United States
Environmental Protection
Agency
Solid Waste and
Emergency Response
(5305W)
EPA530-K-02-022I
October 2001
&EPA
RCRA, Superfund & EPCRA
Call Center Training Module
Introduction to:
Solid and Hazardous Waste
Exclusions
(40CFR§261.4)
Updated October 2001
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DISCLAIMER
This document was developed by Booz Allen Hamilton Inc. under contract 68-W-01-020 to EPA.
It is intended to be used as a training tool for Call Center specialists and does not represent a
statement of EPA policy.
The information in this document is not by any means a complete representation of EPA s
regulations or policies. This document is used only in the capacity of the Call Center training and
is not used as a reference tool on Call Center calls. The Call Center revises and updates this
document as regulatory program areas change.
The information in this document may not necessarily reflect the current position of the Agency.
This document is not intended and cannot be relied upon to create any rights, substantive or
procedural, enforceable by any party in litigation with the United States.
RCRA, Superfund & EPCRA Call Center Phone Numbers:
National toll-free (outside of DC area) (800) 424-9346
Local number (within DC area) (703) 412-9810
National toll-free for the hearing impaired (TDD) (800) 553-7672
The Call Center is open from 9 am to 5 pm Eastern Time,
Monday through Friday, except for federal holidays.
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SOLID AND HAZARDOUS WASTE EXCLUSIONS
CONTENTS
1. Introduction 1
2. Regulatory Summary 2
2.1 Solid Waste Exclusions 2
2.2 Hazardous Waste Exclusions 11
2.3 Exclusions for Raw Material, Product and Process Unit Wastes 20
2.4 Sample and Treatability Study Exclusions 21
2.5 Dredged Material Exclusion 22
3. Special Issues 23
3.1 Federally Owned Treatment Works 23
3.2 Household Hazardous Waste Collection Programs 23
3.3 Municipal Waste Combustion Ash 23
4. Regulatory Developments 24
4.1 Deferral from RCRA for the Management and Disposal of Lead Based
Paint Debris 24
4.2 Petroleum-Contaminated Media and Debris from Non-USTs 24
4.3 Glass Frit and Fluoride-Rich Baghouse Dust Generated by the Vitrification
ofK088 25
4.4 Zinc Fertilizers Made From Recycled Hazardous Secondary Materials 25
4.5 Project XL Site-Specific Exclusion 25
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Solid and Hazardous Waste Exclusions - 1
1. INTRODUCTION
The Resource Conservation and Recovery Act's (RCRA) Subtitle C hazardous waste
management program is a comprehensive and carefully constructed system to
ensure wastes are managed safely and lawfully. This program begins with a specific,
formal process to categorize wastes accurately and appropriately. This process is
called waste identification. Because of the risks posed by mishandled hazardous
wastes and the cost of hazardous waste management, this hazardous waste
identification process is critical to operating the hazardous waste program
effectively.
Some of the materials that would otherwise fit the definitions of a solid or
hazardous waste under waste identification are specifically excluded from the
definitions. EPA concluded that these materials should not be regulated as solid or
hazardous wastes for one or more of a number of reasons. Many exclusions are
mandated in the statute. EPA selected other exclusions to provide an incentive to
recycle certain materials, because there was not enough information on the material
to justify its regulation as a solid or hazardous waste, or because the material was
already subject to regulation under another statute. The exclusions from the
definition of a RCRA solid or hazardous waste are codified in 40 CFR §261.4.
This module explains each waste exclusion and its scope, so you can apply this
knowledge in determining whether a given waste is or is not regulated under
RCRA Subtitle C. When you have completed this module, you will be able to:
• Cite the regulatory section for exclusions, and identify materials that are not
solid wastes and solid wastes that are not hazardous wastes
• Locate the manufacturing process unit exclusion
• Identify the sample and treatability study exclusions and their applicability
• Outline and specify the conditions for meeting the exclusions for household
wastes and mixtures of domestic sewage.
Use this list of objectives to check your knowledge of this topic after you complete
the training session.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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2 - Solid and Hazardous Waste Exclusions
2. REGULATORY SUMMARY
After determining that a waste is a solid waste, the next step in every hazardous
waste determination requires the generator to determine if the waste fits any of the
six categories of exclusions identified in §261.4 (§262.11 (a)). If the waste fits one of
these categories, it is not regulated as a RCRA hazardous waste, and the hazardous
waste determination process ceases. The first category includes wastes that are
excluded from being solid wastes (§261.4(a)). The second category covers wastes that
are excluded from being hazardous wastes (§261.4(b)). The remaining four categories
are conditional exclusions that only apply when the provisions established under
each section are met. Section 261.4(c) contains an exclusion for hazardous waste
generated in raw material, product storage, or manufacturing units. Section 261.4(d)
provides an exclusion for laboratory samples and the §§261.4(e) and (f) exclusions
apply to waste treatability studies. Finally, §261.4(g) excludes dredged material from
the definition of hazardous waste when permitted under the Marine Protection
Research and Sanctuaries Act (MPRSA), or the Clean Water Act (CWA). If a waste is
excluded under any of these categories, Subtitle C hazardous waste requirements do
not apply. On the other hand, if an exclusion does not apply, the steps of hazardous
waste identification continue pursuant to §262.11.
These five broad categories of §261.4 exclusions are addressed in the order in which
they appear in the CFR.
2.1 SOLID WASTE EXCLUSIONS
The exclusions from the definition of solid waste are listed in §261.4(a). If a material
is listed under §261.4(a), it is not a solid waste and thus, under the regulations,
cannot be a hazardous waste. The analysis of the waste stops there if it is excluded
— it does not matter if the material exhibits a characteristic as set out in §§261.21
through 261.24 (i.e., ignitable, corrosive, reactive, or toxic), or would otherwise be a
waste listed in Part 261, Subpart D. Currently there are 19 exclusions under §261.4(a).
These materials are excluded for a variety of reasons, including public policy,
economic impacts, regulation by other laws, lack of data, or impracticability of
regulating the waste. The decision to exclude the following materials from the solid
waste definition is a result of either Congressional action (embodied in the statute)
or EPA rulemaking.
DOMESTIC SEWAGE AND MIXTURES OF DOMESTIC SEWAGE (§261.4(a)(l))
Sanitary wastes that pass through a publicly or privately owned sewer system are
considered domestic sewage and are excluded from regulation under Subtitle C (45
FR 33066, 33097; May 19, 1980).
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Solid and Hazardous Waste Exclusions - 3
Under §261.4(a)(l)(ii), mixtures of sanitary wastes and other wastes (including
hazardous industrial wastes) that pass through a sewer system to a publicly owned
treatment works (POTW) are excluded from Subtitle C regulation. The exclusion
applies to a waste when it first enters a sewer system provided that it will mix with
sanitary wastes prior to storage or treatment by a POTW. The Agency interprets this
exclusion to begin at the point of entry into the sewage system, not at the point the
hazardous waste actually mixes with the sewage (45 FR 33066, 33097; May 19, 1980).
This exclusion does not include any waste directly transported to the POTW by truck
or rail shipments (45 FR 33066, 33097 and 33176; May 19, 1980).
