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United Stales
Environmental Protector
Healthcare Environmental Assistance Resources
Pollution Prevention and Compliance Assistance
for Healthcare Facilities
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United States
Environmental Protection
Agency
Enforcement and
Compliance Assurance
(2221-A)
EPA 300-B-00-005
March 2000
Protocol for Conducting
Environmental Compliance
Audits of Public Water
Systems under the Safe
Drinking Water Act
EPA Office of Compliance
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
Notice
The statements in this document are intended solely as guidance to aid regulated entities in complying with the
regulations. The guidance is not a substitute for reading the regulations and understanding all the requirements as it
applies to your facility. This guidance does not constitute rulemaking by the U.S. EPA and may not be relied on to
create a substantive or procedural right or benefit enforceable, at law or in equity, by any person. U.S. EPA may
decide to update this guide without public notice to reflect changes in U.S. EPA's approach to implementing the
regulations or to clarify and update text. To determine whether U.S. EPA has revised this document and/or to obtain
copies, contact U.S. EPA's Center for Environmental Publications at 1(800) 490-9198. Additional information
regarding U.S. EPA Hotlines and further assistance pertaining to the specific rules discussed in this document can be
found at the end of the Key Compliance Requirements located in Section II. The contents of this document reflect
regulations issued as of March 1,2000.
Acknowledgments
U.S. EPA would like to gratefully acknowledge the support of the U.S. Army Corps of Engineers Construction
Engineering Research Laboratory (CERL) for providing suggestions for overall format of this document. The Office
of Compliance Staff gratefully acknowledges the contributions of U.S. EPA's Program Offices and the Office of
General Counsel in reviewing and providing comments on this document.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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Table of Contents
Notice inside cover
Acknowledgement inside cover
Section 1: Introduction
Background ii
Who Should Use These Protocols? ii
U.S. EPA's Public Policies that Support Environmental Auditing iii
How To Use the Protocols iv
The Relationship of Auditing to Environmental Management Systems vi
Section II: Audit Protocol
Applicability 1
Review of Federal Legislation 1
State and Local Regulations 1
Key Compliance Requirements 2
Key Terms and Definitions 4
Typical Records to Review 11
Typical Physical Features to Inspect 11
Checklist User Guidance 11
List of Acronyms and Abbreviations 13
Index for Checklist Users 15
Checklist 17
Appendices
Appendix A: Primary Drinking Water Standards for Organic Contaminants Al
Appendix B: Primary Drinking Water Standards for Inorganic Contaminants Bl
Appendix C: Detection Limitations for Inorganic Contaminants Cl
Appendix D: Detection Limitations Dl
Appendix E: Unregulated Contaminant Monitoring Regulation (1999) El
Appendix F: Unregulated Contaminant Monitoring Reporting Requirements Fl
Appendix G: Conform Bacteria Sampling Frequency Gl
Appendix H: Consumer Confidence Report Contents HI
Appendix I: Monitoring and Sampling Parameters for Lead and Copper in Drinking Water II
Appendix!: Monitoring Requirements for Water Quality Parameters Jl
Appendix K: Maximum Contaminant Level and Maximum Residual Disinfectant Level Requirements Related to
Disinfection Kl
Appendix L: Monitoring Frequency for Total Trihalomethanes and Haloacetic Acids (Five) LI
Appendix M: Reporting Requirements Ml
Appendix N: User Satisfaction Questionnaire and Comment Form N
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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Section I
Introduction
Background
The Environmental Protection Agency (U.S. EPA) is responsible for ensuring that businesses and organizations
comply with federal laws that protect the public health and the environment. U.S. EPA's Office of Enforcement and
Compliance Assurance (OECA) has begun combining traditional enforcement activities with more innovative
compliance approaches including the provision of compliance assistance to the general public. U.S. EPA's Office of
Compliance Assistance was established in 1994 to focus on compliance assistance-related activities. U.S. EPA is
also encouraging the development of serf-assessment programs at individual facilities. Voluntary audit programs
play an important role in helping companies meet their obligation to comply with environmental requirements. Such
assessments can be a critical link, not only to improved compliance, but also to improvements in other aspects of an
organization's performance. For example, environmental audits may identify pollution prevention opportunities that
can substantially reduce an organization's operating costs. Environmental audits can also serve as an important
diagnostic tool in evaluating a facility's overall environmental management system or EMS.
U.S. EPA is developing 13 multi-media Environmental Audit Protocols to assist and encourage businesses and
organizations to perform environmental audits and disclose violations in accordance with OECA's Audit and Small
Business Policies. The audit protocols are also intended to promote consistency among regulated entities when
conducting environmental audits and to ensure that audits are conducted in a thorough and comprehensive manner.
The protocols provide detailed regulatory checklists that can be customized to meet specific needs under the
following primary environmental management areas:
• Generation of RCRA
Hazardous Waste
Treatment Storage and
Disposal of RCRA
Hazardous Waste
• EPCRA
• CERCLA
• Safe Drinking Water Act
• Managing Nonhazardous
Solid Waste
Clean Air Act
TSCA
Pesticides Management
(FIFRA)
• RCRA Regulated Storage
Tanks
• Clean Water Act
• Universal Waste and Used Oil
• Management of Toxic
Substances (e.g., PCBs,
lead-based paint,
and asbestos)
Who Should Use These Protocols?
U.S. EPA has developed these audit protocols to provide regulated entities with specific guidance in periodically
evaluating their compliance with federal environmental requirements. The specific application of this particular
protocol, in terms of which media or functional area it applies to, is described in Section II under "Applicability".
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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The Audit Protocols are designed for use by individuals who are already familiar with the federal regulations but
require an updated comprehensive regulatory checklist to conduct environmental compliance audits at regulated
facilities. Typically, compliance audits are performed by persons who are not necessarily media or legal experts but
instead possess a working knowledge of the regulations and a familiarity with the operations and practices of the
facility to be audited. These two basic skills are a prerequisite for adequately identifying areas at the facility
subject to environmental regulations and potential regulatory violations that subtract from the organizations
environmental performance. With these basic skills, audits can be successfully conducted by persons with various
educational backgrounds (e.g., engineers, scientists, lawyers, business owners or operators). These protocols are not
intended to be a substitute for the regulations nor are they intended to be instructional to an audience seeking a
primer on the requirements under Title 40, however, they are designed to be sufficiently detailed to support the
auditor's efforts.
The term "Protocol" has evolved over the years as a term of art among the professional practices of auditing and
refers to the actual working document used by auditors to evaluate facility conditions against a given set of criteria
(in this case the federal regulations). Therefore these documents describe "what" to audit a facility for rather than
"how" to conduct an audit. To optimize the effective use of these documents, you should become familiar with basic
environmental auditing practices. For more guidance on how to conduct environmental audits, U.S. EPA refers
interested parties to two well known organizations: The Environmental Auditing Roundtable (EAR) and the Institute
for Environmental Auditing (IEA).
Environmental Health and Safety Auditing Roundtable The Institute for Environmental Auditing
35888 Mildred Avenue Box 23686
North Ridgeville, Ohio 44039 L'Enfant Plaza Station
(216) 327-6605 Washington, DC 20026-3686
U.S. EPA's Public Policies that Support Environmental Auditing
In 1986, in an effort to encourage the use of environmental auditing, U.S. EPA published its "Environmental
Auditing Policy Statement" (see 51 FR 25004). The 1986 audit policy states that "it is U.S. EPA policy to
encourage the use of environmental auditing by regulated industries to help achieve and maintain compliance with
environmental laws and regulation, as well as to help identify and correct unregulated environmental hazards." In
addition, U.S. EPA defined environmental auditing as "a systematic, documented, periodic, and objective review of
facility operations and practices related to meeting environmental requirements." The policy also identified several
objectives for environmental audits:
• verifying compliance with environmental requirements,
• evaluating the effectiveness of in-place environmental management systems, and
• assessing risks from regulated and unregulated materials and practices.
In 1995, U.S. EPA published "Incentives for Serf-Policing: Discovery, Disclosure, Correction and Prevention of
Violations" which both reaffirmed and expanded its 1986 audit policy. The 1995 audit policy offers major
incentives for entities to discover, disclose and correct environmental violations. Under the 1995 policy, U.S. EPA
will not seek gravity-based penalties or recommend criminal charges be brought for violations that are discovered
through an "environmental audit" (as defined in the 1986 audit policy) or a management system reflecting "due
diligence" and that are promptly disclosed and corrected, provided that other important safeguards are met. These
safeguards protect health and the environment by precluding policy relief for violations that cause serious
environmental harm or may have presented an imminent and substantial endangerment.
This document is intended solely for guidance. No statutory or regulatory iii
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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In 1996, U.S. EPA issued its "Final Policy on Compliance Incentives for Small Businesses". The policy is intended
to promote environmental compliance among small businesses by providing them with special incentives to
participate in U.S. EPA compliance assistance programs. Similar to the U.S. EPA Audit Policies, the Small Business
Policy also encourages small businesses to conduct environmental audits, and then to promptly disclose and correct
violations.
More information on U.S. EPA's Small Business and Audit/Serf-Disclosure Policies are available by contacting U.S.
EPA's Enforcement and Compliance Docket and Information Center at (202) 564-2614 or visiting the U.S. EPA web
site at: http://es.EPA.gov/oeca/polguid/polguid l.html
How to Use The Protocols
Each protocol provides guidance on key requirements, defines regulatory terms, and gives an overview of the federal
laws affecting a particular environmental management area. They also include a checklist containing detailed
procedures for conducting a review of facility conditions. The audit protocols are designed to support a wide range
of environmental auditing needs; therefore several of the protocols in this set or sections of an individual protocol
may not be applicable to a particular facility. To provide greater flexibility, each audit protocol can be obtained
electronically from the U.S. EPA Website (www.EPA.gov/oeca/ccsmd/profile.html). The U.S. EPA Website offers
the protocols in a word processing format which allows the user to custom-tailor the checklists to more specific
environmental aspects associated with the facility to be audited.
The protocols are not intended to be an exhaustive set of procedures; rather they are meant to inform the auditor,
about the degree and quality of evaluation essential to a thorough environmental audit. U.S. EPA is aware that other
audit approaches may also provide an effective means of identifying and assessing facility environmental status and
in developing corrective actions.
It is important to understand that there can be significant overlap within the realm of the federal regulations. For
example, the Department of Transportation (DOT) has established regulations governing the transportation of
hazardous materials. Similarly, the Occupational Safety and Health Administration (OSHA) under the U.S.
Department of Labor has promulgated regulations governing the protection of workers who are exposed to hazardous
chemicals. There can also be significant overlap between federal and state environmental regulations. In fact, state
programs that implement federally mandated programs may contain more stringent requirements that are not
included in these protocols. There can also be multiple state agencies regulating the areas covered in these
protocols. The auditor also should determine which regulatory agency has authority for implementing an
environmental program so that the proper set of regulations is consulted. Prior to conducting the audit, the auditor
should review federal, state and local environmental requirements and expand the protocol, as required, to include
other applicable requirements not included in these documents.
Review of Federal Legislation and Key Compliance Requirements:
These sections are intended to provide only supplementary information or a "thumbnail sketch" of the regulations
and statutes. These sections are not intended to function as the main tool of the protocol (this is the purpose of the
checklist). Instead, they serve to remind the auditor of the general thrust of the regulation and to scope out facility
requirements covered by that particular regulation. For example, a brief paragraph describing record keeping and
reporting requirements and the associated subpart citations will identify and remind the auditor of a specific area of
focus at the facility. This allows the auditor to plan the audit properly and to identify key areas and documents
requiring review and analysis.
This document is intended solely for guidance. No statutory or regulatory iv
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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State and Local Regulations:
Each U.S. EPA Audit Protocol contains a section alerting the auditor to typical issues addressed in state and local
regulations concerning a given topic area (e.g., RCRA and used oil). From a practical standpoint, U.S. EPA cannot
present individual state and local requirements in the protocols. However, this section does provide general
guidance to the auditor regarding the division of statutory authority between U.S. EPA and the states over a specific
media. This section also describes circumstances where states and local governments may enact more stringent
requirements that go beyond the federal requirements.
U.S. EPA cannot overemphasize how important it is for the auditor to take under consideration the impact of state
and local regulations on facility compliance. U.S. EPA has delegated various levels of authority to a majority of the
states for most of the federal regulatory programs including enforcement. For example, most facilities regulated
under RCRA, and/or CWA have been issued permits written by the states to ensure compliance with federal and
state regulations. In turn, many states may have delegated various levels of authority to local jurisdictions.
Similarly, local governments (e.g., counties, townships) may issue permits for air emissions from the facility.
Therefore, auditors are advised to review local and state regulations in addition to the federal regulations in order to
perform a comprehensive audit.
Key Terms and Definitions:
This section of the protocol identifies terms of art used in the regulations and the checklists that are listed in the
"Definitions" sections of the Code of Federal Regulations (CFR). It is important to note that not all_definitions from
the CFR may be contained in this section, however; those definitions which are commonly repeated in the checklists
or are otherwise critical to an audit process are included. Wherever possible, we have attempted to list these
definitions as they are written in the CFR and not to interpret their meaning outside of the regulations.
The Checklists:
The checklists delineate what should be evaluated during an audit. The left column states either a requirement
mandated by regulation or a good management practice that exceeds the requirements of the federal regulations.
The right column gives instructions to help conduct the evaluation. These instructions are performance objectives
that should be accomplished by the auditor. Some of the performance objectives may be simple documentation
checks that take only a few minutes; others may require a time-intensive physical inspection of a facility. The
checklists contained in these protocols are (and must be) sufficiently detailed to identify any area of the company or
organization that would potentially receive a notice of violation if compliance is not achieved. For this reason, the
checklists often get to a level of detail such that a specific paragraph of the subpart (e.g., 40 CFR262.34(a)(l)(i))
contained in the CFR is identified for verification by the auditor. The checklists contain the following components:
• "Regulatory Requirement or Management Practice Column"
The "Regulatory Requirement or Management Practice Column" states either a requirement mandated by
regulation or a good management practice that exceeds the requirements of the Federal regulations. The
regulatory citation is given in parentheses after the stated requirement. Good management practices are
distinguished from regulatory requirements in the checklist by the acronym (MP) and are printed in italics.
• "Reviewer Checks" Column:
The items under the "Reviewer Checks:" column identify requirements that must be verified to accomplish
the auditor's performance objectives. (The key to successful compliance auditing is to verify and document
site observations and other data.) The checklists follow very closely with the text in the CFR in order to
provide the service they are intended to fulfill (i.e., to be used for compliance auditing). However, they are
not a direct recitation of the CFR. Instead they are organized into more of a functional arrangement (e.g.,
recordkeeping and reporting requirements vs. technical controls) to accommodate an auditor's likely
sequence of review during the site visit. Wherever possible, the statements or items under the "Reviewer
This document is intended solely for guidance. No statutory or regulatory v
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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Checks" column, will follow the same sequence or order of the citations listed at the end of the statement in
the "Regulatory Requirement" column.
• "NOTE:" Statements
"Note:" statements contained in the checklists serve several purposes. They usually are distinguished from
"Verify" statements to alert the auditor to exceptions or conditions that may affect requirements or to
referenced standards that are not part of Title 40 (e.g., American Society for Testing and Materials (ASTM)
standards). They also may be used to identify options that the regulatory agency may choose in interacting
with the facility (e.g., permit reviews) or options the facility may employ to comply with a given
requirement.
• Checklist Numbering System:
The checklists also have a unique numbering system that allows the protocols to be more easily updated by
topic area (e.g., RCRA Small Quantity Generator). Each topic area in turn is divided into control breaks to
allow the protocol to be divided and assigned to different teams during the audit. This is why blank pages
may appear in the middle of the checklists. Because of these control breaks, there is intentional repetition
of text (particularly "Note" Statements) under the "Reviewer Checks" column to prevent oversight of key
items by the audit team members who may be using only a portion of the checklist for their assigned area.
Environmental regulations are continually changing both at the federal and state level. For this reason, it is
important for environmental auditors to determine if any new regulations have been issued since the publication of
each protocol document and, if so, amend the checklists to reflect the new regulations. Auditors may become aware
of new federal regulations through periodic review of Federal Register notices as well as public information bulletins
from trade associations and other compliance assistance providers. In addition, U.S. EPA offers information on new
regulations, policies and compliance incentives through several Agency Websites. Each protocol provides specific
information regarding U.S. EPA program office websites and hotlines that can be accessed for regulatory and policy
updates.
U.S. EPA will periodically update these audit protocols to ensure their accuracy and quality. Future updates of the
protocols will reflect not only the changes in federal regulations but also public opinion regarding the usefulness of
these documents. Accordingly, the Agency would like to obtain feedback from the public regarding the format, style
and general approach used for the audit protocols. The last appendix in each protocol document contains a user
satisfaction survey and comment form. This form is to be used by U.S. EPA to measure the success of this tool and
future needs for regulatory checklists and auditing materials.
The Relationship of Auditing to Environmental Management Systems
An environmental auditing program is an integral part of any organization's environmental management system
(EMS). Audit findings generated from the use of these protocols can be used as a basis to implement, upgrade, or
benchmark environmental management systems. Regular environmental auditing can be the key element to a high
quality environmental management program and will function best when an organization identifies the "root causes"
of each audit finding. Root causes are the primary factors that lead to noncompliance events. For example a
violation of a facility's wastewater discharge permit may be traced back to breakdowns in management oversight,
information exchange, or inadequate evaluations by untrained facility personnel.
As shown in Figure 1, a typical approach to auditing involves three basic steps: conducting the audit, identifying
problems (audit findings), and fixing identified deficiencies. When the audit process is expanded, to identify and
correct root causes to noncompliance, the organization's corrective action part of its EMS becomes more effective.
In the expanded model, audit findings (exceptions) undergo a root cause analysis to identify underlying causes to
noncompliance events. Management actions are then taken to correct the underlying causes behind the audit findings
and improvements are made to the organizations overall EMS before another audit is conducted on the facility.
Expanding the audit process allows the organization to successfully correct problems, sustain compliance, and
This document is intended solely for guidance. No statutory or regulatory vi
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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prevent discovery of the same findings again during subsequent audits. Furthermore, identifying the root cause of
an audit finding can mean identifying not only the failures that require correction but also successful practices that
promote compliance and prevent violations. In each case a root cause analysis should uncover the failures while
promoting the successes so that an organization can make continual progress toward environmental excellence.
Figure 1 - Expanded Corrective Action Model
Improve
Environmental
Mgmt. System
Effectiveness
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
VII
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This document is intended solely for guidance. No statutory or regulatory viii
requirements are in any way altered by any statement(s) contained herein.
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Section II
Audit Protocols
Applicability
This audit protocol applies to regulated entities responsible for operating and maintaining public drinking water
systems and providing drinking water to communities and the public. Each of these activities are regulated under the
Safe Drinking Water Act (SDWA). The SDWA applies to all Public Water Systems (PWS), whether the PWS is
under jurisdiction of a state, territory or commonwealth (collectively referred to as ("States"), located on an Indian
reservation, or located in a state that defers to EPA's exercise of primary enforcement jurisdiction.
Not all checklist items contained in this document will be applicable to a particular facility. Guidance is provided on
the checklists to direct the auditor to the regulations typically applicable to the types of activities identified above. In
addition to the federal regulations, there are numerous environmental regulatory requirements administered by state
and local governments. Each level of government may have a major impact on areas at the facility that are subject to
the audit. Therefore auditors are advised to review federal, state, and local regulations in order to perform a
comprehensive audit.
Review of Federal Legislation
The Safe Drinking Water Act (SDWA)
This act, codified at 42 U.S. Code (USC) 300f-300j-25, requires U.S. EPA to establish national primary drinking
water regulations to ensure the safety of drinking water in the United States. These regulations set national limits on
contaminant levels in drinking water to ensure that the water is safe for human consumption. These limits, knows as
maximum contaminant levels (MCLs), set the maximum permissible level of a contaminant in water delivered to a
user of a public water supply system. At the federal level, U.S. EPA has set drinking water standards, or MCLs, for
more than 80 contaminants. In addition to primary and secondary drinking water standards, the regulations
promulgated under the SDWA also establish a federal-state system to ensure compliance with these standards.
The Safe Drinking Water Act Amendments of 1996 made fundamental changes in the nature of the drinking water
program at the federal, state and local levels. In accordance with these 1996 amendments, U.S. EPA began work on
revising several rules. In 1998, U.S. EPA promulgated several major rule changes. One rule change resulted in the
revision of the regulations regarding the issuance and availability of variances and exemptions (V&E) under the
SDWA. Another rule change revised the public water system notification requirements under Section 1414(c) of the
SDWA. The 1996 amendments also required U.S. EPA to issue several new rules to control microbial contaminants
and the byproducts of the chemicals used to control them. More specific information on these rule changes is
provided below under "Key Compliance Requirements" and the Checklist of this document.
State/Local Regulations
The SDWA intends U.S. EPA, states and federally-recognized Indian tribes to work as partners to ensure delivery of
safe drinking water to the public. Any state or tribe can request responsibility for operation and oversight of the
drinking water program within its borders. In order to receive this responsibility (also called primary enforcement
authority or primacy), a state or tribe must adopt regulations that are at least as stringent as federal regulations,
demonstrate its capacity to enforce those regulations, and implement other activities necessary to ensure compliance.
In the absence of state or tribal primacy, U.S. EPA assumes responsibility for administering the drinking water
program including enforcement responsibilities for that area. Of the 56 eligible states (defined to include
Commonwealths, Territories, and the District of Columbia), all but Wyoming and the District of Columbia have
primacy. U.S. EPA Regional Offices administer the drinking water program within these two jurisdictions and on all
tribal lands.
States that have primacy may establish drinking water regulations, monitoring schedules and reporting requirements
at least as stringent, or in addition to, those in the federal regulations. Public water systems in these states are
This document is intended solely for guidance. No statutory or regulatory 1
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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required to comply with these additional requirements. Generally speaking, most states who have primacy adopt
drinking water regulations which closely reflect the federal requirements. Some states also require the certification of
operators of public water systems. Furthermore, some states require operators to receive approval of plans and
specifications prior to constructing or modifying a public water system. In addition, all states will need to
adopt/implement a certification program by February 2001 to avoid witholding of federal "state revolving fund"
(SRF) monies.
Key Compliance Requirements
Recordkeeping Requirements
Any owner or operator of a public water system must retain, on the premises or at a nearby and convenient location,
certain records pertaining to system performance. These records include analytical results for bacteriological and
chemical analysis, actions taken by the system to correct violations of primary drinking water standards, copies of
any written reports, summaries of communications relating to sanitary surveys and records concerning a variance or
exemption granted to the system. Each of these different records must be kept for different time periods ranging
from 3 to 10 yr. These requirements are found under 40 CFR 141.33.
Drinking Water Standards
U.S. EPA has developed primary and secondary drinking water standards which are contaminant-specific
concentration limits that apply to certain types of public water supplies. Primary drinking water standards consist
of maximum contaminant level goals (MCLG), which are non- enforceable health-based goals, and maximum
contaminant levels (MCLs) which are enforceable limits set as close to MCLGs as possible, considering cost and
feasibility of attainment. Drinking water must either meet MCL standards or be treated to meet these standards (see
the individual checklist items and appendices in this document for details on the standards). The secondary drinking
water regulations cover contaminants that affect the aesthetic quality of drinking water and are intended as guidelines
that are not enforceable by U.S. EPA but may be enforced by a state that chooses to enforce some or all of the
secondary drinking water regulations. States with primacy, or U.S. EPA where it administers the program, may grant
a public water system a variance and exemption from national primary drinking water standards, provided that the
terms of the variance and exemption adequately protect public health. U.S. EPA regulations pertaining to drinking
water standards are found under 40 CFR 141 (40 CFR 141.ll(a), 141.11(b), 141.11(d), 141.12, 141.15, 141.16(a),
141.60 through 141.63, and 141.80(c)).
Monitoring
The monitoring schedule and the type of constituents required to be monitored is based on the type of water supply
system, the size of the service population, and the source of the water supply. For example, community water
systems and nontransient noncommunity water systems are required to monitor for organic and inorganic
contaminants. However, all public water systems are required to conduct monitoring to determine compliance for
nitrate and nitrite levels and total conforms. Monitoring requirements for public water systems are contained in 40
CFR 141.21, 141.24, 141.26 and 141.30. All analysis of samples used to determine compliance with MCLs must be
performed in a state-approved laboratory or by a state-approved individual (40 CFR 141.28, 141.30, 141.41, and
141.42)
Total Coliform Sampling
The Total Coliform Rule promulgated by U.S. EPA requires all public water systems to monitor for total coliforms.
Their presence in water can indicate a lapse in treatment and potential contamination by pathogens. Total coliform
samples are required to be collected at regular intervals throughout the month. The number of samples required is
based on the size of the system. When a routine sample is total coliform-positive, the public water system must
collect a set of repeat samples within 24 h of being notified of the positive results. In addition, positive results for
total coliform must be followed by tests for other microbial pathogens, such as E. Coli, that can endanger human
health (40 CFR 141.21).
Filtration and Disinfection
All public water systems that get their water from a surface water source or a ground water source that comes into
contact with a surface water source must disinfect and filter that water. Compliance with U.S. EPA's Surface Water
This document is intended solely for guidance. No statutory or regulatory 2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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Treatment Rule (SWTR) indicates that a public water system has taken steps to reduce exposure to microbiological
contamination filtration and disinfection, and watershed control. Treatment technique requirements have been
established under the SWTR to protect people against viruses and other microbial pathogens that are a threat to
human health.
The 1996 amendments to the SDWA required U.S. EPA to issue several new rules to control microbial contaminants
and the byproducts of the chemicals used to control them. On December 3, 1998, EPA issued the first set of the
Interim Enhanced Surface Water Treatment Rule (IESWTR) and the Stage 1 Disinfectants/Disinfection Byproduct
Rule. Public water systems regulated under 40 CFR 141 Subpart H serving at least 10,000 people must meet the
requirements of the IESWTR by January 1, 2002. Community and nontransient noncommunity water systems that
perform disinfection are required to meet specific MCLs and MRDLs, and monitor for disinfection byproducts,
disinfection byproduct precursors, and disinfection residuals (40 CFR 141.70 through 141.75, 40 CFR 141.30,
141.64 through 141.65, 141.130 through 141.135).
Notification and Reporting Requirements
Public water systems are required to report all monitoring results to the primary enforcement authority. States with
primacy, or U.S. EPA where it administers the program, analyze the monitoring results determine compliance and
report violations to U.S. EPA on a quarterly basis. A public water systems is required under Section 1414(c) of the
SDWA to provide notification to its customers whenever: 1) a violation of certain drinking water regulations
occurs(including MCLs, treatment technique, and monitoring/reporting requirements); 2) a variance and exception
(V&E) is in place or the conditions of the V&E are violated, or; 3) results from unregulated contaminant monitoring
required under Section 1445 of the SDWA are received.
The 1996 amendments to the SDWA do not change the basic requirement for public water systems with violations of
drinking water standards to give public notification, however the amendments: 1) alter the timing of the notification
for certain violations; 2) establish a specific requirement for U.S. EPA consultation with the states in issuing revised
regulations; 3) allow the state to prescribe alternative notification requirements by rule with respect to the form and
content of the notice, and; 4) add a new requirement for the state to prepare an annual report on violations and for
U.S. EPA to prepare a follow-on report summarizing states' reports and public notices submitted by public water
systems serving Indian Tribes. In addition to requiring state and national compliance reports, the 1996 amendments
include a requirement for public water systems to prepare an annual consumer confidence report that contains
information on the source of the water supply, the levels of detected contaminants found in the drinking water,
information on the health effects of contaminants found in drinking water, information on the health effects found in
violation of national standards, and information on unregulated contaminants (40 CFR 141.31 through 141.32).
Lead and Copper in Drinking Water
All community and nontransient noncommunity water systems must monitor and control the amount of lead and
copper delivered to the tap, usually by maintaining a water pH level that will not leach these metals from pipes.
These water systems must meet action levels for 1.3 mg/L for copper and 0.015 mg/L for lead. When a system
exceeds the action level for lead, it must distribute public education materials. Large systems and those small and
medium-size systems exceeding the action levels must begin corrosion control treatment unless, under certain
circumstances, the system is deemed to have optimized corrosion control. Systems that continue to exceed the
action levels for lead, after installing corrosion control, must replace lead service lines. The water system regulated
under these requirements is also required to fulfill specific reporting requirements and retain onsite all the original
records of sampling data, analysis, reports, surveys, letters, evaluations, state determinations, and any other pertinent
documents for at least 12 yr (40 CFR 141.80 through 141.91).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
For further information regarding the SDWA regulations, contact U.S. EPA's Safe Drinking Water Hotline at 1-800-
426-4791 from 9:00 a.m. to 5:30 p.m. (EST), Monday through Friday. In addition, drinking water information is
available to the public via the EPA website http://www.epa.gov/safewater . In addition, EPA's Office of Ground
Water and Drinking Water offers another EPA website http://www.epa.gov/OGWDW for providing public
information on drinking water regulations and appropriate Federal Register and Code of Federal Register citations.
This SDWA Hotline, operating under contract to U.S. EPA is staffed by professionals trained to help the public,
drinking water stakeholders, and state and local officials understand the regulations and programs developed in
response to the Safe Drinking Water Act (as amended in 1986 and 1996). This includes information about U.S.
EPA's drinking water regulations, source water protection programs, guidance, and public education materials.
Key Terms and Definitions
Action Level
The concentration of lead or copper in the water specified in 40 CFR 141.80(c) which determines, in some cases, the
treatment requirements that a water system is required to complete (40 CFR 141.2).
Best Available Technology (BAT)
The best technology, treatment techniques, or other means which the U.S. EPA administrator finds, after it was
examined for efficacy under field conditions and not solely under lab conditions that are available (taking cost into
consideration). For the purposes of setting MCLs for synthetic organic chemicals, any BAT must be at least as
effective as granular activated carbon (40 CFR 141.2).
Coagulation
A process using coagulant chemicals and mixing by which colloidal and suspended materials are destabilized and
agglomerated into floes (40 CFR 141.2).
Community Water System
A public water system that serves at least 15 service connections used by year round residents or regularly serves at
least 25 yr-round residents (40 CFR 141.2).
Compliance Cycle
The nine-year calendar year cycle during which public water systems must monitor. Each compliance cycle consists
of three three-year compliance periods. The first calendar year cycle begins January 1, 1993 and ends December 31,
2001; the second begins January 1, 2002 and ends December 31, 2010; the third begins January 1, 2011 and ends
December 31, 2019 (40 CFR 141.2).
Compliance Period
A 3-yr calendar year period within a compliance cycle. Each compliance cycle has three three-year compliance
periods. Within the first compliance cycle, the first compliance period runs from January 1, 1993 to December 31,
1995; the second from January 1, 1996 to December 31, 1998; the third from January 1, 1999 to December 31, 2001
(40 CFR 141.2).
Comprehensive Performance Evaluation (CPE,)
A thorough review and analysis of a treatment plant's performance-based capabilities and associated administrative,
operation, and maintenance practices. It is conducted to identify factors that may be adversely impacting a plant's
capability to achieve compliance and emphasizes approaches that can be implemented without significant capital
improvements. For purposes of compliance with Subpart P of 40 CFR 141, the comprehensive performance
evaluation must consist of at least the following components: Assessment of plant performance; evaluation of major
This document is intended solely for guidance. No statutory or regulatory 4
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
unit processes; identification and prioritization of performance limiting factors; assessment of the applicability of
comprehensive technical assistance; and preparation of a CPE report (40 CFR 141.2).
Confluent Growth
A continuous bacterial growth covering the entire filtration area of a membrane filter, or a portion thereof, in which
bacterial colonies are not discrete (40 CFR 141.2).
Contaminant
Any physical, chemical, biological, or radiological substance or matter in water (40 CFR 141.2).
Conventional Filtration Treatment
A series of processes including coagulation, flocculation, sedimentation, and filtration resulting in substantial
particulate removal (40 CFR 141.2).
Corrosion Inhibitor
A substance capable of reducing the corrosivity of water toward metal plumbing materials, especially lead and
copper, by forming a protective film on the interior surface of those materials (40 CFR 141.2)
Diatomaceous Earth Filtration
A process resulting in substantial paniculate removal in which (40 CFR 141.2):
1. a precoat cake of diatomaceous earth filter media is deposited on a support membrane (septum)
2. while the water is filtered by passing through the cake on the septum, additional filter media known as body feed
is continuously added to the feed water to maintain the permeability of the filter cake.
Direct Filtration
A series of processes including coagulation and filtration but excluding sedimentation resulting in substantial
paniculate removal (40 CFR 141.2).
Disinfectant
Any oxidant, including but not limited to chlorine, chlorine dioxide, chloramines, and ozone added to water in any
part of the treatment or distribution process that is intended to kill or inactivate pathogenic micro-organisms (40 CFR
141.2).
Disinfection
A process which inactivates pathogenic organisms in water by chemical oxidants or equivalent agents (40 CFR
141.2).
Disinfection Profile
A summary of daily Giardia lamblia inactivation through the treatment plant. The procedure for developing a
disinfection profile is contained in 40 CFR 141.172 (40 CFR 141.2).
Domestic or Other Nondistribution System Plumbing Problem
A conform contamination problem in a public water system with more than one service connection that is limited to
the specific service connection from which the coliform-positive sample was taken (40 CFR 141.2).
Dose Equivalent
The product of the absorbed dose from ionizing radiation and such factors as account for differences in biological
effectiveness due to the type of radiation and its distribution in the body as specified by the International
Commission on Radiological Units and Measurements (ICRU) (40 CFR 141.2).
Effective Corrosion Inhibitor Residual
For the purpose of Subpart I of 40 CFR 141, means a concentration sufficient to form a passivating film on the
interior walls of a pipe (40 CFR 141.2).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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Enhanced Coagulation
The addition of sufficient coagulant for improved removal of disinfection byproduct precursors by conventional
filtration treatment (40 CFR 141.2).
Enhanced Softening
The improved removal of disinfection byproduct precursors by precipitative softening (40 CFR 141.2).
Exempted Public Water Systems
A public water system that meets all of the following conditions is not required to meet the standards outlined in 40
CFR 141 (40 CFR 141.3):
1. consists only of distribution and storage facilities and do not have any collection and treatment facilities
2. obtains all of its water from, but is not owned by or operated by, a public water system to which 40 CFR 141
applies
3. does not sell water to any person
4. is not a carrier that conveys passengers in interstate commerce.
Filter Profile
A graphical representation of individual filter performance, based on continuous turbidity measurements or total
particle counts versus time for an entire filter run, from startup to backwash inclusively, that includes an assessment
of filter performance while another filter is being backwashed (40 CFR 141.2).
Filtration
A process for removing paniculate matter from water by passage through porous media (40 CFR 141.2).
First Draw Sample
A one-liter sample of tap water, collected in accordance with 40 CFR 141.86(b)(2), that has been standing in
plumbing pipes at least 6 h and is collected without flushing the tap (40 CFR 141.2).
Flocculation
A process to enhance agglomeration or collection of smaller floe particles into larger, more easily settleable particles
through gentle stirring by hydraulic or mechanical means (40 CFR 141.2).
GAC10
Granular activated carbon filter beds with an empty-bed contact time of 10 min based on average daily flow and a
carbon reactivation frequency of every 180 days (40 CFR 141.2)
Gross Alpha Particle Activity
The total radioactivity due to alpha particle emissions as inferred from measurements on a dry sample (40 CFR
141.2).
Gross Beta Particle Activity
The total radioactivity due to beta particle emission as inferred from measurements on a dry sample (40 CFR 141.2).
Groundwater Under the Direct Influence of Surface Water
Any water beneath the surface of the ground with significant occurrence of insects or other macroorganisms, algae,
or large-diameter pathogens such as Giardia lamblia or (for Subpart H systems serving at least 10,000 people only)
Cryptosporidium, or significant and relatively rapid shifts in water characteristics such as turbidity, temperature,
conductivity, or pH which closely correlate to climatological or surface water conditions. Direct influence must be
determined for individual sources in accordance with criteria established by the state. The state determination of
direct influence may be based on site-specific measurements of water quality and/or documentation of well
construction characteristics and geology with field evaluation (40 CFR 141.2)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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Haloacetic Acids (Five) (HAAS)
The sum of the concentrations in milligrams per liter of the haloacetic acid compounds (monochloroacetic acid,
dichloroacetic acid, trichloroacetic acid, monobromoacetic acid, and dibromoacetic acid), rounded to two significant
figures after addition (40 CFR 141.2).
Halogen
One of the chemical elements chlorine, bromine, or iodine (40 CFR 141.2).
Initial Compliance Period
The first full 3-yr compliance period which begins at least 18 mo after promulgation, except for dichloromethane,
1,2,4-trichlorobenzene, 1,1,2-trichloroethane, benzo(a)pyrene, dalapon, Di(2-ethythexyl) adipate, Di(2-ethythexyl)
phthalate, dinoseb, diquat, endrin, endothall, glyphosate, hexachlorobenzene, Hexachlorocyclopentadiene, Oxamyl
(vydate), picloram, simazine, 2,3,7,8,-TCDD (dioxin), antimony, beryllium, cyanide (as free cyanide), nickel, and
thallium, the initial compliance period means the first full 3-yr compliance period after promulgation for systems
with 150 or more service connections (January 1993 to December 1995), and first full 3 yr compliance period after
the effective date of the regulation (January 1996 to December 1998) for systems having fewer than 150 service
connections (40 CFR 141.2).
Large Water System
In reference to lead and copper in systems, this refers to a water system that serves more than 50,000 persons (40
CFR 141.2).
Lead Service Line
A service line made of lead which connects the water main to the building inlet and any lead pigtail, gooseneck, or
other fitting which is connected to such a lead line (40 CFR 141.2).
Legionella
A genus of bacteria, some species of which have caused a type of pneumonia called Legionnaires Disease (40 CFR
141.2).
Man-made Beta Particle and Photon Emitters
All radionuclides emitting beta particles and/or photons listed in Maximum Permissible Body Burdens and
Maximum Permissible Concentration of Radionuclides in Air or Water for Occupational Exposure, NBS Handbook
69, except the daughter products of thorium-232, uranium-235 anduranium-238 (40 CFR 141.2).
Maximum Contaminant Level (MCL)
The maximum permissible level of a contaminant in water that is delivered to any user of a public water system (40
CFR 141.2).
Maximum Contaminant Level Goal (MCLG)
Refers to the maximum level of a contaminant in drinking water at which no known or anticipated adverse effect on
the health of persons would occur, and which allows an adequate margin of safety. MCLGs are nonenforceable
health goals (40 CFR 141.2).
Maximum Residual Disinfectant Level (MRDL)
A level of a disinfectant added for water treatment that may not be exceeded at the consumer's tap without an
unacceptable possibility of adverse health effects. For chlorine and chloramines, a PWS is in compliance with the
MRDL when the running annual average of monthly averages of samples taken in the distribution system, computed
quarterly, is less than or equal to the MRDL. For chlorine dioxide, a PWS is in compliance with the MRDL when
daily samples are taken at the entrance to the distribution system and no two consecutive daily samples exceed the
MRDL. MRDLs are enforceable in the same manner as maximum contaminant levels under Section 1412 of the Safe
Drinking Water Act. There is convincing evidence that addition of a disinfectant is necessary for control of
waterborne microbial contaminants. Notwithstanding the MRDLs listed in 40 CFR 141.65, operators may increase
residual disinfectant levels of chlorine or chloramines (but not chlorine dioxide) in the distribution system to a level
and for a time necessary to protect public health to address specific microbiological contamination problems caused
This document is intended solely for guidance. No statutory or regulatory 7
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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by circumstances such as distribution line breaks, storm runoff events, source water contamination, or cross-
connections (40 CFR 141.2).
Maximum Residual Disinfectant Level Goal (MRDLG)
The maximum level of a disinfectant added for water treatment at which no known or anticipated adverse effect on
the health of persons would occur, and which allows an adequate margin of safety. MRDLGs are nonenforceable
health goals and do not reflect the benefit of the addition of the chemical for control of waterborne microbial
contaminants (40 CFR 141.2).
Maximum Total Trihalomethane Potential
The maximum concentration of total trihalomethanes produced in a given water containing a disinfectant residual
after 7 days at a temperature of 25 °C or above (40 CFR 141.2).
Medium Size Water System
In reference to lead and copper in systems (40 CFR, Subpart I), this refers to a water system that serves greater than
3300 and less than or equal to 50,000 persons (40 CFR 141.2).
Near the First Service Connection
At one of the 20 percent of all service connections in the entire system that are nearest the water supply treatment
facility as measured by water transport time within the distribution system (40 CFR 141.2).
Noncommunity Water System
A public water system that is not a community water system. A noncommunity water system either a transient
noncommunity water system (TWS) or a nontransient noncommunity (NTNC) water system (40 CFR 141.2).
Nontransient, Noncommunity Water System
A public water system that is not a community water system and that regularly serves at least 25 of the same persons
over 6 mo per year (40 CFR 141.2).
Optimal Corrosion Control Treatment
For the purpose of Subpart I of 40 CFR 141, means the corrosion control treatment that minimizes the lead and
copper concentrations at users' taps while insuring that the treatment does not cause the water system to violate any
national primary drinking water regulations (40 CFR 141.2).
Performance Evaluation Sample
A reference sample provided to a laboratory for the purpose of demonstrating that the laboratory can successfully
analyze the sample within limits of performance specified by the U.S. EPA. The true value of the concentration of
the reference material is unknown to the laboratory at the time of the analysis (40 CFR 141.2).
Person
An individual, corporation, company, association, partnership, municipality, or state, federal, or tribal agency (40
CFR 141.2).
PicoCurie (pCi)
Quantity of radioactive material producing 2.22 nuclear transformations/min (40 CFR 141.2).
Point of Disinfectant Application
The point where the disinfectant is applied and water downstream of that point is not subject to recontamination by
surface water runoff (40 CFR 141.2).
Point-of-Entry Treatment Device
A treatment device applied to the drinking water entering a house or building for the purpose of reducing
contaminants in the drinking water distributed throughout the house or building (40 CFR 141.2).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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Point-of-Use Treatment Device
A treatment device applied to a single tap used for the purpose of reducing contaminants in drinking water at that one
tap (40 CFR 141.2).
Public Water System
A system for the provision to the public of water for human consumption through pipes or, after August 5, 1998,
other constructed conveyances, if such system has at least 15 service connections or regularly serves an average of at
least twenty-five individuals daily at least 60 days out of the year. Such term includes: any collection, treatment,
storage, and distribution facilities under control of the operator of such system and used primarily in connection with
such system; and any collection or pretreatment storage facilities not under such control which are used primarily in
connection with such system. Such term does not include any "special irrigation district." A public water system is
either a community water system or a noncommunity water system. (40 CFR 141.2).
Rem
The unit of dose equivalent from ionizing radiation to the total body or any internal organ or organ system. A
millirem (mrem) is 1/1000 of a rem (40 CFR 141.2).
Repeat Compliance Period
Any subsequent compliance period after the initial compliance period (40 CFR 141.2).
Residual Disinfectant Concentration
("C" in CT calculations) is the concentration of disinfectant measured in mg/L in a representative sample of water
(40 CFR 141.2).
Sanitary Survey
An onsite review of the water source, facilities, equipment, operation and maintenance of a public water system for
the purpose of evaluating the adequacy of such source, facilities, equipment, operation and maintenance for
producing and distributing safe drinking water (40 CFR 141.2).
Sedimentation
A process for removal of solids before filtration by gravity or separation (40 CFR 141.2).
Service Connection
As used in the definition of public water system, does not include a connection to a system that delivers water by a
constructed conveyance other than a pipe if (40 CFR 141.2):
1. the water is used exclusively for purposes other than residential uses (consisting of drinking, bathing, and
cooking, or other similar uses);
2. the state determines that alternative water to achieve the equivalent level of public health protection provided by
the applicable national primary drinking water regulation is provided for residential or similar uses for drinking
and cooking; or
3. the state determines that the water provided for residential or similar uses for drinking, cooking, and bathing is
centrally treated or treated at the point of entry by the provider, a pass-through entity, or the user to achieve the
equivalent level of protection provided by the applicable national primary drinking water regulations.
Service Line Sample
A one liter sample of water collected in accordance with 40 CFR 141.86(b)(3), that has been standing for at least 6 h
in a service line (40 CFR 141.2).
Single Family Structure
For the purpose of Subpart I of 40 CFR 141, means a building constructed as a single-family residence that is
currently used as either a residence or a place of business (40 CFR 141.2)
Slow Sand Filtration
A process involving passage of raw water through a bed of sand at low velocity (generally less than 0.4 m/h)
resulting in substantial particulate removal by physical and biological mechanisms (40 CFR 141.2).
This document is intended solely for guidance. No statutory or regulatory 9
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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Small Water System
For the purpose of Subpart I of 40 CFR 141, means a water system that serves 3,300 persons or fewer (40 CFR
141.2).
Special Irrigation District
An irrigation district in existence prior to May 18, 1994 that provides primarily agricultural service through a piped
water system with only incidental residential or similar use where the system or the residential or similar users of the
system comply with the exclusion provisions in section 1401(4)(B)(i)(II) or (III) (40 CFR 141.2).
Standard Sample
The aliquot of finished drinking water that is examined for the presence of coliform bacteria (40 CFR 141.2).
State
The agency of the state or tribal government that has jurisdiction over public water systems. During any period when
a state or tribal government does not have primary enforcement responsibility pursuant to Section 1413 of the
SDWA (42 USC 300g-2), the term state means the regional administrator of the U.S. EPA (40 CFR 141.2).
Subpart H Systems
Public water systems using surface water or groundwater under the direct influence of surface water as a source that
are subject to the requirements of Subpart H of 40 CFR 141 (40 CFR 141.2).
Supplier of Water
Any person who owns or operates a public water system (40 CFR 141.2).
Surface Water
All water that is open to the atmosphere and subject to surface runoff (40 CFR 141.2).
SUVA
Specific Ultraviolet Absorption at 254 nanometers (nm), an indicator of the humic content of water. It is a calculated
parameter obtained by dividing a sample's ultraviolet absorption at a wavelength of 254 nm (UV254) (in m=1) by its
concentration of dissolved organic carbon (DOC) (in mg/L) (40 CFR 141.2).
System with a Single Service Connection
A system which supplies drinking water to consumers via a single service line (40 CFR 141.2).
Too Numerous to Count
That the total number of bacterial colonies exceeds 200 on a 47-mm diameter membrane filter used for coliform
detection (40 CFR 141.2).
Total Organic Carbon (TOC;
Total organic carbon in mg/L measured using heat, oxygen, ultraviolet irradiation, chemical oxidants, or
combinations of these oxidants that convert organic carbon to carbon dioxide, rounded to two significant figures (40
CFR 141.2).
Total Trihalomethanes (TTHM)
The sum of the concentration in mg/L of the trihalomethane compounds rounded to two significant figures (40 CFR
141.2).
Transient Noncommunity Water System (TWS)
A noncommunity water system that does not regularly serve at least 25 of the same persons over 6 mo per year (40
CFR 141.2).
This document is intended solely for guidance. No statutory or regulatory 10
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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Trihalomethane (THM)
One of the family of organic compounds, named as derivatives of methane, wherein three of the four hydrogen atoms
in methane are each substituted by a halogen atom in the molecular structure (40 CFR 141.2).
Uncovered Finished Water Storage Facility
A tank, reservoir, or other facility used to store water that will undergo no further treatment except residual
disinfection and is open to the atmosphere (40 CFR 141.2).
Virus
A virus of fecal origin which is infectious to humans by waterborne transmission (40 CFR 141.2).
Waterborne Disease Outbreak
The significant occurrence of acute infectious illness, epidemiologically associated with the ingestion of water from a
public water system which is deficient in treatment, as determined by the appropriate local or state agency (40 CFR
141.2).
Typical Records To Review
• Bacterial and chemical analyses of drinking water, including sampling dates and locations, dates of analyses,
analytical methods used, and results of analyses
• Monthly operating reports (flow, chlorine residual, etc.)
• State and public notification of noncompliance with primary drinking water regulations
• Actions taken to correct violations of primary drinking water regulations
• Sanitary surveys of the water system conducted by the facility itself, a private consultant, or any local, state, or
federal agency
• Public notification of noncompliance with secondary MCL for fluoride
• Records, or petitions for review of records for projects that may potentially cause contamination of a sole source
aquifer
• Variances, exemptions, or waivers from the state
• Groundwater monitoring results, reports
• Design plans for potable water treatment plant
• Maps of the distribution system
• Formal or informal enforcement actions issued by the state or U.S. EPA
Typical Physical Features To Inspect
• Laboratory analysis facilities
• Drinking water treatment facility
• Storage facilities (elevated and underground)
• Locations where additional treatment occurs such as rechlorination
• Potable wells
• Surface water intakes
Checklist User Guidance
The SDWA requirements for public water systems are outlined in the auditor checklist contained in this document.
A public water system (PWS) is defined as a system that has at least 15 service connections or serves an average of
at least 25 people for at least 60 days per year. There are three types of PWSs:
1. Community systems serve at least 25 people year-round in their primary residences.
2. Nontransient Noncommunity systems serve at least 25 of the same persons for more than six months in a year
(e.g., schools or factories that have their own water source).
3. Transient Noncommunity systems do not serve at least 25 of the same persons for more than six months in a
year (e.g., campgrounds, highway rest stops that have their own water source).
This document is intended solely for guidance. No statutory or regulatory 11
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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Each of these three types of public water systems is regulated differently. For example, in general, community water
systems must comply with all regulations. Transient systems do not have to comply with the regulations for
contaminants that cause chronic health effects to occur. However, all three types of public water systems must
comply with the Total Coliform Rule, and requirements for nitrate and nitrite. The following table provides a
summary of which drinking water regulations apply to each category of PWS.
Applicability of Current Federal Regulations
Contaminant/Rule
Community Water
Systems
Nontransient Non-
community Water
Systems
Transient Non-
community Water
Systems
Organic Contaminants
Total Trihalomethanes
(TTHM)
Inorganic Contaminants
Nitrate and Nitrite
Radionuclides
Total Coliform
Surface Water Treatment
Lead and Copper
All
Some
(Only systems serving
more than 10,000)
All
All
All
All
Some
(Only PWSs using
surface water sources
or ground water
sources under the
direct influence of
surface water)
All
All
None
Some
(All except arsenic and
fluoride)
All
None
All
Some
(Only PWSs using
surface water sources
or ground water
sources under the direct
influence of surface
water)
All
Some
(only epichclorohydrin
and acrylamide)
None
None
All
None
All
Some
(Only PWSs using
surface water sources
or ground water
sources under the direct
influence of surface
water)
None
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
12
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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As additional guidance, the following chart can be used to identify which checklist items are applicable to the facility
being audited. This chart refers to the federal regulations; there may be additional state regulations to consider.
Is the facility a public water system or a nonpublic water system
If yes, see checklist
items DW. 10 through DW.50
Is
tht
If yes, see state regulations
for nonpublic water system
system a noncommunity water system or a community water system
If yes, then in addition to following If yes,
hen in addition to following
checklist items DW. 10 through DW.50, checklist items DW. 10 through DW.50,
see checklist items DW. 120 through see checklist items DW.70 through
DW.130 DW.100
Is the system an NTNC System or a transient noncommunity system
I
omn
If yes, then in addition to following If yes, then in addition to following
checklist items DW. 10 through DW.50 checklist items DW. 10 through DW.50
and DW. 120 through DW. 130, see and DW. 120 through DW. 130, see
checklist items DW. 150 through DW. 170 checklist items DW.200
List of Acronyms and Abbreviations
ANSI
BAT
CAS
CDC
CERL
CFR
CT
CPE
DBF
DBPP
DOC
EPA
FDA
FR
FY
GAC
American National Standards Institute
Best Available Technology
Chemical Abstract Service
Center for Disease Control
U.S. Army Corps of Engineers Construction Engineering Research Laboratory
Code of Federal Regulations
Residual Disinfectant Concentration (C in CT calculation)
Comprehensive Performance Evaluation
Disinfection Byproducts
Disinfection Byproduct Precursors
Dissolved Organic Carbon
Environmental Protection Agency
Food and Drug Administration
Federal Register
Fiscal Year
Granular Activated Carbon Filter Beds
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
13
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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gal Gallon
h Hour(s)
HAAS Haloacetic Acids (Five)
HWM Hazardous Waste Management
HIV/AIDS Human Immunodeficiency Vims/Acquired Immune Deficiency Syndrome
HPC Heterotrophic Plate Count
ICP Inductively Coupled Plasma
ICRU The International Commission on Radiological Units and Measurements
kg Kilogram
L Liter
m Mile(s)
MCL Maximum Contaminant Level
MCLG Maximum Contaminant Level Goal
mg Milligram
mL Milliliter
mm Millimeter
mo Month(s)
MP Management Practice
MRDL Maximum Residual Disinfectant Level
MRDLG Maximum Residual Disinfectant Level Goal
mrem Millirem
NB S National Bureau of Standards
nm Nanometers
NOV Notice of Violation
NPDWS National Primary Drinking Water Standards
NTNC Nontransient noncommunity
NTU Nephelometric Turbidity Unit
O & M Operations and Maintenance
pCi PicoCurie
PL Public Law
SOW A Safe Drinking Water Act
SIC Standard Industrial Classification
SUVA Specific Ultraviolet Absorption
TCDD Dioxin
TOC Total Organic Carbon
THM Trihalomethane
TTHM Total Trihalomethanes
TWS Transient Noncommunity Water System
UIC Underground Injection Control
U.S.C. United States Code
USDW Underground Source of Drinking Water
U.S. EPA U.S. Environmental Protection Agency
yr Year
> greater than
< less than
>/= greater than or equal to
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
Index for Checklist Users
Categories
General
Public Water Systems
General
Monitoring/Sampling
Disinfection and Filtration
Lead and Copper
Notification and Reporting Requirements
Community Water Systems
Standards
Monitoring/Sampling
Notifications
Lead and Copper
Noncommunity Water Systems
Standards
Monitoring/Sampling
Nontransient Noncommunity (NTNC) Water System
Standards
Monitoring/Sampling
Lead and Copper
Transient Noncommunity Water System
Refer To:
Checklist Item
D W. 1. 1 through D W.I. 4
DW. 10.1 through DW. 10.3
DW.20.1 through DW.20.3
DW.30.1 through DW.30. 11
DW.40.1
DW.50.1 through DW.50.5
DW.70.1andDW.70.3
DW.80.1 through DW. 80. 16
DW.90.1andDW.90.2
DW. 100.1 through DW. 100. 10
DW. 120.1
DW. 130.1 through DW. 130.4
DW. 150.1 and DW. 150.2
DW. 160.1 through DW. 160.9
DW. 170.1 through DW. 170. 10
DW.200.1andDW.200.2
Page
Number:
17
19
21
23
33
35
39
41
57
59
65
67
71
73
85
91
Please note: Additional Guidance on using this checklist for drinking water systems of provided on page 11.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
15
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory 16
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
Checklist
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
DW.l
GENERAL
DW.1.1. The current status of
any ongoing or unresolved
consent orders, compliance
agreements, notices of
violation (NOVs), interagency
agreements, or equivalent
state enforcement actions is
required to be examined.
Determine if noncompliance issues have been resolved by reviewing a copy of the
previous audit reports, consent orders, unilateral orders, compliance agreements,
NOVs, interagency agreements, or equivalent state enforcement actions.
(NOTE: For those open items, indicate what corrective action is planned and
milestones established to correct problems.)
DW.1.2. Facilities are
required to comply with all
applicable federal regulatory
requirements not contained in
this checklist.
Determine if any new regulations have been issued since the finalization of this
document. If so, annotate checklist to include new standards.
Determine if the facility has activities or facilities that are regulated but not
addressed in this checklist.
Verify that the facility is in compliance with all applicable and newly issued
regulations.
DW.1.3 Facilities are required
to comply with state and local
water quality regulations.
Verify that the facility is complying with state and local water quality
requirements.
Verify that the facility is operating according to permits issued by the state or local
agencies.
(NOTE: Issues typically regulated by state and local agencies include:
-more stringent contaminant level requirements certification and training
requirements
- water system surveys
- reporting requirements
- monitoring frequency
- use of groundwater
-use and maintenance of wells
- wellhead protection programs
- cross connection control and backflow prevention
-O & M practices such as: maintenance of a disinfectant residual throughout
the distribution system; proper maintenance of the distribution system;
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
17
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
proper disinfection of replaced or repaired mains; main flushing
- secondary drinking water regulations
-UIC programs.)
DW.1.4. Analysis of all
samples, except turbidity, free
chlorine residual, temperature,
and pH, to determine
compliance with MCLs must
be performed in a state-
certified laboratory or by a
state-approved individual (40
CFR 141.23(k)(6),
141.24(f)(17), 141.24(h)(19),
and 141.28).
Verify that laboratory is certified by reviewing documentation of state certification
for laboratory analysis.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
18
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
PUBLIC WATER
SYSTEMS
DW.10
General
(NOTE: The checklist items below apply to public water systems (PWSs). A
PWS is defined as a system that has at least 15 service connections or serves an
average of at least 25 people for at least 60 days per year.) A PWS includes:
- any collection, treatment, storage, and distribution facilities under control of
the operator of such system and used primarily in connection with such
system
- any collection or pretreatment storage facilities not under such control which
are used primarily in connection with such system.
The term "Public Water System(s)" does not include any "special irrigation
district." A public water system is either a community water system or a
noncommunity water system. See Checklist User Guidance on page 11 of this
document to determine which checklist items are applicable to the facility being
audited.)
DW.10.1. Records must be
kept of actions taken to
correct violations of primary
drinking water regulations for
at least 3 yr (40 CFR
141.33(b)).
Verify that records are kept of actions taken to correct violations of primary
drinking water regulations for at least 3 yr.
Determine if there are recurring work programs, spare parts and supplies list,
equipment calibration and maintenance history records.
DW.10.2. Public water
systems which do not collect 5
or more routine total conform
samples per month are
required to undergo an initial
sanitary survey according to a
specified schedule and
maintain records of those
reviews (40 CFR 141.21(d)
and 141.33(c)).
Verify that noncommunity water systems which do not collect five or more routine
samples per month have undergone an initial sanitary survey by June 29, 1999 and
then undergo a sanitary survey every 5 yr thereafter.
(NOTE: Noncommunity water systems using only protected and disinfected
groundwater are only required to undergo a sanitary survey every 10 yr after the
initial survey.)
Verify that community water systems that collect less than five routine biological
samples per month undergo a sanitary survey every 5 yr since June 29, 1994.
Verify that records of sanitary surveys are kept for at least 10 yr.
Verify that the sanitary surveys have been performed by the state or an agent
approved by the state.
Verify that, if the state has requested additional measures to improve drinking
water quality, those measures have been implemented.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
19
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
DW.10.3. Public water
systems that use point of entry
devices to comply with MCL
are required to meet specific
standards (40 CFR 141.100
and 141.101).
Determine if the public water system uses a point of entry device to comply with
MCLs.
Verify that the public water system has developed and obtained state approval for
a monitoring plan prior to the point of entry devices being installed.
Verify that the parameters of the plan are being followed.
(NOTE: The design and application of the point-of-entry devices must consider
the tendency for increase in heterotrophic bacteria concentrations in water treated
with activated carbon.)
Verify that all consumers are protected and every building connected to the system
has a point-of-entry device installed, maintained, and adequately monitored.
(NOTE: Public water systems may not use bottled water or point of use devices to
achieve compliance with an MCL. But, bottled water or point of use devices may
be used on a temporary basis to avoid unreasonable risk to health.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
20
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
PUBLIC WATER
SYSTEMS
DW.20
Monitoring/Sampling
(NOTE: The checklist items below apply to public water systems (PWSs). A
PWS is defined as a system that has at least 15 service connections or serves an
average of at least 25 people for at least 60 days per year.) A PWS includes:
- any collection, treatment, storage, and distribution facilities under control of
the operator of such system and used primarily in connection with such
system
- any collection or pretreatment storage facilities not under such control which
are used primarily in connection with such system.
The term "Public Water System(s)" does not include any "special irrigation
district." A public water system is either a community water system or a
noncommunity water system. See Checklist User Guidance on page 11 of this
document to determine which checklist items are applicable to the facility being
audited.)
DW.20.1. Total conform
samples are required to be
collected at regular time
intervals throughout the
month except at a system
which uses only groundwater
and serves 4900 person or
fewer (40 CFR 141.21(a)(4)).
Verify that total conform samples are collected at regular intervals at the
frequency required based on population.
(NOTE: Systems that use groundwater (except groundwater under the influence of
surface water) and serve 4900 persons or fewer may collect all required samples
on a single day if they are being taken from different sites.)
DW.20.2 Public water
systems that use surface water
or groundwater under the
direct influence of surface
water that do not practice
filtration are required to
collect at least one total
coliform sample near the first
service connection each day
the turbidity level of the
source water exceeds 1 NTU
(40 CFR 141.21(a)(5) and
Verify that, if the turbidity exceeded 1 NTU, total coliform samples were taken
within 24 h of the first exceedance by reviewing the records on turbidity levels and
coliform sampling.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
21
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
DW.20.3. When a routine
sample is total coliform-
positive, the public water
system must collect a set of
repeat samples within 24 h of
being notified of the positive
result (40 CFR 141.21(b)(l)
through 141.21(b)(5),
141.21(b)(7) and
Verify that if the system collects more than 1/mo routine sample is collected, at
least three repeat samples are collected for each total coliform-positive sample
found.
Verify that if one or less routine sample per month is collected, no less than four
repeat samples are collected for each total coliform-positive sample found.
Verify that at least one of the repeat samples is collected from the sampling tap
where the original total coliform positive sample was taken.
Verify that at least one repeat sample was taken at a tap within five service
connections upstream and at least one repeat sample at a tap within five service
connections downstream of the original sampling site.
Verify that the sampling process is repeated until either total conforms are not
detected in one complete set of repeat samples or the system determines that the
MCL for total conforms is exceeded and the state is notified.
Verify that all repeat samples are collected on the same day.
Verify that if one or more of the repeat samples is total coliform-positive, an
additional set of repeat samples is collected within 24 h of notification of the
positive result.
Verify that if a repeat sample is total coliform-positive it is also analyzed for fecal
coliforms.
(NOTE: The system may test for E. coli instead of fecal coliforms.)
(NOTE: If a system collecting fewer than five routine samples per month has one
or more total coliform-positive samples and the state does not invalidate the
samples, it must collect at least five routine samples during the next month the
system provides water to the public. The state may waive this requirement if
certain conditions are met.)
Verify that all routine and repeat samples which are not invalidated are included in
determining compliance with the MCL for total coliform.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
22
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
PUBLIC WATER
SYSTEMS
DW.30
Disinfection and Filtration
(NOTE: The checklist items below apply to public water systems (PWSs). A
PWS is defined as a system that has at least 15 service connections or serves an
average of at least 25 people for at least 60 days per year.) A PWS includes:
- any collection, treatment, storage, and distribution facilities under control of
the operator of such system and used primarily in connection with such
system
- any collection or pretreatment storage facilities not under such control which
are used primarily in connection with such system.
The term "Public Water System(s)" does not include any "special irrigation
district." A public water system is either a community water system or a
noncommunity water system. See Checklist User Guidance on page 11 of this
document to determine which checklist items are applicable to the facility being
audited.)
DW.30.1. Public water
systems that use surface water
sources or groundwater
sources under direct influence
of a surface water source must
provide filtration as a
treatment technique for
microbiological contaminants
unless certain criteria are met
(40 CFR 141.71(a) and
(NOTE: Public water systems that use a groundwater source under the direct
influence of surface water are not required to meet these conditions to avoid
filtration until 18 mo after the state has determined that the system is under the
direct influence of surface water.)
Verify that filtration of drinking water is performed unless all of the following
conditions for source water are met:
-the fecal coliform concentration is less than or equal to 20/100 mL or total
coliform concentration is equal to or less than 100/100 mL in representative
samples of the source water immediately prior to the first or only point of
disinfectant application in at least 90 percent of the measurements made in
the last 6 mo that the system served water to the public on an ongoing basis
- the turbidity level does not exceed 5 NTU in representative samples of the
source water immediately prior to the first or only point of disinfectant
application, unless state determines otherwise and there has not been more
than two events in the past 12 mo that the system served water to the public
or more than five events in the past 120 mo that the system served water to
the public.
Verify that filtration of drinking water is done unless all the following site-specific
conditions are met:
-meets the requirements of 40 CFR 141.72(a)(l) (see checklist itemDW.30.3)
for disinfection treatment of Giardia lamblia for at least 11 of the 12
previous mo
-meets 40 CFR 141.72(a)(2) through 141.72(a)(4) (see checklist item
DW.30.3) at all times
- maintains a watershed control program for Giardia lamblia cysts and viruses
in the source water, including:
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
- identification of watershed characteristics
- monitoring occurrence of activities that have adverse effects
- demonstrates through ownership and/or written agreements that the
control of adverse effects of human activities are regulated
- submits annual reports to the state
- subject to annual onsite inspection by the state or a party approved by
the state, to assess watershed control program
has not been identified as a source of waterborne disease or threat or has
been modified sufficiently to prevent recurrence
complies with MCL for total conforms as defined in 40 CFR 141.63 (see
checklist item DW.70.2 for a PWS which is a community water system and
DW. 150.1 for a PWS which is a NTNC water system) for at least 11 of the
previous 12 mo
complies with requirements for trihalomethanes as listed on 40 CFR 141.12
(see checklist item DW.70.1) and 141.30 (see checklist item DW.80.11)
until January 1, 2002 and thereafter complies with the requirements for total
trihalomethanes, haloacetic acids (five), bromate, chlorite, chlorine,
chloramine, and chlorine dioxide (see Appendix K of this document).
DW.30.2. Systems that do not
meet the criteria necessary for
exclusion from filtration for
public water systems that use
a surface water source or a
groundwater source under the
direct influence of surface
water must provide filtration
that meets specific standards
by June 29, 1993, or within 18
mo after being required to
provide filtration, whichever
is later (40 CFR 141.73,
141.74(c)(l), through
141.74(c)(4)).
Verify that, if conventional or direct filtration is used, the following are met:
-a turbidity level of 0.5 NTU or less in 95 percent of measurements taken
each month
-the turbidity level of representative samples of filtered water at no time
exceeds 5 NTU
- systems serving at least 10,000 people meet the turbidity requirements in 40
CFR 141.173(a) starting January 1, 2002.
Verify that, if slow sand filtration is used, the following are met:
-the turbidity level of representative samples of a system's filtered water is 1
NTU or less in 95 percent of the monthly measurements.
- the turbidity level of representative samples of a system's filtered water at no
time exceeds 5 NTU.
Verify that, if diatomaceous earth filtration is used, the following is met:
-the turbidity level of representative samples of a system's filtered water is
less than or equal to 1 NTU in at least 95 percent of the measurements taken
each month
- the turbidity level of representative samples of a system's filtered water at no
time exceeds 5 NTU.
Verify that, if other filtration technologies are used, they have been approved by
the state.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
24
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that starting June 29, 1993 or when filtration is installed, turbidity
measurements are performed on representative samples of the system's filtered
water every 4 h that the system serves water to the public.
Verify that as of June 29, 1993, or whenever filtration is installed, the residual
disinfectant concentration of water entering the distribution system is monitored
continuously and the lowest value recorded each day.
Verify that, if there is a failure in the continuous monitoring equipment, grab
sampling is done every 4 h.
(NOTE: Grab sampling must be conducted until equipment is repaired. If
equipment is not repaired within 5 working days, the system is in violation.)
(NOTE: Systems serving 3300 or fewer person can use grab sampling instead of
continuous monitoring if the following daily frequencies are met:
System size by population
500
501 -1000
1001-2500
2501-3300
Samples/day
1
2
3
4.
Verify that, any time the residual disinfectant concentration falls below 0.2 mg/L
in a system using grab sampling, the system takes a grab sample every 4 h until the
residual disinfectant concentration is equal to or greater then 0.2 mg/L.
Verify that the residual disinfectant concentration is measured at least at the same
points in the distribution system and at the same time as total coliforms are
sampled.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
25
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
DW.30.3. Public water
systems that use a surface
water source or a groundwater
source under direct influence
of a surface water source that
is not required to provide
filtration are required to
provide disinfection treatment
by December 30, 1991 (40
CFR 141.72(a)).
REVIEWER CHECKS
Verify that the following requirements for disinfection are met for systems that are
not required to provide filtration:
-it ensures 99.9 percent (3-log) inactivation of Giardia lamblia cysts every
day except for once per month by meeting the required CT applicable to the
systems particular water quality parameters as outlined in 40 CFR 141.74
-it ensures 99.99 percent (4-log) inactivation of virus every day except for
once per month by meeting the required CT applicable to the systems
particular water quality parameters as outlined in 40 CFR 141.74
-the CT values are calculated daily as specified in 40 CFR 141.74(b)(3)
- the disinfection system has:
-a backup distribution system with automatic startup and alarm for
insuring continuous disinfection application while water is delivered
through the distribution system
- automatic shutoff when there is less than 0.2 mg/L residual disinfectant
- the residual disinfectant concentration in water entering distribution system is
not less than 0.2 mg/L for more than 4 h
- the residual disinfectant concentration, measured as total chlorine, combined
chlorine, or chlorine dioxide at points where total coliform samples are taken
is not undetectable in more than 5 percent of samples each month for more
than 2 consecutive months.
(NOTE: Water in a distribution system with a heterotrophic bacteria
concentration less than or equal to 500 mL, measured as heterotrophic plate count
(HPC) is deemed to have a detectable disinfectant residual.)
DW.30.4. Public water
systems that use a surface
water source or a groundwater
source under direct influence
of a surface water source that
provide filtration or that are
required by the state to install
filtration must meet specific
disinfection requirements by
June 29, 1993 or within 18 mo
of being required to install
filtration (40 CFR 141.72(b)
and 141.73).
Determine if the filtration is provided for drinking water.
Verify that the following requirements for disinfection for filtered systems are
provided:
- it ensures 99.9 percent (3-log) inactivation of Giardia lamblia cysts
- it ensures 99.99 percent (4-log) inactivation of viruses
- the residual disinfectant concentration in water entering distribution system is
not less than 0.2 mg/L for more than 4 h.
- the residual disinfectant concentration throughout the distribution system is
not undetectable in more than 5 percent of samples each month for any 2
consecutive mo the system serves water to the public
-analytical methods as specified in 40 CFR 141.74 are used to demonstrate
compliance with the requirements for filtration and disinfection.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
26
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
DW.30.5. Public water
systems that use a surface
water source and do not
provide filtration are required
to report specific information
monthly to the state beginning
December 31, 1990, unless
the state has determined that
filtration is required, until
filtration is in place (40 CFR
141.75(a)).
(NOTE: The state may specify alternative reporting requirements, as appropriate,
until filtration is in place.)
Verify that the following listed information is reported to the state at the indicated
times:
- source water quality information within 10 days after the end of each month
the system serves water to the public
-disinfection information within 10 days after the end of each month the
system serves water to the public
-a report summarizing compliance with all watershed control programs no
later than 10 days after the end of each federal fiscal year
- a report on the onsite inspection conducted during that year, unless it was
conducted by the state, no later than 10 days after the end of the federal fiscal
year
- the occurrence of a waterborne disease outbreak potentially attributable to
that water system as soon as possible, but no later than by the end of the next
business day
- when turbidity exceeds 5 NTU, as soon as possible, but no later than the end
of the next business day
-any time the residual falls below 0.2 mg/L in the water entering the
distribution system as soon as possible, but no later than by the end of the
next business day.
(NOTE: See the complete text of 40 CFR 141.75(a) for more details on what
information and how this information is to be reported.)
DW.30.6. Public water
systems that use a
groundwater source under the
direct influence of surface
water and do not provide
filtration treatment must
report specific information to
the state monthly starting
December 31, 1990, or 6 mo
after the state determines that
the groundwater source is
under the direct influence of
surface water, whichever is
later unless the state
determines that filtration is
required (40 CFR 141.75(a)).
Verify that the following listed information is reported to the state at the indicated
times:
- source water quality information within 10 days after the end of each month
the system serves water to the public
-disinfection information within 10 days after the end of each month the
system serves water to the public
-a report summarizing compliance with all watershed control programs no
later than 10 days after the end of each federal fiscal year
- a report on the onsite inspection conducted during that year, unless it was
conducted by the state, no later than 10 days after the end of the federal fiscal
year
- the occurrence of a waterborne disease outbreak potentially attributable to
that water system as soon as possible, but no later than by the end of the next
business day
- when turbidity exceeds 5 NTU, as soon as possible but no later than the end
of the next business day
-any time the residual falls below 0.2 mg/L in the water entering the
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
27
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
distribution system as soon as possible, but no later than by the end of the
next business day.
(NOTE: See the complete text of 40 CFR 141.75(a) for more details on what
information and how this information is to be reported.)
DW.30.7. Public water
systems that use a surface
water source or a groundwater
source under the direct
influence of surface water that
provide filtration must report
specific information monthly
to the state starting June 29,
1993 or when filtration is
installed, whichever is later
(40 CFR 141.75(b)).
Verify that by June 29, 1993, or whenever filtration is installed, the following
information is provided to the state in the indicated time frame:
-turbidity measurements within 10 days after the end of each month the
system serves water to the public
-disinfection information within 10 days after the end of each month the
system serves water to the public
- notice of an occurrence of a waterborne disease outbreak, as soon as possible
but no later than by the end of the next business day
- when the turbidity exceeds 5 NTU, as soon as possible, but no later than the
end of the next business day
-any time the residual falls below 0.2 mg/L in the water entering the
distribution system, as soon as possible, but no later than by the end of the
next business day.
(NOTE: See the complete text of 40 CFR 141.75(b) for more details on what
information and how this information is to be reported.)
DW.30.8. U.S. EPA has set
certain standards for analytic
procedures that must be used
and followed to demonstrate
compliance with disinfection
and filtration requirements (40
CFR 141.74).
