inspections and report to immediate supervisor and criminal investigation
unit.
Case Studies on Generator. Permitted Incinerator and Used Oil Facility
• Team approach works best to understand facility compliance
• Have routine debriefings among inspectors after performing inspections
at different facilities
• One approach that may work is trying to develop specialists in different
areas, such as groundwater, incineration, tanks, etc.
160
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RCRA INSPECTOR INSTITUTE
INSPECTOR'S ADDENDUM
APPENDIX A
-------
RCRA INSPECTOR INSTITUTE
INSPECTOR'S ADDENDUM
MAJOR RCRA RULES SINCE
THE HAZARDOUS AND SOLID WASTE
AMENDMENTS OF 1984
-------
Appendix A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
11/13/84
5/13/85
449997
Hazardous Waste Management Systems;
Identification and listing of Waste
Final rule expanding the household waste
exclusion to include wastes from bunkhouses,
ranger stations, crew quarters, camp grounds,
picnic areas and day-use recreation areas.
261
12/20/84
6/20/85
49568
Hazardous Waste Management System;
Standards Applicable to Generators of
Hazardous Waste
Final rule allowing generators of hazardous waste
to accumulate up to 55 gallons of hazardous waste
or one quart of acutely hazardous waste in
satellite areas at the generator facility.
262
1/4/85
7/5/85
614
Hazardous Waste Management System;
Definition of Solid Waste
Final rule amending the definition of solid
waste in 40 CFR 261.2. The rule clarifies the
extent of EPA's jurisdiction over hazardous
waste recycling activities and sets forth
the regulatory regime for recycling activities
261,262
264,265,
266
A-
-------
AppenZITx A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
1/14/85*
7/15/85
1978
Hazardous Waste Management System;
Definition of Solid Waste
Dioxin-containing wastes final rule—listing
particular wastes containing chlorinated dioxins,
dibenzofurans andphenols as RCRA hazardous.
Also specified management standards for these
wastes.
261, 264,
265, 270,
755
4/23/85
10/23/87
16074
Hazardous Waste Management System;
Standards for Owners and Operators of
Hazardous Waste Treatment, Storage, and
Disposal Facilities.
Final rule amending interim status regulations
for hazardous waste surface impoundments,
land treatment units, and landfills (40 CFR
Part 265, Subparts K, M, & N, respectively) to
provide consistency with the requirements
in 40 CFR Part 264.
265
A- 2
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Appendix A
DATE
EFFECTIVE
PAGE
TITLE
40 CFR
PUBLISHED
DATE
NUMBER
PART NO.
4/30/85*
6/14/85
18370
Hazardous Waste Management System;
Standards for Owners and Operators of
Hazardous Waste Treatment, Storage,
and Disposal Facilities
Final rule which requires that the paint
filter test be used to determine the
absence or presence of free liquids in
containerized or bulk waste.
260, 264
265, 270
7/15/85*
7/15/85
28702
Hazardous Waste Management System;
Final Codification Rule
Codification of HSWA statutory changes
to RCRA that have immediate or short
term effects on the regulated community.
260, 261,
262,264,
265,266,
270, 271,
280
10/23/85*
4/23/86
42936
Hazardous Waste Management System;
Identification and Listing of Hazardous
Wastes
Final rule listing six new waste streams,
K111-K116. These waste streams are
generated during the production of
dinitrotoluene (DNT), toluene diamine
(TDA), and toluene diisocyanate (TD1). Also
included in this listing are four
commercial chemical products listed in
Section 261.33 (f).
261, 271
A-
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Appei. A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
11/29/85*
3/31/86 and
5/29/86
49168
Hazardous Waste Management System;
Burning of Waste Fuel and Used Oil Fuel
in Boilers and Industrial Furnaces
Final rule on burning hazardous waste fuels
and waste oil fuels for energy recovery,
under Subparts D & E of 266. frohibits
marketing and burning of hazardous waste
fuel and off-specification used oil in
non-industrial boilers. Storage controls
effective May 29,1986; all other provisions
effective March 31,1986
261, 264,
265, 266
271
12/31/85*
1/30/86
53315
Hazardous Waste Management System;
Identification and listing of hazardous waste
Clarification of F001-F005 hazardous waste
listings for spent solvents.
261
1/31/86
1/31/86
4128
Revision of State Hazardous Waste Management
Programs; Notice of Expiration of RCRA Interim
Authorization; Final Rule
Notice of expiration of interim authorization
for RCRA programs in CA, ME, NY, OH, PR,
and WV. TTie EPA is responsible for the
administration of the RCRA program in these
states until they become authorized.
271
A-4
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Appendix A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
2/13/86*
8/13/86*
5327
Hazardous Waste Management System;
Identification and Listing of Hazardous
Waste; Listing of Three Wastes Generated
During the Production of Ethylene Dibromide
(EDB); Final Rule
Final rule listing as hazardous three wastes
generated during the production of ethylene
dibromide. The new wastes include K117,
K118, and K136
261, 271
2/25/86
8/25/86
6537
Hazardous Waste Management System;
Identification and Listing of Hazardous
Waste; Listing of Four Spent Solvents
and Still Bottoms from the Recovery of
these Solvents; Final Rule
Final rule listing as hazardous four spent
solvents and the still bottoms from their
recovery. The spent solvents are
1,1,2-trichloroethane, benzene,
2-ethoxy-ethanol, and 2-nitropropane
261, 271
3/4/86
3/18/86
7540
State Hazardous Waste Program; Procedures
for Approving Revisions
Final rule allowing two procedures by which
state program revisions can be finalized—
(a) immediate final approval, and (b) the standard
proposed/final procedure.
271
A-*
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AppelWIx A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
3/24/86*
9/22/86 and
4/24/87
10146
Hazardous Waste Management System;
Identification and Listing of Hazardous Waste;
Standards for Generators of Hazardous Waste;
Standards for Tranporters of Hazardous Waste;
EPA Administered Permit Programs;
Authorization of State Hazardous Waste
Programs;
Small Quantity Generators (100-1000 kg/mo);
Final Rule
Final rule regulating generators who produce
100-1000 kilograms of hazardous waste per
month under modified Part 262 standards,
effective 9-22-86. Off-site TSD facilities
facilities handling waste from 100-1000 kg/mo
generators must be in compliance with
Part 264/265 standards by 9/22/86.
The Part 264 and 265 standards will apply
to those generators who treat, store, or dispose
of their hazardous waste on-site on
March 25, 1987.
260,261,
262, 263,
270, 271
A-6
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Appendix A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
5/2/86
10/29/86
16421
Standards Applicable to Owners and Operators
of Hazardous Waste TSD Facilities; Closure,
Post-Closure and Financial Responsibility
Requirements
Final rule promulgating amendments to the
closure, post-closure care and financial
responsibility requirements applicable to
owners and operators of TSD facilities.
260, 264,
265, 270
5/28/86*
6/27/86
19300
Hazardous Waste Management System;
Schedule for Land Disposal Restrictions;
Final rule establishing a schedule for banning
listed hazardous waste from land disposal
as required by Section 3004 (g) of the
Hazardous and Solid Waste Amendments
of 1984.
268
5/28/86
5/28/86
19320
Hazardous Waste Management System;
Identification and Listing of Hazardous
Waste; Clarification of the Listing for Spent
Pickle Liquor for Steel Finishing Operations;
Final Rule
Final rule clarifying that the listing for spent
pickle liquor from steel finishing operations
(K062) applies only to waste generated by iron
and steel facilities.
261
A-
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Apperu A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
7-11-86
9/9/86
25350
Standards Applicable to Owners and Operators
of Hazardous Waste TSD Facilities; Liability
Coverage; Interim Final Rule
Amendment of August 21,1985 proposed
rulemaking to amend the financial responsibility
requirements concerning liability coverage for
owners and operators of TSD facilities. The
interim final rule allows use of one additional
financial responsibility mechanism: a corporate
guarantee.
264, 265
7/14/86*
7/14/86 and
1/12/87
25422
Hazardous Waste Management System; Standard
for Hazardous Waste Storage and Treatment
Tank Systems
260,261,
262, 264,
265, 270,
271
Final rule promulgating amendments to the
hazardous waste storage and treatment tank
regulations. Some provisions were mandated by
HSWA. These regulations address the design
and installation of the primary containment
vessel, release detection and response, and
closure/post-closure requirements. The
effective date for Section 261.4 (a) (8) is 7/14/86.
Effective dates for Parts 260-265,270 and 271 is
1-12-87. SQG regulations effective 3-24-86.
A-8
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Appendix A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
8/6/86
8/6/86
282%
Hazardous Waste Management System;
Identification and Listing of Hazardous Waste;
Correcting 57 Entries to Appendix VIII; Final Rule
Final rule to correct 57 existing entries in 40 CFR
261.33 (e), 261.33 (0, and 40 CFR Part 261
Appendix VIII and to add Chemical Abstracts
Service (CAS) registry numbers to all listings.
261
8/8/86*
8/8/86
28664
Hazardous Waste Management System; Exports
of Hazardous Waste; Final Rule
Final rule promulgating amendments consistent
with Section 3017 of RCRA (as amended by
HSWA), prohibit the export of hazardous waste
unless certain requirements are met. These
requirements include notification of intent to
export be provided to EPA, prior to written
consent by the receiving country. A copy must
be attached to the manifest and the shipment
must be consistent with the terms of consent.
260,261,
262, 263
9/22/86
9/22/86
33712
State Hazardous Waste Program Requirements;
"Cluster Rule," Final Rule
Final rule amending the requirements for State
hazardous waste programs. The rule specifies
deadlines for State program modifications and
makes other changes to the existing regulations
to implement the State authorization provisions
of HSWA.
271
A-9
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Appeu .A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
10/1/86
9/22/86
35189
Hazardous Waste Management System;
Standards for Generators of Hazardous Waste;
Final Rule
Final rule amending the generator waste
minimization certification to the Uniform
Hazardous Waste Manifest to include a provision
for SQG. This rule requires SQGs to certify
that a "good faith effort" was made at their
facility to minimize waste production. This
rule also assigns a new OMB Manifest Form
Number (2050-0039) and extends the expiration
date to 9/30/88.
262
10/24/86*
4/24/87
37725
Hazardous Waste Management System;
Identification and Listing of Hazardous Waste
Final rule listing four new waste streams,
K123-K126. Those waste streams are generated
from the production and formulation of
ethylene bisdithiocarbanic acid (EDBC) and its
salts.
261
11/7/86*
11/8/86
40572
Hazardous Waste Management System; Land
Disposal Resrictions; Final Rule
Final rule establishing provisions for the land
disposal restrictions required by Congress
under RCRA as amended by HSWA.
Provisions in Sections 268.30(b) and 268.31(a)
will become effective on November 8,1988.
260,261,
262, 264,
265, 268
A-10
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Appendix A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
11/13/86
11/13/86
41082
Hazardous Waste Management System;
Identification and Listing of Hazardous Waste;
Final Exclusion and Final Organic Leachate
Model (OLM)
Final rule granting exclusions to Continental
Can Co., of Milwaukee, WI and Star Expansion
Co., Mountainville, NY. Also addresses
comments received by the Agency on its approach
to evaluating organics data in delisting petitions.
261
3/19/87
9/15/87
8704
Interim Status for Owners and Operators of
Hazardous Waste TSD Facilities
Amends regulations regarding closure and post-
closure care of hazardous waste surface impound-
ments with an interpretation of the regulatory
requirements applying to closure of storage
facilities.
265
6/4/87*
6/4/87
21010
Hazardous Waste Management System; Land
Disposal Restrictions; Correction
Corrects errors in the preamble and the
regulations of the November 7,1986 final rule
for the land disposal restrictions for solvents
and dioxins.
264, 265
268
A-
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Appei*. .A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
6/22/87*
6/22/87
23447
Development of Corrective Action Programs
After Permitting Hazardous Waste Land
Disposal Facilities
Final rule allowing the owners and operators of
a RCRA TSDF to conduct certain corrective
action activities after issuance of a permit at
the Regional Administrator's discretion.
270
7/8/87*
7/8/87
25760
Land Disposal Restrictions for Certain
"California List" Hazardous Waste and
Modifications to the Framework
Final rule detailing the implementation of the
land disposal restrictions on the "California
List" and the reasons for the Agency allowing
the statutory hammer to fall for certain wastes.
262, 264,
265,268,
270, 271
7/9/87
9/28/87
25942
List (Phase I) of Hazardous Constituents for 2fc
Ground-water Monitoring
Final rule amending the ground-water
monitoring regulations by changing the
constituents required for analysis in cases of
suspected contamination to a new list.
Appendix IX to Part 264.
,270
A-12
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Appendix A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
9/23/87*
4-23-88
35894
Exception Reporting for SQG Hazardous Waste
Final rule details exception reporting require-
ments for generators of greater than 1000 kg/
month and for generators of 100-1000 kg/month.
262, 271
10/6/87
10/5/87
37203
Guidelines for Recovered Materials Content in
Paper Products Procured by the Federal
Government.
Provides guidance to Federal Agencies on
complying with the requirements under Section
6002 of RCRA.
250
11/18/87
12/18/87
44314
Amended the financial responsibility require-
ments concerning liability coverage for owners
and operators of hazardous waste TSD
facilities.
264
12/1/87*
12/1/87
45788
Final regulations for implementing corrective
action for releases beyond facility boundary.
264
12/1/87*
12/31/87
45788
Codified further changes to the regulations
which implement the HSWA provisions relating
to corrective action and permitting for RCRA
TSD facilities and corrective action for hazardous
waste injection wells.
144, 265,
270, 271
A- 1
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Appen. A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
12/10/87
1/11/88
46946
Final rule which promulgated permitting
standards for miscellaneous units (Subpart X)
of Part 264.
264
1/5/88
3/5/88
126
Illinois; Approval of State Hazardous Waste
Program Revision
272
1/5/88
1/19/88
128
Indiana; Determination to Approve State
Program Revisions/Modifications
272
3/10/88
3/10/88
7740
Standards Applicable to Owners and Operators
of Hazardous Waste Treatment, Storage and
Disposal Facilities; Closure/Post-closure and
Financial Responsibility Requirements
Final rule which corrects errors in the preamble
in the May 2.1986 Federal Register f51 FR 164221
concerning closure and post-closure.
264, 265,
270
4/13/88
4/13/88
12256
Issuance of Administrative Hearings on RCRA
Section 3008(h) Corrective Action Orders for
Hazardous Waste Management
Final rule which establishes procedures to
govern the conduct of administrative hearings
pursuant to RCRA Section 3008(h).
22,24
A-14
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Appendix A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
4/22/88
4/22/88
13382
Hazardous Waste Management System;
Identification and Listing of Hazardous Wastes;
Technical Corrrections
Final rule which makes technical corrections
to the hazardous waste lists at 40 CFR 261.3(e)
and (0.
261
6/22/88
6/22/88
23546
Guideline for Federal Procurement of Paper
and Paper Products Containing Recovered
Materials; Final Rule
Final rule revising guidelines for Federal
procurement of paper and paper products.
250
6/30/88
6/30/88
24699
Guideline for Federal Procurement of
Lubricating Oils Containing Re-refined Oil
252
66/30/88*
Notice
24717
Notice of Agency View on Surface Impoundment
Retrofitting
3005(j)
7/6/88
Agency
Determination
25446
Regulatory Determination of Oil and Gas and
Geothermal Exploration, Development and
Production Wastes
3001(b)(2)(B)
7/19/88
7/19/88
27290
Identification and Listing of Hazardous Waste
Treatability Studies Sample Exemptions
260, 261
8/5/88
10/4/88
29460
North Carolina Interim Final Authorization
271
A-
-------
Appeiw .A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
8/5/88
10/4/88
29461
South Carolina Interim Final Authorization
271
8/10/88
8/10/88
30054
New Jersey Final Authorization of RCRA
Program Revisions
271
8/16/88
8/5/88
30908
U1C Program: Land Disposal Restrictions for
California List and Certain First Third Wastes
148
8/17/88*
8/8/88
31138
Land Disposal Restrictions: First Third
268
8/17/88
10/17/88
31000
Mississippi Final Authorization Revisions
271
9/1/88
10/3/88
33938
Financial Guarantee Expanded for Liability
Coverage at Permitted Facilities
264
9/2/88
9/2/88
34079
Standards for Hazardous Waste Storage
and Treatment Tank Systems; Clarification
and Correction
260, 264
265,270
9/13/88
3/13/88
35412
Relisting of "Bevil" Wastes; K064, K065,
K066, K088, K090, and K091
261
9/23/88
None
37045
Clarification of Interim Status Qualification
Requirements for the Hazardous Components
of Radioactive Mixed Waste—Clarification
Notice Only
270
9/23/88
12/22/88
37082
Underground Storage Tank Program;
Technical Requirements and State
Program Approval
280, 281
A-16
-------
Appendix A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
9/27/88
9/27/88
37563
Uniform Hazardous Waste Manifest Form,
Extension of Expiration Date
262
9/28/88
10/28/88
37912
Permit Modifications for Hazardous Waste
Management Facilities
270
10/4/88
10/4/88
38950
Nebraska Final Authorization of RCRA
Program Revisions
272
10/11/88
4/11/89
39720
Statistical Methods for Evaluating Ground-
water Monitoring at Hazardous Waste
Facilities
264
10/20/88
12/19/88
41164
Kentucky Final Authorization of RCRA
Program Revisions
272
10/24/88
8/8/88
41601
U1C Program: Land Disposal Restrictions
for California List and Certain First Third
Wastes (substantive correction)
148
10/24/88
N/A
42492
Semiannual Regulatory Agenda
—
10/26/88
1/24/89
43322
Financial Responsibility Requirements for
Underground Storage Tanks
280
10/31/88
10/31/88
43878
Iron Dextran Removed from the List of
Hazardous Wastes
261.33
261 App. VIII,
302.4
-------
Appeiu . A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
10/31/88
11/8/88
10/31/88
11/8/88
43881
45089
Strontium Sulfide Removed from the List
of Hazardous Wastes
Notice of Renewal of the Uniform Hazardous
Waste Manifest
261.33
261 App. VIII,
302.4
262
11/17/88
11/17/88
46558
Guideline for Federal Procurement of Retread
Tires
253
12/16/88
1/3/89
50530
Florida Final Authorization of RCRA Program
Revisions
272
12/21/88
1/24/89
51273
Underground Storage Tanks Containing
Petroleum-Financial Responsibility Requirements
and State Program Approval Objective;
Correction
Final rule correcting errors in UST financial
responsibility requirements and State program
approval objectives in October 26,1988 Federal
Register [53 FR 43322]
280, 281
1/9/89
1/9/89
615
Final rule which clarifies preamble and corrects
regulations on permitting miscellaneous units
in the December 10.1987 Federal Register
[52 FR 46946]
270
1/18/89
3/20/89
1940
Final authorization of Kentucky's State Hazardous
Waste Management Program
271
A-18
-------
Appendix A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
1/27/89
1/13/89
4021
An administrative stay on certain portions of the
land disposal restrictions program.
This stay applies to certain prohibited wastes and
allows treatment and disposal facilities to accept
wastes outside of the waste codes specified in
their permit to facilitate orderly and successful
implementation of the land disposal restrictions.
261, 268
1/30/89
3/1/89
4286
Amendment to Requirements for Hazardous
Waste Incinerator Permits
This rule clarifies that existing incinerators must
conduct a trial burn before receiving a permit.
270
2/3/89
1/24/89
5451
Underground Storage Tanks Containing
Petroleum; Financial Responsibility Requirements
This notice modifies the date by which a State
Attorney General must submit a certification
to the Region stating that a surety bond or
guarantee is legally valid and enforceable in that
State.
280
2/9/89
4/10/89
6290
North Carolina Interim Final Authorization for
RCRA
271
2/10/89
2/10/89
6396
Alabama placed on compliance schedule for
modification of its hazardous waste program.
271
A-
-------
Appen. A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
2/17/89
2/17/89
7328
Guideline for Procurement of Building
Insulation Products Containing Recovered
Materials; Final Rule
Guidelines for procuring agencies which use
Federal Funds to ensure these agencies use the
highest percentage of recovered materials that is
practicable.
248
2/21/89
4/24/89
7420
Approval of Michigan's Hazardous Waste
Management Program
271
2/21/89
4/24/89
7422
Approval of Wisconsin's Hazardous Waste
Management Program
271
2/21/89
3/7/89
@1:00 p.m.
7417
Approval of Utah's Hazardous Waste Management
Program
271
2/27/89
4/28/89
8191
Approval of Missouri's Hazardous Waste
Program
271
2/27/89*
2/27/89
8264
Land Disposal Restrictions
Final rule which amends the schedule for the
land disposal restrictions by moving multi-source
leachate derived from hazardous wastes to the
third third.
268
A- 20
-------
Appendix A
DATE
PUBLISHED
EFFECTIVE
DATE
PAGE
NUMBER
TITLE
40 CFR
PART NO.
3/7/89
3/7/89
9596
Changes to Interim Status Facilities for Hazardous
Waste Management; Modifications of Hazardous
Waste Management Permits; Procedures for Post-
Closure Permitting
Final rule which reclassifies certain permit
modifications and changes to interim status
facilities; also amends hazardous waste
permitting regulations to clarify that EPA can
deny permits for the active life of a facility
while permit decision on post-closure period
is pending.
124, 270
3/16/89
5/15/89
10986
Final approval of revisions to Kentucky's
Hazardous Waste Program
272
3/24/89
6/22/89
12329
Standards for the Tracking and Management
of Medical Waste
This interim final rule identifies medical wastes as
well as sets forth the regulations for implementing
the demonstration program under the Medical
Waste Tracking Act.
22, 259
A-r
-------
RCRA INSPECTOR INSTITUTE
LAND DISPOSAL RESTRICTIONS
CASE STUDY
-------
LDR Case Study #1
Facility: Alloy Steel Inc.
Status: Generator/TSD
Scenario:
As a result of their metal finishing operations, Alloy Steel generates
various waste streams which could be affected by the Land Disposal Restrictions.