Prior to entering the sewer system, the waste may be a solid and a hazardous waste
subject to RCRA regulation during generation, storage, and treatment. Once the
waste has been discharged to the POTW, it is subject to CWA regulations and local
restrictions. Note that CWA may prohibit discharges of certain chemicals and
wastes into a sewer system. Because wastes that mix with domestic sewage are not
considered solid wastes, the POTW would not be deemed to be receiving or treating
RCRA hazardous wastes. However, sludge generated at the POTW from the
treatment of the waste is subject to §262.11 analysis because it is a new point of
generation. If the newly-generated waste exhibits a characteristic of hazardous waste
(i.e., ignitability, corrosivity, reactivity, or toxicity), it would be subject to Subtitle C
regulation (45 FR 33066, 33101; May 19, 1980).
In certain circumstances, this exclusion may be applied to domestic sewage and
mixtures of domestic sewage that pass through a federally owned treatment works
(FOTW).
POINT SOURCE DISCHARGE (§261.4(a)(2))
Industrial wastewater discharges that are subject to CWA §402, also called point
source discharges, are excluded from Subtitle C regulation. Point source discharges
are "discernible or discrete conveyances" from which pollutants may be discharged,
such as a pipe. CWA regulates such discharges under the National Pollutant
Discharge Elimination System (NPDES) permitting program. To avoid duplicative
regulation, this exclusion applies at the discharge point where the wastes are first
subject to CWA regulation (45 FR 33066, 33098; May 19, 1980). Any hazardous waste
generation, treatment, or storage prior to the point source discharge is subject to
RCRA. Many industrial facilities that treat wastewater on site, and then discharge it,
use this point source discharge exclusion.
IRRIGATION RETURN FLOW (§261.4(a)(3))
When agricultural land is irrigated, excess water may return to the water basin either as
surface water runoff or through groundwater percolation. Though these return flows
may often carry hazardous constituents (from pesticides or fertilizers) or exhibit a
characteristic of hazardous waste, these wastes are excluded under §261.4(a)(3) (45 FR
33066, 33098; May 19, 1980).
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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4 - Solid and Hazardous Waste Exclusions
RADIOACTIVE WASTE (§261.4(a)(4))
To avoid duplicative regulation of some materials under both RCRA and the
Atomic Energy Act (AEA), there is an exclusion from RCRA for radioactive wastes
(i.e., source, special nuclear, or by-product materials) that are regulated under AEA
(45 FR 33066, 33098; May 19, 1980). However, if non-radioactive components of the
waste make the waste a RCRA hazardous waste, then the waste is regulated by both
AEA and RCRA. EPA regulates the hazardous waste portion through RCRA, while
the Nuclear Regulatory Commission and the Department of Energy regulate the
radioactive portion under the AEA.
IN-SITU MINING (§261.4(a)(5))
In-situ mining of oil shale, uranium, and other minerals may involve the
application of solvent solutions directly to a mineral deposit in the ground. The
solvent passes through the ground, collecting the mineral as it moves. The mineral
and solvent mixtures are then collected in underground wells where the solution is
removed. The solvent-contaminated earth produced, or the solution not recovered,
by the in-situ mining process is not subject to RCRA when left in place (45 FR 33066,
33101; May 19, 1980).
PULPING LIQUORS (§261.4(a)(6))
Pulping liquor is a corrosive material used to dissolve wood chips. Pulping liquors,
also called black liquors, that are reclaimed in a pulping liquor recovery furnace and
then reused in the pulping process are excluded, unless accumulated speculatively
as defined in §261.1(c) or reclaimed in another manner (50 FR 614, 642; January 4,
1985).
SPENT SULFURIC ACID (§261.4(a)(7))
Spent sulfuric acid is typically used to produce virgin sulfuric acid by reintroduction
into the sulfuric acid production process. Spent sulfuric acid that is recycled in this
manner is excluded from the definition of solid waste, unless accumulated
speculatively as defined in §261.l(c) (50 FR 614, 642; January 4, 1985).
RECLAMATION IN ENCLOSED TANKS (§261.4(a)(8))
The exclusion in §261.4(a)(8), known as the closed-loop recycling exclusion, covers
secondary materials (e.g., spent materials or sludges) generated during production
processes which are reusable in those same processes (51 FR 25422, 25441; July 14,
1986). These secondary materials, if reclaimed and returned to the original
process(es), are excluded, provided:
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Solid and Hazardous Waste Exclusions - 5
• Only tank storage is involved and the entire process, through the completion
of reclamation, is closed
• Reclamation does not involve incineration or other controlled-flame
combustion (i.e., boilers or furnaces)
• Secondary materials are never accumulated in tanks for more than 12
months without being reclaimed
• Reclaimed materials are not used to produce a fuel, or used to produce
products that are used in a manner constituting disposal.
SPENT WOOD PRESERVATIVES (§261.4(a)(9))
Spent wood preservatives are typically collected and reclaimed through a series of
drip pads connected integrally to the production process, closely resembling a closed-
loop scenario. Since the use of drip pads will not allow this reclamation process to
fit the closed-loop exclusion in §261.4 (a) (8), EPA developed an exclusion in
§261.4(a)(9) for reclaimed spent wood preserving solutions and wastewaters
containing spent preservative that are reused for their original purpose (55 FR
50450, 50460; December 6, 1990).
Spent wood preserving solutions and wastewaters containing spent preservative are
excluded at the point they are generated (prior to reclamation or direct reuse in the
wood preserving operations), provided certain conditions are met. To qualify for
this exclusion, these materials must be recycled and reused on site for their original
intended purpose, and must be managed to prevent releases to land and
groundwater. Additionally, the drip pads that collect wood preserving solutions
must meet Subtitle C design and operating requirements (63 FR 28556, 28627; May
26, 1998). Finally, a plant owner must notify EPA of an intent to claim that the
wastes are exempt from regulation.
COKE BY-PRODUCT WASTES (§261.4(a)(10))
Certain coke by-product wastes are excluded from the definition of solid waste. Coke,
a product used in the production of iron, is manufactured by carbonizing coal in
high temperature coke ovens. Throughout the production process many by-
products are created. The initial by-product in the production process is coke oven
gas (COG), which is refined to create products such as coal tar, light oil, and sodium
phenolate. The coal tar is then further refined into pitch, naphthalene, refined tar,
bitumen, and creosote oil. The refinement of these coke by-products generates
several listed and characteristic wastestreams.
EPA granted an exclusion for K087, K141, K142, K143, K144, K145, K147, K148 and
any other coke by-product wastes which exhibit the toxicity characteristic, when
recycled in the following manner:
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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6 - Solid and Hazardous Waste Exclusions
• Returned to the coke oven as a feedstock to produce coke; or
• Returned to the tar recovery process as a feedstock to produce coal tar; or
• Mixed with coal tar prior to coal tar refining or sale as a product.
In addition, to qualify for the exclusion, the coke by-product waste cannot be placed
on the land from the time it is generated to the point it is recycled. EPA based its
decision to exclude coke by-product wastes on the fact that recycling these wastes did
not have a significant effect on the chemical composition of the products. Further,
coke by-product residues are often managed as raw materials rather than wastes,
thereby reducing the risk posed to human health and the environment because the
material has an intrinsic value that promotes its safe management.
SPLASH CONDENSER DROSS RESIDUE (§261.4(a)(ll))
The treatment of emission control dust/sludge from the primary production of steel
in electric furnaces (K061) generates a zinc-laden dross residue from the splash
condenser in a high temperature metal recovery (HTMR) process. This residue,
known as splash condenser dross residue (SCDR), is typically considered a partially
reclaimed secondary material because it contains 50 to 60 percent zinc. SCDR is
commonly sent off site for further reclamation, reused on site in the HTMR process,
or reprocessed by the HTMR on site.