Verify that analytic methods as specified in 40 CFR 141.74 are used to
demonstrate compliance with the requirements for filtration and disinfection.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
DW.30.9. As of January 1,
2002, Subpart H systems
which provide filtration
serving at least 10,000 people
must provide treatment that
complies with certain
treatment technique
requirements (40 CFR
141.170(a), 141.171, 141.173,
and 141.74).
(NOTE: These requirements for filtration and disinfection are in addition to
criteria under which filtration and disinfection are required under 40 CFR 141.70
through 141.75.)
Verify that each Subpart H system serving at least 10,000 people provides
treatment of its source water by installing and properly operating water treatment
processes that reliably achieve:
-at least 99 percent (2-log) removal of Cryptosporidium between a point
where the raw water is not subject to recontamination by surface water runoff
and a point downstream before or at the first customer for filtered systems, or
Cryptosporidium control under the watershed control plan for unfiltered
systems
-compliance with the profiling and benchmark requirements under 40 CFR
141.172.
Verify that filtration is provided that meets with one of the following by January 1,
2002:
- conventional filtration or direct filtration that results in:
-the turbidity level of representative samples of a system's filtered water
is
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
watershed review; the effectiveness of the system's program to monitor and control
detrimental activities occurring in the watershed; and the extent to which the water
system has maximized land ownership and/or controlled land use within the
watershed.)
DW.30.10. Public water
system may not begin
construction of uncovered
finished water storage
facilities after February 16,
1999 (40 CFR 141.170(a) and
Verify that each Subpart H system serving at least 10,000 people do not begin
construction of uncovered finished water storage facilities after February 16, 1999.
DW.30.11. As of January 1,
2002, Subpart H systems
serving at least 10,000 people
providing disinfection must
perform disinfection profiling
and benchmarking (40 CFR
141.170(a)andl41.172).
(NOTE: These requirements for filtration and disinfection are in addition to
criteria under which filtration and disinfection are required under 40 CFR 141.70
through 141.75.)
Verify that the public water systems determines its TTHM annual average using
the procedure in 40 CFR 141.172(a)(l) and its HAAS annual average using the
procedure in 40 CFR 141.172 (a)(2).
(NOTE: The annual average is the arithmetic average of the quarterly averages of
four consecutive quarters of monitoring.)
(NOTE: The system may request that the state approve a more representative
annual data set for the purpose of determining applicability of the requirements of
this section. The state may require that a system use a more representative annual
data set for the purpose of determining applicability of the requirements of this
section.)
Verify that the system submits data to the state in accordance with the
determination procedures used.
Verify that any system having either a TTHM annual average >/= 0.064 mg/L or
an HAAS annual average >/= 0.048 mg/L during the required period develops a
disinfection profile of its disinfection practice for a period of up to 3 yr.
(NOTE: The details of how a disinfection profile is developed can be found in 40
CFR 172(b).)
Verify that any system required to develop a disinfection profile that decides to
make a significant change to its disinfection practice consults with the state prior
to making such a change.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
30
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
(NOTE: Significant changes to disinfection practice are:
- changes to the point of disinfection
- changes to the disinfectant(s) used in the treatment plant
- changes to the disinfection process
- any other modification identified by the state.
Verify that any system modifying its disinfection practice calculates its
disinfection benchmark using the procedure specified 40 CFR 141.172(c)(2)(i)
through (ii).
Verify that systems using either chloramines or ozone for primary disinfection
calculate the disinfection benchmark for viruses using a method approved by the
state.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
PUBLIC WATER
SYSTEMS
DW.40
Lead and Copper
(NOTE: The checklist items below apply to public water systems (PWSs). A
PWS is defined as a system that has at least 15 service connections or serves an
average of at least 25 people for at least 60 days per year.) A PWS includes:
- any collection, treatment, storage, and distribution facilities under control of
the operator of such system and used primarily in connection with such
system
- any collection or pretreatment storage facilities not under such control which
are used primarily in connection with such system.
The term "Public Water System(s)" does not include any "special irrigation
district." A public water system is either a community water system or a
noncommunity water system. See Checklist User Guidance on page 11 of this
document to determine which checklist items are applicable to the facility being
audited.)
(NOTE: Checklist items DW. 100.1 through DW.100.10 (for community water
systems) and DW. 170.1 through DW.170.10 (for NTNC water systems) contain
additional requirements for the control of lead and copper in drinking water.)
DW.40.1. The use of pipe,
solder, or flux that contains
lead is not allowed in specific
situations (40 CFR
141.43(a)(l)andl41.43(d)).
Verify that lead pipe, solder, or flux is not used in the installation or repair of
either of the following:
- any public water system
- any plumbing in a residential facility providing water for human consumption
which is connected to a public water system.
(NOTE: This does not apply to leaded joints necessary for the repair of cast iron
pipes.)
(NOTE: Lead-free is defined as not more than 0.2 percent content for solders and
flux and not more than 8.0 percent lead in reference to pipes and pipe fittings. In
addition, pipes and pipe fittings must meet NSF Standard 61, Section 9.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
PUBLIC WATER
SYSTEMS
DW.50
Notification and Reporting
Requirements
(NOTE: The checklist items below apply to public water systems (PWSs). A
PWS is defined as a system that has at least 15 service connections or serves an
average of at least 25 people for at least 60 days per year.) A PWS includes:
- any collection, treatment, storage, and distribution facilities under control of
the operator of such system and used primarily in connection with such
system
- any collection or pretreatment storage facilities not under such control which
are used primarily in connection with such system.
The term "Public Water System(s)" does not include any "special irrigation
district." A public water system is either a community water system or a
noncommunity water system. See Checklist User Guidance on page 11 of this
document to determine which checklist items are applicable to the facility being
audited.)
DW.50.1. Public water
systems are required to
maintain on the premises, or
at a convenient location
specific records (40 CFR
141.33(a), 141.33(b), and
141.33(d)).
Verify that records of bacteriological analyses are kept for a minimum of 5 yr.
Verify that records of chemical analyses are kept for a minimum of 10 yr.
Verify that records concerning a variance or exemption granted to the system are
kept for a period ending not less than 5 yr following the expiration of the variance
or exemption.
Verify that records relating to sanitary surveys are kept for a minimum of 10 yr.
DW.50.2. When primary
drinking water standards (i.e.
MCLs and MRDLs) are
exceeded, or the owner or
operator of a public waters
systems fails to comply with
an applicable treatment
technique, public notifications
must be made (40 CFR
141.32).
Verify that if there was an exceedance the following public notification procedures
were followed:
- notices were placed in a daily newspaper of general circulation in the area
served by the system as soon as possible, but no later than 14 days after the
violation or failure
- notices were placed in a weekly newspaper of general circulation if there is
no daily newspaper
- notices were issued by mail delivery, by direct mail or with the water bill, or
by hand delivery within 45 days after the violation or failure.
(NOTE: The state may waive mail or hand delivery if it is determined that the
violation or failure is corrected within the 45-day period.)
Verify that if it was an acute violation, the public radio and television stations
were notified no later than 72 h after the violation.
Verify that if public notification was made, it was made according to U.S. EPA
requirements as specified in 40 CFR 141.32.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that following the initial notice, additional notice is given at least once
every 3 mo by mail delivery, or by hand delivery, for as long as the violation
exists.
(NOTE: Instead of the requirements outlined here, community water systems in
an area that is not served by a daily or weekly newspaper of general circulation
must give notice by hand delivery or by continuous posting in conspicuous places
within the area served by the system. Notice must be given within 72 h for acute
violations and 14 days for other violations. Noncommunity water systems may
also follow these methods.)
Verify that a copy of the most recent public notice for any outstanding violation of
any MCL, or MRDL or treatment technique requirement or any variance or
exemption schedule has been given to all new billing units or new hook-ups prior
to or at the time service begins.
DW.50.3. Public water
systems must send any test
measurement to the state on
analysis results pertaining to
applicable biological,
turbidity, radioactivity, and
chemical standards, and on
any failure to comply with
national primary drinking
water regulations (40 CFR
141.31).
Verify that, in general, reports of any test measurement or analysis results are sent
within the first 10 days following the month in which the result is received or the
first 10 days following the end of the required monitoring period.
Verify that the facility reported failure to comply with any national primary
drinking water regulations to the state within 48 h.
DW.50.4. Public water
systems which are required to
sample quarterly for
disinfection byproducts,
disinfectants, and disinfection
byproducts precursors
(DBPPs) must meet specific
reporting requirements (40
CFR 141.134).
Verify that systems required to sample quarterly or more frequently for
disinfection byproducts, disinfectants, and DBPPs report to the state within 10
days after the end of each quarter in which samples were collected.
Verify that systems required to sample less frequently than quarterly report to the
state within 10 days after the end of each monitoring period in which samples were
collected.
Verify that the information in Appendix M of this document is reported, as
applicable.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
36
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
DW.50.5. As of January 1,
2002, Subpart H systems
serving at least 10,000 people
that provide filtration are
required to report specific
information to the state (40
CFR 141.175).
Verify that systems that provide conventional filtration treatment or direct
filtration report the following monthly:
-turbidity measurements are reported within 10 days after the end of each
month the system serves water to the public and includes:
- the total number of filtered water turbidity measurements taken during
the month
-the number and percentage of filtered water turbidity measurements
taken during the month that are less than or equal to the turbidity limits
-the date and value of any turbidity measurements taken during the
month which exceed 1 NTU, or which exceed the maximum level set by
the state
-that they have conducted individual filter turbidity monitoring, within 10
days after the end of each month that the system serves water to the public
- individual filter turbidity measurement results, within 10 days after the end of
each month that the system serves water to the public only if measurements
demonstrate one or more of the following conditions:
-for any individual filter that has a measured turbidity level of > 1.0
NTU in two consecutive measurements taken 15 min apart, the system
reports the filter number, the turbidity measurement, and the date on
which the exceedance occurred. In addition, the system must either
produce a filter profile for the filter within 7 days of the exceedance (if
the system is not able to identify an obvious reason for the abnormal
filter performance) and report that the profile has been produced or
report the obvious reason for the exceedance
-for any individual filter that has a measured turbidity level of > 0.5
NTU in two consecutive measurements taken 15 min apart at the end of
the first 4 h of continuous filter operation after the filter has been
backwashed or otherwise taken offline, the system reports the filter
number, the turbidity, and the date(s) on which the exceedance
occurred. In addition, the system must either produce a filter profile for
the filter within 7 days of the exceedance (if the system is not able to
identify an obvious reason for the abnormal filter performance) and
report that the profile has been produced or report the obvious reason
for the exceedance
-for any individual filter that has a measured turbidity level of > 1.0
NTU in two consecutive measurements taken 15 min apart at any time
in each of 3 consecutive months, the system reports the filter number,
the turbidity measurement, and the date on which the exceedance
occurred. In addition, the system conducts a self-assessment of the filter
within 14 days of the exceedance and reports that the self-assessment
was conducted
-for any individual filter that has a measured turbidity level of > 2.0
NTU in two consecutive measurements taken 15 min apart at any time
in each of 2 consecutive months, the system reports the filter number,
the turbidity measurement, and the date on which the exceedance
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
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REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
occurred. In addition, the system arranges for the conduct of a
comprehensive performance evaluation by the state or a third party
approved by the state no later than 30 days following the exceedance
and have the evaluation completed and submitted to the state no later
than 90 days following the exceedance.
Verify that systems maintain the results of individual filter monitoring for at least 3
yr.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
COMMUNITY WATER
SYSTEMS
DW.70
Standards
(NOTE: A community water system is a public water system that serves at least 25
people year round in their primary residences. Community water systems must
also comply with the standards for public water systems (see DW.10.1 through
DW.50.5). See Checklist User Guidance on page 11 of this document to
determine which checklist items are applicable to the facility being audited.)
DW.70.1. Community water
systems are required to meet
specific MCLs for inorganic
and organic chemicals,
fluorides, radium 226,
radium-228, gross alpha
particle radio activity, beta
particles, and photon
radioactivity from manmade
radionuclides (40 CFR
141.11(a), 141.11(b), 141.12,
141.15, 141.16(a), and 141.60
through 141.62).
Verify that combined radium-226 and radium-228 do not exceed 5 pCi/L.
Verify that gross alpha particle radioactivity does not exceed 15 pCi/L.
Verify that the average annual concentration of beta particles and photon
radioactivity from manmade radionuclides does not produce an average dose rate
equal to the total body or any internal organ greater than 4 mrem/yr.
Verify that the MCL of 4.0 mg/L for fluoride is not exceeded.
Verify that the MCLs outlined in Appendix A and Appendix B of this document
are not exceeded.
DW.70.2. Community water
systems are required to meet
specific MCLs for
microbiological contaminants
(40 CFR 141.63).
Verify that systems which collect at least 40 bacteriological samples per month
have no more than 5 percent of the samples collected during a month that are total
coliform positive.
Verify that systems which collect less than 40 bacteriological samples per month
have no more than one sample collected per month that is total coliform positive.
Verify that there are no fecal coliform-positive repeat samples or E. co//'-positive
repeat samples, or any total coliform-positive repeat samples following a fecal
coliform-positive or E coft-positive routine sample.
DW.70.3. Community water
systems are required to meet
specific MCLs and MRDLs
related to disinfection (40
CFR 141.64 and 141.65).
Verify that community water systems meet the MCL for disinfection by-products
and the MRDLs outlined in Appendix K of this document.
(NOTE: This requirements applies to Subpart H systems serving 10,000 or more
persons beginning January 1, 2002. Subpart H systems serving fewer than 10,000
persons and systems using only groundwater not under the direct influence of
surface water must comply with this section beginning January 1, 2004.)
(NOTE: A system that is installing GAC or membrane technology to comply with
MCL requirements may apply to the state for an extension of up to 24 mo past the
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
compliance dates, but not beyond January 1, 2004. In granting the extension, states
must set a schedule for compliance and may specify any interim measures that the
system must take. Failure to meet the schedule or interim treatment requirements
constitutes a violation of a National Primary Drinking Water Regulation.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
40
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
COMMUNITY WATER
SYSTEMS
DW.80
Monitoring/Sampling
DW.80.1. Community water
systems are required to meet
specific monitoring
requirements for inorganic
contaminants (40 CFR
141.23(a)).
REVIEWER CHECKS
(NOTE: A community water system is a public water system that serves at least 25
people year round in their primary residences. Community water systems must
also comply with the standards for public water systems (see DW.10.1 through
DW.50.5). See Checklist User Guidance on page 11 of this document to
determine which checklist items are applicable to the facility being audited.)
Verify that groundwater systems:
- take a minimum of one sample at every entry point to the distribution system
which is representative of each well after treatment (a sampling point)
beginning in the compliance period starting January 1, 1993
- take each sample at the same sampling point unless conditions make another
sampling point more representative of each source or treatment plant.
Verify that surface water systems:
- take a minimum of one sample at every entry point to the distribution system
after any application of treatment or in the distribution system at a point that
is representative of each source after treatment (a sampling point) beginning
in the compliance period starting January 1, 1993
- takes each sample at the same sampling point unless conditions make another
sampling point more representative of each source or treatment plant.
(NOTE: In relation to these requirements, surface water systems include systems
with a combination of surface and ground sources.)
Verify that if the system draws water from more than one source and the sources
are combined before distribution, the system samples at an entry point to the
distribution system during periods of normal operating conditions.
(NOTE: The state may reduce the total number of samples which must be
analyzed by allowing the use of compositing. Composite samples from a
maximum of five sampling points are allowed if the detection limit of the method
used for analysis is less than one fifth the MCL and compositing is done in a
laboratory.)
Verify that if the concentration in a composite sample is greater than or equal to
one- fifth of the MCL of any inorganic chemical, a followup sample is analyzed
within 14 days from each sampling point included in the composite and analyzed
for the contaminants which exceeded one fifth of the MCL in the composite
sample.
(NOTE: Detection limits for each analytical methods and MCLs for each
inorganic contaminant are listed in Appendix C of this document.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that for groundwater systems, inorganic monitoring is repeated at least once
every compliance period (every 3 yr), and samples are taken quarterly for at least
two quarters if a MCL is violated.
Verify that for surface water systems, inorganic sampling is repeated annually and
samples are taken quarterly for at least four quarters if a MCL is violated.
(NOTE: The state may issue a waiver reducing the required monitoring.)
DW.80.2. Community water
systems are required to meet
specific monitoring
requirements for asbestos (40
CFR 141.23(b)).
Verify that asbestos is monitored during the first 3-yr compliance period of each 9-
yr compliance cycle starting January 1, 1993.
(NOTE: The community water system may apply to the state for a waiver of
monitoring if they believe that asbestos is not an issue.)
Verify that if the system is vulnerable to asbestos contamination only because of
corrosion of asbestos-cement pipe, one sample is taken at a tap served by asbestos-
cement pipe and under conditions where asbestos contamination is most likely to
occur.
Verify that if the system is vulnerable to asbestos contamination due to both its
source water supply and corrosion of asbestos-cement pipe, one sample is taken at
a tap served by asbestos-cement pipe and under conditions where contamination is
most likely to occur.
Verify that when the MCL is exceeded, monitoring is done quarterly.
DW.80.3. Community water
systems are required to meet
specific monitoring
requirements for antimony,
barium, beryllium, cadmium,
chromium, cyanide, fluoride,
mercury, nickel, selenium, and
thallium (40 CFR 141.23(c)).
Verify that monitoring is done as follows:
-groundwater systems: take one sample at each sampling point during each
compliance period
-surface water systems (or combined surface/ground): take one sample
annually at each sampling point
- when MCLs are exceeded, monitoring is done quarterly.
(NOTE: States may grant a public water system a waiver for the monitoring of
cyanide.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
DW.80.4. All community
water systems are required to
conduct monitoring to
determine compliance for
nitrate and nitrite levels
according to specific
parameters (40 CFR
141.23(d)andl41.23(e)).
Verify that the following schedules are met for monitoring of nitrate:
- community water systems served by groundwater monitor annually starting
January 1, 1993
- community water systems served by surface water monitor quarterly starting
January 1, 1993.
Verify that when the MCL for nitrate is exceeded community water systems do
repeat monitoring quarterly for at least 1 yr following any one sample in which the
concentration exceeds more than 50 percent of the MCL.
(NOTE: After the initial round of quarterly sampling is completed, each
community system which is monitoring annually shall take the subsequent samples
during the quarters which previously resulted in the highest analytical result.)
Verify that public water systems take one sample at each sampling point in the
compliance period beginning January 1, 1993 and ending December 31, 1995 for
nitrite.
(NOTE: After the initial sample, systems where an analytical result for nitrite is
less than 50 percent of the MCL will monitor at the frequency specified by the
state.)
Verify that community systems repeat monitoring for nitrites quarterly for at least
1 yr after any one sample is greater than 50 percent of the MCL.
Verify that systems which are monitoring annually for nitrites take each
subsequent sample during the quarters which previously resulted in the highest
analytical result.
Verify that, when nitrate or nitrite samples indicate an exceedance of the MCL, a
confirmation sample is taken within 24 h of receipt of the results.
(NOTE: If the system is unable to take a confirmation sample within 24 h, it must
notify consumers of the exceedance and must take and analyze a confirmation
sample within 2 weeks.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
DW.80.5. Beginning with the
initial compliance period,
monitoring of the MCLs at
community water systems (see
Table 2 of Appendix A of this
document) is required to be
done according to specific
parameters (40 CFR
141.24(f)).
Verify that groundwater systems take a minimum of one sample at every entry
point of the distribution system which is representative of each well after
treatment.
Verify that surface water systems (or combined surface/ground) take a minimum
of one sample at points in the distribution system that are representative of each
source or at each entry point to the distribution system after treatment.
(NOTE: For both groundwater and surface water systems, each sample must be
taken at the same sampling point unless conditions make another sampling point
more representative of each source, treatment plant, or within the distribution
system.)
Verify that if the system draws water from more than one source and the sources
are combined before distribution, the system samples at an entry point to the
distribution system during periods of normal operating conditions.
Verify that each community water system takes four consecutive quarterly samples
for each contaminant, except vinyl chlorides.
(NOTE: If the initial monitoring for contaminants is completed by December
1992 and none of the contaminants listed are found, then each system shall take
one sample annually starting with the initial compliance period.)
(NOTE: After a minimum of 3 yr of sampling, the state may reduce the number of
samples to one each compliance period.)
Verify that if a contaminant, except vinyl chloride, is detected at a level exceeding
0.0005 mg/L in any sample, the system monitors quarterly at each sampling point
which resulted in a detection.
Verify that groundwater systems which have detected one or more of the following
two-carbon organic compounds; trichloroethylene, tetrachloroethylene, 1,2-
dichloroethane, 1,1,1-trichloroethane, cis-l,2-dichloroethylene, trans-1,2-
dichloroethylene, or 1,1-dichloroethylene monitor quarterly for vinyl chlorides at
each sampling point at which one or more of the two-carbon organic compounds
was detected.
Verify that when the MCLs are exceeded, monitoring is conducted quarterly until
the state determines that the system is reliably and consistently below the MCL.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
DW.80.6. Monitoring for
organic contaminants at
community water systems
(see Table 3 of Appendix A of
this document) is required to
be done according to specific
parameters (40 CFR
141.24(h)).
REVIEWER CHECKS
Verify that groundwater systems take a minimum of one sample at every entry
point to the distribution system which is representative of each well after
treatment.
Verify that surface water systems (or surface/ground) take a minimum of one
sample at points in the distribution system that are representative of each source or
at each entry point to the distribution system after treatment.
(NOTE: For both groundwater and surface water systems, each sample must be
taken at the same sampling point unless conditions make another sampling point
more representative of each source, treatment plant, or within the distribution
system.)
Verify that, if the system draws water from more than one source and the sources
are combined before distribution, the system samples at an entry point to the
distribution system during periods of normal operating conditions.
Verify that each community water system takes four consecutive quarterly samples
for each contaminant during each compliance period starting with the initial
compliance period.
(NOTE: Systems serving more than 3300 persons that do not detect a contaminant
in the initial compliance period may reduce sampling to two quarterly samples in 1
yr during each repeat compliance period.)
(NOTE: Systems serving less than or equal to 3300 person that do not detect a
contaminant in the initial compliance period may reduce sampling to one sample
during each repeat compliance period.)
Verify that, when an organic contaminant is detected (see Appendix D of this
document), the system monitors quarterly at each sampling point that resulted in a
detection.
Verify that, if monitoring results in detection of one or more of aldicarb, aldicarb
sulfone, aldicarb sulfoxide, heptchlor, and heptchlor epoxide, then subsequent
monitoring analyzes for all related contaminants.
(NOTE: The state may reduce the number of samples required and/or the
frequency of sampling.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
DW.80.7. Community
systems are required to
monitor for specific
unregulated contaminants (40
CFR 141.35 and 141.40(a)(l),
141.40(a)(4) through
141.40(a)(7)).
(NOTE: The requirements outlined in this checklist item become effective
January 1, 2001.)
Verify that a wholesale or retail public water system that serves more than 10,000
persons, as determined by the state, and does not purchase their entire water
supply from another public water system, monitors as follows:
-for the unregulated contaminants on Table 1 of Appendix E of this document
-for the unregulated contaminants on Table 2 of Appendix E of this document
if notified by the state or U.S. EPA that the system is part of the Screening
Surveys
- for the unregulated contaminants on Table 3 of Appendix E of this document
if notified by the state or U.S. EPA that you are part of the Pre-Screen
Testing
Verify that a wholesale or retail public water system that serves more than 10,000
persons, as determined by the state, and does purchase their entire water supply
from another public water system, monitors as follows:
-for the unregulated contaminants on Table 1 of Appendix E of this document
that have a "sampling location" indicated as "distribution system"
-for the unregulated contaminants on Table 2 of Appendix E of this
document that have a "sampling location" indicated as "distribution system"
if notified by the state or U.S. EPA that system is a part of the Screening
Surveys
-for the unregulated contaminants on Table 3 of Appendix E of this document
that have a "sampling location" indicated as "distribution system" if notified
by the state or U.S. EPA that the system is a part of the Pre-Screen Testing.
Verify that, a water system that serves 10,000 or fewer persons that does not
purchase their entire water supply from another public water system, monitors as
follows:
-for the unregulated contaminants on Table 1 of Appendix E of this document
if the system is notified by the state or U.S. EPA that they are part of the state
Monitoring Plan for small systems
-for the unregulated contaminants on Table 2 of Appendix E of this document
if the system is notified by the state or U.S. EPA that they are part of the
Screening Surveys
-for the unregulated contaminants on Table 3 of Appendix E of this document
if the system is notified by the state or U.S. EPA that they are part of the Pre-
Screen Testing.
Verify that, a water system that serves 10,000 or fewer persons and purchases their
entire water supply from a wholesale public water system, monitors as follows:
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
46
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
-for the unregulated contaminants on Table 1 of Appendix E of this document
that have a "sampling location" indicated as "distribution system" if the
system is notified by the state or U.S. EPA that they are part of the state
Monitoring Plan for small systems
-for the unregulated contaminants on Table 2 of Appendix E of this document
that have a "sampling location" indicated as "distribution system" if the
system is notified by the state or U.S. EPA that they are part of the Screening
Surveys
-for the unregulated contaminants on Table 3 of Appendix E of this document
that have a "sampling location" indicated as "distribution system" if the
system is notified by the state or U.S. EPA that they are part of the Pre-
Screen Testing.
Verify that for Table 1, Appendix E of this document, monitoring is conducted as
follows for all community water systems:
-collect samples of the listed contaminants according to the 40 CFR
141.40(a)(5) and appendix A of 40 CFR 141.40 and any other specific
instructions provided by the state or U.S. EPA
- analyze the additional parameters specified in Table 4 of Appendix E of this
document, "Water Quality Parameters to be Monitored with UCMR
Contaminants" for each relevant contaminant type
- review the laboratory testing results to ensure reliability
-report the results as specified in 40 CFR 141.35 (see checklist item
DW.80.8).
Verify that, for large systems, arrangements are made for testing of the samples for
each contaminant in Table 1 of Appendix E of this document according to the
methods specified in appendix A of 40 CFR 141.40.
Verify that, for small systems, unless directed otherwise by the state or U.S. EPA,
the following are also done:
- properly receive, store, maintain and use the sampling equipment sent from
the laboratory designated by U.S. EPA
- sample at the times specified by the state or the U.S. EPA
-collect and pack samples in accordance with the instructions sent by the
laboratory designated by U.S. EPA
- send the samples to the laboratory designated by U.S. EPA.
Verify that, unless the state or U.S. EPA informs the system of other sampling
arrangements, all community water systems meet the following:
- if shipping the samples for testing, collect the samples early enough in the
day to allow adequate time to send the samples for overnight delivery to the
laboratory since some samples must be processed at the laboratory within 30
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
47
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
h of collection
- do not collect samples on Friday, Saturday or Sunday because sampling on
these days would not allow samples to be shipped and received at the
laboratory within 30 h
-do not composite (that is, combine, mix or blend) the samples, collect,
preserve and test each sample separately
-after receiving the laboratory results, review and confirm the system
information and data regarding sample collection and test results
-report the results as provided in 40 CFR 141.35 (see checklist item
DW.80.8).
Verify that large systems collect, analyze, and test samples according to the
timeframes, frequencies, methodologies in Table 1 of Appendix E of this
document.
(NOTE: If a sample is not collected according to the specified procedures for a
listed contaminant, resampling must be done within 14 days of observing the
occurrence of the error (which may include notification from the laboratory that
resample must be done) following the procedures specified for the method.)
Verify that, unless otherwise directed by the state or U.S. EPA, small systems:
-collect samples at the times specified for you by the state or U.S. EPA,
within one 12-mo period during the years indicated in Table 1, Appendix E
of this document and according to the frequency in Table 5, Appendix E of
this document
- collect samples at the locations specified by the state or U.S. EPA.
- report when a sample is not collected according to provided instructions
-store and maintain the sample collection kits sent by U.S. EPA's designated
laboratory in a secure place until used for sampling.
- comply with the instructions sent by the state or U.S. EPA concerning the use
of containers, collection (how to fill the sample bottle), dechlorination and/or
preservation, and sealing and preparing the sample and shipping containers
for shipment
- comply with the instructions sent to you by U.S. EPA's designated laboratory
concerning the handling of sample containers for specific contaminants
- completely fill out the sampling forms
- sign and date the sampling forms.
- send the samples and the sampling forms to the laboratory designated in your
instructions.
Verify that if the system is selected as an index system in the state Monitoring
Plan, the system assists the state or U.S. EPA in identifying appropriate sampling
locations and provides information on which wells and intakes are in use at the
time of sampling, well casing and screen depths (if known) for those wells, and the
pumping rate of each well or intake at the time of sampling.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that, if a large system is selected for the Screening Surveys or Pre-Screen
Testing, the system:
- collects and arranges for testing of the contaminants in Table 2 and Table 3
of Appendix E of this document
-sends the samples to one of the laboratories designated by U.S. EPA in the
notification
-report the test results to U.S. EPA, and provide a copy to the state, as
specified in 40 CFR 141.35.
Verify that, if a small system is selected for the Screening Surveys or Pre-Screen
Testing, the system collects samples in accordance with the instructions sent by the
state or U.S. EPA, or, if informed by the state or U.S. EPA that the state or U.S.
EPA will collect the sample, you must assist the state or U.S. EPA in identifying
the appropriate sampling locations and in taking the samples.
(NOTE: U.S. EPA will report the test results to you and the state.)
DW.80.8. The reporting of
unregulated contaminant
monitoring results must be
done according to certain
parameters by community
water systems (40 CFR
141.35).
(NOTE: Community water systems serving a population of 10,000 or less are not
required to report since U.S. EPA will arrange for testing and reporting of the
results. However, the system will still need to comply with consumer confidence
reporting and public notification requirements for these results.)
Verify that the results of the unregulated contaminant monitoring (see checklist
item DW.80.7) are provided to U.S. EPA and a copy to the state.
Verify that results are reported within 30 days following the month in which the
system received the results from the laboratory.
(NOTE: U.S. EPA will place the data in the national drinking water contaminant
occurrence database 60 days after the data is reported to allow for quality control
review by systems and states.)
Verify that the report includes information for each sample, and for each spiked
sample and spike duplicate sample analyzed for quality control purposes and
associated with each sample and its sample batch.
(NOTE: See Appendix F of this document for details on the report content.)
Verify that the information is reported in the electronic or other format specified
by U.S. EPA.
(NOTE: The laboratory to which samples were sent can report the results for the
system as long as the laboratory sends the system a copy for review and
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
recordkeeping. However, the system is responsible for the reporting of the
information and ensuring that the laboratory reports these results to U.S. EPA,
with a copy to the state, on time.)
(NOTE: Previously collected data can be reported for the unregulated
contaminants as long as the data meets the requirements detailed in 40 CFR
141.40 (see checklist itemDW.80.7.)
DW.80.9. Community water
systems are required to
monitor for total conforms at
a frequency based on the
population served by the
system (40 CFR 141.21(a)(2)
and 141.21(a)(4)).
Verify that the community water system is sampling according to the sampling
frequency in Appendix G of this document.
Verify that samples are collected at regular time intervals throughout the month;.
(NOTE: A system which uses only groundwater (except groundwater under the
direct influence of surface water) and serves 4900 persons or fewer may collect all
required samples in a single day if they are taken from different sites.)
DW.80.10. Community water
systems are required to
monitor for radioactivity (40
CFR 141.25 and 141.26).
Verify that compliance for standards of gross alpha particle activity, radium-226,
and radium-228 are based on an annual composite of four consecutive samples
that are obtained at quarterly intervals or the average of the analyses of four
samples obtained at quarterly intervals.
(NOTE: A gross alpha particle activity measurement may be substituted for the
required radium-226 and radium-228 analysis if the measured gross alpha particle
activity does not exceed 5 pCi/L at a confidence level of 95 percent.)
Verify that when the gross alpha particle activity exceeds 5 pCi/L the same or an
equivalent sample is analyzed for radium-226 and if the concentration of radium-
226 exceeds 3 pCi/L, the same or equivalent sample is analyzed for radium-228.
Verify that suppliers of water monitor for gross alpha particle activity, radium-226
and radium-228 every 4 yr and within 1 yr of the introduction of a new water
source for a community water system.
(NOTE: The state may order additional samples, waive required samples and
impose additional requirements.)
Verify that if the MCL for gross alpha particle activity or total radium is exceeded
and the facility is the supplier of a community water system, the installation
notifies the state and the public of the exceedance.
Verify that systems using surface water sources and serving more than 100,000
persons are initially monitored quarterly for compliance with manmade
radioactivity limitations and after the initial analysis, monitoring is done at least
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
every 4 yr.
Verify that suppliers of any community water system using waters contaminated
by nuclear facilities initiate quarterly monitoring for gross beta particle and iodine-
131 radioactivity and annual monitoring for strontium-90 and tritium.
DW.80.11. Community water
systems that add a disinfectant
to the water are required to
analyze for TTHM (40 CFR
141.30).
(NOTE: The minimum number of samples that is required is based on the number
of treatment plants used by the system.)
Verify that community water systems serving a population of 10,000 or more
individuals that add a disinfectant to the water and use surface water sources or
only groundwater sources analyze for total TTHM on a quarterly basis on at least
four samples.
(NOTE: The state may reduce monitoring frequency.)
(NOTE: These requirements apply to community water systems that are required
to perform disinfection/filtration and that serve a population of 10,000 or more
until January 1, 2002. The requirements also apply to community water systems
that use only groundwater not under the direct influence of surface water that add a
disinfectant (oxidant) in any part of the treatment process and serve a population
of 10,000 or more until January 1, 2004. After January 1, 2004, this is no longer
applicable.)
DW.80.12. Community public
water systems are required to
analyze for sodium (40 CFR
141.41).
Verify that one sample is taken per plant at the entry point of the distribution
system annually for systems using surface water in whole or in part and every 3 yr
for systems using solely groundwater sources.
Verify that the results of the sampling were reported to the U.S. EPA and/or state
within 10 days following the end of the required monitoring period or within the
first 10 days of the month following the month in which the sample was taken.
DW.80.13. Community water
systems are required to
identify whether certain
construction materials are
present in their distribution
system and report to the state
(40 CFR 141.42(d)).
Verify that the community water supply system identifies whether the following
construction materials are present in their distribution system and reports to the
state:
-lead from piping, solder, caulking, interior lining of distribution mains,
alloys, and home plumbing
- copper from piping and alloys, service lines, and home plumbing
- galvanized piping, service lines, and home plumbing
- ferrous piping materials such as cast iron and steel
- asbestos cement pipe.
(NOTE: States may require identification and reporting of other materials.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
DW.80.14. Community water
systems that add a chemical
disinfectant to the water in
any part of the drinking water
process or supply water
containing a chemical
disinfectant are required to
meet specific monitoring
requirements for disinfection
byproducts and disinfection
byproduct precursors
(DBPP).(40 CFR
141.130(a)(l), 141.130(b),
141.131, 141.132(a),
141.132(b), and!41.132(d)).
(NOTE: This requirements applies to Subpart H systems serving 10,000 or more
persons beginning January 1, 2002. Subpart H systems serving fewer than 10,000
persons and systems using only groundwater not under the direct influence of
surface water must comply with this section beginning January 1, 2004.)
Verify that all samples are taken during normal operating conditions and according
to the required monitoring plan.
(NOTE: Systems may consider multiple wells drawing water from a single aquifer
as one treatment plant for determining the minimum number of TTHM and HAAS
samples required, if the state approves.)
Verify that monitoring for TTHM and HAAS is done at the frequency, either
routine or reduced as appropriate, outlined in Appendix L of this document.
Verify that sample analysis is done using appropriate methodology.
Verify that for systems on a reduced monitoring schedule, the average of all
samples taken in the year (for systems that must monitor quarterly) or the result of
the sample (for systems that must monitor no more frequently than annually) is no
more than 0.060 mg/L for TTHMs and 0.045 mg/L HAAS.
Verify that, if the required averages for systems on a reduced monitoring schedule
are not met, the system returns to routine monitoring in the quarter immediately
following the quarter in which the system exceeded the required averages.
(NOTE: The state may return a system to routine monitoring at the state's
discretion.)
Verify that community water systems using chlorine dioxide, for disinfection or
oxidation, perform the following monitoring:
- daily samples at the entrance to the distribution system plus, when the daily
sample exceeds the chlorite MCL, three additional samples in the
distribution system the following day at the entrance to the distribution
system, as close to the first customer as possible, in a location representative
of average residence time, and as close to the end of the distribution system
as possible
- a monthly three-sample set in the distribution system near the first customer,
at a location representative of average residence time, and at a location
reflecting maximum residence time in the distribution system.
Verify that daily chlorite monitoring at the entrance to the distribution system is
not reduced.
(NOTE: Monthly chlorite monitoring in the distribution system may be reduced to
one three-sample set per quarter after 1 yr of monitoring where no individual
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
chlorite sample taken in the distribution system exceeds the chlorite MCL and the
system has not been required to conduct additional monitoring in response to a
exceedance in the daily samples. The system may remain on the reduced
monitoring schedule until either any of the three individual chlorite samples taken
quarterly in the distribution system exceeds the chlorite MCL or the system is
required to conduct additional monitoring in response to a exceedance in the daily
samples.)
Verify that systems using ozone, for disinfection or oxidation, take one sample per
month for each treatment plant in the system using ozone at the entrance to the
distribution system, while the ozonation system is operating under normal
conditions.
(NOTE: Systems required to analyze for bromate may reduce monitoring from
monthly to once per quarter, if the system demonstrates that the average source
water bromide concentration is < 0.05 mg/L based upon representative monthly
bromide measurements for 1 yr. The system may remain on reduced bromate
monitoring until the running annual average source water bromide concentration,
computed quarterly, is =/> 0.05 mg/L based upon representative monthly
measurements. If the running annual average source water bromide concentration
is >/= 0.05 mg/L, the system must resume routine monitoring.)
Verify that Subpart H systems that use conventional filtration treatment monitor
for TOC no later than the point of combined filter effluent turbidity monitoring
and representative of the treated water.
Verify that all systems using conventional filtration also monitor for TOC in the
source water prior to any treatment at the same time as monitoring for TOC in the
treated water.
(NOTE: These samples (source water and treated water) are referred to as paired
samples. At the same time as the source water sample is taken, all systems must
monitor for alkalinity in the source water prior to any treatment. Systems must take
one paired sample and one source water alkalinity sample per month per plant at a
time representative of normal operating conditions and influent water quality.)
(NOTE: Subpart H systems with an average treated water TOC of less than 2.0
mg/L for 2 consecutive years, or less than 1.0 mg/L for one year, may reduce
monitoring for both TOC and alkalinity to one paired sample and one source water
alkalinity sample per plant per quarter. The system must revert to routine
monitoring in the month following the quarter when the annual average treated
water TOC >/= 2.0 mg/L.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
DW.80.15. Community water
systems that add a chemical
disinfectant to the water in
any part of the drinking water
process or distribute supply
water containing a chemical
disinfectant are required to
meet specific monitoring
requirements for disinfection
residuals (40 CFR
141.130(a)(l), 141.130(b),
141.131, 141.132(a)(l), and
(NOTE: This requirements applies to Subpart H systems serving 10,000 or more
persons beginning January 1, 2002. Subpart H systems serving fewer than 10,000
persons and systems using only groundwater not under the direct influence of
surface water must comply with this section beginning January 1, 2004.)
Verify that all samples are taken during normal operating conditions and according
to the required monitoring plan.
Verify that sample analysis is done using appropriate methodology.
Verify that systems using chlorine and/or chloramines measure the residual
disinfectant level at the same points in the distribution system and at the same time
as total conforms are sampled.
(NOTE: Subpart H systems may use the results of residual disinfectant
concentration sampling conducted under 40 CFR 141.74(b)(6)(i) for unfiltered
systems or 40 CFR 141.74(c)(3)(i) for systems that filter, in lieu of taking separate
samples.)
Verify that monitoring is not reduced when using chlorine and/or chloramine.
Verify that systems using chlorine dioxide for disinfection or oxidation take daily
samples at the entrance to the distribution system.
(NOTE: When a daily chlorine dioxide sample exceeds the MRDL, samples are
required to be taken in the distribution system the following day at the entrance to
the distribution system plus three additional chlorine dioxide distribution samples.
If chlorine dioxide or chloramines are used to maintain a disinfectant residual in
the distribution system, or if chlorine is used to maintain a disinfectant residual in
the distribution system and there are no disinfection addition points after the
entrance to the distribution system (i.e., no booster chlorination), the system must
take three samples as close to the first customer as possible, at intervals of at least
6 h. If chlorine is used to maintain a disinfectant residual in the distribution system
and there are one or more disinfection addition points after the entrance to the
distribution system (i.e., booster chlorination), the system must take one sample as
close to the first customer as possible, in a location representative of average
residence time, and as close to the end of the distribution system as possible,)
Verify that monitoring is not reduced when using chlorine dioxide.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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COMPLIANCE CATEGORY
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
DW.80.16. Community water
systems that add a chemical
disinfectant to the water in
any part of the drinking water
process are required to have a
monitoring plan (40 CFR
141.130(a)(l), 141.130(b),
141.131, 141.132(a), and
(NOTE: This requirements applies to Subpart H systems serving 10,000 or more
persons beginning January 1, 2002. Subpart H systems serving fewer than 10,000
persons and systems using only groundwater not under the direct influence of
surface water must comply with this section beginning January 1, 2004.)
Verify that the system has developed and maintains a monitoring plan.
(NOTE: The plan must be made available for inspection by the state and the
general public no later than 30 days following applicable compliance dates.)
Verify that all Subpart H systems serving more then 3300 people submit a copy of
the plan to the state .
Verify that the plan includes, at a minimum:
-specific locations and schedules for collecting samples for any required
parameters
-how the system will calculate compliance with MCLs, MRDLs, and
treatment techniques
- if approved for monitoring as a consecutive system, or as providing water to
a consecutive system, the plan reflects the entire distribution system.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
COMMUNITY WATER
SYSTEMS
DW.90
Notifications
(NOTE: A community water system is a public water system that serves at least 25
people year round in their primary residences. Community water systems must
also comply with the standards for public water systems (see DW.10.1 through
DW.50.5). See Checklist User Guidance on page 11 of this document to
determine which checklist items are applicable to the facility being audited.)
DW.90.1. Community water
systems that exceed the
secondary MCL of 2.0 mg/L
for fluoride but not the MCL
of 4.0 mg/L are required to
notify specific individuals (40
CFR 143.5).
Verify that notice, including the required language, has been provided to the
following:
- all billing units annually
- all new billing units at the time service begins
- the state public health officer.
(NOTE: A copy of the text of the notice is found in 40 CFR 143.5(b).)
DW.90.2. Community water
systems are required to deliver
to their customers annual
consumer confidence reports
(40 CFR 141.151 through
141.155).
Verify that the community water system delivers annual consumer confidence
reports to their customers by July 1 of each year.
Verify that the reports must contain information on the quality of the water
delivered by the systems and characterize the risks (if any) from exposure to
contaminants detected in the drinking water in an accurate and understandable
manner.
Verify that one copy is delivered to each customer and the reports are made
available to the public upon request.
Verify that, no later than the date the system is required to distribute the report to
its customers, each community water system mails a copy of the report to the
primacy agency, followed within 3 mo by a certification that the report has been
distributed to customers, and that the information is correct and consistent with the
compliance monitoring data previously submitted to the primacy agency.
Verify that, no later than the date the system is required to distribute the report to
its customers, each community water system delivers the report to any other
agency or clearinghouse identified by the primacy agency.
Verify that each community water system serving 100,000 or more persons posts
its current year's report to a publicly-accessible site on the Internet.
Verify that the community water system keeps copies of the report for no less than
5yr.
(NOTE: See Appendix H of this document for information on the contents of the
report.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
(NOTE: Each existing community water system must deliver its first report by
October 19, 1999, its second report by July 1, 2000, and subsequent reports by
July 1 annually thereafter. The first report must contain data collected during, or
prior to, calendar year 1998. Each report thereafter must contain data collected
during, or prior to, the previous calendar year. A new community water system
must deliver its first report by July 1 of the year after its first ftill calendar year in
operation and annually thereafter. A community water system that sells water to
another community water system must deliver the applicable required information
to the buyer system: no later than April 19, 1999, by April 1, 2000, and by April 1
annually thereafter; or on a date mutually agreed upon by the seller and the
purchaser, and specifically included in a contract between the parties.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
COMMUNITY WATER
SYSTEMS
DW.100
Lead and Copper
(NOTE: A community water system is a public water system that serves at least 25
people year round in their primary residences. Community water systems must
also comply with the standards for public water systems (see DW.10.1 through
DW.50.5). See Checklist User Guidance on page 11 of this document to
determine which checklist items are applicable to the facility being audited.)
DW.100.1. Monitoring for
lead and copper is required to
start on a specified date and
be done at a specified number
of sites (see the chart in
Appendix I of this document
(40 CFR 141.80(h), 141.86(a)
through 141.86(d)).
Verify that sample sites have been selected and sampling started as of the dates
indicated in Appendix I of this document.
Verify that monitoring is done according to the schedules outlined in 40 CFR
141.86 and as required by the state.
Verify that the procedures for sampling and granting of variances found in 40 CFR
141.86 are followed.
Verify that selected sampling sites (tier 1 sampling sites) consist of single family
structures that have one or both of the following:
-contain copper pipes with lead solder installed after 1982 or contain lead
pipes
- are served by a lead service line.
(NOTE: When multiple family residences comprise at least 20 percent of the
structure served by a water system, the system may include these types of
structures in its sampling pool.)
Verify that if there is insufficient tier 1 sampling sites, the sampling pool is
completed with tier 2 sites that consist of buildings, including multiple family
residences, that contain copper pipes with lead solder installed after 1982 or
contain lead pipes; and/or are served by a lead service line.
Verify that if there are insufficient tier 1 and tier 2 sites, the sample is completed
with tier 3 sites consisting of single family structures that contain copper pipes
with lead solder installed before 1983.
Verify that for initial tap sampling, all large water systems monitor for two
consecutive 6 mo periods and all small and medium-size water systems monitor
during each 6 mo period until:
- the system exceeds the lead or copper action levels and is then required to
implement corrosion control treatment
- the system meets the lead and copper action levels during two consecutive 6-
mo monitoring periods.
(NOTE: A small or medium-sized water system that meets the lead and copper
action levels during each of two consecutive 6-mo monitoring periods can reduce
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
the number of sampling sites and the frequency of sampling to once a year. If
action levels are met during 3 consecutive years of monitoring, the frequency may
be reduced to once every 3 yr.)
Verify that, after the installation of corrosion by January 1, 1997, large systems
conduct follow-up tap monitoring during two consecutive 6 mo periods by January
1, 1998.
Verify that, after the installation of corrosion control within 24 mo after being
required to do so by the state, small and medium systems conduct follow-up
monitoring for two consecutive 6- mo periods within 36 mo after being required to
install optimal corrosion control treatment.
Verify that after the state has designates water quality parameter values for optimal
corrosion control, large systems monitor at entry points bi-weekly and within the
distribution system every 6 mo.
(NOTE: After the state has designated water quality parameter values for optimal
corrosion control, small and medium systems are required to conduct monitoring
only when they exceed the lead or copper action level.)
Verify that, for all size systems, the first monitoring period for water quality
parameters began on the date the regulatory agency specifies the optimal value.
DW. 100.2. Community water
systems are required to meet
specific standards for lead and
copper action levels and
reporting requirements when
these levels are exceeded (40
CFR 141.80(a)(l) and
141.80(c)).
Verify that the concentration of lead does not exceed 0.015 mg/L in more than 10
percent of tap water samples collected during any monitoring period.
Verify that the concentration of copper does not exceed 1.3 mg/L in more than 10
percent of tap water samples collected during any monitoring period.
DW. 100.3. In reference to
lead and copper in water
systems, all water systems are
required to fulfill specific
reporting requirements (40
CFR 141.90).
Verify that water systems report sampling results for all tap water samples within
the first 10 days following the end of each monitoring period.
Verify that water systems report the sampling results for all source water samples
within the first 10 days following the end of each source water monitoring period.
Verify that the following reports are submitted as applicable:
- corrosion control treatment
- source water treatment
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
- lead service line replacement
- demonstration of public education program.
DW. 100.4. Community water
systems must educate their
users about lead in drinking
water systems (40 CFR
141.85 and 141.90(f)).
Verify that public education materials are distributed in the following manner
when a water system exceeds the lead action level based on tap water samples:
-the material is in the appropriate languages where languages other than
English are spoken by a significant proportion of the population
- within 60 days after exceeding the lead action level:
- notices are insert in each customer's water utility bill
-information is provided to the editorial departments of the major daily
and weekly newspapers circulated in the community
-pamphlets or brochures are delivered to pertinent facilities,
organizations, schools and medical centers
- public service announcements are submitted to at least five of the radio
and television stations broadcasting to the community.
Verify that the notification tasks are repeated every 6 mo for as long as a
community water system exceeds the lead action level.
(NOTE: The text of written materials and broadcast materials can be found in 40
CFR 141.85(a) and 141.85(b).)
Verify that by December 31st of each year, any water system that has had to issue
public education materials submits a letter to the state indicating that the system
has delivered the public education materials as required each year that the levels
are exceeded.
DW. 100.5. Water systems
that fail to meet the lead or
copper action levels are
required to meet specific
monitoring requirements (40
CFR 141.80(h) and 141.88).
Verify that systems that exceed lead or copper action levels at the tap collect one
source water sample from each entry point to the distribution system within 6 mo
after the exceedance.
Verify that systems which install source water treatment as required by the state
collects an additional source water sample from each entry point to the distribution
system during two consecutive 6-mo monitoring periods.
Verify that the system monitors as follows when the state specifies maximum
permissible source water levels:
-once during the 3-yr compliance period for water systems using only
groundwater
- annually for water systems using surface water or a combination of surface
and groundwater.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
(NOTE: Frequency of monitoring may be reduced by the state upon request.)
DW. 100.6. All large water
systems and all small and
medium size systems that
exceed the lead or copper
action level are required to
monitor for water quality
parameters in addition to lead
and copper at the taps (40
CFR 141.80(h) and 141.87).
Verify that monitoring for water quality parameters is done according to the
requirements outlined in Appendix J of this document.
DW. 100.7. Systems that
exceed the lead or copper
action level after corrosion
control is installed are
required to implement
applicable source water
treatment standards (40 CFR
141.80(e) and 141.83).
Verify that systems exceeding the lead or copper action level do lead and copper
source water monitoring and make a treatment recommendation to the state within
6 mo after exceeding the lead or copper action level.
Verify that if the state requires the installation of source water treatment, the
installation is done within 24 mo after the states initial response.
Verify that follow-up tap water monitoring and source water monitoring is
completed within 36 mo after the state's initial response.
DW. 100.8. Community water
systems are required to install
and operate optimal corrosion
control (40 CFR 141.80(d)
and 141.82).
Verify that the water system has corrosion control that minimizes the lead and
copper concentrations at users' taps while insuring that the treatment does not
cause the water system to violate any of the national primary drinking water
standards.
(NOTE: Please see 40 CFR 141.81 for design details for corrosion control
systems in relationship to the size of the water system.)
DW. 100.9. Community water
systems exceeding the lead
action level after
implementation of corrosion
control and source water
treatment requirements are
required to replace lead
service lines (40 CFR
141.80(f)andl41.84).
Verify that lead service line replacement, if required, is done according to the
schedules and parameters outlined in 40 CFR 141.84.
(NOTE: A system is not required to replace an individual lead service line if the
lead concentration in all service line samples from that line is less than or equal to
0.015 mg/L.)
(NOTE: Replacement of lead service lines can stop when the first draw samples
that are collected meet the lead action levels during two consecutive monitoring
periods and the system submits the results to the state.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
DW.100.10. All systems
subject to the lead and copper
requirements are required to
retain onsite all the original
records of sampling data,
analysis, reports, surveys,
letters, evaluations, state
determinations, and any other
pertinent documents for at
least 12 yr (40 CFR 141.80(j)
and 141.91).
Verify that records are kept onsite for 12 yr.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
NONCOMMUNITY
WATER SYSTEMS
DW.120
Standards
(NOTE: A noncommunity water system can be either a nontransient
noncommunity (NTNC) water system or a transient non-community water system.
Noncommunity water systems must also comply with the standards for public
water systems (see DW.10.1 through DW.50.5). See Checklist User Guidance on
page 11 of this document to determine which checklist items are applicable to the
facility being audited.)
DW.120.1. Noncommunity
water systems, must not
exceed a MCL for nitrate of
10 mg/L (40 CFR 141.11(d)
and 141.62(b)).
Verify that the nitrate level at noncommunity water systems does not exceed 10
mg/L.
Verify that the Nitrite level at noncommunity water systems does not exceed 1
mg/L.
Verify that the total nitrate and nitrite levels at noncommunity water systems do
not exceed 10 mg/L.
(NOTE: At the discretion of the state, nitrate levels not to exceed 20 mg/L may be
allowed in a noncommunity system if the supplier of the water demonstrates to the
satisfaction of the state that:
- such water will not be available to children under 6 mo of age
-there will be continuous posting of the fact that nitrate levels exceed 10 mg/L
and the potential health effects of exposure
- local and state public health officials are notified annually of nitrate levels
that exceed 10 mg/L
- no adverse health effects result.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
NONCOMMUNITY
WATER SYSTEMS
DW.130
Monitoring/Sampling
(NOTE: A noncommunity water system can be either a nontransient
noncommunity (NTNC) water system or a transient non-community water system.
Noncommunity water systems must also comply with the standards for public
water systems (see DW.10.1 through DW.50.5). See Checklist User Guidance on
page 11 of this document to determine which checklist items are applicable to the
facility being audited.)
DW.130.1. Noncommunity
water systems are required to
monitor for total coliforms
according to a specific
schedule (40 CFR
Verify that the noncommunity water systems using only groundwater (except
groundwater under the direct influence of surface water) and serving 1000 persons
or less, monitors each calendar quarter the system provides water to the public.
Verify that the following noncommunity water systems are monitoring for total
coliforms according to the schedule outlined in Appendix G of this document:
-systems using only groundwater (except groundwater under the direct
influence of surface water) and serving more than 1000 persons during any
month
- systems using surface water, in total or in part
- systems using groundwater under the direct influence of surface water.
DW. 130.2. Noncommunity
water systems that add a
chemical disinfectant to the
water in any part of the
drinking water process or
supply water containing
chemical disinfectant, are
required to meet specific
monitoring requirements for
disinfection byproducts and
disinfection
precursors
(DBPP).(40
141.131,
byproduct
CFR
141.130(b),
141.132(a),
and
(NOTE: This requirement applies to Subpart H systems serving 10,000 or more
persons beginning January 1, 2002. Subpart H systems serving fewer than 10,000
persons and systems using only groundwater not under the direct influence of
surface water must comply with this section beginning January 1, 2004.)
Verify that all samples are taken during normal operating conditions and based on
the required monitoring plan.
(NOTE: Systems may consider multiple wells drawing water from a single aquifer
as one treatment plant for determining the minimum number of TTHM and HAAS
samples required if the state approves.)
Verify that monitoring for TTHM and HAAS is done at the frequency, either
routine or reduced as appropriate, outlined in Appendix L of this document.
Verify that sample analysis is done using appropriate methodology.
Verify that for systems on a reduced monitoring schedule, the average of all
samples taken in the year (for systems that must monitor quarterly) or the result of
the sample (for systems that must monitor no more frequently than annually) is no
more than 0.060 mg/L for TTHMs and 0.045 mg/L HAAS.
Verify that, if the required averages for systems on a reduced monitoring schedule
are not met, the system returns to routine monitoring in the quarter immediately
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
following the quarter in which the system exceeded the required averages.
(NOTE: The state may return a system to routine monitoring at the state's
discretion.)
Verify that Subpart H systems that use conventional filtration treatment monitor
for TOC no later than the point of combined filter effluent turbidity monitoring
and representative of the treated water.
Verify that all systems using conventional filtration also monitor for TOC in the
source water prior to any treatment at the same time as monitoring for TOC in the
treated water.
(NOTE: These samples (source water and treated water) are referred to as paired
samples. At the same time as the source water sample is taken, all systems must
monitor for alkalinity in the source water prior to any treatment. Systems must take
one paired sample and one source water alkalinity sample per month per plant at a
time representative of normal operating conditions and influent water quality.)
(NOTE: Subpart H systems with an average treated water TOC of less than 2.0
mg/L for 2 consecutive years, or less than 1.0 mg/L for 1 yr, may reduce
monitoring for both TOC and alkalinity to one paired sample and one source water
alkalinity sample per plant per quarter. The system must revert to routine
monitoring in the month following the quarter when the annual average treated
water TOC >/= 2.0 mg/L.)
DW. 130.3. Noncommunity
water systems that add a
chemical disinfectant to the
water in any part of the
drinking water process or
supply water containing a
chemical disinfectant are
required to meet specific
monitoring requirements for
disinfection residuals (40 CFR
141.130(a)(l), 141.130(b),
141.131, 141.132(a), and
(NOTE: This requirement applies to Subpart H systems serving 10,000 or more
persons beginning January 1, 2002. Subpart H systems serving fewer than 10,000
persons and systems using only groundwater not under the direct influence of
surface water must comply with this section beginning January 1, 2004.)
Verify that all samples are taken during normal operating conditions.
(NOTE: Systems may consider multiple wells drawing water from a single aquifer
as one treatment plant for determining the minimum number of TTHM and HAAS
samples required if the state approves.)
Verify that sample analysis is done using appropriate methodology.
Verify that systems using chlorine and/or chloramines measure the residual
disinfectant level at the same points in the distribution system and at the same time
as total conforms are sampled.
(NOTE: Subpart H systems may use the results of residual disinfectant
concentration sampling conducted under 40 CFR 141.74(b)(6)(i) for unfiltered
systems or 40 CFR 141.74(c)(3)(i) for systems which filter, in lieu of taking
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
separate samples.)
Verify that monitoring is not reduced when using chlorine and/or chloramine.
Verify that systems using chlorine dioxide for disinfection or oxidation take daily
samples at the entrance to the distribution system.
(NOTE: When a daily sample exceeds the MRDL, samples are required to be
taken in the distribution system the following day at the entrance to the distribution
system plus three additional chlorine dioxide distribution samples. If chlorine
dioxide or chloramines are used to maintain a disinfectant residual in the
distribution system, or if chlorine is used to maintain a disinfectant residual in the
distribution system and there are no disinfection addition points after the entrance
to the distribution system (i.e., no booster chlorination), the system must take three
samples as close to the first customer as possible, at intervals of at least 6 h. If
chlorine is used to maintain a disinfectant residual in the distribution system and
there are one or more disinfection addition points after the entrance to the
distribution system (i.e., booster chlorination), the system must take one sample as
close to the first customer as possible, in a location representative of average
residence time, and as close to the end of the distribution system as possible.)
Verify that monitoring is not reduced when using chlorine dioxide.
DW. 130.4. Noncommunity
water systems that add a
chemical disinfectant to the
water in any part of the
drinking water process are
required to have a monitoring
plan (40 CFR 141.130(a)(l),
141.130(b), 141.131,
141.132(a), and 141.132(1)).
(NOTE: This requirement applies to Subpart H systems serving 10,000 or more
persons beginning January 1, 2002. Subpart H systems serving fewer than 10,000
persons and systems using only groundwater not under the direct influence of
surface water must comply with this section beginning January 1, 2004.)
Verify that the system has developed and maintains a monitoring plan.
(NOTE: The plan must be made available for inspection by the state and the
general public no later than 30 days following applicable compliance dates.)
Verify that all Subpart H systems serving more then 3,300 people submit a copy of
the plan to the state.
Verify that the plan includes, at a minimum:
-specific locations and schedules for collecting samples for any required
parameters
-how the system will calculate compliance with MCLs, MRDLs, and
treatment techniques
- if approved for monitoring as a consecutive system, or as providing water to
a consecutive system, the plan reflects the entire distribution system.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
NONTRANSIENT
NONCOMMUNITY
(NTNC) WATER
SYSTEMS
DW.150
Standards
(NOTE: A nontransient noncommunity water system serves at least 25 of the same
persons for more than six months in a year. Nontransient noncommunity water
systems must also comply with the standards for public water systems (see
checklist items DW. 10.1 through DW.50.5) and a noncommunity water system
(see checklist items DW. 120.1 through DW. 130.5). See Checklist User Guidance
on page 11 of this document to determine which checklist items are applicable to
the facility being audited.)
DW.150.1 NTNC water
systems are required to meet
specific MCLs for organic
contaminants, inorganic
contaminants, and
microbiological contaminants
(40 CFR 141.60 through
141.63).
Verify that the standards outlined in Appendix A and Appendix B of this
document are met.
Verify that systems, which collect at least 40 bacteriological samples per month,
have no more than 5 percent of the samples collected during a month that are total
coliform-positive.
Verify that systems, which collect less than 40 bacteriological samples per month,
have no more than one sample collected per month that is total coliform-positive.
Verify that there are no fecal coliform-positive repeat sampling or E. co//'-positive
repeat samples, or any total coliform-positive repeat samples following a fecal
coliform-positive orE. co//'-positive routine sample.
DW. 150.2. NTNC water
systems are required to meet
specific MCLs and MRDLs
related to disinfection (40
CFR 141.64 and 141.65).
Verify that NTNC water systems meet the MCL for disinfection byproducts and
the MRDLs outlined in Appendix K of this document.
(NOTE: This requirements applies to Subpart H systems serving 10,000 or more
persons beginning January 1, 2002. Subpart H systems serving fewer than 10,000
persons and systems using only groundwater not under the direct influence of
surface water must comply with this section beginning January 1, 2004.)
(NOTE: A system that is installing GAC or membrane technology to comply with
MCL requirements may apply to the state for an extension of up to 24 mo past the
compliance dates, but not beyond January 1, 2004. In granting the extension, states
must set a schedule for compliance and may specify any interim measures that the
system must take. Failure to meet the schedule or interim treatment requirements
constitutes a violation of a National Primary Drinking Water Regulation.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
NONTRANSIENT
NONCOMMUNITY
(NTNC) WATER
SYSTEMS
DW.160
Monitoring/Sampling
(NOTE: A nontransient noncommunity water system serves at least 25 of the same
persons for more than six months in a year. Nontransient noncommunity water
systems must also comply with the standards for public water systems (see
checklist items DW. 10.1 through DW.50.5) and a noncommunity water system
(see checklist items DW. 120.1 through DW. 130.5). See Checklist User Guidance
on page 11 of this document to determine which checklist items are applicable to
the facility being audited.)
DW.160.1. NTNC water
systems are required to meet
monitoring requirements for
inorganic contaminants (40
CFR 141.23(a)).
Verify that groundwater systems:
- take a minimum of one sample at every entry point to the distribution system
which is representative of each well after treatment (a sampling point)
beginning in the compliance period starting January 1, 1993
- take each sample at the same sampling point unless conditions make another
sampling point more representative of each source or treatment plant.
Verify that surface water systems:
- take a minimum of one sample at every entry point to the distribution system
after any application of treatment or in the distribution system at a point that
is representative of each source after treatment (a sampling point) beginning
in the compliance period starting January 1, 1993
- takes each sample at the same sampling point unless conditions make another
sampling point more representative of each source or treatment plant.
(NOTE: In relation to these requirements, surface water systems include systems
with a combination of surface and ground sources.)
Verify that, if the system draws water from more than one source and the sources
are combined before distribution, the system samples at an entry point to the
distribution system during periods of normal operating conditions.
(NOTE: The state may reduce the total number of samples which must be
analyzed by allowing the use of compositing. Composite samples from a
maximum of five sampling points are allowed if the detection limit of the method
used for analysis is less than one fifth the MCL and compositing is done in a
laboratory.)
Verify that, if the concentration in a composite sample is greater than or equal to
one- fifth of the MCL of any inorganic chemical, a followup sample is analyzed
within 14 days from each sampling point included in the composite and analyzed
for the contaminants which exceeded one fifth of the MCL in the composite
sample.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
(NOTE: Detection limits for each analytical methods and MCLs for each
inorganic contaminant are listed in Appendix C of this document.)
Verify that, for groundwater systems, inorganic monitoring is repeated at least
once every compliance period (every 3 yr), and samples are taken quarterly for at
least two quarters if a MCL is violated.
Verify that, for surface water systems, inorganic sampling is repeated annually and
samples are taken quarterly for at least four quarters if an MCL is violated.
(NOTE: The state may issue a waiver reducing the required monitoring.)
DW. 160.2. NTNC water
systems are required to meet
specific monitoring
requirements for asbestos (40
CFR 141.23(b)).
Verify that asbestos is monitored during the first 3 yr compliance period of each 9
yr compliance cycle starting January 1, 1993.
(NOTE: The facility may apply to the state for a waiver of monitoring if they
believe that asbestos is not an issue.)
Verify that, if the system is vulnerable to asbestos contamination only because of
corrosion of asbestos-cement pipe, one sample is taken at a tap served by asbestos-
cement pipe and under conditions where asbestos contamination is most likely to
occur.
Verify that, if the system is vulnerable to asbestos contamination due to both its
source water supply and corrosion of asbestos-cement pipe, one sample is taken at
a tap served by asbestos-cement pipe and under conditions where contamination is
most likely to occur.
Verify that, when the MCL is exceeded, monitoring is done quarterly.
DW. 160.3. NTNC water
systems are required to meet
specific monitoring
requirements for antimony,
barium, beryllium, cadmium,
chromium, cyanide, fluoride,
mercury, nickel, selenium, and
thallium (40 CFR 141.23(c)).
Verify that monitoring is done as follows:
-groundwater systems: take one sample at each sampling point during each
compliance period
-surface water systems (or combined surface/ground): take one sample
annually at each sampling point
- when MCLs are exceeded, monitoring is done quarterly.
(NOTE: States may grant a public water system a waiver for the monitoring of
cyanide.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
DW. 160.4. NTNC water
systems are required to
conduct monitoring to
determine compliance for
nitrate and nitrite levels
according to specific
parameters (40 CFR
141.23(d)andl41.23(e)).
Verify that the following schedules are met for monitoring of nitrate:
-NTNC water systems served by groundwater monitor annually starting
January 1, 1993
-NTNC water systems served by surface water monitor quarterly starting
January 1, 1993.
(NOTE: States may allow a surface water system to reduce annual sampling
frequency if analytical results from four consecutive quarters are less than 50
percent of the MCL.)
Verify that NTNC water systems do repeat monitoring quarterly for at least 1 yr
following any one sample in which the concentration exceeds more than 50
percent of the MCL.
(NOTE: States may allow groundwater systems to return to annual sampling if the
results of four consecutive quarters are consistently and reliably below the MCL.)
(NOTE: After the initial round of quarterly sampling is completed, each NTNC
system which is monitoring annually shall take the subsequent samples during the
quarters which previously resulted in the highest analytical result.)
Verify that NTNC water systems take one sample at each sampling point in the
compliance period beginning January 1, 1993 and ending December 31, 1995 for
nitrite.
(NOTE: After the initial sample, systems where an analytical result for nitrite is
less than 50 percent of the MCL will monitor at the frequency specified by the
state.)
Verify that NTNC systems repeat monitoring for nitrites quarterly for at least 1 yr
after any one sample is greater than 50 percent of the MCL.
Verify that systems which are monitoring annually for nitrites take each
subsequent sample during the quarters which previously resulted in the highest
analytical result.
Verify that, when nitrate or nitrite samples indicate an exceedence of the MCL, a
confirmation sample is taken within 24 h of receipt of the results.
(NOTE: If the system is unable to take a confirmation sample within 24 h, it must
notify consumers of the exceedence and take a confirmation sample within two
weeks,)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
DW. 160.5. Beginning with
the initial compliance period,
monitoring of certain
contaminants at NTNC water
systems (see Table 2 of
Appendix A of this document)
is required to be done
according to specific
parameters (40 CFR
141.24(f)).
REVIEWER CHECKS
Verify that groundwater systems take a minimum of one sample at every entry
point of the distribution system which is representative of each well after
treatment.
Verify that surface water systems (or combined surface/ground) take a minimum
of one sample at points in the distribution system that are representative of each
source or at each entry point to the distribution system after treatment.
(NOTE: For both groundwater and surface water systems, each sample must be
taken at the same sampling point unless conditions make another sampling point
more representative of each source, treatment plant, or within the distribution
system.)
Verify that, if the system draws water from more than one source and the sources
are combined before distribution, the system samples at an entry point to the
distribution system during periods of normal operating conditions.
Verify that each NTNC water system takes four consecutive quarterly samples for
each contaminant, except vinyl chlorides.
(NOTE: If the initial monitoring for contaminants is completed by December
1992 and none of the contaminants listed are found, then each system shall take
one sample annually starting with the initial compliance period.)
(NOTE: After a minimum of 3 yr of sampling, the state may reduce the number of
samples to one each compliance period.)
Verify that, if a contaminant, except vinyl chloride, is detected at a level exceeding
0.0005 mg/L in any sample, the system monitors quarterly at each sampling point
which resulted in a detection.
Verify that groundwater systems which have detected one or more of the following
two-carbon organic compounds; trichloroethylene, tetrachloroethylene, 1,2-
dichloroethane, 1,1,1-trichloroethane, cis-l,2-dichloroethylene, trans- 1,2-
dichloroethylene, or 1,1-dichloroethylene monitor quarterly for vinyl chlorides at
each sampling point at which one or more of the two-carbon organic compounds
was detected.
Verify that, when the MCLs are exceeded, monitoring is conducted quarterly until
the state determines that the system is reliably and consistently below the MCL.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
DW. 160.6. Monitoring for
organic contaminants at
NTNC water systems (see
Table 3 of Appendix A of this
document) is required to be
done according to specific
parameters (40 CFR
141.24(h)).
REVIEWER CHECKS
Verify that groundwater systems take a minimum of one sample at every entry
point to the distribution system which is representative of each well after
treatment.
Verify that surface water systems (or surface/ground) take a minimum of one
sample at points in the distribution system that are representative of each source or
at each entry point to the distribution system after treatment.
(NOTE: For both groundwater and surface water systems, each sample must be
taken at the same sampling point unless conditions make another sampling point
more representative of each source, treatment plant, or within the distribution
system.)
Verify that, if the system draws water from more than one source and the sources
are combined before distribution, the system samples at an entry point to the
distribution system during periods of normal operating conditions.
Verify that each NTNC water system takes four consecutive quarterly samples for
each contaminant during each compliance period starting with the initial
compliance period.
(NOTE: Systems serving more than 3300 persons, that do not detect a
contaminant in the initial compliance period, may reduce sampling to two
quarterly samples in 1 yr during each repeat compliance period.)
(NOTE: Systems serving less than or equal to 3300 persons, that do not detect a
contaminant in the initial compliance period, may reduce sampling to one sample
during each repeat compliance period.)
Verify that, when an organic contaminant is detected (see Appendix D of this
document), the system monitors quarterly at each sampling point that resulted in a
detection.
Verify that, if monitoring results in detection of one or more of aldicarb, aldicarb
sulfone, aldicarb sulfoxide, and heptchlor, heptchlor epoxide, then subsequent
monitoring analyzes for all related contaminants.
(NOTE: The state may reduce the number of samples required and/or the
frequency of sampling.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
DW. 160.7. NTNC systems
are required to monitor for
specific unregulated
contaminants (40 CFR 141.35
and 141.40(a)(l),
141.40(a)(4) through
141.40(a)(7)).
(NOTE: The requirements outlined in this checklist item become effective
January 1, 2001.)
Verify that a wholesale or retail public water system that serves more than 10,000
persons, as determined by the state, and does not purchase their entire water
supply from another public water system, monitors as follows:
-for the unregulated contaminants on Table 1 of Appendix E of this document
-for the unregulated contaminants on Table 2 of Appendix E of this document
if notified by the state or U.S. EPA that the system is part of the Screening
Surveys
- for the unregulated contaminants on Table 3 of Appendix E of this document
if notified by the state or U.S. EPA that you are part of the Pre-Screen
Testing
Verify that a wholesale or retail public water system that serves more than 10,000
persons, as determined by the state, and does purchase their entire water supply
from another public water system, monitors as follows:
-for the unregulated contaminants on Table 1 of Appendix E of this document
that have a "sampling location" indicated as "distribution system"
-for the unregulated contaminants on Table 2 of Appendix E of this
document that have a "sampling location" indicated as "distribution system"
if notified by the state or U.S. EPA that system is a part of the Screening
Surveys
-for the unregulated contaminants on Table 3 of Appendix E of this document
that have a "sampling location" indicated as "distribution system" if notified
by the state or U.S. EPA that the system is a part of the Pre-Screen Testing.
Verify that, a water system that serves 10,000 or fewer persons that does not
purchase their entire water supply from another public water system, monitors as
follows:
-for the unregulated contaminants on Table 1 of Appendix E of this document
if the system is notified by the state or U.S. EPA that they are part of the
State Monitoring Plan for small systems
-for the unregulated contaminants on Table 2 of Appendix E of this document
if the system is notified by the state or U.S. EPA that they are part of the
Screening Surveys
-for the unregulated contaminants on Table 3 of Appendix E of this document
if the system is notified by the state or U.S. EPA that they are part of the Pre-
Screen Testing.
Verify that, a water system that serves 10,000 or fewer persons and purchases their
entire water supply from a wholesale public water system, monitors as follows:
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
-for the unregulated contaminants on Table 1 of Appendix E of this document
that have a "sampling location" indicated as "distribution system" if the
system is notified by the state or U.S. EPA that they are part of the State
Monitoring Plan for small systems
-for the unregulated contaminants on Table 2 of Appendix E of this document
that have a "sampling location" indicated as "distribution system" if the
system is notified by the state or U.S. EPA that they are part of the Screening
Surveys
-for the unregulated contaminants on Table 3 of Appendix E of this document
that have a "sampling location" indicated as "distribution system" if the
system is notified by the state or U.S. EPA that they are part of the Pre-
Screen Testing.
Verify that for Table 1, Appendix E of this document, monitoring is conducted as
follows for all NTNC water systems:
-collect samples of the listed contaminants according to the 40 CFR
141.40(a)(5) and appendix A of 40 CFR 141.40 and any other specific
instructions provided by the state or U.S. EPA
- analyze the additional parameters specified in Table 4 of Appendix E of this
document, "Water Quality Parameters to be Monitored with UCMR
Contaminants" for each relevant contaminant type
- review the laboratory testing results to ensure reliability
- report the results as specified in 40 CFR 141.35 (see checklist item ?).