Alloy generates large quantities of emission control dust/sludge from their
electric arc furnace which is used in the primary production of steel. Alloy has
two other separate operations, steel electroplating and aluminum chemical
conversion coating processes. Each of these operations generate a liquid waste.
The steel electroplating waste is treated in a wastewater treatment system and
generates an F019 sludge. Both of these sludges are sent off-site for disposal.
Toluene is used to remove metal shavings from the finished metal. This
same material is sometimes used as a degreasing agent for machinery. The
discarded material is manifested off-site as either F002 or U220 waste, depending
on its use.
Two 6,000 gallon dip tanks are used to accumulate liquid waste acetic acid
from the electroplating process. These tanks are emptied approximately every
three months and sent off-site for recycling. The acetic acid solution is
contaminated and no longer can be used in the manufacturing process. The
liquid acetic acid solution has a pH of 2 and contains hexavalent chromium and
nickel concentrations ranging from 400 to 1000 mg/1.
-------
Questions
1) What is the significance of the emission control dust/sludge generated
through the electric arc furnace?
2) Which LDR regulations apply to both the F006 and F019 wastes? What
distinctive LDR requirement applies only to the F019 waste?
3) What, if any, documentation (i.e., notification/certification, demonstration
etc.) should this facility send with their F006 waste? F019 waste? Should this
be a one-time submission or per each shipment? Should Alloy Steel have
copies of the documents sent on file?
4) Based on the above observations, should the toluene waste be given a U-220
classification? Which LDR regulations affect this waste?
5) What documentation should have been submitted with the toluene waste (non-
wastewater) if the waste concentration was 0.50 mg/1? 0.10 mg/1? (Note:
treatment standard for toluene non-wastewater is 0.33 mg/l.)
6) Does LDR affect the metal-bearing acetic acid? How?
-------
Answers
1) The emission control dust/sludge generated through the electric arc furnace
is a K061 listed hazardous waste and is restricted under the August 8, 1988
LDR First Third Regulation.
2) The First Third Regulations affect both the F006 and F019 listed hazardous
wastes. No treatment standards were promulgated for the F019 wastewater
or non-wastewater treatability groups; therefore, the F019 waste would be
affected by all sofi hammer requirements.
3) Alloy should have submitted, with every shipment of F006 waste, either a
notification indicating that the waste does not meet treatment standards or a
notification/certification indicating that the waste meets treatment standards.
The F019 (soft hammer) shipments should have been accompanied by a
notification that the waste is restricted and a certification/demonstration if the
waste is destined for placement in a landfill or surface impo.iiiyiment. The
demonstration submittal is only required for the initial shipment. As of
August 8, 1988, generators are required to keep copies of all notification,
certifications, and demonstrations submitted with each shipment of restricted
waste for five years.
4) If the material is used for its solvent properties, in this case extractant and
degreasing/cleaning, and discarded as a spent material, it is considered a
spent solvent waste and regulated under the November 7, 1986 Solvents
Dioxins Rule. The U220 classification in this scenario is incorrect.
5) The 0.50 mg/1 level exceeds the treatment standard of 0.33 mg/1 set for toluene;
therefore, a shipment of this waste should be accompanied by a notification
indicating that the waste is a restricted waste. The 0.10 mg/1 level is below the
treatment standard for toluene, therefore, a notification/certification would be
required in this situation.
6) The metal-bearing acetic acid waste is prohibited from land disoposal under
the July 8, 1987 California List Rule. TTiis waste is a liquid hazardous waste
with a pH of 2 containing chromium and nickel concentration levels above the
statutory prohibition levels. The waste must be treated below these prohibition
levels before it is land disposed.
-------
RCRA INSPECTOR INSTITUTE
INDUSTRIAL PROCESSES AT
AT CHEMICAL PLANT
-------
RCRA INSPECTOR INSTITUTE
Industrial Processes at a Chemical Plant:
Process Description
-------
Industrial Processes at a Chemical Plant:
Process Description
The purpose of this presentation is to acquaint the audience with the operation of a
chemical manufacturing plant. The following discussion contains descriptions of the
plant equipment and the process units utilized at a model facility. Each process unit
is depicted and is followed by a short description of the function of the unit. These
units are then represented by symbols commonly used in industry on the key to the
process flow diagram. From these symbols, a flow diagram is constructed which is
then used to represent the three industrial processes found in the case study.
1
-------
Reactor Vessel
Raw Material Feed
spent
catalyst
outlet
Control Panel
>»»»»»>»»>»»»»>£
0 @ 0 0 ®
~ GU ~
Reactor effluent
-------
I. Reactor
A reactor is defined as any vessel in which a chemical reaction for the process is
carried out. The typical vessel is cylindrical in shape and usually contains some type
of agitator. The reactor can be designed to operate at a variety of conditions
including different pressures and temperatures. Reactors usually range in capacity
from 50-500,000 liters.
When a chemical reaction takes place, the reaction never reaches 100% completion.
The resulting effluent from the reactor is usually a mixture of the desired product and
impurities, either byproducts from side reactions, unreacted raw materials, and/or
spent catalysts. These impurities are subsequently separated from the product and
either recycled back to the reactor or disposed of as wastes.
Examples of RCRA wastes which may be produced from a reactor are F024 (reactor
clean-out wastes from the production of chlorinated aliphatic hydrocarbons utilizing
free radical catalyzed processes) and K028 (spent catalyst from the hydrochlorinator
reactor in the production of 1,1,1-trichloroethane). Reactors are also commonly
cleaned out with solvents and this may result in the generation of various F001-F005
hazardous wastes.
3
-------
Tank Inlet
Tank Outlet
-------
II. Tanks
Tanks are found in almost every chemical plant. They are used for storage of
materials. They are usually plain cylindrical or rectangular vessels with inlet and
outlet nozzles. Tanks may also be equipped with refrigeration or pressurization units
for proper material storage. Examples of types of tanks include head tanks, charge
tanks, sump tanks and holding tanks.
Tank storage often results in the accumulation of a sludge at the bottom of the tank.
These tank "bottoms" will often exhibit a characteristic of a hazardous waste
(usually ignitablity or EP toxicity) and must be regulated as a hazardous waste once
they are removed from the tank. /< <7 5~2. 6
5
-------
Distillation Column
Feed
Stream
a
Still Bottoms
-------
m. Columns
Columns are used in a variety of chemical processes, including distillation,
scrubbing, washing, separation, and gas or liquid absorption. These processes are
typically purification of a liquid or gas, separation of two dissimilar substances, or an
exchange of chemicals. Some columns are packed with material to increase the
surface area for a reaction while others have plates. Columns are usually fitted with
inspection ports to allow for inspection of the process.
Through the use of a column, undesirable chemical by-products can be either
separated or extracted from the product. These undesirables are then collected in a
tank or conveyed to another reaction vessel for further processing. Distillation
columns commonly separate the product from a mixture and leave "bottoms" which
are usually disposed of as a waste. Scrubbing columns, washing columns, and
absorption columns are all examples of liquid-liquid or liquid-gas contact columns
which strip a specific chemical component from one of the fluids and transfer it into
the other fluid. The cleansed fluid is usually taken off the top as product while the
other fluid is either reprocessed to remove the undesirable component or disposed of
as a waste.
7
-------
Kiln
Kiln Feed Trough
Product/Ash
Collection Trough
-------
IV. Calculators and Kilns
Calcinators and kilns are used for melting or performing controlled heat reactions of
solids or liquids. They are usually slightly inclined rotary tubes constructed of heat
resistant stainless steel. They are usually fed by a conveyer system and have
common lengths of 55 meters.
Wastes produced from these units may include K008 (oven residue from the
production of chrome oxide green pigments) and several characteristic hazardous
wastes from the drying of EP toxic sludges.
9
-------
Crystalization Unit
-------
V. Crystallizers,.
There are 2 basic types of crystallizers: one uses heat to evaporate water from a
liquid solution and form solid crystals and the other cools a supersaturated solution to
precipitate out pure solid crystals. The first type is usually a large steam jacketed pan
while the second is usually a continuous vessel more similar in appearance to a
reactor.
Crystallizers usually do not produce any wastes but in some cases the crystals are
washed with a pure solution to remove impurities. The resultant solution is then
treated as a waste and is often a spent F001-F005 solvent.
11
-------
Heat Exchangers
Process
Fluid
Inlet
Process
Fluid
Outlet
Heat Exchanging
Fluid Inlet
I
1
1
1
1
1
Heat Exchanging
Fluid Outlet
Heating Fluid Outlet
Heating Fluid Inlet
Process
Fluid
Inlet
Process
Fluid
Outlet
-------
VI. Heat Exchangers
Any equipment in which heat is transferred from one fluid to another is a "heat
exchanger." Many of the previous pieces of equipment fall into this category.
Condensers are a type of heat exchanger specifically designed for the exchange of
heat between two fluids. The two fluids do not come in direct contact with each
other but heat is transferred through the walls of pipes within the shell. The shell is
usually a cylinder which contains tubes to carry the fluid which is to be heated or
cooled.
In a heat exchanger there is no reaction taking place and there is also no contact
between the two fluids: consequently there are no wastes produced during the
operation of the heat exchanger. Waste may be produced, however, as the heat
exchanger is cleaned out.
13
-------
Exhaust To bag house
Product
Collection
Vessel
Spray Dryer
-------
VII. Dryers
Dryers are used to remove water and other solvents from the product. There are four
major types of driers:
1. Atmospheric-similar to an oven,it contains trays where product is dried on racks.
2. Vacuum-similar to an oven but very little heat is used and a vacuum is created.
3. Rotary-horizontal cylinders, spheres, or double cones with a heating element in
the center.
4. Spray Dryers-usually columns with hot air rising through them and wet liquid
sprayed in the top of the dryer.
Nearly all of the wastes produced from the operation of a spray dryer will be
baghouse dusts which are collected after the air has left the dryer. An example of a
listed hazardous waste which may be produced from a dryer is K126, baghouse dust
and floor sweepings in milling and packaging operation form the production or
formulation of ethylenebisdithiocarbamic acid and its salts. Dryers can also produce
baghouse dusts with levels of metals high enough to classify them as EP toxic
hazardous wastes.
15
-------
Individual Filter
Screen ——
Process Fluid
Inlet
:•>»:$N
>*x5V
s\^
• .•:•;¦> •:.
% -
s s
£
:;t^v
; - s S:
1^5.
-V*
c§w
//•Co.-:
{:§*•
w(
m
,;™.;
:
: <¦:>>:
Process
Fluid
Inlet
***$
:-Wf
•v..,.-.
x-':
;3S:54;
*
E&s&s
ssm
teas
:p!
Sl'4
W*:
F$=s
vN\ 1 "¦
^-x-x.,
M*;
.£:&•¦:•
¦».w
mi
:<->^ %•
#
ip?
Ill':;
<*
Filters
Process Fluid
Outlet
M—*
ter Cartridge
j
Process
Fluid
Outlet
—~
-------
VIII. Filters
Filters are used to strain impurities from a solution. There are many different types
of filters and they cannot all be classified into a few distinct groups of filters. Most
filters are specialized for their particular use.
The purpose of a filter is to mechanically remove impurities or wastes. A filter
usually contains significant accumulations of wastes which must periodically be
disposed of. Spent filter cartridges are usually disposed of while filter screens are
generally scraped to remove any accumulations which have built up inside the filter.
These wastes would be hazardous wastes if they exhibited a hazardous waste
characteristic.
17
-------
Pump
-------
IX. Pumps
Pumps are used throughout the chemical industry in the transportation of liquids
from one process to the next. Three of the major types of pumps are the centrifugal
pump, the reciprocating pump, and the rotary or gear pump. Of these three,
centrifugal pumps are the most common because they have the ability to handle the
widest range of materials. Depending on the pressure requirements, pumps can vary
in size and shape but are readily recognizable because they are usually attached to
conveying pipes. Pumps frequently leak and if this material is discarded it may be a
hazardous waste.
19
-------
20
-------
Summary
The above descriptions have provided a very general overview of a standard
chemical manufacturing facility. The presentation is designed to summarize the
facility operation without becoming too deeply involved in the technical aspects of
operation. The drawings represent only one particular type of the respective units
and there are often several different categories contained under each heading. The
following key will summarize the major units found in the case study. The symbols
used in the flow diagram are similar to typical engineering diagrams. The
dinitrotoluene process and the two detergent lines which follow are the focus of the
case study.
21
-------
22
-------
KEY TO PROCESS FLOW DIAGRAMS
Distillation
Column
Condensor
Reboiler
1 hot air 1
Pump
Reaction
Vessel
Spray
Dryer
Cooling
Tank
V J
Flash
Storage
Tank
-------
Production of Dinitrotoluene
-------
Dodecene recycle
Key
1. Reactor Produces
Dodecylbenzene and impurities
2. Distillation Column
Recycles Benzene
3. Distillation Column
Recycles Dodecene
4. Distillation Column
Separates Dodecylbenzene
from hydrocarbon waste
Dodecylbenzene
To sulfonating
reactor
dium Dodecylbenzene
Detergent Lin^ 1
-------
( Dodecylbenzene j
NaOH
dodecylbenzene
sulfonate
Cooling
Tank
f
Oleum
Tank
HCI
storage
tank
sodium dodecylbenzene
sulfonate
Product Detergent
Production of Sodium Dodecylbenzene Sulfonate
Key
5. Reactor Produces
Dodecylbenzene Sulfonate
6. Cooling Tank
Reduces Temperature
7. Reactor Produces
Sodium Dodecylbenzene
Sulfonate
8. Spray Dryer Produces
Final Dry Product
Detergent Line 1 (continued)
-------
Dodecene recycle
Key
1. Reactor Produces
Dodecylbenzene and impurities
2. Distillation Column
Recycles Benzene
3. Distillation Column
Recycles Dodecene
4. Distillation Column
Separates Dodecylbenzene
for Sulfonation reactor
Dodecene
AICI
Production of Sodium Dodecylbenzene Sulfonate
Detergent Line 2
-------
Spent
Toluene
reaction
media
C Dodecylbenzene J
dodecyibenzene
sulfonate
storage
tank
sodium dodecylbenzene
sulfonate
er- —
Oleum
b
r" -=j
Toluene
Tank
© f"
Product Detergent
Production of Sodium Dodecylbenzene Sulfonate
Detergent Line 2 (continued)
Key
5. Reactor Produces
Dodecylbenzene Sulfonate
6. Flash Unit
Removes spent Toluene
7. Reactor Produces Key
Sodium Dodecylbenzene
Sulfonate
8. Spray Dryer Produces
Final Dry Product
-------
RCRA INSPECTOR INSTITUTE
GENERATOR CASE STUDY
31
-------
INTRODUCTION
The ABC Chemical Company owns and operates a small chemical plant on
the Scioto River outside Columbus, Ohio. Three products are manufactured
at the facility: dinitrotoluene and two industrial detergents. You have been
called upon to conduct an inspection of the facility.
By examination of ABC's most recent biennial report you have established
that the company is shipping two waste streams off-site: spent solvent waste
(i.e. F005) and alkylated hydrocarbon waste, which is ignitable (D001). The
biennial report indicates that the amount of these waste streams shipped off-
site is in sufficient quantities to classify ABC as a full quantity generator
(more than 1000 kg/month).
Past records such as the Notification of Hazardous Waste Activity Form and
prior inspections indicate that three other wastes are generated at ABC.
These are listed on the notification form as K111, spent hydrochloric acid,
and spent lead chloride catalyst. The acid is identified as corrosive (D002)
while the catalyst is toxic for lead (D008).
The facility is composed of two main buildings (Buildings A and B) and a
small warehouse. Buildings A and B are separated by a public road.
The State of Ohio does not have authorization under Section 3006 of RCRA
to operate a hazardous waste program in lieu of EPA.
33
-------
Warehouse
HA2ARDO
WASTE
HAZARDOUS
WASTE
ZARDOUS
WASTE
ABC Chemical Company
Aerial View
JOE'S DISPOSAL jp
•• •'^r®
Company Entrance/Exit
BUILDING A
Public Road
PARKING LOT
Company Entrance/Exit
X
BUILDING B
PARTS
DEGREASER
AICI.
DclcrgcM *2"
Pratfuctioa
line
Detergent Product
AccumuUlion
-rrr-Jl A«»
»« 45
Public Road
-------
SCENE 1
You have already informed the facility manager that you will be conducting
an inspection and he is waiting for you upon your arrival. You start the
inspection with Building A which, you are told, houses the dinitrotoluene
production line and the Detergent "1" line. Your first task is to identify the
waste streams that are generated in this building. A quick spin around the
structure indicates that there appear to be four waste streams. These are the
Kill stream, the spent hydrochloric acid, the spent lead chloride catalyst,
and the alkylated hydrocarbon waste.
You now wish to examine each process line individually, beginning with the
dinitrotoluene process. Here Kill wastewater is piped out of the building
directly from the production line. Your escort informs you that the waste is
piped to a wastewater treatment unit. At the end of the line you notice the
tank where the product dinitrotoluene is stored, but it does not peak your
interest, you are concerned with hazardous waste. Moving on to the
Detergent "1" line you examine the hydrochloric acid generation point. The
acid is simply generated from a small pipe that is connected to the detergent
process line^ You are told that the acid is stored in "poly" 55 gallon drums,
and indeed you notice these plastic drums a few yards away. There are six of
them, each is full and their tops are covered by a white, chalky substance.
These drums are neither labelled nor marked. Your escort explains that the
acid is neutralized in these drums, hence they are considered elementary
neutralization units and don't need to be marked. He further explains that the
chalky substance is the lime used to neutralize the acid. You scribble down a
few notes^ move on.
The spent lead chloride catalyst, which the notification form indicated
failed the EP toxicity test for lead, is piped directly from the detergent line
out of the building to, you are told, a 1000 gallon tank. From there the
catalyst is periodically introduced into an on-site recycling unit via a pipe.
The alkylated hydrocarbon waste is likewise piped directly from the
detergent line to a 5000 gallon tank.
You ask to see this 5000 gallon tank and are taken outside. A small pipe
connects this tank to a 3000 gallon tank that you are told is the previously
mentioned wastewater treatment unit. Your escort assures you that the pipe
only carries water that is separated from the hydrocarbon waste. You inquire
as to why this is done and are told that the hydrocarbon waste is sent off-site
to an industrial boiler to be burned for energy recovery and the water
decreases its BTU value. The 5000 gallon tank itself appears to be of a single-
35
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Warehouse
<#////?/////*
-------
walled design and sits upon a small, concrete pad that has a four inch berm
around the edges. A tank truck comes "damn near every other week" to
empty the tank, your escort tells you. The tank is clearly marked with the
words "Hazardous Waste."
NOTE: The 1000 gallon and 5000 gallon tanks were installed in April 1971.
SCENE 1 QUESTIONS
• Do you accept the facility manager's claim that the "poly" drums are, in
fact, elementary neutralization units and that they do not require marking
or labelling?
• What regulations apply to the 5000 gallon tank? Does the tank satisfy the
RCRA requirements relating to storage of hazardous waste in tanks?
The facility manager maintains that the 5000 gallon tank is emptied every
other week. How would you verify this statement? Is the tank an a
accumulation tank or a storage tank?
In the 5000 gallon tank, water is separated from the hydrocarbon waste
and the water is piped to a wastewater treatment unit. Should you view the
separation of water from the hydrocarbon waste as "treatment"? If this is
treatment, does the facility need a permit for the 5000 gallon tank? ^
Is it OK for ABC to send the hydrocarbon waste to an industrial boiler? yuzi
What regulations apply?
Zio(e @
37
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Warehouse
HAZARDO
WASTE
ZARDOUS
WASTE
HAZARDOUS
WASTE
}....
—H
-iPjv
f \sDOO Galloni
ABC Chemical Company
Aerial View
JOE S DISPOSAL |r~X=
Company Entrance/Exit
Public Road
BUILDING A
PARKING LOT
Company Entrance/Exit
X
BUILDING B
AiCI,
Dclcrgca("2'
figtacliu
Line
Detergent Product
Accumulation
-TT« AlC4
0
F005
Public Road
-------
SCENE 2
In your head you do a little quick geometry and determine that the
secondary containment system for the 5000 gallon tank (the concrete pad)
would hold, even with the most optimistic estimates, no more than half of the
volume of the tank.
You continue the inspection with the warehouse, where drums of the F005
solvent are stored. You are told that these solvents are generated in Building
B and are trucked over. You ask why they aren't just stored at Building B and
are told the disposal facility's truck can't get around to where the solvents are
generated, due to the narrowness of the road around Building B. These
drums are stored at the warehouse until the disposal facility's truck comes to
pick them up, which your escort says is about once a month. The containers 3°
appear to be in good condition, all are marked with an accumulation start
date and the words "Hazardous Waste," and there is ample aisle space.
Now you move on to the 3000 gallon tank that your escort described as a
wastewater treatment unit. The tank receives and treats the K111 wastewater
from the dinitrotoluene production line, as well as the water separated from
the hydrocarbon waste. The tank has no containment system, appears to be in
good condition, and is not affixed with any labels or wording. The tank has a
pipe that discharges into the adjacent stream. Your escort states that the
facility has a NPDES permit for this discharge.
A short time later you inspect the 1000 gallon tank where the lead chloride
catalyst is stored prior to recycling. The tank is connected to the recycling
unit by a pipe, but it does not appear to be an integral part of the recycling
unit. This tank does not have any type of containment system and is not
marked with any wording.
39
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Warehouse
fozar/n,a.
p2wr////7*
HAZARDO -
WASTE
HAZARDOUS
WASTE
ZARDOUS
WASTE
ABC Chemical Company
Aerial View
JOE S DISPOSAL IriUa
W=y^i
Company Entrance/Exit
BUILDING A
Public Road
PARKING LOT
Company Entrance/Exit
X
BUILDING B
PARTS
DECREASED
AICI.
Detergent* 2'
freduclioa
Line
Detergent Pre duct
Accumulation
—* Aici
Tb
F005
Public Road
-------
SCENE 2 QUESTIONS
• Is the capacity of the containment area around the 5000 gallon tank
satisfactory?