EPA determined that the SCDR material generated by certain HTMR processes does
not pose a significant threat to human health and the environment as managed
currently and therefore excluded it from Subtitle C regulation. The exclusion
applies when the material is used as a source of zinc in zinc recovery operations,
provided it is shipped in drums (if sent off site) and not disposed of on the land at
any point prior to further recovery (56 FR 41164; August 19, 1991).
HAZARDOUS SECONDARY MATERIALS FROM THE PETROLEUM REFINING
INDUSTRY (§261.4(a)(12))
Hazardous Secondary Materials Generated and Recycled Within Petroleum
Refineries (§261.4(a)(12)(i))
Many hazardous sludges, by-products, and spent materials are generated throughout
the petroleum refining process. Often these secondary materials can be recycled back
into the refining process to recover their oil content. Under the current regulatory
definition of solid waste, secondary materials which are recycled in certain ways are
excluded from the definition of solid waste (e.g., characteristic sludges which are
being reclaimed) (§261.2). However, secondary materials that are used to produce
fuels meet the definition of solid waste (§261.2(e)(2)(ii)). Thus, any hazardous
secondary materials generated and recycled within the petroleum refining industry
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Solid and Hazardous Waste Exclusions - 7
would have to be managed under Subtitle C, since petroleum is, by definition, a
fuel.
In order to promote recycling of these materials, EPA promulgated an exclusion for
oil-bearing secondary materials that are generated and recycled by the petroleum
refining industry (SIC code 2911). This exclusion applies to any oil-bearing material
generated at a petroleum refinery, including oil-bearing wastes commonly regulated
as listed hazardous wastes (i.e., F037, F038, K048-K052, K169-K170), when these
materials are reinserted into the petroleum refining process, including the coke
quenching process (63 FR 42110; August 6, 1998).
This exclusion is limited to secondary materials generated during refining
operations and does not extend to wastes generated elsewhere within the petroleum
refining industry, such as from petroleum exploration and production sites, bulk
crude oil storage, and petroleum industry-related transportation facilities. The
secondary materials can be recycled in an on-site refining process or can be sent
directly to an off-site petroleum refining facility to be reinserted back into the
refining process, including, but not limited to, distillation, catalytic cracking,
fractionation, or thermal cracking units (i.e., cokers). However, secondary materials
that are inserted into a petroleum coker only qualify for this exclusion if the
resulting coke product does not exhibit a characteristic of hazardous waste. Finally,
all secondary materials that are excluded from the definition of solid waste under
this exclusion cannot be placed on the land prior to recycling and cannot be
speculatively accumulated.
Any residues generated from the recycling of oil-bearing hazardous secondary
material, which otherwise would have met another listing description, are
considered F037 listed wastes if intended for, or sent for, disposal (63 FR 42110;
August 6, 1998).
Recovered Oil (§261.4(a)(12)(ii))
In addition to the exclusion for secondary materials generated by and recycled
within petroleum refineries, oil recovered from secondary materials with
significant oil content that are generated within the petroleum industry (i.e., not
just form refineries), may be excluded from the definition of solid waste as
recovered oil.
Recovered oil is a generic term that refers to materials that are primarily oil and that
are recovered from secondary materials generated during any phase of petroleum
exploration, production, refining, and related transportation. This includes
oil/water separator skimmings from plant wastewaters, slop oil and emulsions, oil
skimmed from ballast water tanks, and oil from refinery process units (59 FR 38536;
July 28, 1994). Recovered oil does not include listed oil-bearing hazardous wastes
(i.e., F037, F038, K048-K052, and K169-K172). In summary, §261.4(a) (12) (i) excludes
oil-bearing secondary materials generated at a petroleum refinery and recycled back
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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8 - Solid and Hazardous Waste Exclusions
into a refinery while §261.4(a)(12)(ii) excludes "oil" from the larger universe of the
petroleum industry (e.g., refining, exploration and production, transportation
related thereto) when the oil is inserted into a petroleum refinery. Used oil, as
defined in §279.1, does not qualify as recovered oil.
EXCLUDED SCRAP METAL (§261.4(a)(13))
Processed scrap metal, unprocessed home scrap metal, and unprocessed prompt
scrap metal being recycled (collectively referred to as excluded scrap metal) are all
excluded from the definition of solid waste and therefore not subject to RCRA
Subtitle C regulations. EPA believes that excluded scrap metal being recycled is
distinct from other secondary materials defined as wastes when recycled due to
established markets for the material's use, inherent positive economic value of the
material, the physical form of the material, and the absence of damage incidents
attributed to the material. The Agency believes that these characteristics combined
indicate that the above types of scrap metal are sufficiently product-like, making
RCRA jurisdiction over these materials unnecessary.
Processed scrap metal is scrap metal that has been manually or mechanically altered
to either separate it into distinct materials to enhance economic value or to improve
the handling of materials. Processed scrap metal includes, but is not limited to,
scrap metal which has been bailed, shredded, sheared, chopped, crushed, flattened,
cut, melted, or separated by metal type; and fines, drosses and related materials
which have been agglomerated. Home scrap is scrap metal generated by steel mills,
foundries, and refineries, and also includes turnings, cuttings, punchings, and
borings. Prompt scrap, also known as industrial or new scrap metal, is generated by
the metal working/fabrication industries and includes scrap such as turnings,
cuttings, punchings, and borings (62 FR 25998; 26011; May 12, 1997).
Prior to this exclusion, scrap metal being reclaimed was a solid waste, but was
exempt from RCRA Subtitle C regulations. Scrap metal that does not meet the
conditions of the §261.4(a)(13) exclusion (i.e., all other scrap metal) is considered a
solid waste but continues to be exempt from substantive Subtitle C regulation if
being reclaimed (§261.6(a) (3) (ii)).
SHREDDED CIRCUITS BOARDS (§261.4.(a)(14))
Shredded circuit boards being recycled are excluded from the definition of solid
waste, provided they are stored in containers sufficient to prevent a release to the
environment, and are free of mercury switches, mercury relays, nickel-cadmium
batteries, and lithium batteries. "Free of these materials" means mercury switches
or relays, or cadmium or lithium batteries are not or have not been part of the
shredded circuit board batch. Shredded circuit boards that are not free of these
materials are solid wastes (spent materials) when reclaimed.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Solid and Hazardous Waste Exclusions - 9
Shredded circuit boards are not considered scrap metal, because the process of
shredding the boards produces small fines from the whole board which are
dispersible and do not meet the RCRA regulatory definition of scrap metal.
However, shredded circuit boards can be considered secondary feedstocks, analogous
to raw materials, if they have demonstrated positive economic value and they are
managed in a way that reduces environmental risk (62 FR 25998, 26011-26012; May
12, 1997). Because shredding is a common industry practice and is beneficial to the
recovery process, the Agency found this exclusion to be justified.
Whole circuit boards can meet the definition of scrap metal provided they are free of
mercury switches, mercury relays, lithium batteries, or nickel-cadmium batteries, or
have minimal quantities of mercury and batteries and are protectively packaged to
minimize dispersion of metal constituents (63 FR 28556, 28630; May 26, 1998). As
scrap metal, these whole circuit boards are exempt from regulation when recycled
PULPING CONDENSATES DERIVED FROM KRAFT MILL STEAM STRIPPERS
(§261.4(a)(15))
The kraft pulping process is the most commonly used pulping process today. It
utilizes various chemicals to break down wood into pulp. One of the options for
controlling emissions from kraft pulping process condensates is to remove the
hazardous air pollutants, primarily methanol, from the condensates using an air
pollution control device called a stripper. After the hazardous pollutants are
removed, a vent gas remains. Many mills then concentrate this vent gas by
condensing, and subsequently burning, the liquid methanol as fuel.