Verify that, for large systems, arrangements are made for testing of the samples for
each contaminant in Table 1 of Appendix E of this document according to the
methods specified in appendix A of 40 CFR 141.40.
Verify that, for small systems, unless directed otherwise by the state or U.S. EPA,
the following are also done:
- properly receive, store, maintain and use the sampling equipment sent from
the laboratory designated by U.S. EPA
- sample at the times specified by the state or the U.S. EPA
-collect and pack samples in accordance with the instructions sent by the
laboratory designated by U.S. EPA
- send the samples to the laboratory designated by U.S. EPA.
Verify that, unless the state or U.S. EPA informs the system of other sampling
arrangements, all NTNC water systems meet the following:
- if shipping the samples for testing, collect the samples early enough in the
day to allow adequate time to send the samples for overnight delivery to the
laboratory since some samples must be processed at the laboratory within 30
h of collection
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
- do not collect samples on Friday, Saturday or Sunday because sampling on
these days would not allow samples to be shipped and received at the
laboratory within 30 h
-do not composite (that is, combine, mix or blend) the samples, collect,
preserve and test each sample separately
-after receiving the laboratory results, review and confirm the system
information and data regarding sample collection and test results
- report the results as provided in 40 CFR 141.35.
Verify that large systems collect, analyze, and test samples according to the
timeframes, frequencies, methodologies in Table 1 of Appendix E of this
document.
(NOTE: If a sample is not collected according to the specified procedures for a
listed contaminant, resampling must be done within 14 days of observing the
occurrence of the error (which may include notification from the laboratory that
resample must be done) following the procedures specified for the method.)
Verify that, unless otherwise directed by the state or U.S. EPA, small systems:
-collect samples at the times specified for you by the state or U.S. EPA,
within one 12-mo period during the years indicated in Table 1, Appendix E
of this document and according to the frequency in Table 5, Appendix E of
this document
- collect samples at the locations specified by the state or U.S. EPA.
- report when a sample is not collected according to provided instructions
-store and maintain the sample collection kits sent by U.S. EPA's designated
laboratory in a secure place until used for sampling.
- comply with the instructions sent by the state or U.S. EPA concerning the use
of containers, collection (how to fill the sample bottle), dechlorination and/or
preservation, and sealing and preparing the sample and shipping containers
for shipment
- comply with the instructions sent to you by U.S. EPA's designated laboratory
concerning the handling of sample containers for specific contaminants
- completely fill out the sampling forms
- sign and date the sampling forms.
- send the samples and the sampling forms to the laboratory designated in your
instructions.
Verify that if the system is selected as an Index system in the State Monitoring
Plan, the system assists the state or U.S. EPA in identifying appropriate sampling
locations and provides information on which wells and intakes are in use at the
time of sampling, well casing and screen depths (if known) for those wells, and the
pumping rate of each well or intake at the time of sampling.
Verify that, if a large system is selected for the Screening Surveys or Pre-Screen
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Testing, the system:
- collects and arranges for testing of the contaminants in Table 2 and Table 3
of Appendix E of this document
-sends the samples to one of the laboratories designated by U.S. EPA in the
notification
-report the test results to U.S. EPA, and provide a copy to the state, as
specified in 40 CFR 141.35.
Verify that, if a small system is selected for the Screening Surveys or Pre-Screen
Testing, the system collects samples in accordance with the instructions sent by the
state or U.S. EPA, or, if informed by the state or U.S. EPA that the state or U.S.
EPA will collect the sample, you must assist the state or U.S. EPA in identifying
the appropriate sampling locations and in taking the samples.
(NOTE: U.S. EPA will report the test results to you and the state.)
DW. 160.8. The reporting of
unregulated contaminant
monitoring results must be
done according to certain
parameters by NTNC water
systems (40 CFR 141.35).
(NOTE: The requirements outlined in this checklist item become effective
January 1, 2001.)
(NOTE: NTNC water systems serving a population of 10,000 or less are not
required to report since U.S. EPA will arrange for testing and reporting of the
results. However, the system will still need to comply with consumer confidence
reporting and public notification requirements for these results.)
Verify that the results of the unregulated contaminant monitoring (see checklist
item DW. 160.8) are provided to U. S. EPA and a copy to the state.
Verify that results are reported within 30 days following the month in which the
system received the results from the laboratory.
(NOTE: U.S. EPA will place the data in the national drinking water contaminant
occurrence database 60 days after the data is reported to allow for quality control
review by systems and states.)
Verify that the report includes information for each sample, and for each spiked
sample and spike duplicate sample analyzed for quality control purposes and
associated with each sample and its sample batch.
(NOTE: See Appendix F of this document for details on the report content.)
Verify that the information is reported in the electronic or other format specified
by U.S. EPA.
(NOTE: The laboratory to which samples were sent can report the results for the
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
system as long as the laboratory sends the system a copy for review and
recordkeeping. However, the system is responsible for the reporting of the
information and ensuring that the laboratory reports these results to U.S. EPA,
with a copy to the state, on time.)
(NOTE: Previously collected data can be reported for the unregulated
contaminants as long as the data meets the requirements detailed in 40 CFR
141.40 (see checklist item DW. 160.7.)
DW. 160.9. NTNC water
systems that add ozone or
chlorine dioxide to the water
in any part of the drinking
water process or supply water
containing a chemical
disinfectant are required to
meet specific monitoring
requirements (40 CFR
141.130(a)(l), 141.130(b),
141.131, 141.132(a),
141.132(b)(2) and
(NOTE: This requirement applies to Subpart H systems serving 10,000 or more
persons beginning January 1, 2002. Subpart H systems serving fewer than 10,000
persons and systems using only groundwater not under the direct influence of
surface water must comply with this section beginning January 1, 2004.)
Verify that all samples are taken during normal operating conditions.
(NOTE: Systems may consider multiple wells drawing water from a single aquifer
as one treatment plant for determining the minimum number of TTHM and HAAS
samples required, if the state approves.)
Verify that NTNC water systems using chlorine dioxide, for disinfection or
oxidation, perform the following monitoring for chlorite:
- daily samples at the entrance to the distribution system plus when the daily
sample exceeds the chlorite MCL, additional samples in the distribution
system the following day at the entrance to the distribution system, as close
to the first customer as possible, in a location representative of average
residence time, and as close to the end of the distribution system as possible
- a monthly three-sample set in the distribution system near the first customer,
at a location representative of average residence time, and at a location
reflecting maximum residence time in the distribution system.
Verify that daily chlorite monitoring at the entrance to the distribution system is
not reduced.
(NOTE: Monthly chlorite monitoring in the distribution system may be reduced to
one three-sample set per quarter after 1 yr of monitoring where no individual
chlorite sample taken in the distribution system exceeds the chlorite MCL and the
system has not been required to conduct additional monitoring in response to a
exceedance in the daily samples. The system may remain on the reduced
monitoring schedule until either any of the three individual chlorite samples taken
quarterly in the distribution system exceeds the chlorite MCL or the system is
required to conduct additional monitoring in response to a exceedance in the daily
samples.)
Verify that systems using ozone, for disinfection or oxidation, take one sample per
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
month for each treatment plant in the system using ozone at the entrance to the
distribution system while the ozonation system is operating under normal
conditions.
(NOTE: Systems required to analyze for bromate may reduce monitoring from
monthly to once per quarter, if the system demonstrates that the average source
water bromide concentration is < 0.05 mg/L based upon representative monthly
bromide measurements for 1 yr. The system may remain on reduced bromate
monitoring until the running annual average source water bromide concentration,
computed quarterly, is =/> 0.05 mg/L based upon representative monthly
measurements. If the running annual average source water bromide concentration
is >/= 0.05 mg/L, the system must resume routine monitoring.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
NONTRANSIENT
NONCOMMUNITY
(NTNC) WATER
SYSTEMS
DW.170
Lead and Copper
(NOTE: A nontransient noncommunity water system serves at least 25 of the same
persons for more than six months in a year. Nontransient noncommunity water
systems must also comply with the standards for public water systems (see
checklist items DW. 10.1 through DW.50.5) and a noncommunity water system
(see checklist items DW. 120.1 through DW. 130.5). See Checklist User Guidance
on page 11 of this document to determine which checklist items are applicable to
the facility being audited.)
DW.170.1. Monitoring for
lead and copper is required to
start on a specified date and
be done at a specified number
of sites (see the chart in
Appendix I of this document
(40 CFR 141.80(g),
141.86(a)(l), through
141.86(d)).
Verify that sample sites have been selected and sampling started as of the dates
indicated in Appendix I of this document.
Verify that the sampling sites (tier 1 sampling) selected consist of building that
contain copper pipes with lead solder installed after 1982 or contain lead pipe;
and/or are served by a lead service line.
(NOTE: If there are insufficient tier 1 sites, complete the sampling pool with
sampling sites that contain copper pipes with lead solder installed before 1983.)
Verify that the procedures for sampling and granting of variances found in 40 CFR
141.86 are followed.
Verify that, for the initial tap sample, all large water systems monitor during two
consecutive 6-mo periods and all small and medium-size water systems monitor
during each 6-mo period until:
- the system exceeds the lead or copper action levels and is then required to
implement corrosion control treatment
- the system meets the lead and copper action levels during two consecutive 6-
mo monitoring periods.
(NOTE: A small or medium-sized water system that meets the lead and copper
action levels during each of two consecutive 6-mo monitoring periods can reduce
the number of sampling sites and the frequency of sampling to once a year. If
action levels are met during 3 consecutive years of monitoring, the frequency may
be reduced to once every 3 yr.)
Verify that, after the installation of corrosion by January 1, 1997, large systems
conduct follow-up tap monitoring during two consecutive 6 mo periods by January
1, 1998.
Verify that, after the installation of corrosion control within 24 mo after being
required to do so by the state, small and medium systems conduct follow-up
monitoring for two consecutive 6- mo periods within 36 mo after being required to
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
install optimal corrosion control treatment.
Verify that after the state has designates water quality parameter values for optimal
corrosion control, large systems monitor at entry points bi-weekly and within the
distribution system every 6 mo.
(NOTE: After the state has designated water quality parameter values for optimal
corrosion control, small and medium systems are required to conduct monitoring
only when they exceed the lead or copper action level.)
Verify that, for all size systems, the first monitoring period for water quality
parameters began on the date the regulatory agency specifies the optimal value.
DW.170.2. NTNC water
systems are required to meet
specific standards for lead and
copper action levels and
reporting requirements when
these levels are exceeded (40
CFR 141.80(a)(l) and
141.80(c)).
Verify that the concentration of lead does not exceed 0.015 mg/L in more than 10
percent of tap water samples collected during any monitoring period.
Verify that the concentration of copper does not exceed 1.3 mg/L in more than 10
percent of tap water samples collected during any monitoring period.
DW.I70.3. In reference to
lead and copper in NTNC
water systems, all water
systems are required to fulfill
reporting requirements (40
CFR 141.90).
Verify that water systems report sampling results for all tap water samples within
the first 10 days following the end of each monitoring period.
Verify that water systems report the sampling results for all source water samples
within the first 10 days following the end of each source water monitoring period.
Verify that the following reports are submitted as applicable:
- corrosion control treatment
- source water treatment
- lead service line replacement
- demonstration of public education program.
DW.170.4. Facilities with
NTNC water systems must
notify their users about an
exceedence of the lead action
level in drinking water
systems (40 CFR 141.85 and
141.90(f)).
Verify that public education materials are distributed in the following manner
when a water system exceeds the lead action level based on tap water samples:
-the material is in the appropriate languages where languages other than
English are spoken by a significant proportion of the population
- within 60 days after exceeding the lead action level:
- notices are insert in each customer's water utility bill
-information is provided to the editorial departments of the major daily
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REQUIREMENT OR
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PRACTICE
REVIEWER CHECKS
and weekly newspapers circulated in the community
-pamphlets or brochures are delivered to pertinent facilities,
organizations, schools and medical centers
- public service announcements are submitted to at least five of the radio
and television stations broadcasting to the community.
Verify that the notification tasks are repeated every 6 mo for as long as a
community water system exceeds the lead action level.
Verify that an NTNC water system delivers the public education materials by
posting informational posters and distributing brochures.
Verify that an NTNC water system repeats distribution of information at least once
each calendar year in which the system exceeds the lead action level.
(NOTE: The text of written materials and broadcast materials can be found in 40
CFR 141.85(a) and 141.85(b).)
Verify that, by December 31st of each year, any water system, that has had to issue
public education materials submits a letter to the state indicating that the system
has delivered the public education materials as required each year that the levels
are exceeded.
DW.170.5. NTNC water
systems, that fail to meet the
lead or copper action levels,
are required to meet specific
monitoring requirements (40
CFR 141.80(h) and 141.88).
Verify that systems, that exceed lead or copper action levels at the tap, collect one
source water sample from each entry point to the distribution system within 6 mo
after the exceedence.
Verify that systems, which install source water treatment as required by the state,
collects an additional source water sample from each entry point to the distribution
system during two consecutive 6-mo monitoring periods.
Verify that the system monitors as follows when the state specifies maximum
permissible source water levels:
-once during the 3-yr compliance period for water systems using only
groundwater
- annually for water systems using surface water or a combination of surface
and groundwater.
(NOTE: Frequency of monitoring may be reduced by the state upon request.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
87
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
DW.170.6. All large water
systems and all small and
medium size systems that
exceed the lead or copper
action level are required to
monitor for water quality
parameters in addition to lead
and copper at the taps (40
CFR 141.40(h) and 141.87).
Verify that monitoring for water quality parameters is done according to the
requirement outlined in Appendix J of this document.
DW.170.7. NTNC systems
that exceed the lead or copper
action level after corrosion
control is installed are
required to implement
applicable source water
treatment standards (40 CFR
141.80(e) and 141.83).
Verify that systems exceeding the lead or copper action level do lead and copper
source water monitoring and make a treatment recommendation to the state within
6 mo after exceeding the lead or copper action rate.
Verify that, if the state requires the installation of source water treatment, the
installation is done within 24 mo after the state's initial response.
Verify that followup tap water monitoring and source water monitoring is
completed within 36 mo after the state's initial response.
DW.170.8. NTNC water
systems are required to install
and operate optimal corrosion
control (40 CFR 141.80(d)
and 141.82).
Verify that the water system has corrosion control that minimizes the lead and
copper concentrations at users' taps while insuring that the treatment does not
cause the water system to violate any of the national primary drinking water
standards.
(NOTE: Please see 40 CFR 141.81 for design details for corrosion control
systems in relationship to the size of the water system.)
DW.170.9. Facilities with
NTNC water systems
exceeding the lead action
level after implementation of
corrosion control and source
water treatment requirements
are required to replace lead
service lines (40 CFR
141.80(f)andl41.84).
Verify that lead service line replacement, if required, is done according to the
schedules and parameters outlined in 40 CFR 141.84.
(NOTE: A system is not required to replace an individual lead service line if the
lead concentration in all service line samples from that line is less than or equal to
0.015 mg/L.)
(NOTE: Replacement of lead service lines can stop when the first draw samples
that are collected meet the lead action levels during two consecutive monitoring
periods and the system submits the results to the state.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
DW.170.10. All NTNC
systems subject to the lead
and copper requirements are
required to retain onsite all the
original records of sampling
data, analysis, reports,
surveys, letters, evaluations,
state determinations, and any
other pertinent documents for
at least 12 yr (40 CFR
141.80(j) and 141.91).
Verify that records are kept onsite for 12 yr.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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This document is intended solely for guidance. No statutory or regulatory 90
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
DW.200
TRANSIENT
NONCOMMUNITY
WATER SYSTEMS
(NOTE: A transient noncommunity water system does not serve at least 25 of the
same persons for more than six months in a year. Transient noncommunity water
systems must also comply with the standards for public water systems (see
checklist items DW.10.1 through DW.50.5) and a noncommunity water system
(see checklist items DW. 120.1 through DW. 130.5). See Checklist User
Guidance on page 11 of this document to determine which checklist items
are applicable to the facility being audited.)
DW.200.1. Transient
noncommunity water systems
are required to conduct
monitoring to determine
compliance for nitrate and
nitrite levels according to
specific parameters (40 CFR
141.23(d) through 141.23(f)).
Verify that transient noncommunity water systems monitor annually for nitrate
starting January 1, 1993.
Verify that, when the MCL for nitrate is exceeded, transient noncommunity water
systems do repeat monitoring quarterly for at least 1 yr following any one sample
in which the concentration exceeds more than 50 percent of the MCL.
Verify that transient noncommunity water systems take one sample at each
sampling point in the compliance period beginning January 1, 1993 and ending
December 31, 1995 for nitrite.
(NOTE: After the initial sample, systems where an analytical result for nitrite is
less than 50 percent of the MCL will monitor at the frequency specified by the
state.)
Verify that transient noncommunity systems repeat monitoring for nitrites
quarterly for at least 1 yr after any one sample is greater than 50 percent of the
MCL.
Verify that systems, which are monitoring annually for nitrites, take each
subsequent sample during the quarters which previously resulted in the highest
analytical result.
Verify that, when nitrate or nitrite samples indicate an exceedence of the MCL, a
confirmation sample is taken within 24 h of receipt of the results.
(NOTE: If the system is unable to take a confirmation sample within 24 h, it must
notify consumers of the exceedence and take confirmation samples within two
weeks.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
91
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act.
COMPLIANCE CATEGORY
DRINKING WATER MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
DW.200.2. Transient
noncommunity water systems
are required to meet specific
MRDLs related to disinfection
(40 CFR 141.65).
Verify that transient noncommunity water systems meet the MRDLs outlined in
Appendix K of this document.
(NOTE: The MCL standards in Appendix K of this document are not applicable.)
(NOTE: This requirement applies to Subpart H systems serving 10,000 or more
persons and using chlorine dioxide as a disinfectant or oxidant beginning January
1, 2002. Subpart H systems serving fewer than 10,000 persons and using chlorine
dioxide as a disinfectant or oxidant and systems using only groundwater not under
the direct influence of surface water and using chlorine dioxide as a disinfectant or
oxidant must comply with the MRDL beginning January 1, 2004.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Appendix A:
Primary Drinking Water Standards for Organic Contaminants
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Water Act
Primary Drinking Water Standards for Organic Contaminants.
Table 1:
Maximum Contaminant Levels Applicable to Community Water Systems (40 CFR 141.12)
Contaminant
Total Trihalomethanes (TTHM) (the sum of the
concentrations of bromodichloromethane, dibromo-
chloromethane, tribromomethane (bromoform) and
trichloromethane (chloroform)
mg/L
0.10
(NOTE: The standard for TTHM only applies to community water systems subject to filtration and disinfection
requirements which serve a population of 10,000 people or more until December 16, 2001. This MCL applies to
community water systems that use only groundwater not under the direct influence of surface water and serve a
population of 10,000 people or more until December 16, 2003. After December 16, 2003, this section is no longer
applicable.)
Table 2:
Maximum Contaminant Levels Applicable to Community and
Nontransient, Noncommunity Water Systems (40 CFR 141.61(a))
Contaminant
1,1 -Dichloroethylene
1,1,1 -Trichloroethane
1,2-Dichloroethane
1,2-Dichloropropane
Benzene
Carbon Tetra chloride
cis-l,2-Dichloroethylene
Ethylbenzene
Monochlorobenzene
0-Dichlorobenzene
para-Dichlorobenzene
Styrene
Tetrachloroethylene
Toluene
trans-1,2-Dichloroethylene
Trichloroethylene
Vinyl chloride
Xylenes (total)
Dichloromethane
1,2,4-Trichlorobenzene
1,1,2-Trichloroethane
mg/L
0.007
0.20
0.005
0.005
0.005
0.005
0.07
0.7
0.1
0.6
0.075
0.1
0.005
1.0
0.1
0.005
0.002
10.0
0.005
0.07
0.005
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
Al
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Water Act
Table 3:
Maximum Contaminant Levels For Synthetic Organic Contaminants Applicable to Community
Water Systems and Nontransient, Noncommunity Water Systems (40 CFR 141.61(c))
Contaminant
Alachlor
Aldicarb
Aldicarb sulfoxide
Aldicarb sulfone
Atrazine
Carbofuran
Chlordane
Dibromochloropropane
2,4-D
Ethylene dibromide
Heptachlor
Heptachlor epoxide
Lindane
Methoxychlor
Pentachlorophenol
Polychlorinated biphenyls
Toxaphene
2,4,5-TP
Benzo(a)pyrene
Delapon
Di(2-ethythexyl) adipate
Di(2-ethythexyl) phthalate
Dinoseb
Diquat
Endothall
Endrin
Glyphosate
Hexachlorobenzene
Hexachlorocyclopentadiene
Oxamyl (Vydate)
Picloram
Simazin
2,3,7,8,-TCDD (Dioxin)
mg/L
0.002
0.003
0.004
0.002
0.003
0.04
0.002
0.0002
0.07
0.00005
0.0004
0.0002
0.0002
0.04
0.001
0.0005
0.003
0.05
0.0002
0.2
0.4
0.006
0.007
0.02
0.1
0.002
0.7
0.001
0.05
0.2
0.5
0.004
xlO
-8
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Appendix B:
Primary Drinking Water Standards for Inorganic Contaminants
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act
Primary Drinking Water Standards for Inorganic Contaminants
Table 1:
Maximum Contaminant Levels Applicable Only to Community Water Systems
(40 CFR 141.11,141.12, and 141.62(b)(l))
Contaminant
Arsenic
Fluoride
Total Trihalomethanes
mg/L
0.05
4.0
0.10*
* This MCL only applies to community water systems which serve a population of 10,000 individuals or more and
which add a disinfectant (oxidant) to the water in any part of the drinking water treatment process.
Table 2:
Maximum Contaminant Levels Applicable to Community Water Systems and Nontransient,
Noncommunity Water Systems (40 CFR 141.62(b)(2) through 141.62(b)(6) and 141.62(b)(10)
through 141.62(b)(15))
Contaminant
Asbestos
Barium
Cadmium
Chromium
Mercury
Selenium
Antimony
Beryllium
Cyanide (as free Cyanide)
Thallium
mg/L
7 million fibers/L
(longer than 10 micrometers)
2.0
0.005
0.1
0.002
0.05
0.006
0.004
0.2
0.002
Table 3:
Maximum Contaminant Levels Applicable to Community, Nontransient, Noncommunity and
Transient Noncommunity Water Systems (40 CFR 141.62(b)(7) through 141.62(b)(9))
Contaminant
Nitrate (as N)
Nitrite (as N)
Total Nitrate and Nitrite (as N)
mg/L
10.0
1.0
10.0
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
Bl
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This document is intended solely for guidance. No statutory or regulatory B2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
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Appendix C:
Detection Limitations for Inorganic Contaminants
(40 CFR 141.23(a))
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Water Act
Detection Limitations for Inorganic Contaminants
(40 CFR 141.23(a))
Contaminant MCL (mg/L)
Analytical Method
Detection Limit (mg/L)
Antimony 0.006
Atomic Absorption Furnace
Atomic Absorption: Platform
ICP Mass spectrometry
Hydride Atomic Absorption
0.003
0.00085
0.0004
0.001
Asbestos 7 MFL
Barium 2.0
Beryllium 0.004
Cadmium
Cyanide
0.005
Chromium 0.1
0.2
Transmission Electron Microscopy
Atomic Absorption; furnace technique
Atomic Absorption; direct aspiration
Inductively Coupled Plasma
Atomic Absorption, Furnace
Atomic Absorption: Platform
Inductively Coupled Plasma3
ICP Mass Spectrometry
Atomic Absorption; furnace technique
Inductively Coupled Plasma2
Atomic Absorption; furnace technique
Inductively Coupled Plasma
0.01 million fibers/L
0.002
0.1
0.002(0.001)
0.0002
0.000025
0.0003
0.0003
0.0001
0.001
0.001
0.007 (0.001)
Distillation, Spectrophotometric 0.02
Distillation, Automated, Spectrophotometric3 0.005
Distillation, Selective Electrode3 0.05
Distillation, Amenable, Spectrophotometric4 0.02
Mercury 0.002
Nickel 0.1
Nitrate 10 as N
Nitrite 1 as N
Selenium 0.05
Manual Cold Vapor Technique
Automated Cold Vapor Technique
Atomic Absorption, Furnace
Atomic Absorption: Platform
Inductively Coupled Plasma3
ICP Mass Spectrometry
Manual Cadmium Reduction
Automated Hydrazine Reduction
Automated Cadmium Reduction
Ion Selective Electrode
Ion Chromatography
Spectrophotometric
Automated Cadmium Reduction
Manual Cadmium Reduction
Ion Chromatography
Atomic Absorption; furnace
Atomic Absorption; gaseous hydride
0.0002
0.0002
0.001
0.00065
0.005
0.0005
0.01
0.01
0.05
1.0
0.01
0.01
0.05
0.01
0.004
0.002
0.002
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
Cl
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act
Contaminant MCL (mg/L)
Analytical Method
Detection Limit (mg/L)
Thallium
0.002
Atomic Absorption Furnace
Atomic Absorption: Platform
ICP-Mass Spectrometry
0.001
0.00075
0.0003
MFL = million fibers per liter > 10 ppm.
Using a 2x preconcentration step as noted in Method 200.7. Lower MDLs may be achieved by using
a 4x preconcentration.
3 Screening method for total cyanides.
4 Measures "free" cyanides.
5 Lower MDLs are reported using stabilized temperature graphite furnace atomic absorption.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Appendix D:
Detection Limitations (40 CFR 141.24(h)(18))
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems Under the Safe
Drinking Water Act
Detection Limitations
(40 CFR 141.24(h)(18))
Contaminant
Alachlor
Aldicarb
Aldicarb sulfoxide
Aldicarb sulfone
Atrazine
Benzo[a]pyrene
Carbofuran
Chlordane
Dalapon
1.2- Dibromo-3-chloro propane (DBCP)
Di (2-ethylhexyl) adipate
Di (2-ethylhexyl) phthalate
Dinoseb
Diquat
2,4-D
Endothall
Endrin
Ethylene dibromide (EDB)
Glyphosaate
Heptachlor
Heptachlor epoxide
Hexachlorobenzene
Hexachlorocyclopentadiene
Lindane
Methoxychlor
Detection Limit
0.0002
0.0005
0.0005
0.0008
0.0001
0.00002
0.0009
0.0002
0.001
0.00002
0.0006
0.0006
0.0002
0.0004
0.0001
0.009
0.00001
0.00001
0.006
0.00004
0.00002
0.0001
0.0001
0.00002
0.0001
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
DI
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems Under the Safe
Drinking Water Act
Contaminant
Oxamyl
Picloram
Pentachlorophenol
Polychlorinated biphenyls
Simazine
Toxaphene
2,3,7,8-TCDD (Dioxin)
2,4,5-TP (Silvex)
Detection Limit
0.002
0.0001
0.00004
0.0001
0.00007
0.001
0.000000005
0.0002
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
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Appendix E:
Unregulated Contaminant Monitoring Regulation (1999)
(40 CFR 141.40(a)(3); 141.40(a)(4), Table 1)
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems Under the Safe
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Unregulated Contaminant Monitoring Regulation (1999)
(40 CFR 141.40(a)(3); 141.40(a)(4), Table 1)
Table I—Assessment Monitoring Chemical Contaminants
1 - Contaminant
2,4-dinitrotoluene
2,6-dinitrotoluene
Acetochlor
DCPA mono-acid
degradate
DCPA di-acid
degradate
4,4'-DDE
EPTC
Molinate
MTBE
Nitrobenzene
Perchlorate
Terbacil
2 -CAS
Registry
Number
121-14-2
606-20-2
34256-82-1
887-54-7
2136-79-0
72-55-9
759-94-4
2212-67-1
1634-04-4
98-95-3
14797-73-0
5902-51-2
3 - Analytical
Methods
U.S. EPA 525.2
a
EPA 525.2 a
Reserved111
EPA 5 15. la
EPA 5 15.2 a
D53 17-93 b
AOAC 992.32 c
EPA 5 15. la
EPA 5 15.2 a
D53 17-93 b
AOAC 992.32 c
EPA 508 a
EPA 508. la
EPA 525.2 a
D5812-96b
AOAC 990.06 c
EPA 507 a
EPA 525.2 a
D5475-93 b
AOAC991.07C
EPA 507 a
EPA 525.2 a
D5475-93 b
AOAC991.07C
EPA 524.2 a
D5790-95b
SM6210Dd
SM 6200B d
EPA 524.2 a
D5790-95 b
SM6210D d
SM6200B d
Reserved111
EPA 507 a
EPA 525.2 a
D5475-93 b
AOAC991.07C
4-
Minimum
Reporting
Levels
2|lg/Le
2ng/Le
Reserved m
l|^g/Le
l|^g/Le
0.8 \igfL e
l|^g/Le
0.9 \ig/L e
5|lg/Lg
10 \ig/L g
Reserved m
2|ig/Le
5-
Sampling
Location
EPTDS '
EPTDS '
EPTDS f
EPTDS f
EPTDS f
EPTDS f
EPTDS f
EPTDS f
EPTDS f
EPTDS f
EPTDS f
EPTDS f
6 - Period during
which monitoring
is to be completed
2001-2003
2001-2003
2001-2003
2001-2003
2001-2003
2001-2003
2001-2003
2001-2003
2001-2003
2001-2003
2001-2003
2001-2003
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
El
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems Under the Safe
Drinking Water Act
Table 2 - Screening Survey Chemical Contaminants To Be Sampled
After Notice of Analytical Methods Availability
1 - Contaminant
1,2-
diphenylhydrazine
2-methyl-phenol
2,4-dichlorophenol
2,4-dinitrophenol
2,4,6-trichlorophenol
Alachlor ESA
Diazinon
Disulfoton
Diuron
Fonofos
Linuron
Polonium-210
Prometon
Terbufos
RDX
2 -CAS
Registry
Number
122-66-7
95-48-7
120-83-2
51-28-5
88-06-2
TBDh
333-41-5
298-04-4
330-54-1
944-22-9
330-55-2
13981-52-7
1610-18-0
13071-79-9
121-82-4
3 - Analytical
Methods
EPA 525.2 '
SPE/GC/MS '
SPE/GC/MS '
SPE/GC/MS '
SPE/GC/MS '
TBDh
EPA 525.2 k
EPA 525.2 k
SPE/HPLC/UVJ
EPA 525.2 '
SPE/HPLC/UVJ
Reserved h
EPA 525.2 k
EPA 525.2 k
Reserved h
4-
Minimum
Reporting
Levels
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
5-
Sampling
Location
EPTDS '
EPTDS '
EPTDS '
EPTDS '
EPTDS '
EPTDS '
EPTDS '
EPTDS '
EPTDS '
EPTDS '
EPTDS '
Reserved h
EPTDS '
EPTDS '
EPTDS '
6 - Period during
which monitoring
is to be completed
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Screening Survey Microbiological Contaminants To Be Sampled
After Notice of Analytical Methods Availability
Aeromonas
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems Under the Safe
Drinking Water Act
Table 3 - Pre-Screen Testing Radionuclides To Be Sampled After
Notice of Analytical Methods Availability
1 - Contaminant
Lead-210
2 -CAS
Registry
Number
14255-04-0
3 - Analytical
Methods
Reserved h
4-
Minimum
Reporting
Levels
Reserved h
5-
Sampling
Location
Reserved h
6 - Period
during which
monitoring is to
be completed
Reserved
Pre-Screen Testing Microorganisms To Be Sampled After Notice of Analytical
Methods Availability
Cyanobacteria
(blue-green algae,
other freshwater
algae and their
toxins).
Echoviruses
Coxsackieviruses
Helicobacter pylori
Microsporidia
Calciviruses
Adenoviruses
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Reserved h
Column headings are:
1 - Chemical or microbiological contaminant: the name of the contaminants to be analyzed.
2 - CAS (Chemical Abstract Service Number) Registry No. or Identification Number: a unique number identifying
the chemical contaminants.
3 - Analytical Methods: method numbers identifying the methods that must be used to test the contaminants.
4 - Minimum Reporting Level: the value and unit of measure at or above which the concentration or density of the
contaminant must be measured using the Approved Analytical Methods.
5 - Sampling Location: the locations within a PWS at which samples must be collected.
6 -Years During Which Monitoring to Be Completed: The years during which the sampling and testing are to occur
for the indicated contaminant. The procedures shall be done in accordance with the documents listed below. The
incorporation by reference of the following documents listed in footnotes b-d was approved by the Director of the
Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR 51. Copies of the documents may be obtained
from the sources listed below. Information regarding obtaining these documents can be obtained from the Safe
Drinking Water Hotline at 800-
426-4791. Documents may be inspected at U.S. EPA's Drinking Water Docket, 401 M Street, SW., Washington,
DC 20460 (Telephone: 202-260-3027); or at the Office of Federal Register, 800 North Capitol Street, NW., Suite
700, Washington, DC.
a The version of the U.S. EPA methods which you must follow for this Rule are listed at 40 CFR 141.24 (e).
b Annual Book of ASTM Standards, 1996 and 1998, Vol. 11.02, American Society for Testing and Materials.
Method D5812-96 is located in the Annual Book of ASTM Standards, 1998, Vol. 11.02. Methods D5790-95,
D5475-93, and D5317-93 are located in the Annual Book of ASTM Standards, 1996 and 1998, Vol. 11.02.
Copies may be obtained from the American Society for Testing and Materials, 100 Barr Harbor Drive, West
Conshohocken, PA 19428.
b Official Methods of Analysis of AOAC (Association of Official Analytical Chemist) International, Sixteenth
Edition, 4th Revision, 1998, Volume I, AOAC International, First Union National Bank Lockbox, PO Box 75198,
Baltimore, MD 21275-5198. 1-800-379-2622.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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d SM 6210 D is only found in the 18th and 19th editions of Standard Methods for the Examination of Water and
Wastewater, 1992 and 1995, American Public Health Association; either edition may be used. SM 6200 B is only
found in the 20th edition of Standard Methods for the Examination of Water and Wastewater, 1998. Copies may
be obtained from the American Public Health Association, 1015 Fifteenth Street NW, Washington, DC 20005.
e Minimum Reporting Level determined by multiplying by 10 the least sensitive method's minimum detection limit
(MDL = standard deviation times the Student's T value for 99% confidence level with n-1 degrees of freedom), or
when available, multiplying by 5 the least sensitive method's estimated detection limit (where the EDL equals the
concentration of compound yielding approximately a 5 to 1 signal to noise ratio or the calculated MDL,
whichever is greater).
f Entry Points to the Distribution System (EPTDS), After Treatment, representing each non-emergency water source
in routine use over the 12-mo period of monitoring; sampling must occur at the EPTDS, unless the state has
specified other sampling points that are used for compliance monitoring
40 CFR 141.24 (f)(l), (2), and (3). See 40 CFR 141.40(a)(5)(ii)(C) for a complete explanation of requirements,
including the use of source (raw) water sampling points.
8 Minimum Reporting Levels (MRL) for VOCs determined by multiplying either the published Method Detection
Limit (MDL) or 0.5 |ig/L times 10, whichever is greater. The MDL of 0.5 |ig/L (0.0005 mg/L) was selected to
conform to VOC MDL requirements of 40 CFR 141.24(f)(17)(i)(E).
h To be Determined at a later time
1 Compound currently not listed as a contaminant in this method.
J Methods development currently in progress to develop a solid phase extraction/high performance liquid
chromatography/ultraviolet method for the determination of this compound.
k Compound listed as being a contaminant using U.S. EPA Method 525.2; however, adequate sample preservation is
not available. Preservation studies currently being conducted to develop adequate sample preservation.
1 Methods development currently in progress to develop a solid phase extraction/gas chromatography/mass
spectrometry method for the determination of this compound.
m If not determined by regulation by December 31, 2000, this contaminant will become part of List 2.
This document is intended solely for guidance. No statutory or regulatory E4
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems Under the Safe
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Table 4 - Water Quality Parameters To Be Monitored With UCMR Contaminants
Parameter
pH
Turbidity
Temperature
Free Disinfectant
Residual
Total Disinfectant
Residual
Contaminant Type
Chemical;
Microbiological
Microbiological
Microbiological
Microbiological
Microbiological
Methodology
EPA Method
2 150.1
2 150.2
4'5 180.1
Standard
Methods1
4500-H+B
2130 B4
2550
4500-C1 D
4500-C1 F
4500-C1 G
4500-C1 H
4500-C1O2 D
4500-C1O2 E
4500-C-3 B
4500-C1 D
4500-C1E4
4500-C1 F
4500-C1 G 4
4500-C1 I
Other
ASTMD1293-843
ASTMD1293-953
GLI Method 2 4'6
ASTMD 1253-86 3
ASTMD 1253-86 3
The procedures shall be done in accordance with the documents listed below. The incorporation by reference of the
following documents was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1
CFR part 51. Copies of the documents may be obtained from the sources listed below. Information regarding
obtaining these documents can be obtained from the Safe Drinking Water Hotline at 800-426-4791. Documents may
be inspected at U.S. EPA's Drinking Water Docket, 401 M Street, SW., Washington, DC 20460 (Telephone: 202-
260-3027); or at the Office of Federal Register, 800 North Capitol Street, NW., Suite 700, Washington, DC.
1 The 18th and 19th Editions of Standard Methods for the Examination of Water and Wastewater, 1992 and 1995.
Methods 2130 B; 2550; 4500-C1 D, E, F, G, H, I; 4500-C1O2 D, E; 4500-H+ B; and 4500-O3 B in the 20th edition
Standard Methods for the Examination of Water and Wastewater, 1998, American Public Health Association,
1015 Fifteenth St. NW, Washington D.C., 20005.
2 Methods 150.1 and 150.2 are available from U.S. EPA, NERL, 26 W. Martin Luther King Dr., Cincinnati, Ohio
45268. The identical methods are also in "Methods for Chemical Analysis of Water and Wastes," EPA-600/4-79-
020, March 1983, available from the National Technical Information Service (NTIS), U.S. Department of
Commerce, 5285 Port Royal Rd., Springfield, Virginia 22161, PB84-128677. (Note: NTIS toll-free number is
800-553-6847.)
3 Annual Book of ASTM Standards, Editions 1994 and 1996,Volumes 11.01, American Society for Testing and
Materials, 100 Barr Harbor Drive, West Conshohocken, PA 19428. Version D1293-84 is located in the Annual
Book of ASTM Standards, 1994, Volumes 11.01. Version D1293-95 is located in the Annual Book of ASTM
Standards, 1996, Volumes 11.01.
4 "Technical Notes on Drinking Water," EPA-600/R-94-173, October 1994, Available at NTIS, PB95-104766.
5 "Methods for the Determination of Inorganic Substances in Environmental Samples," EPA-600/R-93-100, August
1993. Available at NTIS, PB94-121811
6 GLI Method 2, "Turbidity," November 2, 1992, Great Lakes Instruments Inc., 8855 North 55th St., Milwaukee,
Wisconsin 53223.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Table 5 - Monitoring Frequency by Contaminant and Water Source Types
Contaminant Type
Chemical
Microbiological
Water Source Type
Surface Water
Groundwater
Surface and groundwater
TimeFrame
12 mo
12 mo
12 mo
Frequency
Four quarterly samples
taken as follows: Select
either the first, second,
or third month of a
quarter and sample in
that same month of each
of four (4) consecutive
quarters a to ensure that
one of those sampling
events occurs during the
vulnerable time.b
Two (2) times in a year
taken as follows: Sample
during one (1) month of
the vulnerable time b and
during one (1) month
five (5) to seven (7)
months earlier or later.0
Two (2) times in a year
taken as follows: Sample
during one (1) month of
the vulnerable time b and
during one (1) month
five (5) to seven (7)
months earlier or later.0
a "Select either the first, second, or third month of a quarter and sample in that same month of each of four (4)
consecutive quarters" means that you must monitor during each of the four (4) months of either: January, April,
July, October; or February, May, August, November; or March, June, September, December.
b "Vulnerable time" means May 1 through July 31, unless the state or U.S. EPA informs you that it has selected a
different time period for sampling as your system's vulnerable time.
0 "Sample during one (1) month of the vulnerable time and during one (1) month five (5) to seven (7) months earlier
or later" means, for example, that if you select May as your "vulnerable time" month to sample, then one (1)
month five (5) to seven (7) months earlier would be either October, November or December of the preceding year,
and one (1) month five (5) to seven (7) months later would be either, October, November, or December of the
same year.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Appendix F:
Unregulated Contaminant Monitoring Reporting Requirements
(40 CFR 141.35, Table 1)
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Unregulated Contaminant Monitoring Reporting Requirements
(40 CFR 141.35, Table 1)
Data element
1. Public Water System (PWS)
Identification Number
2. Public Water System
Facility Identification
Number-Source, Treatment
Plant, and Sampling Point
Sample Collection Date.
4. Sample Identification
Number.
5. Contaminant/Parameter
6. Analytical Results-Sign.
Definition
The code used to identify each PWS. The
code begins with the standard
two-character postal state abbreviation; the
remaining seven characters are unique to
each PWS.
An identification number established by
the state, or, at the state's
discretion, the PWS, that is unique to
the system for an intake for each source
of water, a treatment plant and a
sampling point. Within each PWS, each
intake, treatment plant and sampling
point must receive a unique
identification number, including, for
intake; surface water intake, ground
water well or wellfield centroid; and
including, for sampling point; entry
points to the distribution system,
wellhead, intake, locations within the
distribution system, or other
representative sampling point specified
by the state. The same identification
number must be used consistently
throughout the history of unregulated
contaminant monitoring to represent the
facility.
The date the sample is collected reported
as 4-digit year, 2-digit month, and 2-digit day.
A numeric value assigned by the PWS or
laboratory to uniquely identify a specific sampling occurrence.
The unregulated contaminant or water
quality parameter for which the sample is being analyzed.
An alphanumeric value indicating whether the sample analysis
result was:
(a) (<) "less than" means the detected at a level "less than" the
MRL.
(b) (=) "equal to" means the contaminant was detected at a
level "equal to" the value reported in "Analytical Result--
Value.'"
7. Analytical Result-Value
The actual numeric value of the analysis for chemical and
microbiological results, or the minimum reporting level
(MRL) if the analytical result is less than the specified
contaminant's MRL
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Data element
8. Analytical Result
Measure.
9. Analytical Method Number
10. Sample Analysis Type
11. Sample Batch
Identification Number
12. Detection Level
13. Detection Level Unit of
Measure
14. Analytical Precision
Definition
Unit of The unit of measurement for the analytical results
reported, [(e.g., |ig/L); colony-forming units per milliliter,
(CFU/mL), etc.]
The identification number of the analytical method used.
The type of sample collected. Permitted values include:
(a) Field Sample-sample collected and
submitted for analysis under this rule.
(b) Batch Spike/Spike Duplicate-Samples
associated with a batch used for
calculating analytical precision and
accuracy. A batch is defined as the set
of field samples plus one spiked sample
and one spiked duplicate sample analyzed
for contaminant concentrations
A number assigned by the laboratory to the batch of samples
analyzed with the spiked sample (at the spiking concentration
reported), to be reported as 9-digit laboratory number
(assigned by the state or U.S. EPA), 4-digit year, 2-
digit month, 2-digit day and 2-digit batch number.
"Detection level" refers to the detection limit applied to both
the method and equipment. Detection limit is the lowest
concentration of a target contaminant that a given method or
piece of equipment can reliably ascertain and report as greater
than zero (e.g., Instrument Detection Limit, Method Detection
Limit, or Estimated Detection Limit).
The unit of measure to express the concentration, count,
or other value of a contaminant level for the detection
level reported, (e.g., |ig/L, colony forming units/mL
(CFU/mL), etc.)
Precision is the degree of agreement
among a set of repeated measurements and
is monitored through the use of
replicate samples or measurements. For
purposes of the Unregulated Contaminant
Monitoring Regulation (UCMR), Analytical
Precision is defined as the relative
percent difference (RPD) between spiked
matrix duplicates. The RPD for the
spiked matrix duplicates analyzed in the
same batch of samples as the analytical
result being reported is to be entered
in this field. Precision is calculated
as Relative Percent Difference (RPD)
between spiked matrix duplicates using,
RPD = [(Xj - X2) / (Xj + X2)/2] x 100
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Data element
15. Analytical Accuracy
16. Spiking Concentration
17. Presence/Absence
Definition
Accuracy describes how close a result is
to the true value measured through the
use of spikes, standards, surrogates or
performance evaluation samples. For
purposes of unregulated contaminant
monitoring, accuracy is defined as the
percent recovery of the contaminant in
the spiked matrix sample analyzed in the
same analytical batch as the sample
result being reported and calculated
using;
% recovery = [(ami found in spiked
sample-ami found in sample) / amt.
spiked] x 100
The concentration of method analytes
added to a sample to be analyzed for
calculating analytical precision and
accuracy where the value reported use
the same unit of measure reported for
Analytical Results
Chemicals: Presence~a response was produced by the analysis
(i.e., greater than or equal to the MDL but less than the
MRL)/Absence~no response was produced by the analysis
(i.e., less than the MDL).
Microbiologicals: Presence-indicates a response was
produced by the analysis / Absence-indicates no response was
produced by the analysis.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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This document is intended solely for guidance. No statutory or regulatory F4
requirements are in any way altered by any statement(s) contained herein.
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Appendix G:
Coliform Bacteria Sampling Frequency (40 CFR 141.21(a)(2))
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Coliform Bacteria Sampling Frequency
(40 CFR 141.21(a)(2))
Population Served
1 25 to 1000
1001 to 2500
2501 to 3300
3301 to 4100
4 101 to 4900
4901 to 5800
5801 to 6700
6701 to 7600
7601 to 8500
8501 to 12,900
12,901 to 17,200
17,201 to 21,500
21,501 to 25,000
25,001 to 33,000
33,001 to 41,000
41,001 to 50,000
50,001 to 59,000
59,001 to 70,000
70,001 to 83,000
83,001 to 96,000
96,001 to 130,000
130,001 to 220,000
220,001 to 320,000
320,001 to 450,000
Minimum Number of
Samples Per Month
1
2
3
4
5
6
7
8
9
10
15
20
25
30
40
50
60
70
80
90
100
120
150
180
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
Gl
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Population Served
450,001 to 600,000
600,001 to 780,000
780,001 to 970,000
970,001 to 1,230,000
1,230,001 to 1,520,000
1,520,001 to 1,850,000
1,850,001 to 2,270,000
2,270,001 to 3,020,000
3,020,001 to 3,960,000
3, 960,00 lor more
Minimum Number of
Samples Per Month
210
240
270
300
330
360
390
420
450
480
1 Includes public water systems which have at least 15 service connections, but serve
fewer than 25 persons.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Appendix H:
Consumer Confidence Report Contents
(40 CFR 141.153 and 141.154)
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Consumer Confidence Report Contents
(40 CFR 141.153 and 141.154)
a. Each community water system must provide to its customers an annual report that contains the information
specified below in items "a" through "h" and the required additional health information listed on pages H4
through H5." The full text of the regulations regarding Consumer Confidence Report contents can be found in
40 CFR 141.153 and 141.154.
b. Each report must identify the source(s) of the water delivered by the community water system by providing
information on:
1. The type of the water: e.g., surface water, groundwater; and
2. The commonly used name (if any) and location of the body (or bodies) of water.
If a source water assessment has been completed, the report must notify consumers of the availability of this
information and the means to obtain it. In addition, systems are encouraged to highlight in the report
significant sources of contamination in the source water area if they have readily available information.
Where a system has received a source water assessment from the primacy agency, the report must include a
brief summary of the system's susceptibility to potential sources of contamination, using language provided
by the primacy agency or written by the operator.
c. Each report must include the following definitions:
1. Maximum Contaminant Level Goal or MCLG: The level of a contaminant in drinking water below which
there is no known or expected risk to health. MCLGs allow for a margin of safety.
2. Maximum Contaminant Level or MCL: The highest level of a contaminant that is allowed in drinking
water. MCLs are set as close to the MCLGs as feasible using the best available treatment technology.
A report for a community water system operating under a variance or an exemption issued under Sections
1415 or 1416 of the SDWA must include the following definition: Variances and Exemptions: state or U.S.
EPA permission not to meet an MCL or a treatment technique under certain conditions.
A report that contains data on a contaminant for which U.S. EPA has set a treatment technique or an action
level must include one or both of the following definitions as applicable:
1. Treatment Technique: A required process intended to reduce the level of a contaminant in
drinking water.
2. Action Level: The concentration of a contaminant which, if exceeded, triggers treatment or other
requirements that a water system must follow.
d. Information on Detected Contaminants. This subsection specifies the requirements for information to be included
in each report for contaminants subject to mandatory monitoring (except Cryptosporidium). It applies to:
1. Contaminants subject to an MCL, action level, or treatment technique (regulated contaminants)
2. Contaminants for which monitoring is required by 40 CFR 141.40 (unregulated contaminants); and
3. Disinfection by-products or microbial contaminants for which monitoring is required by 40 CFR 141.142
and 141.143, except as provided under paragraph (e)(l) of this section, and which are detected in the
finished water.
The data relating to these contaminants must be displayed in one table or in several adjacent tables. Any
additional monitoring results that a community water system chooses to include in its report must be
displayed separately.
The data must be derived from data collected to comply with U.S. EPA and state monitoring and
analytical requirements during calendar year 1998 for the first report and subsequent calendar years
thereafter except that:
This document is intended solely for guidance. No statutory or regulatory HI
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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1. Where a system is allowed to monitor for regulated contaminants less often than once a year, the
table(s) must include the date and results of the most recent sampling and the report must include
a brief statement indicating that the data presented in the report are from the most recent testing
done in accordance with the regulations. No data older than 5 years need be included.
2. Results of monitoring in compliance with 40 CFR 141.142 and 141.143 need only be included
for 5 years from the date of last sample or until any of the detected contaminants becomes
regulated and subject to routine monitoring requirements, whichever comes first.
For detected regulated contaminants (listed in Appendix A to 40 CFR 141), the table(s) must contain:
1. The MCL for that contaminant expressed as a number equal to or greater than 1.0 (as provided in
Appendix A to 40 CFR 141);
2. The MCLG for that contaminant expressed in the same units as the MCL;
3. If there is no MCL for a detected contaminant, the table must indicate that there is a treatment
technique, or specify the action level, applicable to that contaminant, and the report must include
the definitions for treatment technique and/or action level, as appropriate, specified in
paragraph(c)(3) of 40 CFR 141.153;
4. For contaminants subject to an MCL, except turbidity and total conforms, the highest
contaminant level used to determine compliance with an NPDWR and the range of detected
levels, as follows:
a. When compliance with the MCL is determined annually or less frequently: The highest
detected level at any sampling point and the range of detected levels expressed in the same
units as the MCL.
b. When compliance with the MCL is determined by calculating a running annual average of
all samples taken at a sampling point: the highest average of any of the sampling points and
the range of all sampling points expressed in the same units as the MCL.
c. When compliance with the MCL is determined on a system-wide basis by calculating a
running annual average of all samples at all sampling points: the average and range of
detection expressed in the same units as the MCL.
5. For turbidity.
a. When it is reported pursuant to 40 CFR 141.13: The highest average monthly value.
b. When it is reported pursuant to the requirements of 40 CFR 141.71: the highest monthly
value. The report should include an explanation of the reasons for measuring turbidity.
c. When it is reported pursuant to 40 CFR 141.73 or 141.173: The highest single measurement
and the lowest monthly percentage of samples meeting the turbidity limits specified in 40
CFR 141.73 or 151.173 for the filtration technology being used. The report should include
an explanation of the reasons for measuring turbidity;
6. For lead and copper: the 90th percentile value of the most recent round of sampling and the
number of sampling sites exceeding the action level;
7. For total coliform:
a. The highest monthly number of positive samples for systems collecting fewer than 40
samples per month; or
b. The highest monthly percentage of positive samples for systems collecting at least 40
samples per month;
8. For fecal coliform: The total number of positive samples; and
9. The likely source(s) of detected contaminants to the best of the operator's knowledge. Specific
information regarding contaminants may be available in sanitary surveys and source water
assessments, and should be used when available to the operator. If the operator lacks specific
information on the likely source, the report must include one or more of the typical sources for
that contaminant listed in Appendix B to 40 CFR 141 which are most applicable to the system.
If a community water system distributes water to its customers from multiple hydraulically independent
distribution systems that are fed by different raw water sources, the table should contain a separate
This document is intended solely for guidance. No statutory or regulatory H2
requirements are in any way altered by any statement(s) contained herein.
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column for each service area, and the report should identify each separate distribution system.
Alternatively, systems could produce separate reports tailored to include data for each service area.
The table(s) must clearly identify any data indicating violations of MCLs or treatment techniques and the
report must contain a clear and readily understandable explanation of the violation including: the length
of the violation, the potential adverse health effects, and actions taken by the system to address the
violation. To describe the potential health effects, the system must use the relevant language of appendix
Cto40CFR141.
For detected unregulated contaminants for which monitoring is required (except Cryptosporidium), the
table(s) must contain the average and range at which the contaminant was detected. The report may
include a brief explanation of the reasons for monitoring for unregulated contaminants.
e. Information on Cryptosporidium, radon, and other contaminants:
If the system has performed any monitoring for Cryptosporidium, including monitoring performed to
satisfy the requirements of 40 CFR 141.143, which indicates that Cryptosporidium may be present in the
source water or the finished water, the report must include:
1. A summary of the results of the monitoring; and
2. An explanation of the significance of the results.
If the system has performed any monitoring for radon that indicates that radon may be present in the
finished water, the report must include:
1. The results of the monitoring; and
2. An explanation of the significance of the results.
If the system has performed additional monitoring that indicates the presence of other contaminants in the
finished water, U.S. EPA strongly encourages systems to report any results that may indicate a health
concern. To determine if results may indicate a health concern, U.S. EPA recommends that systems find
out if U.S. EPA has proposed an NPDWR or issued a health advisory for that contaminant by calling the
Safe Drinking Water Hotline (800-426-4791). U.S. EPA considers detects above a proposed MCL or
health advisory level to indicate possible health concerns. For such contaminants, U.S. EPA recommends
that the report include:
1. The results of the monitoring; and
2. An explanation of the significance of the results noting the existence of a health advisory or a
proposed regulation.
f. Compliance with NPDWR. In addition to the requirements of 40 CFR 141.153(d)(6), the report must note any
violation that occurred during the year covered by the report of a requirement listed below, and include a clear and
readily understandable explanation of the violation, any potential adverse health effects, and the steps the system
has taken to correct the violation.
1. Monitoring and reporting of compliance data;
2. Filtration and disinfection prescribed by Subpart H of 40 CFR 141. For systems that have failed to
install adequate filtration or disinfection equipment or processes, or have had a failure of such
equipment or processes which constitutes a violation, the report must include the following
language as part of the explanation of potential adverse health effects: Inadequately treated water
may contain disease-causing organisms. These organisms include bacteria, viruses, and parasites
that can cause symptoms such as nausea, cramps, diarrhea, and associated headaches.
3. Lead and copper control requirements prescribed by Subpart I of 40 CFR 141. For systems that fail
to take one or more actions prescribed by 40 CFR 141.80(d), 141.81, 141.82, 141.83, or 141.84,
This document is intended solely for guidance. No statutory or regulatory H3
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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the report must include the applicable language of Appendix C of 40 CFR 141 for lead, copper, or
both.
4. Treatment techniques for Acrylamide and Epichlorohydrin prescribed by 40 CFR 141, Subpart K.
For systems that violate the requirements of 40 CFR 141, Subpart K, the report must include the
relevant language from Appendix C to 40 CFR 141.
5. Recordkeeping of compliance data.
6. Special monitoring requirements prescribed by 40 CFR 141.40 and 141.41; and
7. Violation of the terms of a variance, an exemption, or an administrative or judicial order.
g. Variances and Exemptions. If a system is operating under the terms of a variance or an exemption issued under
Sections 1415 or 1416 of the SDWA, the report must contain:
1. An explanation of the reasons for the variance or exemption;
2. The date on which the variance or exemption was issued;
3. A brief status report on the steps the system is taking to install treatment, find alternative sources
of water, or otherwise comply with the terms and schedules of the variance or exemption; and
4. A notice of any opportunity for public input in the review, or renewal, of the variance or
exemption.
h. Additional information:
The report must contain a brief explanation regarding contaminants that may reasonably be expected to be found
in drinking water including bottled water. This explanation may include the language of items h(l) through h(3)
listed below or systems may use their own comparable language. The report must also include the language of
item h(4) below.
1. The sources of drinking water (both tap water and bottled water) include rivers, lakes, streams,
ponds, reservoirs, springs, and wells. As water travels over the surface of the land or through
the ground, it dissolves naturally-occurring minerals and, in some cases, radioactive material,
and can pick up substances resulting from the presence of animals or from human activity.
2. Contaminants that may be present in source water include:
a. Microbial contaminants, such as viruses and bacteria, which may come from sewage
treatment plants, septic systems, agricultural livestock operations, and wildlife.
b. Inorganic contaminants, such as salts and metals, which can be naturally-occurring or
result from urban stormwater runoff, industrial or domestic wastewater discharges, oil and
gas production, mining, or farming.
c. Pesticides and herbicides, which may come from a variety of sources such as agriculture,
urban stormwater runoff, and residential uses.
d. Organic chemical contaminants, including synthetic and volatile organic chemicals, which
are by-products of industrial processes and petroleum production, and can also come from
gas stations, urban stormwater runoff, and septic systems.
e. Radioactive contaminants, which can be naturally-occurring or be the result of oil and gas
production and mining activities.
3. To ensure that tap water is safe to drink, U.S. EPA prescribes regulations to limit the amount of
certain contaminants in water provided by public water systems. FDA regulations establish
limits for contaminants in bottled water, which must provide the same protection for public
health.
This document is intended solely for guidance. No statutory or regulatory H4
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act
4. Drinking water, including bottled water, may reasonably be expected to contain at least small
amounts of some contaminants. The presence of contaminants does not necessarily indicate that
water poses a health risk. More information about contaminants and potential health effects can
be obtained by calling the U.S. EPA's Safe Drinking Water Hotline (800-426-4791).
The report must include the telephone number of the owner, operator, or designee of the community
water system as a source of additional information concerning the report.
In communities with a large proportion of non-English speaking residents, as determined by the
Primacy Agency, the report must contain information in the appropriate language(s) regarding the
importance of the report or contain a telephone number or address where such residents may contact
the system to obtain a translated copy of the report or assistance in the appropriate language.
The report must include information (e.g., time and place of regularly scheduled board meetings) about
opportunities for public participation in decisions that may affect the quality of the water.
The systems may include such additional information as they deem necessary for public education
consistent with, and not detracting from, the purpose of the report.
Required Additional Health Information. (40 CFR 141.54)
a. All reports must prominently display the following language: Some people may be more vulnerable to
contaminants in drinking water than the general population. Immuno-compromised persons such as persons with
cancer undergoing chemotherapy, persons who have undergone organ transplants, people with HIV/AIDS or other
immune system disorders, some elderly, and infants can be particularly at risk from infections. These people
should seek advice about drinking water from their health care providers. U.S. EPA/CDC guidelines on
appropriate means to lessen the risk of infection by Cryptosporidium and other microbial contaminants are
available from the Safe Drinking Water Hotline (800-426-4791).
b. A system that detects arsenic at levels above 25 |j,g/l, but below the MCL:
1. Must include in its report a short informational statement about arsenic, using language such as: U.S. EPA
is reviewing the drinking water standard for arsenic because of special concerns that it may not be
stringent enough. Arsenic is a naturally-occurring mineral known to cause cancer in humans at high
concentrations.
2. May write its own educational statement, but only in consultation with the Primacy Agency.
c. A system that detects nitrate at levels above 5 mg/L, but below the MCL:
1. Must include a short informational statement about the impacts of nitrate on children using language such
as: Nitrate in drinking water at levels above 10 ppm is a health risk for infants of less than 6 mo of age.
High nitrate levels in drinking water can cause blue baby syndrome. Nitrate levels may rise quickly for
short periods of time because of rainfall or agricultural activity. If you are caring for an infant, you should
ask advice from your health care provider.
2. May write its own educational statement, but only in consultation with the Primacy Agency.
d. Systems that detect lead above the action level in more than 5%, but fewer that 10%, of homes sampled:
1. Must include a short informational statement about the special impact of lead on children using language
such as: Infants and young children are typically more vulnerable to lead in drinking water than the
general population. It is possible that lead levels at your home may be higher than at other homes in the
community as a result of materials used in your home's plumbing. If you are concerned about elevated
lead levels in your home's water, you may wish to have your water tested and flush your tap for 30
seconds to 2 minutes before using tap water. Additional information is available from the Safe Drinking
Water Hotline (800-426-4791).
2. May write its own educational statement, but only in consultation with the Primacy Agency.
This document is intended solely for guidance. No statutory or regulatory H5
requirements are in any way altered by any statement(s) contained herein.
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This document is intended solely for guidance. No statutory or regulatory H6
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
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Appendix I:
Monitoring and Sampling Parameters for Lead and Copper in
Drinking Water (40 CFR 141.86(c) and 141.86(d))
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act
Monitoring and Sampling Parameters for Lead and Copper in Drinking Water
(40 CFR 141.86(c) and 141.86(d))
Number of Sampling Sites Required
System Size (people
served)
> 100,000
10,001 - 100,000
3301 - 10,000
501 -3300
101-500
50,000
3301-50,000
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Appendix J:
Monitoring Requirements for Water Quality Parameters
(40 CFR 141.87)
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act
Monitoring Requirements for Water Quality Parameters
(40 CFR 141.87)1
Monitoring Period
Initial Monitoring
After Installation of Corrosion
Control
After state Specifies Parameter
Values for Optimal Corrosion
Control
Reduced Monitoring
Parameters
pH, alkalinity, orthophosphate or
silica3, calcium, conductivity,
temperature
pH, alkalinity, orthophosphate or
silica, calcium4
pH, alkalinity dosage rate and
concentration (if alkalinity
adjusted as a part of corrosion
control), inhibitor dosage rate and
inhibitor residual5
pH, alkalinity, orthophosphate or
silica3, calcium4
pH, alkalinity dosage rate and
concentration (if alkalinity
adjusted as a part of corrosion
control), inhibitor dosage rate and
inhibitor residual5
pH, alkalinity, orthophosphate or
silica3, calcium4
pH, alkalinity dosage rate and
concentration (if alkalinity
adjusted as a part of corrosion
control), inhibitor dosage rate and
inhibitor residual5
Location
Taps and at entry
points in dis-
tribution system
Taps
Entry points to
distribution system
Taps
Entry points to
distribution system
Taps
Entry points to dis-
tribution system
Frequency
Every 6 mo
Every 6 mo
Biweekly
Every 6 mo
Biweekly
Every 6 mo at a
reduced number
of sites
Biweekly
1. NOTE: This table is for illustrative purposes, consult the text of the regulation for actual details).
2. Small and medium-size systems have to monitor for water quality parameters only during monitoring periods in
which the system exceeds the lead or copper action level.
3. Orthophosphates must be measured only when an inhibitor containing a phosphate compound is used. Silica must
be measured only when an inhibitor containing silicate compounds is used.
4. Calcium must be measured only when calcium carbonate stabilization is used as a part of corrosion control.
5. Inhibitor dosage rates and inhibitor residual concentrations (Orthophosphates or silica) must be measured only
when an inhibitor is used.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
Jl
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This document is intended solely for guidance. No statutory or regulatory J2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
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Appendix K:
Maximum Contaminant Level and Maximum Residual Disinfectant
Level Requirements Related to Disinfection
(40 CFR 141.64 and 141.65)
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act
Maximum Contaminant Level and Maximum Residual Disinfectant Level
Requirements Related to Disinfection
(40 CFR 141.64 and 141.65)
The MCLs for disinfection byproducts are as follows:
Disinfection byproduct
MCL (mg/L)
Total trihalomethanes (TTHM)
Haloacetic acids (five) (HAAS)
Bromate
Chlorite
0.080
0.060
0.010
1.0
Maximum residual disinfectant levels (MRDLs) are as follows:
Disinfection residual
MRDL
(mg/L)
Chlorine
Chloramines
Chlorine dioxide
4.0 (as C12).
4.0 (as C12).
0.8 (as C1O2).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
Kl
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This document is intended solely for guidance. No statutory or regulatory K2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
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Appendix L:
Monitoring Frequency for Total Trihalomethanes and
Haloacetic Acids (Fives) (40 CFR 141.132(b))
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act
Monitoring Frequency for Total Trihalomethanes and Haloacetic Acids (Fives)
(40 CFR 141.132(b))
Table 1: Routine Monitoring Frequency for TTHM and HAAS
Type of system
Minimum monitoring
frequency
Sample location in the distribution
system
Subpart H system serving at least
10,000 persons.
Four water samples per
quarter per treatment
plant.
At least 25% of all samples collected
each quarter at locations representing
maximum residence time. Remaining
samples taken at locations representative of
at least average residence time in the
distribution system and representing the
entire distribution system, taking into
account number of persons served, different
sources of water, and different treatment
methods.1
Subpart H system serving from
500 to 9,999 persons.
Subpart H system serving
< 500 persons.
One water sample per
quarter per treatment
plant.
One sample per year per
treatment plant during
month of warmest water
temperature.
Locations representing maximum residence
time.1
Locations representing maximum residence
time.1 If the sample (or average of annual
samples, if more than one sample is taken)
exceeds MCL, system must increase
monitoring to one sample per treatment
plant per quarter, taken at a point reflecting
the maximum residence time in the
distribution system, until system meets
reduced monitoring criteria (see 40 CFR
141.132(c))
System using only groundwater
not under direct influence of
surface water using chemical
disinfectant and serving at
least 10,000 persons.
System using only groundwater
not under direct influence of
surface water using chemical
disinfectant and serving < 10,000
persons.
One water sample per
quarter per treatment
plant2.
One sample per year per
treatment plant2 during
month of warmest water
temperature.
Locations representing maximum residence
time.1
Locations representing maximum residence
time.1 If the sample (or average of annual
samples, if more than one sample is taken)
exceeds MCL, system must increase
monitoring to one sample per treatment
plant per quarter, taken at a point reflecting
the maximum residence time in the
distribution system, until system meets
criteria for reduced monitoring (see 40 CFR
141.132(c))
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
LI
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
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1 If a system elects to sample more frequently than the minimum required, at least 25% of all samples
collected each quarter (including those taken in excess of the required frequency) must be taken at locations
that represent the maximum residence time of the water in the distribution system. The remaining samples must
be taken at locations representative of at least average residence time in the distribution system.
2 Multiple wells drawing water from a single aquifer may be considered one treatment plant for determining the
minimum number of samples required, with state approval in accordance with criteria developed under 40 CFR
142.16(f)(5).
Table 2: Reduced Monitoring Frequency for TTHM and HAAS
If
you are a
You may reduce monitoring
if you have monitored at
least one year and your ..
To this level
Subpart H system serving at TTHM annual average
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Protocol for Conducting Environmental Compliance Audits of
Public Water Systems under the Safe Drinking Water Act
Appendix M:
Reporting Requirements (40 CFR 141.134(b))
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act
Reporting Requirements
(40 CFR 141.134(b))
Disinfection Byproducts, systems must report the information specified in the following table:
If you are a...
You must report...1
System monitoring for TTHM and HAAS under the
requirements of 40 CFR 141.132(b) on a quarterly or
more frequent basis.
System monitoring for TTHMs and HAAS under the
requirements of 40 CFR 141.132(b) less frequently than
quarterly (but at least annually).
System monitoring for TTHMs and HAAS under the
requirements of 40 CFR 141.132(b) less frequently
than annually.
System monitoring for chlorite under the requirements of
40CFR141.132(b).
System monitoring for bromate under the requirements
of 40CFR141.132(b).
(1) The number of samples taken during the last quarter.
(2) The location, date, and result of each sample taken
during the last quarter.
(3) The arithmetic average of all samples taken in the
last quarter.
(4) The annual arithmetic average of the quarterly
arithmetic averages of this section for the last four
quarters.
(5) Whether the MCL exceeded.
(1) The number of samples taken during the last year
(2) The location, date, and result of each sample taken
during the last quarter.
(3) The arithmetic average of all samples taken over the
last year.
(4) Whether the MCL was exceeded.
(1) The location, date, and result of the last sample
taken.
(2) Whether the MCL was exceeded.
(1) The number of samples taken each month for the last
3 mo.
(2) The location, date, and result of each sample taken
during the last quarter.
(3) For each month in the reporting period, the
arithmetic average of all samples taken in the
month.
(4) Whether the MCL was exceeded, and in which month
it was exceeded.
(1) The number of samples taken during the last quarter
(2) The location, date, and result of each sample taken
during the last quarter.
(3) The arithmetic average of the monthly arithmetic
averages of all samples in the last year.
(4) Whether the MCL was exceeded.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
Ml
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act
Disinfectants, systems must report the information specified in the following table:
If you are a...
You must report...1
System monitoring for chlorine or chloramines under the
requirements of 40 CFR 141.132(c).
System monitoring for chlorine dioxide under the
requirements of 40 CFR 141.13 2(c).
(1) The number of samples taken during each month of
the last quarter.
(2) The monthly arithmetic average of all samples taken
in each month for the last 12 mo.
(3) The arithmetic average of all monthly averages for
the last 12 mo.
(4) Whether the MRDL was exceeded.
(1) The dates, results, and locations of samples taken
during the last quarter.
(2) Whether the MRDL was exceeded.
(3) Whether the MRDL was exceeded in any two
consecutive daily samples and whether the resulting
violation was acute/nonacute.
The state may choose to perform calculations and determine whether the MRDL was exceeded, in lieu of having
the system report that information.
Disinfection Byproduct Precursors and Enhanced Coagulation or Enhanced
Softening, systems must report the information specified in the following table:
If you are a ...
You must report.. -1
System monitoring monthly or quarterly for TOC under
the requirements of 40 CFR 141.132(d) and required to
meet the enhanced coagulation or enhanced softening
requirements in 40 CFR 141.135(b)(2) or (3).
System monitoring monthly or quarterly for TOC under
the requirements of 40 CFR 141.132(d) and meeting one
or more of the alternative compliance criteria in 40 CFR
141.135(a)(2)or(3).
(1) The number of paired (source water and treated
water, prior to continuous disinfection) samples
taken during the last quarter.
(2) The location, date, and result of each paired sample
and associated alkalinity taken during the last
quarter.
(3) For each month in the reporting period that paired
samples were taken, the arithmetic average of
the percent reduction of TOC for each paired sample
and the required TOC percent removal.
(4) Calculations for determining compliance with the
TOC percent removal requirements, as provided in
40CFR141.135(c)(l).
(5) Whether the system is in compliance with the
enhanced coagulation or enhanced softening percent
removal requirements in 40 CFR 141.135(b) for the
last four quarters.
(1) The alternative compliance criterion that the system
is using.
(2) The number of paired samples taken during the last
quarter.
(3) The location, date, and result of each paired sample
and associated alkalinity taken during the last
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
M2
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Protocol for Conducting Environmental Compliance Audits of Public Water Systems under the Safe Drinking
Water Act
Disinfection Byproduct Precursors and Enhanced Coagulation or Enhanced
Softening, systems must report the information specified in the following table:
If you are a ...
You must report.. -1
quarter.
(4) The running annual arithmetic average based on
monthly averages (or quarterly samples) of source
water TOC for systems meeting a criterion in 40
CFR 141.135(a)(2)(i) or (iii) or of treated water
TOC for systems meeting the criterion in 40
CFR141.135(a)(2)(ii).
(5) The running annual arithmetic average based on
monthly averages (or samples) of source water
SUVA for systems meeting criterion in 40 CFR
141.135(a)(2)(v) or of treated water SUVA for
systems meeting the criterion in 40 CFR
(6) The running annual average of source water
alkalinity for systems meeting the criterion in 40
CFR 141.135(a)(2)(iii) and of treated water
alkalinity for systems meeting the criterion in 40
CFR141.135(a)(3)(i).
(7) The running annual average for both TTHM and
HAAS for systems meeting the criterion in 40 CFR
(8) The running annual average of the amount of
magnesium hardness removal (as CaCO3, in mg/L)
for systems meeting the criterion in 40 CFR
(9) Whether the system is compliance with the particular
alternative criterion in 40 CFR 141.135(a)(2) or (3).
The state may choose to perform calculations and determine whether the treatment technique was met, in lieu of
having the system report that information.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
M3
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This document is intended solely for guidance. No statutory or regulatory M4
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
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Appendix N:
User Satisfaction Questionnaire and Comment Form
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User Satisfaction Survey
(OMB Approval No. 1860.01)
Expires 9/30/2001
We would like to know if this Audit Protocol provides you with useful information. This information
will be used by EPA to measure the success of this tool in providing compliance assistance and to
determine future applications and needs for regulatory checklists and auditing materials.
1. Please indicate which Protocol(s) this survey applies to:
Title:
EPA Document Number:
2. Overall, did you find the Protocol helpful for conducting audits:
Yes No
If not, what areas of the document are difficult to understand?
3. How would you rate the usefulness of the Protocol(s) for conducting compliance audits on a
scale of 1-5?
1 = not useful or effective, 3 = somewhat useful/effective, 5 = very useful/effective
Low Medium High
12345 Introduction Section
12345 Key Compliance Requirements
12345 Key Terms and Definitions
12345 Checklist
4. What actions do you intend to take as a result of using the protocol and/or conducting the audit?
Please check all that apply.
Contact a regulatory agency
Contact a compliance assisstance provider (e.g., trade association, state agency, EPA)
Contact a vendor
Disclose violations discovered during the audit under EPA's audit Policy
Disclose violations discovered under EPA's Small Business Policy
Obtain a permit or certification
Change the handling of a waste, emission or pollutant
Change a process or practice
Purchase new process equipment
Install emission control equipment (e.g., scrubbers, wastewater treatment)
Install waste treatment system (control technique)
Implement or improve pollution prevention practices (e.g., source reduction, recycling)
Improve organizational auditing program
Institute an Environmental Management System
Improve the existing Environmental Management System (e.g., improve training, clarify standard
operating procedures, etc.)