• Do you see any problem with the way ABC stores containers in the on-
site warehouse? md
• Do you accept the facility manager's claim that the 3000 gallon tank is a
wastewater treatment unit?
• Does the 1000 gallon tank require secondary containment and marking?
41
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Ware house
HAZARDO -
WASH
HAZARDOUS
WASTE
ZARDOUS
WASTE
f \s000 Call on)
ABC Chemical Company
Aerial View
JOE'S OISPOSAL 1lr~)k_a
>H^~
Company Entrance/Exit
BUILDING A
Public Road
PARKING LOT
Company Entrance/Exit
X
BUILDING B
AICI,
Detergent "2'
ProtfuctioB
Line
Detergent Preduct
AccunuUlion
Aret
a
FOOS
Public Road
-------
SCENE 3
Now you start the inspection of Building B, which is about two hundred
yards down a public road from Building A. The entrances/exits between
these two buildings are not directly across from each other. At Building B,
you begin by checking out the point in the Detergent "2" line where the spent
solvent is generated. Like the acid generation point, the F005 is simply
produced from a pipe that is connected to the process line. Sitting beneath this
pipe is a 55 gallon drum. You kick this drum and guess that it is about half-
full, or half-empty, depending upon your point of view. This drum is marked
with the words "Hazardous Waste" but it is not marked with an accumulation
start HmP! About fifteen yards away, pushed up against a wall, are six other
55 gallon drums that appear to be full. These are labelled with accumulation
start dates of from five days to four weeks ago. Thev are also marked with
the words "Hazardous Waste." When asked about these drums your escort
states that the half-full drum represents a satellite accumulation area and that
the six other drums are a separate container storage area and will be trucked
over to the warehouse in a couple of days.
While studying the detergent process line you notice five other drums that
appear to be full, but exhibit no markings nor labelling. You challenge your
escort about the waste in these drums and you are told it is a spent aluminum
chloride catalyst prodnrad from thp process line. There was no mention of
this waste in the facility's notification form, which you point out to your
escort. He politely informs you that the catslyst is returned to the process line
without any type of reprocessing and is therefore not a solid waste, at least
not to his understanding of the regulations.
Your escort needs to use the restroom and you follow him to an employee
lounge. On the way you notice a parts degreaser that does not appear to be in
operation. While your guide is in the restroom you query a passing employee
as to how long the unit has been shut down. You are told at least six months.
Asked if there is any solvent left in the unit the worker states that there must
be, because it would be his job to remove the waste from the unit if it was so
ordered, and he has not done so.
43
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Warehouse
HAZARDO -
WASH
2%
-------
SCENE 3 QUESTIONS
• Of what significance is it that the entrances and exits between Buildings
A and B are not directly across from each other?j^-
• Do you accept the facility manager's claim that the half-full drum
represents a satellite accumulation area and that the three other drums of
F005 are a separate storage area? yW
• Do you accept the facility manager's interpretation of the regulations
concerning the aluminum chloride waste? /to
• Is the out of service parts degreaser a RCRA storage unit?
45
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Warehouse
7W///////7?
HAZARDO
WASTE
2ARDOUS
WASTE
HAZARDOUS
WASTE
^ i.
t \x'\.
! Uooo Gallant
ABC Chemical Company
Aerial View
JOE S DISPOSAL lJr"X=
Company Entrance/Exit
D«t«rg«at Product
Accunul alias
>)Ant
Diailrolvtu Product
Accunul alio*
Area
BUILDING A
Public Road
PARKING LOT
Company Entrance/Exit
BUILDING B
PARTS
DECREASED
AICI,
Deterge*'2'
Preductloa
liae
Detergent Pre dud
Accumulation
TTTi Af««
~
F005
Public Road
-------
SCENE 4
The physical inspection of the facility now complete, you ask to view the
facility's records and are taken to the escort's office in Building A. There you
are shown manifest copies for the shipments of alkylated hydrocarbon waste
to the burner, and the shipments of the solvents to the disposal facility. The
other records you are shown are a copy of the Contingency Plan, job training
records, and documentations of waste analyses/determinations. You ask to
see other records and the escort nervously informs you that there are none.
You make copies of what he has, thank the facility manager and return to the
glorious Econo-Lodge to think over what you have seen.
SCENE 4 QUESTIONS
• Has the facility manager stored the records in the correct location(s)?
• Has the facility manager prepared and maintained all necessary records?
47
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Warehouse
-------
Questions Inspectors Should Always Ask When a Generator
Claims a Recycling Exemption
1. Is the material generated on-site or off-site?
2. Is reclamation necessary or can the material be reused as it is generated?
3. What defines "storage" prior to recycling/reuse?
4. If a recycler stores recyclable materials prior to actual reclamation, what
regulations apply?
5. Is the material being handled a "recyclable material" that is considered
hazardous, but specifically excluded from substantive regulation? See
261.6(a)(3).
6. Does the reclamation involve placement on the land, burning for energy
recovery, reclaiming precious metals or regenerating spent lead acid
batteries? See 261.6(a)(2).
7. Is the recycling beneficial reclamation?
8. Is the material being reclaimed a characteristic sludge or by-product or
an off-spec commercial chemical product?
49
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50
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ABC Chemical Company
Columbus, Ohio
EPA I.D. # OH D010203040
Inspected bv: Pierre Clouseau
Date of Inspection: March 8,1988
Date of Report: March 15,1988
Report Prepared bv: Inspector, U.S. EPA Region v
Weather Conditions: Partly sunny, 51°, Wind NE, 5-10 mph
1. Site Description
Hazardous Waste Generator (>1000 Kg/mo)
2. Responsible Official
John Smith, Facility Manager
3. Representatives Present
John Smith, Facility Manager- He was present with the inspector during the
exit interview only.
Elvis Ferguson, Operations Manager- He accompanied the inspector
throughout the entire inspection.
Robert Johnson, Production Foreman- He accompanied the inspector
throughout the entire inspection.
Pierre Clouseau, Inspector, U.S. EPA Region V
51
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4. Applicable Regulations
40 CFR Parts 262,265, 266, and 268, Revised July 1,1987
5. Purpose of Inspection
A RCRA compliance inspection was conducted at the ABC Chemical
Company by Pierre Clouseau, Inspector, U.S. EPA Region V. It was a
comprehensive facility inspection and included an overall site survey,
descriptions of industrial processes, hazardous waste identification and a
review of facility records kept on-site. Prior inspection reports and facility
records were also reviewed by the inspector at the Regional headquarters.
Applicable regulatory requirements are those in 40 CFR Part 262, 265, 266,
and 268 for manifests, accumulation standards, recordkeeping and reporting,
hazardous waste fuel burner certifications, and land disposal restrictions
notification and certification.
6. General Site Description
The ABC Chemical Company operates a production facility at 733-773
Scioto River Road, Columbus, Ohio. The company manufactures three
commercial products: dinitrotoluene and two detergents, Clean-Rite and
Waterfall.
The site has two main buildings (A and B), a storage warehouse and a
wastewater treatment unit which empties into the river. The WWTU has a
NPDES permit under the Clean Water Act.( Permit # OH 987654321).
7. Hazardous Waste Activity Description
ABC Chemical Company generates six different hazardous wastes. Two of
them, an F-005 solvent and a hydrocarbon waste (D001), are shipped off-
site. The remaining wastes are managed on-site. They include Kill, spent
hydrochloric acid (D002), spent lead chloride (D008) and spent aluminum
chloride (D003).
52
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-General-Wastes and Associated Units
Building A
1. Kill- generated from the dinitrotoluene production line. It is piped to the
WWTU outside building A.
2. Alkylated Hydrocarbons (D001) - generated from the detergent "1" production
line. It is piped to a 5000 gallon storage tank.
3. Spent Hydrochloric Acid (D002) - generated from the detergent "1" production
line. It is managed in 55 gallon polyu re thane drums and neutralized in these
same containers.
4. Spent Lead Chloride (D008) - generated from the detergent "1" production line.
It is piped to a 1000 gallon tank before being placed in a recycling unit.
Building B
5. Spent F005 Solvent - generated from the detergent "2" production line. It is
managed in 55 gallon drums and eventually moved to the warehouse for
storage.
6. Spent Aluminum Chloride (D003) - generated from the detergent "2"
production line. It is managed in 55 gallon drums and put directly back into the
production process without reprocessing, reclamation or other recycling.
8. Summary of Apparent Violations
The following apparent violations were noted during the inspection:
1. Section 270.1 (a) - Operating and shipping hazardous wastes to a storage
facility without a permit. ABC Chemical was shipping F005 solvent from
Building B to a separate warehouse on the other side of the public road. The
warehouse is located approximately 125 yards behind Building A and does
not have a permit to except the wastes.
53
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2. Section 265.193(e)(l)(i) - Operating a hazardous waste tank without proper
secondary containment. The 5000 gallon accumulation tank, identified as
Tank 1 on the facility blueprint,did not have proper secondary containment
for 100% of the capacity of the tank. Tank 1 is located between the entrance
road and the Scioto River.
3. Section 262.12 - Shipping hazardous wastes to a treatment, storage or disposal
facility that has not received an EPA I.D number. As stated in item #1, ABC
Chemical Company shipped wastes from Building B to a warehouse without
an EPA I.D. number.
4. Section 262.34 - Marking and labeling of hazardous waste drums. The drums
being used to neutralize the hydrochloric acid were not labelled and marked
prior to treatment.
5. Section 262.34 - Accumulation of hazardous wastes on-site. The 1000 gallon
tank, used for storing spent lead chloride catalyst, was not an integral part of
the recycling operation. It was not provided with secondary containment and
did not have the proper labels. The 1000 gallon tank is identified as Tank 3
and is located on the north side of Building A.
6. Section 261.4(c) - Storage of waste from manufacturing units. The solvent in
the out-of-service parts degreaser was identified as spent methylene chloride,
FOOl. Therefore, the parts degreaser was storing a hazardous waste for
greater than 90 days after the unit ceased to be operated for manufacturing
and should have been permitted. The facility has no permit for this unit.
7. Section 268.7(a)(i) - Generators that manage a land disposal restricted waste
that exceeds the treatment standards must notify the treatment facility with
each shipment of wastes. The generator was shipping spent solvent waste
(F005) off-site, but had not submitted the notifications with each shipment of
restricted wastes.
8. Section 266.34(e) - Requires a one-time certification from the burner which
states that the burner has notified EPA, identified hazardous waste fuel
activities and certified that the waste will be burned in a unit that meets the
definition of an industrial furnace or boiler. ABC Chemical did not have the
certification.
54
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9. Documentation of Violations
1. ABC Chemical Company transports drums of hazardous waste (F005) from the
generation area in Building B to the warehouse located approximately one mile
away. The warehouse is accessed via Scioto River Road, a public roadway
which runs between the two production areas. The warehouse does not have a
separate EPA I.D.# and has no storage permit. According to section 270.1(a), a
facility cannot receive wastes unless it has a permit and EPA I.D.# In addition,
Section 262.12 states that a generator must ship his wastes to a treatment,
storage and disposal facility that has an EPA I.D. number. The drums were
observed being transported to the warehouse from Building B without a
manifest and the warehouse does not have an EPA I.D. number.
2. The facility has a 5000 gallon tank that stores alkylated hydrocarbon waste from
detergent line #1. The tank does not meet the requirements found in Section
265.193(e)(l)(i) for secondary containment. The regulation requires 100%
containment and the tank can contain approximately 2000 gallons based on the
four inch beam surrounding the tank. Photographs of the tank and beam are
attached.
3. The facility neutralizes hydrochloric acid from detergent line #1 in plastic
polyurethane drums. Four drums were observed near the generation point that
were neither marked nor labelled. The facility could not provide information
on when the drums were treated to render the acid non-hazardous. Treatment
involves adding lime to the polyurethane drums to neutralize the acid. Section
262.34 requires that hazardous waste drums be properly marked and labelled.
Since ABC Chemical could not provide information on when the drums were
treated, the drums should be labelled and marked. Samples of the waste should
be analyzed for pH to ascertain whether the waste being stored is corrosive.
Wastes stored prior to being treated must be clearly marked and labelled.
Based upon these observations the drums were not in compliance with Section
262.34.
4. Tank 2, the 1000-gallon tank used to store lead chloride catalyst prior to
recycling,does not meet the requirement of 261.6(c)(1). This regulation states
that the recycling process itself is exempt from regulation. The tank is not an
integral part of the recycling process and therefore should be regulated as an
accumulation tank. The regulations governing accumulation tanks are
contained in Subpart J of Part 265 and Section 262.34. The tank should have
secondary containment, it should be marked and the tank should be inspected
for leaks and other problems. Based upon these observations, the tank is not in
compliance with the requirements.
55
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5. The facility had an out-of-service parts degreaser that contained methylene
chloride, F001. ABCTCompany Operations Manager, Elvis Ferguson, disclosed
that the unit was last used to degrease parts in May 1986 and was not slated to be
used for several months. Records indicated that the solvent had not been added
or changed in the unit since March 1986. Close examination of the unit
revealed a 2* diameter opening with no cover. Product methylene chloride is
stored in closed containers. According to statements made by Robert Johnson,
Operations Foreman, verified by a visual observation of the parts degreaser,
there was solent remaining in the unit which had not been removed for at least
six months. Section 261.4(c) states that hazardous waste is exempt from
regulations in a manufacturing process unit unless the hazardous waste remains
in the unit for more than 90 days after the unit ceases to be operated for
manufacturing or for storage or transportation of product or raw materials.
The unit has been storing wastes for over 90 days and, therefore, would be
required to have a permit for this unit.
6. Based upon a review of the manifests and biennial report, the facility has
shipped land restricted wastes (F005) off-site. Section 268.7 (a) (1) states that
generators managing a restricted waste that exceeds the treatment standards
must notify the treatment facility with each shipment of these wastes. ABC
Chemical did not have copies of these notifications, based upon a review of the
manifests.
7. The facility has been shipping hazardous waste off site to an industrial boiler to
be burned for energy recovery. A review of the manifests substantiated this
fact. Section 266.34 (e) states that a marketer needs a one time certification
from the burner certifying that the burner has notified EPA, identified the
hazardous waste-as-fuel activity, and certified that the waste will be burned in a
unit that meets the definition of an industrial furnace or boiler. ABC Chemical
is a marketer of a hazardous waste fuel but did not have the required
certification on file.
56
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RCRA INSPECTOR INSTITUTE
GENERATOR CASE STUDY
(ANSWERS)
-------
Each participant should be provided with a copy of the generator
regulatory review package. The package contains an overview of the
generator regulations. It is assumed that the participants will have at least a
working knowledge of the regulations governing generators of hazardous
waste.
The inspection of the ABC Chemical Company presents a scenario detailed
around the inspection of a greater than 1000 kg/mo generator that has three
tanks, an on-site recycling unit, and a couple of container storage areas. The
case-study presents a number of violations, all of which could occur at a
generator site. The types of violations were constructed by reviewing the
most commonly asked generator questions that the RCRA/SUPERFUND
HOTLINE has received in the past.
The issues that each scene brings up are contained in the instructor's
manual. Each scene should be openly discussed by the participants and the
discussions should bring up these issues.
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SCENE 1 QUESTIONS
• Do you accept the facility manager's claim that the "poly" drums are, in
fact elementary neutralization units and that they do not require marking?
An elementary neutralization unit is defined in section 260.10 as a device
which is used to neutralize wastes that are only hazardous because they are
corrosive, and that meets the definition of tank, container, transport vehicle
or vessel. Hydrochloric acid is normally hazardous due only to corrosivity,
and the poly drums definitely meet the definition of container. Thus, theses
poly drums are exempted from permitting per section 270.(c)(2)(v) and
from the standards contained in Part 265 per section 265.1(c)(10). However,
are they exempt from the labelling and marking requirements of section
262.34? Remember, these drums were neither marked nor labelled. They
should be marked and labelled until the acid is neutralized. Of course, once
the acid is neutralized it is no longer hazardous waste.
• What regulations apply to the 5000 gallon tank? Does the tank satisfy the
RCRA requirements relating to storage of hazardous waste in tanks?
Since the tank is storing hazardous waste it is subject to the provisions of
section 262.34(a)(1) and Subpart J of 265, except for sections 265.197(c) and
265.200. Since Ohio does not have authorization to run its own RCRA
program, all of the Subpart J requirements (save 265.197(c) and 265.200)
may be applicable .The inspector should first determine the age of the
hazardous waste tank. This can be done by reviewing site records and
documents or inquiring about the age of the tanks. When the inspector learns
the age of the tanks, he/she can determine what sections under Subpart J are
required. If applicable, Subpart J requires an assessment of the existing tank
system's integrity, providing the tank with secondary containment and a leak
detection system, spill and overfill prevention practices, daily inspections of
the tank, and closure standards for tanks taken out of operation.
The tank has a secondary containment system (the concrete pad), but is it
large enough? The inspector should have asked the facility escort what type
of leak detection system is used, what type of spill and overfill prevention
-------
practices are followed, and how often the tank is inspected. Unfortunately,
the inspector did not ask these questions (they're human too), so a follow-up
phone call to the facility is warranted.
• The facility manager maintains that the 5000 gallon tank is emptied every
other week. How would you verify this statement? Is the tank an
accumulation tank or a storage tank?
There really is no definition of an empty tank. However, the January 11,
1982 Federal Register explains that, as with accumulation in containers, the
"90 day clock" begins the moment waste is first placed in an empty tank.
Furthermore, "...a tank will be considered empty when its contents have been
drained to the fullest extent possible..." The register notice continues to
explain that "...since many tank designs do not allow for complete
drainage...it is not expected that 100 percent of the wastes will always be
removed. As general guidance, a tank should be considered empty when a
generator has left the tank's drainage system open until a steady, continuous
flow has ceased." ABC should be able to prove that the waste is removed
every 90 days. This can be done by examining manifests or by using mass
balance. If the truck does indeed come every other week it is hardly likely
that waste could remain in the tank for more than 90 days.
• In the 5000 gallon tank, water is separated from the hydrocarbon waste
and the water is piped to a wastewater treatment unit. Should you view
the separation of water from the hydrocarbon waste as "treatment"? If
this is treatment, does the facility need a permit for the 5000 gallon tank?
Treatment is defined in section 260.10 to include "...any method,
technique, or process...designed to change the physical, chemical, or
biological character or composition of any hazardous waste so as to
neutralize such waste, or so as to recover energy or material resources from
the waste, or so as to render such waste non-hazardous, or less hazardous;
safer to transport, store or dispose of; amenable for recovery, amenable for
storage, or reduced in volume." Thus, removing water from a waste would
constitute treatment. However, nothing precludes a generator from treating
his waste in his accumulation tanks or containers, provided that compliance
-------
with section 262.34 and Subparts I or J of Part 265 is maintained. So, if this
tank is in compliance with the regulations, ABC would not need a permit to
separate water from the hydrocarbon waste.
• Is it OK for ABC to send the hydrocarbon waste to an industrial boiler?
What regulations apply?
Since ABC is marketing hazardous waste fuel to a burner, they would be
considered hazardous waste fuel marketers. As such, ABC is subject to the
provisions of section 266.34 found in Subpart D of Part 266. ABC may
market their fuel to an industrial furnace or boiler only. ABC must obtain a
one-time certification from the burner certifying that the burner has filed a
notification of hazardous waste activity form and that the waste will be
burned in a unit that meets the definition of industrial furnace or boiler. This
certification would be required to be kept for three years from the date that
ABC last engages in hazardous waste fuel marketing transactions. The
inspector should keep this in mind when he examines ABC's records.
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SCENE 2 QUESTIONS
• Are you comfortable with the capacity of the containment area around the
5000 gallon tank?
Section 265.193(e)(l)(i) of Subpart J requires external liner systems of
hazardous waste tank systems to be designed or operated to contain 100
percent of the capacity of the largest tank within its boundary. This liner does
not satisfy this requirement and therefore the tank may be out of compliance
(depending on when secondary containment is required; see Section 265.193
(a)(3)). ABC may not be able to use this tank as an accumulation vessel. This
also shoots down the provision allowing ABC to treat its waste in this tank,
since the tank may not be in compliance with Subpart J of Part 265. ( Again,
the inspector should document the age of the tank in order to verify
appropriate requirements under Subpart J of 265.)
Do you see any problem with the way ABC stores containers in the on-site
warehouse?
If ABC stores waste in containers then the containers must be managed in
compliance with Subpart I of Part 265. These are common sense
requirements. For example, the containers must be in good condition, they
must be compatible with what is stored in them, the containers must be closed
except when adding or removing waste. Section 262.34(a)(2) and (3)
requires these containers to be marked with the accumulation start time and
the words "Hazardous Waste". ABC's warehouse appears to be in compliance
with these regulations.
• Do you accept the facility manager's claim that the 3000 gallon tank is a
wastewater treatment unit?
The definition of a wastewater treatment unit is in three parts:
1) The device must be part of a facility which is subject to
section 402 or 307(b) of the Clean Water Act.
2) The unit must receive and treat or store an influent waste-
-------
water, or generate and accumulate ^wastewater treatment
sludge, or treat or store a wastewater treatment sludge.
3) The unit must meet the definition of a tank.
ABC's 3000 gallon tank meets the definition of WWTU. The facility has a
NPDES permit issued under section 402 of the Clean Water Act, the tank
receives and treats an influent wastewater (Kill), and the unit meets the
definition of tank. This 3000 gallon tank is therefore exempted from the
standards of 265 and 270. It is not required to be equipped with secondary
containment nor need it be marked or labelled.
• Does the 1000 gallon tank require secondary containment, marking and
other standards applicable to hazardous waste tanks?
Recycling units are exempt from regulation per section 261.6(c)(1). But
this 1000 gallon tank is not an integral part of the recycling unit. It is an
accumulation tank which is subject to Subpart J of Part 265 and to section
262.34. The tank should be marked and the waste in the tank should be
removed every 90 days. It may also need secondary containment. In short,
this tank is out of compliance.