The condensed methanol may be ignitable, and therefore would subject the facilities
that burn this fuel to RCRA. EPA believes that this particular management practice
reduces secondary environmental impacts, and provides cost savings for the mills.
Consequently, the Agency promulgated an exclusion from the definition of solid
waste for condensates derived from kraft mill steam strippers. This exclusion
applies only if the waste is combusted at the mill that generated the condensates (63
FR 18533; April 15, 1998).
COMPARABLE FUELS (§261.4(a)(16))
Hazardous waste-derived fuels that are comparable to fossil fuels are excluded from
the definition of solid waste. These exempted fuels have legitimate energy value
and hazardous constituent concentrations similar to fossil fuels. Consequently, EPA
has classified such fuels as products, rather than wastes. The exclusion promotes
RCRA's resource recovery goals without creating a risk greater than that posed by
commonly used commercial fuels. Only liquid and gaseous hazardous waste-
derived fuels qualify for this exclusion.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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10 - Solid and Hazardous Waste Exclusions
In addition, the generator of the comparable fuel is required to comply with
sampling and analysis requirements to demonstrate that the fuel is indeed
comparable to fossil fuels. EPA sets standards, or specifications, for the level of Part
261, Appendix VIII hazardous constituents contained in the comparable fuel, the
flash point, the heating value, and the viscosity of the waste-derived fuel (§261.38).
The generator must also certify that the fuel is comparable, notify EPA and the
public that a fuel will be burned on site, and maintain records at the facility about
the fuel (63 FR 33782, 33783; June 19, 1998).
MINERAL PROCESSING SECONDARY MATERIALS BEING RECYCLED
(§261.4(a)(17))
Mining and the recovery of mineral value from ores and minerals are processes that
generate many wastes. These wastes fall into three general categories: extraction,
beneficiation, and mineral-processing. All extraction and beneficiation wastes and
20 specific mineral-processing wastes are completely exempt from Subtitle C
regulation (§261.4(b)(7)). However, other mineral-processing wastes are potentially
regulated as hazardous wastes, if they exhibit a characteristic.
The Phase IV Land Disposal Restrictions (LDR) rule, issued on May 26, 1998,
excluded from the definition of solid waste any secondary mineral-processing
materials being reclaimed within the mineral-processing industry, provided the
materials are not stored on land prior to reclamation (§261.4(a) (17)). While the
Phase IV rule generally relaxed jurisdiction over spent materials being reclaimed
within the mineral-processing industry, as long as no land-based storage preceded
reclamation, it asserted jurisdiction over some previously unregulated secondary
materials (i.e., characteristic by-products and characteristic sludges), if they were
stored on land prior to reclamation.
The Association of Battery Recyclers, the National Mining Association and other
metals-related trade groups challenged the Phase IV rule in the D.C. Circuit Court.
On April 21, 2000, the D.C. Circuit issued a decision (Association of Battery Recyclers
v. EPA No. 98-1368) vacating the portion of the LDR Phase IV rule that asserted
jurisdiction over characteristic by-products and sludges from the mineral-processing
industry that are stored on the land prior to recycling. At this time the Agency has
not issued any guidance on the impact of the decision.
PETROCHEMICAL RECOVERED OIL (§261.4(a)(18))
On August 6, 1998, EPA finalized an exclusion for recovered oil, generated at certain
organic chemical industry facilities, which is inserted into the petroleum refining
process provided certain conditions are met (63 FR 42110). The term "petrochemical
recovered oil" includes materials, which are primarily oil, and which are generated
at organic chemical industry operations. Only petrochemical recovered oil that is
hazardous because it exhibits the characteristic of ignitability or exhibits the toxicity
characteristic for benzene (or both) is eligible for this exclusion. Additionally, EPA
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Solid and Hazardous Waste Exclusions - 11
has clarified that this exclusion applies exclusively to recovered oil from "associated
organic chemical manufacturing facilities." Therefore, only organic chemical
manufacturing facilities (primary SIC code of 2869), which are adjacent to a refinery,
or whose operations are closely integrated with a petroleum refinery, are eligible for
this exclusion. Examples of highly integrated facilities might include instances
where a chemical manufacturing facility and refinery share a common wastewater
treatment system; share manufacturing units; or have environmental permits that
cover both facilities. Similar to the recovered oil exclusion from petroleum
production (§261.4(a)(12)(ii)), petrochemical recovered oil can be inserted into the
petroleum refinery process with normal petroleum refinery wastestreams. Finally,
in order to qualify for this exclusion, the petrochemical recovered must not be
speculatively accumulated or placed on the land prior to recycling into the
petroleum refining process.
SPENT CAUSTIC SOLUTIONS FROM PETROLEUM REFINING (§261.4(a)(19))
EPA finalized an exclusion from the definition of solid waste for spent liquid
treating caustics from petroleum refineries used as feedstocks in the manufacture of
napthenic and cresylic acid products provided the spent caustics are not placed on
the land or speculatively accumulated (63 FR 42110; August 6, 1998). EPA believes
that spent caustic, when used in this manner, is a valuable commercial feedstock in
the production of these particular products, and thus is eligible for an exclusion.
2.2 HAZARDOUS WASTE EXCLUSIONS
The second type of exclusion found under §261.4 excludes certain materials from the
definition of hazardous waste. Section 261.4(b) lists the exceptions to the hazardous
waste definition. If a material is listed under §261.4(b), it is a solid waste, but cannot
be a hazardous waste, even if the material technically meets a listing in §§261.31
through 261.33 or it exhibits a characteristic under §§261.21 through 261.24 (i.e.,
ignitability, corrosivity, reactivity, or toxicity characteristic). If a waste excluded
under §261.4(b) is mixed with a listed or characteristic hazardous waste, it may
render the waste no longer excluded. Currently, there are 17 exclusions under
§261.4(b).
HOUSEHOLD WASTE (§261.4(b)(l))
Under §261.4(b)(l), household waste is exempt from the RCRA Subtitle C
regulations. The term household waste refers to any garbage, trash, and sanitary
waste from septic tanks derived from single and multiple residences, and other
residential units such as hotels and motels. In order for household waste to be
exempt from regulation, it must meet two criteria: the waste has to be generated by
individuals on the premises of a household, and the waste must be composed
primarily of materials found in the waste generated by consumers in their homes.
On November 13, 1984 (49 FR 44978), EPA expanded the definition of household
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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12 - Solid and Hazardous Waste Exclusions
wastes to include wastes from bunkhouses, ranger stations, crew quarters,
campgrounds, picnic grounds, and day-use recreation areas. Although the
collection, transportation, treatment, and disposal of household wastes are not
subject to Parts 262 through 270, they are subject to federal, state, and local
requirements concerning management of solid waste (45 FR 33066, 33099; May 19,
1980). This exclusion applies to all household waste, including household
hazardous wastes - wastes normally found in household wastestreams, such as
paint cans, batteries, and cleaning fluids. EPA has clarified that the household waste
exclusion applies to lead-based paint waste generated as a result of renovation,
remodeling, or abatement actions by residents of households (63 FR 70233, 70241;
December 18, 1998). In addition, this exclusion was to contractors conducting lead-
based paint activities in residences (Memo, Cotsworth to Regions; July 13, 2000).