Other
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5. What, if any, environmental improvements will result from the actions to be taken (check all that
apply)?
reduced emissions
waste reduction
reduced risk to human health and the environment due to better management practices
reduced quantity and toxicity of raw materials
water conservation
energy conservation
conserved raw materials
conservation of habitat or other environmental stewardship practice:
other:
no environmental improvements are likely to result from the use of this document
6. How did you hear about this document?
trade association
state technical assistance provider
EPA internet homepage or website
document catalog
co-worker or business associate
EPA, state, or local regulator
other (please specify)
7. In order to understand your response, we would like to know what function you perform with respect
to environmental compliance and the size of your organization.
Company Personnel Trade Association Compliance Assistance
Environmental Auditor National Provider
Corporate Level Regional EPA
Plant-level Local State
Legal Manager State Small Business
Environmental Manager Information Specialist Assistance
Operator - (e.g., Local
Pollution Control Other
Equipment
Other:
Regulatory Personnel Vendor/Consultant
State Environmental Auditor
Local Environmental
EPA Engineer/Scientist
Attorney
How many employees are located at your facility (including full-time contractors?)
0-9 10-49 50-100 101-500 More than 500
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Optional (Please Print)
Name: Address:
Title: City: State:
Zip code:
Organization Name:
Phone: ( ) E-mail:
Please return all pages (1 thru 3) of this survey by folding pages 1 and 2 into page 3 and using the preprinted, pre-
stamped address on the reverse side of page 3. If you have accessed this document electronically from one of EPA's
web sites, simply e-mail this questionnaire to: satterfield.richard(@,epa.gov.
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United States
Environmental Protection
Agency
Office of the
Administrator
(2131)
EPA 233-B-00-001
May 2000
ENVIRONMENTAL
MANAGEMENT GUIDE
FOR SMALL LABORATORIES
-------
Environmental Management Guide
for
Small Laboratories
U.S. Environmental Protection Agency
Small Business Division
Washington, DC
May 2000
-------
NOTICE
This document has been prepared to assist those responsible for administering or improving
environmental management programs at small labs. To do this, the document outlines
management and Federal regulatory issues for improving lab environmental performance, but
does not prescribe in detail all required factors and considerations. For example, many
important state, tribal or local requirements are not addressed.
The U.S. Environmental Protection Agency does not make any guarantee or assume any
liability with respect to the use of any information contained in this document. It is
recommended that users of this document requiring additional information or advice consult a
qualified professional.
-------
ACKNOWLEDGEMENT
This document was prepared for the Small Business Division of the U.S. Environmental
Protection Agency (EPA). Important guidance was provided by numerous EPA staff in
headquarters, regions, and lab facilities. Also providing valuable review and comments were
representatives from: Radiation Safety Associates; Quest Diagnostics Inc.; and the University
of Wisconsin System. The authors would also like to thank the dozens of experts who
responded to the request for review during the "1999 Laboratory Safety and Environmental
Management Conference." Your suggestions and assistance were greatly appreciated.
Finally, the authors would like to thank those involved in the development and review of the
first edition of the Guide, the success of which generated the interest in, and need for, this
second edition.
SUGGESTED IMPROVEMENTS
This is the second edition of the Environmental Management Guide for Small Laboratories.
Concentrated effort was made to ensure this document's usefulness to small labs and to
address comments on the first edition, but additional improvements are always possible.
Comments and suggested improvements are always welcome and should be directed to:
U.S. Environmental Protection Agency
Small Business Division
Ariel Rios Building, MC 2131
1200 Pennsylvania Avenue, NW
Washington, DC 20460
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TABLE OF CONTENTS
List of Acronyms v
1.0 INTRODUCTION 1
2.0 ENVIRONMENTAL MANAGEMENT IN SMALL LABORATORIES 4
2.1 ENVIRONMENTAL MANAGEMENT SYSTEMS 4
2.2 POLLUTION PREVENTION AND WASTE MINIMIZATION 6
2.3 ENVIRONMENTAL TRAINING 7
2.4 INFORMATION MANAGEMENT AND RECORDKEEPING 9
3.0 KEY ENVIRONMENTAL MANAGEMENT ISSUES 11
3.1 AIR EMISSIONS 11
3.2 WATER DISCHARGES 21
3.3 HAZARDOUS WASTES 28
3.4 NON-HAZARDOUS SOLID WASTE 48
3.5 BIOLOGICALLY ACTIVE SUBSTANCES AND WASTES 52
3.6 RADIOACTIVE MATERIALS 57
3.7 SPECIAL WASTES 65
3.8 HAZARDOUS SUBSTANCE RELEASES 72
3.9 EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW 74
3.10 Toxic SUBSTANCES 77
3.11 PESTICIDES 83
3.12 DRINKING WATER MANAGEMENT 86
3.13 UNDERGROUND STORAGE TANKS 89
3.14 HAZARDOUS MATERIALS HANDLING AND STORAGE 92
3.15 SUSTAINABLE PRACTICES 99
4.0 RELIABLE RESOURCES 105
5.0 LITTLE KNOWN BUT ALLOWABLE WAYS TO MANAGE HAZARDOUS WASTE 110
STATE-BY-STATE ANALYSIS 113
IV
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LIST OF ACRONYMS
ASHRAE American Society of Heating,
Refrigeration and Air-
Conditioning Engineers
ACM Asbestos-Containing Material
ANSI American National Standards
Institute
CAAA Clean Air Act Amendments
CDC
Centers for Disease Control
CERCLA Comprehensive Environmental
Response, Clean-up and Liability
Act
CESQG Conditionally Exempt Small
Quantity Generator
CFC
Chlorofluorocarbons
CFR Code of Federal Regulation
DOT Department of Transportation
EMS Environmental Management
System
EPA Environmental Protection Agency
EPCRA Emergency Planning and
Community Right-to-Know Act
EUP Exceptional Use Permits
FIFRA Federal Insecticide, Fungicide,
and Rodenticide Act
GLPS Good Laboratory Practice
Standards
HAP
Hazardous Air Pollutant
HCFC Hydrochlorofluorocarbon
HSWA Hazardous and Solid Waste
Amendments
ISO International Organization for
Standardization
LDR Land Disposal Restrictions
LEPC Local Emergency Planning
Committee
LOG Large Quantity Generator
LQHUW Large Quantity Handlers of
Universal Waste
LSF Liquid Scintillation Fluid
MCL Maximum Contaminant Level
MSDS Material Data Safety Sheet
NESHAP National Emission Standards for
Hazardous Air Pollutants
NFPA National Fire Protection Act
NIH
National Institute for Health
NORM Naturally Occurring Radioactive
Material
NPDES National Pollution Discharge
Elimination System
NRC Nuclear Regulatory Commission,
National Response Center,
National Research Council
NSPS New Source Performance
Standards
ODS Ozone Depleting Substances
OSHA Occupational Safety and Health
Administration
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P2 Pollution Prevention
PBT Persistent, Bioaccumulative,
Toxic
PCB Polychlorinated biphenyls
PEL Permissible Exposure Limit
POTW Publicly Owned Treatment Works
PPE Personal Protective Equipment
RCRA Resource Conservation and
Recovery Act
RGD Radiation-Generating Devices
RMP Risk Management Plan
RQ Reportable Quantity
RSO Radiation Safety Officer
SBAP Small Business Assistance
Program
SBO Small Business Ombudsman
SDWA Safe Drinking Water Act
SERC State Emergency Response
Committee
SNM Special Nuclear Material
SQG Small Quantity Generator
SQHUW Small Quantity Handlers of
Universal Waste
SPCC Spill Prevention, Control and
Countermeasure
SSLA Small Sealed Lead Acid
TCLP Toxicity Characteristic Leaching
Procedure
TPQ Threshold Planning Quantity
TQ Threshold Quantity
TRI Toxic Release Inventory
TSCA Toxic Substance Control Act
TSDF Treatment, Storage, and
Disposal Facility
UST Underground Storage Tank
TAP
Toxic Air Pollutant
VI
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1.0 INTRODUCTION
The Environmental Management Guide for Small Laboratories (Guide) is designed to help
staff in small labs better understand their responsibility for good environmental management.
Its purpose is to improve environmental performance by assisting in the development and
implementation of environmental management programs that meet important Federal
regulatory requirements and prevent pollution. It is important to understand that for small lab
environmental programs to be fully responsive, the information provided here must be
supplemented by information contained in state, tribal or local regulations and by good
management practices. This Guide is designed to be a good starting source.
Lab
Challenges
Environmental management issues associated with small labs present a
unique challenge. This challenge stems from the fact that most of today's
environmental management requirements are based on regulations which
were designed for relatively simple processes in manufacturing (e.g.,
printing) and service (e.g., dry cleaning) entities. Small lab operations, in
general, are very different from those in manufacturing and services as
the following table indicates. The uniqueness of small lab operations
means that traditional approaches to environmental management, which
may work well with other operations, need careful consideration, and
possible adjustment, to work well.
WHAT MAKES A LAB DIFFERENT?
Factor
Variety of Substances Used
Quantity of Substances Used
Variability in Operations
Likelihood of Creating New
Substances
Staff Education Level
Centralized Management Control
Manufacturing/
Services
Low
High
Low
Low
Mixed
High
Small Labs
High
Low
High
High
High
Mixed
Adapted from LS&EM V7, No. 5, p. 4
With a focus on environmental management and emphasis on chemicals,
it is important to understand that some critical related areas are not
addressed in this Guide. For example, safety and health requirements
administered by the Occupational Safety and Health Administration
(OSHA) are not fully addressed nor are requirements for transporting
hazardous materials (e.g., samples, supplies), which are implemented by
the U. S. Department of Transportation (DOT). Both are very important to
small labs. Also, the hazards associated with biologically active
substances and radioactive materials are not fully addressed in this
document. However, Section 4.0 indicates reliable sources of information
that should be helpful in these areas.
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What is a
"Small" Lab?
In discussions of environmental management requirements for labs, there
is often confusion between requirements applicable to the operation of the
lab and requirements designed to meet specific lab analysis methods or
protocols such as those for environmental media. One example is the
requirement for managing toxic substances (e.g., storage, handling and
disposal) versus how to sample them (e.g., Toxic Substances Control Act
(TSCA) Good Laboratory Practice Standards (GLPS)). Although such
specific sampling requirements for some media may be noted in this
Guide, a detailed discussion of these requirements is not provided.
For the purpose of this document, a "small lab" is one that has no full-time
position in environmental management. In small labs, environmental
management is most likely a shared responsibility or administered by part-
time staff or through collateral duty. Given this definition, most labs
probably fall into this "small lab" category and will benefit from this
document. Of course, many large labs should benefit from the
information contained in this document as well. However, large labs are
likely to have additional environmental management responsibility that is
not fully addressed here. Air emissions management is one example
where large labs, especially those involved in research and development
may have additional responsibility because large lab air emissions may be
greater.
Small labs are diverse in their settings and operations. Some small labs
are affiliated with a larger organization, while others are independent
operations. Given widespread use of the word "lab" many types of small
labs exist; a few are listed below.
TYPICAL SMALL LAB TYPES
Independent
Contract Research in the Healthcare, Chemical,
Natural Resources, Energy, or Manufacturing
Industries
Commercial Testing Labs in the Environmental,
Material Science, Healthcare, Industrial Hygiene,
Food, and Engineering Sectors
Affiliated
Teaching and Research Labs in Academia
Hospital Labs
Quality Assurance Labs in Manufacturing
Forensic Labs
Water and Wastewater Plant Labs
Government Research and Testing Labs
Private Research and Development Labs
All of these small lab types should benefit from the information in this
Guide.
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The remainder of this document is organized into four additional sections.
• Section 2.0 Environmental Management in Small Laboratories - Presents information on
the overall environmental management system at a small lab including the implementation
of pollution prevention and environmental training programs.
• Section 3.0 Key Environmental Management Issues - Provides descriptions of 15 key
regulatory programs and media-based environmental management areas that impact the
effective operation of small labs. These range from air pollution control to sustainable
practices such as energy and water conservation.
• Section 4.0 Reliable Resources - Lists additional information sources on small lab
environmental, health, and safety management.
• Section 5.0 Little Known but Allowable Ways to Manage Hazardous Waste - Provides a
description of five ways EPA allows for the on-site treatment of hazardous wastes. Many
labs should find these methods useful, but it is important to check state, local and tribal
regulatory programs first.
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2.0 ENVIRONMENTAL MANAGEMENT IN SMALL LABORATORIES
2.1 Environmental Management Systems
Like any other important business activity in a small lab, environmental issues must be
carefully managed. For example, important business activities occurring in small labs address
quality, finance, human resources, or safety - and have appropriate management systems.
What is
an EMS?
Why is an
EMS
Important?
The collection of activities undertaken to ensure that environmental issues
are managed is called an environmental management system (EMS). An
EMS is essential to:
• Consistently comply with environmental laws and regulations;
• Improve overall environmental performance;
• Address environmental liability from current or past practices;
• Maximize the investment, no matter how small, in environmental
affairs;
• Integrate environmental objectives into overall business objectives;
and
• Provide for an environmentally safe workplace.
Interest in environmental protection is growing steadily so small labs, like
other organizations, may be increasingly challenged to demonstrate
commitment to the environment. Implementing an EMS can help in a
number of ways.
First, an EMS makes good business sense. By identifying the causes of
environmental problems, and then eliminating them, an EMS can help
save money. The following questions demonstrate the point:
• Is it better to conduct chemical analyses right the first time or perform
a lot of re-work later?
• Is it cheaper to prevent a spill in the first place or clean it up
afterwards?
• Is it more cost-effective to prevent pollution or to manage it after it has
been generated?
Second, an EMS can be an investment in the long-term viability of a small
lab. An EMS helps the organization become more focused and,
therefore, more effective in achieving environmental goals. This, typically,
will result in higher staff job satisfaction and productivity. It also will help
attract and retain new customers. More and more often, it is becoming
necessary to prove a lab has an EMS to satisfy contract or other business
terms.
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EMS Elements The following are typically considered elements of an effective EMS.
Policy
• Develop an Environmental Policy that describes the lab
organization's commitment to the environment.
• Use this policy as a framework for planning and implementation.
Planning
• Formulate objectives in line with the policy.
• Plan actions to achieve objectives.
• Ensure plan is in compliance with Federal, state, tribal and local
regulations.
Implementation
• Establish roles and responsibilities and provide resources.
• Provide training to employees on their environmental
responsibilities.
• Institute processes for communicating both internal and external
environmental management issues.
• Develop written procedures and policies and ensure that
documentation is maintained.
• Identify potential emergencies and develop procedures for
prevention and response.
Quality Assurance and Control
• Monitor key activities and track performance.
• Identify and correct problems.
• Keep adequate records of EMS performance.
• Conduct periodic environmental management system audits to
verify that the EMS is operating as intended.
Management Review
• Periodically review the EMS to evaluate overall program
effectiveness and institute improvements where needed.
• Annually review objectives to determine whether the lab is meeting
them. Set new targets as needed.
Chances are that most small labs have already committed to a quality or
safety program. In fact, much of what is needed in many small labs may
already be in place. In these cases, it is useful to think of an EMS as a
value-added component to these existing programs.
When first establishing an EMS, the process can seem overwhelming.
Because the EMS process encourages continual improvement, however,
it doesn't matter how complete an EMS is, or isn't. It is important to get
started now.
Small labs have some advantages over larger labs for establishing an
EMS. For example, lines of communication are generally shorter,
organizational structures are less complex, people perform multiple
functions, and access to management is simpler. Also, time and
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EMS
Standards
and
Registration
Typical EMS Registration Process
Application
EMS Documentation Review -
Desk Audit
On-site EMS Readiness Review
Registration Audit
Registration Determination
Surveillance
resources are more scarce. This means management and staff are often
motivated to spend time and resources wisely. An EMS helps promote
and sustain such efficiency.
Many lab organizations have already committed to quality certifications
such as the International Organization for Standardization (ISO) Total
Quality Management Standard, ISO 9000. A number of organizations and
countries have developed similar
"quality" standards devoted to EMS.
One such standard is ISO 14001. A
lab can review its organization against
a standard such as ISO 14001 to
identify gaps and opportunities for
improvement in its EMS. If the lab
meets all the required elements of the
standard, the lab can "self-declare"
conformance. Alternatively, the lab can go through a third-party
"registration" process. Some customers may require a third party review.
Regardless of whether the lab pursues formal registration or self-declares,
the assessment and adjustment of the lab's operations using a standard
such as ISO 14001 is likely to improve lab environmental management.
ISO 14001 and other EMS standards should not be confused with lab
certification and accreditation programs that demonstrate compliance with
industry or government process or sample analysis protocols. Examples
of these accreditations include EPA's National Environmental Laboratory
Accreditation Program (NELAP) and the National Institutes of Standards
and Testing (NIST) accreditation process for asbestos analysis. A
properly designed EMS will consider conformance with such accreditation
programs as a system objective but will go beyond the lab analysis
process to consider all environmental aspects of the lab.
2.2 Pollution Prevention and Waste Minimization
Pollution prevention (P2) and waste minimization are terms that refer to practices that reduce
or eliminate the amount and/or toxicity of pollutants which would have entered any waste
stream or that would have been released into the environment prior to recycling, treatment, or
disposal. P2 applies not only to the management of all types of waste, but also to the
management of releases to air, water, and land. These practices are cross cutting and can be
adopted in many environmental program areas.
The United States Congress issued national expectations for P2 in the Pollution Prevention
Act of 1990. The U.S. Environmental Protection Agency (EPA) has developed a hierarchy for
waste management alternatives that lists source reduction as the preferred option, followed by
on-site and off-site recycling, treatment, and land disposal. The P2 approach is most effective
if encouraged at the highest level of the lab organization and integrated into the organization's
EMS. Some common P2 practices include equipment or process modifications, reformulation,
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substitution with less toxic materials, and inventory control procedures.
Implementing Implementing a comprehensive P2 program can benefit a lab organization
a P2 Program in a number of ways. It may cut expenses by reducing waste treatment
and disposal costs, raw material purchases, and other operating costs. It
may also reduce potential environmental liabilities and help protect the
environment.
Labs have unique waste disposal issues that are different from
manufacturing operations because of the broad variety and small
quantities of chemicals used and the rapid frequency with which
processes can change. There are various methods lab personnel can
employ to minimize the generation of hazardous wastes. To be effective,
a P2 program should include the key elements outlined below:
1. Obtain Management Support. Top management should instill and
foster support by communicating the importance for such a program to
staff. Management participation and compliance with the program is
critical to its success.
2. Conduct a Waste Stream Assessment. Evaluate each waste stream
from every process to generate ideas and options for reducing waste.
3. Conduct a Feasibility Analysis. This will help prioritize the order in
which waste minimization options are selected and carried out. When
performing a feasibility analysis, consider regulatory issues, costs,
staffing, space requirements, and company policies.
4. Implement the Selected P2 or Waste Minimization Options.
Develop and disseminate a memo or policy to educate and train staff
who will ultimately be involved in performing and/or implementing the
selected options.
5. Evaluate the Program. Periodically evaluate the program's
performance to determine overall effectiveness. Then implement
recommended changes for improvement.
P2 and Waste Minimization Opportunities
There are a variety of P2 and waste minimization opportunities that may be available to small
labs. Specific examples are provided in each of the key environmental management issue
subsections provided in Section 3 of this Guide.
2.3 Environmental Training
A critical element for the successful implementation of a lab EMS is the development and
implementation of an environmental training program. Employees at small labs may
encounter various types of hazards - chemical, physical, biological and radiological. A
comprehensive training program provides:
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• Employees with information to conduct their jobs in a safe manner;
• A process to assure compliance with regulatory-based training requirements; and
• A mechanism to: demonstrate management's commitment to improved environmental
performance; communicate corporate environmental policies and goals; and elevate the
environmental awareness of staff.
Developing and implementing a comprehensive environmental training program can be a
daunting task when one considers the dozens of environmental, health and safety training
classes that may be required for a lab. OSHA has developed voluntary training guidelines to
assist employers in identifying and providing a training program. The guidelines consist of
seven steps that follow the EMS process of planning, implementing, and measuring
performance:
Developing
the Training
Program
1.
2.
3.
4.
5.
6.
Effective Lab Training
Consider practical competency-
based training that teaches the
application of environmental,
health and safety principles to
daily work practices as an
effective alternative to traditional
classroom training.
Perform a Needs Assessment.
Determine what training, if any is
necessary, to meet the training
program objectives. Training is
generally required when there are
new or transferred employees,
changes in programs or procedures,
new regulations or requirements, new
equipment or materials, needs for
improved performance, or simply to meet a periodic regulatory
requirement.
Design the Training Program.
Design a program that includes:
• Establishing training goals and
objectives (e.g., education on
specific lab procedures,
compliance with regulation,
general awareness, etc.); and
• Determining effective training
methods (e.g., case studies,
video, practical exercises) and
trainers.
Develop the Training Content.
Prepare training courses and
materials to meet the program goals and objectives. The materials
may include commercially available products, training developed and
presented by a contractor or developed internally.
Conduct the Training. Execute the training program.
Evaluate the Training Effectiveness. Assess individual training
class effectiveness and the overall effectiveness of the training
program to ensure that it is meeting the course/program goals.
Recordkeeping and Monitoring. Maintain records of student
evaluations, tests, and attendance rosters.
Computer-based training is
increasingly being applied as an
effective teaching method.
Stanford University reports a
positive initial response to this
training approach. Their on-line
training program can be viewed
at: http://somsafetv.stanford.
edu/bbp2/index.html.
Also, the Howard Hughes Medical
Institute offers a web based
training site at: http://info.med.
vale.edu/CAIM/HHMI/Public/
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Required
Training
7. Improve the Training Program. Based on the results of evaluations,
revise the training classes and program to correct deficiencies.
Lab personnel are subject to a variety of EPA, OSHA, DOT and Nuclear
Regulatory Commission (NRC) training requirements. Requirements
include hazard communication, chemical hygiene and hazardous waste
training to name a few.
2.4 Information Management and Recordkeeping
"Buried in paperwork" is a term that is easily understood by environmental managers at small
labs. The amount of environmental information that must be managed can be daunting.
Consider the variety of information sources presented in the following figure.
Employee Medical
Surveillance Data
\
Container Data
Hazardous Waste
Data
\
Occup. Health
t Industrial Hygiene
Implementation Guide for the Code of Environmental Management Principles for Federal Agencies;
Appendix A, Model Office/Facility Environmental Program
Maintaining accurate, up-to-date, and easily retrievable records of environmental management
activities is essential for reducing future liability (e.g., fines for regulatory non-compliance,
costly cleanup costs), facilitating inspections (internal and external), and responding to
customer and other inquiries and information requests. Many environmental laws and
regulations require comprehensive documentation to assure compliance and for regulatory
agency reporting. Each reporting requirement has unique agencies to work with, reporting
periods and submission dates, data reporting formats and record retention times.
Documentation requirements are also required to demonstrate conformance with EMS
standards such as ISO 14001. Many of these are described in the key environmental
management issue subsections provided in Section 3 of the Guide.
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Like most elements of a quality EMS, a good information and documentation management
system should be designed to meet the specific needs of the small lab. The system should
address not only regulatory reports but also such information as key regulations, guidance
documents and other environmental management publications. The recordkeeping system
should never rely on undocumented processes set up and maintained exclusively by a single
individual. Inevitably, the individual is gone when key documents are needed and, therefore,
cannot easily be retrieved.
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3.0 KEY ENVIRONMENTAL MANAGEMENT ISSUES
The environmental management issues presented in this section either: (1) represent
traditional areas with the most environmental management risk for small labs, or (2) are
perceived to offer the greatest opportunity for environmental performance improvement. Not
all issues may be of equal importance, but management of each is necessary to ensure
continuously improving environmental performance.
3.1 Air Emissions
Often, air emissions from small labs appear to be subject to little or no regulation with some
exceptions such as incinerators, large heating units, and lab processes emitting large
quantities of hazardous air pollutants. Still, responsible lab staff should take steps to minimize
emissions because even small, unregulated amounts of pollutants can be harmful to the
environment. Many state, tribal, and local authorities regulate air emissions on a level at least
as stringent as the Federal regulations. It is imperative that small labs check with the state,
tribal or local authority to ensure the lab meets all applicable requirements and regulations.
Air emissions are also a potential occupational health issue. In 1991, OSHA recognized the
unique nature of labs and established a separate lab standard (29 CFR 1910.1450) that
requires a chemical hygiene plan that includes an assessment of potential personnel exposure
to hazardous chemicals.
Regulatory Considerations
The Clean Air Act Amendments of 1990 (CAAA) established broad-reaching programs dealing
with issues such as automobile emission standards, alternative fuels, and stratospheric ozone.
But, of greatest potential concern to labs is Section 112 of the CAAA that addresses
hazardous air pollutants (HAPs). Currently, 190 pollutants are listed as hazardous under
Section 112, many of these are emitted from lab fume hoods. Common lab chemicals
included on the list are benzene, formaldehyde, and methylene chloride.
Emission standards for many HAP source categories have been developed at the federal level
and more are being added. Source categories include major industrial types (e.g.,
pharmaceutical manufacturing, synthetic organic chemical manufacturing) at which labs are
often present. Interestingly, Congress also directed EPA to consider listing "research or lab
facilities" as its own source category (CAA 112(c)(7)). EPA has not yet made a determination,
but listing research or lab facilities as a separate source category would impact only large lab
facilities which qualify as "major sources." It is unlikely that a small lab would be a "major
source."
The primary mechanisms regulating air pollutant emissions are state, tribal, and local air
quality control regulations. These regulations normally follow the Federal guidelines and have
similar features. However, depending on the type of air pollutant issues within the state,
Indian Country, or local air quality district, individual regulations will vary. Because air quality
11
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regulations vary from state to state and even within a state, it is imperative that the lab check
with their state, tribal, or local air permitting authority to establish exactly what requirements
apply to the lab.
Permits
Title V Operating Permits. Title V of the CAAA establishes a permitting
program for "major sources" of air
emissions and for sources subject to
certain New Source Performance
Standards (NSPS) or National Emissions
Standards for Hazardous Air Pollutants
(NESHAPs). Implementation of the
program is delegated to authorized states
and tribal governments.
Is my lab a major source?
Yes, if it has the potential to
emit: a) 10 tons per year of
any single HAP or 25 tons per
year of a combination of HAPs
from all sources at the lab
combined; b) a threshold
quantity of a criteria pollutant
and is in a non-attainment
area for NAAQS (threshold
varies by pollutant and area
classification); or c) 100 tons
per year of any "air pollutant."
In some instances, small labs may be
regulated under a Title V program because
they are located in facilities with
heating/cooling plants or other large
emission points that qualify the entire facility as a major source.
State Permits to Construct and Operate. State air pollution control
regulations may mandate that individual air pollution source and control
devices (e.g., individual boilers, lab hood stacks, sterilizer, etc.) have
permits to "construct" and permits to "operate."
State regulations governing permits for emissions from lab fume hoods
vary widely. Many states clearly exempt lab emissions from permitting
requirements, while other states have no special exemption. Further,
some states have developed special registration requirements for lab
fume hoods.
Other
Potentially
Important Air
Pollution
Control
Regulations
Permits may also be required for air pollutant emissions from facility
heating equipment such as boilers. Permits are typically required for the
operation of boilers with heat input capacities equal to or exceeding 1
million Btu/hour; however, some states require permits for smaller boilers.
Also, sources such as incinerators and paint spray booths are often
subject to air permitting requirements.
In addition to the routine lab and building management operations which
may be impacted by air pollution control regulations, labs may encounter
the following non-routine or less common operations that will trigger air
pollution control regulations:
Ozone Depleting Substances. Pursuant to the CAAA, EPA developed
regulations that limit emissions of ozone-depleting substances (ODSs)
such as chlorofluorocarbons (CFCs) and hydrochlorofluorocarbons
(HCFCs) used in air conditioning and refrigeration equipment and halons
used in fire suppressant systems. EPA regulations prohibit venting and
12
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require recycling of these materials during equipment servicing, repair and
disposal. Service personnel must be
trained and certified by EPA or an
EPA-approved organization.
Managing ODSs
• An inventory of all CFC
containing equipment including
quantity of CFC in each.
• Records of handling, certification,
repair, recycling equipment
usage, quantities of CFC.
Also require service technicians to
provide records.
The production of CFCs was banned
as of December 31, 1995. HCFCs will
also be phased out over the next thirty
years. The first HCFC phase out, for
R-22 in new systems, will be in 2010.
The final HCFC chemical phase out will
be for the production of R-123 in 2030.
Heating, ventilation and air conditioning equipment that use these CFC
and HCHC refrigerants should be upgraded or replaced with "chlorine-
free" refrigerant systems as alternative systems become available to avoid
the high cost of obtaining these out-of-production chemicals. Certain lab
analytical uses of CFCs have been permitted beyond the phase-out
deadline set by the Montreal Protocol because the EPA has declared
them as "essential use." As of January 1, 2000, however, EPA may no
longer be able to allow lab essential use exemptions because the Act
does not specifically list lab and analytical uses as an exemption in the
phase out.
Chemical Accident Prevention. In response to the CAAA,
developed regulations that establish requirements
to prevent or respond to accidental releases of
extremely hazardous air pollutants (40 CFR 68).
Facilities storing above threshold quantities (TQs)
of designated toxic or flammable substances in
one process area will have to identify the possible
hazards and develop a Risk Management Plan
(RMP). However, EPA generally excludes the
EPA
Example
RMP TQs
Ammonia: 10,000 Ib.
Chlorine: 2,500 Ib.
HCI: 15,000 Ib.
Toluene: 10,000 Ib.
Propane: 10,000 Ibs.
chemicals used in labs from the requirements because small quantities
are stored (40 CFR 68.115).
Chemicals used outside the lab
(e.g., chlorine chemical
treatment system for building
water supply), in specialty
chemical production processes,
or in pilot scale operations are
not exempt from the RMP
process.
Air Pollution Episode Planning. The CAAA classifies non-attainment
areas for the purpose of developing air emergency episode or
contingency plans. Contingency plans require states to specify emission
control actions and notification procedures that will occur when air
pollution concentrations reach a certain level. Implementing the control
State Toxic Air Pollutant Regulations
Most States have toxic air pollutant (TAP)
regulations. Even if not subject to RMP
requirements or NESHAPS, State specific
risk assessment and pollution control
requirements may apply.
13
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actions should prevent air pollution from reaching levels that would cause
imminent and substantial damage to human health. Regions are
classified separately for each of the following pollutants: sulfur oxides,
nitrogen dioxide, particulate matter, carbon monoxide, and ozone.
Requirements for a contingency plan vary depending on the region's
classification. Lab facilities in non-attainment areas may be required to
prepare a plan detailing steps the lab will take to comply with
requirements on shutting down operations that produce air emissions and
notifying personnel of the shut downs. Depending on the alert stage, labs
may have to cease incineration operations, curtail motor vehicle
operations, alter boiler operations, or shut down all lab activities. Labs
that are part of a larger manufacturing operation are more likely to be
affected by such requirements.
NSPS. Performance standards have been established (40 CFR 60) for
new air pollution sources according to industry (e.g., chemical production
plants, metal smelters, and manufacturing operations) and emission
sources (e.g., steam generating unit such as boilers, incinerators). These
sources often face stringent air pollution control regulations such as
limitations on pollutant emissions, periodic or continuous emission
monitoring, and installation of air pollution control equipment. Labs that
install or have recently installed a particular type of equipment or are part
of a large industrial facility covered under NSPS regulations may be
subject to these more detailed requirements.
NESHAP. EPA has also promulgated stringent air pollution control
requirements for emissions of certain HAPs (e.g., mercury beryllium,
radionuclides), emissions from certain HAP sources (organic chemical
manufacturer, sterilization facilities), and emissions from certain
equipment (e.g., oil-water and organic-water separators) (40CFR 61 and
63). In addition, a lab's radionuclide emissions may be subject to
NESHAP regulations if the lab does not have a Nuclear Regulatory
Commission license and are a non-DOE Federal facility (owned or
operated), (40 CFR 61, Subpart I). Furthermore, on-site demolition,
renovation and removal of asbestos-containing materials (ACMs) in
existing structures on-site may be subject to the NESHAP regulating
asbestos (40 CFR 61, Subpart M).
Management Issues
Inventorying In order to understand regulatory requirements, P2 opportunities and
and other management requirements, the lab must first identify its air emission
Quantifying sources and quantify actual and potential emission levels.
Emissions
The lab should prepare and maintain a list of actual and potential air
emissions in the lab (fume hoods, stacks, vents, etc.) including the source
and location of emissions, and an estimate of the type and quantity of
emissions. Potential emissions from such activities as cleaning, painting
14
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and floor care should also be included in this inventory.
should be updated at least annually.
The inventory
Quantifying emissions from discrete equipment such as a boilers or
incinerators is fairly straightforward. However, accurately quantifying
small lab air emissions that consist of hood or area exhaust emissions of
various chemicals is often difficult. For example:
Some non-routine lab processes
may have little or no records on
chemical usage;
Chemicals can change phase in
the course of lab work. A liquid can
become a part of a solid or a solid
reactant can become a volatile gas;
Researchers may purchase and
use chemicals that are outside of a
centralized management system;
and
Chemical volatility varies with
temperature and pressure.
One way to estimate air emissions is based upon a simple mass balance
model such as the one following. This model relies on accounting for all
possible uses of the chemical so that the remainder that can not be
accounted for is the maximum amount that could have actually been
emitted to the air.
Common Lab Sources of Air
Emissions
Point Sources:
• Exhaust from fume hoods,
storage cabinets and rooms
• Boilers and generators
• Sterilizers
Area & Fugitive Sources:
• Breakage, spills, leaks
• Bench-top operations
• Glassware cleaning and rinsing
• Bench top chemical use
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MAXIMUM SMALL LAB AIR EMISSION CALCULATION
For each specific air volatile chemical,
Fill in quantities known or estimated.
Description
Quantity
(A) Amount of unused chemical in inventory today.
(B) Amount of same unused chemical in a previous
inventory. Note: A long period of time (i.e., one year)
between (A) and (B) may yield more accurate results.
(C) Subtract (A) from (B). This is the difference in inventory
over the time period.
(D) Amount of chemical purchased and received in the time
period covered by the inventory records used in (A) and (B).
(E) Add (C) and (D). This is the amount that needs to be
accounted for.
(F) Amount of chemical still in use in solutions and mixtures.
(G) Amount of chemical disposed of as waste (all forms).
(H) Amount (non-waste), shipped off-site, or other off-
premise use.
(I) Subtract (F) through (H) from (E).
This is the maximum amount of the chemical that could
actually have been emitted to the air from the lab over
the period of time between (A) and (B).
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Implementing
the Air
Quality
Program
Ventilation
Although it might seem like an overwhelming task to make a calculation
for all chemicals in a lab, this is probably not necessary. To start, the
most air volatile and commonly used chemicals, such as organic solvents,
should be addressed as well as any especially hazardous or stringently
regulated chemicals. Thus, after making calculations for a small subset of
chemicals, lab staff should have a good understanding of emission levels.
A second approach centers on evaluating a
specific lab process instead of the entire lab.
This approach will be easier and more reliable
in labs where analyses are routine. For
example, suppose a routine test mass balance
calculation repetitively indicates a 10% "loss"
of a chemical. "Loss" means the chemical is
not part of the product or the solid waste
stream. Thus, one assumes it is emitted to the
air. This percentage can then be used to
estimate the maximum total mass of chemical
emitted by multiplying the loss per test by the total
Emission Changes-
Requirements Change
Remember, changes in lab
design or processes will
change emissions and
requirements. Review your
inventory at least annually
or whenever there is a
significant process change.
that could actually be
number of tests.
Once air pollutant sources are identified and emissions are quantified, the
lab must:
• Assess the regulatory implications of these emissions;
• Assess P2 opportunities to eliminate or reduce air emission sources;
• Ensure that the sources are properly permitted;
• Maintain operation, monitoring and maintenance programs to comply
with regulation or permit requirements; and
• Comply with recordkeeping requirements.
Ventilation is an integral part of controlling and removing particulates,
vapors, gases, and other airborne chemicals from the lab and exhausting
them to the atmosphere. Types of ventilation devices used in labs include
fume hoods, biological safety cabinets, glove boxes, extraction hoods,
benchtop slot hoods, and flexible ducting. Any ventilation device used
must meet the design requirements set forth in EPA, OSHA, American
Society of Heating, Refrigeration and Air-Conditioning Engineers
(ASHRAE), and National Fire Protection Association (NFPA) regulations.
The lab should implement a regular inspection
and monitoring program to ensure all ventilation
devices are working properly to remove
contaminants from inside the lab and exhaust
them to the exterior of the building. All lab fume
hoods must meet the ASHRAE 110 standards
for testing the performance of lab fume hoods.
Ventilation is measured in air changes per hour (ACH). OSHA
recommends lab ventilation systems have a ventilation rate of 4-12 ACH,
NFPA 45 recommends greater than 8 ACH, and ASHRAE recommends a
What Does a Monitoring
Program Include?
• Daily visual inspections
• Quarterly testing
• Annual maintenance
17
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rate of 6-10 ACH. The lab should ensure its ventilation rate meets the
highest minimum recommendation as well as local code requirements.
In order for ventilation devices to be effective they must be used properly.
Before any person uses a ventilation system, they should receive training
in operating procedures as well as procedures for daily inspection. Good
lab practices should be implemented to reduce the user's exposure to
airborne hazards. For example, keep all containers at least six inches
from the front of the hood, keep the hood sash closed as much as
possible, do not obstruct the baffles in the rear of the hood, keep all
containers tightly closed when not in use, and do not store unused
chemicals in the fume hood.
Pollution Prevention and Air Emissions
Labs can eliminate or reduce air emissions through process change and engineering controls.
In addition, a reduction in the scale of the experiment can reduce air emissions. Over the last
decade, microscale chemistry has come to be considered a proven technology to reduce air
emissions and P2 in other ways (see Hazardous Materials Handling and Storage, Section
3.14).
Other simple solutions such as ensuring the lids remain tightly closed on volatile solvents
when not in use will also prevent air emissions. A good example is a high purity solvent
delivery system being offered by some chemical suppliers that can accurately dispense
solvents directly from the containers. The solvent is stored under inert gas and gas pressure
drives solvent dispensing. When the container is empty, it is shipped back to the supplier to
be refilled. This reduces the potential for emissions during chemical transfer.
18
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SMALL LAB AIR EMISSIONS PROGRAM CHECKLIST
Action
1.
2.
3.
4.
5.
6.
7.
8.
9.
10
11
Determine if the facility is required to compile an air
emissions inventory and if it is completed.
Determine and record any changes in emission levels
since the last inventory.
Based on the inventory, determine if the facility is
considered a "major source."
If the lab emits air contaminants to the outdoor
atmosphere (through stacks, vents, and exhausts), make
sure that a plan approval, operating permit, or exemption
was obtained and documented if required.
If an air emission permit is needed:
• Ensure that all of the lab's permits to operate sources
of air emissions are up-to-date; and
• Ensure that there is a system for timely renewal of air
permits and associated fees.
Regularly observe and document emissions from
emission points to determine whether smoke or odors
are produced.
If the lab is part of a large industrial facility determine if
more stringent air regulations must be followed.
Determine if the facility triggers requirements under
NESHAP.
Determine if the lab properly services, repairs, and
disposes of ozone depleting substances (e.g., CFCs and
halons) and associated equipment.
If lab storage exceeds threshold quantities of a regulated
air pollutant, verify the facility developed and submitted a
RMP and ensure there is a procedure in place to update
the plan.
Determine if lab ventilation is adequate for the
associated hazards.
Notes
19
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SMALL LAB AIR EMISSIONS PROGRAM CHECKLIST
Action
12. Verify that ventilation meets design requirements set by
ASHRAE, EPA, OSHA, and NFPA regulations.
13. Ensure the lab developed and implemented a ventilation
monitoring program which includes:
• Daily visual inspections;
• Testing and certification at least annually; and
• Annual maintenance (or sooner if necessary).
14. Determine if the lab implemented any P2 measures such
as engineering controls.
15. Ensure the lab encourages personnel to tightly close all
containers when not in use to minimize air emissions.
Notes
20
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3.2 Water Discharges
As a convenient way to dispose of chemical lab waste, sink drains can be very tempting.
Disposal of chemicals in this manner is discouraged, however, since it may result in fire,
chemical reactions, and corrosion within the plumbing system. In addition, drain disposal of
chemicals may cause pH upsets and other environmental problems at the wastewater
treatment plant.
If carefully controlled, some wastes (e.g., some acidic or basic wastewater that is neutralized
before discharge) can be safely discharged via the sewer and it may be the most desirable
disposal method because it minimizes waste sent off-site.
Federal, state, tribal and local regulations stipulate both acceptable and prohibited pollutants
for discharge. Whether you are connected to a septic system, on-site wastewater treatment
system, or local publicly owned treatment works (POTW) determines the specific regulations
that you must follow.
Regulatory Considerations
The primary objective of the Clean Water Act, as amended in 1972, is to limit uncontrolled
discharge of pollutants to the nation's navigable waterways. To achieve this objective, EPA
introduced several regulatory programs, which are implemented and enforced on a state, tribal
or local level.
Discharges Regulations governing wastewater discharges to a POTW are sometimes
to the Sewer referred to as "pretreatment standards," meaning that some wastes must
be treated before being discharged to comply with the standards. The
National Pretreatment Standards found in 40 CFR Part 403.5 contain
specific standards prohibiting all users from discharging the pollutants
listed below into a sewer system.
• Flammable or explosive pollutants including, but not limited to, waste
streams with a closed cup flash point of < 140°F.
• Pollutants that will cause corrosive structural damage to the POTW,
but in no case discharges with pH lower than 5.0, unless the POTW is
specifically designed to accommodate such discharges.
• Solid or viscous pollutants that may cause an obstruction of flow in the
POTW.
• Pollutants capable of releasing fumes or vapors in sufficient quantities
to detrimentally affect the safety and health of treatment works
personnel.
• Pollutants, including oxygen demanding pollutants (high biological
oxygen demand), at a concentration and flow which may cause
interference with the POTW.
• Wastewater with sufficient heat to inhibit biological activity in the
POTW (must not exceed 104°F at the POTW).
• Petroleum, oil, non-biodegradable cutting oil or products of mineral oil
origin in amounts that will cause interference or pass through.
21
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Surface
Water
Discharge
Septic
Systems
The lab should review the "Effluent Guidelines" found in 40 CFR 403-471
to determine if there are additional specific requirements placed on the lab
due to the nature of its work.
Several states have imposed pretreatment standards that are more
stringent than the Federal standards. Additionally, most POTWs have
local sewer ordinances that usually set even more stringent standards.
Local sewer ordinances typically set discharge limits for metals, biological
oxygen demand, and various organic pollutants. Many of these
ordinances specify that an increase in the use of water in order to dilute
pollutants to achieve compliance with the above limits is prohibited. Also,
local ordinances often require "industrial users," as defined in the
ordinance, to obtain discharge permits from the local wastewater
authority.
Labs that discharge wastewater to surface water are likely to require a
National Pollutant Discharge Elimination System (NPDES) permit.
NPDES programs are usually maintained and enforced by state or tribal
water pollution control agencies. Even effluents such as non-contact
cooling water are often subject to NPDES requirements. Labs with their
own wastewater treatment system that discharges to a nearby lake or
stream are subject to NPDES requirements.
In the early 1990s, EPA implemented a program requiring NPDES permits
for storm water runoff. In general, offices and the associated parking
areas are not included by NPDES storm water requirements. However,
some light industrial activities, such as outside storage of materials, may
cause NPDES storm water runoff requirements to apply. Check with
appropriate wastewater authorities to be certain.
Even though labs may not be required to apply for and receive a Federal
NPDES permit, state or tribal governments may require the lab to apply
for a similar permit based on the make up and quantity of the effluent. A
Federal, state or tribal permit will generally require the lab to establish an
operation and maintenance program to ensure proper operation of lab
controls, training, and quality assurance. In addition, the permit will
establish monitoring and recordkeeping requirements as well as
notification of noncompliance, bypass or upsets.
In most areas, labs no longer discharge wastewater to septic systems.
Where public sewer systems are available, septic systems may be
prohibited. Lab managers in facilities that discharge wastewater to a
septic system should caution all personnel that any pollutant discharged
down the drain has the potential to contaminate the environment.
Facilities discharging to septic systems may be required to obtain a permit
for discharge to groundwater. See Underground Injection Control, Section
3.12.
22
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Management Issues
To completely understand and effectively manage its wastewater
program, small labs should develop a wastewater management
system which includes:
• An inventory of wastewater discharges;
• Programs and practices for preventing, controlling and
minimizing wastewater;
• Operating and maintenance procedures for wastewater
discharge systems (collection and treatment);
• Monitoring to check operations;
• Recordkeeping to document compliance with permits;
• Procedures to respond to emergencies;
• Training program to ensure operators meet regulatory requirements and operational
requirements; and
• Procedures to assess planned changes in operations that may affect wastewater
discharges.
Where do my drains go?
Dye tracing can easily be
done on all drains leading
out of a lab to ensure that
discharges affected by
Federal, state, tribal or
local, regulations go to
the appropriate location
(e.g., POTW).
Wastewater
Discharge
Inventory
Designing
and
Implementing
the Program
Labs should maintain a comprehensive listing of wastewater discharges
that includes sources and locations of the discharges, analytical or other
data characterizing the nature and volume of the discharge.
The lab should design and implement programs and practices for properly
managing its discharges. Discharges must be properly routed based
upon their discharge characteristics. Whenever feasible, the lab should
consider P2 and waste minimization as a first step. When all feasible P2
and waste minimization opportunities have been explored, appropriate
treatment technologies should be installed (e.g., acid neutralization,
contaminate recovery units).
Remember, the lab must
obtain all the appropriate
system design and
discharge permits and
approvals and institute
procedures and practices
prior to beginning to
discharge.
If, after careful consideration, management
determines that limited drain disposal of
nonhazardous substances is acceptable, the
following general guidelines should be
followed:
• Use drain disposal only if the drain system
flows to a wastewater treatment plant and
not into a septic tank system or a storm
water sewer system that potentially flows directly into surface water.
• Make sure that the substances being disposed of are compatible with
each other and with the piping system.
• Discharge only those compounds that are soluble in water (such as
aqueous solutions), that are readily biodegradable, are low in toxicity,
and contain no metals that can make the sludge toxic.
Training is important to ensure lab personnel are properly disposing of
their wastewater. Staff must be trained on what can and can not go down
23
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Wastewater
Management
Allowances
for Hazardous
Waste
the drain. In addition to formal training, periodic checks in the lab should
be conducted to ensure that procedures are being carried out.
The discharge of hazardous waste mixed with domestic sewage and the
elementary neutralization of certain characteristically hazardous wastes
are allowed under federal regulation. State allowance of these methods is
variable. A detailed description of these methods is provided in Section
5.0 of this Guide. Some key considerations relate to these two methods
are provided below.
Track Your Discharges!
In order to document that
you are compliant, keep
logs at each discharge
point and record all
hazardous waste disposed
down the drain.
Hazardous Waste Mixed with Domestic
sewage. EPA's hazardous waste
management regulations exclude from the
definition of hazardous waste any wastes
mixed with domestic sewage that enters a
POTW (40 CFR 261.4(a)(1)). In most cases,
however, lab staff should avoid discharging
regulated hazardous waste down the drain.
Generally, any lab that discharges more than
15 kg of hazardous waste per month (40 CFR 403.12(p)(2)), or acutely
hazardous waste in any amount down the drain, is required to notify the
EPA Regional Office, the state hazardous waste authorities, and the
POTW of such discharges. Check with local authorities first. Notification
usually must include the following information:
• Name of the hazardous constituents contained in the wastes;
• Estimate of the masses and concentrations of constituents in the
wastestream discharges during that calendar month; and
• Estimate of the masses of such constituents that the lab can expect to
be discharged during the following twelve-month period.
Refer to Section 5, Little
Known but Allowable
Ways to Manage
Hazardous Waste, to
determine state
regulations on
neutralization and
mixing with domestic
sewage.
Although it may be allowed, discharging limited
amounts of hazardous waste with domestic
sewage may not always be an environmentally
sound choice. Lab staff should never allow
discharges of hazardous waste into drains that
lead to septic tanks or storm sewers.
Neutralization. In most states, it is acceptable
to neutralize acidic and caustic solutions and
then dispose of the neutralized solution down the drain if it has no other
hazardous characteristics. Check with state, tribal or local authorities first
however. Where permissible, it is important that only elementary
neutralization occurs and that it is under a Resource Conservation and
Recovery Act (RCRA) exemption for hazardous waste treatment without a
permit. Non-exempted treatment, without a RCRA permit, is a serious
RCRA violation. A neutralized solution should have a final pH value
between 6 and 9 but check with your local or tribal POTW to make sure
this pH range meets their requirements.
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Reportable
Discharges of
Oil and
Hazardous
Substances
Spill
Prevention,
Control and
Counter-
measure
(SPCC)
Spill
Containment
At the University of Arizona a major
environmental problem resulted from the
improper use of a neutralization tank. For
several years, in the chemical building,
researchers discharged chlorinated and
aromatic hydrocarbons into lab sinks. The
discharges were collected into a large
neutralization tank and bled off slowly into
to the POTW. Wastewater monitoring
detected these contaminants and caused
closure of 8 lab buildings for up to 6
weeks. Extensive testing determined the
neutralization tank to be the source of
contamination. It was decontaminated at
a significant cost.
Although many labs are equipped with neutralization tanks in wastewater
lines, problems can result from
their usage. For example, a
limestone chip bed is commonly
used as a passive in-line acid
neutralization system. In theory,
these systems should work but
they often do not in practice
because (1) they are flow
dependent; and (2) system
maintenance (e.g., cleaning) is
often neglected. Also, limestone,
though effective in neutralizing
acid discharges, is not helpful in
neutralizing caustic discharges.
In general, it is not wise to rely on an in-line system until its effectiveness
has been proven and can be monitored.
Discharges of oil to a navigable waterway that cause a sheen or
discoloration of the surface of the water must be reported to the National
Response Center (NRC: 800/424-8802) or the U.S. Coast Guard (40 CFR
110). Navigable waters are defined broadly by EPA and include most
lakes, rivers and streams. Discharges of hazardous substances, as
designated in 40 CFR 116, to navigable waterways must be reported if
they exceed the reportable quantities established in 40 CFR 117. Any
person in charge of a vessel or an onshore facility shall, as soon as
he/she has knowledge of any discharge of a designated hazardous
substance, immediately notify the appropriate agency of the discharge.
In accordance with 40 CFR 112, a SPCC plan is required of facilities
storing oil, which due to their location, could reasonably be expected to
discharge oil in harmful quantities to navigable waters. SPCC
requirements apply to facilities storing more than 42,000 gallons of oil
underground, or 1,320 gallons total above ground, or any single container
above ground exceeding 660 gallons. For example, SPCC planning
activities would likely be triggered for a lab having an outdoor,
aboveground heating oil tank with a capacity of 1,000 gallons.
A discussion of water discharge would not be complete without
mentioning spill containment. The need for spill protection applies to all
areas where materials can be potentially damaging to the POTW or enter
storm water systems. The following are some suggestions to prevent
spills from entering drains.
• Floor drains should be eliminated from new construction. Where floor
drains presently exist, they should be covered with properly fitting drain
covers. Note that a lack of floor drains may make it more difficult to
test emergency showers.
• Fume hood cup sinks should be guarded or closed off. If the sink
25
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does not need to be used, then it should be sealed off. If the sink
must remain in service, it can be protected from spills by installing a
perimeter guard ring. Encircling it with a line of non-reactive caulk can
make a simple cup sink guard.
• Have spill kits available where required (e.g., by SPCC plans) or where
spills are likely to enter drains. Make sure appropriate spill kits are
available. For example, there are special kits for acids, caustics,
organics, and mercury. They are not interchangeable.
Special Biologically active wastes and radioactive wastes require special handling.
Wastes Specific disposal requirements for biologically active wastes and
radioactive wastes are found in sections 3.5 and 3.6 respectively.
Pollution Prevention and Wastewater
Labs should review their processes and identify opportunities to reduce the amount of
wastewater generated and reduce the amount of hazardous wastes in the lab's effluent. If the
discharges cannot be eliminated the lab should consider applying appropriate technologies to
minimize the quantity of wastewater generated. Minimizing discharges may eliminate
recordkeeping requirements for the lab. An example of a substitution that can minimize
harmful discharges is using organic dishwashing solutions instead of chromic-sulfuric acid
mixtures when washing glassware. Check with the local POTW for information on P2
opportunities.
26
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SMALL LAB WATER DISCHARGE PROGRAM CHECKLIST
Action
1.
2.
3.
4.
5.
6.
7.
8.
9.
10
Determine if the discharge meets with general pretreatment
prohibitions for:
• Fire or explosion hazards;
• Corrosivity;
• Viscous obstructions which could plug sewer;
• Sludge discharges; and
• Heat sufficient to inhibit biological activities (> 104°F).
Verify the POTW is aware of the discharge.
Ensure the lab has a sewer use discharge permit or letter
of acknowledgment from the POTW.
Ensure the lab has a copy of the POTW's sewer use
discharge requirements.
Verify there is a system in place to routinely monitor the
discharge to the POTW.
Determine when samples are taken:
• A certified sampling/analytical lab handles them;
• Proper sample containers, preservation techniques,
holding times, and quality control are used;
• There is a designated employee responsible for making
sure that sampling is performed according to permit
requirements;
• Sampling results are reviewed and compared with
permit requirements. Ensure that deviations are noted
and investigated; and
• Reports are maintained on site for three years.
Verify that all lab personnel have been trained to
understand the types of pollutants prohibited from
discharge to the POTW.
Verify that direct discharges to surface water are permitted.
Ensure discharges to on-site waste disposal systems are
permitted.
Verify that copies of state, tribal or local water pollution
regulations are available.
Notes
27
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3.3 Hazardous Wastes
Managing the generation and disposal of hazardous wastes is one of the most difficult
environmental management challenges for staff in small labs. Common issues to address
include classification, storage, labeling, treatment, and disposal of lab wastes as well as
identifying opportunities to prevent its generation altogether.
Regulatory Considerations
The Resource Conservation and Recovery Act (RCRA), enacted in 1976, was written to
provide "cradle to grave" tracking of hazardous waste. Pursuant to RCRA, EPA developed
hazardous waste management regulations for generators and treatment, storage, and
disposal facilities (TSDFs). In 1984, Congress expanded the scope of RCRA with passage of
the Hazardous and Solid Waste Amendments (HSWA). HSWA directed EPA to adopt
regulations governing small quantity hazardous waste generators (SQGs) such as many small
labs.
Most labs routinely generate hazardous waste and, therefore, are subject to RCRA hazardous
waste management regulations (40 CFR Parts 260 to 270). These regulations include
requirements governing waste classification, accumulation, disposal, recordkeeping, and
emergency preparedness.
EPA has delegated authority to implement and enforce hazardous waste management
programs to the states and tribes. State and tribal regulations are at least as stringent as
EPA's hazardous waste regulations. Still, it is important to keep up with the EPA regulations
since EPA regularly publishes new hazardous waste management regulations that are
enforceable in the states even though they may not yet be included in a given state's
hazardous waste regulations.
Determine Which Hazardous Waste Requirements Apply
Hazardous waste management requirements are dependent upon the type and quantity of
wastes the lab generates. In order to properly mange hazardous waste, the lab must identify
and inventory its waste streams, characterize these wastes, and then determine and track its
waste generator status.
STEP1: Identify all waste streams generated within the
Identify and lab °r facility. Examples include unused
Inventory chemicals, process wastes, discarded or spent
Waste solvents. Once waste streams are identified
determine the volume or quantity of wastes
generated in a typical month. hazardous waste'
STEP 2: Next, characterize the wastes to determine if they
Characterize are subject to regulation as hazardous waste.
.. ... . know, then manage the
tne waste ,..«,.. ,*, * ~ o i_ .1 i waste as hazardous
Is it a Solid Waste? Because hazardous waste unti| find out
is considered a subset of solid waste, a
Hazardous Waste
Determination
To determine if a waste
is a regulated
generators can use
either knowledge or
testing (40 CFR
262.11). If you don't
28
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hazardous waste must first meet the EPA definition of solid waste. The
term solid waste is used very broadly in RCRA and refers to both
nonhazardous and hazardous waste including solids, liquids, semi-solids,
sludges, and compressed gases. A solid waste may be abandoned (i.e.,
thrown away), inherently waste-like (e.g., certain dioxin containing
wastes), unused or defective military munitions, or a material to be
recycled.
Is it a Hazardous Waste? EPA defines hazardous waste in 40 CFR 261.
A solid waste is considered hazardous if it:
1. Is Listed on one of the hazardous waste ,, u. , _ .
.. , Multiple Codes
hsts:
Hazardous waste may
demonstrate more than one
characteristic or be both
listed and characteristically
hazardous waste. Multiple
codes then apply.
• F-list (40 CFR 261.31): Commonly
referred to as the non-specific source
list. It contains spent solvents,
electroplating wastes, wastes related
to the production or treatment of
chlorinated hydrocarbons, wood
preserving waste, and certain landfill leachates. Labs often
generate F-listed spent solvents such as methylene chloride.
• K-list (40 CFR 261.32): Commonly referred to as the specific
source list. It contains hazardous wastes from certain industries.
Labs may manage K-listed waste if they accept waste samples
from one of the 17 K-listed industrial processes such as pesticide
manufacturing, inorganic chemical or pigment manufacturing and
ink formulation.
• P-list and U-list (40 CFR 261.33(e) and (f)): The list applies to
unused, discarded, commercial chemical products that are 100
percent pure, technical grade or with a sole-active ingredient on the
P-list. It can also apply to discarded chemical solutions that were
made in the lab in lieu of purchasing a commercial product or a
spilled product. P-list wastes are classified as acutely hazardous
wastes. U-listed wastes are classified as toxic wastes. The list
applies to unused, discarded, commercial chemical products that
contain a sole-active ingredient that appears on the U-list.
• State Listed Waste: State hazardous waste regulators often add
wastes, such as waste oils and polychlorinated biphenyls, to their
state lists of hazardous waste.
—or—
2. Demonstrates one of the following Characteristics.
• Ignitability (40 CFR 261.21): Ignitable wastes, denoted by the code
D001, are generally liquids with flash points below 60°C (140°F). A
non-liquid is considered ignitable if it is capable of causing fire
through friction, absorption of moisture, or spontaneous chemical
29
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changes, and burns in a manner that creates a hazard.
• Corrosivity (40 CFR 261.22): Corrosive wastes, denoted by the
code D002, are generally aqueous solutions with a pH <2 or >12.5.
• Reactivity (40 CFR 261.23): Reactive wastes, denoted by the code
D003, are those wastes that are generally unstable, explosive,
capable of detonation when heated under confinement, or react
violently with water. Also, wastes are reactive if they generate toxic
cyanide or sulfide fumes when subjected to a pH between 2 and
12.5
• Toxicity (40 CFR 261.24): Toxic
wastes, denoted by the codes D004-
D0043, are wastes containing certain
regulated constituents. To
determine if wastes are toxic, they
are subjected to the toxicity
characteristic leaching procedure
(TCLP). Wastes leaching contaminants at or above the regulated
concentrations exhibit the toxicity characteristic and must be
assigned the appropriate EPA hazardous waste code. Liquid
wastes exhibit the toxicity characteristic if the waste itself contains
contaminants above the regulated levels (TCLP doesn't need to be
performed).
Is It an Excluded or Exempted Waste? Certain substances are
excluded from the regulatory definition of solid and hazardous waste.
Three exclusions that are particularly important to many labs are
highlighted below.
Characteristically Toxic?
Check With Your State
Some states include materials
in addition to those listed in 40
CFR 261.24. Check with your
state or local regulators.
Wastewater Treatment
Residues
Even though wastewater
may be excluded, sludges,
residues and other
recovered materials from
your on-site wastewater
treatments system are not
excluded and may be
hazardous waste.
Wastewater: Mixtures of untreated sanitary
waste and other (i.e., hazardous) waste
discharged to a publicly-owned treatment
works (POTW) are excluded from the
definition of solid waste and, therefore, are
not regulated hazardous waste (40 CFR
261.4(a)). This exemption also applies to
on-site wastewater treatment systems with
an NPDES permit. The discharges are
subject to stringent water pollution control
requirements (see Water Discharges,
Section 3.2).
Samples: Samples that are sent to the lab for analysis are not
considered regulated waste while awaiting testing, while stored after
testing for a specific purpose, or while being transported back to the
sample collector (40 CFR 261.4(d)). However, once the samples are
run and they are designated for disposal by the lab, they must be
treated as a regulated waste.
Empty Containers: Empty containers that once held hazardous
materials are not regulated as hazardous waste if they meet the
30
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The Mixture
Rule
definition of "empty." Empty means all possible materials removed
from the container using common practices, and
- For containers 110 gal or less; residue is no more than 3% by
weight of the total capacity;
- For containers greater than 110 gal, residue is no greater than
0.3% by weight of the total capacity.
Containers that held acutely hazardous waste are considered empty
only after being triple rinsed with a solvent capable of removing the
acutely hazardous waste residue. The solvent rinseate then must be
managed as acutely hazardous waste.
Remember,
dilution is not
allowed as
treatment.
What About Mixed Chemical Wastes? It is common
for labs to generate waste streams that contain several
chemicals mixed together. If this is the case, the
Mixture Rule defines whether the waste is hazardous.
• If a listed hazardous waste is mixed with a
nonhazardous waste the resulting mixture will remain regulated as the
listed waste regardless of the quantity of the listed waste present in the
mixture.
• If a characteristic hazardous waste is mixed with a nonhazardous
waste the resulting mixture will be regulated as hazardous only if the
resulting mixture still exhibits the characteristic.
ANY AMOUNT OF
Non-Hazardous Waste
ANY AMOUNT OF
Non-Hazardous Waste
Any amount of listed
hazardous waste
Any amount of
characteristically
hazardous waste
Listed Hazardous
Waste
Nonhazardous
waste if not
characteristically
hazardous
Multi-
Hazardous
Wastes
Labs may generate waste streams that contain a combination of chemical,
biological, or radioactive substances. Multi-hazardous wastes are defined
as those that contain more than one hazard in the waste. Any
wastestream that presents more than one type of hazard requires special
management consideration because the selected treatment technology
appropriate for one type of waste may not be appropriate for the other
types. Multi-hazardous wastes must be evaluated on an individual basis
and the constituent that poses the greatest hazard should be given
priority.
Another term describing multi-hazardous waste that contains chemical
hazards regulated by the EPA and radioactive substances regulated by
the NRC only is "mixed waste." Some examples of lab mixed wastes
include:
• Used flammable (e.g., toluene) liquid scintillation cocktails;
31
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STEP 3:
Determine
and Track
Generator
Status
• Phenol-chloroform mixtures from extraction of radiolabeled nucleic
acids;
• Aqueous solutions containing chloroform and radioactive material
typically found in solutions generated by the neutralization of
radioactive trichloracetic acid solutions;
• Certain gel electrophoresis waste (e.g., methanol or acetic acid
containing radionuclides); and
• Lead contaminated with radioactivity.
Labs that generate hazardous waste are subject to varying requirements
depending on how much hazardous waste they generate and accumulate
in a month. (See Special Wastes, Section 3.7, for other used oil and
universal waste.)
Generator Class.
generators.
Under the Federal rules, there are three classes of
Conditionally Exempt Small Quantity Generator (CESQG)
• Generate no more than 100 kg of hazardous waste, 1 kg of acutely
hazardous waste, or 100 kg of contaminated waste from an acutely
hazardous waste spill in a month.
• Accumulate no more than 1,000 kg of hazardous waste at any time.
Small Quantity Generator (SQG)
• Generate between 100 and 1,000 kg of hazardous waste and no more
than 1 kg of acutely hazardous waste in one month.
• Accumulate no more than 6,000 kg of hazardous waste for up to 180
days (270 days if waste is to be transported over 200 miles).
Large Quantity Generator (LOG)
• Generate greater than 1,000 kg of hazardous waste or greater than 1
kg of acutely hazardous waste in one month.
• Accumulate greater than 6,000 kg of hazardous waste for up to 90
days.
Remember, states and tribes can define
generators differently and set more stringent
regulations. For example, the state of
Maryland does not have a CESQG
classification. Always be aware of and
understand state generator requirements.
Hazardous Waste Log. In order to make
an initial determination and then track and
document the lab hazardous waste
generator status from month to month, a
facility wide hazardous waste log is
Oops, I'm Over This Month!
There are no exceptions. If
you exceed the generation
and/or accumulation limits in
any given month, then you are
subject to all the requirements
of the larger class for that
month. This even applies for
episodic generation such as
one time unused chemical
round ups or spill cleanups.
Plan ahead!
32
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recommended. Good information to include in the log is:
For each waste:
• Description of the waste (e.g., waste solvents from labs);
• Type of waste (hazardous or acutely hazardous waste);
• Hazardous waste class;
• Method of characterization (e.g., lab test date, knowledge);
• Amount generated in the month; and
• Amount accumulated in the month.
Totals:
• Amount of all hazardous waste generated in the month;
• Amount of all acutely hazardous waste generated in the month; and
• Amount of all hazardous waste accumulated in the month.
Hazardous Waste Generator Requirements
Once generator status is determined, the lab must develop hazardous waste handling and
storage practices and procedures based on all applicable requirements and regulations. The
table on the next page presents an overview of hazardous waste requirements that apply to
labs depending on their generator status. Some key considerations and differences for small
labs are highlighted below.
CESQGs CESQGs must comply with two basic provisions for managing their
hazardous waste:
• Identify all hazardous wastes generated;
• Send all hazardous waste to a hazardous waste management facility,
landfill or recycler that is permitted by a state to manage treatment,
storage or disposal of hazardous waste; and
Many CESQGs labs opt to meet SQG requirements as a good
management practice to help ensure that hazardous waste is properly
managed.
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RCRA REQUIREMENTS FOR LABS AS A FUNCTION OF GENERATOR STATUS*
Requirement (40CFR)
Waste Determination
(262.11)
Generation Rate Limits
(261 .5 and 262.34)
Accumulation Quantity Limit w/o
Permit
(261 .5 and 262.34)
Accumulation Time
(261 .5 and 262.34)
EPA ID Number
(262.12)
Mark Containers with Start Date
(262.34)
Mark Containers "Hazardous Waste"
(262.34(a))
Air Emission Standards 40 CFR 265
Subpart CC
Satellite Accumulation
(262.34(c))
Use Manifests
(262, Subpart B)
Exception Reporting (262.42)
Biennial Report (262.41)
Contingency Plan (265, Subpart D)
RCRA Personnel Training (262.34 and
265.16)
Storage Requirements (without
permit) (262.34 and 265)
Recordkeeping Requirements
(262.40)
Waste "Designated Facility"
Land Disposal Restrictions
(268.7)
CESQG**
Applicable
<100 kg/mo
Not to exceed 1 ,000 kg at any
time
Not to exceed 1 kg acute at any
time
No limit
Not required***; possible state
requirement
Not applicable
Not applicable
Not applicable
Not applicable
Not required***; possible state
requirement
Not required
Not required
Not required, but OSHA (29 CFR
1910.38) requires emergency
planning
Not required, but recommended
None, but OSHA regulations
under 29 CFR 1910, Subparts H
and N, apply, particularly 29 CFR
1910.106
Waste determinations and
generation log required
(notification of regulated waste
activity, training records,
manifests, and land disposal
restriction notifications
recommended)
State-approved or RCRA
permitted facility or legitimate
recycler
Possible state requirement
SQG
Applicable
100- 1,000 kg/mo
not to exceed 6,000 kg at any
time
1 80 days or 270 if waste is to
be transported over 200 miles.
Required
Applicable
Applicable
Not applicable
Applicable
Required
Required after 45 days
Not required; possible state
requirement
Basic planning required in
accordance with the standards
in 262.34(d)(4) and (5) and
265, Subpart C as well as
OSHA regulations
Basic training required by
262.34(d)(5)(iii)
Compliance with technical
standards in Part 265, Subparts
I and J; for containers and
tanks is required by
262.34(d)(2) and (3) and OSHA
regulations
Notification of regulated waste
activity, waste determinations,
generation log, manifests, land
disposal restriction
notifications, exception reports,
and correspondence with local
emergency responders (written
contingency plan, weekly
container inspection & periodic
equipment maintenance logs,
and RCRA training records
recommended)
RCRA-permitted facility or
legitimate recycler
Applicable
LQG
Applicable
1 ,000 kg/mo or greater
No limit
90 days
Required
Applicable
Applicable
Applicable
Applicable
Required
Required after 35 days
Required
Full written plan in accordance
with 265 Subpart D, is required
by262.34(a)(4)andOSHA
regulations
Full compliance with the
training requirements in 265.16
is required by 262.34(a)(4)
Compliance with technical
standards in Part 265, Subparts
I, J, W, and DD, is required by
262.34(a)(1) and OSHA
regulations
Notification of regulated waste
activity, waste determinations,
generation log, manifests, land
disposal restriction
notifications, exception reports,
biennial reports,
correspondence with local
emergency responders, RCRA
training records, and written
contingency plan required
(weekly container inspection is
required & periodic equipment
maintenance logs is
recommended)
RCRA-permitted facility or
legitimate recycler
Applicable
Adapted from Laboratory Safety & Environmental Management, Vol. 5, No. 6.
* Although these items are not legally required under RCRA, most transporters and TSDFs will not handle hazardous waste without them.
34
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SQQs SQGs are required to meet registration, collection and storage area,
emergency planning, and other requirements. SQGs must:
• Register with the appropriate (usually state) environmental regulatory
agency using the Notification of Hazardous Waste Generator Activity;
• Comply with hazardous waste container requirements in 40 CFR 265,
Subpart I except for air emission standards and a requirement to
locate ignitable or reactive waste greater than 60 feet from the
property line;
• Meet collection and storage requirements for satellite accumulation
and accumulation areas;
• Provide at least one employee on the premises or on-call to respond to
any emergency and act as the emergency response coordinator. The
emergency coordinator must respond to any emergencies that arise;
• Post the following information next to the telephone in the area:
- Name and phone number of the emergency coordinator and
backup emergency coordinator,
- Location of the spill control material, fire alarm, and fire
extinguishers, and
- Telephone number of the local fire department unless there is a
direct alarm;
• Ensure that all employees are familiar with responding to emergencies
and proper waste handling procedures in their work area; and
• Establish and implement recordkeeping procedures for waste
characterizations, documentation on generator status, registration,
manifests, exception reports, container inspection, land disposal
restrictions (LDRs), and correspondence with local emergency
responders.
LQGs Although not common, it is possible for small labs to be LQGs, particularly
as a result of episodic generation (e.g. during spring cleaning) or if they
manage acutely hazardous waste. LQGs must:
• Register with the appropriate (usually state) environmental regulatory
agency using the Notification of Hazardous Waste Generator Activity;
• Comply with hazardous waste container requirements in 40 CFR 265,
Subpart I including air emission standards and a requirement to locate
ignitable or reactive waste greater than 60 feet from the property line;
• Meet collection and storage requirements for satellite accumulation
and accumulation areas;
• Prepare a Contingency Plan that documents the lab preparedness and
prevention measures in accordance with 40 CFR 265, Subpart D;
• Develop and implement a formal training program; and
• Establish and implement the same recordkeeping procedures as for
SQGs as well as training records, contingency plan and a biannual
report.
SQGs and LQGs must register with the EPA (40 CFR 262.12) and obtain
an EPA identification number. The registration form, EPA form 8700-12,
35
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How to Get an EPA ID
Number
Call your state or tribal
hazardous waste office
and ask for EPA Form
8700-12.
States & Tribes
tilted Notification of Hazardous Waste Activity,
requires the facility to list all types of hazardous
waste activity and a description of all hazardous
wastes.
Although Federal regulations do not require a
CESQG to obtain an EPA identification number
or follow SQG storage requirements, states may require it. In addition,
most hazardous waste transporters and TSDFs may not accept waste
from a facility without an EPA identification number.
Remember that individual states and tribes may have additional
requirements.
Hazardous Waste Collection and Storage
Federal regulations allow for two types of storage areas for SQGs
and LQGs, satellite accumulation areas and accumulation areas.
Satellite
Accumulation
Areas
A satellite accumulation area is an area at or
near the process that generates the waste.
The area must be under the control of the
operator of that process (40 CFR 262.34(c)).
A common example for labs is the hazardous
waste collection area in the individual lab.
Federal regulations allow generators to store
up to 55 gallons of hazardous waste or 1 quart of a particular acutely
hazardous waste in a satellite accumulation area.
OSHA Limits
Remember, regardless of
satellite accumulation
thresholds, OSHA
standards limit the
quantities of flammable
materials such as waste
solvent that can be stored
in one lab room.
There is no limit on accumulation
time. Once a container is full or more
than 55 gallons of hazardous waste or
1 quart of acutely hazardous waste is
accumulated, the full container or
excess waste must be moved to an
accumulation area within 72 hours.
This is a common compliance
challenge for labs.
Waste in satellite accumulation areas
must be managed as follows:
• Closed Containers. All
hazardous waste containers must
be kept closed except when it is
What if I have more than one type of
waste in my lab satellite accumulation
area?
The 55-gallon threshold under the
federal regulation applies to the
maximum quantity of waste allowed in
a Satellite Accumulation Area (SAA)
regardless of the number of waste
streams.
The EPA does not limit the number of
SAAs in a location.
However, having large amounts of
waste in one location is not
recommended.
necessary to add or remove waste. Evaporation of wastes in fume
hoods is prohibited.
Labeling. Federal satellite area rules only require labels listing the
container contents, but many states require that the contents, the
36
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Accumulation
Area
Requirements
hazard and the actual words "Hazardous Waste" be on the container.
Prudent practice would be to mark all hazardous waste containers in
the lab with the words "Hazardous Waste" and other words that
identify the containers contents (e.g., "waste hexane with trace
pesticide contamination").
• Container Condition and Compatibility. Containers must be
maintained in good condition (i.e., no rust, dents, or leaks, etc.) and
must be compatible with the hazardous wastes they contain.