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SCENE 3 QUESTIONS
• What is the significance of the fact that the entrances/exits between
Buildings A and B are not directly across from each other?
These two buildings would not meet the definition of on-site. That is, these
two buildings would be considered two distinct generator sites and ABC
should have filed a separate notification form for each site. Furthermore,
ABC cannot ship its solvent waste from Building B to the warehouse. This
would be considered an off-site shipment of hazardous waste. The
regulations stipulate that when a generator ships his waste off-site it must be
manifested and transported to a designated facility. A designated facility is
defined as a permitted or interim status TSDF, a state permitted facility, a
recycling facility, or a precious metals recovery facility. ABC's warehouse is
none of these.
• Do you accept the facility manager's claim that the half-full drum
represents a satellite accumulation area and that the six drums of solvent
are a separate storage area?
The half-full drum would constitute a satellite accumulation area, and
ABC is in full compliance in that regard. The area where the full drums are
being stored is another container storage area that must be in compliance
with Subpart I of Part 265. As we have seen, the regulations found in Subpart
I are not very detailed. This area appears to be in compliance with Subpart I.
• Do you accept the facility manager's interpretation of the regulations
regarding the aluminum chloride waste?
Section 261.2(e)(1) provides that if a material is returned to the original
process from which it was generated without reprocessing, that material
would not be considered a solid waste and hence cannot be a hazardous waste.
The manager is correct in his interpretation of the regulations.
-------
• Is the out-of-service parts degreaser a RCRA storage unit?
Before making this determination, the inspector needs to properly classify
the solvent in the parts degreaser (i.e., spent material vs. product).
If the solvent is spent (no longer usable for its intended purpose) and is one of
the solvents covered in the F-listings or exhibits one of the four
characteristics of a hazardous waste, the solvent would be classified as a
hazardous waste, and the unit would be subject to RCRA regulations. If,
however, the solvent is not spent (it can still be used to adequately degrease
parts), it would be product solvent, not a solid waste, and therefore not a
RCRA hazardous waste.
The inspector needs to ask several questions to facilitate these determinations.
1. When was the unit last used to degrease parts?
2. Why is the unit no longer being used?
3. When is the unit going to be used again?
4. What type of solvent is in the unit?
5. How many times had the unit been used without any change or
addition of solvent?
6. Is the unit an appropriate product storage unit (i.e., is the unit
closed to prevent any evaporation of the solvent)?
The answer to these questions should give the inspector sufficient
information to make a determination as to whether the solvent in the unit is a
hazardous waste or still usable product.
NOTE: For more information on spent solvents, reference the following
materials:
-December 31,1985 FR
-The Background Listing documents for F001-F005
-------
SCENE 4 QUESTIONS
The inspector should keep in mind the fact that ABC would be considered
two distinct generator sites. This means that both Building A and Building B
should contain copies of the records pertinent to each respective site.
• Has the facility manager stored the records in the correct location(s)?
The generator should make the following records available:
- Copies of the manifests
- Copies of waste analyses/determinations
- A copy of the fuel burner's certification (At Bldg. A)
- A copy of any tank integrity assessments
- A copy of the Contingency Plan
- Land disposal restriction notifications/certifications
• Has the facility manager prepared and maintained all necessary records?
No. The only records found are copies of manifests for the hydrocarbon
shipments, a copy of one Contingency Plan, and copies of Biennial Reports.
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With EPA's November 29,1985
rulemaking, the Agency began regulating used
oil that is marketed and burned for energy
recovery. The chief purpose of the rule is to
prohibit the burning of hazardous waste and
contaminated used oil in non-industrial boilers
(e.g., residential boilers). The prohibitions are
implemented and enforced by placing
administrative controls on marketers and
burners of these fuels.
Introduction
The major aspects of the November 29, 1985
rule include:
~ Rebuttable Presumption
~ Used Oil Fuel Specification
~ Administrative Requirements
Major Aspects
The rebuttable presumption is a provision
for distinguishing fuel types. The rebuttable
presumption provides a criterion of 1,000 ppm
total halogen for presuming that a used oil has
been mixed with a halogenated hazardous waste
(e.g., chlorinated solvents). The level was
specified at 1,000 ppm total halogens to provide
an objective test for assuming mixing with a
hazardous waste has occurred.
Rebuttable Presumption
Because it is a rebuttable presumption,
the owner/operator may provide and is entitled
to provide evidence proving that the used oil
exceeding 1,000 ppm total halogens was not
mixed with hazardous waste. The burden of
proof is on the owner/operator.
i
1
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Used Oil Fuel Specification
Administrative
Requirements
The specification for used oil fuel
establishes maximum levels for certain metals
and total halogens, and a minimum flash point.
The specification is used to distinguish used oil
that may be burned in non-industrial units
versus used oil that must be burned in
industrial burning units (on-specification used
oil and, off-specification used oil, respectively).
Once an owner/operator claims and
shows the specifications are met, the used oil is
deemed on-specification used oil and no longer
subject to regulation. If contamination levels
in the used oil are found to exceed the
specifications the used oil is deemed off-
specification used oil and subject to regulatory
control.
The administrative requirements create
a tracking system from initial waste fuel
marketers, through distributors, to burners.
The requirements include notification, receipt
of EPA identification number, compliance with
off-specification used oil invoice system, and
recordkeeping. The administrative
requirements make it possible to administer
and enforce the prohibitions against burning in
non-industrial boilers and provide for proper
tracking of materials.
2
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Analyzed
Exceeds 1000 ppm
Total Halogen
Rebuttable
Presumption
Analyzed
Below 1000 ppm
Total Halogen
(Not Mixed with
Hazardous Waste)
Unsuccessful
Rebuttable
Successful
Rebuttable
Hazardous Waste
Burned for Energy
Recovery Part 266,
Subpart D
Used Oil
Burned for
Energy Recovery
Part 266, Subpart E |
Specification
Are
Off-Specification
Used Oil Fuel
Part 266, Subpart E
Regulations
1
On-Spedfication
Used Oil Fuel -
Not Regulated
Used Oil is any oil which has been
refined from crude oil, used, and as a result of
such use, contaminated by physical or chemical
impurities. Used oil includes the following: (1)
spent automotive lubricating oils (including car
and truck engine oil), transmission fluid, brake
fluid, and off-road engine oil; (2) spent
industrial oils, including compressor, turbine,
and bearing oils, hydraulic oils, metalworking
oils, gear oils, electrical oils, refrigerator oils,
and railroad drainings; and (3) spent industrial
process oils.
Definitions
Burning For Energy Recovery
involves the burning of fuels with appropriate
heating value for legitimate energy recovery.
Burning of low energy waste fuel as alleged
fuel is not considered to be burning for
legitimate energy recovery, even if the low
energy waste is blended with high energy
materials and then burned. Boilers and
3
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industrial furnaces burning low energy wastes
(i.e., having less than 5,000 - 8,000 Btu/lb
heating value, as generated) could be
considered to be incineration, and so be subject
to regulation as hazardous waste incinerators.
Boiler is an enclosed device using
controlled flame combustion and having
specific characteristics including: (1) the
combustion chamber and primary energy
recovery section must be of integral design
(e.g., waste heat recovery boilers attached to
incinerators are not boilers); (2) thermal energy
recovery efficiency must be at least 60%; and
(3) at least 75% of recovered energy must be
"exported" (i.e., not used for internal uses like
preheating of combustion air fans or feedwater
pumps).
Industrial Boiler is a boiler that
produces electric power, steam or heated or
cooled air, or other gases or fluids for use in a
manufacturing process.
Utility Boiler is a boiler used to
produce electric power, steam, heat or cooled
air, or other gases or fluids for sale.
Non-Industrial Boiler is a boiler
located at: (1) single or multifamily residences;
(2) commercial establishments such as hotels,
office buildings, laundries, or service stations;
and (3) institutional establishments such as
colleges, hospitals, and prisons.
Industrial Furnace is an enclosed
device that is an integral component of a
manufacturing process and that uses a
controlled flame to accomplish recovery of
materials or energy. The list of industrial
furnaces includes cement kilns, lime kilns,
4
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aggregate kilns (including asphalt kilns), blast
furnaces, and smelting, melting and refining
furnaces.
Space Heater is frequently used in
service stations and auto repair shops. The
units typically burn 1 to 2 gallons of used
crankcase oil per hour. Ninety percent (90%) of
the heaters are the vaporization type where the
oil is vaporized from a pan at the base of the
heater while metals and heavy, low volatility
compounds remain in the pan (and are cleaned
out periodically). The other heaters are the
atomization type where the oil is sprayed into
the combustion chamber.
5
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Regulations
Comments
What do these regulations
apply to?
Definition of used oil fuel
Used oil mixed with
hazardous waste is regulated
as a hazardous waste (see
exceptions below).
Rebuttable presumption
—Does the used oil contain
<100 ppm of each halo-
genated hazardous
constituent?
—Is other information
available that documents
used oil was not mixed
with hazardous waste?
Exceptions
Section 266.40 Applicability
(a) The regulations of this subpart apply to
used oil that is burned for energy
recovery in any boiler or industrial
furnace that is not regulated under
Subpart O of Part 264 or Part 265 of this
chapter, except as provided by
paragraphs (c) and (e) of this section.
Such used oil is termed used oil fuel.
Used oil fuel includes any fuel produced
from used oil by processing, blending, or
other treatment.
(b) "Used oil" is any oil that has been refined
from crude oil, used, and as a result of
such use, is contaminated by physical or
chemical impurities.
(c) Except as provided by paragraph (d) of
this section, used oil that is mixed with
hazardous waste and burned for energy
recovery is subject to regulation as
hazardous waste fuel under Subpart D of
Part 266. Used oil containing more than
1,000 ppm of total halogens is presumed
to be a hazardous waste listed in Subpart
D of Part 261 of this chapter. Persons
may rebut this presumption by
demonstrating that the used oil does not
contain hazardous waste. (For example,
by showing that the used oil does not
contain significant concentrations of
halogenated hazardous constituents
listed in Appendix VIII of Part 261 of this
chapter.)
(d) Used oil burned for energy recovery is
subject to regulation under this subpart
rather than as hazardous waste fuel
under Subpart D of this part if it is a
hazardous waste solely because it:
6
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(1) Exhibits a characteristic of hazardous
waste identified in Subpart C of Part 261
of this chapter, provided that it is not
mixed with a hazardous waste; or
(2) Contains hazardous waste generated only
by a person subject to the special
requirements for small quantity
generators under Section 261.5 of this
chapter.
(e) Except as provided by paragraph (c) of this
section, used oil burned for energy recovery,
and any fuel produced from used oil by
processing, blending or other treatment, is
subject to regulation under this subpart
unless it is shown not to exceed any of the
allowable levels of the constituents and
properties in the specification shown in the
following table. Used oil fuel that meets the
specification is subject only to the analysis
and recordkeeping requirements under
Sections 266.43 (b)(1) and (6). Used oil fuel
that exceeds any specification level is termed
off-specification used oil fuel.
Provided that the
characteristic used oil is not
mixed
Contains conditionally
exempt small quantity
generator (CESQG)
hazardous waste
Used oil fuel specification
i
Used Oil Exceeding Any Specification
Level Is Subject To This Subpart
When Burned For Energy Recovery
Constituent/Property
Allowable Level
Arsenic.
Cadmium...
Chromium.
Lead
Flash Point.
5 ppm maximum
2 ppm maximum
...10 ppm maximum
.100 ppm maximum
100° F minimum
Total Halogens
...4,000 ppm maximum
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Section 266.41 Prohibitions.
Marketing off-specification
used oil
(a) A person may market off-specification
used oil for energy recovery only:
Certification of the activities
and EPA I.D. number
(1) To burners or other marketers who
have notified EPA of their used oil
management activities stating the
location and general description of such
activities, and who have an EPA
identification number; and
Allowable devices
(2) To burners who burn the used oil in an
industrial furnace or boiler identified
in paragraph (b) of this section.
Burning off-specification used
oil
(b) Off-specification used oil may be burned
for energy recovery in only the following
devices:
Industrial furnace
(1) Industrial furnaces identified in
Section 260.10 of this chapter; or
(2) Boilers, as defined in Section 260.10 of
this chapter, that are identified as
follows:
Industrial boiler
(i) Industrial boilers located on the site
of a facility engaged in a
manufacturing process where
substances are transformed into
new products, including the
component parts of products, by
mechanical or chemical processes;
Utility boiler
(ii) Utility boilers used to produce
electric power, steam, or heated or
cooled air or other gases or fluids for
sale; or
Space heaters with certain
provisions
(iii) Used oil-fired space heaters
provided that:
8
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(A) The heater burns only used oil
that the owner or operator
generates, or used oil received
from do-it-yourself oil
changers who generate used
oil as household waste;
(B) The heater is designed to have
a maximum capacity of not
more than 0.5 million Btu per
hour; and
(C) The combustion gases from
the heater are vented to the
ambient air.
Section 266.42 Standards applicable to
generators of used oil burned for energy
recovery.
(a) Except as provided in paragraphs (b) and
(c) of this section, generators of used oil
are not subject to this subpart.
Are used oil generators
subject?
(b) Generators who market used oil directly
to a burner are subject to Section 266.43.
When marketing directly to
burner?
(c) Generators who burn used oil are subject
to Section 266.44.
When burning used oil?
Section 266.43 Standards applicable to
marketers of used oil burned for energy
recovery.
(a) Persons who market used oil fuel are
termed marketers. Except as provided
below, marketers include generators who
market used oil fuel directly to a burner,
persons who receive used oil from
generators and produce, process, or blend
used oil fuel from these used oils
i
What is a marketer of used oil
fuel?
9
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Who is not a marketer of used
oil fuel?
—initial generators and
transporters who do not sell
directly to burners
-persons who market on-
specification used oil and
are not the first person to
claim the used oil meets the
specification
What are marketers
requirements?
Analyses of used oil or other
documentation
(including persons sending blended or
processed used oil to brokers or other
intermediaries), and persons who
distribute but do not process or blend used
oil fuel. The following persons are not
marketers subject to this subpart:
(1) Used oil generators, and collectors who
transport used oil received only from
generators, unless the generator or
collector markets the used oil directly
to a person who burns it for energy
recovery. However, persons who burn
some used oil fuel for purposes of
processing or other treatment to
produce used oil fuel for marketing are
considered to be burning incidentally to
processing. Thus, generators and
collectors who market to such
incidental burners are not marketers
subject to this subpart.
(2) Persons who market only used oil fuel
that meets the specification under
Section 266.40(e) and who are not the
first person to claim the oil meets the
specification (i.e., marketers who do not
receive used oil from generators or
initial transporters and marketers who
neither receive nor market off-
specification used oil fuel).
(b) Marketers are subject to the following
requirements:
(1) Analysis of used oil fuel. Used oil fuel
is subject to regulation under this
subpart unless the marketer obtains
analyses or other information
documenting that the used oil fuel
meets the specification provided under
Section 266.40(e).
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(2) Prohibitions. The prohibitions under
Section 266.41(a).
Prohibitions
(3) Notification. Notification to EPA
stating the location and general
description of used oil management
activities. Even if a marketer has
previously notified EPA of his
hazardous waste management
activities under section 3010 of RCRA
and obtained a U.S. EPA Identification
Number, he must renotify to identify
his used oil management activities.
Notification of used oil activity
(4) Invoice system. When a marketer
initiates a shipment of off-specification
used oil, he must prepare and send the
receiving facility an invoice containing
the following information:
Tracking shipments of off-
specification used oil using
invoices
(i) an invoice number;
(ii) his own EPA identification number
and the EPA identification number
of the receiving facility;
(iii) the names and addresses of the
shipping and receiving facilities;
(iv) the quantity of off-specification
used oil to be delivered;
(v) the date(s) of shipment or delivery;
and
(vi) the following statement: "This used
oil is subject to EPA regulation
under 40 CFR Part 266."
Note - Used oil that meets the definition of
combustible liquid (flash point below 200
"
11
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degrees F but at or greater than 100
degrees F) is subject to Department of
Transportation Hazardous Materials
Regulations at 49 CFR Parts 100-177.
Certification of off-
(5) Required notices.
specification used oil fuel
activities
(i) Before a marketer initiates the first
shipment of off-specification used
oil to a burner or other marketer,
he must obtain a one-time written
and signed notice from the burner
or marketer certifying that:
(A) The burner or marketer has
notified EPA stating the
location and general
description of his used oil
management activities; and
(B) If the recipient is a burner,
the burner will burn the off-
specification used oil only in
an industrial furnace or
boiler identified in Section
266.41(b); and
(ii) Before a marketer accepts the first
shipment of off-specification used
oil from another marketer subject
to the requirements of this section,
he must provide the marketer with
a one-time written and signed
notice certifying that he has
notified EPA of his used oil
management activities.
Recordkeeping requirements
(6) Recordkeeping.
On-specification used oil
(i) Used Oil Fuel That Meets
claims
Specification. A marketer who
first claims under paragraph (b)(1)
of this section that used oil fuel
12
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meets the specification must keep
copies of analysis (or other
information used to make the
determination) of used oil for three
years. Such marketers must also
record in an operating log and keep
for three years the following on
each shipment of used oil fuel that
meets the specification. Such used
oil fuel is not subject to further
regulation, unless it is
subsequently mixed with
hazardous waste or unless it is
mixed with used oil so that it no
longer meets the specification.
(A) The name and address of the
facility receiving the
shipment;
(B) The quantity of used oil fuel
delivered;
(C) The date of shipment or
delivery; and
(D) A cross-reference to the
record of used oil analysis (or
other information used to
make the determination that
the oil meets the
specification) required under
paragraph (b)(6)(i) of this
section.
(ii) Off-Specification Used Oil Fuel. A
Off-specification used oil
marketer who receives or initiates
records
an invoice under the requirements
of this section must keep a copy of
each invoice for three years from
the date the invoice is received or
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Burners' requirements
Prohibition
Who needs to notify?
- burners of off-specification
used oil fuel.
- burners of on-specification
used oil fuel who are the
first person to claim that
used oil fuel meets the
specification, but do not
themselves generate such
oil.
Certification of off-specification
used oil fuel activities
prepared. In addition, a marketer
must keep a copy of each
certification notice that he receives
or sends for three years from the
date he last engages in an off-
specification used oil fuel marketing
transaction with the person who
sends or receives the certification
notice.
Section 266.44 Standards applicable to
burners of used oil burned for energy
recovery.
Owners and operators of facilities that
burn used oil fuel are "burners" and are subject
to the following requirements:
(a) Prohibition. The prohibition under
Section 266.41(b).
(b) Notification. Burners of off-specification
used oil fuel, and burners of used oil fuel
who are the first to claim that the oil
meets the specification provided under
Section 266.40(e), except burners who
burn specification oil that they generate,
must notify EPA stating the location and
general description of used oil
management activities. Burners of used
oil fuel that meets the specification who
receive such oil from a marketer that
previously notified EPA are not required
to notify. Owners and operators of used
oil-fired space heaters that burn used oil
fuel under the provisions of Section
266.41(b)(2) are exempt from this
notification requirement.
(c) Required notices. Before a burner accepts
the first shipment of off-specification used
oil fuel from a marketer, he must provide
14
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the marketer a one-time written and
-signed notice certifying that:
(1) He has notified EPA stating the
location and general description of his
used oil management activities; and
(2) He will burn the used oil only in an
industrial furnace or boiler identified
in Section;266.41(b).
(d) Used oil fuel analysis.
(1) Used oil fuel burned by the generator is
subject to regulation under this
subpart unless the burner obtains
analysis (or other information)
documenting that the used oil meets
the specification provided under
Section 266.40(e).
(2) Burners who treat off-specification
used oil fuel by processing, blending, or
other treatment to meet the
specification provided under Section
266.40(e) must obtain analyses (or
other information) documenting that
the used oil meets the specification.
(e) Recordkeeping. A burner who receives an
invoice under the requirements of this
section must keep a copy of each invoice
for three years from the date the invoice is
received. Burners must also keep for
three years copies of analyses of used oil
fuel as may be required by paragraph (d)
of this section. In addition, he must keep
a copy of each certification notice that he
sends to a marketer for three years from
the date he last receives off-specification
used oil from that marketer.
Analysis of used oil or other
documentation
Recordkeeping requirements
—invoices
—used oil analyses
—certification notices
15
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RCRA INSPECTOR INSTITUTE
USED OIL REGULATIONS -
QUESTIONS AND ANSWERS
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The following are exercises designed to
review your understanding of the RCRA
regulations that are applicable to used oil
activities. Several of the following questions
address possible handicaps that could arise in
determining compliance at used oil facilities.
Used Oil Regulations
Questions and
Answers
1) In determining what regulations apply to
different used oil activities, the inspector
must identify the end use of the used oil in
each case. What are possible end uses for
used oil and what are the applicable RCRA
regulations for each?
Question 1.
Uses
A) Used Oil Sent for Disposal
B) Used Oil Burned for Energy Recovery
C) Used Oil Recycled in Some Other
Manner than Being Burned for Energy
Recovery
D) Used Oil Used in a Manner Constitut-
ing Disposal
RCRA Regulations
A) Land Disposal 264, Subparts K, L, N
— Incineration Part 264, Subpart 0
B) Part 266 Subpart E
C) Part 261, Section 261.6(a)(3)(iii)
D) Part 266, Subpart C
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2) List the different conditions that would .
allow used oil, as a hazardous waste or
when mixed with a hazardous waste, to
be regulated under Subpart E (Used Oil
Burned for Emergency Recovery) rather
than Subpart D (Hazardous Waste
Burned for Energy Recovery) of Part 266.
Used oil that is a hazardous waste
solely because it exhibits characteris-
tics of a hazardous waste, Section
266.40(d)(1).
Used oil that is mixed with only a
characteristic hazardous waste and
the resultant mixture exhibits no
characteristics at all, (50 FIJ 49180,
November 29, 1985).
Used oil that is mixed with only
conditionally exempt small quantity
generator (CESQG) hazardous waste
(listed or characteristic), Section
266.40(d)(2).