AGRICULTURAL WASTE (§261.4(b)(2))
Solid wastes generated by crop or animal farming are excluded from hazardous
waste regulation provided the wastes are returned to the ground as fertilizers or soil
conditioners. Examples of such waste would be crop residues and manures.
Congress did not intend to include silviculture waste (i.e., forestry waste such as
foliage and branches) in this hazardous waste exclusion. As a result, generators of
forestry waste need to determine whether their waste is hazardous (45 FR 33066,
33099; May 19, 1980).
MINING OVERBURDEN (§261.4(b)(3))
Reclamation of surface mines commonly involves returning waste overburden (i.e.,
earth and rocks), removed to gain access to ore deposits, to the mine. EPA excluded
this waste because mining overburden is not a discarded material within the scope
of RCRA. This exclusion is limited to overburden that is overlying a mineral
deposit (45 FR 33000; May 19, 1980).
"BEVILL AND BENTSEN" WASTES (§§261.4(b)(4), (5), (7), and (8))
In the Solid Waste Disposal Act Amendments of 1980, Congress amended RCRA by
exempting fossil fuel combustion wastes; oil, gas, and geothermal exploration,
development, and production wastes; mining and mineral processing wastes; and
cement kiln dust wastes from regulation as hazardous waste under RCRA pending
further study by EPA. These wastes were temporarily exempted based on the
"special waste" concept, the belief that these wastes should be regulated less
stringently than other wastes because they were produced in large volumes, were
thought to pose less of a hazard than other wastes, and were generally not amenable
to the management practices required under RCRA. "Bevill and Bentsen" refers to
the two senators who proposed these statutory exemptions. The following sections
describe these exclusions in detail.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Solid and Hazardous Waste Exclusions - 13
FOSSIL FUEL COMBUSTION WASTE (§261.4(b)(4))
In order to accommodate effective study, fossil fuel combustion wastes were divided
into two categories, large volume coal-fired utility wastes and remaining wastes,
each having different schedules for regulatory determination.
On August 9, 1993, EPA made the final regulatory determination on the first
category, excluding large volume coal-fired utility wastes. Large volume coal-fired
utility wastes include fly ash, bottom ash, boiler slag, and flue gas emission control
waste generated at electric utility and independent power producing facilities using
coal that are not co-managed with low volume wastes (58 FR 42466, 42472). EPA
determined that these wastes do not warrant regulation under Subtitle C of RCRA,
and therefore remain excluded under §261.4(b)(4).
On May 22, 2000, EPA published the final regulatory determination for those
remaining fossil fuel combustion wastes not addressed by the 1993 regulatory
determination (65 FR 32214). Regulation of this second waste category was found
not to be warranted under Subtitle C of RCRA, therefore these remaining wastes
remain excluded under §261.4(b)(4).
The May 22, 2000, final regulatory determination also indicated that national
Subtitle D regulations are warranted for both categories of coal combustion wastes
disposed in landfills or surface impoundments, and that regulations under Subtitle
D (and/or possible modifications to existing regulations established under the
Surface Mining Control and Reclamation Act) are warranted when these wastes are
used for filling surface or underground mines. EPA believes that Subtitle D controls
will provide sufficient clarity and incentive for facilities to ensure that their wastes
are managed properly (65 FR 32214, 32217; May 22, 2000).
Low volume wastes, such as boiler blowdown, coal pile runoff, cooling tower
blowdown, demineralizer regenerant and rinses, metal and boiler cleaning wastes,
pyrites, and sump effluents, that are not co-managed with large-volume coal
combustion wastes are not included in either of these categories. Based on the
original scope of the exclusion, they have always been subject to Subtitle C
regulation when managed independently.
Fossil fuel combustion wastes that are generated by co-processing raw materials and
hazardous wastes are also exempt under this exclusion provided the wastes meet
specific criteria outlined in §266.112.
OIL, GAS, AND GEOTHERMAL WASTES (§261.4(b)(5))
In December 1987, EPA issued a Report to Congress that outlined the results of a
study on the management, volume, and toxicity of wastes generated by the
exploration, development, and production of crude oil, natural gas, and geothermal
energy. On July 6, 1988, EPA issued a final regulatory determination for these wastes
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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14 - Solid and Hazardous Waste Exclusions
which stated that Subtitle C regulation was not appropriate, thus permanently
excluding oil, gas, and geothermal wastes under §261.4(b)(5) (53 FR 25446). The July
6, 1988, Federal Register also clarified the scope of the exclusion by providing
examples of excluded wastes.
On March 22, 1993, EPA further clarified the scope of the exclusion in stating that
wastes that have been brought to the surface during oil and gas exploration and
production operations, or wastes that have otherwise been generated by contact with
the oil and gas production stream during the removal of produced water or other
contaminants, are generally covered by the exclusion (58 FR 15284).
MINING AND MINERAL-PROCESSING WASTES (§261.4(b)(7))
Under the current provisions of the RCRA mining waste exclusion, solid waste
from the extraction and beneficiation of ores and minerals, and 20 specific mineral
processing wastes are exempt from regulation as hazardous wastes under RCRA.
The mining waste exclusion was congressionally mandated by §3001(b)(3) of RCRA,
which was added through the 1980 Solid Waste Disposal Act amendments. This
provision referred to as the Bevill amendment, stopped EPA from regulating all
wastes from extraction, beneficiation, and processing until the Agency performed a
study, submitted a Report to Congress and determined whether or not the wastes
should continue to be excluded from Subtitle C regulation. EPA modified the
hazardous waste regulations to reflect this exemption, and issued a preliminary and
broad interpretation on the scope of the coverage (45 FR 76619; November 19, 1980).
In 1984, EPA was sued for failing to complete the required Report to Congress and
regulatory determination in conformance with the statutory deadline (Concerned
Citizens of Adamstown v. EPA). The court decision required EPA to address mining
wastes according to two schedules, one for completing the required study of
extraction and beneficiation wastes and the associated Report to Congress, and the
second for issuing a regulatory determination regarding mineral-processing wastes.
In 1985, EPA submitted a Report to Congress on waste from mineral extraction and
beneficiation. After studying the wastes, EPA concluded that Subtitle C regulation
was not appropriate for such wastes primarily because of the high volumes of wastes
generated. EPA clarified later that the term beneficiation included only activities
outlined in §261.4(b) (7) (i).
EPA failed, however, to meet the deadline for issuing the regulatory determination
for mineral processing wastes. As a result, the Agency was sued by a coalition of
environmental and special interest groups (Environmental Defense Fund v. EPA).
In July of 1988, the Agency was ordered to restrict the scope of the Bevill exclusion as
it applied to mineral-processing wastes so it included only "special wastes" which
were defined to be of such "high volume" and "low hazard" that management
under Subtitle C would be impracticable. During the years following the lawsuit,
EPA proposed and promulgated several rules redefining the boundary of the
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Solid and Hazardous Waste Exclusions - 15
exclusion for mineral-processing wastes. In 1991, EPA finalized a regulatory
determination limiting the exclusion to 20 specific mineral processing wastes. As a
result, all mineral processing wastes not specifically excluded in §261.4(b) (7) are
subject to hazardous waste regulations if characteristic.