Once hazardous waste leaves the satellite accumulation area and it
enters an accumulation area "the clock starts." The container is dated,
and the lab must ship the waste off-site to a permitted hazardous waste
TSDF within the allowable time for the generator class. For LQGs, waste
must be disposed of within 90 days. For SQGs, the waste must be
disposed of within 180 days or 270 days if the waste must be transported
200 miles or more for treatment, storage or disposal. If waste is not sent
off-site within the required time frame, then the lab is subject to fines and
in some cases, very cumbersome and costly RCRA storage permit
requirements.
Unlike satellite areas, there is no volume threshold for container size and
accumulation amount (provided the generator monthly accumulation
thresholds are not exceeded).
Different Containers, Different Dates
A lab generates waste isopropyl alcohol and waste formaldehyde. The wastes are collected in separate
5-gallon containers in satellite accumulation areas located in several labs. When the 5-gallon
containers are full, they are carried to the accumulation area within 72 hours. The formaldehyde is
accumulated in 55-gallon drums and the isopropyl alcohol is accumulated in a 250-gallon tank. The
hazardous waste manager puts the start date on the drum and tank when they start to be used (when
the first waste is poured in the empty container/tank). Therefore, two different wastes, generated
concurrently in a lab process, may have different start dates in the accumulation area. Regardless of
when additional waste is poured into each container, all the waste accumulated in the container must be
disposed of within the allowable time based on that start date for a SQG or LQG whether or not the
containers are full.
Accumulation areas have specific design and operational requirements
that must be followed.
• Labeling. All containers must
be marked with the words
"Hazardous Waste" or with an
EPA hazardous waste label.
The date accumulation begins
must also be marked clearly on
each container. (Remember, for
unknown wastes undergoing
sampling, the accumulation start
date is when the waste is
Hazardous Waste Tanks and Buildings
There are special requirements for
accumulating waste in a tank. 40 CFR
265.201 outlines the specific
requirements for tank storage.
Additional requirements also apply to
containment buildings. These
requirements can be found in 40 CFR
264.175.
37
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generated not when the lab results are returned. Therefore, it is wise
to manage all unknown wastes as hazardous).
• Closed Containers. All containers must remain closed unless adding
or removing waste.
• Container Condition and Compatibility. Containers must be
maintained in good condition (i.e., no rust, dents, or leaks, etc.) and
must be compatible with the hazardous wastes they contain.
• Incompatibles Storage. Incompatible wastes must be separated to
the greatest extent possible using distance, berms, or containment
pans.
• Inspections. The area must be inspected weekly to look for any signs
of corrosion, dents, bulges, or other signs of deterioration.
• Preparedness and Prevention. The generator must comply with 40
CFR 265, Subpart C that requires maintenance and operations of the
facility to minimize the potential for release to the environment. The
following emergency equipment and procedures must be maintained
for the accumulation area and periodically tested to ensure it is in
working order:
- A communications device or alarm
system capable of informing facility
personnel and local emergency
response authorities in the event of
an emergency (i.e., phone, two-way
radio);
- Portable fire extinguishers
(including special extinguishers,
foam, and dry chemical, necessary
for the waste), spill control
equipment, and decontamination
equipment;
- Water at adequate volume and
pressure to supply water hose
streams, foam producing
equipment, or automatic sprinklers;
- Waste containers must be arranged
in the accumulation area so that
there is adequate aisle space to allow access for emergency
personnel and equipment; and
- The following information must be posted next to the telephone in
the area:
• Name and phone number of the emergency coordinator, and
• Location of the spill control material, fire alarm, and fire
extinguishers and telephone number of the local fire department
unless there is a direct alarm.
Hazardous Waste Container
Inspection Logs
Inspections should be
documented for SQGs and
LQGs. Make up an inspection
log that staff can use to
document that everything has
been inspected and checks out
OK or that if not OK, action has
been taken to correct the
deficiency.
Even though documented
inspections are not required by
Federal regulations for satellite
accumulation areas, a simple
inspection procedure and log
can help lab staff maintain a
safer working area.
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Hazardous Waste Transportation and Disposal
If a lab facility is not a permitted TSDF, the facility must transfer its hazardous waste to a
regulated TSDF or recycling facility. The state or EPA permits TSDFs and recycling facilities,
so it is important to ensure the company chosen to receive the labs waste has an EPA
identification number. Because hazardous waste generators bear the burden for the
compliant transfer and disposal of their hazardous wastes, it is important to understand all
Federal, state and tribal regulations concerning the transfer and disposal of the lab's
hazardous waste. The EPA requires generators to follow strict procedures for shipping
hazardous waste to ensure it is handled properly.
Packing Up
the Waste
Hazardous
Waste
Manifesting
Before transporting hazardous wastes the generator must ensure the
containers are properly packaged, labeled, marked, and the transporting
vehicle is properly placarded.
• Packaging. Packaging must be done in accordance with all
Department of Transportation (DOT) regulations. See 49 CFR 173,
178, and 179 for specifications.
• Labeling and Marking. Before transporting the hazardous waste
packages, the generator must label each package in accordance with
DOT labeling requirements (49 CFR 172). The generator must mark
all containers of 110 gallons or less used in transportation with:
"HAZARDOUS WASTE - Federal Law Prohibits Improper Disposal. If
found, contact the nearest police or public safety authority or the U.S.
Environmental Protection Agency," the generator's name and number,
and the manifest document number.
• Placarding. According to 49 CFR 172 subpart F, the generator must
placard or offer the initial transporter the appropriate placards and
ensure they are used.
In accordance with 40 CFR 262
subpart B, all hazardous waste
shipments being sent off-site to be
managed at a TSDF must be
accompanied by a hazardous waste
manifest. Wastes may only be
manifested to appropriate designated
facilities, such as a permitted TSDF or
a recycling facility.
Often, the hazardous waste contractor
completes the manifests. However, lab
personnel must review the manifest to
ensure it is completed accurately and
sign the manifest certifying that it is
accurate.
The manifest is designed to document the hazardous waste disposal
process from cradle to grave as follows:
CESQGs Need a Manifest Too!
RCRA does not require CESQGs to
use manifests. However, some
states agencies may require a
manifest.
DOT regulations also require a
manifest for hazardous waste
transport regardless of generator
class . Therefore, hazardous waste
transporters may also require
CESQGs to use manifests. When
the CESQG does not have an EPA
ID number, the transporter may
accept the notation of "Conditionally
Exempt" in place of the ID number.
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Land Disposal
Restriction
Notices
Lab
Packing
Hauling Your Own Waste?
EPA allows transportation of
hazardous waste on public or
private right-of-ways, or along
the border of contiguous
properties under the control of
the same person without a
manifest to allow generators to
consolidate waste in a central
accumulation area (i.e., labs in
campus settings & military
installations).
If you haul waste off the
property you need a manifest.
• Obtaining the Proper Manifest. The generator must obtain the
manifest from the state receiving the waste. If that state does not
supply the manifest then the generator should use the manifest of the
state in which they are located. If
neither state supplies a manifest then
the generator may obtain a manifest
from the EPA.
• Number of Copies. The manifest must
have at least as many copies as
required by the generator, each
transporter, the TSDF, and one to return
to the generator.
• The Manifest Process. The generator
and transporter sign and date the
completed manifest. The generator
retains one copy and gives the
transporter the remaining copies. A
designated representative from the
TSDF signs the manifest when the waste is delivered and returns a
signed copy to the lab within 35 days for a LOG and within 60 days for
aSQG.
• The Exception Report. If the generator does not receive the signed
manifest within the specified time period he/she must submit an
exception report to the EPA.
EPA regulations require that nearly all hazardous waste be treated prior to
land disposal (40 CFR 268). Hazardous waste generators are required to
notify the receiving TSDF when they ship land disposal restricted (LDR)
wastes. LDR notices accompany the hazardous waste manifest and
include the generator's identification number, the appropriate treatment
standards, and the accompanying manifest number.
Because lab waste typically includes a diverse array of chemicals in small
quantities, they present special disposal concerns. In general, chemicals
can either be consolidated into bulk waste streams that meet specific
characteristics or "lab-packed". The term "lab-pack" describes the most
common method for packaging small quantities of lab waste. Small
containers of compatible waste materials are placed intact into a larger
packaging unit; usually a steel or fiber drum that contains an absorbent
material, such as vermiculite, to cushion the containers and absorb spilled
or leaked waste. An inventory is made as the containers are added to the
drum. The drum is then sealed and a copy of the inventory sheet is
attached to the drum. The drum is then shipped off-site for disposal
accompanied by a hazardous waste manifest.
There are advantages and disadvantages to lab packing. This packaging
method eliminates the need to transfer wastes and also reduces the
occurrence of dangerous reactions resulting from mixing incompatible
40
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The Best
Waste
Disposal
Option
materials. However, this method is often the most expensive. The
decision to consolidate or lab-pack should be made by those who are
knowledgeable about the makeup of each waste stream and in
consultation with the selected hazardous waste contractor. Note that only
individuals who have successfully completed DOT "HAZMAT" training can
prepare lab-packs. (49 CFR 173.12 (regulations governing lab-packs), 49
CFR 173 Subpart B (regulations governing packaging of hazardous
materials) and 49 CFR 172 Subpart H (DOT training regulations)).
It is important to decide on the best recycling or disposal method for that
waste. Reputable hazardous waste transporters or hazardous waste
management facilities can provide advice on the options that are most
cost-effective and environmentally preferred to specific situations.
Remember, however, that it is always the generator's responsibility to
understand and be in compliance with the regulations. Typical disposal
options for chemical wastes include incineration for toxic materials, and
landfill for nonhazardous materials. Hazardous waste transporters can
also assist labs in meeting DOT shipping and RCRA transportation
requirements and help prepare hazardous waste manifest forms.
Hazardous Waste Training
Lab staff should be trained annually in hazardous waste management and emergency
procedures relevant to their positions. Obviously, since hazardous waste management
responsibilities differ for various staff, so do training requirements. Labs should fashion
training programs so that they are appropriate for their operations. RCRA regulations require
that this training be formalized and documented for LQGs (40 CFR 262.34 and 265.16). While
not explicitly required for SQGs or CESQGs it is a good management practice.
P2 and Hazardous Waste
P2 and waste minimization can reduce or
eliminate the amount and/or toxicity of
hazardous waste that must be recycled,
treated, or disposed. Implementing a
comprehensive hazardous waste P2
program may reduce the generator status
of the lab and therefore reduce
compliance requirements. Lab P2 also
demonstrates good faith in compliance
and this can be an asset when dealing
with regulators and other community
stakeholders. It can reduce potential
environmental liabilities and help protect
the environment through more efficient
resource utilization. For example,
automated analyzers generate less
waste, often use smaller amounts of
Universities Demonstrate Pollution Prevention Success
The University of Texas Medical Branch (UTMB) at
Galveston implemented a solvent distillation waste
minimization program for nonhalogenated solvents
generated by histopathology. In one year, more than
6,200 L of alcohol, xylene, and formalin were reclaimed
for reuse and reduced the facility's hazardous waste
disposal volume by 29% and generated over $100,000 in
avoided costs for purchases and disposal. UTMB is
expanding the program and adding equipment for
distillation of acetonitrile wastes generated by HPLC and
biomolecular synthesis.
The University of Wyoming found that it dramatically
reduced its disposal costs as a result of its hazardous
waste minimization plan. In 1994, the University
collected 24,264 kg of waste and had disposal invoices
totaling $103,000 and by 1997 these numbers were
reduced to 9,035 kg at a disposal cost of $27,000.
41
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reagents and samples which means there are reduced air emissions, less water use and
reduced energy consumption as well.
P2 increases hazardous waste awareness and the staffs adaptability and openness to new
technology. In addition, it can improve housekeeping in a lab by leading to better tracking,
better labeling and more timely use of chemical stocks. It may also cut expenses by reducing
waste treatment and disposal costs, raw materials purchases, and other operating costs and
usually increases productivity and safety in a lab.
As noted in Section 2.2, an effective lab P2 program should include a number of key
elements, these are: obtaining management support, conducting a waste stream assessment,
conducting a feasibility analysis, implementing the selected P2 or waste minimization options,
and evaluating the program periodically and implementing recommended changes for
improvement. The environmental health and safety (EHS) staff at a number of universities
and company labs emphasize P2 in their training sessions to encourage waste minimization
from the beginning for a lab employee and to demonstrate its importance to the institution.
There are many ways to prevent or minimize hazardous waste generation. The list below
provides some ideas but is not exhaustive.
• Maintain a limited inventory of chemicals on hand so those chemicals do not expire or
deteriorate and necessitate disposal and employ other front-end purchasing controls (e.g.,
purchasing solvents in automatic dispensers to minimize waste due to overages). Only mix
what is needed.
• Develop a running inventory of unused chemicals for use by other departments.
• Reduce or eliminate the use of highly toxic chemicals in lab experiments.
• Centralize the waste management function to better track waste generation rates and
management costs.
• Establish waste minimization goals.
• Perform routine self-audits and P2 opportunity assessment.
• Perform experiments on a microscale whenever feasible.
• Include in the experiment plan the reaction work-up steps that deactivate hazardous
materials or reduce toxicity.
• Treat or destroy hazardous waste products as the last step in experiments. Use caution
because a RCRA permit may be necessary.
• Reuse/recycle spent solvents.
• Recover metal from catalyst.
• Use procedures to reduce metallic mercury use (e.g., replace mercury-bearing instruments
with alternatives, work with researchers to identify reagent substitutes for mercury salts,
and develop a procedure for work on plumbing fixtures in old lab facilities).
• Keep individual hazardous waste streams segregated: hazardous from non-hazardous and
recyclable from non-recyclable.
• Polymerize epoxy waste to a safe solid.
• Keep solvent containers closed when not in use.
• Reuse solvents after rotary evaporation.
• Replace chromic acid cleaning solutions with Alconox or a similar detergent and make
other product substitutions that can save money and are less harmful to the environment.
(e.g., Albany Medical Center (Albany, NY) reports that xylene, which is recycled by
42
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distillation, is substituted for limonene in all processes and this avoids 8.8 tons of
hazardous chemical wastes, saves $25,000 in waste
disposal costs and avoids $73,500 in purchase costs (at $35
per gallon)).
Examine the waste/excess chemicals to determine if there
are other uses within the organization before discarding or
other back-end inventory management options to employ
(e.g., special tracking of chemicals that quickly destabilize to
cull them out before they pose risks and are more costly to
dispose.) While many lab facilities have chemical
exchanges within their institutions, Bowling Green University
operates a regional chemical exchange program and
successfully worked out liability considerations.
Examine opportunities for recycling computers.
Thomas Jefferson University
(Philadelphia, PA) and Albany
Medical Center (AMC, Albany,
NY) and other institutions have
instituted programs to recycle
computer and EDP
equipment. AMC reports in its
first year an estimated
$160,000 was saved by
removing from the
wastestream and recycling
186 units of computers and
EDP equipment.
To minimize the generation of multi-hazardous waste streams, consider the following points:
• Use P2 strategies to reduce multi-hazardous waste to a waste that presents a single
hazard. By taking measures to limit the types of hazard in a specific wastestream the
waste may be managed by standards methods only for that category; and
• When possible select a single management option. Some waste management methods
are appropriate for more than one waste hazard. For example low-level radioactive animal
tissue (radioactive-biological waste) can often be incinerated on-site in compliance with
NRC regulations, which may be a satisfactory disposal option for both the radioactive and
the biological characteristics of the waste. Some multi-hazardous waste can be disposed
of safely in the sanitary sewer when allowed by the local POTW (see Water Discharges,
Section 3.2).
The problems presented by managing mixed wastes can be reduced by applying waste
minimization techniques such as:
• Substitution of non-ignitable liquid scintillation fluid (LSF) for toluene-based LSF to reduce
a chemical-radioactive waste to a radioactive waste. By substituting a biodegradable
scintillation fluid (Escscint) for toluene based fluors and substituting luminescence assays
for radioisotopes, scintallation vial disposal decreased by 667 pounds per year at Albany
Medical Center and avoided disposal costs totaled $16,000 for 5,000 pounds of radioactive
hazardous wastes (scintillation vials);
• Substitution of shorter half-life radionuclides such as 32P for 33P and 131I for 125I to shorten the
hazard period;
• Use of 2.5ml scintillation vials (mini-vials) instead of 10ml vials to reduce waste scintillation
fluid;
• Elimination of methanol/acetic acid and radioactive mixed hazards in gel electrophoresis
work by skipping the gel fixing step if it is not required; and
• Prevention of radioactive contamination of lead by lining lead containers with disposable
plastic or by using alternative shielding materials.
In-Lab Although not P2 or waste minimization, there are many benefits to
Treatment undertaking appropriate waste treatment techniques in the lab. Federally
allowable on-site treatment includes:
• Elementary neutralization;
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• Treatment in accumulation containers;
• Onsite Recycling; and
• Burning in Boilers and industrial furnaces.
Section 5 provides additional details on these treatment methods and
provides information on state specific allowances and requirements.
If it is acceptable to incorporate treatment steps, suitable options for
waste minimization (e.g., In-lab treatment) should be considered when
planning experiments. Often steps can be added at the end of the
experiment or procedure to eliminate hazardous byproducts and wastes.
Some typical examples include oxidizing organic chemicals with sodium
hypochlorite to produce nonhazardous waste, using phase separation of
organics from aqueous solutions and liquids from solids. Other in-lab
treatment methods include precipitation of toxic metals, oxidation of
inorganic cyanides and sulfides, and treatment of organic peroxides and
hydro-peroxides. Ideally, every lab procedure should be reviewed to
determine whether acceptable waste treatment steps should be
developed and included. Some specific recommendations include:
• Destroy ethidium bromide using NaN02 and hydrophosphorus acid;
• Treat sulfur and phosphorus wastes with bleach before disposal;
• Treat organolithium waste with water or ethanol; and
• Consider including detoxification and/or waste neutralization steps in
lab experiments.
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HAZARDOUS WASTE MANAGEMENT PROGRAM CHECKLIST
Action
Notes
Hazardous Waste Identification
1 . Verify waste has been properly characterized to determine that
(1) it is hazardous waste and (2) proper EPA identification code
numbers have been assigned.
Generator Status
2. Ensure the facility has a system to determine the generation rate
and quantity of hazardous waste accumulated on-site and uses
this data to ascertain generator status
3. Determine, if required (e.g., SQG or LQG), that the facility has an
EPA identification number.
Satellite Accumulation
4. Verify each satellite accumulation area (SAA) is at or near the
point of waste generation for each waste and is under the control
of the operator of the process that generated the waste.
5. Verify waste containers are labeled "Hazardous Waste" and/or
with words to indicate their contents.
6. Verify waste containers are kept closed and are in good
condition.
7. Verify wastes are compatible with containers.
8. Verify wastes in any given SAA do not exceed 55 gallons of
hazardous waste or one quart of acutely hazardous waste.
Central Accumulation Area
9. Ensure every hazardous waste container is marked "Hazardous
Waste" and with its accumulation start date.
10. Verify waste is stored <90 days for LQGs and <180 days for
SQGs, or 270 days if transported more than 200 miles.
1 1 . Ensure incompatible wastes and/or materials are separated or
protected by physical means (e.g., wall, cabinet).
12. Determine if internal communications equipment is available
(e.g., two-way radio, telephone).
13. Ensure floor drains are covered to prevent a spill from entering.
14. Verify that fire extinguishers are in place and that a water supply
is available.
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HAZARDOUS WASTE MANAGEMENT PROGRAM CHECKLIST
Action
15. Determine if decontamination equipment is available (emergency
shower, eyewash).
16. Verify aisle spaces are unobstructed.
17. Verify containers are inspected for leakage and/or corrosion at
least weekly and inspections are recorded.
18. Ensure the storage area provides secondary containment.
19. Ensure personal safety equipment is available and usable.
20. Determine if ignitable and reactive wastes are handled and
stored in a manner to prevent fires and/or explosives.
21 . Verify containers are arranged on shelving so that the heavy
containers are on the lower shelves and smaller containers on
higher shelves.
22. Ensure the shelving supporting hazardous wastes is in good
condition and sturdy enough to support the load.
Notes
Hazardous Waste Disposal
23. Verify any hazardous waste treated or disposed on-site (e.g.,
neutralized and/or discharged down the drain) is done so in
accordance with all applicable regulations.
24. Ensure any hazardous waste leaving the site is sent to an
appropriately permitted TSDF.
25. Verify the hazardous waste transporter/broker is licensed,
insured and reputable.
26. Determine if employees responsible for shipping hazardous
waste have been trained in accordance with DOT regulations.
Recordkeeping and Reporting
27. Verify the following records are retained on-site for at least three
years:
• Manifests;
• Waste analyses results;
• Inspection records;
• Training records; and
• Land disposal restrictions notifications.
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HAZARDOUS WASTE MANAGEMENT PROGRAM CHECKLIST
Action
28. Determine if hazardous waste manifests signed by the
transporter and designated TSDF have been received by the
facility within the appropriate time period (e.g., 35 days for LQG
and 60 days for SQG).
Notes
Emergency Preparedness
29. Ensure an emergency coordinator who is familiar with response
procedures at the facility has been designated and is on site or
on call at all times.
30. Verify emergency phone numbers (Fire Department, Police
Department and Local Hospital) have been posted.
31 . Ensure the Fire Department is aware of the types and quantities
of hazardous materials stored in the facility.
32. For LQGs, determine if a written contingency program has been
developed and distributed.
33. Verify that spill cleanup materials and equipment (e.g.,
absorbents, neutralizers, and personal protective equipment) are
available.
Management System
34. Ensure copies of current Federal, state, tribal or local hazardous
waste management regulations are available.
35. Ensure an individual has been designated to manage hazardous
waste at the facility (e.g., tracking, accumulation, disposal,
minimization and recordkeeping).
36. Ensure a formal training program (e.g., waste management, and
emergency response) is in place.
37. Determine if a system to track the quantities of chemicals and
hazardous wastes on-site is in place.
38. Determine if the lab has investigated and, where feasible,
implemented P2 opportunities.
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3.4 Non-Hazardous Solid Waste
Small labs generate a variety of nonhazardous solid wastes. These wastes (commonly
referred to as solid waste) include office trash, used packing materials, garbage from
cafeterias and lab unique wastes such as broken glassware, used filter or weight papers and
empty chemical containers, discarded tubing, discarded equipment and other materials.
Labs are subject to requirements related to the collection and storage of solid waste as well as
ensuring that the waste is disposed of properly. Most labs arrange to have these wastes
disposed of through municipal or private haulers at a permitted municipal waste landfill or
incinerator. Onsite landfills and incinerators are uncommon for small labs due to stringent
regulatory requirements.
Regulatory Considerations
RCRA Subtitle D encourages environmentally sound solid waste management practices that
maximize reuse of recoverable materials and foster resource recovery. Although solid waste
is predominately regulated by state, tribal or local governments, EPA has promulgated some
regulations governing solid waste management. In particular, 40 CFR 243 establishes
minimum levels of performance for solid waste collection operations including storage, safety,
collection equipment, collection frequency and management. 40 CFR 246 establishes
guidelines for source separation of high-grade office paper and corrugated paper. Many state,
tribal or local regulations include additional requirements for segregating and recycling certain
materials (i.e., glass, newspapers, and aluminum).
Management Issues
What Can Be
Thrown in the
Trash?
Certain materials are prohibited from
disposal as solid waste in the regular
trash.
• No Hazardous and Polychlorinated
Biphenyl (PCB) Wastes. Landfills
and municipal solid waste incinerators
are prohibited from accepting
hazardous and PCB wastes. (40 CFR
Empty Containers
Make sure containers that
contained hazardous materials
such as chemical containers and
cleaning supply containers are
completely empty per the RCRA
definition (see Hazardous
Wastes, Section 3.3).
258.20).
No Liquid Wastes. Bulk or non-containerized nonhazardous liquid
wastes are prohibited from disposal at a landfill (40 CFR 258.28).
Whenever possible, do not dispose of liquids in the trash. Make sure
any liquid wastes are limited to small containers such as would be
found in household trash (e.g., soda in a can or cups, hand-washing
detergent container with some residue.
Other Prohibited Wastes. The disposal facility may prohibit other
wastes such as green waste (e.g., landscaping
wastes) or bulky waste (e.g., appliances and
equipment) from disposal in the regular trash
based on state, tribal or local requirements.
Waste chemicals
do not go in the
regular trash!
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Storage and
Collection
Is the cover on your
outside dumpster
closed?
Waste
Transport
and
Disposal
Recycling
Waste containers for garbage or recycling must be
of adequate size and number to handle the amount
of waste being generated. The solid waste must be
stored in a manner that does not constitute a fire,
health, or safety hazard and must be contained or bundled so as not to
result in a spill. In addition, containers storing food wastes must be
covered, leak proof, and maintained to prevent a nuisance (odor, sight),
and control vectors such as animals and insects.
The solid waste must be collected with sufficient frequency to inhibit the
propagation or attraction of vectors or the creation of a nuisance. Food
waste must be collected at least weekly. Bulky wastes must be collected
at least once every three months.
The lab is responsible for the proper disposal of its solid waste. If using a
private hauler, lab staff should make sure the vehicles being used are
enclosed or can otherwise prevent spills, and that they are adequately
maintained. The lab staff should also make sure that the waste is being
disposed at a permitted municipal waste landfill or incinerator.
RCRA mandates source separation for high-grade paper and corrugated
containers under certain circumstances. State, tribal or local governments
may also have recycling requirements.
In office facilities employing more than 100 people, the facility is required
to separate and sell high-grade office paper (40 CFR 246). The EPA
encourages smaller facilities to implement this practice as well as the
recycling of other materials such as mixed paper, newspaper, glass,
aluminum and plastic if it is economically feasible, even if it is not required
by state, tribal or local regulation. Lab facilities should establish central
collection points for these materials in common areas such as a break
room, hallway alcove or office area. Individual containers for office paper
should also be provided for all employees. All central collection
containers should be clearly labeled.
Pollution Prevention and Non-Hazardous Waste
P2 and waste minimization strategies for non-hazardous waste include reducing, reusing, and
recycling. Recycling strategies are discussed in the previous section. Implement reduction
strategies in the office as well as lab areas. Some suggestions include:
• Print and copy on both sides of the paper;
• Make all manuals, memos, and training aids available in electronic format only;
• Distribute presentation electronically on CD, diskette, or the Internet;
• Fax directly from your computer;
• E-mail documents as attachments and edit on screen;
• Share periodical subscriptions with colleagues;
• Purchase materials in bulk;
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• Use resealable containers in transportation;
• Ensure there are no purchasing policies or procedures that discourage reduction
strategies; and
• Talk to suppliers about minimizing packaging.
Suggestions for reusing non-hazardous waste include:
• Use corrugated boxes to move supplies or as temporary recycling bins;
• Use incoming packaging for outgoing packaging;
• Recycle office furniture; and
• Return containers to the manufacturer or distributor.
Remember that the key to a successful solid waste management program is employee
awareness. Ensure staff is trained on what can and can not go in the regular trash, that staff
are aware of and are encouraged to buy smart, reuse, recycle, and reduce. Training should
include the identification of types of wastes, use of collection containers, proper labeling, and
the importance of source separation, recycling, and reusing.
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NON-HAZARDOUS WASTE PROGRAM CHECKLIST
Action
1.
2.
3.
4.
Ascertain whether the solid waste collection
facilities meet regulatory requirements including:
an adequate number of containers; containers in
good condition; and food waste containers that
are liquid-tight and closed when not in use,
collected at least weekly.
Verify the establishment of a recycling program
that meets Federal, state, tribal or local
requirements.
Confirm that the solid waste from the lab is going
to a permitted landfill or incinerator.
Determine if the lab has a waste minimization
program in effect for solid waste collection and
packaging.
Notes
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3.5 Biologically Active Substances and Wastes
Labs that work with microorganisms, recombinant DMA (rDNA) technologies, lab animals,
human body fluids (blood, urine, feces, tissues, etc.) or bloodborne pathogens are special and
often require unique work environments. These labs must be managed so as to reduce the
potential for personnel exposure and environmental release. Wastes generated from these
activities must also be uniquely managed.
Regulatory Considerations
The Federal EPA does not generally regulate biologically active substances or wastes.
Exceptions include air regulations for medical waste incinerators and chemical treatment
systems, biotechnology products such as bioremediation microorganisms regulated under the
Toxic Substance Control Act (TSCA), and biopesticides regulated under the Federal
Insecticide, Fungicide and Rodenticide Act (FIFRA). OSHA has established two standards
that are applicable. In addition the Centers for Disease Control/National Institutes of Health
(CDC/NIH) and National Research Council (NRC) have developed guidelines that labs should
follow.
OSHA
Standards
Guidelines
Other Federal
Agency
Requirement
State, Tribal or
Local
Requirements
OSHA promulgated the Blood-borne Pathogen Standard (BBP) (29 CFR
1910.1030) to protect workers who may be exposed to blood and OPIM
(e.g., human body fluids). In addition, OSHA has promulgated a standard
on occupational exposure to TB (FR 62:54159 - 54309).
The CDC/NIH published guidelines that apply to labs involved in working
with infectious microorganisms and rDNA. Biosafety in Microbiological
and Biomedical Labs describes four biosafety levels and associated
standard and special microbiological practices, safety equipment, and
facility design criteria. The guidelines for research involving rDNA provide
recommendations on equipment and procedures specific to rDNA. In
addition, the NRC developed the Guide for the Care and Use of
Laboratory Animals. Information on how to obtain these publications is
provided in section 4.0 of this Guide.
It is important to understand that other Federal agencies such as DOT,
OSHA, and the Nuclear Regulatory Commission (NRC) have regulations
that address various aspects of biological waste management.
Information on how to contact these agencies for more information is also
in Section 4.0 of this Guide.
In addition to the federal standards and guidelines, many local regulations
exist to ensure proper management of biologically active substances such
as rDNA. Although there are no Federal EPA requirements for the
management and disposal of biological waste (including medical waste)
most states do define and regulate this waste stream. Medical waste is
generally defined as any solid waste generated in the diagnosis,
treatment, immunization of human beings or animals, in related research,
or in the production or testing of "biologicals" including cultures and
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stocks, human blood and blood products, human pathological wastes,
sharps, animal waste, and wastes from isolated patients.
It is important to consult with the state office of environmental
management to obtain current requirements for the lab.
Management Issues
Small labs which handle biologically active substances should consult the standards and
guidelines identified above in order to establish an effective biosafety program. This program
should include the following:
• Assessment to identify employees with biohazard exposure potential as well as procedures
that pose an environmental risk;
• Designation of a Biological Safety Officer;
• Development of a Biosafety Plan;
• Development of an Exposure Control Plan if subject to the BBP standard (this may be
integrated into the Biosafety Plan);
• Training for each employee included under the plan;
• Application of appropriate controls, including engineering controls
protective equipment, work practice, and housekeeping techniques Several states
generators to
complete
manifests for
biological
Lab inspections for work practices and engineering controls; active wastes-
including universal precautions, biohazard container labeling and
management;
Development and implementation of decontamination procedures;
Development and implementation of waste handling procedures;
• Medical Surveillance Program;
• Recordkeeping program for exposure monitoring, incidents such as spills or releases, and
waste disposal; and
• Development and implementation of programs to comply with OSHA Bloodborne Pathogen
Standard (29 CFR 1910.1030) if applicable.
Several key aspects of the biosafety program are outlined below.
Biohazard Biohazards should be communicated through labeling and biohazard
Communication signs. Where biologically active substances and wastes are used,
handled or stored, labs should use the universal biohazard symbol. This
symbol is required for bags, sharps containers, containers of
contaminated laundry, refrigerators, and freezers used to store, transport
or ship blood or OPIM.
In addition to labels, post a biohazard sign at the entrance to a lab. The
sign should include the universal biohazard symbol, the agent in use, the
criteria for entry (e.g., vaccinations, PPE) and the biosafety level.
HBV/HIV research labs also require the name and telephone number of a
contact person; this is a good idea for all areas.
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Biohazard
Training
Biological
Waste
Management
Program
All lab employees should be adequately trained prior to beginning work
with biologically active substances. Training should occur at the time of
initial assignment and whenever a change in work tasks or operations
create new exposure situations. Training should be tailored to the specific
job.
Proper management ensures that biologically active waste is properly
handled from cradle to grave. The following elements of a biological
waste management program should be in place to reduce exposure to
employees and the public:
• Segregate infectious waste from the general trash;
• Use the universal biological hazard symbol on
infectious waste containers;
• Select the packaging material that is appropriate for
the type of waste handled:
- Plastic bags for solid or semisolid infectious
waste,
- Puncture resistant containers for sharps, and
- Bottles, flasks, or tanks for liquids;
• Use packaging that maintains its integrity during
storage and transportation;
• Do not compact infectious waste or packaged infectious waste before
treatment;
• Minimize storage time;
• Select the most appropriate treatment option for your waste. Consider
steam sterilization, incineration, thermal inactivation, and chemical
disinfection. Note that in most cases, it is acceptable to discharge
blood and blood products to the sanitary sewer, but check first with
your local POTW; and
• Contact state, tribal or local authorities to identify approved treatment
disposal options.
Pollution Prevention and Biologically Active Substances
Use a licensed
medical waste
vendor for
transportation.
Some states
require
transporters of
infectious waste
have additional
permits.
An effective biological waste program
not only protects workers and the
environment, it can also lead to cost
savings from waste reduction or
prevention. Lab staff and management
should pursue opportunities to use
materials with a lower biohazard level or
alternative procedures to reduce the
material handling and disposal
requirements of the program.
Is It All Biological Waste?
Clinical labs in a hospital were using sharps containers for
disposal of most of their biohazardous material. This was
not required by the state. By changing to a corrugated
disposable box with a bag liner, the labs reduced costs
from $75,000 annually to $7,000.
The elimination of the unnecessary plastic sharp containers
also helped reduce air pollution loading for the on-site
incinerator.
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BIOLOGICALLY ACTIVE SUBSTANCES AND WASTES PROGRAM CHECKLIST
Action
Notes
1. Verify the lab has all applicable EPA, OSHA,
CDC/NIH, DOT, and NRC regulations and
guidelines available.
2. Determine if the lab established an effective
biosafety program that includes the following:
• An assessment to identify employees with
biohazard exposure potential;
• Designation of a Biological Safety Officer;
• Development of a biosafety plan (to include an
Exposure Control Plan);
• Employee training;
• Application of appropriate controls;
• Development of decontamination and waste
handling procedures;
• Inspections of work practices and engineering
controls;
• Medical surveillance program;
• Recordkeeping program; and
• Development of a bloodborne pathogen
program.
3. Verify that the universal biohazard symbol is
placed prominently on all bags, sharps containers,
containers of contaminated laundry, refrigerators,
and freezers used to store, transport or ship blood
orOPIM.
Ensure biohazard signs are posted at the
entrance to all labs using or storing biohazards.
The signs should include:
• The universal biohazard symbol;
• The agent in use;
• The criteria for entry; and
• The biosafety level.
5. Verify employee training occurred prior to working
with biologically active substances and whenever
there is a change in the work task or operations
that create new exposure situations,
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BIOLOGICALLY ACTIVE SUBSTANCES AND WASTES PROGRAM CHECKLIST
Action
6. Ensure the lab developed and implemented an
infectious waste management program that
includes the following elements:
• Guidelines to separate infectious waste from
general trash;
• Labeling requirements (use of the universal
biological hazard symbol on all containers);
• Guidelines on selecting the appropriate type of
packaging material to contain the infectious
waste and to maintain its integrity during
storage and transportation;
• Requirements that do not allow for the
compaction of infectious waste prior to
treatment;
• Procedures in place to minimize storage time;
and
• Guidelines for selection of the most
appropriate treatment option for the waste.
7. Determine if lab staff and management developed
or studied opportunities for pollution prevention or
waste management.
Notes
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3.6 Radioactive Materials
Small labs may be required to maintain a radiation safety program if their operations involve
the use of radioactive materials. Such materials at small labs might be in one or more of the
following applications:
• Radioisotopes, usually in liquid form, used as tags in biological experimentation.
14,
32 p
Commonly used isotopes are Hydrogen (tritium), Carbon, Phosphorus and
33Phosphorus, 35Sulfur, and 125lodine.
• Sealed radioactive sources used in measuring devices. Examples are 63Nickel used in gas
chromatographs, and 210Polonium used in static eliminators.
• Contrasting agents in powder form such as uranyl acetate, thorium nitrate and uranyl
nitrate, contain uranium or thorium which are radioactive.
Radiation-producing devices such as X-ray equipment or electron microscopes might also
require a radiation safety program.
In addition to the sources of ionizing radiation described above, some labs may manage non-
ionizing radiation sources such as lasers and electromagnetic sources.
Regulatory Considerations
The EPA does not have a large role in regulation of radiation safety. However, there are a
number of federal, state, tribal and local standards and regulations that pertain to radiation
safety and the possession of sources of ionizing radiation.
Nuclear
Regulatory
Commission
The Nuclear Regulatory Commission (NRC) has regulations that govern
the possession and use of radioactive material in three categories:
Special nuclear material (SNM), source material, and byproduct material.
Definitions of these are provided below.
"Special nuclear material" means (1) Plutonium, uranium-233, uranium
enriched in the isotope 233 or in the isotope 235, and any other material
which the NRC determines to be special nuclear material, but does not
include source material; or (2) Any material artificially enriched by any of
the foregoing but does not include source material.
"Source material" means (1) Uranium or thorium, or any combination of
uranium and thorium in any physical or chemical form; or (2) Ores which
contain, by weight, one-twentieth of one percent (0.05 percent), or more,
of uranium, thorium, or any combination of uranium and thorium. Source
material does not include special nuclear material. Source material, if
placed in a breeder reactor, can be turned into special nuclear material.
This is why source material is placed in a special class.
"Byproduct material" is defined in two separate ways: (1) Any radioactive
material (except special nuclear material) yielded in, or made radioactive
by, exposure to the radiation incident to the process of producing or
utilizing special nuclear material. For all intents and purposes, any
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Agreement
States
Authority of
State
Agencies
material that becomes radioactive because it is used in a nuclear reactor
is byproduct material. This includes fission products such as 90Sr, 131I,
137Cs and numerous others. It also includes material made radioactive by
its exposure to neutron radiation emitted during the fission process.
Some examples are 60Co, 54Mn, 59Fe, 65Zn and many others; and (2)
Byproduct material also includes the tailings or wastes produced by the
extraction or concentration of uranium or thorium from ore processed
primarily for its source material content, including discrete surface wastes
resulting from uranium solution extraction processes. Underground ore
bodies depleted by these solution extraction operations do not constitute
"byproduct material" within this definition.
Certain small quantities or concentrations of byproduct material may be
exempt from requirements for a NRC license. Certain devices (such as
gas chromatographs) containing sealed sources might be able to be
possessed under a so-called general license. These general licenses for
byproduct material are issued under 10 CFR 31. Also, 10 CFR 40 allows
for possession of relatively small quantities of source material. Other
parts of 10 CFR contain various other exceptions and exemptions from
licensing requirements.
Approximately two-thirds of the states have entered into an agreement
with NRC to take over most of the responsibility of licensing and regulating
the use of byproduct, source and special nuclear material within their
borders. These are called "Agreement States." NRC, however, retains
the authority to license federal facilities that are located in agreement
states.
Several types of radioactive material and sources of ionizing radiation fall
outside the definitions provided above and are therefore not regulated by
NRC. Some examples of these are:
• Naturally occurring radioactive material (NORM);
• Accelerator-produced radioactive material; and
• Radiation-producing machines, such as diagnostic and therapeutic x-
ray machines, accelerators, industrial x-ray machines, scanning
electron microscopes, ion implanters, and the like.
Therefore, labs in possession of such materials and machines may need
to be licensed or registered with the state in which they are located and to
follow the state regulations that apply. Some states also have laser
regulations.
Small labs should check with the NRC regional office in which they are
located and with the appropriate state or tribal office to resolve any
questions about licensing and/or registration of sources of radiation.
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NRC
Requirements
OSHA
Requirements
The NRC's rules for licensing, inspection, and radiation protection
practices are contained in Title 10 of the Code of Federal Regulations.
Requirements for byproduct material licenses, the type that applies to
most small labs, are contained in 10 CFR 30. Requirements for posting
notices, registration of employee complaints or concerns, providing
reports and instructions to employees, and general radiation safety
training requirements for employees are contained in 10 CFR 19. 10 CFR
20 contains the standards for protection against radiation, including
radiation dose limits for workers and the general public and permissible
levels of airborne contamination and radioactivity in effluents. It also
specifies standards for establishing personal radiation dose monitoring
procedures, posting radiation warning signs, picking up, receiving and
opening packages containing radioactive materials, radioactive material
transfer and disposal, recordkeeping, reporting and notifications.
Subpart Z of 29 CFR 1910.1096, the OSHA standard on ionizing
radiation, applies to labs that are not required to have a specific license
from NRC. At licensed facilities, NRC rules supercede OSHA rules on
radiation protection, in accordance with the OSH Act. In non-licensed
labs, subpart Z specifies limits for exposure of staff in certain areas,
precautionary measures and personnel monitoring, requirements for
labeling and handling radioactive materials, reporting of exposures, and
others. Subpart G of 29 CFR 1910.97 provides standards for non-ionizing
radiation.
Information on how to contact these various agencies for more
information is in Section 4.0 of this Guide.
Management Issues
Small labs that have radioactive material licenses have committed to developing and following
specific procedures and practices as part of the licensing process. Compliance with the
applicable Federal, state or tribal regulations, the terms of the specific license, and the
requirements of related facility procedures is mandatory.
Small labs that possess radiation-producing machines should operate their safety program in
accordance with the applicable state or tribal regulations.
Small labs that possess both radioactive materials and radiation-producing machines must run
their radiation protection program in accordance with both sets of requirements. One does not
supercede the other.
A radiation safety program should include the following:
• Development of a documented program in the form of procedures or a radiation safety
manual;
• Designation of a Radiation Safety Officer (RSO) to administer the program;
• Personal radiation monitoring devices under certain circumstances;
• Internal dose monitoring (bioassay) under certain circumstances;
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• Establishment of work practice controls including those for:
- Ordering radioactive materials or radiation-producing machines,
- Packaging and shipment of radioactive materials,
- Receipt and storage of radioactive materials,
- An area radiation and contamination survey program,
- Sealed source leak tests (usually every six months),
- A routine maintenance and calibration program for certain equipment,
- Proper use of protective equipment and clothing,
- Spill response, and
- Radioactive waste disposal.
• Posting and access control for areas where there are radiation hazards;
• Development and conduct of radiation safety training appropriate for the job; and
• Recordkeeping, notification and reporting as required.
Several key aspects of the radiation safety program are outlined below.
Contamination
Monitoring
and Surveys
Radioactive
Waste
Management
Sealed-Source Leak Tests
Most sealed sources must
be tested for leakage every
six months. Obtain a leak-
test kit from a licensed lab
and follow the instructions.
Labs and equipment can become
contaminated when liquids and powders that
are labeled with radioisotopes are used. In
addition, although infrequent, leakage from a
sealed radioactive source is possible.
Routine Day-to-Day Monitoring. Each
individual is responsible for monitoring his or her person, clothing, and
shoes with the appropriate hand-held survey instrument before leaving an
area where there is the potential for contamination.
Contamination Surveys. Labs using unsealed radioactive material must
be surveyed periodically by the RSO. Semiannual leak tests are also
required for sealed beta and gamma sources containing 100 microcuries
or greater, and for alpha sources that contain 10 microcuries or greater.
Radiation-Producing Machine Surveys. X-ray machines, electron
microscopes and other radiation-producing machines should be surveyed
at installation, after being moved, after attachments are added or the unit
is modified, before resuming routine operations after maintenance, or any
other time that the machine or procedures for its use are changed.
Radioactive wastes from small labs may include
solids, liquids, liquid scintillation cocktail and vials,
animal carcasses and animal bedding.
Management of this low-level radioactive waste
(LLRW) may include decay-in-storage for short-
lived isotopes, release to sanitary sewers under
certain conditions, or interim storage on site
pending transfer to a licensed waste broker for
land burial or incineration.
Specific Wastes
Liquid scintillation
medium or animal
tissue containing less
than 0.05 uCiof3H or
14C per gram of
material may be
disposed of as if it
were not radioactive.
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Lab Collection. Radioactive waste must be collected into designated
containers that are clearly labeled. Bins or step-cans for solid waste
should be lined with a yellow plastic bag. Polyethylene bottles are
recommended for liquid wastes because they provide less secondary
radiation from high-energy beta-emitting isotopes than glass, are
compatible with most chemicals and do not break as easily.
Container labels should show:
• The radionuclides present in the waste;
• The dates of accumulation; and
• The lab in which the waste was generated.
A log sheet should be provided for each container for scientific staff to
record:
• The radionuclide present in the waste;
• Amount of activity;
• Users initials; and
• Disposal date.
Segregate the wastes by physical form and radionuclide. Move the waste
to the radioactive waste handling room for processing or temporary
storage when the container is full or when exposure at the outside of the
waste container exceeds 0.25 mR/h. Use plastic containers rather than
steel for high-energy beta emitting isotopes such as P-32.
Storage. Radioactive waste in storage must be housed in rooms
exclusively dedicated for this purpose. The room should be in a low traffic
area, be secured against unauthorized entry when not attended and
monitored by a trained radiation worker.
Labels for Shipping
Some are required on
opposite sides of the
rnntainpr
Packaging, Transportation and Disposal. The
lab must provide documentation on the identity
and quantity of radioactivity and properly label and
contain the radioactive waste to be shipped off-
site. Radiation surveys of the container are
required to determine external radiation levels and if there is any
removable contamination. Check DOT requirements in 49 CFR 172.403
and 173 for specific requirements. A reputable radioactive waste broker
can assist with these requirements.
Sanitary Sewer Discharge. The NRC
allows for the disposal of small
amounts of liquid radioactive waste in
specifically designated sinks that drain
to sanitary sewers. The waste must be
soluble or dispersible in water and be
absent of chemically or biologically
Sink Discharge Log
If discharges are made to sanitary
sewers, maintain a log to record
the nuclide, quantity disposed, date
of disposal and person disposing
the waste for each discharge.
ciu&eiii ui UMtMiiiucmy ui uiuiuyiucmy
hazardous components. The average concentration disposed of in this
61
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manner must not exceed limits in 10 CFR 20, Appendix B. Table 3. There
may be state, tribal or local sewer district limits, or specific license
discharge limits. The NRC limits are the average monthly concentrations
that may be disposed down the drain. The complete list of requirements
is contained in 10 CFR 20.2003 (see Water Discharges, Section 3.2).
Equipment Disposal. When taking equipment out of service that
contains a sealed radioactive source, it is important to follow the
manufacturer's instructions regarding removal and proper disposal of the
sealed source. Generally, manufacturers advise returning the equipment
to them and they in turn will dispose of the radioactive source. The
manufacturer should be your first contact to learn about handling, shipping
and disposal options prior to shipment.
Pollution Prevention and Radioactive Materials
Opportunities for P2 and waste minimization can have significant economic impact due to the
high disposal costs associated with radioactive waste. There are a limited number of disposal
options currently available to licensees. Several opportunities include:
• Using non-radioactive substitutes;
• Substituting radioactive materials with shorter half-lives, and use the decay-in-storage
option;
• Sharing and reusing radioisotope source vials that come in larger-than-required quantities
or buy the correct quantity;
• Carefully segregating radioactive from non-radioactive materials (e.g., leftover reagents,
boxes, packing material); and
• Using reusable spill trays and wearing reusable protective clothing that can be
radiologically surveyed and laundered.
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RADIOACTIVE MATERIALS MANAGEMENT CHECKLIST
Action
Notes
1. Verify the lab identified all applicable Federal, tribal, state,
and local regulations.
2. Ensure the lab is operating under a NRC license or a state
license if located in an agreement state. Labs operating in
Indian Country should check with the tribal council to
determine license requirements.
3. Determine if the lab produces or uses a source of ionizing
radiation that falls outside the scope of the NRC (e.g.,
NORM, lasers). Verify the lab is meeting all applicable
state, tribal, and local regulations regarding NRC exempt
materials.
4. Verify the lab developed and implemented a documented
radiation safety program (procedures or a manual) that
includes the following elements:
• Designation of a Radiation Safety Officer;
• Use of personal radiation monitoring devices;
• Procedures for the use of internal dose monitoring in
certain circumstances;
• Access control and signage;
• Radiation safety training appropriate for a job;
• Recordkeeping, notification, and reporting procedures;
and
• Establishment of work practice controls that cover:
- Ordering radioactive materials or radiation-
producing machines,
- Packaging and shipment of radioactive materials,
- Receipt and storage of radioactive materials,
- Area radiation and contamination survey program,
- Sealed source leak tests,
- Routine maintenance and calibration program,
- Proper use of PPE,
- Spill response, and
- Radioactive waste disposal.
5. Determine if every individual monitors his or her person,
clothing, and shoes before leaving an area where there is
contamination potential.
6. Verify the RSO surveys unsealed radioactive materials
and performs semiannual leak tests on sealed sources.
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RADIOACTIVE MATERIALS MANAGEMENT CHECKLIST
Action
Notes
7. Verify the RSO surveys radiation-producing machines at
installation, after being moved, after attachments are
added or the unit is modified, before resuming routine
operations after maintenance, or any other time the
machine or procedures are altered.
8. Ensure containers used for collection in the lab are
designated for radiation waste only and clearly labeled
with:
• The type of radionuclides present in the waste;
• The dates of accumulation; and
• The lab in which the waste was generated.
9. Verify that a log sheet accompanies each collection
container and that staff record the following information:
• Radionuclide present in the waste;
• Amount of activity;
• Users initials; and
• Disposal date.
10. Verify the lab has a separate room for radioactive waste
that is in a low traffic area, secured against unauthorized
entry, and monitored by a trained radiation worker.
11. Determine if the lab surveys transport containers for
external radiation levels prior to snipping and documents
the identity and quantity of radioactivity.
12. Verify the lab regulates and monitors the disposal of small
amounts of liquid radioactive wastes disposed of in
specially designated sinks.
13. Verify the lab staff looks for opportunities for waste
minimization and P2.
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3.7 Special Wastes
Special consideration has been made for the recycling and disposal of several commonly
generated wastes that can be found at small labs. These special wastes include used oil,
spent batteries, thermostats and fluorescent lights. The regulatory requirements and
management issues related to these "special wastes" are described in this Section.
Used Oil Labs may generate used oil from building systems equipment (e.g.,
Management compressors and power generators), from oil containing lab equipment
(e.g., hydraulic oil), or from vehicles and landscape maintenance
equipment. In September 1992 the EPA developed regulations for
managing used oil through recycling (40 CFR 279).
Some state and tribal
regulations require used
oil to be treated as a
hazardous waste.
Check with state and
What is Used Oil. The EPA defines used oil as
"any oil that has been refined from crude oil or
any synthetic oil that has been used and as a
result of such use is contaminated by physical or
chemical impurities." The used oil program
utilizes a three tiered approach to determine if a
substance meets the definition of used oil and
must be managed under the EPA used oil program. The three criteria are
listed below:
• Origin: used oil must have been refined from crude oil or made from
synthetic materials. This origin determination excludes animal and
plant based oils.
• Use: used oil must have been used as a lubricant, heat transfer fluid or
hydraulic fluid to name a few. Unused oil does not meet the EPA
definition, also excluded are oils used as solvents or cleaning agents
as well as antifreeze and kerosene.
• Contaminants: used oil must have been contaminated during use.
Contaminants may include metal shavings, dirt, solvents, or halogens.
Used Oil Exemptions. Used oil is exempt from the hazardous waste
program if it is managed through a used oil recycler and is not mixed with
hazardous waste. Several of the exemptions to this policy are listed
below:
• If the used oil is found to contain greater than
1000 parts per million (ppm) of a halogen then it
is presumed to have been mixed with a
hazardous waste and must be managed as
such. The generator through testing may rebut
this presumption.
If mixed with a waste that is ignitable then the mix can be disposed of
as used oil provided the mixture is no longer ignitable (see The Mixture
Rule, p.31 in Hazardous Wastes, Section 3.3).
Segregate used oil
from hazardous
waste to eliminate
the possibility of
cross contamination.
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• If mixed with a waste that is ignitable and contains another hazardous
waste characteristic, the resultant mixture must not exhibit any
hazardous waste characteristics to be managed as used oil.
• If mixed with a CESQG hazardous waste regulated under 40 CFR
261.5 the resultant mixture is regulated as used oil.
Used oil should be stored in tanks or other containers that are in good
condition (i.e., no rust, dents, or leaks). The containers and fill pipes to
storage tanks must be clearly labeled with the words "Used Oil." Used oil
containers should be marked with "Flammable" and "No Smoking" signs.
Container tops and fill pipes should be closed and secured when not in
use and the containers should have secondary containment. The storage
areas should be inspected on a regular basis to ensure all requirements
and best management practices are complied with. Storing used oil tanks
outside may require a SPCC Plan (see Water Discharges, Section 3.2).
Off-Site Recycling. Facilities can transport used oil on their own or use a
regulated transporter (i.e., one that has an EPA ID number). Facilities
may transport small quantities of used oil to approved collection centers
without obtaining an EPA ID number provided the following conditions
apply:
• Facilities use their own vehicles to transport the used oil;
• No more than 55 gallons is transported at any one time; and
• Used oil is transported to a licensed used oil collection center.
Used Oil Records. The facility should keep a logbook at each collection
point requiring the following information: the amount of oil added, the
name of the person adding the used oil, and the source of the oil. This
logbook will allow the facility to track generation and ensure hazardous
wastes are not being added to the used oil storage containers.
The facility should keep records of the off-site transportation including the
transporter's EPA ID number, amount and date of shipments, and the
name of the recycling facility receiving the used oil.
Universal On May 11, 1995, the EPA Promulgated regulations for streamlining the
Wastes universal waste management requirements, making it easier to collect,
Rule manage, and recycle universal waste. Traditionally, labs that are
regulated under RCRA treated universal waste as hazardous waste. The
Universal Waste Rule eases the regulatory burden on small labs by
simplifying requirements for labeling, marking, training, collecting,
tracking, and transporting universal waste. Facilities are no longer
required to ship universal waste with a manifest or with a hazardous waste
transporter. In addition, facilities are allowed to accumulate universal
waste on site for up to one year.
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The Universal Waste Rule does not affect facilities that generate less than
100 kg of universal waste per month. Labs that generate less than 100 kg
of universal waste per month are encouraged to set up central collection
points and recycle the universal waste.
Universal Waste:
• Batteries
• Agricultural
pesticides
• Thermostats
• Lamps
Lab Universal Wastes. Universal waste is widely
generated and common to businesses of all sizes and
households. The two most common types of
universal waste found in labs are:
• Batteries (40 CFR 273.2): Includes nickel-
cadmium (Ni-Cd) and the small sealed lead-acid
(SSLA) batteries found in common item such as electronic equipment
and cordless/mobile phones. Non-hazardous batteries (alkaline
batteries manufactured after 1992) and spent lead acid batteries that
are reclaimed are excluded from management under the universal
waste rule. (See additional information in the battery management
section.); and
• Lamps (40 CFR 273.5): Includes fluorescent, high intensity discharge,
neon, mercury vapor, high-pressure sodium, and metal halide lamps.
The included lamps usually contain mercury and sometimes lead.
Agricultural pesticides that were recalled, banned, damaged, or no longer
needed and thermostats are considered two additional types of universal
waste. Note: check with the state or tribal regulator to determine how the
state/tribe implemented the universal waste rule and whether or not
additional types of regulated hazardous waste are included in the rule.
Universal Waste Management. The Universal
Waste Rule streamlines the regulatory process
for small quantity and large quantity handlers of
universal waste (SQHUW and LQHUW), but the
following requirements must still be met:
SQHUW accumulates
<5000 kg at anytime.
LQHUW accumulates
>5000 kg at anytime.
Prohibitions: Both SQHUW and LQHUW are prohibited from disposing
of and diluting or treating universal waste;
Notification:
- SQHUW are not required to notify the
EPA of their universal waste collection
and transportation activities.
- LQHUW are not required to notify the EPA
if they already informed the EPA of all
hazardous waste activities and received
an EPA identification number;
Waste Management: All universal waste must be managed in a way
that will prevent a release to the surrounding environment. Storage
containers must be in good condition (structurally sound, closed) and
compatible with the waste;
A SQHUW becomes a
LQHUW when it
exceeds 5000 kg and
remains a LQHUW until
the end of the calendar
year.
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As a good management
practice, universal waste
should be stored for less
than one year in a
centralized location.
• Labeling/Marking: The collection/storage container or the individual
item must be marked with the type of universal waste (batteries,
lamps, etc.) and the words "Universal Waste";
• Accumulation Time Limits: The SQHUW and LQHUW cannot store
universal waste for more than one year (or more than one year if the
activity is collecting enough universal waste
to properly recover, treat or dispose). Both
must be able to demonstrate the length of
time the universal waste has been
accumulating. The facility can accomplish
this by marking the collection start date on
the collection/storage container or individually marking each item with
the date it became a waste;
• Employee Training:
- SQHUW must inform all employees who handle universal waste or
have some responsibility for universal waste in proper handling and
emergency procedures.
- LQHUW must ensure all employees are familiar with proper
handling and emergency procedures for universal waste;
• Transportation: Both are prohibited from transporting universal waste
to any facility that is not a universal waste handler or a destination
facility (a facility that treats, recycles, or disposes of a particular type of
universal waste). Prior to sending a shipment of universal waste off-
site, the handler must notify the receiving facility and secure an
agreement of acceptance; and
• Recordkeeping Requirements:
- SQHUW are not required to keep records of universal waste
shipments.
- LQHUW must keep a record (log, bill of lading, invoice, or any
other standard business document) of every shipment of universal
waste sent to another facility and show the name and address of
the handler, destination facility, quantity of each type of universal
waste sent, and the date the shipment left the facility. Records
must be kept for three years.
More Batteries Several other types of batteries may be managed at small labs. These
are unsealed lead acid batteries used in vehicles, emergency generators
and other equipment, and alkaline batteries used in small appliances such
as clocks and radios.
Alkaline batteries manufactured after 1992 can be disposed of in the
municipal trash in ones or twos. Alkaline batteries manufactured prior to
1992 contain mercury and other toxic materials requiring handling under
either the universal waste rule or as a hazardous waste depending on
state requirements.
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Ni-Cd and SSLA rechargeable batteries are recycled under the Universal
Waste Rule.
Unsealed lead acid batteries should be recycled and managed in
accordance with 40 CFR 266.
EPA has promulgated special regulations for the management of lead
acid batteries in 40 CFR 266. Under these regulations, spent lead acid
batteries do not have to be bundled as hazardous waste provided that
they are recycled. Small labs should ensure that spent lead acid batteries
are disposed via an authorized recycler. Automotive store and other
suppliers have buy-back programs to ensure that the batteries are
recycled.
Pollution Prevention and Special Wastes
Implementing P2 and waste minimization strategies will reduce or eliminate hazardous wastes
from entering any waste stream or being released to the environment. P2 opportunities are
listed below. The list is not exhaustive but serves as a resource to encourage lab personnel to
consider and implement P2 strategies.
• Perform a waste audit to identify all universal waste. Ensure universal waste is segregated
from hazardous waste.
• Properly maintain and store batteries to provide the longest life.
• Follow all charging and discharging instructions for rechargeable batteries to maximize the
useful life.
• Do not stockpile batteries or fluorescent tubes. Instead use a one-for-one swap program.
• Purchase and use solar powered equipment or rechargeable batteries whenever feasible.
• Turn off battery powered equipment and lights when not is use.
• Segregate used oil collection points from hazardous waste accumulation sites.
• Discourage lab personnel from adding anything to oil.
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SPECIAL WASTE PROGRAM CHECKLIST
Action
Notes
Universal Waste
1.
2.
3.
4.
5.
6.
7.
Verify that the lab properly identified all the
universal waste streams.
Confirm the lab does not generate and store more
than 5000 kg of universal waste at any time.
Check the storage containers to make sure they
are in good condition and compatible with the
waste.
Confirm that the containers or individual items are
labeled as "Universal Waste".
Verify universal waste is not stored for greater
than one year and the lab maintains support
documentation.
Determine whether or not the employees received
proper training on handling universal waste.
Verify the lab transports all universal waste to a
universal waste handling facility.
Battery Management
8.
9.
10
Verify alkaline batteries manufactured after 1992
are disposed of in quantities of one or two.
Confirm the lab recycles unsealed spent lead acid
batteries.
Verify the lab manages Ni-Cd and SSLA as
universal waste.
Used Oil
11
If lab operations result in the generation of used
oil ensure there is a program in place to ensure
the separation of used oil and hazardous waste.
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SPECIAL WASTE PROGRAM CHECKLIST
Action
Notes
12. If used oil is mixed with hazardous waste, ensure
the lab is managing the mixture as a hazardous
waste.
13. Verify that used oil storage areas are properly
maintained and regularly inspected to ensure:
• Containers or tanks are in good condition;
• Containers & fill pipes are labeled "Used Oil";
• Flammable & No Smoking signs are posted;
• Container lids and bungs are closed and
secured when not in use; and
• Containers or tanks have secondary
containment.
14. Confirm the used oil transporter has an EPA ID
number, or if the lab transports the oil, confirm it is
going to a licensed recycler and transported in
less than 55 gallon quantities.
15. Verify that records of off-site transfers are
maintained:
• Transporter's EPA ID number;
• Quantity shipped;
• Date shipped; and
• Name of the receiving facility.
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3.8 Hazardous Substance Releases
In 1980, Congress passed the Comprehensive Environmental Response, Compensation and
Liability Act (CERCLA) in response to the growing concern about releases of hazardous
substances to the environment. CERCLA was intended to provide for response to, and
cleanup of, environmental problems not adequately addressed by other environmental
statutes. Under CERCLA, provisions were made to establish a trust fund to finance
environmental cleanups - this resulted in CERCLA's nickname "Superfund."
CERCLA has been amended over ten times since its passage in 1980. Two important
amendments are the Superfund Amendments and Reauthorization Act (SARA) of 1986 (see
Emergency Planning and Community Right-To-Know, Section 3.9), and the P2 Act of 1990.
Past The primary purpose of CERCLA is to provide for liability, compensation,
Disposal cleanup, and emergency response for hazardous substances released to
Areas the environment. If lab personnel discover or have knowledge of an area
that may be contaminated with hazardous substances (e.g., an
abandoned landfill), they should consult with environmental professionals
prior to disturbing the area. Such areas may require historical
investigation and environmental sampling and analyses.
Releases of EPA has designated hazardous substances and established reportable
Hazardous quantities (RQs) for releases (40 CFR 302) of these substances. The
Substances regulation mandates notification to the National Response Center (NRC)
for releases of hazardous substances in quantities exceeding the
associated RQ. It is unlikely that RQs of hazardous substances will be
present at most small labs. However, lab managers should be familiar
with the substances and RQs listed in 40 CFR 302 to make their own
determination. If hazardous substances are present on-site in quantities
exceeding the RQs, then lab staff should be prepared to make the
required notifications in the event of a regulated release.
Pollution Prevention and Hazardous Substance Releases
Hazardous substance releases are most effectively prevented by:
• Substituting non-hazardous products for hazardous products and improving operating
practices to reduce the quantity of hazardous substances needed;
• Ensuring that employees are fully trained on how to handle the hazardous substances they
manage. Handling practices include closing containers when not in use, using only the
quantity of chemicals needed, storing chemicals in closed cabinets and on shelves with
lips; and
• Proper waste disposal, which ensures that the lab is not contributing to an authorized
release of a hazardous substance that could result in a costly cleanup action.
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HAZARDOUS SUBSTANCE RELEASES CHECKLIST
Action
1.
2.
3.
4.
5.
Determine if the lab personnel surveyed the
property to ensure there is no prior contamination.
Verify lab personnel did not disturb previously
contaminated areas without prior consultation with
an environmental professional.
Ensure lab personnel document all surveys and
contaminated areas.
Verify the lab is familiar with the RQs for releases
and compared those to types and quantities of
chemicals found in the lab.
If chemicals are present on-site in quantities that
exceed the RQ, verify lab personnel are prepared
to make the required notifications (e.g., call the
NRC).
Notes
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3.9 Emergency Planning and Community Right-To-Know
The Emergency Planning and Community Right-to-Know Act (EPCRA) of 1986 is actually Title
III of the Superfund Amendments and Reauthorization Act (SARA). EPCRA was designed to
inform emergency planners and the public of potential chemical hazards. These emergency
planners include the Local Emergency Planning Committee (LEPC), the State Emergency
Response Commission (SERC), and the local fire department.
Management Issues
Emergency
Planning
and
Notification
Inventory and
Material
Safety Data
Sheet (MSDS)
Reporting
Hazardous
Chemical
Inventory
Form
Reporting
In 40 CFR 355, EPA codified a list of
extremely hazardous substances and
associated threshold-planning quantities
(TPQs). Labs storing extremely
hazardous substances in amounts
exceeding the TPQs must notify state,
tribal or local emergency response
authorities and participate in the
community's emergency planning process. Lab management should
review and compare inventories of chemicals on site with EPA's list of
extremely hazardous substances to determine if these substances are
present in amounts exceeding the TPQs.
Hazardous Chemicals Above
Reporting Thresholds
Isopropyl Alcohol - 1,700 gal.
Chloroform - 879 gal.
Chlorine-500 Ibs.
Heating Oil - 1,600 gal.
Ammonia -500 Ibs.
EPCRA established reporting
requirements providing the public with
important information on hazardous
chemicals in their community (40
CFR 370). Labs storing chemicals
may be required to submit material
safety data sheets (MSDS) and
inventories of the chemicals on site.
Submissions are only required for
OSHA hazardous substances present
in amounts exceeding 10,000 Ibs. and
extremely hazardous substances
present in amounts exceeding their
TPQs or 500 Ibs. (whichever is less).
Labs can provide the chemical names
and hazardous components by
submitting either an MSDS or a list of
the hazardous chemicals grouped by hazard category
Does your lab have...
• More than 500 Ibs. or the TPQ of an
extremely hazardous substance?
• More than 10,000 Ibs. of an OSHA
hazardous substance?
Remember to consider not only lab
chemicals but also hazardous
substances used in facility operations
such as heating oil and refrigerants.
Other Regulatory Programs
OSHA's Hazard Communication
Standard (29 CFR 1200) and Lab
Standard (1900.1450) require that
Labs maintain MSDSs for all OSHA
hazardous substances.
If a lab meets EPCRA reporting
thresholds, it is required to submit a
Hazardous Chemical Inventory Form to
the LEPC, SERC and the local fire
department (40 CFR 370.20). A TIER I
form requires a certification statement,
Reporting Dates to Remember
• MSDSs - Within 3 months of new
chemical information.
• TIER I or II - March 1 each year.
• TRI - July 1 each year.
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Toxic
Release
Inventory
Reporting
information on maximum amounts of chemicals in a lab, number of days
materials are on site, and hazard type and storage locations for
chemicals. TIER II forms contain more detailed hazard information. Labs
may submit the simpler TIER I unless state agencies request the more
complicated TIER II.
TRI Reporting Thresholds
• Manufactured Imported or
Processed - 25,000 Ibs.
• Otherwise Used - 10,000 Ibs.
The laboratory is subject to TRI reporting
if it meets the following operational
criteria established in 40 CFR 372.22 for
the last calendar year:
• It has ten or more employees;
• It is in Standard Industrial
Classification major group codes 10, 12, or 20 through 39; industry
codes 4911, 4931, 4939, 4953, 5169, 5171, or 7389; and
• It manufactured, imported, processed, or otherwise used a toxic
chemical in excess of TRI threshold quantities.
Labs, by themselves, do not usually meet the SIC code criterion or TRI
reporting thresholds. However, if a lab is part of a larger covered facility
subject to TRI reporting then it's releases must be included in the annual
TRI report.
The toxic chemical usage in the lab portion of a covered facility does not
need to be considered when determining whether the covered facility has
exceeded the TRI reporting thresholds under an exemption contained in
40 CFR 372.38(d). However, this exemption does not apply for:
• Specialty chemical production;
• Manufacture, processing, or use of toxic chemicals in pilot plant scale
operations; or
• Activities conducted outside the lab.
The lab exemption is important considering the reporting thresholds for
chemicals that meet EPA's criteria for persistence and bioaccumulation
(PBT chemicals) range from 0.1 grams to 100 pounds. Some labs could
conceivably exceed the reporting threshold.
EPA Form R is used for TRI reporting. Reports require information on the
amount of the regulated substance that is released or otherwise managed
as waste. Executive Order 12856, Federal Compliance with Right-To-
Know Laws and Pollution Prevention Requirements, stipulates that
Federal lab facilities comply with all EPCRA regulations.
Pollution Prevention and EPCRA
Lab staff should review their operations and identify opportunities to reduce the amount of
materials stored and used in processes and substitute with less hazardous substances (see
Hazardous Wastes, Section 3.3). This may not only reduce the lab's reporting requirements
under EPCRA but also reduce hazards in the lab and for the community.
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EPCRA CHECKLIST
Action
1.
2.
3.
4.
5.
6.
7.
8.
Verify an inventory of OS HA hazardous substances and
extremely hazardous substances (including average as well
as maximum amounts on-site) has been prepared and is
updated annually or as new chemicals are introduced in the
lab.
Ensure the inventory of chemicals is compared against
extremely hazardous substance TPQs and EPCRA reporting
thresholds.
Determine if the lab is coordinating with emergency planning
agencies concerning those extremely hazardous substances
on-site.
Verify the lab has submitted MSDSs or a list of MSDSs to the
emergency planning agencies for all hazardous chemicals
above thresholds and is updating the list within 3 months of
introducing a new chemical.
Verify the lab has submitted a TIER I or II to the emergency
planning agencies by March 1 for all hazardous chemicals
above thresholds in the last year.
Ensure the lab has determined whether TRI reporting is
applicable for the facility.
If TRI reporting is applicable, determine if the lab documents
the amount of regulated toxic chemicals released and
otherwise managed as waste. Documentation should be
maintained for three years.
If applicable, ensure TRI reports are submitted to the EPA by
July 1 of each year.
Notes
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3.10 Toxic Substances
Labs may have equipment, which contains polychlorinated biphenyls (PCBs) or other toxic
substances, may be required to manage buildings which have toxic substances requiring
special handling such as asbestos or lead-based paint, or they may have the toxic substances
in the lab for experimental reasons. Regardless of the situation, the EPA regulates toxic
substances, including new and existing chemicals, PCBs and asbestos, from cradle-to-grave.
Regulatory Considerations
Toxic Under the Toxic Substances Control Act (TSCA) of 1976, EPA is given
Substances broad authority to ensure that "new" and "existing" chemical substances
Control Act and mixtures do not present unreasonable risks to human health or the
environment. The "cradle-to-grave" scope of TSCA covers manufacture
(defined by the statute to include import), processing, distribution in
commerce, use and disposal. Under TSCA, EPA can promulgate
regulations designed to gather health, safety and exposure data on,
require the testing of, and control human exposure and environmental
release of chemical substances and mixtures. (Excluded from TSCA
jurisdiction, are pesticides, tobacco, certain nuclear materials, firearms
and ammunition, food, food additives, drugs, cosmetics and medical
devices when such chemicals are used for these specific purposes.)
Implementing regulations concerning the management of new and
existing chemicals that may be handled by small labs are promulgated by
the EPA in 40 CFR 700 through 725. PCB regulations are contained in 40
CFR 761. Asbestos abatement requirements under TSCA are contained
in 40 CFR 763, Subpart 6.
Management Issues
"New" In the late 1970s, EPA began compiling the TSCA Inventory of Chemical
Chemicals and Substances. Any TSCA chemical substance not on the Inventory is
"Significant considered a "new" chemical substance. No person may manufacture (or
New Uses" import) a new chemical for non-exempt commercial purposes without first
giving EPA at least 90-days advance written notice in the form of a Pre-
Manufacture Notice (PMN) (see 40 CFR 720, 723, and 725). A similar 90-
day advance written notice is required before any "significant new use"
(see 40 CFR 721).
In general, labs are not chemical manufacturers (or importers) or
processors, and thus are not subject to the TSCA notification
requirements. Additionally, research activities at labs that are part of a
corporation that is a manufacturer (including importer) or processor may
qualify for the Research and Development (R&D) exemptions from these
TSCA notification requirements. The specific terms of those exemptions
are found at 40 CFR 720.36 and 721.47, respectively.
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Existing
Chemicals
PCB
Storage
and
Handling
PCB Waste
However, labs must maintain records of employee allegations of adverse
reactions to chemicals, must notify the EPA of any new substantial risks
regarding chemicals or mixtures, and must submit certain data for some
chemicals or mixes listed in Subpart B of TSCA.
In general, small independent labs (unless they are themselves
manufacturers (or importers), processors or distributors of TSCA-covered
existing chemicals for commercial purposes) are typically exempt from the
existing chemical reporting and recordkeeping requirements under
Section 8 of TSCA.
However, labs who import TSCA-covered new and existing chemical
substances must comply with the import certification requirements under
Section 13 of TSCA and may be subject to "export notification
requirements" if exporting TSCA chemicals.
In labs, PCBs can often be found in samples, microscopy fluids,
standards, electrical equipment (e.g., transformers, ballast), or hydraulic
systems. Using its authority provided under TSCA, EPA implemented
stringent requirements pertaining to polychlorinated biphenyls (PCBs).
PCB-containing equipment and materials must be labeled, stored and
disposed of in accordance with EPA's PCB management requirements in
40 CFR 761. "Facilities with more than 45 kg (99.4 Ibs.) of PCBs, one or
more PCB transformers or 50 or more PCB Large High or Low Voltage
PCB capacitors on site, at any one time, must prepare annual records and
an annual document log as described in 40 CFR 761.180.
Common PCB containing electrical equipment at labs are fluorescent light
ballasts. Ballasts that were manufactured through 1979 are likely to
contain PCBs. Ballasts manufactured after 1979 that do not contain PCBs
are labeled "No PCBs." If a ballast is not labeled "No PCBs," lab
personnel should assume it contains PCBs and handle it accordingly.