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3) As previously explained, CESQG hazard-
ous waste mixed with used oil is subject to
Subpart E of Part 266 if it is destined to be
burned for energy recovery.
Detail the CESQG's analysis and notifica-
tion requirements that are needed to
certify that all hazardous waste mixed
with used oil is conditionally exempt.
Used oil generators (including collectors
who transport) shipping mixtures of
CESQG hazardous waste and used oil
to be burned for energy recovery via a
marketer, are not subject to any federal
regulations regarding analysis or notifi-
cation.
Rebuttable Presumption
4) When lab analysis results indicate that
used oil contains more than 1,000 ppm
total halogens, the used oil is presumed to
be a hazardous waste because it has been
mixed with listed halogenated hazardous
waste. The used oil handler may rebut
this presumption by demonstrating that
the used oil does not contain hazardous
waste.
Question 4.
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What are 3 ways to successfully rebut the
presumption?
1.) Sample analysis shows that each
halogenated solvent constituent
occurs at less than 100 ppm.
2.) The used oil was mixed with
CESQG hazardous waste.
3.) Analysis or other documentation
showing that the used oil has high
halogen levels due to its own na-
ture as used and that there was no
mixing with hazardous waste.
On-Spec vs. Off-Spec
Could a used oil known to contain haz-
ardous waste be burned in a non-indus-
trial furnace as an on-spec used oil fuel?
A used oil/CESQG hazardous waste
mixture exceeding 1,000 ppm (for
which there is a successful rebuttle)
that did not exceed the 4,000 ppm total
halogen level or any other allowable
specification level, could be burned for
energy recovery in a non-industrial
furnace as an on-spec used oil fuel
under Subpart E, Section 266.
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If the same mixture (successfully rebut-
ted) exceeded the specification levels, how
would it be possible for a marketer to
market this mixture as an on-spec used oil
fuel for home heating purposes?
By blending the used oil mixture with
virgin oil until allowable specification
levels are reached.
Laboratory Analysis
5) What regulations apply to marketers of
used oil fuel that meet specification?
Question 5.
Section 266.43(b)(1) and (6).
What would be examples of "other infor-
mation documenting" or "other informa-
tion used to make the determination" that
used oil fuel meets specification?
At the Inspectors Discretion.
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Question 6.
6) What are the substantive prohibitions for
used oil that is on-spec?
On-spec used oil is not subject to the
prohibition, Section 266.41.
What are the substantive prohibitions for off-
spec used oil for the following:
A) Marketers of off-spec used oil?
A person may market off-spec used oil
only to burners or marketers who have
notified EPA of their activities and have
received an EPA I.D. number. The
marketer may only ship the off-spec oil
to a burner utilizing an industrial
burner or boiler as specified in Section
266.41(b).
B) Burners of off-spec used oil?
Burners of off-spec used oil are prohib-
. ited from burning in any unit other than
an industrial furnace or boiler as defined
in Section 260.10, or an industrial boiler
located on the site of a facility engaged
in manufacturing or utility boilers or
used oil fired space heaters.
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I
7) What notifications or certifications are
required when generators of off-spec used
oil initiate shipments to:
Question 7.
Industrial Burners?
Standards applicable to marketers: via
Section 266.42(b) - Generators who
market used oil directly to a burner.
Invoice System - Section 266.43(b)(4)
Required Notices - Section 266.43(b)(5)
Marketers?
Generators of used oil intended to be
burned for energy recovery that deal
directly with a marketer are not subject
to any RCRA regulation.
Section 266.42(a) via Section
261.6(a)(2)(iii).
Recordkeeping for Marketers of On-
Spec Used Oil
Question 8.
8) A marketer who first claims a used oil to be
on-spec must keep copies of analyses (or
other information used in determining the
oil to be on-spec) for three years. Such a
marketer must keep on file an operation log
(for three years) which contains the follow-
ing information for each shipment of on-
spec used oil:
A) The name and address of the facility
receiving the shipment.
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B) The quantity of used oil fuel deliv-
ered.
C) The date of shipment or delivery.
D) A cross-reference to the record of
used oil analysis.
Recordkeeping for Marketers of Off-
Spec Used Oil
9) Marketers who initiate shipments of off-
spec used oil must prepare and send to
the receiving facility an invoice which
contains the following information:
A) An invoice number.
B) Marketer's EPA I.D. number and
I.D. number of the receiving facil-
ity.
C) Names and addresses of the ship-
ping and receiving facilities.
D) The quantity of off-spec used oil to
be delivered.
E) The date(s) of shipment or delivery.
-------
F) The following statement: "This used
oil is subject to EPA regulations
under 40 CFR Part 266."
Marketers who receive or initiate a ship-
ment of off-spec used oil requiring the
above invoice must keep a copy of the
invoice for three years.
Required Notices
When a marketer initiates the first ship-
ment of off-spec used oil to either a burner
or another marketer, what must the re-
ceiving marketer or burner provide?
A written signed notice as detailed in Sec-
tion 266.44(c)(1) and (2).
How often must this certification be pro-
vided?
One time.
10) How frequently must incoming shipments
of used oil at the marketer's facility be
analyzed and within what time period?
Question 10.
RCRA regulations do not specify how
often incoming shipments of used oil
need to be tested or if even each ship-
ment has be analyzed.
Also not specified, is the period of time
allowed for analysis to be completed
after initial receipt of the shipment by
the marketer.
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RCRA INSPECTOR INSTITUTE
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REVISED JULY 1,1988
Conditionally exempt generator...
Quantity determination...
Acutely hazardous waste-
Conditionally exempt generator
requirements...
Section 261.5 Special requirements for hazardous waste
generated by conditionally exempt
small quantity generators.
(a) A generator is a conditionally exempt small quantity
generator in a calendar month if he generates no more than 100
kilograms of hazardous waste in that month.
(b) Except for those wastes identified in paragraphs (e), (f), (g),
and (j) of this section, a conditionally exempt small quantity generator's
hazardous wastes are not subject to regulation under Parts 262 through
266,268, and Parts 270 and 124 of this chapter, and the notification
requirements of section 3010 of RCRA, provided the generator complies
with the requirements of paragraphs (f), (g), and (j) of this section.
(c) Hazardous waste that is not subject to regulation or that is
subject only to section 262.11, section 262.12, section 262.40(c), and
section 262.41 is not included in the quantity determination of this part
and Parts 262 through 266,268, and270 and is not subject to any of the
requirements of those parts. Hazardous waste that is subject to the
requirements ofscction 261.6 (b) and (c) and Subparts C, D, and F of
Part 266 is included in the quantity determination of this part and is
subject to the requirements of Parts 262 through 266 and 270.
(d) In determining the quantity of hazardous waste generated, a
generator need not include:
(1) Hazardous waste when it is removed from on site storage;
on
(2) Hazardous waste produced by onsite treatment (including
reclamation) of his hazardous waste, so long as the hazardous waste that
is treated was counted once; or
(3) Spent materials that are generated, reclaimed, and
subsequently reused on site, so long as such spent materials have been
counted once.
(e) If a generator generates acute hazardous waste in a calendar
month in quantities greater than set forth below, all quantities of that
acute hazardous waste are subject to full regulation under Parts 262
through 266,268, and Parts 270 and 124 of this chapter, and the
notification requirements of section 3010 of RCRA:
(1) A total of one kilogram of acute hazardous wastes listed in
section 261.31,261.32 or 261.33(e).
(2) A total of 100 kilograms of any residue or contaminated
soil, waste, or other debris resulting from the cleanup of a spill, into or
on any land or water, of any acute hazardous wastes listed in section
261.31,261.32, or 261.33(e).
(0 In order for acute hazardous wastes generated by a generator
of acute hazardous wastes in quantities equal to or less than those set
forth in paragraph (e)(1) or (2) of this section to be excluded from full
regulation under this section, the generator must comply with the
following requirements:
(1) Section 262.11 of this chapter;
(2) The generator may accumulate acute hazardous waste on
site. If he accumulates at any time acute hazardous wastes in
quantities greater than those set forth in paragraph (e)(1) or (2) of this
1
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REVISED JULY 1,1988
Treatment, storage, disposal of
conditionally exempt waste...
On-site accumulation ot conditionally
exempt waste...
section all of those accumulated wastes are subject to regulation
under Parts 262 through 266,268, and Parts 270 and 124 of this
chapter, and the applicable notification requirements of section 3010
of RCRA. The time period of section 262.34(d) for accumulation of
wastes on-site begins when the accumulated wastes exceed the
applicable exclusion limit;
(3) A conditionally exempt small quantity generator may
either treat or dispose of his acute hazardous waste in an on-site
facility or ensure delivery to an off-site treatment, storage or disposal
facility, either of which, if located in the U.S., is:
(i) Permitted under Part 270 of this chapter;
(ii) In interim status under Parts 270 and 265 of this
chapter,
(iii) Authorized to manage hazardous waste by a State with
a hazardous waste management program approved under Part 271 of
this chapter,
(iv) Permitted, licensed, or registered by a State to manage
municipal or industrial solid waste; or
(v) A facility which:
(A) Beneficially uses or reuses, or legitimately recycles or
reclaims its waste; or
(B) Treats its waste prior to beneficial use or reuse, or
legitimate recycling or reclamation.
(g) In order for hazardous waste generated by a
conditionally exempt small quantity generator in quantities of less
than 100 kilograms of hazardous waste during a calendar month to
be excluded from full regulation under this section, the generator
must comply with the following requirements:
(1) Section 262.11 of this chapter;
(2) The conditionally exempt small quantity generator may
accumulate hazardous waste on-site. If he accumulates at any time
more than a total of 1000 kilograms of his hazardous wastes, all of
those accumulated wastes are subject to regulation under the special
provisions of Part 262 applicable to generators of between 100kg and
1000kg of hazardous waste in a calendar month as well as the
requirements of Parts 263 through 266,268, and Parts 270 and 124 of
this chapter, and the applicable notification requirements of section
3010 of RCRA. The time period of section 262.34(d) for
accumulation of wastes on-site begins for a conditionally exempt
small quantity generator when the accumulated wastes exceed 1000
kilograms;
(3) A conditionally exempt small quantity generator may
either treat or dispose of his hazardous waste in an on-site facility or
ensure delivery to an off site treatment, storage or disposal facility,
either of which, if located in the U.S., is:
(i) Permitted under Part 270 of this chapter;
(ii) In interim status under Parts 270 and 265 of this
chapter;
(iii) Authorized to manage hazardous waste by a Slate with
a hazardous waste management program approved under Part 271 of
this chapter;
(iv) Permitted, licensed, or registered by a State to manage
municipal or industrial solid waste; or
(v) A facility which:
(A) Beneficially uses or reuses, or legitimately recycles or
2
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REVISED JULY 1,1988
Mixing conditionally exempt waste
and non-hazardous waste...
Mixing used oil and conditionally
exempt waste...
Generator standards...
Importers of hazardous waste.
reclaims its waste; or
(B) Treats its waste prior to beneficial use or reuse, or
legitimate recycling or reclamation.
(h) Hazardous waste subject to the reduced requirements of this
section may be mixed with non-hazardous waste and remain subject to
these reduced requirements even though the resultant mixture exceeds
the quantity limitations identified in this section, unless the mixture
meets any of the characteristics of hazardous waste identified in Subpart
C.
(i) If any person mixes a solid waste with a hazardous waste
that exceeds a quantity exclusion level of this section, the mixture is
subject to full regulation.
0) If a conditionally exempt small quantity generator's wastes
are mixed with used oil, the mixture is subject to Subpart E of Part 266
of this chapter if it is destined to be burned for energy recovery. Any
material produced from such a mixture by processing, blending, or other
treatment is also so regulated if it is destined to be burned for energy
recovery.
Subpart A
General Section 262.10 Purpose, scope,
and applicability.
(a) These regulations establish standards for generators of
hazardous waste.
(b) A generator who treats, stores, or disposes of hazardous
waste on-site must only comply with the following sections of this part
with respect to that waste: Section 262.11 for determining whether or
not he has a hazardous waste, section 262.12 for obtaining an EPA
identification number, section 262.34 for accumulation of hazardous
waste, section 262.40 (c) and (d) for recordkeeping, section 262.43 for
additional reporting and if applicable, section 262.51 for farmers.
(c) Any person who imports hazardous waste into the United
States must comply with the standards applicable to generators
established in this part.
(d) A farmer who generates waste pesticides which are
hazardous waste and who complies with all of the requirements of
section 262.51 is not required to comply with other standards in this
part or 40 CFR Parts 270,264, or 265 with respect to such pesticides.
(e) A person who generates a hazardous waste as defined by 40
CFR Part 261 is subject to the compliance requirements and
penalties prescribed in section 3008 of the Act if he does not comply
with the requirements of this part
(0 An owner or operator who initiates a shipment of hazardous
3
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REVISED JULY 1,1988
Shipments initiated trom TSDFS...
waste from a treatment, storage, or disposal facility must comply with
the generator.standards established in this part.
262.11 Hazardous waste determination.
A person who generates a solid waste, as defined in 40 CFR
Hazardous waste determination
261.2, must determine if that waste is a hazardous waste using the
method...
following method:
'
(a) He should first determine if the waste is excluded from
regulation under 40 CFR 261.4.
(b) He must then determine if the waste is listed as a hazardous
waste in Subpart D of 40 CFR Part 261.
(c) If the waste is not listed as a hazardous waste in Subpart D
of 40 CFR Part 261, he must determine whether the waste is identified in
Subpart C of 40 CFR Part 261 by either
(1) Testing the waste according to the methods set forth in
Subpart C of 40 CFR Part 261, or according to an equivalent method
approved by the Administrator under 40 CFR 260.21; or
(2) Applying knowledge of the hazard characteristic of the
"Applying knowledge" of the waste...
waste in light of the materials or the processes used
(d) If the waste is determined to be hazardous, the generator
must refer to Parts 264,265,268 of this chapter for possibl exclusions or
restrictions pertaining to management of his specific waste.
Section 262.12 EPA identification numbers.
(a) A generator must not treat, store, dispose of, transport, or
EPA ID numbers...
offer for transportation, hazardous waste without having received an
EPA identification number from the Administrator.
(b) A generator who has not received an EPA identification
number may obtain one by applying to the Administrator using EPA
form 8700-12. Upon receiving the request the Administrator will assign
an EPA identification number to the generator.
(c) A generator must not offer his hazardous waste to
transporters or to treatment, storage, or disposal facilities
that have not received an EPA identification number.
Subpart B-The Manifest
Section 262.20 General requirements.
(a) A generator who transports, or offers for transportation,
hazardous waste for off-site treatment, storage, or disposal must prepare
4
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REVISED JULY 1,1988
Manifest-see On-site definition in
260.10...
Designated facility...
"Safety-Kleen" exclusion...
Contractual relationship exclusion for
100-1000 kg/mo generators...
Acquiring manifests...
a Manifest OMB control number 2000-0404 on EPA form 8700-22, and,
Tf "necessary, EPA form 8700-22A, according to the instruction included
in the Appendix to Part 262.
(b) A generator must designate on the manifest one facility
which is permitted to handle the waste described on the manifest.
(c) A generator may also designate on the manifest one
alternate facility which is permitted to handle his waste in the event an
emergency prevents delivery of the waste to the primary designated
facility.
(d) If the transporter is unable to deliver the hazardous
waste to the designated facility or the alternate facility, the
generator must either designate another facility or instruct the transporter
to return the waste.
(e) The requirements of this subpart do not apply to
hazardous waste produced by generators of greater than 100 kg
but less than 1000 kg in a calendar month where:
(1) The waste is reclaimed under a contractual agreement pursuant to
which:
(i) The type of waste and frequency of shipments are
specified in the agreement;
(ii) The vehicle used to transport the waste to the recycling
facility and to deliver regenerated material back to the generator is
owned and operated by the reclaimer of the waste; and
(2) The generator maintains a copy of the reclamation agreement in
his files for a period of a least three years after termination or expiration
of the agreement.
Section 262.21 Acquisition of manifests.
(a) If the State to which the shipment is manifested
(consignment State) supplies the manifest and requires its use,
then the generator must use that manifest.
(b) If the consignment State does not supply the manifest,
but the State in which the generator is located (generator
State) supplies the manifest and requires its use, then the
generator must use that State's manifest
(c) If neither the generator State nor the consignment State
supplies the manifest, then the generator may obtain the manifest from
any source.
Section 262.22 Number of copies.
The manifest consists of at least the number of copies which
will provide the generator, each transporter, and the owner or
operator of the designated facility with one copy each for their records
5
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REVISED JULY 1,1988
and another copy to be returned to the generator.
Section 262.23 Use of the manifest.
Signing the manifest...
(a) The generator must:
(1) Sign the manifest certification by hand; and
(2) Obtain the handwritten signature of the initial transporter
and date of acceptance on the manifest; and
(3) Retain one copy, in accordance with section 262.40(a).
(b) The generator must give the transporter the remaining
copies of the manifest.
Water shipments...
(c) For shipments of hazardous waste within the United States
solely by water (bulk shipments only), the generator must send three
copies of the manifest dated and signed in accordance with this section
to the owner or operator of the designated facility or the last water (bulk
shipment) transporter to handle the waste in the United States if exported
by water. Copies of the manifest are not required for each transporter.
Rail shipments...
(d) For rail shipments of hazardous waste within the United
States which originate at the site of generation, the generator
must send at least three copies of the manifest dated and signed in
accordance with this section to:
(1) The next non rail transporter, if any; or
(2) The designated facility if transported solely by rail; or
(3) The last rail transporter to handle the waste in the
United States if exported by rail.
Subpart C Pre-Transport Requirements
Section 262.30 Packaging.
Packaging waste...
Before transporting hazardous waste or offering hazardous
waste for transportation off-site, a generator must package the waste in
accordance with the applicable Department of Transportation regulations
on packaging under 49 CFR Parts 173,178, and 179.
Section 262.31 Labeling.
Labeling waste...
Before transporting or offering hazardous waste for
transportation off-site, a generator must label each package in
accordance with the applicable Department of Transportation
6
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REVISED JULY 1,1988
Marking waste-
Placards...
Accumulation time...
90 day clock...
Subpart I and J compliance.
Accumulation start date...
Contingency plan...
Preparedness/prevention.
regulations on hazardous materials under 49 CFR Part 172.
Section 262.32 Marking.
(a) Before transporting or offering hazardous waste for
transportation off-site, a generator must mark each package of hazardous
waste in accordance with applicable Department of Transportation
regulations on hazardous materials under 49 CFR
Part 172;
(b) Before transporting hazardous waste or offering hazardous
waste for transportation off-site, a generator must mark each container of
110 gallons or less used in such transportation with the following words
and information displayed in accordance with the requirements of 49
CFR 172.304: HAZARDOUS WASTE Federal Law Prohibits Improper
Disposal. If found, contact the nearest police or public safety authority
or the U.S. Environmental Protection Agency. Generator's Name and
Address Manifest Document Number.
Section 262.33 Placarding.
Before transporting hazardous waste or offering hazardous
waste for transportation off-site, a generator must placard or
offer the initial transporter the appropriate placards according to
Department of Transportation regulation for hazardous materials under
49 CFR Part 172, Subpart F.
Section 262.34 Accumulation time.
(a) Except as provided in paragraphs (d), (e), and (f) of
this section, a generator may accumulate hazardous waste on-site for 90
days or less without a permit or without having interim status, provided
that:
(1) The waste is placed in containers and the generator
complies with Subpart I of 40 CFR Part 265, or the waste is
placed in tanks and the generator complies with Subpart J of 40
CFR Part 265, except section 265.197(c), and section 265.200.
In addition, such a generator is exempt from all the requirements in
Subparts G and H of 40 CFR Part 265, except for section 265.111 and
section 265.114.
(2) The date upon which each period of accumulation begins is
clearly marked and visible for inspection on each container,
(3) While being accumulated on site, each container and tank is
labeled or marked clearly with the words, "Hazardous Waste";
and
(4) The generator complies with the requirements for owners
or operators in Subparts C and D in 40 CFR Part 265 and with section
265.16.
7
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REVISED JULY 1,1988
-Exceeding 90 day limit..
Extensions to the 90 day limit...
Satellite accumulation areas...
,'~tD
yj^r-
100-1000 kg/mo generators.
180 day limit-
Quantity limit...
Subpart I and J compliance..
o \
Minimal contingency procedures..
(b) A generator who accumulates hazardous 'waste foFmore
than 90 days is an operator of a storage facility and is subject to the
requirements of 40 CFR Parts 264 and 265 and the permit
requirements of 40 CFR Part 270 unless he has been granted an
extension to the 90-day period. Such extension may be granted
by EPA if hazardous wastes must remain on-site for longer than
90 days due to unforeseen, temporary, and uncontrollable
circumstances. An extension of up to 30 days may be granted at
the discretion of the Regional Administrator on a case-by-case
basis.
(c)(1) A generator may accumulate as much as 55 gallons of
hazardous waste or one quart of acute hazardous waste listed
in section 261.33(e) in containers at or near any point of
generation where wastes initially accumulate, which is under the control
of the operator of the process generating the waste, without a permit or
interim status and without complying with paragraph (a) of this section
provided he:
(1) Complies with section 265.171,265.172, and 265.173(a) of
this chapter; and
(ii) Marks his containers either with the words "Hazardous
Waste" or with other words that identify the contents of the
containers.
(2) A generator who accumulates either hazardous waste or
acutely hazardous waste listed in section 261.33(e) in excess of the
amounts listed in paragraph (c)(1) of this section at or
near any point of generation must, with respect to that amount
of excess waste, comply within three days with paragraph (a) of
this section or other applicable provisions of this chapter.
During the three day period the generator must continue to
comply with paragraphs (c)(l)(i) through (ii) of this section.
The generator must mark the container holding the excess
accumulation of hazardous waste with the date the excess amount
began accumulating.