In addition to the 20 mineral processing wastes specifically listed in §261.4(b)(7)(ii),
lightweight aggregate air pollution control dust and sludge remain conditionally
exempt from Subtitle C regulation. EPA will study this wastestream further before
issuing a final regulatory determination (64 £R 45632, 45655; August 20, 1999).
Beneficiation and processing of ores and minerals frequently occur in industrial
furnaces. These furnaces may co-process ores and minerals with hazardous waste as
feedstock. Residues from co-processing hazardous wastes with ores and minerals
only remain exempt from Subtitle C as long as more than 50 percent of the feedstock
is primary ores and minerals, and as long as the hazardous waste portion of the feed
does not significantly affect the concentrations of toxic compounds in the resulting
residue (§266.112).
In the vast majority of cases, mineral-processing wastes are generated from furnaces
(e.g., steel, copper, lead, and zinc). These mineral-processing wastes may be recycled
on or off site if the owner and operator comply with §261.4(b)(7)(iii). Figure 1
illustrates the three parts of the exclusion.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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16 - Solid and Hazardous Waste Exclusions
Figure 1
MINING WASTE AND MINERAL
PROCESSING EXCLUSION
MINING WASTE
MINERAL PROCESSING
| Benefication |
I
I
20 specific wastes currently excluded from
Subtitle C regulation §§261.4 (b) (7) (ii) (A)- (T)
These wastes are excluded from
Subtitle C regulation and are
defined in §261.4 (b) (7) (i)
1
These wastes are excluded from
regulation under Subtitle C
Potentially regulated under
Industrial Subtitle D program
CEMENT KILN DUST (§261.4(b)(8))
Pending a study of its potential hazards, EPA excluded cement kiln dust (CKD) from
the definition of hazardous waste. CKD is a fine-grained solid by-product generated
by the control of particulate matter in stack emissions at cement production
facilities. In December 1993, EPA issued the Report to Congress on Cement Kiln
Dust detailing the generation and management of CKD, as well as five options for
its future regulation. Then on February 7, 1995, EPA issued the final regulatory
determination of CKD (60 FR 7366). EPA concluded that CKD requires stricter
management controls, but should not be placed under full Subtitle C regulation. On
August 20, 1999, EPA proposed that CKD would remain a nonhazardous waste
provided that it is managed in landfills that meet groundwater protection and
fugitive dust control standards (64 FR 45632). In addition, EPA proposed tailored
Subtitle C regulatory standards for CKD that is not managed according to the
conditions of the exclusion. EPA also proposed concentration limitations on certain
pollutants in CKD that is used for agricultural purposes. Until the proposal is
finalized however, CKD remains exempt from regulation as a hazardous waste.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Solid and Hazardous Waste Exclusions - 17
Often fossil fuel is mixed with hazardous waste to heat cement kilns. CKD
generated in cement kilns in which fossil and hazardous waste fuels are combined
does not automatically fall within the scope of the exclusion. The CKD would
remain exempt from hazardous waste regulation only if the hazardous portion of
the feedstock does not significantly affect the concentrations of toxic compounds in
the resulting residue (§266.112).
TRIVALENT CHROMIUM WASTES (§261.4(b)(6))
Under §261.4(b)(6), wastes from certain industries that exhibit the toxicity
characteristic for chromium are excluded from the definition of hazardous waste.
Specific industries petitioned EPA (§260.20) to exclude their wastes from the
hazardous waste lists for the following reasons:
• The chrome they produce is nearly exclusively trivalent, which is not
considered to be hazardous
• Their process does not generate hexavalent chromium (a known carcinogen)
• The waste they produce is handled in a nonoxidizing environment (i.e., the
trivalent chrome could not oxidize to hexavalent chrome).
EPA agreed with the data submitted by these industries and on October 30, 1980 (45
FR 72035), excluded three groups of wastes:
• Tannery wastes described in §§261.4(b)(6)(ii)(A)-(F) (Wastes fitting these
descriptions had been listed as K053-K058, but these waste codes were
subsequently deleted (57 FR 72037; October 30, 1980))
• Leather scrap wastes from the leather tanning, shoe manufacturing, and other
leather manufacturing industries (§261.4(b)(6)(ii)(G))
• Wastewater treatment sludges from the production of titanium oxide (
pigment using chromium-bearing ores by the chloride process
(§261.4(b)(6)(ii)(H)) (waste fitting this description was listed as K074, but the
waste code was subsequently deleted (45 FR 72029, 72037; October 30, 1980)).
The exclusion is necessary despite the deletion of waste codes K053-K058 and K074
because these wastes could still exhibit the toxicity characteristic for chromium, since
the Toxicity Characteristic Leaching Procedure (TCLP) does not distinguish between
hexavalent and trivalent chromium.
Only chromium-bearing wastes from the three industry groups discussed above
automatically qualify for the exclusion. Other industries or individual generators
who believe their wastes meet the same criteria must petition the Administrator
under §260.20(a) to be added to this exclusion, or they may, under §260.22, petition
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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18 - Solid and Hazardous Waste Exclusions
EPA to delist the waste (45 FR 72036; October 30, 1980). For more information, see
the module entitled Petitions. Delistings. and Variances.
ARSENICALLY-TREATED WOOD (§261.4(b)(9))
Under §261.4(b)(9), a solid waste that consists of discarded arsenical-treated wood or
wood products that fails the TCLP for D004 - DO 17 only, and is not hazardous for any
other reason, is excluded from Subtitle C regulation (57 FR 30657; July 10, 1992).
Once such treated wood is used, it may be disposed of by the user (commercial or
residential) without being subject to hazardous waste regulation. This exclusion
was granted in response to a petition from the American Wood Preserving Institute
on the grounds that the use of arsenically-treated wood in contact with the ground
presents risks that are similar to land disposal of wood. Note that this exclusion
applies only to end-users and not to manufacturers. Wastes generated by sawmills
or facilities which apply the arsenic formulation to the wood are potentially
regulated under RCRA Subtitle C (45 FR 78530; November 25, 1980; and 55 FR 11798.
11839; March 29, 1990).
PETROLEUM-CONTAMINATED MEDIA AND DEBRIS FROM UNDERGROUND
STORAGE TANKS (§261.4(b)(10))
Until further studies are completed on the extent and threat of releases from
petroleum underground storage tanks (USTs), the Agency deferred the application
of the toxicity characteristic to petroleum-contaminated media and debris. This
deferral only applies to media and debris from USTs subject to the Part 280
corrective action requirements, and only to the 25-newly identified organic
constituents (D018 through D043) under the toxicity characteristic in §261.24 (55 FR
11836; March 29, 1990). EPA proposed to make this temporary deferral a permanent
exclusion (58 FR 8504; February 12, 1993), and the proposal is expected to become a
final rule in December 2003.
In order to fall under this exclusion, the waste must meet the specific criteria listed
above. For example, this exclusion would not apply if petroleum-contaminated soil
failed the TCLP for lead (D008), since lead is not a newly-identified waste under the
TCLP (it was previously identified as an EP waste). Rather, petroleum-contaminated
soil that is TC for lead would be subject to full regulation under Subtitle C. On the
other hand, if the soil only failed the TCLP for one of the new organic constituents,
such as benzene (DO 18), the soil would only be subject to the corrective action
requirements under Part 280.