Leaking ballasts containing PCB's and any associated contaminated
material must be handled as a "PCB waste" under 40 CFR 761.3. Non
leaking ballasts containing PCBs in potting material (insulating material)
are considered PCB bulk waste and must also be disposed in accordance
with these regulations. Under federal regulations, intact ballasts
containing PCBs only in the "small capacitor" of the ballast and not in the
potting material can be disposed in a municipal landfill. However, state
and tribal regulations vary; labs should check to determine what
requirements apply.
The EPA regulates wastes containing PCBs under 40 CFR Part 761.
Many labs generate PCB wastes including liquid and solid excess
samples, solvents containing PCBs (e.g., extracts) standards, disposable
labware, and used personal protective equipment. Wastes containing 50
ppm of PCBs or greater are regulated under TSCA. The "anti-dilution
provision" at 40 CFR 761.1(b)(5) generally prohibits the dilution of PCBs
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to avoid disposal requirements. The anti-dilution provision, however, does
not apply to lab generated wastes. Lab generated wastes may be
disposed of at the PCB concentration found at the time of disposal,
regardless of the original PCB concentration. The anti-dilution provision
does, however, apply to such things as excess samples. These are not
considered as lab generated waste and must be disposed of based on
their original PCB concentration (40 CFR 761.64). It is important to
segregate PCB waste from other lab wastes since management of PCB
wastes is complex and disposal of PCB regulated waste is especially
costly.
In some states, the management of PCB lab wastes is especially complex
since they may be subject to both EPA's TSCA regulations and state
hazardous waste regulations. PCB wastes are not regulated as a
hazardous waste under the Federal RCRA regulations. PCB waste
generators must be sure to comply with the following PCB management
requirements:
• Generators of PCB waste who own or operate PCB storage units must
submit a "Notification of PCB Activity," EPA Form 7710-53 (40 CFR
761.65(b) or (c)(7) and 761.205);
• PCB waste containers and entrances to PCB waste storage areas
must be marked with a PCB warning label (40 CFR 761.40);
• PCB waste containers must be marked with the date it was determined
to be waste and the decision was made to dispose of it (40 CFR
761.65(c)(8)). PCB waste containers in the lab must be marked with
the date the first drop of waste enters the container. (Note: If the
waste is also hazardous waste, this date will probably differ from the
hazardous waste accumulation start date.);
• PCB waste containers must be inspected for leaks every 30 days (40
CFR 761.65(c)(5)); even if the containers are stored in the lab. The
inspections should be documented in a logbook;
• PCB wastes must be placed in special containers as required by 40
CFR761.65(c)(6); and
• PCB wastes must be stored in an area with a roof, walls and an
impervious floor with six-inch curbing and a containment capacity
equal to twice the volume of the largest PCB container or 25% of the
total volume of all the PCB containers, whichever is greater (40 CFR
761.65(b)).
PCB waste must be disposed within one year from the date the waste was
determined to be waste and the decision was made to dispose of it (40
CFR 761.65(a)). To be sure the disposal facility has adequate time to
dispose of the wastes, all PCB wastes should be shipped off-site within
nine months of generation. PCB waste shipments must be accompanied
by a waste manifest.
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Asbestos
Good
Laboratory
Practice
Standards
(GLPS)
Asbestos is regulated under TSCA, CAAA (40 CFR 61 Subpart M), and
OSHA. TSCA regulates the abatement of asbestos from schools and
other facilities. The CAAA details the reporting and recordkeeping
requirements for disposal under NESHAP, and OSHA regulates protection
against asbestos exposure (PPE, PEL, medical exams, etc). TSCA
regulations detail requirements pertaining to the lab analysis of asbestos.
TSCA requires the lab to have written quality control procedures and
documents verifying this. In addition, qualified people must perform all
testing and sampling and they must follow all EPA procedures. Labs that
analyze bulk building material samples for OSHA regulated projects must
participate in a nationally recognized proficiency testing program.
In addition to testing and managing asbestos, labs may have asbestos
containing materials in pipe insulation, floor and ceiling tile, wall board and
other building materials. Asbestos in poor condition can be a health
hazard if it becomes airborne and is ingested. EPA has published
management requirements for asbestos including procedures for
demolition, renovation and disposal. Lab facility maintenance personnel
should not engage in any asbestos abatement unless properly trained.
All labs must comply with TSCA Good Laboratory Practice Standards
(GLPS) found in 40 CFR Part 792 when performing health effects,
environmental effects, fate, analysis or monitoring studies of chemicals as
required by EPA under a TSCA Section 4 Test Rule or Enforceable
Consent Agreement/Order or an Order issued under TSCA Section 5. As
a matter of policy, even when GLPS are not strictly required for certain
TSCA Section testing, EPA prefers that any such testing complies with
TSCA GLPS, and may reject non-compliant data as scientifically
insufficient (40 CFR 792.1(c)).
In addition to the GLPS requirements that may apply when conducting
experimentation involving new or TSCA listed chemicals research and
development studies involving PCBs must be conducted in accordance
with 40 CFR 761.
Pollution Prevention and TSCA
Labs should perform regular reviews of processes to determine if smaller quantities of a toxic
chemical could be used or if toxic chemicals could be substituted with less toxic counterparts.
In addition, when preparing a new testing protocol the labs should consider the kinds and
amounts of waste generated and determine how they can be reduced or eliminated. Finally,
labs must properly manage all toxic chemicals (including PCBs and asbestos) to minimize the
possibility of contaminating the surroundings and other non-toxic material.
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TOXIC SUBSTANCE CONTROL ACT CHECKLIST
Action
Notes
1. Determine if the lab performs chemical testing
required by EPA under TSCA Section 4 or 5 and if
so, verify compliance with TSCA Good Laboratory
Practice Standards.
2. Determine if the lab is subject to specific chemical
testing recordkeeping or reporting requirements
under TSCA. Specifically, if the lab tests new
chemicals verify that it maintains records of
employee allegations of adverse reactions to
chemicals, notifies the EPA of any new
substantial risks regarding chemicals or mixtures,
and submits certain data for some chemicals or
mixes listed in Subpart B of TSCA.
3. Verify that PCB containing equipment or
containers are marked as required by TSCA.
4. Determine if all PCB waste items are placed in
approved containers and stored in appropriate
areas.
5. Verify that the date items were taken from service
or designated as waste is placed on the article or
container.
6. Determine if all PCB containers are inspected at
least every 30 days leaks and the results are
annotated in a logbook.
Verity that the storage area has adequate walls
and roof to prevent water infiltration, the
impervious floor has continuous curbing at least 6
inches high and a containment capacity equal to
twice the volume of the largest PCB container or
25% of the total volume of all the PCB containers,
whichever is greater
8. Verify that the lab has an EPA ID number for
handling waste.
9. Determine if the lab notified the EPA of waste
generation activities using EPA Form 7710-53
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TOXIC SUBSTANCE CONTROL ACT CHECKLIST
Action
10. Verify that the lab has a manifest for each
shipment of PCB waste sent off-site and the
manifests were correctly and completely filled in.
1 1 . Determine if the lab shipped the PCB waste off-
site within 9 months to an approved disposal
facility.
12. Determine if the facility uses or stores greater
than 45 kg of PCBs at one time. If so, does the
facility prepare an annual document IAW40 CFR
761.180.
13. Determine if the lab samples or tests for asbestos.
Verify the lab is certified.
14. Verify that the lab follows the testing and
monitoring protocol required by TSCA.
Notes
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3.11 Pesticides
Pesticides include herbicides, insecticides, fungicides and rodenticides. Small labs may use
these hazardous materials at their facilities to control pests. Small labs may also be involved
in the testing of pesticide containing materials as part of its business.
Regulatory Considerations
The storage, use, and disposal of pesticides are regulated at the federal, state, tribal or local
level. The primary federal legislation regarding the management of pesticides is the Federal
Insecticide, Fungicide, and Rodenticide Act (FIFRA) as amended (especially by the 1972
Federal Environmental Pesticides Control Act). Under this law, the EPA is responsible for
ensuring that persons who manufacture, market, formulate, distribute, use or dispose of
pesticides and pesticide containers, do so in an environmentally sound manner. Implementing
regulations related to pesticide management are found in 40 CFR 150-189. Waste pesticides
may also be managed under the RCRA hazardous waste program (40 CFR 260-272) or the
Standard for Universal Waste Management (40 CFR 273).
State, tribal or local regulations are typically more stringent than federal requirements. For
example, state regulations may extend management requirements for federally designated
restricted pesticides to all pesticides.
Management Issues
Management of pesticides in small labs must address proper storage, application, testing and
disposal of these materials.
Pesticide
Application
OSHA Regulations
Ensure that hazard communication,
respiratory protection and other personal
protective equipment requirements are
being met for pesticide management at
your lab.
Testing and
Analysis of
Pesticides
Certified Applicators. Off-the-
shelf pesticides are not restricted.
Labs may hire a contractor or have
their own personnel spray the area
for pests or weeds. Some
pesticides have been determined to
be restricted by the EPA. If the
handler uses a restricted use pesticide that person must be a state-
certified applicator. Check with the state, tribal or local pesticide program
manager for complete details and a list of certified pesticide applicators.
Most off-the-shelf pesticides (i.e., registered home and garden use) are
not restricted. However, these products are still hazardous. Application
should only be conducted in accordance with the instructions on the label.
In support of pesticide registration requirements, manufacturers may
require labs to conduct analysis on pesticides ranging from product
chemistry and performance to environmental fate and transport. Labs
testing pesticides are subject to FIFRA Good Laboratory Practice
Standards (40 CFR 160) and should follow the pesticide assessment
guidelines develop by the EPA to provide standards for conducting
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Pesticide
Storage
Pesticide
Disposal
acceptable tests, guidance on evaluation and reporting of data and
examples of protocols.
Experimental Use Permits (EUPs) are required for the testing of any
unregistered pesticide or a registered pesticide being tested for an
unregistered use. EUPs are not required when the experimental use of a
pesticide is limited to lab tests or other tests whose sole purpose is to
assess the efficacy, toxicity, or other properties of a pesticide.
Document
pesticide storage
area inspections.
Pesticides stored on-site must be managed in
accordance with label directions (40 CFR 162).
Specific storage requirements apply by regulation to
pesticides classified as moderately or highly toxic
and contain "DANGER, POISON, or WARNING" on the container.
• The pesticide storage areas should be in a dry, well ventilated,
secured room or building, with spill containment and runoff retention
systems (40 CFR 165);
• Identification and warning signs are required on the room or building,
and on moveable equipment used to handle the pesticides (e.g.,
sprayers); and
• The pesticide containers must have visible labels, be segregated
according to formulation, and be inspected regularly for corrosion and
leaks.
It is a good practice to manage slightly toxic (labeled "CAUTION") and
home and garden use pesticides in a similar manner even though not
required by Federal law.
Pesticides and pesticide containers should be disposed of in accordance
with 40 CFR 165 and, if appropriate, RCRA hazardous waste regulations
(see Section 3.3) or the Universal Waste Rule (see Section 3.7).
Disposal requirements in 40 CFR 165 do not apply to pesticides
registered as home and garden use or their containers. Home and
garden registered pesticides and their containers should be wrapped
individually in several layers of paper and disposed of in the trash
according to label instructions.
Pollution Prevention and Pesticides
Labs should review their pesticide application operations to determine if a lower toxicity
pesticide or non-pesticide option is available. All pesticides should be stored properly. Labs
should purchase and use only what is needed to reduce the amount of waste generated.
Empty containers for liquid pesticides should be rinsed prior to disposal and the rinse water
should be added to the spray tank to be sprayed as part of the pesticide application. When
pesticides are being generated as part of a lab procedure, if feasible, labs should incorporate
chemical procedures into test protocols to deactivate or degrade pesticides to non-hazardous
forms as the final step in the overall experiment.
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PESTICIDE PROGRAM CHECKLIST
Action
1.
2.
3.
4.
5.
If restricted use pesticides are sprayed, verify the
applicator is certified.
Determine if pesticides are stored in accordance
with 40 CFR 165. 10:
• Containers and equipment are properly
labeled;
• Containers are stored in a dry, well ventilated,
marked, and secured room or building with
spill containment and runoff retention; and
• Containers are in good condition and
inspected regularly.
Ensure employees are trained regarding proper
handling and emergency procedures (spill
response) for pesticides and waste pesticides.
Ensure waste pesticide containers are in good
condition and free of leaks.
Ensure waste pesticides, containers, and residue
are managed IAW40 CFR 165, RCRA hazardous
waste regulations, or the universal waste rule.
Notes
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3.12 Drinking Water Management
Many small labs obtain their drinking water from a municipal water supply. In some cases,
however, a small lab may obtain its drinking water from on-site wells. In addition, labs may
adversely impact a potential drinking water supply if lab wastewater is discharged to a septic
system orfrench drain.
Regulatory Considerations
The Safe Drinking Water Act (SWDA) establishes national drinking water standards applicable
to public drinking water systems. The act specifies requirements for testing, monitoring,
reporting/recordkeeping, and enforcement. In addition, the SWDA addresses ground water
protection.
Public
Drinking
Water
Systems
At Labs
Underground
Injection
Control
Generally the SDWA standards apply to municipalities operating a public
drinking water system. However, a lab with an on-site drinking water
system (e.g., on-site wells) may meet the EPA definition of a non-
transient, non-community public drinking water system and be subject to
the rigorous testing and monitoring standards required by the SDWA. In
order for an on-site system to be classified as a public drinking water
system, the following criteria must be met:
• The water is intended for human consumption;
• The water supply is a community supply:
- Maintains at least 15 service connections, or
- Regularly serves an average of 25 individuals on a daily basis for at
least 60 days out of the year;
• The system has drinking water collection and treatment facilities (not
entirely distribution and storage facilities); and
• The facility produces some or all of its own drinking water by modifying
water procured or sells water from its system.
The SWDA also establishes regulations governing the use and siting of
underground injection wells to afford the maximum protection for aquifers
that provide an underground source of drinking water (40 CFR 144-148).
Underground Injection Control Programs have been delegated to
authorized states.
Management Issues
Drinking
Water
Testing and
Reporting
If the lab maintains a non-transient, non-community public drinking water
system, it must sample and ensure the drinking water meets the primary
drinking water standards (40 CFR 141) in accordance with EPA specified
frequency. Test results must be reported to the state. The EPA
developed primary standards (maximum contaminant levels (MCLs)) for
inorganic compounds, organic compounds, turbidity, microbial
contaminants, radium and gross alpha readings, and beta and photon
readings for man-made radionuclides. In addition, the primary drinking
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water standards set procedures for monitoring sodium, corrosivity, lead,
and copper as well as prohibits the use of lead pipes, solder, and flux in
the drinking water system.
A state certified lab is required to analyze drinking water samples.
Certified labs are restricted to using certain EPA analytical methods for
the different standards. A lab may request, from the state concurred to by
the EPA, a waiver for an analytical method if the lab can show their test
method is as precise and accurate as the standard method.
Discharges to Check to make sure you know how all your lab drains or other pipe
Groundwater discharges are routed. The underground injection of wastes except the
use of septic systems for sanitary waste is generally prohibited. If
allowed, the well is stringently regulated. The discharge must be
permitted by the state, the lab must provide notification, receive an
identification number, comply with the applicable recordkeeping and
reporting requirements for manifested waste, provide discrepancy reports,
keep an operating record, prepare annual reports for the state, train
personnel, and when the well is abandoned the owner/operator must
receive a certification of closure.
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DRINKING WATER PROGRAM CHECKLIST
Action
1.
2.
3.
4.
5.
If the lab maintains a public drinking water
system, verify that the lab tests the system for
MCLs and SMCLs and reports the results to the
state.
Determine if the lab is certified by the state to
perform drinking water sampling.
Verify that the lab is using EPA approved
analytical methods for testing. If not, verify that
the lab has, in writing, permission from the state
and EPA to use an alternate analytical method.
If the lab maintains an underground injection well,
ensure that the lab:
• Determined the class;
• Permitted the well; and
• Has records of manifests, discrepancy reports,
an operating record, annual reports, and
personnel training.
Verify that the lab has a certificate of closure for
all abandoned underground injection wells it
operated.
Notes
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3.13 Underground Storage Tanks
Labs may have underground storage tanks (USTs) for the storage of fuel oil or other types of
petroleum products, chemicals, or hazardous waste. Leaking USTs may cause fires or
explosions and they can contaminate groundwater. To mitigate these potential problems, the
EPA has established stringent equipment, monitoring and recordkeeping and closure
requirements for these tanks.
Regulatory Considerations
The 1984 amendments to RCRA included provisions to prevent leaks from USTs, mandating a
comprehensive regulatory program for USTs that store petroleum, petroleum byproducts (i.e.,
gasoline or diesel fuel) or substances defined as hazardous under CERCLA Section 101.
EPA regulations for USTs are contained in 40 CFR 280. These regulations contain
requirements for tank design, construction and installation, general operation, release
detection, release reporting and corrective action and closure.
Definition The EPA defines a UST as any tank, including the
and underground piping associated with the tank, that
Applicability nas at least 10 percent of its volume underground.
The provisions in the UST regulations apply to
likely meets the
chemicals. UST regulations do not apply to
tanks storing petroleum or certain hazardous . _ ... , , .__
a ^ definition of a UST.
Rule of Thumb
If you cannot see the
bottom of the tank it
hazardous waste storage tanks, tanks storing heating oil used on the
premises, septic tanks, tanks for collecting storm water and waste water,
flow-through process tanks, tanks holding less than 110 gallons, and
emergency spill and overfill tanks.
State, Tribal The EPA has delegated the management of USTs to authorized state and
and Local tribal regulatory authorities. In addition, many local fire departments have
Regulations promulgated ordinances covering USTs. Requirements small labs need
to check with these agencies to determine specific requirements that
apply.
Management Issues
USTs must meet the following installation and equipment requirements:
UST Proper Installation. Certify the tank and piping is installed according to
Installation manufacturers specifications (all USTs installed after December 1988).
Overfill/Spill Protection. Ensure overfill/spill protection by following
proper filling procedures, monitoring transfer operations, and use
catchment basins or automatic shut-off.
Corrosion Protection. Ensure the tank and piping is equipped with
corrosions protection devises (cathodic protection, use fiberglass tanks &
piping, etc.).
Leak Detection System. Provide a leak detection system that will detect
a release from any part of the tank or associated piping, meets
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Tank
Monitoring
Reporting and
Recordkeeping
UST
Closure
performance standards, and is installed, calibrated and operated in
accordance with manufacturers specifications. EPA approved methods of
release detection for tanks are inventory control, manual tank gauging,
tank tightness testing, automatic tank gauging, vapor monitoring, ground
water monitoring, interstitial monitoring, and other approved methods.
USTs that store regulated chemicals must meet additional requirements.
The tanks must have secondary containment (double walled tanks and
pipes, vaults, or linings), and interstitial monitoring (monitoring system to
detect leaks between the two walls).
Some methods
must be used in
conjunction with
others see 40 CFR
280.43 for details.
Both the tanks and piping systems must be
monitored on a regular basis to ensure no product
enters the environment and that systems are
functioning properly (i.e., cathodic protection
systems must be tested within 6 months of
installation and at least every 3 years thereafter). In addition owners and
operators of USTs must establish a method for release detection that can
detect a release from any part of the tank or the associated piping.
Tanks, as a rule, must be monitored at least every 30 days and
associated piping must be equipped with an automatic line leak detector
and must be monitored monthly or have annual line tightness tests.
Recordkeeping time
varies. Check with
your state or tribal
regulatory agency.
Reports must be sent to the regulatory agency when
an UST is installed (notification form), when a
release is suspected, confirmation of a release
along with follow-up actions (corrective action plan),
and a notification of change-in-service or a permanent closure. 40 CFR
280.34 also requires the following records be maintained: a corrosion
experts analysis of corrosion potential if corrosion protection is not used,
documentation of operation of corrosion protection equipment and of UST
system repairs, compliance with release detection requirements and
results of the site investigation conducted at permanent closure.
Keep all
closure
records on-site
for 3 years or
mail them to
the regulating
authority.
A UST can be temporarily closed, permanently closed or
undergo a change-in-service (CIS). Operation and
maintenance of corrosion protection and release
detection must continue during temporary closure. In
addition, if the UST is temporarily closed for three
months or more the operator must also cap and secure
all lines and pumps but leave the vent lines open. The
operator must notify the regulatory authority 30 days prior to permanent
closure of a UST or a CIS. The operator must test for releases and
contamination around the tank before permanent closure or CIS and
submit a corrective action plan. Finally, the operator must completely
empty and clean the tank followed by removal or filling of the tank with an
inert substance such as sand or pea gravel. The facility must maintain
closure records for at least three years after permanent closure or CIS.
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UNDERGROUND STORAGE TANK PROGRAM CHECKLIST
Action
Notes
1. Confirm USTs are regulated by 40 CFR 280 and
not exempt.
2. Verify whether all regulated USTs and associated
piping meet technical standards for overfill/spill
protection, corrosion protection devices, and leak
detection.
3. Ensure hazardous chemical tanks are double
walled with interstitial monitoring.
4. Verify that a qualified professional conducts
required monitoring on all regulated USTs in
accordance with regulatory requirements.
5. Confirm notification forms were filed for all USTs.
6. Ensure all suspected and confirmed releases
were reported to the state in the required time.
7. Determine whether spill corrective action plans
were sent to the regulatory authority for approval.
8. Document that all required records are maintained
to demonstrate compliance with UST regulations
(i.e., leak detection, corrosion protection, etc.)
Determine if there are permanently or temporarily
closed USTs on site. If closed USTs are on site,
verify that:
• The state was notified at least 30 days in
advance of the closure;
• A site investigation was completed;
• The UST was completely drained and cleaned;
• The UST was removed or filled with an inert
substance; and
• Records are available for closures within the
past three years.
For temporary closure, ensure that all monitoring
continues. If closed for over 3 months then all
lines, except vents, are capped.
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3.14 Hazardous Materials Handling and Storage
Even chemicals that are generally considered to be benign have potential to be hazardous
under specific circumstances. Lab staff should ensure that stock chemicals and other
hazardous materials are stored properly in order to prevent spills, uncontrolled reactions and
minimize worker exposures. Labs are particularly challenged because of the number and
variety of chemicals that are handled.
Regulatory Considerations
EPA regulation of hazardous chemicals is limited. Most regulation of these materials is by
OSHA. These regulations address:
• Storage and handling of flammable liquids (29 CFR 1910.106);
• Storage of compressed gases (29 CFR 1910). This standard incorporates by reference,
Compressed Gas Association Pamphlets C-6 1968 and C-8 1962; and
• Communicating chemical hazards to employees under the Laboratory Standard (29 CFR
1910.1450) and the Hazard Communication Standard (29 CFR 1910.1200).
Most state, tribal or local jurisdictions address hazardous material storage through the use of
building codes which can incorporate BOCA Codes (Building Officials and Code
Administrator), NFPA Codes (e.g., NFPA 10, 30, 45 and 101), and UBC (Uniform Building
Code).
In addition to OSHA and building code requirements, hazardous material requirements are
also promulgated by the DOT (49 CFR 171-179 and 14 CFR 103).
Management Issues
In order to effectively manage chemicals, small labs should establish a program based on the
following three principals:
• Minimize Exposures. Take the necessary precautions when working with and storing
chemicals. As a means of minimizing the potential for exposure, pursue opportunities for
product substitution.
• Do Not Underestimate Risks. Ensure that the risk associated with each chemical is
assessed, understood and communicated. It is prudent to assume all chemicals are
hazardous and handle them accordingly.
• Use Proper Control Measures. Eliminate the hazard through engineering controls,
personal protective equipment, and administrative procedures. Ensure that all staff are
properly trained in accordance with regulatory requirements (e.g., Laboratory Standard) so
that they can operate safety at their job.
The following are key management issues for the storage and handling of hazardous materials
including hazardous chemicals, flammable liquids, and compressed gases. Regulations
regarding the proper storage of hazardous materials are complex. The information provided
below is not comprehensive. Small lab managers should review OSHA and other
requirements and guidelines described above to ensure that all requirements are being meet
and that hazardous materials are being managed in accordance with prudent practices.
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The Chemical
Hygiene and
Hazard
Communication
Plan
The
Chemical
Inventory
Chemical
Storage
in the Lab
29 CFR 1910.1450 and 1910.1200 establish requirements for the
communication of chemical hazards to employees in the workplace. The
programs include a number of common elements. These are:
• Establishment of documented programs. For labs subject to the Lab
Standard, this is in the form of a Chemical Hygiene Plan (CHP);
• Preparation and periodic update of an inventory of all hazardous
chemicals;
• Labeling of all containers of hazardous chemicals (including materials
transferred from the manufacturer's container to end user container
such as spray bottles);
• The availability of Material Safety Data Sheets (MSDS's) for workers
on all shifts and in all locations;
• Employee chemical hazard training and documentation; and
• Processes to review and update the program on a periodic basis.
The Lab Standard also requires that a Chemical Hygiene Officer (CHO)
be designated by the lab to implement and maintain the program.
A chemical inventory should be prepared and maintained. The inventory
is important in complying with OSHA requirements such as the Lab
Standard and EPA requirements such as those under EPCRA (see
Emergency Planning and Community Right-To-Know, Section 3.9). The
inventory can also be helpful in conserving space, saving economic
resources, and promoting P2 (see Hazardous Wastes, Section 3.3).
Inventories should include chemical names, storage locations, quantities,
and hazard information. Individual inventories should be maintained in
each lab and storage area with a roll-up inventory maintained by the CHO
or other appropriate environmental staff.
Centralized chemical storage is recommended. Chemical storage inside
labs should be limited to those chemicals and quantities necessary to
complete task requirements. Key consideration for lab storage and
handling include:
• Chemicals should not be stored on floors or benches since they could
be knocked over. Storage on open shelves should be avoided. When
necessary, lips or restraining devices should be used. Do not store
chemicals in the lab above eye level;
• Chemicals should be segregated according to chemical classes and
compatibility first. Then they can be stored by a convenient finding
method such as alphabetically. For example, acids should be kept
separate from bases, oxidizers from organics, and cyanides from
acids. Physical separation should be provided for reactive chemicals.
Use secondary containers in storage areas if available space does not
allow incompatible materials to be properly separated;
• Properly store flammable and combustible materials in accordance
with NFPA 45 and NFPA 30 (see further descriptions below);
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Flammable
and
Combustible
Liquids
Highly
Reactive
Chemicals
• When possible, segregate toxic chemicals from other chemicals and
store in closed cabinets. Label the cabinets "TOXIC CHEMICALS" or
with a similar warning;
• Maintain chemicals per manufacturer requirements;
• Ensure containers are labeled in accordance with the OSHA
Laboratory Standard;
• Make sure containers are closed when not in use;
• Use secondary containment such as acid carriers when transporting
liquid chemicals more than a very short distance; and
• Central chemical storage areas (e.g., rooms) require specific design
and equipment such as construction materials, lighting, ventilation, fire
extinguishers, and housekeeping procedures such as aisle space.
Additional requirements apply to those chemicals that are classified as
flammable or combustible liquids. These materials must be stored in
accordance with NFPA 45 in labs and NFPA 30 in other locations.
• Regardless of experimental or production requirements and even
when NFPA allows higher quantities, prudent practice is that the
quantity of these materials in a lab room not exceed a total of 60
gallons or one months supply (for all such chemicals combined);
• Flammable and combustible liquids should be stored in glass, metal or
plastic containers that meet NFPA requirements. More than 10
gallons of flammable and combustible liquids should be stored in a
flammables cabinet or specially designed room. Prudent practice is to
store these materials in a flammables cabinet when ever possible;
• Storage in flammable cabinets must not exceed design quantities
(e.g., 60 gallons). Cabinets should be properly vented if there is the
potential for the buildup of hazardous vapors; and
• Refrigerators and freezers used to store flammable liquids should be
explosion proof or "lab safe" in accordance with NFPA 45.
Labs that use highly reactive chemicals should take measures to ensure
that these substances are handled properly. Due to the volatile and
explosive nature of this class of chemicals, it warrants special attention.
The following guidelines should be followed when using and storing highly
reactive substances:
• Consider the storage requirements of each highly reactive chemical
prior to purchase and make sure that staff are trained to store it safely;
• Obtain and review the Material Safety Data Sheet or other chemical
safety information to ensure that staff are aware of the hazards and
storage requirements;
• Purchase small quantities of the chemical that staff will need for the
short term. Try not to exceed a three-month supply;
• Label, date, and inventory all highly reactive materials as soon as they
are received. If staff must transfer the chemical from its original
container into another container, make sure it is labeled with the name
of the chemical, and the words "DANGER! HIGHLY REACTIVE
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MATERIAL." For water reactive chemicals include the warning "DO
NOT USE WATER TO EXTINGUISH FIRE." Note: OSHA may require
special labels disclosing all hazards on repackaged containers;
• Do not open a container of highly reactive material that is past its
expiration date;
• Do not open a liquid organic peroxide or peroxide former (e.g., picric
acid) if crystals or a precipitate are present;
• Segregate the following highly reactive materials:
- Oxidizing agents from reducing agents and combustibles,
- Powerful reducing agents from readily reducible substrates, and
- Acids from reducing agents;
• Store highly reactive liquids in trays large enough to hold the contents
of the bottles;
• Store peroxidizable materials away from heat and light;
• Do not use metal spatulas to handle peroxides because contamination
by metals can lead to explosive decomposition. Use ceramic, Teflon,
or wooden spatulas;
• Avoid friction, grinding, and all forms of impact near peroxides,
especially solid peroxides and diazomethane solution (used in
methylation of some pesticides). Glass containers that have screw-
cap lids or glass stoppers should not be used. Instead, use
polyethylene bottles with screw-cap lids;
• Store materials that react vigorously with water away from possible
contact with water;
• Store thermally unstable materials in a refrigerator. Use a refrigerator
with these safety features:
- Alarm to warn when temperature is too high,
- Spark-proof controls on the outside, and
- Magnetic locked door;
• Store liquid organic peroxides at the lowest possible temperature
consistent with the solubility or freezing point. Liquid peroxides are
particularly sensitive during phase changes;
• Inspect and test peroxide-forming chemicals periodically; and
• Store containers in cabinets that are designed to hold that type of
waste.
Compressed Compressed gas cylinder storage should meet the requirements in the
Gases Compressed Gas Association Pamphlets C-6 1968 and C-8 1962.
• Properly label the cylinders with their contents; store upright and away
from heat sources;
• Cylinders should be chained to the wall or otherwise secured from
falling;
• Do not store cylinders so as to block exits, obstruct aisles, or otherwise
interfere with egress; and
• Cylinders should be separated based on their contents. Incompatible
materials (e.g., oxygen and propane, chlorine and helium) should be
segregated. In addition, full, partially full and empty cylinders should
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Merrimack College in Massachusetts
documented savings of $2,000 per 20-
student section per year. The National
Microscale Center at Merrimack provides
training and other information on
microscaling at http://www.silvertech.com/
microscale/index.html.
be labeled as to their status and separated.
Pollution Prevention and Hazardous Materials Storage
P2 and waste minimization for hazardous chemicals starts with the substitution of less
hazardous substances (see Hazardous Wastes, Section 3.3). Sometimes this is difficult in a
lab environment where researchers may be unwilling to change because they are concerned
about the performance of the substitute in their experimentation. This can often be overcome
through a team effort involving the CHO, environmental staff, purchasing staff and the
researcher. In this setting, limitations and concerns can be clearly articulated and more easily
addressed. Other opportunities include:
• Maintaining an accurate inventory that can be
shared throughout the facility. Using this inventory,
chemicals can be shared and expiration dates can
be tracked;
• Purchasing of only the smallest amounts needed.
Often, the additional cost associated with the
smaller or custom purchase is less than the cost of
expired or unused chemical disposal;
• Establish a centralized purchasing program to ensure full utilization of chemical products;
• Order reagent chemicals only in amounts needed;
• Maintain a limited inventory of chemicals on hand so those chemicals do not expire or
deteriorate and necessitate disposal;
• Scale down experiments or procedures.
Over the last decade, microscale chemistry
has come to be considered a proven
technology. It can reduce the quantity of
chemical reagents used by a factor of 100 to
1000. Lab safety can be improved due to
the reduction in exposure to organic vapors,
for example, and spill preparedness is
easier. Less chemical storage space is
needed and chemical inventory
management requires less labor. Cost
reductions also result even if per-unit
Sometimes an alternative may at first appear too
costly until potential cost savings are fully
considered. Researchers at the National Oceanic
and Atmospheric Administration's (NOAA) Alaska
Fisheries Science Center identified an alternative
method for evaluating oil contaminated sediment
and marine life tissue samples which would
greatly reduce solvent use, but initially was
considered too costly to implement. Once the
potential cost savings were estimated and a
relatively short payback time was determined,
approval was granted for purchasing the
necessary equipment. The total savings is about
$3,000 per 100 hydrocarbon samples resulting in
annual savings of $6,000 - $12,000.
reagent costs increase due to purchasing
smaller containers, the annual dollar savings
on total purchases usually offsets this. Reduce or eliminate the use of highly toxic
chemicals in lab experiments;
Increase the use of instruments that require less reagent or smaller or fewer samples;
Use less solvent to rinse equipment;
Review the use of highly toxic, carcinogenic, reactive, or mutagenic materials to determine
if safer alternatives are feasible; and
If feasible, consider using computer simulation or modeling to replace wet chemistry.
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HAZARDOUS MATERIALS HANDLING AND STORAGE
Action
Notes
1. Verify that the lab established a documented program to
communicate chemical hazards to employees (HAZCOM or
CHP depending on type of lab).
2. Ensure that the lab has a designated Chemical Hygiene
Officer.
3. Determine if the lab prepares and maintains an inventory of all
hazardous chemicals used in the lab. Ensure the inventory
includes:
• Chemical name;
• Storage location;
• Quantity; and
• Hazard information.
Verify that all containers containing hazardous chemicals are
properly labeled (including materials transferred from the
manufacturer's container).
5. Verify that MSDSs are readily available for all hazardous
chemicals used and stored in the lab.
6. Determine if all employees received chemical hazard training
and that the training is documented. Training must occur
when an employee is new or when the employee starts a new
task they are not normally required to carry out.
7. Ensure the lab has a review process in place to update the
written hazard communication program (HAZCOM or CHP).
8. Verify that the hazardous materials storage area(s) is
managed in compliance with regulatory requirements:
• Storage areas are appropriately designed and constructed;
• Storage areas are clean and unobstructed;
• Emergency response equipment is available, in good
working condition, and regularly inspected (e.g., fire
extinguishers and alarm systems); and
• Materials are stored in a manner that will not promote
releases to the environment or create a fire, safety, or
health hazard.
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HAZARDOUS MATERIALS HANDLING AND STORAGE
Action
Notes
9. Ensure flammable and combustible liquids are stored in
accordance with NFPA regulations (e.g., in flame proof and
explosion proof cabinets, no more than 60 gallons in one
flammable cabinet).
10. Verify lab personnel handle highly reactive chemicals in a safe
manner according to lab procedures.
11. For stored compressed gas cylinders, verify that the cylinders
are:
• Secured upright and protected against tipping and falling;
• Protected against damage from surrounding equipment
and materials; and
• Separated based on content (e.g., oxygen and propane).
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3.15 SUSTAINABLE PRACTICES
Environmentally responsible management at labs should not end with programs to mange
waste and ensure chemical, biological and radiation safety. Opportunities also exist in facility
design and operation to conserve energy and water, and the affirmative purchase of other
environmental preferable products. These programs can result in real cost savings in waste
generation, energy consumption, and resource use. They can also improve the comfort and
productivity of its employees and provide overall benefit to the environment.
Labs are high-energy users per square foot. This is expected due to the requirements for
lighting, ventilation and equipment use. There are many opportunities to improve energy
efficiency without compromising worker safety. Labs also have opportunities to reduce water
consumption. These water conservation measures can translate to bottom line cost savings
from water bills and/or reduced energy costs for pumping.
Labs are often also intensive users of chemicals, cleaning supplies, and disposables such as
paper products. The purchase of environmentally preferable products may have safety and
environmental benefits and can also save money in reduced waste disposal costs.
Management Issues
Implementing a Program. In order to conserve energy and I ,„,,_ x, ~ r~~ ~
V • , i ,_ • , ,_ uf i-i What Is a Green Product
water or implement a green purchasing program, labs should:
Use a systems approach;
Gain employee involvement;
Use best available energy efficient, water conserving
equipment and green products and operational practices;
. - Toxicity and biodegradability;
- Packaging and transport cost;
Recyclability and recycled
content;
Life cycle energy and natural
resource use.
• Consider the life cycle cost of actions.
Systems Installing a new highly efficient but
Approach oversized air conditioning unit without
Environmental preferability is a
function of various factors.
These include the following:
• Performance and durability;
having taken lower cost actions to reduce
the heat load first or buying a lab glassware cleaner that is less polluting
but requires double washing are examples of well intentioned energy
efficiency and green procurement projects that may not pay off.
The key to good energy and water conservation or green purchasing
program is a systems approach:
• Conduct a baseline assessment. Conduct a baseline energy/water
audit to identify current equipment, use and associated costs. There
are tools available to help conduct a simple audit from the EPA Energy
Star program and from DOE. A more complete audit may require a
qualified professional. Similarly, assess current practices and product
purchases to determine a green procurement baseline from which to
develop program.
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Develop a Strategic Plan. Like with most environmental
management programs, it helps to establish goals and objectives and
a thoughtful strategy on how to accomplish these objectives. This
strategy should cost effectively address: (1) what is to be done; (2)
when it should be done; (3) who is responsible; and (4) how it will be
financed.
Identify Opportunities. Considerations
must be taken when selecting
energy/water efficient and green products
to make sure they are the most
environmentally preferred for labs. These
.... • , . compromise the comfort of
considerations include: employees
Multiple Attributes: Make sure one
Remember, energy
efficiency measures and
green procurement should
not be taken if they result in
poor performance or
environmental attribute is not offset by a more serious impact.
Some projects can have secondary effects (e.g., an energy
conservation project to switch to energy efficient lighting can
reduce the heat load, requiring less air conditioning. A cleaning
product that is more biodegradable may have a significant amount
of product packaging that must be disposed).
Life Cycle Perspective: Use life cycle and other economic analyses
to properly assess the total cost of proposed changes (equipment
and operational). Make sure to look at environmental impacts over
the entire life of the product (manufacturing, use, and disposal).
Magnitudes of Impact: When purchasing green products consider
the scale and reversibility of the products environmental impact.
Local Conditions: Make sure the equipment or product will work
based on your lab location and your intended use.
Equipment/Product Attribute Claims: Make sure the
equipment/product claims are true. Obtain third party certifications
and references.
Keep It Simple
To start, consider
the no and low cost
options first.
• Implement the Plan. Structure product
specifications, requests for proposal, other
purchasing tools and selection processes to give
preference to green products and services. Be
willing to use new companies, wait a little longer
to get the product, and search a little more for the right vendor.
Reviewing contractor proposals prevents product and service
surprises.
• Monitor Performance. Regularly monitor the program to ensure the
anticipated benefits are achieved; make adjustments if necessary.
Employee Labs should strive to involve employees in energy and water management
Involvement and green procurement by forming energy/water management teams or a
green procurement team to educate and motivate employees. Offer
incentives for the best energy/water saving and green procurement ideas;
report to employees how much energy/water/waste disposal costs were
decreased through their efforts; and reward them based on the
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reductions.
Opportunities Opportunities to purchase green products exist in almost all products used
in labs. Many of these opportunities have been described as P2 options
in previous sections of this guide. Some opportunities are provided
below. Opportunities for energy and water efficiency are highlighted in the
tables following the Small Lab Sustainable Practices Checklist.
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SMALL LAB SUSTAINABLE PRACTICES CHECKLIST
Action
Notes
1. Verify that the lab established multi-discipline
management teams to develop and implement
strategies for these programs.
2. Ensure that the lab has conducted baseline
audits/assessment of current equipment and
practices related to these activities.
3. Determine if realistic goals and objectives have
been established for each of these programs.
4. Verify that opportunities for improvements in
equipment and practices to meet the goals and
objectives have been identified and consider
multiple attribute characteristics, life cycle cost,
local conditions and product performance claims
have been in these analyzes.
Determine if implementation plans have been
developed and acted upon. These include
procedural changes to ensure preferences are
considered in the procurement process as well as
programs for employee education and
involvement.
6. Verify that performance is monitored and
adjustments are made based on this feedback.
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Opportunities for Green Purchasing at Small Laboratories
Paper Products:
Printing and writing paper, paper towels, bench coat, and tissue paper with recycled
content.
Lab Instruments and Supplies:
Equipment (and procedures) which uses less sample, less and/or less hazardous
reagents, chemicals which are less hazardous and/or can be treated using in-house
processes to reduce or eliminate hazards and/or facilitate disposal (see Air Emissions,
Section 3.1, and Little Known But Allowable Ways to Manage Hazardous Waste,
Section 5.0 for more information)
Office Equipment:
Properly sized and Energy Star equipment; two side copy machines; plain paper
(recyclable) fax machines; remanufactured toner and ink cartridges, binders, and desk
accessories with recycled content.
Maintenance Equipment and Supplies:
CFC/HCFC free air conditioning and refrigeration equipment, rerefined oil, nontoxic
antifreeze (non ethylene glycol) citrus or other less toxic cleaners and solvents;
landscaping water hose and edging, trash containers, with recycled content, recycled
content or biobased trash bags.
Building Supplies:
Recovered building materials (lumber, brick, steel), floor tile, shower and restroom
dividers, carpet, and fiberglass building insulation and other materials with recycled
content.
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Opportunities for Energy and Water Conservation at Small Laboratories
Lighting:
• Replace incandescent bulbs with high efficiency fluorescent units; remove unneeded
lamps.
• Install occupancy sensors.
• Install more energy efficient ballasts when replacing failed units.
• Increase natural lighting by installing skylights and painting walls lighter colors and use fully
modulated lighting that ramps up only as natural lighting decreases.
• Consider switching to high intensity discharge (HID) lights in outdoor locations.
• Encourage personnel to shut off lights.
Heating and Cooling Equipment:
• Ensure is properly sized and maintained regularly.
• Upgrade equipment using more energy and water efficient systems.
• Recover condensate water from chilled water coils and HVAC units And the recovery of
heat back into HVAC systems. Consider air rather than evaporative water cooling towers
for HVAC units.
• Use programmable/automatic thermostats to adjust temperatures during off-work hours.
• Use drapes, shades, and awnings to reduce heat loading through windows.
• Consider alternative energy sources such as photovoltaics. (NOTE: Also include that
Variable-air-volume (VAV) fume hoods can reduce lab energy use by up to 50 percent;
also that limited airflow containment devices can reduce ventilation requirements (e.g.,
local exhaust snorkels at lab benches).
Water Supply Systems:
• Ensure that equipment is properly sized and installed as close to the point of use as
possible.
• Use programmable thermostats to control water temperature during off-work hours.
• Insulate hot and chilled water systems and pipes to maintain temperature.
• Immediately repair water system leaks.
• Ensure that glassware is washed only with a full load.
• Use low flow toilets.
• Install more efficient horizontal axis cloths washers for laundry facilities. NOTE: Lab water-
cooling devices can also be upgraded to reduce water consumption.
Building Envelope and Siting:
• Use reflective colors for the exterior roof and walls.
• Provide wall shading through the use of overhangs and shades.
• Install energy efficient windows, doors and insulation and doors to reduce heat loss and
loads.
• Verify that doors and windows are closed when AC and heating equipment is operating.
• When designing or choosing new facilities, consider building orientation and its impact on
energy consumption.
• Use landscaping to shade and as a windbreak. Use zeriscape landscaping.
• Irrigate landscape after dark; use drip irrigation to reduce evaporative loss. NOTE:
Sustainable building materials for remodeling and new construction can also be used (e.g.,
recycled steel, recycled gypsum, "certified wood" from renewable forests, "green leasing"
carpeting vs. purchasing new, etc.)
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4.0 RELIABLE RESOURCES
Of the numerous sources of information on environmental management, the following list
provides information most relevant to small lab environmental programs. Included are
reference materials, organizations, World Wide Web (www) site addresses, toll-free hotlines,
governmental resource centers, EPA Regional Offices, and state Small Business Assistance
Programs. In addition, lab staff should consult with the relevant state, tribal or local agencies
for specific questions regarding air emissions and hazardous waste management, and contact
the local POTW for information regarding wastewater discharge issues.
Publications
Comprehensive
Lab EHS
Coverage
Environmental
Management
Systems
Chemical Safety
Source
Laboratory Safety & Environmental Management (LS&EM). A
newsletter published by PRIZIM Inc. covering the full spectrum of lab
environmental, health, and safety issues. 316 E. Diamond Avenue, Suite
201, Gaithersburg, MD 20877, (301) 840-9316, www.PRIZIM-lnc.com.
Environmental Management Systems: An Implementation Guide for
Small and Medium- Sized Organizations. EPA 832-B-96-007,
November 1996.
Practical Guide to Environmental Management at Small Businesses.
EPA Small Business Division (in progress).
Prudent Practices in the Lab: Handling and Disposal of Chemicals.
National Research Council, National Academy Press, Washington, DC.
1995.
Chemical Safety in the Laboratory. Stephen K. Hall, CRC Press-Lewis
Publishers, Inc. 1994.
Pollution
Prevention
General Safety
Waste
Management
P2 and Waste Minimization in Laboratories. P. A. Reinhardt, K. Leigh
Leonard, and P. C. Ashbrook, CRC Press, Inc. 1996.
CRC Handbook of Laboratory Safety. A. Keith Furr, Ph.D. (Ed.). CRC
Press. Fifth edition published 2000.
Hazardous Laboratory Chemicals Disposal Guide. M. Armour, 2
Edition, CRC Press, Inc. 1996.
nd
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Waste
Management
(contd.)
Private
Organizations
Government
Resource
Centers
Step-by-Step Guide to Better Laboratory Management Practices.
Publication No. 97-431, Washington State Department of Ecology,
Hazardous Waste and Toxics Reduction Program. July 1997.
Department of Ecology, Publications Distribution Center, P.O. Box 47600,
Olympia, WA 98504-7600.
Laboratory Waste Management - A Guidebook. American Chemical
Society, Washington, DC. 1994.
Understanding the Small Quantity Generator Hazardous Waste Rules
- A Handbook for Small Business. EPA/530-K-95-001.
American Chemical Society, 1155 16th Street, NW, Washington, DC
20036, (202) 872-4600, www.ACS.org.
Offers journals, training, and information on lab waste.
National Fire Protection Association, 1 Batterymarch Park, P.O. Box 9101,
Quincy, MA 02269-9101, (617) 770-3000, www.NFPA.org.
Develops and offers standards on flammable chemical storage in labs.
National Pollution Prevention Roundtable, 2000 P Street, NW, Suite 708,
Washington, DC 20036, (202) 466-7272, www.p2.org.
Offers participation in a small business roundtable to provide information
concerning innovative ways to improve compliance and efficiency through
pollution prevention. This organization also hosts four listserves that can
be accessed through the web site.
PRIZIM Inc., 316 E. Diamond Avenue, Suite 201, Gaithersburg, MD
20877, (301) 840-9316, www.PRIZIM-lnc.com. Sponsors national and
regional meetings and training titled, "Laboratory Safety & Environmental
Management (LS&EM),"publishes the LS&EMnewsletter, and offers
environmental, health, and safety management consulting services for all
organizations with labs.
American Biological Safety Association, 1202 Allanson Rd., Mundelein, IL
60060, (847) 949-1517, www.absa.org.
A professional association ofbiosafety experts and interested parties.
ASTM, 100 Barr Harbor Drive, West Conshohocken, PA 19428-2959,
(610) 832-9740, www.astm.org.
Offers standards on lab practices and environmental management.
U.S. EPA Small Business Ombudsman Clearinghouse/Hotline, 401 M
Street, SW, Washington, DC 20460, 1-800-368-5888.
Helps private citizens and small businesses with questions on all program
aspects within EPA.
EPA National Center for Environmental Publications and Information,
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1-800-490-9198.
Provides access and information about EPA publications.
U.S. Department of Health and Human Services, Public Health Service,
Centers for Disease Control and Prevention, National Institute for
Occupational Health and Safety (NIOSH), 1-800-356-4674,
www.cdc.gov/niosh/homepage.html.
Provides information about occupational safety and health issues.
American Indian Environmental Office, www.epa.gov/indian.
Provides information on programs, laws, regulations, grants and tribal
contacts.
U.S. Environmental Protection Agency (U.S. EPA) Clean Air Technology
Center (CATC), U.S. EPA, Research Triangle Park, NC 27711, (919)
541-0800, www.epa.gov/ttn/catc.
Serves as a resource on all areas of emerging and existing air pollution
prevention and control technologies.
U.S. EPA Pollution Prevention Information Clearinghouse, 401 M Street,
SW, Washington, DC 20460, (202)260-1023, E-mail:
PPIC@epamail.epa.gov.
Provides a library and electronic bulletin board dedicated to information on
pollution prevention.
U.S. Nuclear Regulatory Commission, One White Flint North, 11555
Rockville Pike, Rockville, MD 20852-2738, (301) 415-7000,
www.nrc.gov/.
Provides information on regulations addressing radioactive materials.
Internet Sites U.S. Environmental Protection Agency: www.epa.gov.
U.S. Environmental Protection Agency Small Business Ombudsman:
www.epa.gov/sbo/. Also see the Small Business Environmental Home
Page: www.smallbiz-enviroweb.org/. In addition, see the U.S. EPA Small
Business Gateway: www.epa.gov/smallbusiness/.
U.S. Environmental Protection Agency Green Chemistry Program;
www. epa.gov/greenchem istry.
Provides information on green chemistry conferences and other sources.
U. S. Department of Labor, Occupational Safety and Health
Administration (OSHA): www.osha-slc.gov.
Provides information on occupational safety and health issues.
U. S. Department of Health and Human Services, Public Health Service,
Centers for Disease Control and Prevention (CDC), National Institute for
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Listserves
Hotlines
Occupational Safety and Health (NIOSH):
www.cdc.gov/niosh/homepage.html.
These listserves can be helpful for solving unique problems. All have lab-
oriented participants.
SAFETY list. A general discussion of environmental, health, and safety.
Contact Ralph Stuart at the University of Vermont (email:
rstuart@esf.uvm.edu) for information on how to subscribe.
LAB-XL. A discussion of performance oriented environmental regulation
of labs. Contact Ralph Stuart at the University of Vermont (email:
rstuart@esf.uvm.edu) for information on how to subscribe.
EPA Small Business Ombudsman Hotline: 1-800-368-5888
Provides environmental management assistance information to small
businesses, including labs.
EPA RCRA Hotline: 1-800-424-9346; (703) 412-9810
Provides information related to hazardous waste regulations and
Resource Conservation and Recovery Act (RCRA), Superfund-related
matters.
TSCA Hotline: (202) 554-1404
Provides information concerning the Toxic Substances Control Act
(TSCA)-related regulations and policies.
CHEMTREC: 1-800-262-8200
The Chemical Transportation Emergency Center provides technical
information related to chemical exposure, spills, leaks, and fires, including
Material Safety Data Sheets (MSDS).
Department of Transportation: 1-800-467-4922
Provides information on matters related to the U.S. Department of
Transportation (DOT) hazardous materials transportation regulations.
National Response Center: 1-800-424-8802
For reporting spills of hazardous substances.
OS HA: 1-800-321-6742
Provides information regarding matters related to the Occupational Health
and Safety Administration (OSHA) programs and standards.
EPA Hotline List: www.epa.gov/epahome/hotline.htm.
Provides a comprehensive list of all EPA sponsored hotlines.
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U.S. EPA Addresses, phone numbers, and web sites for all EPA regional offices are
Regional located on the EPA homepage at www.epa.gov/epahome/locate2.htm.
Offices The web site offers a map of the United States by region to assist in the
regional office location.
State Small Small Business Ombudsman (SBO) and Small Business Assistance
Business Program (SBAP) offices are located in each state. These are an excellent
Assistance anc' free source of environmental management assistance. These
Proqrams sources are also familiar with local environmental requirements. A current
listing of all SBO and SBAP contacts by state is located at
www.epa.gov/tnn/sbap/offices.html.
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5.0 LITTLE KNOWN BUT ALLOWABLE WAYS TO MANAGE HAZARDOUS
WASTE
Hazardous waste management and off-site disposal can be challenging and expensive for
small labs. However, not all hazardous waste must be shipped off site for treatment or
disposal. The EPA has identified a number of allowable ways that small labs can minimize
their hazardous waste on site. This section provides specific information on five of these
methods. Of these five, one is on-site disposal through the domestic sewage exclusion and
the remaining four are on-site treatment methods.
EPA has delegated authority to each state to implement and enforce major portions of the
hazardous waste management program. Some state requirements relative to these
hazardous waste minimization methods may be more stringent than the Federal requirement.
Not all the EPA allowed method of hazardous waste minimization may be allowed at your lab.
This section is a state-by-state review of the allowable ways to minimize hazardous waste. It
provides summary information for each state including their definition of hazardous waste,
allowances for each of the EPA waste minimization methods, and information on special state
hazardous waste management program considerations.
It should be noted, state requirements do not apply to small labs located in Indian Country
because states do not have jurisdiction in these areas. In these situations, the appropriate
Tribal government, rather than the state, should be contacted to ensure that their regulations
are not more stringent than those of the EPA.
If after reviewing the information contained in this section, it looks like any of the five waste
minimization methods could be effective at your lab, you should conduct further research at
both the Federal and state level to confirm their allowance and understand the specific
operational requirements. Information on whom to call and where to get further information at
each state is provided in the State-by-State subsection. Small labs should remember that the
waste minimization methods described in this Guide should only be conducted as part of a
comprehensive hazardous waste management program that addresses all regulatory
requirements.
EPA mandates that generators attempt to minimize the volume and toxicity of their waste.
EPA prefers that generators eliminate waste generation through source reduction - source
reduction is synonymous with pollution prevention (P2) and includes any activity that reduces
or eliminates the generation of hazardous waste at the source. EPA specifies that when
source reduction is not feasible, when possible, waste should be recycled or treated to reduce
the volume and toxicity of the waste. From a practical perspective, there are substantial
incentives for source reduction and waste minimization; for example, avoiding the high costs of
disposing of hazardous waste and limiting liability concerns.
Small labs should look for source reduction opportunities (e.g., through careful chemical
purchasing and inventory control, substitution of hazardous chemicals with less hazardous
replacements). Many such opportunities are presented in Sections 2 and 3 of this Guide. In
addition, generators can sometimes treat their hazardous waste to reduce the volume or
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toxicity of the waste without the burdensome process of becoming a RCRA Treatment Storage
or Disposal Facility (TSDF).
On-Site
Disposal
On-Site
Treatment
There is an allowance that provides for certain wastes to be disposed of
down the drain, even if they may be hazardous. In writing its RCRA
regulations, EPA wanted to avoid double regulation of wastewaters that
are subject to the Clean Water Act. Specifically, wastes that are mixed
with domestic sewage and discharged to a publicly-owned treatment
works (POTW) are not regulated under RCRA (see 40 CFR 261.4(a)(1)).
This exclusion is commonly called the "domestic sewage exclusion"
(DSE). Essentially, a small lab tied to a POTW may discharge waste
down the drain as long as it is in compliance with all applicable
wastewater standards. Applicable wastewater standards typically include
national pretreatment standards (40 CFR 403.5), state limits and
discharge limits imposed by the POTW. In some cases, wastes that meet
the RCRA definition of hazardous may be acceptable for sewer disposal.
Be aware that hazardous waste stored prior to discharge is regulated and
dilution of waste in order to meet discharge limits is usually not allowable.
EPA and many states provide several regulatory exclusions that allow
generators to treat of hazardous waste without a permit. Some of these
treatment exclusions may be useful in furthering waste reduction efforts.
Treating hazardous waste on-site in ways other than provided for in the
regulatory exclusions subjects generators to extremely high fines (e.g., up
to $50,000 per day) and possible criminal penalties (i.e., jail time). Before
treating hazardous waste on site, generators must be absolutely sure that
the treatment they are considering is allowed without a RCRA permit. In
addition, generators must ensure that they have proper procedures,
equipment and skilled employees to conduct treatment safely and
effectively on-site.
EPA's exclusions that allow generators to treat hazardous waste on-site
without a permit are described below.
Elementary
Neutralization
EPA and most state authorities clearly allow
elementary neutralization (i.e., pH adjustment)
of hazardous wastes. Elementary neutralization
units (as defined in 40 CFR 260.10) may be
used to neutralize D002 (corrosive) wastes
without any worry of RCRA permitting
requirements. Two important points to
remember are (1) elementary neutralization only
refers to pH adjustment, and (2) neutralized
waste should only be discharged down the drain
if it meets all applicable discharge standards
(i.e., Local, state and EPA limits).
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0 Recycling
0 Treatment in
Accumulation
Containers
Small Boilers and
Industrial Furnaces
EPA allows generators to recycle hazardous
wastes without a TSDF permit. In its
regulations, EPA states that a material is
"recycled" if it is used, reused or reclaimed (40
CFR 261.1). A material is "used or reused" if it
is either (1) employed as an ingredient to make
a product, or (2) employed in a particular
function as an effective substitute for a
commercial product. A material is "reclaimed" if
it is processed to recover a useful product or if it
is regenerated. Although EPA considers
recycling a form of treatment, it does not require
recyclers to obtain a treatment permit. In 40
CFR 261.6(c)(1), EPA states that "the recycling
process is exempt from regulation." Generators
may be able to take advantage of this
exemption by distilling solvents, reclaiming
precious metals (e.g., Silver) from solutions, or
precipitating metal salts.
Generators may treat hazardous wastes in
accumulation containers without obtaining a
RCRA treatment permit provided the containers
are managed in compliance with EPAs container
management standards in 40 CFR part 265,
subpart I. EPA clearly states this exemption in
its federal register notice issued march 24, 1986
(51 FR 10168) as well as in subsequent FR
notices and interpretive memos. Examples of
treatment in accumulation containers include
precipitating heavy metals from solutions, and
oxidation/reduction reactions. Remember,
treatment residues may still require
management as a hazardous waste and,
residues destined for land disposal are subject
to land disposal restriction (LDR) treatment
standards (40 CFR 268).
The "small-quantity on-site burner exemption"
(40 CFR 266.108), which is part of the Boiler
and Industrial Furnace (BIF) regulations, allows
hazardous waste generators (small or large
quantity) to burn small quantities of hazardous
waste in an on-site boiler without a permit. The
quantity of waste that can be burned on-site is
determined by the "terrain-adjusted stack
height" as described in the regulation and the
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boiler's total fuel requirement. Some additional
restrictions apply to the properties of waste that
can be burned (i.e., Btu value) and small labs
taking advantage of this allowance are subject
to simple notification and recordkeeping
requirements. Before burning hazardous waste
on site, consult not only with the state
regulators: both the hazardous waste agency
and the air pollution control agency.
A S symbol adjacent to specific regulatory allowances in the state tables means that the
allowance is not available, or available only with special conditions.
Contacting
Your State
Contact with state regulators is essential since, in every state except
Alaska, Iowa, and Hawaii (as of this writing), EPA has delegated authority
to each state to implement and enforce major portions of the hazardous
waste management programs. In order to receive authorization from
EPA, a state's hazardous waste management regulations must be at least
as stringent as EPAs hazardous waste regulations. Still, one must keep
up with the EPA regulations since EPA regularly publishes new hazardous
waste management regulations that are enforceable by EPA until they are
included in a given state's hazardous waste regulations. The state
authorization process is ongoing and can be difficult to track. Generators
need to check with their states to understand what portions of the
hazardous waste programs are operated and enforced by state authorities
and what portions EPA enforces. In most cases, state hazardous waste
regulations are available in the Internet. In some cases, however, the
state must be contracted directly to obtain the regulations.
State Information
Information on individual state hazardous waste programs is provided on the following pages.
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Alabama
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal (see 335-14-2).
Hazardous Waste Generator Status: Same as federal (see 335-14-2 and 335-14-
3).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
HI Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
See 335-14-2-.01(4)(a)(l).
See 335-14-8-.01(l)(c)(2)(v).
See 335-14-2-.01(6)(a).
Not allowed except limited
allowances for evaporation (per
verbal interpretation and 335-14-8-
.01(c)(2)(viii), respectively).
See 335-14-7-.08, similar to 40
CFR266, SubpartH).
Special Considerations
• ADEM requires that generators follow a "pre-approval process" before
sending hazardous waste off-site (see 14-3-.08).
AL Department of Environmental Management
Hazardous Waste Branch
1400 Coliseum Blvd.
P.O. Box 301463
Montgomery, AL 36110
Phone: 334/271-7735
http://www.adem.state.al.us.
AL's hazardous waste regulations, Division 14, Alabama Administrative Code,
are available for a fee from ADEM's Legal Department (334/270-5606) or, can
be accessed for free on the Internet, check out
http://www.adem.state.al.us/rdivl4.html.
Alaska
Alaska has not received authorization from US EPA to operate its hazardous
waste program in lieu of the federal program. EPA 's hazardous waste program
is enforced by EPA 's Region X office which is located in Seattle, WA. To contact
EPA 's Region Xoffice, call 800/424-4372 from within Alaska only, or 206/553-
1200.
Hazardous Waste Program Description
Definition of "Hazardous Waste": Alaska adds to the federal RCRA hazardous
waste definition wastes with acute aquatic toxicity (96-hour LC50) of less than
500 mg/1 (ISAAC 62.020).
Hazardous Waste Generator Status: Same as federal.
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Incorporates 40 CFR 261 by
reference (see 18 AAC 62.020).
Incorporates 40 CFR 270 by
reference (see 18 AAC 62.710).
Incorporates 40 CFR 261 by
reference (see 18 AAC 62.020).
Follows EPA interpretation.
Incorporates 40 CFR 266 by
reference (see 18 AAC 62.511).
Special Considerations
• Generators must send a copy of each hazardous waste manifest to ADEC,
which is postmarked before the waste is sent off site (18 AAC 62.230).
AK Department of Environmental Conservation
Compliance Assistance Office
Hazardous Waste Section
555 Cordova Street
Anchorage, AK 99501
Phone: 907/269-7591 or 800/510-2332 (AK only)
http://www.state.ak.us/local/akpages/ENV.CONSERV/home.htm
AK's hazardous waste regulations, Chapter 62 of the Alaska Administrative
Code, Title 18, are available for free by calling ADEC or can be accessed for free
on the Internet at
www. state. ak. us/local/akpages/EN V. CONSERV/title 18/title 18. htm
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Arizona
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal. ADEQ incorporates 40 CFR
261 by reference (R18-8-261).
Hazardous Waste Generator Status: Same as federal. ADEQ has placed
additional requirements upon CESQGs (R18-8-261.H.)
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Incorporates 40 CFR 261 by
reference (R18-8-261).
Incorporates 40 CFR 270 by
reference (R18-8-270).
Incorporates 40 CFR 261 by
reference (R18-8-261).
Follows EPA interpretation.
Incorporates 40 CFR 266 by
reference (see R18-8-266).
Special Considerations
• Hazardous waste must register annually with ADEQ and submit a
registration fee (R18-8-260M). Upon request of ADEQ, CESQGs may be
required to submit reports.
AZ Department of Environmental Quality
Hazardous Waste Inspections and Compliance Unit
3033 N. Central Ave.
Pheonix, AZ 85012
Phone: 602/207-4108
http://www.adeq.state.az.us/waste/hazwaste/index.htm
AZ's hazardous waste regulations, Chapter 8 of Title 18 of the Arizona
Administrative Code, are available for a fee from AZ Secretary of the State,
602/542-4086, or an "unofficial" copy can be accessed for free on the Internet
from_http://www.sosaz.com/public_services/Title_18/18-08.pdf.
Arkansas
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal, except Arkansas regulates
PCBs as hazardous wastes.
Hazardous Waste Generator Status: Same as federal.
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion Incorporates 40 CFR 261 (see Reg.
23 §261).
Incorporates 40 CFR 270 (see Reg.
23 § 270).
Incorporates 40 CFR 261 (see Reg.
23 §261).
0 Elementary Neutralization
0 Recycling
SI Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Follows EPA interpretation.
Incorporates 40 CFR 266 (see Reg.
23 § 266).
Special Considerations
• Generators must submit annual rather than biennial reports (Reg. 23 §
262.41) and Arkansas subjects SQGs (100 and 1000 kg per month) to annual
reporting requirements. Arkansas does exempt generators from manifesting
requirements when tolling arrangements have been made (Reg. 23 §
262.13(g)). Reg. 23 § 262.24 contains additional requirements for generators
regarding sending a return copy of each manifest to ADEQ and submitting
manifest weight discrepancies.
AR Department of Environmental Quality
Hazardous Waste Division
8001 National Drive
Little Rock, AR 72219-8913
Phone:(501)682-0833
http://www.adeq.state.ar.us/hazwaste/main.htm
AR's hazardous waste regulations are in ADEQ's Regulation No. 23. The
regulations are largely a reprint of 40 CFR; language added by ADEQ is in
italics. Regulation No. 23 is available for $15 from ADEQ's Public Affairs
Office, 501/682-0916, or can be accessed for free on the Internet at
http://www.adeq.state.ar.us/regs/reg23.htm.
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California
Hazardous Waste Program Description
Definition of "Hazardous Waste": Similar to federal but adds extremely
hazardous waste, special waste and non-RCRA hazardous waste (66261.110,
66260.120, and 662661.101, respectively).
Hazardous Waste Generator Status: CA recognizes LQGs, SQGs and CESQGs.
SQG requirements pertain to generators of less than 1,000 kg/month of hazardous
waste (22 CCR 66262). Provisions for CESQGs are specified in the HSC
(Section 25218).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Recognizes 261.4 only for wastes
that do not exhibit a characteristic
(66261.4(b)(2)).
See HSC 25200.3 and permit-by-
rule requirements (67450.11).
See 66261.6 and HSC 25143.2(c).
See 22 CCR 66450.11 and HSC
25123.5, 25200.3 and 25201.5.
Subject to limitations.
See 66266.108. Local air
pollution control district
regulations may apply.
Special Considerations
• Hazardous waste in satellite accumulation is subject to a one-year
accumulation time limit (66262.43(e)(l)).
• Authorized household hazardous waste collection facilities may accept
CESQG waste (HSC 25218.3).
• Special provisions for biotech firms, including an allowance for on-site
treatment, are included in the Medical Waste Management Act.
CA Department of Toxic Substance Control (DTSC)
Hazardous Waste Management Program
P.O. Box 806
Sacramento, CA 95812-0806
Phone: 916/324-1781 or 800/61-TOXIC (CA only)
http://www.dtsc.ca.gov/
CA hazardous waste regulations are in Title 22 of the California Code of
Regulations (22 CCR). Certain hazardous waste requirements are only cited in
the Health and Safety Code (HSC). 22 CCR and HSC are available from the
DTSC website. Hardcopies of the CCR and HSC are available for a fee from
Barclays Law Publishers; 800-888-3600.
Colorado
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal with addition of certain
chemical weapons agents to the P-list (see 1007-3 Part 261).
Hazardous Waste Generator Status: Same as federal (see 1007-3 Part 262).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
See 1007-3, Part 261.4(a)(l).
See 1007-3, Part 100.10(a)(6).
See 1007-3, Part 261.6(c)(l).
Allowed with conditions, see
1007-3, Part 100.10(a)(l), also
CDPHE's "Treatment of
Hazardous Waste by Generators
Guidance Document."
SI Small Boilers and Industrial
Furnaces
CO has not yet adopted 40 CFR
266, Subpart H so EPA's BIF rule
is in effect. CO has special
requirements for "Solid Waste-to-
Energy Incineration Facilities,"
which may apply.
Special Considerations
Satellite accumulation provisions are more stringent for LQGs; see 1007-3 Part
262.34(c). Satellite accumulation provisions for SQGs are spelled out in 1007-3
Part 262.34(g).
CO Department of Public Health and the Environment
Hazardous Materials and Waste Management Division
4300 Cherry Creek Drive South
Denver, CO 80246
Phone: 303/692-3322 or 888/569-1831 (CO only)
http://www.cdphe.state.co.us/environ.asp
CO's Hazardous Materials & Waste Management Division (HMWMD)
regulations are in Title 6 of the CO Code of Regulations (CCR) Section 1007-3,
Parts 100 and 260 to 270. The regulations are available from the Hazardous
Waste Commission, 303/692-3467, for $40, or, an unofficial copy can be
accessed for free on the Internet, check out
http://www.cdphe.state.co.us/regulate.asp.
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Connecticut
Hazardous Waste Program Description
Definition of "Hazardous Waste": Incorporates 40 CFR 261 by reference with a
few changes (see 22a-449(c)-101). Under a separate program, CT regulates
certain non-RCRA wastes or "CT-regulated" wastes such as oil, antifreeze, PCBs
(>50 ppm), and asbestos.
Hazardous Waste Generator Status: CT largely incorporates EPA's generator
requirements by reference; however, CT imposes more restrictive requirements
upon SQGs and CESQGs (see 22a-449(c)-102 and 101(b)). For example, SQGs
can accumulate only 1000 kg of hazardous waste on site at any time.
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion Incorporates 40 CFR 261 by
reference (see 22a-449(c)-101(a)).
0 Elementary Neutralization Incorporates 40 CFR 270 by
reference (see 22a-449(c)-110).
Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Subject to registration and
reporting requirements and other
requirements imposed on a case-by
case basis (see 22a-449(c)-101(c)).
Allowed (see CT DEP memo
dated 10/3/91).
Incorporates 40 CFR 266.108 by
reference (see 22a-449(c)-106(a)).
Special Considerations
• Hazardous waste containers at satellite accumulation areas must be marked
with the words "Hazardous Waste" (see 22a-449(c)-102(a)(2)(E)).
CT Department of Environmental Protection
Bureau of Waste Management
79 Elm St.
Hartford, CT
Phone: 888/424-4193
http://dep.state.ct.us/
For a free copy of the CT Hazardous Waste Management Regulations (22a-
449(c)-100 through 110 and 22a-449(c)-ll) call the Compliance Assistance
Program at 888/424-4193. Relevant sections of the CT General Statutes can be
accessed for free on the Internet at http://www.cslib.org/statutes/title22a/t22a-
p9.htm#Il.
Delaware
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal.
Hazardous Waste Generator Status: Same as federal.
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion DE regulations mirror 40 CFR
0 Elementary Neutralization
II Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Allowed under DE regulations
(264.1(g)and265.1(c)).
Not allowed (261.6(c)(l) is
different in DE regulations).
Follows EPA interpretation.
DE regulations mirror 266.108.
Special Considerations
• For CESQGs, hazardous waste disposal regulations are more stringent then
federal regulations.
DE Department of Natural Resources and Environmental Control
Air and Waste Management Division
Solid and Hazardous Waste Branch
89 Kings Hwy.
Dover, DE 19901
302/739-3689
http://www.dnrec.state.de.us/
The "DE Regulations Governing Hazardous Waste" closely resemble EPA's
RCRA regulations and are available from the Hazardous Waste Branch for $45.
The regulations are not presently available through the Internet.
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District of Columbia
Hazardous Waste Program Description
Definition of "Hazardous Waste": Similar to federal (20 DCMR 41).
Hazardous Waste Generator Status: DC refers to generators of <100 kg/month as
SQGs. DC SQGs are subject to requirements more stringent than federal
CESQG requirements. All other DC generators are considered LQGs.
Regulatory Allowances for On-
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
M Small Boilers and Industrial
Furnaces
Site Waste Minimization
See DCMR 4100.15.
See DCMR 4600.8(d).
See DCMR 4100.33.
See DCMR 4600.8(a).
DC has not yet adopted 40 CFR
266, Subpart H, so EPA's BIF rule
is in effect. However, DC air
regulations mandate permitting for
hazardous waste combustion.
Special Considerations
• DC has no provisions for satellite accumulation areas.
• DC SQGs are subject to an accumulation quantity limit of 600 kg of
hazardous waste and an accumulation time limit of 180 days (DCMR
4100.24).
DC Department of Health
Environmental Health Administration
Hazardous Waste Division
51 N St., ME
Washington, DC 20002
Phone: 202/535-2288
http ://www. ci. Washington, dc .us/index, html
DC hazardous waste management regulations are in Title 20 of the District of
Columbia Municipal Regulations (20 DCMR), Chapters 40 through 54.
Regulations can be purchased from the DC Office of Documents: 20 DCMR
Chapters 40 to 70 is a single volume and sells for $20. Orders must be prepaid.
The regulations are not presently available through the Internet.
Florida
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal. Incorporates 40 CFR 261 by
reference (see FAC 62-730.030).
Hazardous Waste Generator Status: Same as federal. Incorporates 40 CFR 262
by reference (see FAC 62-730-160).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Adopts 40 CFR 261 by reference
(see FAC 62-730.030).
Adopts 40 CFR 270. l(c) by
reference (see FAC 62-730.220).
Adopts 40 CFR 261 by reference
(see FAC 62-730.030).
Follows EPA interpretation.
Adopts 40 CFR 266 by reference
(see FAC 62-730.181).
Special Considerations
• Florida does not adopt 40 CFR 262.34(e), which allows generators to
accumulate hazardous waste on-site for up to 270 days if they must transport
their waste more than 200 miles to an off-site TSDF. Therefore, SQGs must
not accumulate hazardous waste on site for more than 180 days.
FL Department of Environmental Protection (DEP)
Division of Waste Management
2600 Blair Stone Rd.
Twin Towers, MS-4555
Tallahassee, FL 32399-2400
Phone: 850/488-0300
http://www.dep.state.fl.us/dwm/bureaus/bshw.htm
PL's Hazardous Waste Management Regulations are in the Florida
Administrative Code (FAC), Rule 62-730, and are available for free from the
Hazardous Waste Regulation Section, 850/921-9258. The regulations can be
accessed for free on the Internet at
http://www.dep.state.fl.us/dwm/rules/numeric.htm.
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Georgia
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal. Incorporates 40 CFR 261 by
reference (see 391-3-11-.07).
Hazardous Waste Generator Status: Same as federal. Incorporates 40 CFR 262
by reference (see 391-3-11-.08).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Special Considerations
None.