(d) A generator who generates greater than 100 kilograms but
less than 1000 kilograms of hazardous waste in a calendar month
may accumulate hazardous waste on-site for 180 days or less
without a permit or without having interim status provided that:
(1) The quantity of waste accumulated on-site never exceeds
6000 kilograms;
(2) The generator complies with the requirements of Subpart I
of Part 265. except section 265.L76:—
3) The generator complies with the requirements of section
265.201 in Subpart J of Part 265;
(4) ThegerTeratCf"~complies wItirThe~reqniTeffients of
paragraphs (a)(2) and (a)(3) of this section and the
requirements of Subpart C or Part 265; and
(5) The generator complies with the following requirements:
(i) At all times there must be at least one employee either on the
premises or on call (i.e., available to respond to an emergency by
reaching the facility within a short period of time) with the responsibility
for coordinating all emergency response measures specified in paragraph
(d)(5)(iv) of this section. This employee is the emergency coordinator.
8
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REVISED JULY 1,1988
Employee training.
Reporting spills...
270 day limit for waste shipped more
than 200 miles...
Exceeding 180/270 day limit...
(ii) The generator must post the following information next
to the telephone:
(A) The name and telephone number of the emergency
coordinator,
(B) Location of fire extinguishers and spill control
material, and, if present, fire alarm; and
(C) The telephone number of the fire department, unless the
facility has a direct alarm.
(iii) The generator must ensure that all employees are
thoroughly familiar with proper waste handling and emergency
procedures, relevant to their responsibilities during normal
facility operations and emergencies;
(iv) The emergency coordinator or his designee must respond
to any emergencies that arise. The applicable responses are as follows:
(A) In the event of a fire, call the fire department or
attempt to extinguish it using a fire extinguisher;
(B) In the event of a spill, contain the flow of hazardous
waste to the extent possible, and as soon as is practicable,
clean up the hazardous waste and any contaminated materials or
soil;
(C) In the event of a fire, explosion, or other release which
could threaten human health outside the facility or when the generator
has knowledge that a spill has reached surface water, the generator must
immediately notify the National Response Center (using their 24-hour
toll free number 800/424-8802). The report must include the following
information:
(1) The name, address, and U.S. EPA Identification Number of
the generator,
(2) Date, time, and type of incident (e.g., spill or fire);
(3) Quantity and type of hazardous waste involved in the incident;
(4) Extent of injuries, if any; and
(5) Estimated quantity and disposition of recovered materials, if
any.
(e) A generator who generates greater than 100 kilograms but
less than 1000 kilograms of hazardous waste in a calendar month and
who must transport his waste, or offer his waste for transportation,
over a distance of 200 miles or more for off-site treatment, storage or
disposal may accumulate hazardous waste on site for 270 days or less
without a permit or without having interim status provided that he
complies with the requirements of paragraph (d) of this section.
(0 A generator who generates greater than 100 kilograms but
less than 1000 kilograms of hazardous waste in a calendar month
and who accumulates hazardous waste in quantities exceeding 6000 kg
or accumulates hazardous waste for more than 180 days (or for more
than 270 days if he must transport his waste, or offer his waste for
transportation, over a distance of 200 miles or more) is an operator of a
storage facility and is subject to the requirements of 40 CFR Parts 264
and 265 and the permit requirements of 40 CFR Part 270 unless he
has been granted an extension to the 180-day (or 270 day if applicable)
period. Such extension may be granted by EPA if hazardous wastes must
remain on-site for longer than 180 days (or 270 days if applicable)
9
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REVISED JULY 1,1988
Extension to the 180/270 day limit...
due to unforeseen, temporary, and uncontrollable circumstances. An
extension of up to 30 days may be granted at the discretion of the
Regional Administrator on a case-by-case basis.
Subpart D-Recordkeeping and Reporting
Section 262.40 Recordkeeping
Retention of manifests-
(a) A generator must keep a copy of each manifest signed in
accordance with section 262.23(a) for three years or until he
receives a signed copy from the designated facility which
received the waste. This signed copy must be retained as a record for at
least three years from the date the waste was accepted by the initial
transporter.
Retention of biennial reports...
(b) A generator must keep a copy of each Biennial Report and
Exception Report for a period of at least three years from the
due date of the report
Retention of other records...
(c) A generator must keep records of any test results, waste
analyses, or other determinations made in accordance with section
262.11 for at least three years from the date that the waste was last sent
to on-site or off-site treatment, storage, or disposal.
(d) The periods or retention referred to in this section are
extended automatically during the course of any unresolved
enforcement action regarding the regulated activity or as
requested by the Administrator.
Section 262.41 Biennial report.
For waste shipped off-site...
(a) A generator who ships any hazardous waste off-site to a
treatment, storage or disposal facility within the United States must
prepare and submit a single copy of a Biennial Report to
the Regional Administrator by March 1 of each even-numbered
year. The Biennial Report must be submitted on EPA Form 8700-13A,
must cover generator activities during the previous year, and must
include the following information:
(1) The EPA identification number, name, and address of the
generator;
(2) The calendar year covered by the report;
(3) The EPA identification number, name, and address for each
off-site treatment, storage, or disposal facility in the United
States to which waste was shipped during the year;
(4) The name and EPA identification number of each
transporter used during the reporting year for shipments to a
treatment, storage or disposal facility within the United
Stales;
(5) A description, EPA hazardous waste number (from 40 CFR
10
-------
REVISED JULY 1,1988
Reporting exceptions...
Manifest copy not returned within 35
days...
Part 261, Subpart C or D), DOT hazard class, and quantity of
each hazardous waste shipped off-site for shipments to a
treatment, storage or disposal facility within the United States. This
information must be listed by EPA identification number of each such
off-site facility to which waste was shipped.
(6) A description of the efforts undertaken during the year
to reduce the volume and toxicity of waste generated.
(7) A description of the changes in volume and toxicity of
waste actually achieved during the year in comparison to previous
years to the extent such information is available for years
prior to 1984.
(8) The certification signed by the generator or authorized
representative.
(b) Any generator who treats, stores, or disposes of
hazardous waste on-site must submit a biennial report covering those
wastes in accordance with the provisions of 40 CFR Parts 270,264,265,
and 266. Reporting for exports of hazardous waste is not required on
the Biennial Report form. A separate annual report requirement is set
forth at 40 CFR 262.56.
Section 262.42 Exception reporting.
(a)(1) A generator of greater than 1000 kilograms of hazardous
waste in a calendar month who does not receive a copy of the manifest
with the handwritten signature of the owner or operator of the designated
facility within 35 days of the date the waste was accepted by the initial
transporter must contact the transporter and/or the owner or operator of
the designated facility to determine the status of the hazardous waste.
(2) A generator of greater than 1000 kilograms of hazardous
waste in a calendar month must submit an Exception Report to the EPA
Regional Administrator for the Region in which the generator is located
if he has not received a copy of the manifest with the handwritten
signature of the owner or operator of the designated facility within 45
days of the date the waste was accepted by the initial transporter.
The Exception Report must include:
(i) A legible copy of the manifest for which the generator does
not have confirmation of delivery;
(ii) A cover letter signed by the generator or his authorized
representative explaining the efforts taken to locate the hazardous waste
and the results of those efforts.
(b) A generator of greater than 100 kilograms but less than
1000 kilograms of hazardous waste in a calendar month who does not
receive a copy of the manifest with the handwritten signature of the
owner or operator of the designated facility within 60 days of the date
the waste was accepted by the initial transporter must submit a legible
copy of the manifest, with some indication that the generator has not
received confirmation of delivery, to the EPA Regional Administrator
for the Region in which the generator is located.
Note.—The submission to EPA need only be a handwritten or typed
note on the manifest itself, or on an attached sheet of paper, stating that
the return copy was not received.
11
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REVISED JULY 1,1988
SQG Reporting Exceptions...
Exporting waste...
APPLICABILITY-primary exporter
must comply...
Definitions...
Consignee..
Receiving country...
Transit country...
General requirements...
Notification...
Consent of receiving country.
Section 262.43 Additional reporting.
The Administrator, as he deems necessary under sections
2002(a) and 3002(6) of the Act, may require generators to furnish
additional reports concerning the quantities and disposition of wastes
identified or listed in 40 CFR Part 261.
Section 262.44 Special requirements for generators of
between 100 and 1000 kg/mo.
A generator of greater than 100 kilograms but less than 1000
kilograms of hazardous waste in a calendar month is subject only to the
following requirements in this Subpart;
(a) §262.40(a), (c), and (d), recordkeeping;
(b) §262.42(b), exception reporting; and
(c) §262.43, additional reporting.
Subpart E-Exports of Hazardous Waste
Section 262.50 Applicability
This subpart establishes requirements applicable to exports
of hazardous waste. Except to the extent section 262.58 provides
otherwise, a primary exporter of hazardous waste must comply with the
special requirements of this subpart and a transporter transporting
hazardous waste for export must comply with applicable requirements of
Part 263. Section 262.58 sets forth the requirements of international
agreements between the United States and receiving countries which
establish different notice, export, and enforcement procedures for the
transportation, treatment, storage and disposal of hazardous waste for
shipments between the United States and those countries.
Section 262.52 Definitions
In addition to the definitions set forth at 40 CFR 260.10,
the following definitions apply to the subpart;
"Consignee" means the ultimate treatment, storage or disposal
facility in a receiving country to which the hazardous waste will be sent.
"EPA Acknowledgment of Consent" means the cable sent to
EPA from the U.S. Embassy in a receiving country that acknowledges
the written consent of the receiving country to accept the hazardous
waste and describes the terms and conditions of the receiving country's
consent to the shipment. "Primary Exporter" means any person who is
required to originate the manifest for a shipment of hazardous waste in
accordance with 40 CFR Part 262, Subpart B, or equivalent State
provision, which specifies a treatment, storage, or disposal facility in a
receiving country as the facility to which the hazardous waste will be
sent and any intermediary arranging for the export.
"Receiving country" means a foreign country to which a
hazardous waste is sent for the purpose of treatment, storage,
or disposal (except short term storage incidental to
12
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REVISED JULY 1,1988
Notification of intent to export-
Submitted 60 days prior to initial
shipment...
Content of notification...
Where notification should be sent...
transportation).
'Transit country" means any foreign country, other than a
receiving countryr-through which a hazardous waste is transported.
Section 262.52 General requirements
Exports of hazardous waste are prohibited except in
compliance with the applicable requirements of this Subpart and Part
263. Exports of hazardous waste are prohibited unless:
(a) Notification in accordance with section 262.53 has been
provided;
(b) The receiving country has consented to accept the hazardous
waste;
(c) A copy of the EPA Acknowledgment of Consent to the shipment
accompanies the hazardous waste shipment and, unless exported by rail,
is attached to the manifest (or shipping paper for exports by water (bulk
shipment)).
(d) The hazardous waste shipment conforms to the terms of the
receiving country's written consent as reflected in the EPA
Acknowledgment of Consent
Section 262.53 Notification of intent to export.
(a) A primary exporter of hazardous waste must notify EPA of
an intended export before such waste is scheduled to leave the United
States. A complete notification should be submitted sixty (60) days
before the initial shipment is intended to be shipped off-site. This
notification may cover export activities extending over a twelve (12)
month or lesser period. The notification must be in writing, signed by
the primary exporter, and include the following information;
(1) Name, mailing address, telephone number and EPA ID
number of the primary exporter,
(2) By consignee, for each hazardous waste type:
(i) A description of the hazardous waste and the EPA
hazardous waste number (from 40 CFR Part 261, Subparts C and D),
U.S. DOT proper shipping name, hazard class and ID number (UN/
NA) for each hazardous waste as identified in 49 CFR Parts 171 through
177;
(ii) The estimated frequency or rate at which such waste is to be
exported and the period of time over which such waste it to be exported.
(iii) The estimated total quantity of the hazardous waste in units
as specified in the instruction to the Uniform Hazardous Waste Manifest
Form (8700-22);
(iv) All points of entry to and departure from each foreign
country through which the hazardous waste will pass;
(v) A description of the means by which each shipment of the
hazardous waste will be transported (e.g., mode of transportation
vehicle (air, highway, rail, water, etc.) type(s) of container (drums,
boxes, tanks, etc);
(vi) A description of the manner in which the hazardous waste
will be treated, stored, or disposed of in the receiving country (e.g., land
or ocean incineration, other land disposal, ocean dumping, recycling);
13
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REVISED JULY 1,1988
Role of EPA and the State
Department...
Special manifest requirements...
Name and address of consignee...
Name and address of alternate
consignee...
Point of departure in special
handling...
Addition to the certification...
(vii) The name and site address of the consignee and any
alternate consignee; and
(viii) The name of any transit countries through which the
hazardous waste will be sent and a description of the approximate
length of time the hazardous waste will remain in such country and the
nature of its handling while there;
(b) Notification shall be sent to the Office of International
Activities (A 106), EPA, 401 M Street, S.W., Washington, DC 20460
with "Attention; Notification to Export" prominently displayed on the
front of the envelope.
(c) Except for changes to the telephone number in paragraph
(a)(1) of this section, changes to paragraph (a)(2)(v) of this section and
decreases in the quantity indicated pursuant to paragraph (a)(2)(iii) of
this section when the conditions specified on the original notification
change (including any exceedance of the estimate of the quantity of
hazardous waste specified in the original notification), the primary
exporter must provide EPA with a written renotification of the change.
The shipment cannot take place until consent of the receiving country to
the changes (except for changes to paragraph (a)(2)(viii) of this
section and in the ports of entry to anddeparture from transit countries
pursuant to paragraph (a)(2)(iv) of this section) has been obtained and
the primary exporter receives and EPA Acknowledgment of Consent
reflecting the receiving country's consent to the changes.
(d) Upon request by EPA, a primary exporter shall furnish to
EPA any additional information which a receiving country requests in
order to respond to a notification.
(e) In conjunction with the Department of State, EPA will
provide a complete notification to the receiving country and any transit
countries. A notification is complete when EPA receives a notification
which EPA determines satisfies the requirements of paragraph (a) of
this section. Where a claim of confidentiality is asserted with respect
to any notification information required by paragraph (a) of this section,
EPA may find the notification not complete until any such claim is
resolved in accordance with 40 CFR 260.2.
(0 Where the receiving country consents to the receipt of the
hazardous waste, EPA will forward an EPA Acknowledgment of
Consent to the primary exporter for purposes of section 262.54(h).
Where the receiving country objects to receipt of the hazardous waste or
withdraws a prior consent, EPA will notify the primary exporter in
writing. EPA will also notify he primary exporter of any responses
from transit countries.
Section 262.54 Special manifest requirements.
A primary exporter must comply with the manifest
requirements of 40 CFR 262.20 through 262.23 except that;
a) In lieu of the name, site address and EPA ID number of
14
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REVISED JULY 1,1988
Obtaining copies of the manifest-
Confirmation of delivery...
Requirements for shipments that
cannot be delivered...
Acknowledgement of consent
attached to the manifest...
Copy of the manifest sent to U.S.
Customs...
Exception report...
No copy of manifest from the
transporter within 45 days...
the designated permitted facility, the primary exporter must enter the
name and site address of the consignee;
(b) In lieu of the name, site address and EPA ID number of a
permitted alternate facility, the primary exporter may enter the name and
site address of any alternate consignee.
(c) In Special Handling Instructions and Additional
Information, the primary exporter must identify the point of departure
from the United States;
(d) The following statement must be added to the end of the
first sentence of the certification set forth in Item 16 of the Uniform
Hazardous Waste Manifest Form: "and conforms to the terms of the
attached EPA Acknowledgment of Consent";
(e) In lieu of the requirements of section 262.21, the
primary exporter must obtain the manifest form from the primary
exporter's State if that State supplies the manifest form and requires its
use. If the primary exporter's State does not supply the manifest form,
the primary exporter may obtainmanifest form from any source.
(f) The primary exporter must require the consignee to
confirm in writing the delivery of the hazardous waste to that facility
and to describe any significant discrepancies (as defined in 40 CFR
264.72(a)) between the manifest and the shipment. A copy of the
manifest signed by such facility may be used to confirm delivery of the
hazardous waste.
(g) In lieu of the requirements of section 262.20(d), where a
shipment cannot be delivered for any reason to the designated or
alternate consignee, the primary exporter must:
(1)Renotify EPA of a change in the conditions of the original
notification to allow shipment to a new consignee in accordance with
section 262.53(c) and obtain and EPA Acknowledgment of Consent
prior to delivery; or
(2) Instruct the transporter to return the waste to the primary exporter
in the United States or designate another facility within the United
States; and
(3) Instruct the transporter to revise the manifest in accordance
with the primary exporter's instructions.
(h) The primary exporter must attach a copy of the EPA
Acknowledgment of Consent to the shipment to the manifest which must
accompany the hazardous waste shipment. For exports by rail or water
(bulk shipment), the primary exporter must provide the transporter with
an EPA Acknowledgment of Consent which must accompany the
hazardous waste but which need not be attached tothe manifest except
that for exports by water (bulk shipment) the primary exporter must
attach a copy of the EPAAcknowledgment of Consent of the
shipping paper.
(i) The primary exporter shall provide the transporter with an
additional copy of the manifest for delivery to the U.S. Customs official
at the point the hazardous waste leaves the United States in accordance
with section 262.20(g)(4).
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REVISED JULY 1,1988
No confirmation of receipt within 90
days...
Annual reports...
Who files...
When do they file-
Content of reports.
Reports must be sent to...
Recordkeeping...
Retain notification and
acknowledgement of consent 3
years...
Section 262.55 Exception reports.
In lieu of the requirements of section 262.42, a primary
exporter must file an exception report with the Administrator if:
(a) He has not received a copy of the manifest signed by the
transporter stating the date and place of departure from the United States
within forty five (45) days from the date it was accepted by the initial
transporter,
(b) Within ninety (90) days from the date the waste was
accepted by the initial transporter, the primary exporter has not received
written confirmation from the consignee that the hazardous waste was
received;
(c) The waste is returned to the United States.
Section 262.56 Annual reports
(~) Primary exporters of hazardous waste shall file with the
Administrator no later than March 1 of each year, a report summarizing
the types, quantities, frequency, and ultimate destination of all hazardous
waste exported during the previous year. Such reports shall include the
following:
(1) The EPA identification number, name, and mailing and site
address of the exporter;
(2) The calendar year covered by the report;
(3) The name and site address of each consignee;
(4) By consignee, for each hazardous waste exported, a
description of the hazardous waste, the EPA hazardous waste number
(from 40 CFR Part 261, Subpart C or D), DOT hazard class, the name
and US EPA ID number (where applicable) for each transporter used,
the total amount of waste shipped and number of shipments pursuant to
each notification;
(5) Except for hazardous waste produced by exporters of
greater than 100 kg but less than 1000 kg in a calendar month, unless
provided pursuant to section 262.41, in even numbered years:
(i) A description of the efforts undertaken during the year to reduce
the volume and toxicity of waste generated; and
(ii) A description of the changes in volume and toxicity of waste
actually achieved during the year in comparison to previous years to
the extent such information is available for years prior to 1984.
(~) A certification signed by the primary exporter which
stales: I certify under penalty of law that I have personally examined
and am familiar with the information submitted in this and all attached
documents, and that based on my inquiry of those individuals
immediately responsible for obtaining the information, I believe that the
submitted information is true, accurate, and complete. I am aware that
there are significant penalties for submitting false information
including the possibility of fine and imprisonment.
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REVISED JULY 1,1988
(b) Reports shall be sent to the following address: Office of
International Activities (A-106), Environmental Protection Agency, 401
M Street S.W., Washington, DC 20460.
Section 262.57 Recordkeeping
Importers...
(a) For all exports a primary exporter must:
(1) Keep a copy of each notification of intent to export for a
period of at least three years from the date the hazardous waste was
(2) Keep a copy of each EPA Acknowledgement of Consent for
a period of at least three years from the date the hazardous waste was
accepted by the initial transporter,
(3) Keep a copy of each confirmation of delivery of the
hazardous waste from the consignee for at least three years from the
date the hazardous waste was accepted by the initial transporter, and
(4) Keep a copy of each annual report for a period of at
least three years from the due date of the report.
Subject to 262.20(a)...
(b) The periods of retention referred to in this section are
extended automatically during the course of any unresolved
enforcement action regarding the regulated activity or as requested by
the Administrator.
Subpart F-Imports of Hazardous Waste
Section 262.60 Imports of hazardous waste.
Acquisition of manifests-
(a) Any person who imports hazardous waste from a foreign
country into the United States must comply with the requirements of this
part and the special requirements of this subpart.
(b) When importing hazardous waste, a person must meet all
the requirements of section 262.20(a) for the manifest except that:
(1) In place of the generator's name, address and EPA
identification number, the name and address of the foreign generator
and the importer's name, address and EPA identification number
must be used.
(2) In place of the generator's signature on the certification
statement, the U.S. importer or his agent must sign and date the
certification and obtain the signature of the initial transporter.
Fanner exclusion...
(c) A person who imports hazardous waste must obtain the
manifest form from the consignment State if the State supplies
the manifest and requires its use. If the consignment State does not
supply the manifest form, then the manifest form may be obtained from
any source.
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REVISED JULY 1,1988
Subpart G-Farmers
Generators must comply if they store
waste in containers...
Section 262.70 Farmers.
A farmer disposing of waste pesticides from his own use which
are hazardous wastes is not required to comply with the standards in
this part or other standards in 40 CFR Part 270, 264 or 265 for those
wastes provided he triple rinses each emptied pesticide container in
accordance with section 261.7(b)(3) and disposes of the pesticide
residues on his own farm in a manner consistent with the disposal
instructions on the pesticide label.
Good condition...
Subpart I-Use and Management of Containers
Section 265.170 Applicability.
The regulations in this subpart apply to owners and operators of
all hazardous waste facilities that store containers of hazardous waste,
except as Section 265.1 provides otherwise.
Containers must be compatible with
what they are storing...
Section 265.171 Condition of containers.
If a container holding hazardous waste is not in good condition,
or if it begins to leak, the owner or operator must transfer the hazardous
waste from this container .to a container that is in good condition, or
manage the waste in some other way that complies with the
requirements of this part
Container must remain closed...
Section 265.172 Compatibility of waste with containers.