HYDROCARBON RECOVERY OPERATIONS (§261.4(b)(ll))
Previously under §261.4(b)(ll), EPA excluded certain types of injected groundwater
that was reinjected as part of a hydrocarbon recovery operation (55 FR 46829;
November 27, 1990). This exclusion expired January 25, 1993.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Solid and Hazardous Waste Exclusions - 19
SPENT CHLOROFLUOROCARBON REFRIGERANTS (§261.4(b)(12))
Chlorofluorocarbons (CFCs) released to the atmosphere damage the ozone layer. To
promote recycling and discourage the practice of venting used CFCs into the
atmosphere in order to avoid Subtitle C regulation, the Agency has provided an
exclusion for CFCs that are recycled (i.e., reclaimed for reuse) (56 FR 5910; February
13,1991).
USED OIL FILTERS (§261.4(b)(13))
EPA has established an exclusion from the definition of hazardous waste for used
oil filters. This exclusion is only for non-terne plated used oil filters that are gravity
hot-drained by one of the following methods:
• Puncturing the filter anti-drain back valve or the filter dome end and hot-
draining (with this method, EPA recommends hot-draining for a minimum
of 12 hours)
• Hot draining and crushing
• Dismantling and hot-draining (EPA recommends separating each component
and recycling it)
• Any equivalent method of hot-draining that will remove the oil.
Terne-plated filters are not included in this exclusion because the terne-plated filters
often exhibit the toxicity characteristic for lead (D008), and are therefore subject to
Subtitle C regulation (i.e., a hazardous waste determination). In addition, used oil
that is removed from filters regardless of whether or not the filter is excluded, is
subject to regulation under the Part 279 used oil management standards. This
exclusion was originally codified in §261.4(b)(15) but was moved to §261.4(b)(13) (58
FR 26420; May 3, 1993).
USED OIL DISTILLATION BOTTOMS (§261.4(b)(14))
EPA exempted distillation bottoms from the re-refining of used oil from Part 279
regulation when the bottoms are used as ingredients in asphalt paving and roofing
materials (§279.10(e)(4)) (57 FR 41566; September 10, 1992). EPA's decision not to
regulate the bottoms is based on data indicating that these wastes do not exhibit the
toxicity characteristic and that common industry practices are protective of human
health and the environment. EPA codified a corresponding exclusion from the
definition of hazardous waste for this material in §261.4(b)(14) (58 FR 26420; May 3,
1993).
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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20 - Solid and Hazardous Waste Exclusions
LEACHATE OR GAS CONDENSATE FROM LANDFILLS CARRYING THE K169,
K170, K171, AND K172 LISTINGS (§261.4(b)(15))
Landfill leachate and landfill gas condensate derived from wastes disposed before
February 8, 1999, that would now meet the listing description of one or more of the
petroleum refinery listed wastes, K169, K170, K171, and K172, are deferred from the
definition of hazardous waste provided their discharge is regulated under CWA.
Additionally, they can not be managed in surface impoundments after February 13,
2001, unless the surface impoundment has a double liner and is only used to
temporarily store landfill leachate or landfill gas condensate in the event of an
emergency (64 FR 6806; February 11, 1999). The exclusion does not apply to leachate
or gas condensate that exhibits any of the characteristics of hazardous waste or is
derived from any waste codes other than the four petroleum refinery wastes
described in the exclusion. Any residue generated from treating excluded leachate
or gas condensate must also be evaluated to determine if it exhibits a characteristic.
This exclusion will remain effective while EPA examines the specific aspects of how
the landfill leachate and landfill gas condensate are currently managed, whether
Subtitle C regulation is appropriate, and the affect of the future CWA effluent
limitation guidelines for landfill wastewaters.
PROJECT XL PILOT PROJECT EXCLUSIONS (§§261.4(b)(16) & (18))
Project XL provides some regulated entities an opportunity to develop common
sense, cost-effective strategies that will replace or modify specific regulatory
requirements, on the condition that they produce and demonstrate superior
environmental performance.
The IBM Vermont XL project will determine whether the wastewater treatment
sludge resulting from an innovative copper metallization process should be exempt
from designation as a RCRA hazardous waste. The September 12, 2000, final rule
provides a pilot exemption for the copper metallization process from the F006
listing (65 FR 54955) (§261.4(b)(16)).
The May 9, 2001, final rule provides the Autoliv ASP Inc. facility in Promontory,
Utah, with a site-specific conditional exclusion (66 FR 23617). By-products resulting
from the production of automobile air bag gas generants at that facility are exempt
from the D003 listing until May 9, 2006 (§261.4(b)(18)).
2.3 EXCLUSIONS FOR RAW MATERIAL, PRODUCT AND
PROCESS UNIT WASTES
Under §261.4(c), hazardous waste generated in raw material, product storage, or
manufacturing units is excluded from Subtitle C regulation, as long as the waste
remains in the unit. These units include tanks, pipelines, vehicles, and vessels used
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Solid and Hazardous Waste Exclusions - 21
either in the manufacturing process, or for storing raw materials or products, but
specifically do not include surface impoundments (45 FR 72024; October 30, 1980).
Once the waste is removed from the unit, the waste is considered to be generated
and is subject to regulation. Thus, the generator accumulation standards apply once
the waste is removed from a unit, or when a unit temporarily or permanently
ceases operation for more than 90 days.
2.4 SAMPLE AND TREATABILITY STUDY EXCLUSIONS
Because samples are small, discrete amounts of hazardous waste that are essential to
accurate characterization and proper hazardous waste management, EPA developed
two types of exclusions for lab samples. The regulations distinguish between and
create separate requirements for characterization samples (§261.4(d)) and treatability
study samples (§§261.4(e) and (f)).
WASTE CHARACTERIZATION SAMPLES (§261.4(d))
EPA excluded small samples of wastes from the requirements of Parts 262 through
268, 270, 124, and the notification requirements under RCRA §3010, provided that
the samples are collected and shipped for the sole purpose of determining
hazardous waste characteristics or composition (46 FR 47426; September 25, 1981).
Storage, transportation, and testing of the sample are excluded from RCRA
regulation even when the lab testing is complete, provided the sample is returned
to the generator, and as long as the specific provisions in §261.4(d) are met. When
shipping the sample to or from the laboratory, the sample collector or lab personnel
must comply with certain labeling requirements, as well as any applicable U.S.
Postal Service or Department of Transportation shipping requirements
(§261.4(d)(2)).
The lab sample exclusion is intended to apply to small samples. Although the
regulations do not specify a size limit, EPA has stated that typically no more than
one gallon is needed to completely characterize a sample for purposes of compliance
with RCRA or other federal, state, or local regulations (46 FR 47426, 47427;
September 25, 1991).
TREATABILITY STUDY SAMPLES (§§261.4(e) and (f))
Various industry groups and individuals expressed concern that the waste
characterization sample exclusion was too restrictive. In response to these
comments, EPA developed regulations for waste samples used in small-scale waste
treatability studies. Treatability studies are used to determine information such as
whether a treatment process is efficient, or what types of wastes remain after the
treatment is complete. Section 261.4(e) conditionally excludes from the
requirements of Parts 261 through 263 and the notification requirements of RCRA
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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22 - Solid and Hazardous Waste Exclusions
§3010, persons who generate or collect samples for the sole purpose of conducting
treatability studies provided the conditions in §§261.4(e)(l) through (3) are met.
These requirements include packaging, labeling, and recordkeeping.