Incorporates 40 CFR 261 by
reference (see 391-3-11-.07)
Incorporates 40 CFR 270.l(c) by
reference (see 391-3-ll-.ll(l)(a))
Incorporates 40 CFR 261 by
reference (see 391-3-11-.07)
Follows EPA interpretation.
Incorporates 40 CFR 266 by
reference (see 391-3-ll-.10(3)).
GA Department of Natural Resources
Environmental Protection Division (EPD)
Hazardous Waste Management Branch
205 Butler St., SE
Suite 1154, East Tower
Atlanta, GA 30334
Phone: 404/656-7802
http://www.ganet.org/dnr/environ/
For a free copy of GA's Hazardous Waste Management Regulations (Chapter
391-3-11), call the Hazardous Waste Management Branch. For an unofficial
copy, go to EPD's website and click on "EPD Rules."
Hawaii
Although Hawaii has not received authorization from US EPA to operate its
hazardous waste program in lieu of the federal program, it is expected to receive
authorization in early 2000. Until then, EPA 's hazardous waste program is
enforced by EPA 's Region IX office in San Francisco, CA (415/744-2074). The
information below is based on Hawaii's regulations and interpretations.
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal with additional provisions
with respect to geothermal wastes (see HAR 11-261).
Hazardous Waste Generator Status: Same as federal (see HAR 11-261.5 and 11-
262.34).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion See HAR 11-261.4.
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Special Considerations
None.
See HAR 11-270.l(c)(2)(v)
SeeHARll-261.6(c)(l)
Follows EPA interpretation.
See HAR 11-266.180
HI Department of Health (DEH)
Environmental Management Division
Solid and Hazardous Waste Branch
Hazardous Waste Section
919 Ala Moana Blvd., Room 212
Honolulu, HI 96814
Phone: 808/586-4226
http://www.hawaii.gov/health/eh/index.html
If you prepay postage, the Hazardous Waste Section will send you a copy of the
"Hawaii Hazardous Waste Rules and Regulations," Chapter 11, Hawaii
Administrative Code (HAR). Only the 1999 amendments to the hazardous waste
regulations can be accessed for free on the Internet at
http://www.hawaii.gov/health/eh/shwb/hw/index.html. A full version of the
regulations is not available on the Internet.
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Idaho
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal.
Hazardous Waste Generator Status: Same as federal.
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
IDAPA 16.01.05.005 adopts 40
CFR 261 by reference.
IDAPA 16.01.05.012 adopts 40
CFR 270 by reference.
IDAPA 16.01.05.005 adopts 40
CFR 261 by reference.
Follows EPA interpretation.
IDAPA 16.01.05.010 adopts 40
CFR 266 by reference.
Special Considerations
• In the event of a fire, explosion or other release that may threaten human
health or outside the facility or may reach surface water, generators must not
only notify the National Response Center (NRC; per 262.34(d)(5)(iv)(C)),
but also the Idaho Communications Center (see 16.01.05.006).
ID Division of Environmental Quality
Hazardous Waste Branch
1410 N.Hilton St.
Boise, ID 83706
Phone: 208/373-0502
http://www.state.id.us/deq/haz/wastel.htm
The "Rules and Standards for Hazardous Waste" can be obtained from the
Hazardous Waste Branch for $5 or the rules can be accessed for free on the
Internet at http://www.state.id.us/adm/adminrules/rules/idapal6/16index.htm.
Illinois
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal (35 111. Adm. Code 721).
Hazardous Waste Generator Status: Same as federal (35 111. Adm. Code 721 and
722).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Special Considerations
None.
See 35 111. Adm. Code 721.104.
See 35 111. Adm. Code 703.123.
See 35 111. Adm. Code 721.106.
Follows EPA interpretation.
See 35 111. Adm. Code 726.208.
IL Environmental Protection Agency (IL EPA)
Bureau of Land
1021 North Grand Ave. East
P.O. 19276
Springfield, IL 62794-9276
Phone: 217/524-5024
http://www.epa.state.il.us/
IL's hazardous waste regulations are in Title 35 of the Illinois Administrative
Code. For a free copy, call IL EPA Bureau of Land (217/524-3300) or check out
their website at http://www.ipcb.state.il.us/title35/35conten.htm#g.
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Indiana
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal with the addition of certain
chemical munitions wastes (329 IAC 3.1-6-1 through 3).
Hazardous Waste Generator Status: Same as federal (329 IAC 3.1-7-1
incorporates 40 CFR 262 by reference).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Incorporates 40 CFR 261 by
reference (329 IAC 3.1-6-1).
Incorporates 40 CFR 270 by
reference (329 IAC 3.1-13-1).
Incorporates 40 CFR 261 by
reference (329 IAC 3.1-6-1).
Follows EPA interpretation.
Incorporates 40 CFR 266 by
reference (329 IAC 3.1-11-1).
Special Considerations
• LQGs must pay an annual $100 fee to IDEM (329 IAC 3.1-1-14).
• Generators that ship hazardous waste off-site to a TSDF are subject to
biennial reporting requirements (329 IAC 3.1-7-14).
• All spills or releases of hazardous waste must be reported immediately to
IDEM's Office of Environmental Response (329 IAC 3.1-8-3).
• IDEM regulates PCB wastes under separate regulatory program (PCB
Management; 329 IAC 4).
IN Department of Environmental Management (IDEM)
Office of Land Quality
100 N. Senate Ave.
P.O. Box 6015
Indianapolis, IN 46206-6015
Phone: 317/308-3103
http://www.state.in.us/idem/index.html
IN's hazardous waste regulations are in Article 3.1 within Title 329 of the
Indiana Administrative Code (329 IAC 3.1). The regulations can be purchased
from the IN Legislative Services Agency (317/232-9557) or accessed for free on
the Internet at
http://www.state.in.us/idem/olq/regulations_and_laws/swrules.html.
Iowa
Iowa has not received authorization from US EPA to operate its hazardous waste
program in lieu of the federal program. EPA 's hazardous waste program is
enforced by EPA 's Region VII office which is located in Kansas City, KS. To
contact EPA 's Region VII office regarding Iowa hazardous waste issues, call
913/551-7633.
Hazardous Waste Program Description
Definition of "Hazardous Waste": Follows federal program (see 40 CFR 261).
Hazardous Waste Generator Status: Follows federal program (see 40 CFR 261.5
and 262).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion See 40 CFR 261.4.
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Special Considerations
None.
See 40 CFR 270.1.
See 40 CFR 261.6.
Follows EPA interpretation.
See 40 CFR 266.180.
IA Department of Natural Resources
Solid Waste Section
Henry Wallace State Office Building
502 E. 9th St.
DesMoines, IA 50319-0034
Phone: 515/281-4968
http://www.state.ia.us/government/dnr/organiza/epd/index.htm
Iowa has not promulgated hazardous waste regulations.
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Kansas
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal (incorporates 40 CFR 261 by
reference in 28-31-3).
Hazardous Waste Generator Status: Kansas defines three types of generators:
EPA Generators (generate > 1000 kg/month), Kansas Generators (> 25 kg/month
and < 1000 kg/month) and SQGs (< 25 kg/month). See note below; but, for
exact definitions, see 28-31-2(c-e).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Incorporates 40 CFR 261 by
reference (28-31-3).
Incorporates 40 CFR 270 by
reference (28-31-1).
Incorporates 40 CFR 261 by
reference (28-31-3).
Follows EPA interpretation.
Incorporates 40 CFR 266, Subpart
H, by reference (28-3 l-8b).
Special Considerations
• In Kansas, generators of 25 kg to <1000 kg of hazardous waste per month
are subject to regulations that are very similar to EPA's SQG regulations.
Generators of < 25 kg of hazardous waste per month are subject to
regulations like the EPA's CESQG regulations.
• Kansas's satellite accumulation area requirements mandate that waste be
marked "Hazardous Waste."
KS Department of Health and Environment
Bureau of Waste Management
Forbes Field, Building 740
Topeka, Kansas 66620-0001
(785) 296-1600, FAX (785) 296-1592
http://www.kdhe.state.ks.us/waste/
KS's Hazardous Waste Management Standards and Regulations are in Title 28 of
the KS Administrative Regulations (KAR), Article 31 (cited as 28-13). For a free
copy, call KDHE or, an unofficial copy can be accessed for free on the Internet,
check out http://www.kdhe.state.ks.us/pdf/regs/28-31.pdf.
Kentucky
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal with the addition of certain
chemical nerve and blister agents (401 KAR 31).
Hazardous Waste Generator Status: Same as federal (401 KAR 31 and 32).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion See 401 KAR 31:010, Section
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
See 401 KAR 38:010, Section
l(2)(b)(5): provides for permit by
rule if pretreatment standards are
met.
See 401 KAR 31:010, Section
6(3)(a).
See 401 KAR 32:030, Section 6:
allows on-site treatment by
generators if certain conditions
(e.g., notification to the
Department) are met.
See 401 KAR 36:020, Section 6.
Special Considerations
• LQGs and SQGs who treat hazardous waste on site, must pay a $300 annual
fee to the Department (401 KAR 39:110).
KY Department for Environmental Protection (KY DEP)
Division of Waste Management
14 Reilly Road
Frankfort, KY 40601
Phone: 502/564-6716
http://www.nr.state.ky.us/nrepc/dep/waste/dwmhome.htm
KY's hazardous waste regulations are in Chapters 31 to 39 within Title 401 of
the Kentucky Administrative Regulations (401 KAR 31-39). The regulations can
be purchased from KY DEP or the KY Legislative Research Commission
(502/564-8100, x312) or can be accessed for free on the Internet at
http://www.rn.sMe.ky.us/mepc/dep/waste/regs/regeffect.htnrfHW.
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Louisiana
Hazardous Waste Program Description
Definition of "Hazardous Waste": Similar to federal (see LAC 33 :V. Chapter 49).
Hazardous Waste Generator Status: LA's SQG generates less than an average of
100 kg hazardous waste per month and accumulates no more than 1000 kg on site
(see LAC 33:V. Chapter 39). All other generators are subject to LQG
requirements (see LAC 33 :V. Chapter 11).
Regulatory Allowances for On-
0 Domestic Sewage Exclusion
0 Elementary Neutralization
111 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Site Waste Minimization
SeeLAC33:V.105D.l(a).
SeeLAC33:V.305C.6.
DEQ performs case-by-case
review to determine if LAC 33 :V.
Chapter 41 applies (see LAC
33:V.105L).
Follows EPA interpretation and
LAC33:V. 2245E.
SeeLAC33:V.3017.
Special Considerations
• LA has no provisions for CESQGs.
• SQG regulations have no provisions for satellite accumulation; however,
accumulation requirements are minimal (see LAC 33 :V. Chapter 39).
• Generators are subject to initial registration and annual fees (see LAC 33 :V.
Chapter 51).
LA Department of Environmental Quality (DEQ)
Office of Environmental Services
7290 Bluebonnet Dr.
Baton Rouge, LA 70810
Phone: 225/765-0219
http://www.deq.state.la.us/
LA's hazardous waste regulations are in Part V of Title 33 of the Louisiana
Administrative Code (LAC 33 :V). The regulations can be purchased from
DEQ's Legal Division, 225/765-0236, or can be accessed for free on the Internet
at http://www.deq.state.la.us/planning/regs/title33/index.htm.
Maine
Hazardous Waste Program Description
Definition of "Hazardous Waste": Similar to federal but adds PCB wastes (see
Chapter 850).
Hazardous Waste Generator Status: ME has provisions for SQGs (generate < 100
kg/month and accumulate no more than 600 kg hazardous waste and 1 kg acutely
hazardous waste) in Ch. 850 Section 3A(5). Generator requirements are more
stringent than federal; see Chapters 850 and 851.
Regulatory Allowances for On-Site Waste Minimization
M Domestic Sewage Exclusion
0 Elementary Neutralization
111 Recycling
111 Treatment in Accumulation
Containers
111 Small Boilers and Industrial
Furnaces
Applies only to "non-segregable
wastes" (Ch. 850, Sect. 3A4).
Subject to conditions (Ch. 856,
Sect. 61 and 11 A). Sect. 6G allows
laboratories to neutralize corrosive
wastes (only D002) in quantities
less than 0.5 liter in the laboratory
without a permit.
See Ch 850, Section 3A(6).
Abbreviated permit requirements
apply (Ch 856, Sect. 11A4).
Abbreviated permit requirements
apply to treatment in accumulation
tanks (Ch856, Sect. 11 All).
Abbreviated permit requirements
apply to some thermal treatment
(Ch 856, Sect. 11A6).
Special Considerations
• Satellite accumulation provisions are more stringent than federal and include
a requirement for daily inspection (Ch. 851, Sect. 8C).
ME Department of Environmental Protection (DEP)
Bureau of Remediation and Waste Management
State House, Station #17
Augusta, ME 04333-0017
Phone: 207/287-2651
http://janus.state.me.us/dep/home.htm
ME's "Hazardous Waste Management Rules" (Chapters 850 to 857) are available
for free from ME DEP or an unofficial copy can be accessed for free on the
Internet at http://janus.state.me.us/dep/rules.htm.
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Maryland
Hazardous Waste Program Description
Definition of "Hazardous Waste": Similar to federal but MDE adds PCB wastes
and certain chemical warfare agents (see 26.13.02).
Hazardous Waste Generator Status: MDE regulates "SQGs" (requirements are
similar to federal requirements for CESQGs; 26.13.02.05). All other generators
are subject to full regulation except that if < 500 kg of hazardous waste and < 1
kg acute hazardous waste is accumulated on site, then the waste may be
accumulated for up to 180 days (see 26.13.03.05E).
Regulatory Allowances for On-Site Waste Minimization
111 Domestic Sewage Exclusion Domestic sewage mixed with other
waste that passes through a sewer
system to a POTW is not exempt
from regulation as solid waste
(26.13.02.04 A(l)).
See26.13.07.01Aand
26.13.05.01A(3)(g).
See 26.13.02.06.
MD statute prohibits treatment
without a permit (Environment
Article, Annotated Code of MD,
Section 7-232, "Permit
Required").
MD has not yet adopted 40 CFR
266, Subpart H, so EPA's BIF rule
is in effect. However, MD
generators burning hazardous
waste are subject to 26.13.10.02.
Special Considerations
• Generators must maintain inspection logs (26.13.03.05E91(k)).
MD Department of the Environmental (MDE)
Waste Management Administration, Hazardous Waste Program
2500 Broening Highway
Baltimore, MD 21224
Phone: 410/631-3345
http ://www. mde. state. md.us/
MD's hazardous waste regulations are in Title 26 of the Code of Maryland
Regulations (COMAR), Subtitle 13. The regulations can be purchased from
MDE for $20, prepaid. The regulations are not presently available through the
Internet.
0 Elementary Neutralization
0 Recycling
M Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Massachusetts
Hazardous Waste Program Description
Definition of "Hazardous Waste": Waste determination varies from federal but
hazardous waste lists and characteristics are similar to federal (see 310 CMR
30.120 and 30.131-136).
Hazardous Waste Generator Status: MA recognizes LQGs (> 1,000 kg hazardous
waste per month or more than 1 kg acutely hazardous waste), SQGs (100 to 1000
kg hazardous waste per month and < 1 kg acutely hazardous waste) and very
small quantity generators (VSQGs: < 100 kg hazardous waste per month and no
acutely hazardous waste).
Regulatory Allowances for On-Site Waste Minimization
M Domestic Sewage Exclusion
M Elementary Neutralization
111 Recycling
111 Treatment in Accumulation
Containers
111 Small Boilers and Industrial
Furnaces
More restrictive than federal
exclusion (310 CMR 30.104).
Subject to licensing requirements
(310 CMR 30.800).
Subject to permitting requirements
(310 CMR 30.200).
Prohibited by state statute.
Has not adopted 40 CFR 266 or
similar regulations.
Special Considerations
• Satellite accumulation provisions are more stringent than federal (310 CMR
30.354).
• SQGs are limited to accumulating < 2000-kg hazardous waste on-site in
containers.
• MA does not allow SQGs to accumulate waste on-site for 270 days.
• Generators are subject to annual fees (310 CMR 4.03).
MA Department of Environmental Protection (DEP)
Bureau of Waste Prevention
Business Compliance Unit
Hazardous Waste Program
1 Winter St., 8th Floor
Boston, MA 02108
Phone: 617/292-5898
http://www.state.ma.us/dep/
MA's hazardous waste regulations are in Title 310 of the Code of Massachusetts
Regulations (CMR). The regulations can be purchased from the State Bookstore
617/727-2834. The regulations are expected to be available on the Internet in
early 2000.
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Michigan
Hazardous Waste Program Description
Definition of "Hazardous Waste": Similar to federal but adds Michigan-specific
wastes ~ primarily dioxins (see 299.9219).
Hazardous Waste Generator Status: Similar to federal requirements (see
299.9301 for SQGs and LQGs and 299.9205 for CESQGs).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Special Considerations
None.
See 299.9204(l)(a).
See 299.9503(l)(e).
See 299.9206(l)(b).
Subject to certain conditions; see
299.9503(l)(i).
Adopts 40 CFR 266, Subpart H by
reference (see 299.11003(l)(q)).
MI Department of Environmental Quality (DEQ)
Waste Management Division
608 W. Allegan, 1st Floor
P.O. Box 30241
Lansing, MI 48909
Phone: 800/662-9278
http://www.deq.state.mi.us
Mi's hazardous waste regulations are in the Michigan Administrative Code, Rule
299.9101 through 299.11107. A single free copy of the regulations can be
obtained from the Waste Management Division. An unofficial copy of the
regulations can be accessed for free on the Internet at
http://www.state.mi.us/execoff/admincode/depart/deq.htm.
Minnesota
Hazardous Waste Program Description
Definition of "Hazardous Waste": Similar to federal but adds two characteristics:
oxidizers and lethality (7045.0131); and certain listed wastes (e.g., PCBs;
7045.0135).
Hazardous Waste Generator Status: MN recognizes LQGs (> 1,000 kg hazardous
waste per month or > 1 kg acutely hazardous waste), SQGs (100 to 1000 kg
hazardous waste per month and < 1 kg acutely hazardous waste) and very small
quantity generators (VSQGs).
Regulatory Allowances for On-
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Site Waste Minimization
See 7045.0120, Subp. I.E. and
7045.0208 Subp. I.E.
Permit-by-rule; see 7001.0520
Subp 3.C.
Exemption applies to hazardous
waste used as "feedstock;" see
7045.0125, Subp. 5.A.
See 7045.0208 Subp. LA. and
7045.0211.
See 7045.0692 (not similar to 40
CFR 266).
Special Considerations
• Satellite accumulation areas are subject to more stringent requirements
including inspections (7045.0292 Subp. 8).
• VSQGs are subject to substantial requirements (e.g., 7045.0292 Subp. 6).
Those who collect, transport, treat, or store VSQG waste must obtain a
license fromPCA (7045.036).
• SQGs are limited to accumulation of 3000-kg hazardous waste on site
(7045.0.0292).
• Generators are subject to annual fees (7046).
MN Pollution Control Agency (PCA)
Division of Solid and Hazardous Waste
520 N. Lafayette Rd.
St. Paul, MN 55155-4194
Phone: 651/297-8332
http://www.pca.state.mn.us/waste/index.html
MN's hazardous waste regulations are in Chapter 7045 of the MN State Rules.
To order a paper copy of MN's Hazardous Waste Rules, contact Minnesota's
Bookstore at (612) 297-3000 or (800) 657-3757. An unofficial copy of the
regulations can be accessed for free on the Internet at
http://www.pca. state.mn.us/waste/hw_mnrules.html#7045.
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Mississippi
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal. Incorporates 40 CFR 261 by
reference (Part 261).
Hazardous Waste Generator Status: Same as federal. Incorporates 40 CFR 262
by reference (Part 262).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion Incorporates 40 CFR 261 by
reference (Part 261).
Incorporates 40 CFR 270 by
reference (Part 270).
Incorporates 40 CFR 261 by
reference (Part 261).
Follows EPA interpretation.
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Special Considerations
None.
Incorporates 40 CFR 266 by
reference (Part 266).
MS Department of Environmental Quality (MDEQ)
Hazardous Waste Division
P.O. Box 10385
Jackson, MS 39289-0385
Phone: 601/961-5171
http://www.deq.state.ms.us/newweb/homepages.nsf
A single free copy of MS's Hazardous Waste Management Regulations can be
obtained from the Hazardous Waste Division. A copy of the regulations is
available on the Internet at MDEQ's website listed above.
Missouri
Hazardous Waste Program Description
Definition of "Hazardous Waste": Incorporates 40 CFR 261 by reference with
changes (e.g., adds dioxin wastes and modifies F020-F027 listings (25-4.261)).
Hazardous Waste Generator Status: Incorporates 40 CFR 262 by reference with
some changes (2-5.262).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Incorporates 40 CFR 261 by
reference (25-4.261).
See25-7.270(2)(A)3.
Incorporates 40 CFR 261 by
reference (25-4.261). Also, 25-
9.020(2) exempts facilities
recycling < 1000 kg/month from
25-9; however, such facilities must
notify the DNR.
Follows EPA interpretation.
Incorporates 40 CFR 266 by
reference (25-7.266).
Special Considerations
• Waste can remain in satellite accumulation for no more than one year (25-
5.262(2)(C)).
• Central accumulation areas must have containment systems (25-
5.262(2)(C)).
• Generators are subject to annual fees (25-12).
• PCB wastes are regulated by MO DNR (25-13).
MO Department of Natural Resources (DNR)
Office of Pollution Control
Hazardous Waste Program
P.O. Box 176
Jefferson City, MO 65102
Phone: 573/751-3176
http://www.dnr.state.mo.us/homednr.htm
MO's hazardous waste management regulations are in Title 10 of the Code of
State Regulations, Title 25 (10 CSR 25). A hard copy of the regulations can be
purchased from the Secretary of State (573/751-4015). An electronic copy can
be accessed for free on the Internet at http://mosl.sos.state.mo.us/csr/10csr.htm.
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Montana
Hazardous Waste Program Description
Definition of "Hazardous Waste": Waste determination varies from federal but
hazardous waste lists and characteristics are similar to federal (see 17.54,
Subchapter 3).
Hazardous Waste Generator Status: Same as federal (see 17.54, Subchapter 4).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion See 17.54.307.
See 17.54.105.
See 17.54.309.
Follows Epa interpretation.
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Same as 40 CFR 266 (17.54.1112).
Special Considerations
• SQGs and LQGs are subject to annual reporting requirements and annual
fees (17.54.403 and .404, respectively).
• Generators must maintain logbooks detailing hazardous waste generated
(17.54.421(9)).
MT Department of Environmental Quality
Permitting and Compliance Division
Air and Waste Management Bureau
P.O. Box 200901
Helena, MT 59620-0901
Phone: 406/444-3490
http://www.deq.state.mt.us/
MT's hazardous waste regulations are in Title 17 of the Administrative Rules of
Montana (ARM), Chapter 54. A single free copy of the regulations is available
from the Air and Waste Management Bureau. In early 2000, the regulations will
be available on the Internet at the MDEQ site.
Nebraska
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal (see Chapter 3)
Hazardous Waste Generator Status: Same as federal (for CESQGs see Chapter 8;
for SQGs see Chapter 9; and for LQGs see Chapter 10).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
See Chapter 2-008.01.
See Chapter 12-001.03E.
See Chapter 7-005. Chapter 5-
004.01 specifies that Director may
regulate recycling processes on a
case-by-case basis.
Follows EPA interpretation.
Incorporates 40 CFR 266.108 by
reference (Chapter 7-008.03).
Special Considerations
• If a generator is a LQG at any time during the reporting period, then he must
prepare and submit a biennial report (Chapter 4-005.01A).
NE Department of Environmental Quality (NDEQ)
Waste Management Division
Permits and Compliance Section
1200 N. St. Suite 400
P.O. Box 98922
Lincoln, NE 68509-8922
Phone: 402/471-4217 or 402/471-8308 (Compliance Assistance)
http://www.deq.state.ne.us/
NE's hazardous waste regulations are in Title 128 of the Nebraska
Administrative Code (NAC). A single free copy of the regulations is available
from the RCRA Section. An unofficial copy of Title 128 can be accessed for free
on the Internet at http://www.deq.state.ne.us/RuleandR.nsf/Pages/Rules.
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Nevada
Hazardous Waste Program Description
Definition of "Hazardous Waste": Incorporates 40 CFR 261 by reference and
adds wastes such as mixtures containing >10% of a P- or U-listed chemical
(444.8565).
Hazardous Waste Generator Status: Same as federal. Incorporates 40 CFR 262
by reference and makes some modifications (444.8632).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Incorporates 40 CFR 261 by
reference (444.8632).
Incorporates 40 CFR 270 by
reference (444.8632).
Incorporates 40 CFR 261 by
reference (444.8632) and adds a
specific exemption for generators
(444.8455(4.00)).
Follows EPA interpretation.
Incorporates 40 CFR 266 by
reference (444.8632).
Special Considerations
• A generator must include on the label of each hazardous waste container the
EPA hazardous waste number (444.8671).
• A generator who generates more than 100 kilograms of hazardous waste per
month and accumulates hazardous waste on site must maintain a written
record of inspections conducted of containers and tanks (444.8677).
• PCB wastes are regulated by DCNR (444.960).
NV Division of Environmental Protection
Solid Waste Branch, Waste Management Bureau
333 W. Nye Lane
Carson City, NV 89706-0851
Phone: 775/687-4670
http://www.state.nv.us/ndep/
NV's hazardous waste regulations are in Nevada Administrative Code (NAC)
Chapter 444 (Sections 842 through 960). The regulations can be purchased for a
small fee from the Legislative Council Bureau, 775/684-6835, or a copy can be
accessed for free on the Internet at http://www.state.nv.us/ndep/admin/nrs.htm.
New Hampshire
Hazardous Waste Program Description
Definition of "Hazardous Waste": Similar to federal but adds NH listed
hazardous wastes (402); revises definition of corrosivity characteristic to include
non-aqueous solutions (403.04); and adds mixtures of P-listed chemicals and
carcinogens at concentrations exceeding 5 ppm (404.01).
Hazardous Waste Generator Status: NH recognizes SQGs (generally < 100 kg
hazardous waste per month: subject to 508) and a full quantity generators (FQGs;
generally > 100 kg hazardous waste per month or > 1 kg acutely hazardous
waste: subject to 509).
Regulatory Allowances for On-Site Waste Minimization
Domestic Sewage Exclusion
Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
See 401.03(a)(l): only exempts
domestic sewage - not mixtures.
See 351.04(a)(5) and 353.04:
limited permit provisions apply.
The recycling process is exempt
from regulation (802.02(b)), but
aspects of Chapter 800 apply.
Allowed if all generator provisions
in Chapter 500 are met (verbal
interpretation).
Generators who burn hazardous
waste as fuel are subject to 806.05
including notification to DES.
Special Considerations
• Generator storage area provisions include container specifications,
containment requirements, and more (507.01).
• Satellite accumulation area provisions include operator training
requirements, and more (509.03).
• Generators are subject to quarterly reporting and fees (512.02) and FQGs are
subject to annual reporting (512.03).
NH Department of Environmental Services (DES)
Waste Management Division, Hazardous Waste Compliance Section
6 Hazen Dr.
Concord, NH 03302-0095
Phone: 603/271-3644
http://www.des.state.nh.us/descover.htm
NH's Hazardous Waste Rules (Env-Wm Chapters 100 to 1000) are available
from the DES Public Information and Permitting Office for $20 (603/271-2975).
An unofficial copy can be accessed for free on the Internet at
http://www.des.state.nh.us/pub-open.htm.
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New Jersey
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal. Incorporates 40 CFR 261 by
reference (7:26G-5.1).
Hazardous Waste Generator Status: Same as federal. Incorporates 40 CFR 262
by reference (7:26G-6.1).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Incorporates 40 CFR 261 by
reference (7:26G-5.1).
Incorporates 40 CFR 270 by
reference (7:26G-12.1).
Incorporates 40 CFR 261 by
reference (7:26G-5.1).
Follows EPA interpretation.
Incorporates 40 CFR 266 by
reference (7:26G-10.1).
Special Considerations
• Generators submitting biennial reports are subject to fees which vary
depending to the quantity of hazardous waste manifested off-site (7:26G-
3.3).
NJ Department of Environmental Protection (NJDEP)
Division of Solid and Hazardous Waste
401 E. Sate St., P.O. Box 414
Trenton, NJ 08625-0414
Phone: 609/633-1418
http://www.state.nj.us/dep/dshw/
NJ's Hazardous Waste Regulations are in Title 7 of the New Jersey
Administrative Code (NJAC), Chapter 26G. The regulations are available for a
fee from West Publishing Group, 800/808-9378, or can be accessed for free on
the Internet at http://www.state.nj.us/dep/dshw/resource/rules.htm.
New Mexico
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal. Incorporates 40 CFR 261 by
reference (20 NMAC 4.200).
Hazardous Waste Generator Status: Same as federal. Incorporates 40 CFR 262
by reference (20 NMAC 4.300).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0
Treatment in Accumulation
Containers
Small Boilers and Industrial
Furnaces
Incorporates 40 CFR 261 by
reference (20 NMAC 4.200).
Incorporates 40 CFR 270 by
reference (20 NMAC 4.900).
Incorporates 40 CFR 261 by
reference (20 NMAC 4.200).
Must request case-by-case
approval from Department.
Incorporates 40 CFR 266 by
reference (20 NMAC 4.700).
Special Considerations
• Generators must pay "annual business fees" to the Department (20 NMAC
4.3).
NM Environment Department
Water and Waste Management Division
Hazardous Waste and Radioactive Materials Bureau
P.O. Box 26110
Santa Fe, NM 87502-6110
Phone: 505/827-1557
http://www.nmenv.state.nm.us/
NM's Hazardous Waste Management Regulations are in Title 20 of the New
Mexico Administrative Code (NMAC), Chapter 4. A copy of the regulations is
available for a fee from the Bureau or a copy can be downloaded from the
Internet at the Department site listed above.
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New York
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal with the addition of PCB
wastes (6 NYCRR 371).
Hazardous Waste Generator Status: Same as federal (6 NYCRR 372).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion See 6 NYCRR 371. l(e)(l).
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
See 6 NYCRR 373-1. l(d)(l)(xii).
See6NYCRR371.1(g)(3).
See 6 NYCRR 373-1.l(d)(l)(ix).
0 Small Boilers and Industrial
Furnaces
Special Considerations
See 6 NYCRR 374-1.8(i).
SQGs must place waste in secondary containment if they (1) are located
above a sole source aquifer and (2) have accumulated more than 185 gallons
of liquid hazardous waste (6 NYCRR 372.2(a)(8)(iii)(f)).
DEC requires some generators to write waste reduction plans and have the
plans approved by DEC.
Generators in New York must file quarterly returns with the New York State
Department of Taxation and Finance and pay appropriate assessments.
However, if the assessment attributable to a site is $27.00 or less for a
particular quarter, it is not necessary to file a quarterly return for that site or
pay the assessment for that quarter
NY Department of Environmental Conservation (NYDEC)
Division of Solid and Hazardous Materials
50 Wolf Rd.
Albany, NY 12233-7251
Phone: 518/489-8988
http://www.dec.state.ny.us/website/dshm/index.html
NY's hazardous waste management regulations are in 6 NYCRR Parts 370, 371,
372, 373, 374 and 376 (the Part 370 series). A single free copy of the regulations
can be obtained from the Bureau of Program Management, 518/457-0532. The
Business Council of New York Sate has posted the hazardous waste regulations
on the Internet at http://www.bcnys.org/new/pdf/env_rcra.htm.
North Carolina
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal. Incorporates 40 CFR 261 by
reference (13A0106-1-72).
Hazardous Waste Generator Status: Same as federal. Incorporates 40 CFR 262
by reference (13A0107-1-28).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Incorporates 40 CFR 261 by
reference (13A.0106-1-72).
Incorporates 40 CFR 270 by
reference (13A.0113-1-69).
Incorporates 40 CFR 261 by
reference (13A.0106-1-72).
DENR policy by verbal
interpretation (effective 1998).
Incorporates 40 CFR 266 by
reference (13A.0111-1-57).
Special Considerations
• Generators must keep inspection records for 3 years (13A.0107-1-28).
• SQG and LQG pay annual fees: $25 for SQGs and $500 plus tonnage fee for
LQGs(13A.0117-l-01).
• Solid waste landfills cannot accept CESQG (NC Solid Waste regulations).
NC Department of Environmental and Natural Resources (DENR)
Division Waste Management
Hazardous Waste Section
P.O. Box 29603
Raleigh, NC 27611-9603
Phone: 919/733-2178
http://wastenot.enr.state.nc.us/
NC's Hazardous Waste Management Regulations are in Title 15A of the North
Carolina Administrative Code (NCAC), Chapter 13A. A free copy of the
regulations is available from the Hazardous Waste Section. The regulations are
not currently available on the Internet.
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North Dakota
Hazardous Waste Program Description
Definition of "Hazardous Waste": Similar to federal (33-24-2).
Hazardous Waste Generator Status: Same as federal (33-24-02-05 for CESQGs
and 33-24-3 for SQGs and LQGs).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion See 33-24-02-04(l)(a).
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Special Considerations
None.
See 33-24-06-01(2)(b)(5).
See 33-24-02-06.
Per verbal interpretation and 33-
24-03-01(2).
See 33-24-05-533.
ND Department of Health
Division Waste Management
Hazardous Waste Section
P.O. Box 5520
Bismark, ND 58506-5520
Phone: 701/328-5166
http://www.health.state.nd.us/ndhd/environ/wm/index.htm
ND's Hazardous Waste Management Rules are in the North Dakota
Administrative Code (NDAC), Article 33-24. The regulations are available from
the Department at a cost of $40 prepaid. A copy of the regulations can be
accessed for free on the Internet at
http ://www. health, state .nd.us/ndhd/environ/wm/hwp/hwrules. htm
Ohio
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal (see 3745-51-20 through 35).
Hazardous Waste Generator Status: Same as federal (see 3745-51-05 for CESQG
and 3745-52-34 forLQG and SQG).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
See 3745-51-04(A)(1).
See 3745-50-45(C)(5).
See3745-51-06(C)(l).
See 3745-50-45(C)(l) and 3745-
52-34(A) and (D).
OH has not yet adopted 40 CFR
266, Subpart H, so EPA's BIF rule
is in effect. OH has requirements
for incinerators (3745-57-40) and
hazardous waste burned for energy
recovery (3745-58-40).
Special Considerations
None.
OH Environmental Protection Agency (Ohio EPA)
Division Hazardous Waste Management
Lazarus Government Center
P.O. Box 1049
Columbus, OH 43216-1049
614/644-2917
http://www.epa.state.oh.us/
OH's Hazardous Waste Management Rules are in Chapter 3745 of the Ohio
Administrative Code (OAC). A copy of the regulations is available for a fee
from Ohio EPA's Legal Section, 614/644-3037. A copy of the regulations can be
accessed for free on the Internet at
http://www.epa.state.oh.us/dhwm/dhwmrules/indexl.htm.
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Oklahoma
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal. Incorporates 40 CFR 261 by
reference (OAC 252:205-3-2(c)).
Hazardous Waste Generator Status: Same as federal. Incorporates 40 CFR 262
by reference (OAC 252:205-3-2(d)).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Incorporates 40 CFR 261 by
reference (OAC 252:205-3-2(c)).
Incorporates 40 CFR 270 by
reference (OAC 252:205-3-2(0).
Incorporates 40 CFR 261 by
reference (OAC 252:205-3-2(c)).
Follows EPA interpretation.
Incorporates 40 CFR 266 by
reference (OAC 252:205-3-2(h)).
Special Considerations
• SQG and LQG must pay annual fees and LQGs are subject to disposal plan
fees (OAC 252:205-3-2(c)).
• OK Solid Waste Statute prohibits landfills from accepting hazardous waste
from CESQGs.
OK Department of Environmental Quality
Division Hazardous Waste Management
P.O. Box 1677
Oklahoma City, OK 73101-1677
Phone: 405/702-5100
http://www.deq.state.ok.us/
OK's Hazardous Waste Management Regulations are in Title 252 of the
Oklahoma Administrative Code, Chapter 205 (OAC 252:205). A free copy of
the regulations is available from the Division of Hazardous Waste or the
regulations can be accessed for free on the Internet at
http://www.deq.state.ok.us/rules/rulesindex.htm.
Oregon
Hazardous Waste Program Description
Definition of "Hazardous Waste": Incorporates all federal hazardous wastes by
reference and adds certain warfare agent wastes and residues including those
containing > 3% of P-listed chemical or > 10% of U-listed chemical (OAR 340-
101).
Hazardous Waste Generator Status: Same as federal (OAR 340-102).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Incorporates 40 CFR 261 by
reference (OAR 340-100-0002).
Incorporates 40 CFR 270 by
reference (OAR 340-100-0002).
Incorporates 40 CFR 261 by
reference (OAR 340-100-0002).
Follows EPA interpretation.
Incorporates 40 CFR 266 by
reference (OAR 340-100-0002).
Special Considerations
• Generators accumulating in excess of 100 containers, must place the waste in
a storage unit that meets the requirements of 40 CFR 264.175 (OAR 340-
102-0034).
• SQGs and LQGs are subject to quarterly reporting requirements (OAR 340-
102-0041)
• SQGs and LQGs are required to pay fees annually to ORDEQ (OAR 340-
102-0065).
OR Department of Environmental Quality (ORDEQ)
Waste Management and Cleanup Division
Portland, OR 97204
Phone: 503-229-5913
http://www.deq.state.or.us/wmc/hw/hw.htm
OR's hazardous waste regulations are in Chapter 340 of the Oregon
Administrative Rules. For a free copy, call ORDEQ or check out their website at
http://www.deq.state.or.us/wmc/hw/resliboar.html.
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Pennsylvania
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal. However, PA has a special
program for "residual wastes" which include industrial, mining and agricultural
wastes that are not hazardous wastes.
Hazardous Waste Generator Status: Same as federal.
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Incorporates federal citation by
reference (40 CFR 261.4(a)(l)).
Allowed with a permit-by-rule
(25 PA Code 270a.60(b)(l)).
Allowed with a permit-by-rule
(25 PA Code 270a.60(b)(4)).
Allowed with a permit-by-rule
(25 PA Code 270a.60(b)(2)).
Incorporates 40 CFR 266.108 by
reference (25 PA Code 266a.20).
Special Considerations
• CESQGs may not dispose of hazardous or residual waste landfills within the
state (261a.5(b)).
• Any generator that generates more than 1,000 kg hazardous waste in any
month, must prepare a written source reduction strategy (262a.lOO).
PA Department of Environmental Protection (PADEP)
Bureau of Land Recycling and Waste Management
Division of Hazardous Waste Management
P.O. Box 8471
Harrisburg, PA 17105-8471
Phone: 717/787-6239
http ://www. dep. state .pa.us
PA's hazardous waste regulations are in Title 25 of the PA Code, Chapters 260-
270a. For a free copy, call PADEP or check out their website at
http://www.pacode.com/secure/data/025/articleID VII_toc.html.
Rhode Island
Hazardous Waste Program Description
Definition of "Hazardous Waste": Incorporates all federal hazardous wastes by
reference (3.25) and adds several Rhode Island-specific characteristic wastes
(3.53).
Hazardous Waste Generator Status: RIDEM recognizes generators as a single
category (5.00). RIDEM has no provisions for CESQGs or SQGs.
Regulatory Allowances for On-
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
M Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Site Waste Minimization
Provided for in RI Hazardous
Waste Management Act (23-19.1-
5).
See7.01A.3.
Excepts activities listed in 40 CFR
261.6 from permitting (7.01A.2.).
Prohibited (5.07).
RI has not yet adopted 40 CFR
266, Subpart H, so EPA's BIF rule
is in effect. RI specifically excepts
activities listed in 40 CFR 266
from permitting (7.01A.2.).
Special Considerations
• All generators are subject to LQG requirements.
• All hazardous waste containers (except those in satellite accumulation areas)
must be labeled with constituents, waste codes, generator name and address,
date of containerization and more (5.04).
RI Department of Environmental Management (RIDEM)
Office of Waste Management
235 Promenade Street
Providence, RI 02908
Phone: 401/222-2797
http://www.state.ri.us/dem/
RFs Rules and Regulations for Hazardous Waste Management are available for
free from the Office of Waste Management or the regulations can be accessed for
free on the Internet at
http://www.state.ri.us/dern/regs.htnrfWM.
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South Carolina
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal (see 61-79.261).
Hazardous Waste Generator Status: Same as federal (see 61-79-261.5 and 61-
79.262).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion See 61-79.261.4(a)(l).
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
See61-79.270.1(c)(2).
See61-79.261.6(c)(l).
Follows EPA interpretation.
0 Small Boilers and Industrial
Furnaces
See 61-79.266.108.
Special Considerations
• Generators may not stack hazardous waste containers more than two high
(61-79.262.34(a)(5)).
• Certain training requirements apply to personnel at satellite accumulation
areas (61-79.262.34(c)(l)(iii)).
• DHEC has no provision allowing SQGs to accumulate hazardous waste on
site for 270 days (61-79.262.34(f)).
• LQGs are subject to quarterly reporting requirements (61-79.262.41).
SC Department of Health and Environmental Control (DHEC)
Bureau of Land and Waste Management
2600 Bull Street
Columbia, SC 29201
Phone: 803/896-4254
http://www.state.sc.us/dhec/eqc/
SC's Hazardous Waste Management Regulations (R.61-79) can be purchased for
$25 from DHEC's Freedom of Information Office, 803/898-3882. The
regulations can be accessed for free on the Internet at
http://www.state.sc.us/dhec/eqc/ (download files c061d through c061g).
South Dakota
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal. Incorporates 40 CFR 261 by
reference (74:28:22:01).
Hazardous Waste Generator Status: Same as federal. Incorporates 40 CFR 262
by reference (74:28:23:01).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion Incorporates 40 CFR 261 by
reference (74:28:27:01).
Incorporates 40 CFR 270 by
reference (74:28:26:01).
Incorporates 40 CFR 261 by
reference (74:28:22:01).
Follows EPA interpretation.
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Incorporates 40 CFR 266 by
reference (74:28:27:01).
Special Considerations
• Wastes containing polychlorinated biphenyls in concentrations > 50 parts per
million are subject to specific SD regulations (74:28:22:01 and 74:28:31).
SD Department of Environment and Natural Resources (DENR)
Waste Management Program
523 E. Capitol Avenue, Foss Building
Pierre, SD 27505-3181
Phone: 605/773-3153
http://www.state.sd.us/denr/denr.html
SD's hazardous waste regulations are in Administrative Rule of South Dakota
74:28, and federal hazardous waste regulations are adopted by reference. A free
copy of the regulations is available from DENR or the regulations can be
accessed for free on the Internet at
http ://www. state. sd.us/state/legis/lrc/rules/7428. htm.
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Tennessee
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal (see 1200-1-11.02).
Hazardous Waste Generator Status: Same as federal (see 1200-1-11.02(l)(e) and
1200-1-11.03).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion See 1200-1-11.02(l)(d)
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
See 1200-1-1 1.07(l)(b)(4)(iv).
See 1200-1-1 1.02(l)(f)(3).
DEC specifies that the term
"accumulation" includes storage
and treatment. See 1200-1-
11.03(4)(e)(l) and 1200-1-
0 Small Boilers and Industrial
Furnaces
Special Considerations
None.
See 1200-l-11.07(l)(j).
TN Department of Environment and Conservation (DEC)
Division of Solid and Hazardous Waste Management
401 Church Street
L&C Tower, 5th Floor
Nashville, TN 37243-1535
Phone: 615/532-0850
http://www.state.tn.us/environment/
TN Hazardous Waste Management Regulations are contained in "Rules of
Tennessee Department of Environment and Conservation," Chapter 1200-1-11.
A single complimentary copy of the regulations is available to TN generators
from DEC. The regulations can be accessed for free on the Internet at
http://www.state.tn.us/sos/rules/1200/1200-01/1200-01.htm.
Texas
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal; however, TNRCC regulates
various classes of non-hazardous waste (e.g., Class I, II and III: see 335.501
through 515).
Hazardous Waste Generator Status: Similar to federal (see 335.61 through
335.78).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Special Considerations
None.
See 335.1(123), definition of
"solid waste."
See 335.41(d)(l).
See 335.24.
Follows EPA interpretation.
Incorporates 40 CFR 266.108 by
reference. See 335.221(a)(19).
Section 335.6(i) reiterates the one-
time notification requirement.
TX Natural Resource Conservation Commission (TNRCC)
Industrial and Hazardous Waste Permits Section
P.O. Box 13087, MC 129
Austin, TX 78711-3087
Phone: 512/239-6412
http://www.tnrcc.state.tx.us/
TX's Hazardous Waste Management Regulations are in Title 30 of the Texas
Administrative Code, Chapter 335 (30 TAG 335). A single free copy can be
obtained from TNRCC's Publications Office, 512/239-0028. The regulations can
be accessed for free on the Internet at
http ://www. tnrcc. state .tx.us/oprd/rules/indxpdf5. html#3 3 5.
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Utah
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal but adds certain nerve,
military and chemical agents (see R315-2-9 through 11).
Hazardous Waste Generator Status: Same as federal (see R315-2-5 and R315-5-
10).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Special Considerations
None.
SeeR315-2-4(a)(l).
SeeR315-3-3(n)(5).
Incorporates 40 CFR 261.6 by
reference. See R315-2-6.
Follows EPA interpretation. Also,
seeR315-3-3(n)(l).
40 CFR 266, subpart H is
incorporated by reference (see
R315-14-7).
UT Department of Environmental Quality (DEQ)
Division of Solid and Hazardous Waste
P.O. Box 144880
Salt Lake City, UT 84114-4880
Phone: 801/538-6170
http://www.eq.state.ut.us/
UT's Hazardous Waste Management Regulations can be purchased for $15 from
DEQ. The regulations can be accessed for free on the Internet at
http ://www. eq. state .utus/eqshw/hwrules. htm.
Vermont
Hazardous Waste Program Description
Definition of "Hazardous Waste": Similar to federal but modifies characteristic
of corrosivity to include wastes that when mixed with water yield a solution with
a pH <2 or >12.5 (7-205) and adds Vermont-specific listed wastes (e.g., PCBs,
coolants, oils, etc.; 7-211).
Hazardous Waste Generator Status: Same as federal (see 7-305 to 308).
Regulatory Allowances for On-Site Waste Minimization
Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Only applies to wastes mixed with
"household sewage" (7-203 (b)),
but mixture rule provides an
exemption for mixtures subject to
the Clean Water Act (7-203(k)).
See 7-502(c).
See 7-502(k) and 7-605.
Follows EPA interpretation.
See 7-512, refers to 40 CFR 266,
Subpart H.
Special Considerations
• CESQGs are required to obtain an EPA ID number and meet container
management and accumulation area design standards (7-306). Also, CESQG
waste cannot be sent to a landfill unless the facility is certified to accept
CESQG waste.
• LQGs and SQGs must maintain an inventory of waste in "short-term"
storage areas and must inspect areas daily (7-31 l(d)).
• Hazardous waste containers in satellite accumulation areas must be marked
with the words "Hazardous Waste" and other words to identify contents (7-
310(a)(5)).
VT Department of Environmental Conservation
Waste Management Division
103 South Main St., West Building
Waterbury, VT 05671-0404
Phone: 802/241-3888
http ://www. anr. state, vt.us/dec/wmd. htm
VT's Hazardous Waste Management Regulations A single free copy can be
obtained by calling the Waste Management Division. The regulations can be
accessed on the Internet at
http://www.anr.state.vt.us/dec/wastediv/rcra/hazregs/fmalreg/fmalreg.htm
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Virginia
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal. Incorporates 40 CFR 261 by
reference (see 20-60-261).
Hazardous Waste Generator Status: Same as federal. Incorporates 40 CFR 261
and 262 by reference (see 20-60-26land 20-60-262).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Incorporates 40 CFR 261 by
reference (see 20-60-261).
Incorporates 40 CFR 261 by
reference (see 20-60-270 and 20-
60-970B.5).
Incorporates 40 CFR 261 by
reference (see 20-60-261).
Follows EPA interpretation.
Incorporates 40 CFR 266 by
reference (see 20-60-266).
Special Considerations
• Any facility that accepts CESQG waste must have written permission from
DEQ (20-60-261B.5.).
• Generators must notify DEQ 15 days prior to establishing a new hazardous
waste accumulation area subject to 40 CFR 262.34 (20-60-260B.4)
VA Department of Environmental Quality (DEQ)
Waste Division
P.O. Box 10009
Richmond, VA 23240-0009
Phone: 804/698-4199
http://www.deq.state.va.us/
VA's Hazardous Waste Management Regulations are in Title of the VA
Administrative Code, Chapter 20 (9 VAC 20). The regulations can be purchased
for a fee from the West Publishing Group, 800/328-9352. The regulations can be
accessed for free on the Internet at http://www.deq.state.va.us/info/ftp.html.
Washington
Hazardous Waste Program Description
Definition of "Hazardous Waste": Similar to federal but adds Washington-
specific dangerous wastes and extremely hazardous wastes (173-303-080 to 104).
• Hazardous Waste Generator Status: DEC recognizes LQGs and has special
provisions for "small quantity generators" (similar to federal CESQGs, see
173-303-070) and "Special accumulation standards" for generators who
generate > 220 pounds/month and accumulate < 2200 pounds of dangerous
waste on site (173-303-201).
Regulatory Allowances for On-Site Waste Minimization
0
0
0
0
Domestic Sewage Exclusion
Elementary Neutralization
Recycling
Treatment in Accumulation
Containers
Small Boilers and Industrial
Furnaces
See 173-303-071(3)(a)).
Permit-by-rule with conditions
(173-303-802(5)).
See 173-303-120(4).
Allowed with certain conditions
See 173-303-170.
WA has not yet adopted 40 CFR
266, Subpart H, so EPA's BIF rule
is in effect. DEC has implemented
"Special requirements for
dangerous wastes burned for
energy recovery" (173-303-510).
Special Considerations
• On a case-by-case basis, DEC requires that hazardous waste accumulation
areas, including satellite areas, have secondary containment. Also, "new"
(since Sept. 30, 1986) accumulation areas must have secondary containment
(173-303-200).
• Containers/tanks must be marked with words that identify the major risks
associated with waste in the container (173-303-200(l)(d)).
WA Department of Ecology (DEC)
Hazardous Waste and Toxics Reduction Program
P.O. Box 47600
Olympia, WA 98504-7600
Phone: 360/407-6700
http://www.state.sc.us/dhec/eqc/
WA's Dangerous Waste Regulations (Chapter 173-303 WAC) are available for
free from DEC. The regulations are not presently available on the Internet.
137
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West Virginia
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal. Incorporates 40 CFR 261 by
reference (see 33-20-3.1).
Hazardous Waste Generator Status: Same as federal. Incorporates 40 CFR 261
and 262 by reference (see 33-20-3.1 and 33-20-4.1).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Incorporates 40 CFR 261 by
reference (see 33-20-3.1).
Incorporates 40 CFR 270 by
reference (see 33-20-11.1).
Incorporates 40 CFR 261 by
reference (see 33-20-3.1).
DEP must be notified of generator
treatment activities (see 33-20-
4.2.e).
Incorporates 40 CFR 266 by
reference (see 33-20-9.1). Subject
to air quality rules in 45 CSR 25
(see 33-20-7.l.b).
Special Considerations
• CESQGs sending waste off-site must send hazardous waste to permitted
TSDFs or legitimate recycling facilities (see 33-20-3.2).
• CESQGs are subject to notification requirements in Section 4 (see 33-20-
3.2).
WV Division of Environmental Protection (DEP)
Office of Waste Management
1356 Hansford St.
Charleston, WV 25301
Phone: 304/558-5929
www.dep.state.wv.us
WV's Hazardous Waste Management Regulations are in Title 33 of the Code of
State Regulations, Series 20 (33 CSR 20). A copy can be purchased (for a small
copying fee) from the WV Secretary of the State, 304/558-6000. The regulations
can be accessed for free on the Internet at http://www.state.wv.us/csr/.
Wisconsin
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal (see NR605.08 and
NR605.09).
Hazardous Waste Generator Status: DNR recognizes very small quantity
generators (< 100 kg/month; VSG; NR 610.07), SQG (100 to 1000 kg/month;
610.08) and LQG(NR615).
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion
0 Elementary Neutralization
0 Recycling
0 Treatment in Accumulation
Containers
M Small Boilers and Industrial
Furnaces
See NR605.05(l)(o).
See NR630.04(7); some conditions
apply.
See NR630.04(6) and NR625.
See NR630.04(18).
Although WI has not yet adopted
40 CFR 266, Subpart H, so EPA's
BIF rule is in effect, DNR's
facility standards (NR 630) and air
regulations apply.
Special Considerations
• VSQGs are subject to container management and labeling provisions. In-
state facilities must have DNR approval to accept VSQG waste (NR610.07).
• SQGs accumulating at least 1000 kg but not more than 6000 kg of hazardous
waste on site are subject to additional training provisions (NR610.08(l)(v)).
• Generators are subject to manifest fees and annual fees.
• DNR regulates PCB wastes under Chapter 157.
WI Department of Natural Resources (DNR)
Bureau of Waste Management
P.O. Box 7921
Madison, WI 53707-7921
Phone: 608/266-2111
http://www.dnr.state.wi.us/org/aw/wm/index.htm
WFs Hazardous Waste Management Regulations (Environmental Protection
Series, NR 600) can be purchased ($26 + tax) from WI Department of
Administration, Document Sales, 800/362-7253. The regulations can be accessed
on the Internet at
http://www.dnr.state.wi.us/org/aw/wm/information/wiacssh.htm.
138
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Wyoming
Hazardous Waste Program Description
Definition of "Hazardous Waste": Same as federal.
Hazardous Waste Generator Status: Same as federal.
Regulatory Allowances for On-Site Waste Minimization
0 Domestic Sewage Exclusion See Chapter 2, Section l(d)(i)(A).
0 Elementary Neutralization See Chapter 1, Section
0 Recycling
0 Treatment in Accumulation
Containers
0 Small Boilers and Industrial
Furnaces
Special Considerations
None.
See Chapter 2, Section 1 (f);
however, the director retains the
authority to determine what
constitutes sham recycling.
Follows EPA interpretation.
See Chapter 12, Section 8(i).
WY Department of Environmental Quality (DEQ)
Solid and Hazardous Waste Management Division
122 W. 25th St.
Cheyenne, WY 82002
Phone: 307/777-7752
http://deq.state.wy.us/shwd.htm
A single free copy of the "Wyoming Hazardous Waste Rules and Regulations"
can be obtained from the Solid and Hazardous Waste Management Division. The
regulations can be accessed for free on the Internet at
http://soswy.state.wy.us/rules/rules.htm.
139
-------
United States
Environmental Protection
Agency
Solid Waste
and Emergency Response
5305W
EPA530-K-95-001
April
Understanding the
Hazardous Waste Rules
A Handbook for Small
Businesses—1996 Update
.•^WXT^T- - • -«•
^A) Recycled/Recyclable
.<
Printed with soy/canola ink on paper that contains at least 20% recycled fiber
\
-------
TABLE OF CONTENTS
1 INTRODUCTION
iR HAZARDOUS WASTE REGULATIONS APPLY TO YOU
Defining Hazardous Waste
Identifying Your Waste
Finding Your Generator Category
.TONALLY EXEMPT SMALL QUANTITY GENERATORS
REQUIREMENTS FOR SMALL QUANTITY GENERATORS
Obtaining an EPA Identification Number
Managing Hazardous Waste On Site
Accumulating Your Waste
Treating Your Waste to Meet the Land Disposal Restrictions
Preventing Accidents
Responding to Emergencies
Shipping Waste Ofif Site
Selecting a Treatment, Storage, and Disposal Facility
Labeling Waste Shipments
Preparing Hazardous Waste Manifests
Land Disposal Restrictions Reporting Requirements
Export Notification
18 SUMMARY OF REQUIREMENTS FOR LARGE QUANTITY GENERATORS
19 WHERE TO GET M
Appendix A: State Hazardous Waste Management Agencies
Appendix B: EPA and Other Federal Resource Centers
Appendix C: EPA Regional Contacts
-------
INTRODUCTION
Does your business generate
hazardous waste? Many small
businesses do. If you need help
understanding which federal haz-
ardous waste management regulations
apply to your business, this handbook
is for you. It has been prepared by the
U.S. Environmental Protection
Agency (EPA) to help small business
owners and operators understand how
best to comply with federal hazardous
waste management regulations. This
handbook provides an overview of the
regulations to give you a basic under-
standing of your responsibilities. It is
not a complete description of the
hazardous waste management require-
ments and should not be used as a
substitute for the actual regulations.
All of the federal hazardous waste
regulations are located in Title 40 of
the Code of Federal Regulations
(CFR), Parts 260 to 299-
EPA defines three categories of haz-
ardous waste generators based upon
the quantity of hazardous waste they
generate per month:
(1) Conditionally exempt small
quantity generators (CESQGs),
which generate less than 220 Ibs
(100 kg) per month.
(2) Small quantity generators
(SQGs), which generate between
220 Ibs (100kg) and 2,200
(1,000kg) per month.
(3) Large quantity generators
(LQGs), which generate more
than 2,200 Ibs (1,000kg) per
month.
Each category of generator must
comply with the hazardous waste
rules specific to that category. This
handbook is intended primarily for
businesses that generate a small
quantity of hazardous waste (SQGs
and CESQGs) to help them learn
about regulations that apply to
them.
This handbook only explains the fed-
eral requirements for hazardous waste
management. Many states have their
own hazardous waste regulations
based on the federal hazardous waste
regulations. In some of these states,
the requirements are the same as the
federal standards and definitions.
Other states, however, have devel-
oped more stringent requirements
than the federal program. If this is
the case in your state, you must
comply with the state regulations. To
become familiar with your state's
requirements, consult your state
hazardous waste agency listed on
pages 19-23-
This handbook provides a general
overview of the hazardous waste
generator regulations and should not
be used as a substitute for the actual
requirements.
TIP
You can look up unfamiliar
words or phrases on a list of
definitions found on the inside
back cover of this booklet.
FOR MORE
INFORMATION
If you have questions
about any part of this
book, or the federal
hazardous waste
regulations, call the
RCRA Hotline at
703 412-9810 or TDD
703 412-3323 in the
Washington, DC, area
or at 800 424-9346 or
TDD 800 533-7672
from other locations.
-------
DECIDING
WHETHER
HAZARDOUS
WASTE
REGULATIONS
APPLY TO YOU
Federal hazardous waste
management regulations
apply to most businesses
that generate hazardous
waste. To determine if
these regulations apply to
your business, you must
first determine if you even
generate hazardous waste.
Determine if you
generate hazardous
waste in the first place.
Measure the amount of
hazardous waste that
you produce per
month.
Determine your
generator category to
learn the management
reguirements that apply
to you.
Defining Hazardous Waste
A waste is any solid, liquid, or
contained gaseous material that
is discarded by being disposed of,
burned or incinerated, or recycled.
(There are some exceptions for
recycled materials.) It can be the by-
product of a manufacturing process or
simply a commercial product that you
use in your business—such as a clean-
ing fluid or battery acid—that is
being disposed of. Even materials that
are recyclable or can be reused in
some way (such as burning used oil
for fuel) may be considered waste.
Hazardous waste can be one of two
types:
• Listed waste. Your waste is considered
hazardous if it appears on one of four
lists published in the Code of Federal
Regulations (40 CFRPart 261).
Currently, more than 400 wastes are
listed. Wastes are listed as hazardous
because they are known to be harmful
to human health and the environment
when not managed properly.
Even when managed properly, some
listed wastes are so dangerous that
they are called acutely hazardous
wastes. Examples of acutely hazardous
wastes include wastes generated from
some pesticides that can be fatal to
humans even in low doses.
• Characteristic wastes. If your
waste does not appear on one of
the hazardous waste lists, it still
might be considered hazardous if it
demonstrates one or more of the
following characteristics:
| It catches fire under certain con-
ditions. This is known as an
ignitable waste. Examples are
paints and certain degreasers
I and solvents.
TIP
One way to help determine if
your waste exhibits a char-
acteristic is to check the Material
Safety Data Sheet (MSDS) that
comes with all products contain-
ing hazardous materials. In
addition, your national trade asso-
ciation or its local chapter might
be able to help you.
I It corrodes metals or has a very
high or low pH. This is known as
a corrosive waste. Examples are
rust removers, acid or
alkaline cleaning fluids,
and battery acid.
| It is unstable and explodes or
produces toxic fumes, gases, and
vapors when mixed with water or
under other conditions such as
heat or pressure. This is known as
a reactive waste. Examples are
certain cyanides or sulfide-bearing
wastes.
| It is harmful or fatal when ingest-
ed or absorbed, or it leaches toxic
chemicals into the soil or ground
water when disposed of on land.
This is known as a toxic waste.
Examples are wastes that con-
tain high concentrations of
heavy metals, such as
cadmium, lead, or mercury.
You can determine if your waste is
toxic by having it tested using the
Toxicity Characteristic Leaching
Procedure (TCLP), or by simply
knowing that your waste is hazardous
or that your processes generate haz-
ardous waste.
-------
Identifying Your Waste
To help you identify some of the waste streams com-
mon to your business, consult the table below to find
a list of typical hazardous wastes generated by small busi-
nesses. Use the insert in the middle of this handbook for a
more detailed listing of the EPA waste codes associated
with these waste streams to determine if your waste is haz-
ardous. Commercial chemical products that are discarded
might also become hazardous waste. For a complete listing
of hazardous waste codes, consult with 40 CFR Part 261.
If your waste is hazardous, you will need to manage it
according to appropriate federal regulations.
TYPICAL HAZARDOUS WASTE GENERATED BY SA/IALL BUSINESSES
TYPE OF BUSINESS HOW GENERATED
TYPICAL
TYPES OF WASTES
WASTE CODES
Drycleaning and
Laundry Plants
Commercial drycleaning processes
Still residues from solvent distilla- D001, D039,
tion, spent filter cartridges, cooked F002
powder residue
Furniture/Wood
Manufacturing and
Refinishing
Wood cleaning and wax removal, refinish-
ing/stripping, staining, painting, finishing,
brush cleaning and spray brush cleaning
Ignitable wastes, toxic wastes,
solvent wastes, paint wastes
D001, F001-F005
Construction
Paint preparation and painting, carpentry
and floor work, other specialty contracting
activities, heavy construction, wrecking and
demolition, vehicle and equipment mainte-
nance for construction activities
Ignitable wastes, toxic wastes, D001, D002,
solvent wastes, paint wastes, used F001-F005
oil, acids/bases
Laboratories
Diagnostic and other laboratory testing
Spent solvents, unused reagents, D001, D002,
reaction products, testing samples, D003, F001-
contaminated materials F005, U211
Vehicle Maintenance
Degreasing, rust removal, paint preparation,
spray booth, spray guns, brush cleaning,
paint removal, tank cleanout, installing lead-
acid batteries
Acids/bases, solvents, ignitable D001, D002,
wastes, toxic wastes, paint wastes, D006, D008,
batteries F001-F005
Printing and Allied
Industries
Plate preparation, stencil preparation for screen
printing, photoprocessing, printing, cleanup
Acids/bases, heavy metal wastes,
solvents, toxic wastes, ink
D002, D006,
D008, F001-F005
Equipment Repair
Degreasing, equipment cleaning, rust
removal, paint preparation, painting, paint
removal, spray booth, spray guns, and brush
cleaning.
Acids/bases, toxic wastes, ignitable
wastes, paint wastes, solvents
D001, D002,
D006, D008,
F001-F005
Pesticide End-
Users/Application
Services
Pesticide application and cleanup
Used/unused pesticides, solvent D001, F001-
wastes, ignitable wastes, contaminat- F005, U129,
ed soil (from spills), contaminated U136, P094,
rinsewater, empty containers P123
Automobile engine and body repair, metal-
working, graphic arts-plate preparation,
woodworking
Ignitable wastes, solvent wastes,
acids/bases, paint wastes
Educational and
Vocational Shops
D001, D002,
F001-F005
-------
Finding Your Generator
Category
Once you know that you gener-
ate hazardous waste, you need
to measure the amount of waste you
produce per month. The amount of
hazardous waste you generate deter-
mines your generator category.
Many hazardous wastes are liquids
and are measured in gallons—not
pounds. In order to measure your liq-
uid wastes, you will need to convert
from gallons to pounds. To do this,
you must know the density of the liq-
uid. A rough guide is that 30 gallons
(about half of a 55-gallon drum) of
waste with a density similar to water
Is YOUR
GENERATOR
CATEGORY?
Depending on your type of
business, you might be
regulated under different rules
at different times. If, for exam-
ple, you generate less than 220
Ibs (100 kg) of hazardous waste
during the month of June, you
would be considered a CESQG
for June and your June waste
would be subject to the
hazardous waste management
requirements for CESQGs. If,
in July, you generate between
220 and 2,200 Ibs (100 kg to
1,000 kg) of hazardous waste,
your generator status would
change, and you would be con-
sidered an SQG for July. Your
July waste would then be
subject to the management
requirements for SQGs.
weighs about 220 pounds; 300 gal-
lons of a waste with a density similar
to water weighs about 2,200 Ibs
(1,000kg).
EPA has established three generator
categories, as follows, each of which is
regulated differently:
CESQGs:
Conditionally Exempt Small
Quantity Generators: You are con-
sidered a CESQG if you generate no
more than 220 Ibs (100 kg) per
month of hazardous waste. You are
exempt from hazardous waste man-
agement regulations provided that
you comply with the basic require-
ments described on page 6.
SQGs:
Small Quantity Generators: You are
considered an SQG if you generate
between 220 and 2,200 Ibs (100
and 1,000 kg) per month of haz-
ardous waste. SQGs must comply
with EPA requirements for manag-
ing hazardous waste described in
this document.
TIP
In many cases, small businesses
that fall into different genera-
tor categories at different times
choose to satisfy the more
stringent requirements to simpli-
fy compliance.
LQGs:
Large Quantity Generators: You are
considered an LQG if you generate
more than 2,200 Ibs (1,000 kg) per
month of hazardous waste. LQGs
must comply with more extensive
hazardous waste rules than those sum-
marized in this handbook. See page
18 for an overview.
If you are a CESQG and you generate
no more than 2.2 Ibs (1 kg) of acute-
ly hazardous waste (or 220 Ibs (100
kg) of acutely hazardous waste spill
residues) in a calendar month, and
never store more than that amount
for any period of time, you may man-
age the acutely hazardous waste
according to the CESQG require-
ments. If you generate more than 2.2
Ibs (1kg) of acutely hazardous waste,
you must manage it according to the
LQG requirements.
-------
Do You MEASURE TO DETERMINE
YOUR GENERATOR CATEGORY?
DO MEASURE:
All quantities of listed and charac-
teristic hazardous wastes that are:
• Accumulated on the property for
any period of time before disposal
or recycling. (Dry cleaners, for
example, must count any residue
removed from machines, as well
as spent cartridge filters.)
• Packaged and transported away
from your business.
• Placed directly in a regulated
treatment or disposal unit at your
place of business.
• Generated as still bottoms or
sludges and removed from
product storage tanks.
DO NOT MEASURE:
Wastes that:
• Are specifically exempted from
counting. Examples include
lead-acid batteries that will be
reclaimed, scrap metal that will be
recycled, used oil managed under
the used oil provisions of 40 CFR
279, and universal wastes (e.g.,
batteries, pesticides, and
thermostats) managed under 40
CFR 273-
• Might be left in the bottom of
containers that have been
thoroughly emptied through
conventional means such as
pouring or pumping.
• Are left as residue in the bottom
of tanks storing products, if the
residue is not removed from the
product tank.
• Are reclaimed continuously on
site without storing prior to
reclamation, such as drycleaning
solvents.
Are managed in an "elementary
neutralization unit," a "totally
enclosed treatment unit," or a
"wastewater treatment unit,"
without being stored first. (See
definitions for an explanation of
these types of units.)
Are discharged directly to publicly
owned treatment works (POTWs)
without being stored or accumulat-
ed first. This discharge to a POTW
must comply with the Clean Water
Act. POTWs are public utilities,
usually owned by the city, county,
or state, that treat industrial and
domestic sewage for disposal.
Have already been counted once
during the calendar month, and
are treated on site or reclaimed in
some manner, and used again.
Are regulated under the universal
waste rule or have other special
requirements. The federal regulations
contain special, limited requirements
for managing certain commonly
generated wastes. These wastes can
be managed following the less bur-
densome requirements listed below
instead of the usual hazardous waste
requirements. Check with your
state agency to determine if your
state has similar regulations.
Used oil—40 CFR Part 279
Lead-acid batteries that are
reclaimed—40 CFR Part 266,
Subpart G
Scrap metal that is recycled—40
CFR 261.6 (a) (3)
Universal wastes (e.g., certain
batteries, recalled and collected
pesticides, mercury-containing
thermostats)—40 CFR Part 273
-------
REQUIREMENTS
FOR
CONDITIONALLY
EXEMPT SMALL
QUANTITY
GENERATORS
If you generate no more
than 220 Ibs (100kg) of
hazardous waste per month,
you are a Conditionally
Exempt Small Quantity
Generator (CESGQG). You
must comply with three
basic waste management
requirements to remain
exempt from the full
hazardous waste regulations
that apply to generators of
larger quantities (SQGs and
LQGs).
(Note: there are different
quantity limits for acutely
hazardous waste.)
Identify your hazardous
waste.
Comply with storage
quantity limits.
Ensure proper treatment
and disposal of your
waste.
First, you must identify all haz-
ardous waste that you generate.
Second, you may not store more than
2,200 Ibs (1,000 kg) of hazardous
waste on site at any time. Finally, you
must ensure delivery of your haz-
ardous waste to an offsite treatment
or disposal facility that is one of the
following, or, if you treat or dispose
of your hazardous waste on site, your
facility also most be:
• A state or federally regulated
hazardous waste management treat-
ment, storage, or disposal facility.
• A facility permitted, licensed, or
registered by a state to manage
municipal or industrial solid waste.
• A facility that uses, reuses, or
legitimately recycles the waste (or
treats the waste prior to use, reuse,
or recycling).
• A universal waste handler or desti-
nation facility subject to the
universal waste requirements of 40
CFR Part 273- (Universal wastes
are wastes such as certain batteries,
recalled and collected pesticides, or
mercury-containing thermostats.)
STATE
REQUIREMENTS
Some states have additional
requirements for CESQGs.
For example, some states require
CESQGs to follow some of the
SQG requirements such as obtain-
ing an EPA identification number,
or complying with storage stan-
dards. See page 10 for SQG
storage requirements.
Suggestion:
It's a good idea to call the appropriate
state agency to verify that the
treatment, storage, and disposal facili-
ty (TSDF) you have selected has any
necessary permits, etc. You also may
want to see that the facility fits into
one of the above categories. (It's a
good idea to document such calls for
your records.)
-------
SQGs
OBTAINING
AN ERA
IDENTIFICATION
NUMBER
If your business generates
between 220 Ibs (100kg)
and 2,200 Ibs (1,000kg) of
hazardous waste per
month, you are an SQG,
and you must obtain and
use an EPA Identification
Number. EPA and states use
these 12-character numbers
to monitor and track haz-
ardous waste activities. You
will need to use your
identification number when
you send waste off site to
be managed.
Call your state agency
to determine if you
need an EPA identifica-
tion number.
If you do, obtain a copy
of EPA Form 8700-12.
Fill in the form com-
pletely.
Send the form to your
STATE hazardous waste
contact.
Io obtain an EPA ID number, you
should:
Call or write your state hazardous
waste management agency or the
hazardous waste division of your
EPA Regional office and ask for a
copy of EPA Form 8700-12,
"Notification of Hazardous Waste
Activity." (State and EPA Regional
offices are listed on pages 19-25-)
You will be sent a booklet that con-
tains a form with instructions and
those portions of the regulations that
will help you identify your waste. A
sample copy of a completed notifica-
tion form is shown on pages 8-9-
(Note: A few states use a form that is
different from the one shown. Your
state agency will
send you the
appropriate form to
complete.)
Fill in the form as shown in the
example. To complete Item IX of the
form, you will need to identify your
hazardous waste by its EPA
Hazardous Waste Code. A list of
common hazardous wastes and their
waste codes can be found on the
insert in this handbook; for a com-
plete list of waste codes, you should
consult 40 CFR Part 261, or call
your state or regional EPA office or
the RCRA Hotline. The form you
receive from your state might con-
tain an additional sheet that provides
more space for waste codes.
Complete one copy of the form for
each business site where you gener-
ate or handle hazardous waste. Each
site will receive its own EPA |
Identification Number.
Make sure you sign the
certification in Item X.
Send the completed form to your
state hazardous waste contact. This
address is listed in the information
booklet that
you will receive
with the form.
EPA records the information on the
form and assigns an EPA
Identification Number to the site
identified on your form. The EPA
number stays with the property when
ownership changes. If you move your
business, you must notify EPA or the
state of your new location and submit
a new form. If another business previ-
ously handled hazardous waste at this
location and obtained an EPA
Identification Number, you will be
assigned the same number after you
have notified EPA that you have
moved to this location. Otherwise,
EPA will assign you a new identifica-
tion number.
-------
SQGs
SAMPLE TMOTIFICATION OF REGULATED WASTE ACTIVITY" FORM
nmmmm pttak or typa mth JLJTC typa jl J etnraetara £•• irer-; n
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-------
SQGs
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-------
SQGs
MANAGING
HAZARDOUS
WASTE ON SITE
Most small businesses
accumulate some
hazardous waste on site for
a short period of time and
then ship it off site to a
treatment, storage, or
disposal facility (TSDF).
Accumulate wastes
according to limits
established by EPA for
SQGs.
Follow the storage and
handling procedures
reguired by EPA for
SQGs.
Follow EPA reguire-
ments for eguipment
testing and mainte-
nance, access to
communications or
alarms, aisle space, and
emergency arrange-
ments with local
authorities.
Accumulating Your Waste
Accumulating hazardous waste on
site can pose a threat to human
health and the environment, so you
may only keep it for a short time with-
out a permit. Before shipping the waste
for disposal or recycling, you are
responsible for its safe management,
which includes safe storage, safe treat-
ment, preventing accidents, and
responding to emergencies in accor-
dance with federal regulations.