The owner or operator must use a container made of or lined
with materials which will not react with, and are otherwise compatible
with, the hazardous waste to be stored, so that the ability of the container
to contain the waste is not impaired.
Section 265.173 Management of containers.
Perform weekly inspections...
(a) A container holding hazardous waste must always be
closed during storage, except when it is necessary to add or remove
waste.
(b) A container holding hazardous waste must not be opened,
handled, or stored in a manner which may rupture the container or cause
it to leak.
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REVISED JULY 1,1988
Buffer zone...
Section 265.174 Inspections.
The owner or operator must inspect areas where containers are
stored, at least weekly, looking for leaks and for deterioration caused by
corrosion or other factors.
Section 265.176 Special requirements for ignitable
Incompatible waste...
or reactive waste.
Containers holding ignitable or reactive waste must be located
at least 15 meters (50 feet) from the facility's property line.
Section 265.177 Special requirements for
incompatible waste.
(a) Incompatible waste, or incompatible wastes and materials,
(see Appendix V for examples) must not be placed in the same
container, unless Section 265.17(b) is complied with.
(b) Hazardous waste must not be placed in an unwashed
container that previously held an incompatible waste or material (see
Appendix V for examples), unless Section 265.17(b) is complied with.
Generators storing waste in tanks are
(c) A storage container holding a hazardous waste that is
subject to Subpart J...
incompatible with any waste or other materials stored nearby in other
containers, piles, open tanks, or surface impoundments must be
separated from the other materials or protected from them by means of
dike, berm, wall, or other device.
Subpart J-Tank Systems
Section 265.190 Applicability.
The regulations of this subpart apply to owners or operators of
facilities that use tank systems for storing or treating hazardous waste,
except as otherwise provided in paragraphs (a) and (b) of this section or
in Section 265.1 of this part.
(a) Tanks that are used to store or treat hazardous waste
containing no free liquids and that are situated inside a building with an
impermeable floor are exempted from the requirements of Section
265.193 of this subpart. To demonstrate the absence or presence of free
liquids in the stored/treated waste, EPA Method 9095 (Paint Filter
Liquids Test) as described in 'Test Methods for Evaluating Solid
Integrity assessment...
Wastes, Physical/Chemical Methods" (EPA Publication No.SW-846)
must be used.
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REVISED JULY 1,1988
Independent, qualified, registered
engineer...
By January 12,1988...
Determinations of the assessment.
Design standards...
Corrosion protection...
Leak test...
Non-enlerable underground tanks.
Enterable underground tanks...
Tanks brought into use after
July 14, 1986...
Design standards for tanks...
(b) Tanks, including sumps, as defined in Section 260.10, that
serve as part of a secondary containment system to collect or contain
releases of hazardous wastes are exempted from the requirements in
Section 265.193.
Section 265.191 Assessment of existing tank
system's integrity.
(a) For each existing tank system that does not have secondary
containment meeting the requirements of Section 265.193, the owner or
operator must determine that the tank system is not leaking or is unfit for
use. Except as provided in paragraph (c) of this section, the owner or
operator must obtain and keep on file at the facility a written assessment
reviewed and certified by an independent, qualified, registered
professional engineer in accordance with Section 270.11(d), that attests
to the tank system's integrity by January 12, 1988.
(b) This assessment must determine that the tank system is
adequately designed and has sufficient structural strength and
compatibility with the waste(s) to be stored or treated to ensure that it
will not collapse, rupture, or fail. At a minimum, this assessment must
consider the following:
(1) Design standard(s), if available, according to which the tank and
ancillary equipment were constructed;
(2) Hazardous characteristics of the waste(s) that have been or will
be handled;
(3) Existing corrosion protection measures;
(4) Documented age of the tank system, if available, (otherwise, an
estimate of the age); and
(5) Results of a leak test, internal inspection, or other tank integrity
examination such that:
(i) For non-enterable underground tanks, this assessment must
consist of a leak test that is capable of taking into account the effects of
temperature variations, tank and deflection, vapor pockets, and high
water table effects,
(ii) For other than non-enterable underground tanks and for
ancillary equipment, this assessment must be either a leak test, as
described above, or an internal inspection and/or other tank integrity
examination certified by an independent, qualified, registered
professional engineer in accordance with Section 270.11(d) that
addresses cracks, leaks, corrosion, and erosion.
(c) Tank systems that store or treat materials that become
hazardous wastes subsequent to July 14, 1986 must conduct this
assessment within 12 months after the date that the waste becomes a
hazardous waste.
(d) If, as a result of the assessment conducted in accordance
with paragraph (a) of this section, a tank system is found to be leaking or
unfit for use, the owner or operator must comply with the requirements
of Section 265.196.
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REVISED JULY 1,1988
Corrosion protection...
Proper handling procedures.
Section 265.192 Design and installation of
new tank system or components.
(a) Owners or operators of new tank systems or components
must ensure that the foundation, structural support, seams, connections,
and pressure controls (if applicable) are adequately designed and that the
tank system has sufficient structural strength, compatibility with the
waste(s) to be stored or treated, and corrosion protection so that it will
not collapse, rupture, or fail. The owner or operator must obtain a
written assessment reviewed and certified by an independent, qualified,
registered professional engineer in accordance with Section 270.11(d)
attesting that the system has sufficient structural integrity and is
acceptable for the storing and treating of hazardous waste. This
assessment must include, at a minimum, the following information:
(1) Design standard(s) according to which the tank(s) and
ancillary equipment is or will be constructed.
(2) Hazardous characteristics of the waste(s) to be handled.
(3) For new tanks systems or components in which the external
shell of a metal tank or any external metal component of the tank system
is or will be in contact with the soil or with water, a determination by a
corrosion expert of:
(i) Factors affecting the potential for corrosion, including but not
limited to:
(A) Soil moisture content;
(B) Soil pH;
(Q Soil sulfides level;
(D) Structure to soil potential;
(F) Influence of nearby underground
metal structures (e.g., piping);
(G) Stray electric current; and
(H) Existing corrosion-protection measures
(e.g., coaling, cathodic protection), and
(ii) The type and degree of external corrosion protection that
are needed to ensure the integrity of the tank system during the use of
the tank system or component, consisting of one or more of the
following:
(A) Corrosion-resistant materials of construction such as special
alloys or fiberglass-reinforced plastic;
(B) Corrosion-resistant coating (such as epoxy or fiberglass) with
cathodic protection (e.g., impressed current or sacrificial anodes); and
(C) Electrical isolation devices such as insulating joints and flanges.
(4) For underground tank system components that are likely to
be affected by vehicular traffic, a determination of design or operational
measures that will protect the tank system against potential damage; and
(5) Design considerations to ensure that:
(i) Tank foundations will maintain the load of a full tank;
(ii) Tank systems will be anchored to prevent flotation of
dislodgement where the tank system is placed in a saturated zone, or is
located within a seismic fault zone; and
(iii) Tank systems will withstand the effects of frost heave.
(b) The owner or operator of a new tank system must ensure
21
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REVISED JULY 1,1988
Backfill material...
Tightness testing prior to use...
Ancillary equipment support and
protection...
On-file assessments...
Containing/detecting releases..
Secondary containment...
When containment MUST be
provided...
that proper handling procedures are adhered to in order to prevent
damage to the system during installation. Prior to covering, enclosing,
or placing a new tank system or component in use, an independent,
qualified installation inspector or an independent, qualified, registered
professional engineer, either of whom is trained and experienced in the
proper installation of tank systems, must inspect the system or
component for the presence of any of the following items:
(1) Weld breaks;
(2) Punctures;
(3) Scrapes of protective coatings;
(4) Cracks;
(5) Corrosion;
(6) Other structural damage or inadequate construction or
installation.
All discrepancies must be remedied before the tank system is
covered, enclosed, or placed in use.
(c) New tank systems or components and piping that are placed
underground and that are backfilled must be provided with a backfill
material that is a non-corrosive, porous, homogeneous substance and
that is carefully installed so that the backfill is placed completely around
the tank and compacted to ensure that the tank and piping are fully and
uniformly supported.
(d) All new tanks and ancillary equipment must be tested for
tightness prior to being covered, enclosed or placed in use. If a tank
system is found not to be tight, all repairs necessary to remedy the
leak(s) in the system must be performed prior to the tank system being
covered, enclosed, or placed in use.
(e) Ancillary equipment must be supported and protected
against physical damage and excessive stress due to settlement,
vibration, expansion or contraction.
(0 The owner or operator must provide the type and degree of
corrosion protection necessary, based on the information provided under
paragraph (a)(3) of this section, to ensure the integrity of the tank system
during the use of the tank system. The installation of a corrosion
protection system that is field fabricated must be supervised by an
independent corrosion expert to ensure proper installation.
(g) The owner or operator must obtain and keep on file at the
facility written statements by those persons required to certify the design
of the tank system and supervise the installation of the tank system in
accordance with the requirements of paragraphs (b) through (0 of this
section to attest that the tank system was properly designed and installed
and that repairs, pursuant to paragraphs (b) and (d) of this section were
performed. These written statements must also include the certification
statement as required in Section 270.11(d) of this chapter.
Section 265.193 Containment and detection of releases.
(a) In order to prevent the release of hazardous waste or
22
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REVISED JULY 1,1988
Secondary containment system
performance standards...
Devices allowed for secondary
containment-
Additional standards for secondary
containment...
hazardous constituents to the environment, secondary containment that
meets the requirements of this section must be provided (except as
provided in paragraphs (0 and (g) of this section):
(1) For all new tank systems or components, prior to their being put
into service;
(2) For all existing tanks used to store or treat EPA Hazardous
Waste Nos.F021, F022, F023, F026, and F027, within two years after
January 12,1987;
(3) For existing tank systems of known and documentable age,
within two years after January 12,1987, or when the tank systems have
reached 15 years of age, whichever comes later,
(4) For those existing tank system for which the age cannot be
documented, within eight years of January 12,1987; but if the age of the
facility is greater than seven years, secondary containment must be
provided by the time the facility reaches 15 years of age, or within two
years of January 12,1987, whichever comes later, and
(5) For tank systems that store or treat materials that become
hazardous wastes subsequent to January 12,1987, within the time
intervals required in paragraphs (aXl) through (a)(4) of this section,
except that the date that a material becomes a hazardous waste must be
used in place of January 12, 1987.
(b) Secondary containment systems must be:
(1) Designed, installed, and operated to prevent any migration of
wastes or accumulated liquid out of the system to the soil, ground water,
or surface water at any time during the use of the tank system; and
(2) Capable of detecting and collecting releases and accumulated
liquids until the collected material is removed.
(c) To meet the requirements of paragraph (b) of this section,
secondary containment systems must be at a minimum:
(1) Constructed of or lined with materials that are compatible with
the waste(s) to be placed in the tank system and must have sufficient
strength and thickness to prevent failure due to pressure gradients
(including static head and external hydrological forces), physical contact
with the waste to which they are exposed, climatic conditions, the stress
of installation, and the stress of daily operation (including stresses from
nearby vehicular traffic);
(2) Placed on a foundation or base capable of providing support to
the secondary containment system and resistance to pressure gradients
above and below the system and capable of preventing failure due to
settlement, compression, or uplift;
(3) Provided with a leak detection system that is designed and
operated so that it will detect the failure of either the primary and
secondary containment structure or any release of hazardous waste or
accumulated liquid in the secondary containment system within 24
hours, or at the earliest practicable lime if the existing detection
technology or site conditions will not allow detection of a release within
24 hours;
(4) Sloped or otherwise designed or operated to drain and remove
liquids resulting from leaks, spills, or precipitation. Spilled or leaked
waste and accumulated precipitation must be removed from the
secondary containment system within 24 hours, or in as timely a manner
as is possible to prevent harm to human health or the environment, if
removal of the released waste or accumulated precipitation cannot be
23
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REVISED JULY 1, 1988
External liners.
Vault systems..
Double-walled tanks...
Secondary containment for ancillary
equipment...
accomplished within 24 hours.
(d) Secondary containment for tanks must include one or more
of the following devices:
(1) A liner (external to the tank);
(2) A vault;
(3) A double-walled tank; or
(4) An equivalent device as approved by the Regional
Administrator.
(e) In addition to the requirements of paragraphs (b), (c), and
(d) of this section, secondary containment systems must satisfy the
following requirements;
(1) External liner systems must be:
(1) Designed or operated to contain 100 percent of the capacity
of the largest tank within its boundary;
(ii) Designed or operated to prevent run-on or infiltration of
precipitation into the secondary containment system unless the
collection system has sufficient excess capacity to contain run-on or
infiltration. Such additional capacity must be sufficient to contain
precipitation from a 25-year, 24-hour rainfall event;
(iii) Free of cracks or gaps; and
(iv) Design and installed to completely surround the tank and to
cover all surrounding earth likely to come into contact with the waste if
released from the tank(s) (i.e., capable of preventing lateral as well as
vertical migration of the waste).
(2) Vault systems must be:
(i) Designed or operated to contain 100 percent of the capacity of the
largest tank within its boundary;
(ii) Designed or operated to prevent run-on infiltration of
precipitation into the secondary containment system unless the
collection system has sufficient excess capacity to contain run-on or
infiltration. Such additional capacity must be sufficient to contain
precipitation from a 25-ycar, 24-hour rainfall event;
(iii) Constructed with chemical-resistant water stops in place at all
joints (if any);
(iv) Provided with an impermeable interior coating or lining that is
compatible with the stored waste and that will prevent migration of
waste into the concrete;
(v) Provided with a means to protect against the formation of and
ignition of vapors within the vault, if the waste being stored or treated:
(A) Meets the definition of ignitable waste under Section
262.21 of this chapter, or
(B) Meets the definition of reactive waste under Section
262.21 of this chapter and may form an ignitable or explosive vapor; and
(vi) Provided with an exterior moisture barrier or be otherwise
designed or operated to prevent migration of moisture into the vault if
the vault is subject to hydraulic pressure.
(3) Double-walled tanks must be:
(i) Designed as an integral structure (i.e., an inner tank within an
outer shell) so that any release from the inner tank is contained by the
outer shell;
(ii) Protected, if constructed of metal, from both corrosion of the
primary tank interior and the external surface of the outer shell; and
(iii) Provided with a built-in, continuous leak detection system
capable of detecting a release within 24 hours of at the earliest
24
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REVISED JULY 1,1988
Variances from secondary
containment-
practicable time, if the owner or operator can demonstrate to the
Regional Administrator, and the Regional Administrator concurs, that
the existing leak detection technology or site conditions will not allow
detection of release within 24 hours.
(f) Ancillary equipment must be provided with full secondary
containment (e.g., trench, jacketing, double-walled piping) that meets
the requirements of paragraphs (b) and (c) of this section except for:
(1) Aboveground piping (exclusive of flanges, joints, valves,
and connections) that are visually inspected for leaks on a daily basis;
(2) Welded flanges, welded joints, and welded connections that
are visually inspected for leaks on a daily basis;
(3) Sealless or magnetic coupling pumps that are visually
inspected for leaks on a daily basis; and
(4) Pressurized aboveground piping systems with automatic
shut-off devices (e.g., excess flow check valves, flow metering
shutdown devices, loss of pressure actuated shut-off devices) that are
visually inspected for leaks on a daily basis.
(g) The owner or operator may obtain a variance from the
requirements of this Section if the Regional Administrator finds, as a
result of a demonstration by the owner or operator, either that
alternative design and operating practices, together with location
characteristics, will prevent the migration of hazardous waste or
hazardous constituents into the ground water or surface water at least as
effectively as secondary containment during the active life of the tank
system or that in the event of a release that does migrate to ground water
or surface water, no substantial present or potential hazard will be posed
to human health or the environment. New underground tank systems
may not, per a demonstration in accordance with paragraph (g)(2) of this
section, be exempted from the secondary containment requirements of
this section. Application for a variance as allowed in paragraph (g) of
this section does not waive compliance with the requirements of this
Subpart for new tank systems.
(1) In deciding whether to grant a variance based on a
demonstration of equivalent protection of ground water and surface
water, the Regional Administrator will consider:
(i) The nature and quantity of the waste;
(ii) The proposed alternate design and operation;
(iii) The hydrogeologic setting of the facility, including the thickness
of soils between the tank system and ground water, and
(iv) All other factors that would influence the quality and mobility of
the hazardous constituents and the potential for them to migrate to
ground water or surface water.
(2) In deciding whether to grant a variance, based on a
demonstration of no substantial present or potential hazard, the Regional
Administrator will consider,
(i) The potential adverse effects on ground water, surface water, and
land quality taking into account:
(A) The physical and chemical characteristics of the waste in
the tank system, including its potential for migration,
(B) The hydrogeological characteristics of the facility and
surrounding land,
(C) The potential for health risks caused by human exposure to
waste constituents,
(D) The potential for damage to wildlife, crops, vegetation,
25
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REVISED JULY 1,1988
and physical structures caused by exposure to waste constituents, and
(E) The persistence and permanence of the potential adverse
effects;
(ii) The potential adverse effects of a release on ground water quality,
taking into account:
(A) The quantity and quality of ground water and the direction
of ground-water flow,
(B) The proximity and withdrawal rates of water in the area,
(C) The current and future uses of ground water in the area,
and
(D) The existing quality of ground water, including other
sources of contamination and their cumulative impact on the ground
water quality;
(iii) The potential adverse effects of a release on surface water
quality, taking into account:
(A) The quantity and quality of ground water and the direction
of ground-water flow,
(B) The patterns of rainfall in the region,
(C) The proximity of the tank system to surface waters,
(D) The current and future uses of surface waters in the area
and any water quality standards established for those surface waters, and
(E) The existing quality of surface water, including other
sources of contamination and the cumulative impact on surface-water
quality; and
(iv) The potential adverse effects of a release on. the land surrounding
the tank system, taking into account:
(A) The patterns of rainfall in the region, and
(B) The current and future uses of the surrounding land.
(3) The owner or operator of a tank system, for which a
variance from secondary containment had been granted in accordance
with the requirements of paragraph (g)(1) of this section, at which a
release of hazardous waste has occurred from the primary tank system
but has not migrated beyond the zone of engineering control (as
established in the variance), must:
(i) Comply with the requirements of Section 265.196, except
paragraph (d); and
(ii) Decontaminate or remove contaminated soil to the extent
necessary to:
(A) Enable the tank system, for which the variance was
granted, to resume operation with the capability for the detection of and
response to releases at least equivalent to the capability it had prior to
the release, and
(B) Prevent the migration of hazardous waste or hazardous
constituents to ground water or surface water; and
(iii) If contaminated in accordance with paragraph (g)(3)(ii) of this
section, comply with the requirements of Section 264.197(b);
(4) The owner or operator of a tank system, for which a
variance from secondary containment had been granted in accordance
with the requirements of paragraph (g)(1) of this section, at which a
release of hazardous waste has occurred from the primary tank system
and has migrated beyond the zone of engineering control (as established
in the variance), must:
26
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REVISED JULY 1,1988
Procedures for requesting a
variance...
Standards applicable until secondary
containment has been provided...
(i)Comply with the requirementsof Section*265.'196(a)7Tb), (c), and
(d); and
(Li) Prevent the migration of hazardous waste or hazardous
constituents to ground water or surface water, if possible, and
decontaminate or remove contaminated soil. If contaminated soil cannot
be decontaminated or removed, or if ground water has been
contaminated, the owner or operator must comply with the requirements
of Section 265.197(b);
(iii) If repairing, replacing, or reinstalling the tank system, provide
secondary containment in accordance with the requirements of
paragraphs (a) through (0 of this section or reapply for variance from
secondary containment and meet the requirements for new tank systems
in Section 265.192 if the tank system is replaced. The owner or operator
must comply with these requirements even if contaminated soil can be
decontaminated or removed, and ground water or surface water has not
been contaminated.
(h) The following procedures must be followed in order to
request a variance from a secondary containment;
(1) The Regional Administrator must be notified in writing by
the owner or operator that he intends to conduct and submit a
demonstration for a variance from secondary containment as allowed in
paragraph (g) of this section according to the following schedule:
(i) For existing tank systems, at least 24 months prior to the date that
secondary containment must be provided in accordance with paragraph
(a) of this section; and
(ii) For new tank systems, at least 30 days prior to entering into a
contract for installation of the tank system.
(2) As part of the notification, the owner or operator must also
submit to the Regional Administrator a description of the steps
necessary to conduct the demonstration and a timetable for completing
each of the steps. The demonstration must address each of the factors
listed in paragraph (g)(1) of paragraph (g)(2) of this section.
(3) The demonstration for a variance must be completed and
submitted to the Regional Administrator within 180 days after notifying
the Regional Administrator of intent to conduct the demonstration.
(4) The Regional Administrator will inform the public, through
a newspaper notice, of the availability of the demonstration for a
variance. The notice shall be placed in a daily or weekly major local
newspaper of general circulation and shall provide at least 30 days from
the date of the notice for the public to review and comment on the
demonstration for a variance. The Regional Administrator also will hold
a public hearing, in response to a request or at his own discretion,
whenever such a hearing might clarify one or more issues concerning the
demonstration for a variance. Public notice of the hearing will be given
at least 30 days prior to the date of the hearing and may be given at the
same time as notice of the opportunity for the public to review and
comment on the demonstration. These two notices may be combined.
(5) The Regional Administrator will approve or disapprove the
request for a variance within 90 days of receipt of the demonstration
from the owner or operator and will notify in writing the owner or
operator and each person who submitted written comments or requested
notice of the variance decision. If the demonstration for a variance is
incomplete or does not include sufficient information, the 90-day time
period will begin when the Regional Administrator receives a complete
demonstration, including all information necessary to make a final
27
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REVISED JULY 1,1988
General operating requirements...
Spill/overfill prevention.
Freeboard...
Inspections...
Overfill equipment...
Aboveground portions-
Monitoring data...
Construction materials.
determination. If the public comment period in paragraph (h)(4) of this
section is extended, the 90-day time period will be similarly extended.