Both the treatability samples and the laboratories conducting such treatability
studies are excluded from the requirements in Parts 261 through 266, 268, and 270,
and the notification requirements of RCRA §3010 as long as the provisions in
§§261.4(f)(l) through (11) are met. On February 18, 1994, EPA modified the
treatability study exclusions by increasing the time and quantity limits for
contaminated media and debris (59 FR 8362).
2.5 DREDGED MATERIAL EXCLUSION (§261.4(g))
Dredging large volumes of sediment from United States waters is a common
practice used to maintain navigable waterways, ports and marinas. Excavated
dredged material is currently disposed in the ocean at designated sites in accordance
with MPRSA. Additional options for disposing of dredged material exist under
CWA, including discharge into open waters of the United States, discharge to
confined disposal facilities located in the United States, and the beneficial use of
dredged material. Prior to the promulgation of this exclusion, if dredged material
proposed for disposal in the aquatic environment was contaminated or suspected of
being contaminated with hazardous waste, the potential application of both RCRA
Subtitle C regulations and the dredged material regulations under CWA or MPRSA
complicated efficient assessment and management of dredged material. In order to
avoid duplicative regulation, dredged material subject to a permit that has been
issued under §103 of MPRSA, or §404 of CWA is excluded from the definition of
hazardous waste (63 FR 65874, 65921; November 30, 1998).
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Solid and Hazardous Waste Exclusions - 23
3. SPECIAL ISSUES
Although the scope of the exclusions is usually straightforward, there are many
issues requiring clarification beyond the regulatory or statutory descriptions of the
exclusions. This section discusses a few of these issues that can arise during Call
Center calls.
3.1 FEDERALLY OWNED TREATMENT WORKS
The original exclusion for domestic sewage and mixtures of domestic sewage only
applied to wastes that passed through a sewer system to a publicly owned treatment
works (§261.4 (a) (1)); however, the Federal Facilities Compliance Act of 1992
amended RCRA's statutory language in §1004(27) to include solid or dissolved
material introduced by a source into a federally owned treatment works. This
expanded the scope of the exclusion to include both publicly owned treatment works
and federally owned treatment works.
3.2 HOUSEHOLD WASTE COLLECTION PROGRAMS
Based on the exclusion found in §261.4(b)(l), household wastes are solid wastes that
are exempt from the definition of hazardous waste, but are still subject to Subtitle D
regulation. This exclusion extends to those who collect household hazardous waste,
either in community collection programs or private sector collection programs.
Household hazardous waste that is mixed with small quantity or large quantity
generator wastes, however, may be subject to full Subtitle C regulation.
3.3 MUNICIPAL WASTE COMBUSTION ASH
Municipal waste combustion ash (MWC) generated by waste-to-energy (WTE)
facilities burning household waste and nonhazardous commercial and industrial
waste is not exempt from Subtitle C regulations based on a judicial interpretation of
RCRA §300 l(i). The court stated that even though the waste-to-energy facilities
remain exempt from Subtitle C requirements as treatment, storage, or disposal
facilities based on RCRA §300 l(i), the ash they produce is subject to hazardous waste
determination under Subtitle C (60 FR 6666; February 3, 1995). The regulation of
municipal waste
combustion ash will be discussed in further detail in the module entitled Solid
Waste Programs.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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24 - Solid and Hazardous Waste Exclusions
4. REGULATORY DEVELOPMENTS
In recent years, EPA has proposed new exclusions from the definition of solid and
hazardous waste. The following is a brief discussion of the proposed exclusions.
4.1 DEFERRAL FROM RCRA FOR THE MANAGEMENT AND
DISPOSAL OF LEAD-BASED PAINT DEBRIS
EPA proposed to temporarily suspend the applicability of the toxicity characteristic
for lead to lead-based paint (LBP) debris generated at target housing and public and
commercial buildings for which management and disposal standards have been
proposed under Toxic Substances Control Act (TSCA) Title IV (63 FR 70233;
December 18, 1998). EPA studies indicate that under the new TSCA standards, LBP
debris will be identified, managed, and disposed of in a less costly and more time
efficient manner than current RCRA regulatory requirements permit. EPA expects
to publish a final rule in August 2002.
4.2 PETROLEUM-CONTAMINATED MEDIA AND DEBRIS FROM
NON-USTS
The Agency has proposed a separate three-year exclusion for petroleum-
contaminated media and debris from non-USTs (e.g., aboveground tanks, pipelines,
and transportation vehicles) (57 FR 61542; December 24, 1992). The suspension
would only apply in states which certify that they have an effective program in place
to compel cleanup of spills and control disposal of these wastes, and that the cleanup
is state-supervised, state-approved, or under federal authority.
EPA stated in the final Hazardous Waste Identification Rule for media (HWIR-
media), that it plans to continue reviewing the issues addressed in the proposal, but
that no final regulatory determination would be taken at the present time (63 FR
65874, 65931-65932; November 30, 1998). Until EPA takes final action in specifically
addressing petroleum contaminated media and debris, petroleum-contaminated
media and debris from non-USTs are subject to hazardous waste regulations if they
exhibit a characteristic or contain a listed hazardous waste.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Solid and Hazardous Waste Exclusions - 25
4.3 GLASS FRIT AND FLUORIDE-RICH BAGHOUSE DUST
GENERATED BY THE VITRIFICATION OF K088
The vitrification of spent potliners from primary aluminum reduction (K088)
generates two residues: glass frit and fluoride-rich baghouse dust. Glass frit is usable
as a commercial product and fluoride-rich baghouse dust can be recycled back into
the aluminum reduction pots as electrolyte or sold as a product for other industrial
uses such as steel making. On July 12, 2000, EPA proposed that glass frit and
fluoride-rich baghouse dust generated by the vitrification of K088 be classified as
products and excluded under §§261.4 (a) (20) and (21); respectively, provided certain
conditions are satisfied (65 FR 42937).
4.4 ZINC FERTILIZERS MADE FROM RECYCLED HAZARDOUS
SECONDARY MATERIALS
EPA proposed a conditional exclusion from the definition of solid waste at
§261.4(a)(20) for hazardous secondary materials that are recycled to make zinc
fertilizers or zinc fertilizer ingredients (65 FR 70954; November 28, 2000). Generators
would no longer be subject to current hazardous waste management regulations,
provided the generator meets the specified conditions relating to accumulation,
storage, transportation, reporting and recordkeeping requirements of excluded
materials.
The November 28, 2000, proposal included a second conditional exclusion at
§261.4(a)(21) for zinc fertilizers made from hazardous wastes or excluded hazardous
secondary materials (65 FR 70954, 70967). Manufacturers would need to meet the
proposed technology-based contaminant limits, and maintain analytical data and
analyses demonstrating compliance with the limits.
4.5 PROJECT XL SITE-SPECIFIC EXCLUSION
EPA proposed to implement a pilot project under the Project XL program that
would provide regulatory flexibility for the IBM semiconductor manufacturing
facility in Hopewell Junction, New York (66 FR 30349; June 6, 2001). The objective of
the project is to determine whether the wastewater treatment sludge resulting from
the treatment of wastewaters from electroplating operations, F006, may be used as an
ingredient in the manufacture of cement in an environmentally sound manner
without full RCRA regulatory controls. The proposal provides a conditional
exclusion from the definition of solid waste, at §261.4(a)(22) for IBM's wastewater
treatment sludge which would allow the recycling scenario to be implemented on a
pilot basis.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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