(i) All tank systems, until such time as secondary containment
meeting the requirements of this section is provided, must comply with
the following:
(1) For non-enterable underground tanks, a leak test that meets
the requirements of Section 265.191(b)(5) must be conducted at least
annually;
(2) For other than non-enterable underground tanks and for all
ancillary equipment, an annual leak test, as described in paragraph (i)(l)
of this section, or an internal inspection or other tank integrity
examination by an independent, qualified, registered professional
engineer that addresses cracks, leaks, corrosion, and erosion must be
conducted at least annually. The owner or operator must remove the
stored waste from the tank, if necessary, to allow the condition of all
internal tank surfaces to be assessed.
(3) The owner or operator must maintain on file at the facility a
record of the results of the assessments conducted in accordance with
paragraphs (i)(l) through (i)(3) of this section.
(4) If a tank system or component is found to be leaking or
unfit-for-use as a result of the leak test or assessment in paragraphs (i)(l)
through (i)(3) of this section, the owner or operator must comply with
the requirements of Section 265.196.
Section 265.194 General operating requirements.
(a) Hazardous wastes or treatment reagents must not be placed
in a tank system if they could cause the tank, its ancillary equipment, or
the secondary containment system to rupture, leak, corrode, or otherwise
fail.
(b) The owner or operator must use appropriate controls and
practices to prevent spills and overflows from tank or secondary
containment systems. These include at a minimum:
(1) Spill prevention controls (e.g, check valves, dry discount
couplings);
(2) Overfill prevention controls (e.g, level sensing devices,
high level alarms, automatic feed cutoff, or bypass to a standby tank);
and
(3) Maintain of sufficient freeboard in uncovered tanks to
prevent overtopping by wave or wink action or by precipitation.
(c) The owner or operator must comply with the requirements
of Section 265.196 if a leak or spill occurs in the tank system.
Section 265.195 Inspections.
(a) The owner or operator must inspect, where present, at least
once each operating day:
(1) Overfill/spill control equipment (e.g., waste-feed cutoff
28
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REVISED JULY 1,1988
Cathodic protection systems.
Documentation inspections...
Responses to leaks...
Cessation of use...
Removal of waste...
Containment of visible releases...
Reporting releases...
systems, bypass systems, and drainage systems) to ensure that it is in
good working order,
(2) The aboveground portions of the tank system, if any, to
detect corrosion or releases of waste;
(3) Data gathered from monitoring equipment and leak-
detection equipment, (e.g., pressure and temperature gauges, monitoring
wells) to ensure that the tank system is being operated according to its
design; and
(4) The construction materials and the area immediately
surrounding the externally accessible portion of the tank system
including secondary containment structures (e.g., dikes) to detect erosion
or signs of releases of hazardous waste (e.g., wet spots, dead vegetation);
(b) The owner or operator must inspect cathodic protection
systems, if present, according to, at a minimum, the following schedule
to ensure that they are functioning properly:
(1) The proper operation of the cathodic protection system
must be confirmed within six months after initial installation, and
annually thereafter, and
(2) All sources of impressed current must be inspected and/or
tested, as appropriate, at least bimonthly (i.e., every other month)
(c) The owner or operator must document in the operating
record of the facility an inspection of those items in paragraphs (a) and
(b) of this section.
Section 265.196 Response to leaks or spills and
disposition of leaking or unflt-for-use tank systems.
A tank system or secondary containment system from which
there has been a leak or spill, or which is unfit for use, must be removed
from service immediately, and the owner or operator must satisfy the
following requirements:
(a) Cessation of use; prevent flow or addition of waste. The
owner or operator must immediately stop the flow of hazardous waste
into the tank system or secondary containment system and inspect the
system to determine the cause of the release.
(b) Removal of waste from tank system or secondary
containment system.
(1) If the release was from the tank system, the owner or
operator must, within 24 hours after detection of the leak or, if the owner
or operator demonstrates that it is not possible, at the earliest practicable
time remove as much of the waste as is necessary to prevent further
release of hazardous waste to the environment and to allow inspection
and repair of the tank system to be performed.
(2) If the release was to a secondary containment system, all
released materials must be removed within 24 hours or in as timely a
manner as is possible to prevent harm to human health and the
environment.
(c) Containment of visible releases to the environment. The
29
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REVISED JULY 1,1988
Repairing system...
Certification of repairs.
owner or operator must immediately conduct a visual inspection of the
release and, based upon that inspection:
(1) Prevent further migration of the leak or spill to soils or
surface water; and
(2) Remove, and properly dispose of, any visible
contamination of the soil or surface water.
(d) Notifications, reports.
(1) Any release to the environment, except as provided in
paragraph (d)(2) of this section, must be reported to the Regional
Administrator within 24 hours of detection. If the release has been
reported pursuant to 40 CFR Part 302, that report will satisfy this
requirement.
(2) A leak or spill of hazardous waste that is:
(i) Less than or equal to a quantity of one (1) pound, and
(ii) Immediately contained and cleaned-up is exempted from the
requirements of this paragraph.
(3)Within 30 days of detection of a release to the environment,
a report containing the following information must be submitted to the
Regional Administrator.
(i) Likely route of migration of the release;
(ii) Characteristics of the surrounding soil (soil composition, geology,
hydrogeology, climate);
(iii) Results of any monitoring or sampling conducted in connection
with the release, (if available). If sampling or monitoring data relating
to the release are not available within 30 days, these date must be
submitted to the Regional Administrator as soon as they become
available.;
(iv) Proximity to downgradient drinking water, surface water, and
population areas; and
(v) Description of response actions taken or planned.
(e) Provision of secondary containment, repair, or closure.
(1) Unless the owner or operator satisfies the requirements of
paragraphs (eX2) through (4) of this section, the tank system must be
closed in accordance with Section 265.197.
(2) If the cause of the release was a spill that has not damaged
the integrity of the system, the owner/operator may return the system to
service as soon as the released waste is removed and repairs, if
necessary, are made.
(3) If the cause of the release was a leak from the primary tank
system into the secondary containment system, the system must be
repaired prior to returning the tank system to service.
(4) If the source of the release was a leak to the environment
from a component of a tank system without secondary containment, the
owner/operator must provide the component of the system from which
the leak occurred with secondary containment that satisfies the
requirements of Section 265.193 before it can be returned to service,
unless the source of the leak is an aboveground portion of a tank system.
If the source is an aboveground component that can be inspected
visually, the component must be repaired and may be returned to service
without secondary containment as long as the requirements of paragraph
(0 of this section are satisfied. If a component is replaced to comply
with the requirements for new tank systems or components in Sections
30
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REVISED JULY 1,1988
Closure/post-closure
Closure performance standards.
Closure as a landfill...
265.192 and 265.193. Additionally, if a leak has occurred in any portion
of a tank system component that is not readily accessible for visual
inspection (e.g., the bottom of an inground or onground tank), the entire
component must be provided with secondary containment in accordance
with Section 265.193 prior to being returned to use.
(0 Certification of major repairs. If the owner or operator has
repaired a tank system in accordance with paragraph (e) of this section,
and the repair has been extensive (e.g., installation of an internal liner;
repair of a ruptured primary containment or secondary containment
vessel), the lank system must not be returned to service unless the
owner/operator has obtained a certification by an independent, qualified,
registered professional engineer in accordance with Section 270.11(d)
that the required system is capable of handling hazardous wastes without
release for the intended life of the system. This certification must be
submitted to the Regional Administrator within seven days after
returning the tank system to use.
Section 265.197 Closure and post-closure care.
(a) At closure of a tank system, the owner or operator must
remove or decontaminate all waste residues, contaminated containment
system components (liners, etc.), contaminated soils, and structures and
equipment contaminated with waste, and manage them as hazardous
waste, unless Section 261.3(d) of this Chapter applies. The closure plan,
closure activities, cost estimates for closure, and financial responsibility
for tank systems must meet all of the requirements specified in Subparts
G and H of this Part
(b) If the owner or operator demonstrates that not all
contaminated soils can be practicably removed or decontaminated as
required in paragraph (a) of this section, then the owner or operator must
close the tank system and perform post-closure care in accordance with
the closure and post-closure care requirements that apply to landfills
(Section 265.310). In addition, for the purposes of closure, post-closure,
and financial responsibility, such a tank system is then considered to be
a landfill, and the owner or operator must meet all of the requirements
for landfills specified in Subparts G and H of this Part.
(c) If an owner or operator has a tank system which does not
have secondary containment that meets the requirements of Section
265.193(b) through (f) and which is not exempt from the secondary
containment requirements in accordance with Section 265.193(g), then,
(1) The closure plan for the tank system must include both a
plan for complying with paragraph (a) of this section and a contingent
plan for complying with paragraph (b) of this section.
(2) A contingent post-closure plan for complying with
paragraph (b) of this section must be prepared and submitted as part of
31
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REVISED JULY 1,1988
Reactive/ignitable waste in tanks.
Incompatible waste in tanks..
Waste analysis.
the permit application.
(3) The cost estimates calculated for closure and post-closure
care must reflect the costs of complying with the contingent closure plan
and the contingent post-closure plan, if these costs are greater than the
costs of complying with the closure plan prepared for the expected
closure under paragraph (a) of this section.
(4) Financial assurance must be based on the cost estimates in
paragraph (c)(3) of this section.
(5) For the purposes of the contingent closure and post-closure
plans, such a tank system is considered to be a landfill, and the
contingent plans must meet all of the closure, post-closure, and financial
responsibility requirements, for landfills under Subpart G and H of this
Part
Section 265.198 Special requirements for
ignitable or reactive wastes.
(a) Ignitable or reactive waste must not be placed in a tank
system, unless:
(1) The waste is treated, rendered, or mixed before or
immediately after placement in the tank system so that:
(i) The resulting waste, mixture, or dissolved material no longer
meets the definition of ignitable or reactive waste under Sections 261.21
or 261.23 of this Chapter; and
(ii) Section 265.17(b) is complied with; or
(2) The waste is stored or treated in such a way that it is
protected from any such material or conditions that may cause the waste
to ignite or react; or
(3)The tank system is used solely for emergencies.
(b) The owner or operator of a facility where ignitable or
reactive waste is stored or treated in tanks must comply with the
requirements for the maintenance of protective distances between the
waste management area and any public ways, streets, alleys, or an
adjoining property line that can be built upon as required in Tables 2-1
through 2-6 of the National Fire Protection Association's "Flammable
and Combustible Liquids Code," (1977 or 1981), (incorporated by
reference, see Section 260.11).
Section 265.199 Special requirements
for incompatible wastes.
(a) Incompatible wastes, or incompatible waste and materials,
must not be placed in the same tank system, unless Section 265.17(b) is
complied with.
(b) Hazardous waste must not be placed in a tank system that
has not been decontaminated and that previously held an incompatible
waste or material, unless Section 265.17(b) is complied with.
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REVISED JULY 1,1988
Requirements for 100-1000 kg/mo
generators...
Freeboard...
Continous feed-
Inspections...
Closure...
Section 265.200 Waste analysis and trial tests.
In addition to performing the waste analysis required by
Section 265.13, the owner or operator must, whenever a tank system is
to be used to treat chemically or to store a hazardous waste that is
substantially different from waste previously treated or stored in that
tank system; or treat chemically a hazardous waste with a substantially
different process than any previously used in that tank system:
(a) Conduct waste analyses and trial treatment or storage tests
(e.g., bench-scale or pilot-plant scale tests); or
(b) Obtain written, documented information on similar waste
under similar operating conditions to show that the proposed treatment
or storage will meet the requirements of Section 265.194(a).
Section 265.201 Special requirements for generators
of between 100 and 1,000 kg/mo that accumulate
hazardous waste in tanks.
(a) The requirements of this section apply to small quantity
generators of more than 100 kg but less than 1,000 kg of hazardous
waste in a calendar month, that accumulate hazardous waste in tanks for
less than 180 days (or 270 days if the generator must ship the waste
greater than 200 miles), and do not accumulate over 6,000 kg on-site at
any time.
(b) Generators of between 100 and 1,000 kg/mo hazardous
waste must comply with the following general operating requirements:
(1) Treatment or storage of hazardous waste in tanks must
comply with Section 265.17(b).
(2) Hazardous wastes or treatment reagents must not be placed
in a tank if they could cause the tank or its inner liner to rupture, leak,
corrode, or otherwise fail before the end of its intended life.
(3) Uncovered tanks must be operated to ensure at least 60
centimeters (2 feet) of freeboard, unless the tank is equipped with a
containment structure (e.g., dike or trench), a drainage control system, or
diversion structure (e.g., standby tank) with a capacity that equals or
exceeds the volume of the top 60 centimeters (2 feet) of the tank.
(4) Where hazardous waste is continuously fed into a tank, the
tank must be equipped with a means to stop this inflow (e.g., waste feed
cutoff system or by-pass system to a stand-by tank).
(c) Generators of between 100 and 1,000 kg/mo accumulating
hazardous waste in tanks must inspect, where present:
(1) Discharge control equipment (e.g., waste feed cutoff
systems, by-pass systems, and drainage systems) at least once each
operating day, to ensure that it is in good working order;
(2) Data gathered from monitoring equipment (e.g., pressure
and temperature gauges) at least once each operating day to ensure that
the tank is being operated according to its design;
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REVISED JULY 1, 1988
Ignitable and reactive waste...
Incompatible wastes...
(3) The level of waste in the tank at least once each operating
day to ensure compliance with Section 265.192(c);
(4) The construction materials of the tank at least weekly to
detect corrosion or leak of fixtures or seams; and
(5) The construction materials of, and the area immediately
surrounding, discharge confinement structures (e.g., dikes) at least
weekly to detect erosion or obvious signs of leakage (e.g., wet spots or
dead vegetation).
(d) Generators of between 100 and 1,000 kg/mo accumulating
hazardous waste in tanks must, upon closure of the facility, remove all
hazardous waste from tanks, discharge control equipment, and discharge
confinement structures.
(e) Generators of between 100 and 1,000 kg/mo must comply
with the following special requirements for ignitable or reactive waste:
(1) Ignitable or reactive waste must not be placed in a
tank, unless:
(i) The waste is treated, rendered, or mixed before or immediately
after placement in a tank so that (A) the resulting waste, mixture, or
dissolution of material no longer meets the definition of ignitable or
reactive waste under Section 261.21 or Section 261.23 of this Chapter,
and (B) Section 265.17(b) is complied with; or
(ii) The waste is stored or treated in such a way that it is protected
from any material or conditions that may cause the waste to ignite or
react; or
(iii) The tank is used solely for emergencies.
(2) The owner or operator of a facility which treats or stores
ignitable or reactive waste in covered tanks must comply with the buffer
zone requirements for tanks contained in Tables 2-1 through 2-6 of the
National Fire Protection Association's "Flammable and Combustible
Liquids Code," (1977 or 19811) (incorporated by reference, see Section
260.11).
(0 Generators of between 100 and 1,000 kg/mo must comply
with the following special requirements for incompatible wastes:
(1) Incompatible wastes, or incompatible wastes and materials,
(see Appendix V for examples) must not be placed in the same tank,
unless Section 265.17(b) is complied with.
(2) Hazardous waste must not be placed in an unwashed tank
which previously held an incompatible waste or material, unless Section
265.17(b) is complied with.
34
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RCRA INSPECTOR INSTITUTE
GENERATOR REGULATIONS -
QUESTIONS AND ANSWERS
-------
GENERATOR REGULATION WORKBOOK
The purpose of this workbook is to familiarize the case study participant with the
Generator regulations found in the Title 40, Code of Federal Regulations, §§ 261.5
and 262.
This exercise stresses the major portions of these regulations and should be
completed after the participant has reviewed the attached generator regulations.
Subparts I and J of Part 265 are also covered in this exercise, since generators must
comply with the regulations found in these two Subparts.
Where are the regulations governing what wastes a generator would or would
not count in determining the quantity of hazardous waste generated?
§261.5 (d) - A generator should not count:
(1) Hazardous waste removed from on-site storage;
(2) Hazardous waste produced by on-site treatment (including reclamation);*
(3) Spent materials recycled and reused on-site. *
* This is provided the hazardous waste was counted once.
In order for a generator's waste to be considered exempt, what three conditions
must be met?
§261.5 (f) & (g)
(1)Comply with §262.11 - Hazardous waste determination;
(2)Never accumulate greater than 1000 kilograms hazardous waste and 1
kilogram acute hazardous waste or 100 kilograms cleanup residue;
(3)Treat or dispose at an interim status or permitted TSD, a permitted state
facility for municipal or industrial waste, or a recycling facility performing
beneficial reclamation.
-------
How long may a conditionally exempt generator store waste on-site?
§261.5 (g) (2)
Until the amount exceeds 1000 kilograms (or forever).
A conditionally exempt generator mixes his waste with non-hazardous waste
and ends up with a resultant mixture of 200 kg. Is this generator still
considered exempt? Why or why not?
§261.5(h) Yes—conditionally exempt waste mixed with non-hazardous waste
remains exempt even though the resultant quantity exceeds 100 kilograms.
(Remember, the resultant mixture could still be a characteristic waste.)
Used oil is mixed with waste produced from a conditionally exempt generator.
The mixture is shipped off-site to be burned for energy recovery. Would this
mixture be regulated under Subpart D of Part 266 or Subpart E of Part 266?
Part 266, Subpart D, Hazardous Waste Burned for Energy Recovery.
Part 266, Subpart E, Used Oil burned for Energy Recovery.
§261.5(j) —Conditionally exempt hazardous waste that is mixed with
used oil and destined to be burned for energy recovery is
subject to §266 E.
*Significance: No manifest would be needed.
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What are the conditions that must exist for a 100-1000 kg/mo generator to be.
considered exempt from the manifesting requirements of Part 262?
§262.20(e) Hazardous waste is claimed under a contractual agreement which
specifies:
(1) waste types and frequency of shipments;
(2) transport vehicle must be owned and operated by reclaimer;
(3) generator must keep copy of agreement for 3 years after termination.
With what regulations must a 100-1000 kg/mo generator comply while
accumulating wastes on-site?
§262.34 (d)
(1) If generator is accumulating in containers, comply with 265, Subpart I;
If generator is accumulating in tanks, comply with §265.201;
(2) Never accumulate greater than 6000 kilograms on-site;
(3) Comply with 265, Subpart C (Preparedness and Prevention)
Drums of waste are excavated from an abandoned landfill. Would the person
excavating the waste be considered a generator? If so, why?
§260.10 - Definition of Generator
Any person, by site, whose act first causes waste to become subject to
regulation.
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A company operates two laboratories that generate hazardous waste and that
are located on non-contiguous parcels of land. Would these laboratories be
considered one generator? Explain your answer.
§260.10 - Definition of "on-site"
No—2 identification numbers would be needed. The entrances/exits are not
directly across from each other and you would have to go along the public
roadway to gain access.
What procedure should a generator follow when determining if his waste
would be considered hazardous?
§262.11 - A generator must determine if:
(1) the waste is excluded in §261.4;
(2) the waste is listed in §261 Subpart D;
(3) the waste is identified as characteristic.
A paint manufacturer states that the wastes produced at his facility are not
hazardous because his process does not involve the use of any hazardous
materials or ingredients. He has not performed any tests and claims that he is
not required to do so. Is this correct?
Yes—§262.11(c)(2). A generator can make a hazardous waste determination
by testing or applying knowledge of the characteristic.
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What types of records must a generator keep?
§262.40(a-c)
(1) Manifests,
(2) Biennial Reports,
(3) Any test results and/or waste analysis.
From what sources would a generator obtain manifest copies?
§262.21 - Acquisition of manifests
(1) If shipping waste to a state which requires its own manifest, use that
manifest;
(2) If consignment state does not supply its own, and the generator state
does, use the generator state manifest;
(3) Otherwise, obtain from any source.
What must a generator do if the facility that the waste was manifested to will
not accept the shipment?
§262.20(d)
The generator has two choices:
(1) Generator has waste shipped to the alternate facility on the
manifest; or
(2) Designate another facility or have waste returned.
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If a generator ships his waste by rail, where must he send at least three copies
of the manifest?
§262.23(d)(l-3)
There are three possibilities:
(1) To the next non-rail transporter, if any; or
(2) To the designated facility if transported solely by rail; or
(3) To the last available rail transporter to handle the waste in the
U.S. if exported.
Briefly describe a generator's requirements when exporting waste.
§262.52-3
(1) Notify the EPA within 60 days of scheduled shipment (include
identification numbers, waste information, and travel rate of
waste);
(2) Receiving country has consented to receive waste;
(3) EPA Acknowledgement of Consent must be attached to manifest;
(4) Shipment description must match that of receiving country.
With what regulations must a greater than 1000 kg/mo generator comply while
accumulating waste on-site?
§262.34(a)
(1) §265.16 (Personnel Training);
(2) §265 Subpart C;
(3) §265 Subpart D;
(4) If containers, §265 Subpart I; If tanks, §265 Subpart J except
§265.197(c) and §265.200.
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What is a satellite accumulation area? What requirements must a generator
meet while holding waste in a satellite accumulation area?
A generator may accumulate up to 55 gallons of hazardous waste or one quart of
acute hazardous waste in containers at or near any point of generation where
wastes initially accumulate, which is under the control of the operator.
A generator must comply with Sections 265.171, 265.172, and 265.173(a), and
mark the containers with the words "Hazardous Waste."
Briefly list the components of Subpart I of Part 265:
§265.171-Condition of containers
§265.172-Waste compatibility
§265.173-Management of containers
§265.174-Inspections
§265.176-Requirements for ignitable
and reactive waste
§265.177-Requirements for
incompatible wastes.
Briefly list the components of Subpart J of Part 265:
§265.191-Tank integrity assessment
§265.192-Design and installation of
new tanks and components
§265.193-Secondary containment and
leak detection
§265.194-General operating requirements
§265.195-Inspections
§265.196-Leak or spill
response
§265.197-Closure/post-closure
§265.198-Requirements for
ignitable and reactive
wastes
§265.199-Requirements for
incompatible wastes.
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What performance standards must leak detection systems for hazardous waste
tanks meet?
265.193(c)(3)
The system must be able to detect leaks within 24 hours or earliest
practicable time if site conditions or technology will not allow
detection.
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