SQGs can accumulate no more than
13,228 Ibs (6,000 kg) of hazardous
waste on site for up to 180 days with-
out a permit. You can accumulate this
amount of waste for up to 270 days if
you must transport it more than 200
miles away for recovery, treatment, or
disposal. Limited extensions may be
granted by the state director or the
regional EPA administrator. If you
exceed these limits, you are considered a
TSDF and must obtain an operating
permit. Special storage requirements
apply to liquid hazardous wastes con-
taining polychlorinated biphenyls
(PCBs).
SQGs must accumulate waste in tanks
or containers, such as 55-gallon
drums. Your storage tanks and con-
tainers must be managed according to
EPA requirements summarized below:
TIP
It is a good practice never to mix
wastes. Mixing wastes can create
an unsafe work environment and
lead to complex and expensive
cleanups and disposal.
For containers, you must:
• Label each container with the words
"HAZARDOUS WASTE," and
mark each container with the date
the waste was generated.
• Use a container made of, or lined
with, a material that is compatible
with the hazardous waste to be
stored. (This will prevent the waste
from reacting with or corroding the
container.)
• Keep all containers holding haz-
ardous waste closed during storage,
except when adding or removing
waste. Do not open, handle, or
store (stack) containers in a way
that might rupture them, cause
them to leak, or otherwise fail.
• Inspect areas where containers are
stored at least weekly. Look for
leaks and for deterioration caused
by corrosion or other factors.
• Maintain the containers in good
condition. If a container leaks, put
the hazardous waste in another con-
tainer, or contain it in some other
way that complies with EPA
regulations.
• Do not mix incompatible wastes or
materials unless precautions are
taken to prevent certain hazards.
-------
SQGs
\X#\STE MINIMIZATION:
THE KEY TO BETTER \XMsTE MANAGEMENT
The easiest and most cost-effective way of managing any waste is not to generate it in the first place. You can
decrease the amount of hazardous waste your business produces by developing a few "good housekeeping"
habits. Good housekeeping procedures generally save businesses money, and they prevent accidents and waste. To
help reduce the amount of waste you generate, try the following practices at your business.
Do not mix wastes. Do not mix nonhazardous
waste with hazardous waste. Once you mix
nonhazardous waste with hazardous waste, you may
increase the amount of hazardous waste created, as
the whole batch may become hazardous. Mixing
waste can also make recycling very difficult, if not
impossible. A typical example of mixing wastes
would be putting nonhazardous cleaning agents in a
container of used hazardous solvents.
Recycle and reuse manufacturing materials. Many
companies routinely put useful components back
into productive use rather than disposing of them.
Items such as oil, solvents, acids, and metals are
commonly recycled and used again. In addition,
some companies have taken waste minimization
actions such as using fewer solvents to do the same
job, using solvents that are less toxic, or switching to
a detergent solution.
Change materials, processes, or both. Businesses
can save money and increase efficiency by replacing
a material or a process with another that produces
less waste. For example, you could use plastic blast
media for paint stripping of metal parts rather than
conventional solvent stripping.
Safely store hazardous products and containers.
You can avoid creating more hazardous waste by
preventing spills or leaks. Store hazardous product
and waste containers in secure areas, and inspect
them frequently for leaks. When leaks or spills
occur, materials used to clean them up also become
hazardous waste.
-------
SQGs
For tanks, you must:
• Label each tank with the words
"HAZARDOUS WASTE."
• Store only waste that will not cause
the tank or the inner liner of the
tank to rupture, leak, corrode, or
fail.
• Equip tanks that have an automatic
waste feed with a waste feed cutoff
system, or a bypass system for use
in the event of a leak or overflow.
• Inspect discharge control and mon-
itoring equipment and the level of
waste in uncovered tanks at least
once each operating day. Inspect
the tanks and surrounding areas for
leaks or other problems (such as
corrosion) at least weekly.
Use the National Fire Protection
Association's (NFPA's) buffer zone
requirements for covered tanks
containing ignitable or reactive
wastes. These requirements specify
distances considered to be safe
buffer zones for various ignitable or
reactive wastes. You can reach the
NFPA at 617 770-3000.
Do not mix incompatible wastes or
materials unless precautions are
taken to prevent certain hazards.
Do not place ignitable or reactive
wastes in tanks unless certain
precautions are taken.
Provide at least two feet (60 cen-
timeters) of freeboard (space at the
top of each tank) in uncovered
tanks, unless the tank is equipped
with a containment structure, a
drainage control system, or a stand-
by tank with adequate capacity.
Treating Your Waste to
Meet the Land Disposal
Restrictions (LDRs)
Most hazardous wastes may not
be land disposed unless they
meet "treatment standards." The Land
Disposal Restrictions (LDR) program
requires that the waste is treated to
reduce the hazardous constituents to
levels set by EPA, or that the waste is
treated using a specific technology. It
is your responsibility to ensure that
your waste is treated to meet LDR
treatment standards before it is land
disposed. (See page 17 for a descrip-
tion of required LDR notices.) Most
SQGs probably will have their desig-
nated TSDF do this treatment. If you
choose to treat your waste yourself to
meet LDR treatment standards, there
are additional requirements including
waste analysis plans, notifications, and
certifications. To learn about these
requirements call the RCRA Hotline,
your state agency, or EPA Regional
office, and consult 40 CFR Part 268.
-------
SQGs
Preventing Accidents
Whenever you store hazardous
waste on site, you must mini-
mize the potential risks from fires,
explosions, or other accidents.
All SQGs that store hazardous waste
on site must be equipped with:
• An internal communications or
alarm system capable of providing
immediate emergency instruction
(voice or signal) to all personnel.
• A device, such as a telephone
(immediately available at the scene
of operations) or a hand-held, two-
way radio, capable of summoning
emergency assistance from local
police and fire departments or
emergency response teams.
• Portable fire extinguishers, fire con-
trol devices (including special
extinguishing equipment, such as
that using foam, inert gas, or dry
chemicals), spill control materials,
and decontamination supplies.
• Water at adequate volume and
pressure to supply water hose
streams, foam-producing equip-
ment, automatic sprinklers, or
water spray systems.
IF You THINK You HAVE AIM EMERGENCY,
IMMEDIATELY CALL THE NATIONAL
RESPONSE CENTER AT 800 424-8802.
In the event of a fire, explosion, or other release of hazardous waste
that could threaten human health outside the facility, or if you think
that a spill has reached surface water, call the National Response Center
to report the emergency. The Response Center will evaluate the situation
and help you make appropriate emergency decisions. In many cases, you
will find that the problem you faced was not a true emergency, but it is
better to call if you are not sure. Stiff penalties exist for failing to
report emergencies.
You must test and maintain all equip-
ment to ensure proper operation.
Allow sufficient aisle space to permit
the unobstructed movement of per-
sonnel, fire protection equipment,
spill control equipment, and deconta-
mination equipment to any area of
facility operation. Attempt to secure
arrangements with fire departments,
police, emergency response teams,
equipment suppliers, and local hospi-
tals, as appropriate, to provide services
in the event of an emergency. Ensure
that personnel handling hazardous
waste have immediate access to an
alarm or emergency communications
device.
Responding to Emergencies
You must be prepared for an emer-
gency at your facility. One way is
to develop a contingency plan. A con-
tingency plan usually answers a set of
"what if" questions. For example:
"What if there is a fire in the area
where hazardous waste is stored?" or
"What if I spill hazardous waste, or
one of my hazardous waste containers
leaks?" Although EPA does not
require SQGs to develop a written
contingency plan, in case of a fire,
explosion, or toxic release, having
such a plan would provide an orga-
nized and coordinated course of
action. EPA does require SQGs to
establish basic safety guidelines and
response procedures to follow in the
event of an emergency.
Worksheets 1 and 2 (on page 14) can
help you set up these procedures. The
information on Worksheet 1 must be
posted near your phone. You must
ensure that employees are familiar
with these procedures.
-------
SQGs
FILL IN AND POST THIS INFORMATION NEXT TO YOUR TELEPHONE.
WORKSHEET 1
I
EMERGENCY RESPONSE INFORMATION
Emergency Coordinator
Name:
Spill Control Materials
Location(s):
Telephone^
Fire Extinguisher
Location(s):
Fire Alarm (if present)
Location(s):
Fire Department
Telephone:
WORKSHEET 2
FILL IN AND POST THIS INFORMATION NEXT TO YOUR TELEPHONE. MAKE
SURE ALL EMPLOYEES READ AND ARE FAMILIAR WITH ITS CONTENTS.
EMERGENCY RESPONSE PROCEDURES
In the event of a spill:
Contain the flow of hazardous waste
to the extent possible, and as soon as
is possible, clean up the hazardous
waste and any contaminated materi-
als or soil.
In the event of a fire:
Call the fire department and, if safe,
attempt to extinguish the fire using a
fire extinguisher.
In the event of a fire, explosion, or
other release that could threaten
human health outside the facility,
or if you know that the spill has
reached surface water:
Call the National Response Center at
its 24-hour number (800 424-8802).
Provide the following information:
Our company name:
Our address:
Our U.S. EPA identification number:
Date of accident
Time of accident
Type of accident (e.g., spill or fire)
Quantity of hazardous waste involved
Extent of injuries, if any
Estimated quantity and disposition of recovered materials, if any
-------
SQGs
SHIPPING WASTE
OFF SITE
When shipping waste off
site, SQGs must follow
certain procedures that are
designed to ensure safe
transport and proper
management of the waste.
Package, label, and
mark your shipment,
and placard the vehicle
in which your waste is
shipped as specified in
DOT regulations.
Prepare a hazardous
waste manifest to
accompany your
shipment.
Include a notice and
certification with each
waste shipment.
Ensure the proper
management of any
hazardous waste you
ship (even when it is
no longer in your
possession).
Selecting a TSDF
SQGs may send their waste only to
a regulated TSDF or recycler.
Most regulated TSDFs and recyclers
will have a permit from the state or
EPA. Some, however, may operate
under other regulations that do not
require a permit. Check with the
appropriate state authorities to be sure
the facility you select has any neces-
sary permits. All TSDFs and recyclers
must have EPA identification
numbers.
Labeling Waste Shipments
SQGs must properly package,
label, and mark all hazardous
waste shipments, and placard the vehi-
cles in which these wastes are shipped
following Department of
Transportation (DOT) regulations.
Most small businesses use a commer-
cial transporter to ship hazardous
waste. These transporters can advise
you on specific requirements for plac-
arding, labeling, marking, and
packaging; however, you remain
responsible for compliance. For addi-
tional information, consult the DOT
regulations (49 CFR Parts 172 and
173), or call the DOT hazardous
materials information line at 202 366-
4488.
Federal regulations allow you to trans-
port your own hazardous waste to a
designated TSDF provided that you
comply with DOT rules. Some states,
however, do not allow this practice.
Call DOT and your state hazardous
waste manage-
ment agency
(see page 19)
regarding
applicable
regulations.
-------
SQGs
SELECTING A TRANSPORTER OR
TSDF/RECYCLER
It is important to choose your transporter and your TSDF carefully
since you remain responsible for the proper management of your
hazardous waste even after it has left your site.
For help in choosing a transporter or TSDF, check with the following
sources:
• References from business colleagues who have used a specific
hazardous waste transporter or TSDF.
• Trade associations for your industry that might keep a file on
companies that handle hazardous waste.
• The Better Business Bureau or Chamber of Commerce in theTSDF's
area, which might have a record of any complaints registered against a
transporter or a facility.
• Your state hazardous waste management agency or EPA Regional
office, which can tell you whether the transporter or TSDF has a U.S.
EPA identification number and a permit, if required.
Preparing Hazardous Waste
Manifests
A hazardous waste manifest must
accompany all hazardous waste
that is shipped off site. A hazardous
waste manifest is a multipart form
designed to track hazardous waste
from generation to disposal. It will
help you to track your waste during
shipment and make sure it arrives at
the proper destination. If you send
waste to a recycling facility, you may
be able to use a tolling agreement
instead of a manifest. A tolling agree
ment is a "closed-loop" arrangement
whereby a generator contracts with a
recycling company to reclaim its haz-
ardous waste and
return it as a recycled
product, thereby
avoiding disposal. A
copy of the contract
must be kept on file for three years
after the contract has ended.
Various versions of hazardous waste
manifest forms are available.
• Some states require their own man-
ifest form. If the state to which you
are shipping your waste requires its
own manifest, use that state's form.
To obtain manifest forms, contact
the hazardous waste management
agency of the recipient state, your
transporter, or the TSDF that you
intend to use.
• If the state to which you are ship-
ping your waste does not have its
own manifest, but the state in
which your waste was generated
does require its own manifest, use
your state's form. To obtain blank
forms, contact your transporter or
your state hazardous waste agency.
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SQGs
• If neither state requires a manifest,
you can use the federal Uniform
Hazardous Waste Manifest, EPA
Form 8700-22. Copies are avail-
able from some transporters,
TSDFs, and some commercial
printers. Your state hazardous
waste agency can refer you to man-
ifest suppliers.
You must fill in all parts of a mani-
fest. Information requested includes:
name of transporter, name of the des-
ignated facility, your EPA ID
number, and a description of the
waste based on DOT requirements,
such as proper shipping name and
hazard class. Call the DOT informa-
tion line for more information on
DOT waste description requirements.
The transporter signs the completed
manifest when the shipment is
accepted for transport. The facility
operator at the designated TSDF also
signs the form when the shipment is
received and sends a copy of it back
to you. You must keep this copy on
file for three years. (It might be a
good practice, however, to keep it for
as long as you are in business.)
Any SQG that does not receive a
signed copy of the manifest from the
designated TSDF within 60 days of
shipment must submit a legible copy
of the manifest to the state or EPA
regional office. This copy, known as
an exception report, simply indicates
that a signed copy was not received
from the facility operator.
Land Disposal Restrictions
(LDR) Reporting
Requirements
Regardless of where the waste is
being sent, for each shipment of
waste subject to LDRs you must send
the receiving TSDF or recycler an
LDR notice. This notice must pro-
vide information about your waste,
such as the EPA hazardous waste
code and the LDR treatment stan-
dard. The purpose of this notice is to
let the TSDF know that the waste
must meet treatment standards before
it is land disposed. There is no
required form for this notice, but
your TSDF may provide a form for
you to use. A certification may also
be required in specific situations. Call
the RCRA Hotline, your state agency,
or EPA regional office and consult 40
CFR Part 268 for help with LDR
notification and certification require-
ments.
Export Notification
If you choose to export your haz-
ardous waste, you must notify
EPA 60 days before the intended date
of shipment to obtain written con-
sent. EPA's "Acknowledgement of
Consent" document must accompany
the shipment at all times. For more
information on how to obtain the
consent to export hazardous waste,
contact the RCRA Hotline at 800
424-9346.
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LQGs
SUMMARY OF
REQUIREMENTS
FOR LARGE
QUANTITY
GENERATORS
If you are a Large Quantity
Generator (LOG) (generating
more than 2,200 Ibs (1,000
kg) per month), you must
comply with the full set of
hazardous waste
regulations. This table
summarizes the federal LOG
requirements. This is only a
summary and does not
include all of the LOG
requirements. For more
details, call the RCRA Hotline
or see 40 CFR Part 262. Be
sure to check with your
state as well, as some states
have additional or more
stringent requirements than
the federal government.
LQG REQUIREMENTS SUMMARY
Hazardous Waste
Determination
(40 CFR 262.10)
Generator Category
Determination
(40CFR262.10(b)and
261.5 (b) and (c))
Identify all hazardous wastes you generate.
Measure the amount of hazardous waste you gen-
erate per month to determine your generator
category (e.g., LQG).
EPA Identification
Numbers
(40 CFR 262.12)
Obtain a copy of EPA Form 8700-12, fill out the
form, and send it to the contact listed with the
form. An EPA identification number will be
returned to you for your location.
Prepare Hazardous Waste
for Shipment Off Site
(40 CFR 262.30 - 262.33)
Package, label, mark, and placard wastes follow-
ing Department of Transportation requirements.
Ship waste using hazardous waste transporter.
The Manifest Ship waste to hazardous waste treatment, storage,
(40 CFR 262.20 - 262.23, disposal, or recycling facility. Ship hazardous
262.42) waste off site using the manifest system (EPA
Form 8700-22) or state equivalent.
Managing Hazardous
Waste On Site
(40 CFR 262.34)
Accumulate waste for no more than 90 days
without a permit. Accumulate waste in:
- Containers - Tanks
- Drip pads - Containment buildings
and comply with specified technical standards for
each unit type. Comply with Preparedness and
Prevention requirements. Prepare written
Contingency Plan. Train employees in hazardous
waste management and emergency response.
Recordkeeping and
Biennial Report
(40 CFR 262.40-262.41)
Retain specified records for three years. Submit
biennial report by March 1 of even numbered years
covering generator activities for the previous year.
Comply with Land
Disposal Restrictions
(40 CFR 268)
Ensure that wastes meet treatment standards
prior to land disposal. Send notifications and cer-
tifications to TSDF as required. Maintain waste
analysis plan if treating on site.
Export/Import
Requirements
(40 CFR Subparts
E and F)
Follow requirements for exports and imports,
including notification of intent to export and
acknowledgement of consent from receiving
country.
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WHERE TO GET
MORE HELP
For further assistance in
understanding the
hazardous waste regulations
applicable to you, contact
your state hazardous waste
agency. Other assistance
resources include the EPA
Resource Centers (including
the RCRA Hotline) (page 24),
or your EPA Regional office
(page 25).
Also, see other related sections of
the Code of Federal Regulations:
• Handling PCBs (40 CFR Part 761)
• Toxic Release Inventory (TRI)
Reporting (40 CFR Part 372)
• Domestic Sewage Waste
Disposal Reporting (40 CFR Part
403)
• Shipping Hazardous Materials
(49 CFR Parts 171-180)
APPENDIX A
STATE HAZARDOUS
WASTE MANAGEMENT
AGENCIES
One of the best ways to ensure
compliance with hazardous
waste regulations is to set up a visit by
an inspector from your state or local
hazardous waste agency. These visits
can help you identify and correct prob-
lems. During the visit, you can ask the
inspectors questions and receive advice
on effective ways to manage your haz-
ardous waste. The best way to prepare
for a visit from an inspector is to con-
duct your own self inspection. See
Worksheet 3 on page 26 for a list of
questions that should help.
Alabama
Land Division
Alabama Department of
Environmental Management
1751 Cong. William L. Dickinson
Drive
Montgomery, AL 36130
334 271-7730
Alaska
Division of Air and Water
Hazardous Waste Section
Alaska Department of Environmental
Conservation
410 Willoughby Avenue, Suite 105
Juneau, AK 99801
907465-5158
American Samoa
American Samoa Environmental
Protection Agency
Government of American Samoa
Pago Pago, American Samoa 96799
Overseas Operator: 684 663-2304
Arizona
Hazardous Waste Compliance Unit
Arizona Department of
Environmental Quality
3033 N. Central Avenue
Phoenix, AZ 85012
602 207-4108
Arkansas
Hazardous Waste Division
Arkansas Department of Pollution
Control and Ecology
8001 National Drive
Little Rock, AR 72219
501 562-6533
California
Hazardous Waste Management
Program
Department of Toxic Substances
Control
P.O. Box 806
Sacramento, CA 95812
916324-1781
800 61-TOXIC (CA only)
Colorado
Hazardous Materials and Waste
Management Division
Colorado Department of Health
4300 Cherry Creek Drive South
Denver, CO 80222
303 692-3320
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Commonwealth of Northern
Mariana Islands
Division of Environmental Quality
Department of Public Health and
Environmental Services
P.O. Box 1304
Commonwealth of the Northern
Mariana Islands
Saipan, MP 96950
Overseas Operator: 670 234-6114
Cable Address: Gov. NMI Saipan
Connecticut
Bureau of Waste Management
Department of Environmental
Protection
79 Elm Street
Hartford, CT 06106
203 424-3023
Delaware
Hazardous Waste Management
Branch
Department of Natural Resources and
Environmental Control
P.O. Box 1401
89 Kings Highway
Dover, DE 19903
302 739-3689
District of Columbia
Hazardous Waste Management
Branch
Pesticides and Hazardous Materials
Division
Environmental Regulatory
Administration
2100 Martin Luther King Avenue,
S.E.
Suite #203
Washington, DC 20020
202 645-6080
Florida
Bureau of Solid and Hazardous Waste
MS4560
Division of Waste Management
Department of Environmental
Protection
2600 Blair Stone Road
Tallahassee, FL 32399-2400
904 488-0300
Georgia
Hazardous Waste Management
Branch
Environmental Protection Division
Department of Natural Resources
Floyd Towers East/Room 1154
205 Butler Street, S.E.
Atlanta, GA 30334
404 656-7802
Guam
Solid and Hazardous Waste
Management Program
Guam Environmental Protection
Agency
130 Rajas Street, D107 Harmon
Plaza
Harmon, Guam 96911
Overseas Operator: 671 646-8863
Hawaii
Solid and Hazardous Waste Branch
Office of Solid Waste Management
Department of Health
919 Ala Moana, 2nd Floor
Honolulu, HI 96814
808 586-4226
Idaho
Hazardous Materials Bureau
Division of Environmental Quality
Department of Health and Welfare
1410 North Hilton Street
Boise, ID 83706
208 334-5898
Illinois
Division of Land Pollution Control
Illinois Environmental Protection
Agency
2200 Churchill Road
Springfield, IL 62794-9276
217 785-8604
Indiana
Hazardous Waste Management
Branch
Office of Solid and Hazardous Waste
Indiana Department of
Environmental Management
105 N. Senate Avenue
P.O. Box 6015
Indianapolis, IN 46206-6015
317 232-4417
Iowa
Environmental Protection Division
Department of Natural Resources
900 East Grand Avenue
Des Moines, IA 50319-0034
515 281-4968
Kansas
Bureau of Waste Management
Department of Health and
Environment
Forbes Field, Building 740
Topeka, KS 66620-0001
913 296-1608
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Kentucky
Hazardous Waste Branch
Division of Waste Management
Department of Environmental
Protection
18 Reilly Road, Frankfort Office Park
Frankfort, KY 40601
502 564-6716
Louisiana
Office of Solid and Hazardous Waste
Hazardous Waste Division
Louisiana Department of
Environmental Quality
P.O. Box 82178
7290 Bluebonnet Drive
Baton Rouge, LA 70884-2178
504 765-0249
Maine
Division of Oil and Hazardous
Materials Facilities
Bureau of Hazardous Materials
Control and Solid Waste Control
Department of Environmental
Protection
State House, Station #17
Augusta, ME 04333
207287-2651
Maryland
Hazardous Waste Program
Hazardous and Solid Waste
Management Administration
Maryland Department of the
Environment
2500 Broening Highway
Baltimore, MD 21224
301 631-3345
Massachusetts
Division of Hazardous Waste
Massachusetts Department of
Environmental Protection
One Winter Street, 7th Floor
Boston, MA 02108
617 292-5574
Michigan
Hazardous Waste Permit Section
Waste Management Division
Department of Natural Resources
608 West Allegan, 1st Floor
Lansing, MI 48933
517373-0530
Minnesota
Hazardous Waste Division
Minnesota Pollution Control Agency
520 North Lafayette Road
St. Paul, MN 55155
612 297-8512
Mississippi
Division of Hazardous Waste
Management
Office of Pollution Control
Department of Environmental
Quality
2380 Highway 80 West
P.O. Box 10385
Jackson, MS 39204
601 961-5052
Missouri
Hazardous Waste Management
Program
Division of Environmental Quality
Department of Natural Resources
Jefferson Building
205 Jefferson Street
P.O. Box 176
Jefferson City, MO 65102
314751-3176
Montana
Solid and Hazardous Waste Bureau
Department of Health and
Environmental Sciences
Cogswell Building
P.O. Box 200901
Helena, MT 59620-0901
406 444-1430
Nebraska
Air and Waste Management Division
Department of Environmental
Quality
1200 N Street, The Atrium
Suite 400
P.O. Box 98922
Lincoln, NE 68509-8922
402 471-4217
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Nevada
Waste Management Bureau
Division of Environmental Protection
Department of Conservation and
Natural Resources
333 West Nye Lane
Carson City, NV 89710
702 784-1717
800 882-3233 (NV only)
New Hampshire
Waste Management Compliance
Bureau
Waste Management Division
Department of Environmental
Services
6 Hazen Drive
Concord, NH 03301-6509
603 271-2942
New Jersey
Bureau of Advisement and Manifest
Department of Environmental
Protection
401 East State St./CN-421
Trenton, NJ 08625
609 292-8341
New Mexico
Hazardous and Radioactive Waste
Bureau
Environmental Department
P.O. Box 26110
Santa Fe, NM 87502
505 827-4308
New York
Division of Hazardous Substances
Regulation
Department of Environmental
Conservation
50 Wolfe Road
Albany, NY 12233
518485-8988
North Carolina
Hazardous Waste Section
Division of Solid Waste Management
Department of Environment, Health,
and Natural Resources
P.O. Box 27687
Raleigh, NC 27611-7687
919733-2178
North Dakota
Division of Hazardous Waste
Management
Department of Health Management
and Special Studies
P.O. Box 5620
Bismarck, ND 58502-5520
701 328-5166
Ohio
Division of Hazardous Waste
Management
Ohio Environmental Protection
Agency
1800 Watermark Drive
Columbus, OH 43215
614 644-2944
Oklahoma
Division of Hazardous Waste
Management
Department of Environmental
Quality
1000 Northeast 10th Street
Oklahoma City, OK 73117-1212
405 271-5338
Oregon
Hazardous Waste Program
Waste Management and Cleanup
Division
Department of Environmental
Quality
811 Southwest 6th Avenue
Salem, OR 97204
503 229-5913
Pennsylvania
Bureau of Waste Management
Pennsylvania Department of
Environmental Resources
400 Market Street
P.O. Box 8472
Harrisburg, PA 17105-8472
717 787-6239
Puerto Rico
Environmental Quality Board
Office of the Governor
Banco Nationale Plaza Building
Suite 431
Hatorey, PR 00910
809 767-8056
Rhode Island
Division of Waste Management
Department of Environmental
Management
291 Promenade Street
Providence, RI 02908
401 277-2797
-------
South Carolina
Division of Hazardous and Infectious
Waste Management
Department of Health and
Environmental Control
2600 Bull Street
Columbia, SC 29201
803 896-4000
South Dakota
Division of Environmental
Regulation
Department of Environment and
Natural Resources
523 E. Capitol Avenue, Foss Building
Pierre, SD 57501-3181
605-733-3153
Tennessee
Division of Solid Waste Management
Tennessee Department of
Environmental Conservation
401 Church Street
L&C Tower, 5th Floor
Nashville, TN 37243
615 532-0780
Texas
Industrial and Hazardous Waste
Division
Texas Natural Resources Conservation
Commission
P.O. Box 13087
Austin, TX 78711-3087
512 239-6592
Utah
Hazardous Waste Compliance Section
Division of Solid and Hazardous
Waste Management
Department of Environmental
Quality
P.O. Box 144880
Salt Lake City, UT 84114-4880
801 538-6170
Vermont
Hazardous Waste Management
Division
Department of Environmental
Conservation
Agency of Natural Resources
103 South Main Street, West Building
WaterburyVT 05671
802 241-3888
Virgin Islands
Division of Environmental Protection
Department of Planning and Natural
Resources
Government of the Virgin Islands
1118 Watergut Homes,
Christiansted Project
St. Croix, VI 00820
809 773-0565
Virginia
Office of Waste Resource
Management
Waste Division
Department of Environmental
Quality
P.O. Box 10009
Richmond, VA 23240-0009
804 527-5145
Washington
Division of Hazardous Waste and
Toxics Program
Department of Ecology
P.O. Box 47600
Olympia,WA 98504-7600
206 407-6758
West Virginia
Hazardous Waste Management
Section
Division of Environmental Protection
Bureau of Environment
State Complex Building 3, Room 732
1356 Hansford Street
Charleston, WV 25301
304 558-5929
Wisconsin
Hazardous Waste Management
Section
Division of Environmental Quality
Department of Natural Resources
101 S. Webster Street
Madison, WI 53702
608 266-2111
Wyoming
Solid and Hazardous Waste Division
State of Wyoming Department of
Environmental Regulation
122 West 25th Street
Herschler Building
Cheyenne, WY 82002
307 777-7752
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APPENDIX B
EPA AMD OTHER
FEDERAL RESOURCE
CENTERS
RCRA/Superfimd/OUST Hotline
RCRA/SF/OUST Hotline
1725 Jefferson Davis Highway
Arlington, VA 22202
Phone: 800 424-9346, or TDD 800
553-7672
Fax: 703 486-3333
Answers questions on matters related to
solid waste, hazardous waste, or under-
ground storage tanks. Also can be used
o o
to find and order EPA publications.
Small Business Ombudsman
Clearinghouse/Hotline
U.S. Environmental Protection
Agency
Small Business Ombudsman (1230C)
401 M Street, SW.
Washington, DC 20460
Phone: 800 368-5888
Fax: 703 305-6462
Helps private citizens, small businesses,
and smaller communities with questions
on all program aspects within EPA.
Department of Transportation
(DOT) Hotline
Office of Hazardous Materials
Standards (DOT)
Research and Special Programs
Administration
400 7th Street, SW.
Washington, DC 20590-0001
Phone: 202 366-4488
Fax: 202 366-3753
Answers questions on matters related to
DOT's hazardous materials transporta-
tion
-ions.
RCRA Docket Information Center
(RIC)
U.S. Environmental Protection
Agency
RCRA Docket Information Center
(5305)
401 M Street, SW
Washington, DC 20460
Phone: 202 260-9327
Fax: 202 260-9327
E-mail: RCRA-Docket @
epamail.epa.gov
Holds and provides public access to all
regulatory materials on solid waste and
distributes technical and nontechnical
information on solid waste.
Pollution Protection Information
Clearinghouse (PPIC)
PPIC-EPA
401 M Street, SW (3404)
Washington, DC 20460
Phone: 202 260-1023
Fax: 202 260-0178
E-mail: PPIC @ epamail.epa.gov
Provides a library and an electronic
bulletin board (accessible by any PC
equipped with a modem) dedicated to
information on pollution prevention.
EPA Main Library
U.S. Environmental Protection
Agency
Headquarters Library
401 M Street, SW, Room 2904
Washington, DC 20460
Phone: 202 260-5921 or 5922
Fax: 202 260-6257
E-mail: Library-HQ@
epamail.epa.gov
Maintains environmental reference
materials for EPA staff and the general
public, including books, journals,
abstracts, newsletters, and audio-visual
materials generated by government
o y o
agencies and the private sector. Also
provides access to online computer
service bulletin boards, and CD-ROM
systems.
Public Information Center (PIC)
U.S. Environmental Protection
Agency
Public Information Center (3404)
401 M Street, SW.
Washington, DC 20460
Phone: 202 260-7751
Fax: 202 260-6257
E-mail: Public-access @
epamail.epa.gov
Serves as the primary point of contact
between EPA and the public. Refers
calls and letters to the appropriate
sources for technical information, and
distributes a variety of general-interest
items.
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APPENDIX C
EPA REGIONAL CONTACTS
EPA Region 1
Waste Management Branch
JFK Federal Building
Boston, MA 02203-2211
617 573-5770
Library: 617 573-9687
EPA Region 2
Hazardous Waste Compliance Branch
290 Broadway, 21st Floor
New York, NY 10007-1866
212 637-3000
Library: 212637-3187
EPA Region 3
Hazardous Waste Management
Division (3HWOO)
841 Chestnut Street
Philadelphia, PA 19107
215 597-9800
Library: 215 597-6633
EPA Region 4
RCPvA Branch
345 Courtland Street, NE
Atlanta, GA 30365
404 347-3016
Library: 404 347-4216
EPA Region 5
RCRA Program Management Branch
77 W Jackson Boulevard
Chicago, IL 60604
312353-8510
Library: 312 353-2022
EPA Region 6
RCRA Programs Branch (6H-H)
1445 Ross Avenue
Dallas, TX 75202
214 665-6444
Library: 214 665-6424
EPA Region 7
RCRA Branch
726 Minnesota Avenue
Kansas City, KS 66101
913 551-7020
Library: 913 551-7241
EPA Region 8
Hazardous Waste Management
Division
One Denver Place
999 18th Street, Suite 500 (8HWM)
Denver, CO 80202-2466
303 293-1603
Library: 303 293-1603
800 227-8917 (Within Region)
EPA Region 9
Hazardous Waste Management
Division
75 Hawthorne Street
San Francisco, CA 94105
415744-1730
Library: 415744-1510
EPA Region 10
Waste Management Branch
(HW-102)
1200 Sixth Avenue
Seattle, WA 98101
206 553-1200
Library: 206 553-1289
0
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WORKSHEET 3 THESE QUESTIONS ARE GEARED TOWARD THE FEDERAL REQUIREMENTS FOR
SQGs BUT MAY BE HELPFUL FOR OTHER HAZARDOUS WASTE GENERATORS. USE
THEM TO HELP PREPARE FOR A VISIT FROM A FEDERAL, STATE, OR LOCAL AGENCY.
i YES NO I
' Q Q Do you have documentation on the amount and kinds of hazardous waste that you gener- '
j ate and on how you determined that they are hazardous? I
j Q Q Do you have a U.S. EPA identification number? I
8 1
• Q Q Do you ship wastes off site? i
8 I
I Q Q If so, do you know the name of the transporter and the designated TSDF that you use? ,
8 i
• Q Q Do you have copies of completed manifests used to ship your hazardous wastes over the ,
1 past three years? I
8 I
I Q Q Are they filled out correctly? j
8 I
I Q Q Have they been signed by the designated TSDF and transporter? j
8 i
I Q Q If you have not received your signed copy of the manifest from the TSDF, have you filed an j
1 exception report? I
I I
1 Q Q Is your hazardous waste stored in proper containers or tanks? 1
8 i
J Q Q Are the containers or tanks properly dated and/or marked? I
I I
j Q Q Have you complied with the handling requirements described in this handbook? (
i i
j Q Q Have you designated an emergency coordinator? I
j Q Q Have you posted emergency telephone numbers and the location of emergency equipment? j
8 I
I Q Q Are your employees thoroughly familiar with proper waste handling and emergency procedures? j
8 I
I Q Q Do you understand when you need to contact the National Response Center? I
8 I
j Q Q Do you store your waste for no more than 180 days, or 270 days if you ship your waste |
1 more than 200 miles? 1
-------
DEFINITIONS
A material that is not one of the pri-
mary products of a production
process. Examples of by-products are
process residues such as slags or dis-
tillation column bottoms.
A chemical substance that is manu-
factured or formulated for
commercial or manufacturing use.
Any portable device in which a
material is stored, transported, treat-
ed, disposed of, or otherwise
handled.
A tank, tank system, container,
transport vehicle, or vessel (includ-
ing ships) that is designed to contain
and neutralize corrosive waste.
Material that is regenerated or
processed to recover a usable prod-
uct. Examples are the recovery of
lead values from spent batteries and
the regeneration of spent solvents.
A material or by-product that has
been recovered or diverted from
solid waste. Does not include mate-
rials or by-products generated from,
and commonly used within, an orig-
inal manufacturing process.
A material that is used, reused, or
reclaimed.
A material that is employed as an
ingredient in an industrial process to
make a product, or as an effective
substitute for a commercial product.
y material that has been used
and, as a result of contamination,
can no longer serve the purpose for
which it was produced without first
processing it.
Any solid, semi-solid, or liquid waste
generated from a municipal, com-
mercial, or industrial wastewater
treatment plant, water supply treat-
ment plant, or air pollution control
facility, exclusive of the treated efflu-
ent from a wastewater treatment
plant.
Residue or by-product of a distilla-
tion process such as solvent
recycling.
A stationary device designed to
contain an accumulation of haz-
ardous waste that is constructed
primarily of nonearthen materials
(e.g., wood, concrete, steel, plastic).
A facility for the treatment of
hazardous waste that is directly
connected to an industrial produc-
tion process and that is constructed
and operated so as to prevent the
release of hazardous waste into the
environment during treatment. An
example is a pipe in which waste acid
is neutralized.
A testing procedure used to deter-
mine whether a waste is hazardous.
The procedure identifies waste that
might leach hazardous constituents
into groundwater if improperly
managed.
A tank or tank system that is subject
to regulation under either Section
402 or 307(b) of the Clean Water
Act, and that treats or stores an
influent wastewater that is hazardous
waste, or that treats or stores a
wastewater treatment sludge that is
hazardous.
-------
Soluents:
Ignitable Illastes:
Solvents, spent solvents, solvent mixtures, or solvent still bottoms are
often hazardous. The following are some commonly used hazardous
solvents (also see ignitable wastes for other hazardous solvents, and 40
CFR 261.31 for most listed hazardous waste solvents):
Benzene F005
Carbon Disulfide F005
Carbon Tetrachloride F001
Chlorobenzene F002
Cresols F004
Cresylic Acid F004
O-Dichlorobenzene F002
Ethanol D001
2-Ethoxyethanol F005
Ethylene Bichloride D001
Isobutanol F005
Isopropanol D001
Kerosene D001
Methyl Ethyl Ketone F005
Methylene Chloride F001, F002
Naphtha D001
Nitrobenzene F004
2-Nitrobenzene F004
Petroleum Solvents D001
(Flashpoint less than 140°F)
Pyridine F005
1,1,1 -Trichloroethane FOO1, F002
1,1,2-Trichloroethane F002
Tetrachloroethylene F001, F002
(Perchloroethylene)
Acids, bases, or mixtures hav-
ing a pH less than or equal to
2 or greater than or equal to
12.5 are considered corrosive
(for a complete description of corrosive
wastes, see 40 CFR 261.22). All corrosive
materials and solutions have the waste code
D002. The following are some of the more
commonly used corrosives:
Acetic Acid
Ammonium Hydroxide Oleum
Chromic Acid
Hydrobromic Acid
Hydrochloric Acid
Hydrofluoric Acid
Nitric Acid
Perchloric Acid
Phosphoric Acid
Potassium Hydroxide
Sodium Hydroxide
Sulfuric Acid
Toluene
Trichloroethylene
Trichlorofluoromethane
Trichlorotrifluoroe thane
(Valclene)
White Spirits
F005
F001, F002
F002
F002
D001
| Ignitable wastes are any liquids that have a flashpoint less than 140°F, any
non-liquids that are capable of causing a fire through friction, absorption of
I moisture, or spontaneous chemical change, or any ignitable compressed gas
'as described in 49 CFR 173-300 (for a complete description of ignitable
wastes, see 40 CFR 261.21). Examples are spent solvents, solvent still bottoms, epoxy
resins and adhesives, and waste inks containing flammable solvents. Unless otherwise
specified, all ignitable wastes have the waste code D001.
Acetone
Benzene
n-Butyl Alcohol
F003
F005
F003
Chlorobenzene
Cyclohexanone
Ethyl Acetate
Ethyl Benzene
Ethyl Ether
Ethylene Dichloride
Methanol
Methyl Isobutyl Ketone
Petroleum Distillates
Xylene
F002
F003
F003
F003
F003
D001
F003
F003
D001
F003
Dry Cleaning
Filtration Residues:
Cooked powder residue (per-
chloroethylene plants only), still
residues, and spent cartridge fil-
• ters containing perchloroethylene or valclene are hazardous and have the waste
code F002. Still residues containing petroleum solvents with a flashpoint less than 140°F are
considered hazardous and have the waste codeDOOl.
Heavy ITIetals/lnorganics:
(Heavy metals and other inorganic waste materials are considered hazardous if
the extract from a representative sample of the waste has any of the specific
I constituents concentrations as shown in 40 CFR 262.24, Table 1. Materials
'may include dusts, solutions, wastewater treatment sludges, paint wastes, and
waste inks. The following are common heavy metals/inorganics:
This list can be used as a guide for small quantity generators to deter-
mine which of their wastes, if any, are hazardous, and to determine
the EPA waste codes associated with each waste. It is not intended
to provide a comprehensive list of all waste codes and waste streams that
small businesses could generate. Except for the pesticide and wood pre-
serving categories, this list does not include waste codes for
commercial chemical products that are hazardous when discarded
unused. These wastes, as well as all others not listed here, can be found
in Title 40 of the Code of Federal Regulations (40 CFR) Part 261. If
you have any questions, contact your state agency or the RCRA Hotline
at 703 412-9810 or TDD 703 412-3323 in the Washington, DC, area
or at 800 424-9346 or TDD 800 533-7672 from other locations.
Lead-ficid Batteries:
I Used lead-acid batteries should
be reported on the notification
I form only if they are not recy-
• cled. Used lead-acid batteries
that are recycled do not need to be counted in
determining the quantity of waste that you
generate per month. Special requirements do
apply if you recycle your batteries on your
own premises (see 40 CFR Part 266).
Lead Dross D008
Spent Acids D002
Lead-Acid Batteries D008
Pesticides:
fThe pesticides listed below are
hazardous. Wastes marked
I with an asterisk (*) have been
' designated acutely hazardous.
For a more complete listing, see 40 CFR
261.32 for specific listed pesticides, and
other wastes, wastewaters, sludges, and by-
products from pesticide formulators.
*Aldicarb P070
Amitrole U011
1,2-Dichloropropene U084
*Heptachlor P059
Lindane U129
*Methyl Parathion P071
*Parathion P089
*Phorate P094
Reactiues:
Reactive wastes include materi-
als or mixtures that are unstable,
react violently with or form
explosive mixtures with water,
generate toxic gases or vapors when mixed
with water (or when exposed to pH condi-
tions between 2 and 12.5 in the case of
cyanide or sulfide bearing wastes), or are capable of detonation or explosive reaction when
heated or subject to shock (for a complete description of reactive wastes, see 40 CFR
2612.23). Unless otherwise specified, all reactive wastes have the waste codeD003. The fol-
lowing materials are commonly considered to be reactive:
Acetyl Chloride
Chromic Acid
Cyanides
Hypochlorites
Organic Peroxides
Perchlorates
Permanganates
Sulfides
Arsenic
Barium
Cadmium
Chromium
D004
D005
D006
D007
Lead
Mercury
Selenium
Silver
D008
D009
D010
D011
Spent Plating and Cyanide Illastes:
(Spent plating wastes contain cleaning solutions and plating solutions with caus-
tics, solvents, heavy metals, and cyanides. Cyanide wastes may also be generated
I from heat treatment operations, pigment production, and manufacturing of anti-
• caking agents. Plating wastes generally have the waste codes F006-F009, with
F007 and F009 containing cyanide. Cyanide heat treating wastes generally have the waste
codes F010-F012 (see 40 CFR 261.31 for a more complete description of plating wastes).
Ink Sludges Containing Chromium and Lead:
Wood Preserving flgents:
This category includes solvent washes and sludges, caustic washes and
sludges, and 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. All ink sludges have the waste code K086.
The wastewater treatment sludges from wastewater treatment operations are con-
sidered hazardous. Bottom sediment sludges from the treatment of wastewater
processes that use creosote and pentachlorophenol have the waste codeKOOl. In
addition, unless otherwise indicated, specific wood preserving compounds are:
Chromated Copper Arsenate D004
Creosote U051
Pentachlorophenol
F027
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SA
Managing Y
A Guide for Small Businesses
-------
CONTENTS
1 INTRODUCTION
2 DECIDING WHETHER HAZARDOUS WASTE REGULATIONS APPLY TO YOU
2 Defining Hazardous Waste
3 Identifying Your Waste
3 Finding Your Generator Category
7 OVERVIEW OF REQUIREMENTS FOR CONDITIONALLY EXEMPT SMALL QUANTITY GENERATORS
8 OBTAINING AN EPA IDENTIFICATION NUMBER
11 MANAGING HAZARDOUS WASTE ON SITE
11 Accumulating Your Waste
13 Treating Your Waste To Meet the Land Disposal Restrictions
13 Preventing Accidents
14 Responding to Emergencies
16 SHIPPING WASTE OFF SITE
16 Selecting a Treatment, Storage, and Disposal Facility
16 Labeling Waste Shipments
17 Preparing Hazardous Waste Manifests
17 Land Disposal Restrictions (LDR) Reporting Requirements
18 Export Notification
18 Closure
21 SUMMARY OF REQUIREMENTS FOR LARGE QUANTITY GENERATORS
22 WHERE TO GET MORE HELP
22 EPA and Other Federal Resource Centers
24 EPA Regional Offices
26 ACRONYMS AND DEFINITIONS
-------
INTRODUCTION
Does your business generate
hazardous waste? Many small
businesses do. If you need help
understanding which federal haz-
ardous waste management regula-
tions apply to your business, this
handbook is for you. It has been
prepared by the U.S. Environmen-
tal Protection Agency (EPA) to help
small-business owners and opera-
tors understand how best to com-
ply with federal hazardous waste
management regulations.
This handbook provides an
overview of the regulations to give
you a basic understanding of your
responsibilities. It should not be
used as a substitute for the actual
requirements. All of the federal
hazardous waste regulations are
located in Title 40 of the Code of
Federal Regulations (CFR), Parts
260 to 299 (www.epa.gov/
epacfr40).
EPA defines three categories of
hazardous waste generators based
upon the quantity of hazardous
waste they generate per month:
(1) Conditionally exempt small
quantity generators (CESQGs),
which generate less than 220
Ibs (100 kg) per month.
(2) Small quantity generators
(SQGs), which generate
between 220 Ibs (100 kg) and
2,200 Ibs (1,000 kg) per
month.
(3) Large quantity generators
(LQGs), which generate more
than 2,200 Ibs (1,000 kg) per
month.
Each category of generator must
comply with the hazardous waste
rules specific to that category. This
handbook is intended primarily for
businesses that generate a small
quantity of hazardous waste (SQGs
and CESQGs) to help them learn
about regulations that apply to
them.
This handbook explains only the
federal requirements for hazardous
waste management. Many states
have their own hazardous waste
regulations based on the federal
You can look up unfamiliar
words, phrases, or
acronyms in the list of defini-
tions found on page 26.
hazardous waste regulations. In
some of these states, the require-
ments are the same as the federal
standards and definitions. Other
states, however, have developed
more stringent requirements than
the federal program. If this is the
case in your state, you must com-
ply with the state regulations. To
become familiar with your state's
requirements, consult your state
hazardous waste agency. For the
address or phone number for your
state agency, contact the RCRA
Call Center at 800 424-9346 or
TDD 800 553-7672.
If you have questions about any part of this
book, or the federal hazardous waste regula-
tions, contact the RCRA Call Center at
703 412-9810 or TDD 703 412-3323 in the
Washington, DC, area or at 800 424-9346 or
TDD 800 533-7672 from other locations, or
.
The Call Center provides free technical assis-
tance. Any information you share will not be
'
used for any other purpose.
-------
DECIDING WHETHER HAZARDOUS WASTE
REGULATIONS APPLY TO YOU
Federal hazardous waste
management regulations
apply to most businesses
that generate hazardous
waste. To determine if
these regulations apply to
your business, you must
first determine if you even
generate hazardous
waste.
Defining Hazardous Waste
A waste is any solid, liquid, or con-
tained gaseous material that is
discarded by being disposed of,
burned or incinerated, or recycled.
(There are some exceptions for recy-
cled materials.) It can be the by-
product of a manufacturing process
or simply a commercial product that
you use in your business—such as
a cleaning fluid or battery acid—and
that is being disposed of. Even
materials that are recyclable or can
be reused in some way (such as
burning solvents for fuel) might be
considered waste.
Hazardous waste can be one of
two types:
» Listed waste. Your waste is
considered hazardous if it
appears on one of four lists
published in the Code of
Federal Regulations (40 CFR
Part 261). Currently, more
than 500 wastes are listed.
Wastes are listed as haz-
ardous because they are
known to be harmful to human
health and the environment
when not managed properly.
Even when managed properly,
some listed wastes are so
dangerous that they are called
acutely hazardous wastes.
Examples of acutely haz-
ardous wastes include wastes
generated from some pesti-
cides and that can be fatal to
humans even in low doses.
» Characteristic wastes. If your
waste does not appear on
one of the hazardous waste
lists, it still might be
considered hazardous if it
|) Determine if you generate hazardous waste
in the first place.
•) Measure the amount of hazardous waste that
you produce per month.
) Determine your generator category to learn the
management requirements that apply to you.
demonstrates one or more of
the following characteristics:
^ It catches fire under certain
conditions. This is known as
an ignitable waste. Examples
are paints and certain
degreasers and solvents.
^•It corrodes metals or has a
very high or low pH. This is
known as a corrosive waste.
Examples are rust removers,
acid or alkaline cleaning flu-
ids, and battery acid.
^•It is unstable and explodes
or produces toxic fumes,
gases, and vapors when
mixed with water or under
other conditions such as
heat or pressure. This is
known as a reactive waste.
Examples are certain
cyanides or sulfide-bearing
wastes.
^. It is harmful or fatal when
ingested or absorbed, or it
leaches toxic chemicals into
the soil or ground water when
disposed of on land. This is
known as a toxic waste.
Examples are wastes that
contain high concentrations
of heavy metals, such as cad-
mium, lead, or mercury.
You can determine if your waste is
toxic by having it tested using the
Toxicity Characteristic Leaching
-------
One way to help determine if your waste exhibits any of the
characteristics listed on page 2 is to check the Material
Safety Data Sheet (MSDS) that comes with all products containing
hazardous materials (www.msdsonline.com for information). In
addition, your national trade association or its local chapter might
be able to help you.
Procedure (TCLP), or by simply
knowing that your waste is haz-
ardous or that your processes gen-
erate hazardous waste. For more
information about the TCLP and
other test methods, contact the
RCRA Call Center or the Methods
Information Communication
Exchange (MICE) at 703 676-4690
or .
Identifying Your Waste
To help you identify some of the
waste streams common to your
business, consult the table on
page 4 to find a list of typical haz-
ardous wastes generated by small
businesses. Use the insert in the
middle of this handbook for a
more detailed listing of the EPA
waste codes associated with these
waste streams to determine if your
waste is hazardous. Commercial
chemical products that are discard-
ed might also become hazardous
waste. For a complete listing of
hazardous waste codes, see 40
CFR Part 261.
If your waste is hazardous, you will
need to manage it according to
appropriate federal regulations.
Finding Your Generator
Category
0
nee you know that you gener-
ate hazardous waste, you
need to measure the amount of
waste you produce per month. The
amount of hazardous waste you
generate determines your genera-
tor category.
Many hazardous wastes are liquids
and are measured in gallons—not
pounds. In order to measure your
liquid wastes, you will need to con-
vert from gallons to pounds. To do
this, you must know the density of
the liquid. A rough guide is that 30
gallons (about half of a 55-gallon
drum) of waste with a density simi-
lar to water weighs about 220
pounds (100 kg); 300 gallons of a
waste with a density similar to
water weighs about 2,200 Ibs
(1,000 kg).
EPA has established three genera-
tor categories, as follows, each of
which is regulated differently:
CESQGs:
Conditionally Exempt Small
Quantity Generators: You are con-
sidered a CESQG if you generate
less than 220 Ibs (100 kg) per
month of hazardous waste. You
are exempt from hazardous waste
management regulations provided
that you comply with the basic
requirements described on page 6.
If you are a CESQG and you gener-
ate no more than 2.2 Ibs (1 kg) of
acutely hazardous waste (or 220
Ibs (100 kg) of acutely hazardous
waste spill residues) in a calendar
month, and never store more than
that amount for any period of time,
you may manage the acutely haz-
ardous waste according to the
CESQG requirements. If you gener-
ate or store more than 2.2 Ibs
(1kg) of acutely hazardous waste
on site, you must manage it
according to the LQG requirements
(see below).
SQGs:
Small Quantity Generators: You
are considered an SQG if you gen-
erate between 220 and 2,200 Ibs
(100 and 1,000 kg) per month of
hazardous waste. SQGs must com-
ply with EPA requirements for man-
aging hazardous waste described
in this document.
LQGs:
Large Quantity Generators: You
are considered an LQG if you gen-
erate more than 2,200 Ibs (1,000
kg) per month of hazardous waste.
LQGs must comply with more
extensive hazardous waste rules
than those summarized in this
handbook. See page 21 for an
overview.
-------
TYPICAL HAZARDOUS WASTE GENERATED BY SMALL BUSINESSES
TYPE OF BUSINESS HOW GENERATED
TYPICAL WASTES
WASTE CODES
Drycleaning and Commercial drycleaning Still residues from solvent distilla- D001, D039, F002, F005, U210
Laundry Plants processes tion, spent filter cartridges, cooked
powder residue, spent solvents,
unused perchloroethylene
Furniture/Wood Wood cleaning and wax removal, Ignitable wastes, toxic wastes, D001, F001-F005
Manufacturing and refinishing/stripping, staining, paint- solvent wastes, paint wastes
Refinishing ing, finishing, brush cleaning and
spray brush cleaning
Construction Paint preparation and painting, car- Ignitable wastes, toxic wastes, D001, D002, F001-F005
pentry and floor work, other special- solvent wastes, paint wastes, used
ty contracting activities, heavy oil, acids/bases
construction, wrecking and demoli-
tion, vehicle and equipment mainte-
nance for construction activities
Laboratories Diagnostic and other laboratory Spent solvents, unused reagents, D001, D002, D003, F001-F005, U211
testing reaction products, testing samples,
contaminated materials
Vehicle Degreasing, rust removal, paint Acids/bases, solvents, ignitable D001, D002, D006, D007, D008,
Maintenance preparation, spray booth, spray wastes, toxic wastes, paint wastes, D035, F001-F005, U002, U080, U134,
guns, brush cleaning, paint removal, batteries, used oil, unused cleaning U154, U159, U161, U220, U228,
tank cleanout, installing lead-acid chemicals U239
batteries, oil and fluid replacement
Printing and Allied Plate preparation, stencil prepara- Acids/bases, heavy metal wastes, D002, D006, D008, D011, D019,
Industries tion for screen printing, photopro- solvents, toxic wastes, ink, unused D035, D039, D040, D043, F001-F005,
cessing, printing, cleanup chemicals U002, U019, U043, U055, U056,
U069, U080, U112, U122, U154,
U159, U161, U210, U211, U220,
U223, U226, U228, U239, U259,
U359
Equipment Repair
Degreasing, equipment cleaning,
rust removal, paint preparation,
painting, paint removal, spray booth,
spray guns, and brush cleaning.
Acids/bases, toxic wastes,
ignitable wastes, paint wastes,
solvents
D001, D002, D006, D008, F001-F005
Pesticide End-
Users/Application
Services
Pesticide application and cleanup
Used/unused pesticides, solvent
wastes, ignitable wastes, contami-
nated soil (from spills), contaminat-
ed rinsewater, empty containers
D001, F001-F005, U129, U136, P094,
P123
Educational and
Vocational Shops
Automobile engine and body repair,
metalworking, graphic arts-plate
preparation, woodworking
Ignitable wastes, solvent wastes,
acids/bases, paint wastes
D001, D002, F001-F005
Photo Processing
Processing and developing nega-
tives/prints, stabilization system
cleaning
Acid regenerants, cleaners,
ignitable wastes, silver
D001, D002, D007, D011
Leather
Manufacturing
Hair removal, bating, soaking,
tanning, buffing, and dyeing
Acids/bases, ignitables wastes,
toxic wastes, solvent wastes,
unused chemicals
D001, D002, D003, D007, D035,
F001-F005, U159, U228, U220
-------
In many cases, small businesses that fall
into different generator categories at
different times choose to satisfy the more
stringent requirements to simplify
compliance.
UNIVERSAL WASTES
The Universal Waste Rule was written to streamline envi-
ronmental regulations for wastes generated by large
numbers of businesses in relatively small quantities. It is
designed to reduce the amount of hazardous waste dis-
posed of in municipal solid waste, encourage the recycling
and proper disposal of certain common hazardous wastes,
and reduce the regulatory burden for businesses that gen-
erate these wastes.
Universal wastes are items commonly thrown into the
trash by households and small businesses. Although han-
dlers of universal wastes can meet less stringent stan-
dards for storing, transporting, and collecting these
wastes, handlers must still comply with the full hazardous
waste requirements for final recycling, treatment, or dis-
posal. By providing a waste management structure that
removes these wastes from municipal landfills and inciner-
ators, this rule ensures stronger safeguards for public
health and the environment.
Universal wastes include:
^>- Batteries, such as nickel-cadmium (Ni-Cd) and small
sealed lead-acid batteries, which are found in many
common items, including electronic equipment, cell
phones, portable computers, and emergency backup
lighting.
»• Agricultural pesticides that have been recalled or
banned from use, are obsolete, have become dam-
aged, or are no longer needed due to changes in
cropping patterns or other factors. They often are
stored for long periods of time in sheds or barns.
^>- Thermostats, which can contain as much as 3 grams
of liquid mercury and are located in almost any build-
ing, including commercial, industrial, agricultural, com-
munity, and household buildings.
^> Lamps, which typically contain mercury and some-
times lead, and are found in businesses and house-
holds. Examples include fluorescent, high-intensity
discharge (HID), neon, mercury vapor, high-pressure
sodium, and metal halide lamps.
Materials are continually added to the Universal Waste list;
check
for the latest information.
The Universal Waste Rule also encourages communities
and businesses to establish collection programs or partici-
pate in manufacturer take-back programs required by a
number of states. Many large manufacturers and trade
associations are already planning national and regional col-
lection programs for their universal waste products.
For more information, see 40 CFR Part 273.
WHAT IS YOUR GENERATOR CATEGORY?
Depending on your type of business, you might be regulated
under different rules at different times. If, for example, you gen-
erate less than 220 Ibs (100 kg) of hazardous waste during the
month of June, you would be considered a CESQG for June, and
your June waste would be subject to the hazardous waste man-
agement requirements for CESQGs. If, in July, you generate
between 220 and 2,200 Ibs (100 kg to 1,000 kg) of hazardous
waste, your generator status would change, and you would be
considered an SQG for July. Your July waste would then be subject
to the management requirements for SQGs. If you mix the wastes
generated during June and July, the entire mixture would be subject
to the more stringent SQG standards.
-------
WHAT DO YOU MEASURE TO DETERMINE YOUR GENERATOR CATEGORY?
DO Measure:
All quantities of listed and char-
acteristic hazardous wastes that
are:
» Accumulated on the property
for any period of time before
disposal or recycling.
(Drycleaners, for example,
must count any residue
removed from machines,
as well as spent cartridge
filters.)
» Packaged and transported
away from your business.
» Placed directly in a regulated
treatment or disposal unit at
your place of business.
» Generated as still bottoms
or sludges and removed
from product storage tanks.
DO NOT Measure:
Wastes that:
» Are specifically exempted
from counting. Examples
include lead-acid batteries
that will be reclaimed, scrap
metal that will be recycled,
used oil managed under the
used oil provisions of 40
CFR 279, and universal
wastes (e.g., batteries, pesti-
cides, thermostats, and
lamps) managed under 40
CFR 273.
» Might be left in the bottom
of containers that have been
thoroughly emptied through
conventional means such as
pouring or pumping.
» Are left as residue in the bot-
tom of tanks storing prod-
ucts, if the residue is not
removed from the product
tank.
» Are reclaimed continuously
on site without storing prior
to reclamation, such as
drycleaning solvents.
» Are managed in an "elemen-
tary neutralization unit," a
"totally enclosed treatment
unit," or a "wastewater treat-
ment unit," without being
stored first. (See Definitions
for an explanation of these
types of units.)
» Are discharged directly to
publicly owned treatment
works (POTWs) without being
stored or accumulated first.
This discharge to a POTW
must comply with the Clean
Water Act. POTWs are public
utilities, usually owned by
the city, county, or state, that
treat industrial and domestic
sewage for disposal.
Have already been counted
once during the calendar
month, and are treated on
site or reclaimed in some
manner, and used again.
Are regulated under the uni-
versal waste rule or have
other special requirements.
The federal regulations con-
tain special, limited require-
ments for managing certain
commonly generated wastes.
These wastes can be man-
aged following the less bur-
densome requirements listed
below instead of the usual
hazardous waste require-
ments. Check with your state
agency to determine if your
state has similar regulations.
Used oil—40 CFR Part 279
Lead-acid batteries that are
reclaimed—40 CFR Part
266, Subpart G
Scrap metal that is recy-
cled—40 CFR 261.6 (a)(3)
Universal wastes (e.g., cer-
tain batteries, recalled and
collected pesticides, and
mercury-containing thermo-
stats and lamps)—40 CFR
Part 273
-------
CESQG
OVERVIEW OF REQUIREMENTS FOR CONDITIONALLY
EXEMPT SMALL QUANTITY GENERATORS
If you generate no more
than 220 Ibs (100 kg) of
hazardous waste per
month, you are a
Conditionally Exempt
Small Quantity Generator
(CESQG). You must comply
with three basic waste
management requirements
to remain exempt from the
full hazardous waste regu-
lations that apply to gener-
ators of larger quantities
(SQGs and LQGs).
(Note: there are different
quantity limits for acutely
hazardous waste.)
First, you must identify all haz-
ardous waste that you gener-
ate. Second, you may not store
more than 2,200 Ibs (1,000 kg) of
hazardous waste on site at any
time. Finally, you must ensure
delivery of your hazardous waste
to an off-site treatment or disposal
facility that is one of the following,
or, if you treat or dispose of your
hazardous waste on
site, your facility
such as certain batteries,
recalled and collected pesti-
cides, or mercury-containing
thermostats or lamps.)
also most be:
» A state or fed-
erally regulated
hazardous
waste manage-
ment treat-
ment, storage,
or disposal
facility.
STATE REQUIREMENTS
Some states have additional requirements
for CESQGs. For example, some states
require CESQGs to follow some of the SQG
requirements such as obtaining an EPA identifi-
cation number, or complying with storage stan-
dards. See page 14 for SQG storage
requirements.
A facility permitted, licensed,
or registered by a state to
manage municipal or industri-
al solid waste.
A facility that uses, reuses, or
legitimately recycles the
waste (or treats the waste
prior to use, reuse, or
recycling).
A universal waste handler or
destination facility subject to
the universal waste require-
ments of 40 CFR Part 273.
(Universal wastes are wastes
Suggestion:
It's a good idea to call the appro-
priate state agency to verify that
the treatment, storage, and dispos-
al facility (TSDF) you have selected
has any necessary permits, etc.
You also may want to see that the
facility fits into one of the above
categories. (It's a good idea to
document such calls for your
records.)
foisoi
Identify your hazardous waste.
Comply with storage quantity limits.
Ensure proper treatment and disposal of your
waste.
-------
SQG
OBTAINING AN EPA IDENTIFICATION NUMBER
If your business generates
between 220 Ibs (100 kg)
and 2,200 Ibs (1,000 kg)
of hazardous waste per
month, you are an SQG,
and you must obtain and
use an EPA identification
number. EPA and states
use these 12-character
numbers to monitor and
track hazardous waste
activities. You will need to
use your identification
number when you send
waste off site to be
managed.
To obtain an EPA identification
number, you should:
» Call or write your state haz-
ardous waste management
agency or the hazardous waste
division of your EPA Regional
office and ask for a copy of
EPA Form 8700-12,
"Notification of Hazardous
Waste Activity" (EPA Regional
offices are listed on pages 24
or visit ). You will be
sent a booklet that contains a
form with instructions and
those portions of the regula-
tions that will help you identify
your waste. A sample copy of a
completed notification form is
shown on pages 9-10. (Note: A
few states use a form that is
different from the one shown.
Your state agency will send
you the appropriate form to
complete.)
Fill in the form as shown in the
example. To complete Item IX
of the form, you will need to
identify your hazardous waste
by its EPA Hazardous Waste
Code. A list of common haz-
ardous wastes and their waste
codes can be found on the
insert in this handbook; for a
complete list of waste codes,
you should consult 40 CFR Part
261, or contact your state or
regional EPA office or the RCRA
Call Center. The form you
receive from your state might
contain an additional sheet
that provides more space for
waste codes. Complete one
copy of the form for each busi-
ness site where you generate
or handle hazardous waste.
Each site will receive its own
EPA identification number.
Make sure you sign the certifi-
cation in Item X.
» Send the completed form to
your state hazardous waste
contact. This address is listed
in the information booklet that
you will receive with the form.
EPA records the information on the
form and assigns an EPA identifica-
tion number to the site identified on
your form. The EPA number stays
with the property when ownership
changes. If you move your business,
you must notify EPA or the state of
your new location and submit a new
form. If another business previously
handled hazardous waste at this
location and obtained an EPA
Identification Number, you will be
assigned the same number after
you have notified EPA that you have
moved to this location. Otherwise,
EPA will assign you a new identifica-
tion number.
Call your state agency to determine if you
need an EPA identification number.
If you do, obtain a copy of EPA Form 8700-12.
Fill in the form completely.
Send the form to your STATE hazardous waste
contact.
-------
SAMPLE "NOTIFICATION OF REGULATED WASTE ACTIVITY" FORM
Please print or type with ELITE type (12 characters per inch) in the unshaded areas only
GSA No. 0246-EPA-OT
Please refer to Section V. Line-by-
Line Instructions for Completing
EPA Form 8700-12 before
completing this form. The
information requested here is
required by law (Section 3010 of
the Resource Conservation and
Recovery Act).
Notification of Regulated
Waste Activity
United States Environmental Protection Agency
Date Received
(For Official Use Only)
I. Installation's EPA ID Number (Mark 'X' in the appropriate box)
A. Initial Notification
B. Subsequent Notification
(Complete item C)
II. Name of Installation (Include company and specific site name)
eTn & r a I
a
III. Location of Installation (Physical address not P.O. Box or Route Number)
Street
5 Q 11 IMI al in Street
Street (Continued)
23000
IV. Installation Mailing Address (See instructions)
Street or P.O. Box
V. Installation Contact (Person to be contacted regarding waste activities at site)
Phone Number (Area Code and Number)
304-555
Manager
VI. Installation Contact Address (See instructions)
B. Street or P.O. Box
501 Ma n
Street
23000
VII. Ownership (See instructions)
A. Name of Installation's Legal Owner
J \o\ e>\ e\ p h i In \e\ \D\o\e
Street, P.O. Box, or Route Number
2I5I4I iBlrlolaldl iSltlrlelelt
City or Town
Sma town
Phone Number (Area Code and Number)
504-555-6739
B. Land Type
State
C. Owner Type
Zip Code
D. Change of Owner
Indicator
^ No
Yes
Date Changed
Month Day Year
EPA Form 8700-12 (Rev. 12/99)
-1of2-
-------
SQG
SAMPLE "NOTIFICATION OF REGULATED WASTE ACTIVITY" FORM (CONTINUED)
Please print or type with ELITE type (12 characters per Inch) in the unshaded areas only
Form Approved. OMB No. 2050-0023 Expires 12/31/02
GSA No. 0246-EPA-OT
VIII. Type of Regulated Waste Activity (Mark 'X' In the appropriate boxes. Refer to Instructions)
C. Used Oil Management Activities
A. Hazardous Waste Activities
1. Generator (See Instructions)
D a. Greater than 10OOkg/mo (2,200 Ibs.)
SI b. 100 to 1000 kg/mo (220-2,200 Ibs.)
G c. Less than 100 kg/mo (220 Ibs)
2. Transporter (Indicate Mode in boxes
1-5 below)
G a. For own waste only
Q b. For commercial purposes
Mode of Transportation
D 1-Air
D 2. Rail
] 3. Highway
D 4. Water
D 5. Other-specify
D 3. Treater, Storer, Disposer (at
installation) Note: A permit is
required for this activity, see
instructions.
4. Exempt Boiler and/or Industrial
Furnace
[] a. Smelting, Melting, and Refin-
ing Furnace Exemption
D b. Small Quantity On-Site Burner
Exemption
D 5. Underground Injection Control
L
H
1. Used Oil Transporter/Transfer
Facility - Indicate Type(s) of
Acllvlty(les)
Q a. Transporter
Q b. Transfer Facility
2. Used Oil Processor/Re-refiner -
Indicate Type(s) of Activity(ies)
O a. Processor
Q b. Re-refiner
D 3. Off-Specification Used Oil Burner
4. Used Oil Fuel Marketer
O a. Marketer Who Directs Shipment
of Off-Specification Used Oil to
Used Oil Burner
G b. Marketer Who First Claims the
Used Oil Meets the
Specifications
B. Universal Waste Activity
D Large Quantity Handler of Universal Waste
IX. Description of Hazardous Wastes (Use additional sheets if necessary)
A. Listed Hazardous Wastes. (See 40 CFR 261.31 - 33; See Instructions If you need to list more than 12 waste codes.)
B. Characteristics of Nonhsted Hazardous Wastes. (Mark 'X'in the boxes corresponding to the characteristics of
nonllsted hazardous wastes your Installation handles; See 40 CFR Parts 261.20 - 261.24; See Instructions If you need
to list more than 4 toxlctty characteristic waste codes.)
(List specific EPA hazardous waste number(s) for the Toxicity Characteristic contaminant(s)
Llgnltable 2. Corrosive 3. Reactive 4.Toxlclty
70001) (0002) (0003) Characteristic
C. Other Wastes. (State-regulated or other wastes requiring a handler to have an I.D. number; See Instructions.)
a system designed to assure that qualified personnel properly gather and evaluate the information submitted. Based on my inquiry of
the person or persons who manage the system, or those persons directly responsible for gathering the information, the information
submitted is, to the best of my knowledge and belief, true, accurate, and complete. I am aware that there are significant penalties for
submitting false Information, Including the possibility of fine and Imprisonment for knowing violations.
Signature
Name and Official Title (Type or print)
Josephine Doe, own
Date Signed
12-01-00
Note: Mail completed form to the appropriate EPA Regional or State Office. (See Section IV of the booklet for addresses.)
EPA Form 8700-12 (Rev. 12/99)
- 2 of 2 -
-------
It is a good practice never to mix wastes. Mixing
wastes can create an unsafe work environment and
lead to complex and expensive cleanups and disposal.
MANAGING HAZARDOUS WASTE ON SITE
SQG
_
Most small businesses
accumulate some haz-
ardous waste on site for a
short period of time and
then ship it off site to a
treatment, storage, or dis-
posal facility (TSDF).
Accumulating Your Waste
Accumulating hazardous waste
on site can pose a threat to
human health and the environment,
so you may keep it only for a short
time without a permit. Before ship-
ping the waste for disposal or recy-
cling, you are responsible for its
safe management, which includes
safe storage, safe treatment, pre-
venting accidents, and responding
to emergencies in accordance with
federal regulations.
SQGs can accumulate no more
than 13,228 Ibs (6,000 kg) of haz-
ardous waste on site for up to 180
days without a permit. You can
accumulate this amount of waste
for up to 270 days if you must
transport it more than 200 miles
away for recovery, treatment, or
disposal. Limited extensions may
be granted by the state director or
the regional EPA administrator. If
you exceed these limits, you are
considered a TSDF and must
obtain an operating permit. Wastes
generated in small amounts
throughout your facility may be
stored in satellite accumulation
areas located at or near the point
of generation of the waste. The
total amount of waste that may be
accumulated at a satellite area is
limited to 55 gallons. Once this
quantity has been exceeded, you
have 3 days to transfer the waste
to your designated 180-day (or
270-day) storage area.
(Note: Different quantity limits apply
to acutely hazardous wastes.)
SQGs must accumulate waste in
tanks or containers, such as 55-
gallon drums. Your storage tanks
and containers must be managed
according to EPA requirements
summarized below:
For containers, you must:
» Label each container with the
words "HAZARDOUS WASTE"
and the date that the waste
was generated.
Use a container made of, or
lined with, a material that is
compatible with the haz-
ardous waste to be stored.
(This will prevent the waste
from reacting with or corroding
the container.)
Keep all containers holding
hazardous waste closed dur-
ing storage, except when
adding or removing waste. Do
not open, handle, or store
(e.g., stack) containers in a
way that might rupture them,
cause them to leak, or other-
wise fail.
Inspect areas where contain-
ers are stored at least weekly.
Look for leaks and for deterio-
ration caused by corrosion or
other factors.
Maintain the containers in
good condition. If a container
leaks, put the hazardous waste
in another container, or contain
it in some other way that com-
plies with EPA regulations.
Do not mix incompatible
wastes or materials unless
precautions are taken to
prevent certain hazards.
HAZARDOUS
WASTE
•< Accumulate wastes according to limits estab-
lished by EPA for SQGs.
) Follow the storage and handling procedures
required by EPA for SQGs.
..: .•
§) Follow EPA requirements for equipment testing
and maintenance, access to communications or
alarms, aisle space, and emergency arrangements
with local authorities.
ii
-------
SQG
WASTE MINIMIZATION: THE KEY TO BETTER WASTE MANAGEMENT
The easiest and most cost-effective way of managing any waste is not to generate it in the first place. You
can decrease the amount of hazardous waste your business produces by developing a few "good house-
keeping" habits. Good housekeeping procedures generally save businesses money, and they prevent acci-
dents and waste. To help reduce the amount of waste you generate, try the following practices at your
business.
Do not mix wastes. Do not
mix nonhazardous waste with
hazardous waste. Once you
mix anything with listed haz-
ardous waste, the whole
batch becomes hazardous.
Mixing waste can also make
recycling very difficult, if not
impossible. A typical example
of mixing wastes would be
putting nonhazardous clean-
ing agents in a container of
used hazardous solvents.
Change materials, process-
es, or both. Businesses can
save money and increase
efficiency by replacing a
material or a process with
another that produces less
waste. For example, you
could use plastic blast
media for paint stripping of
metal parts rather than con-
ventional solvent stripping.
Recycle and reuse manufac-
turing materials. Many com-
panies routinely put useful
components back into pro-
ductive use rather than dis-
posing of them. Items such
as oil, solvents, acids, and
metals are commonly recy-
cled and used again. In addi-
tion, some companies have
taken waste minimization
actions such as using fewer
solvents to do the same job,
using solvents that are less
toxic, or switching to a deter-
gent solution.
Safely store hazardous prod-
ucts and containers. You
can avoid creating more haz-
ardous waste by preventing
spills or leaks. Store haz-
ardous product and waste
containers in secure areas,
and inspect them frequently
for leaks. When leaks or
spills occur, materials used
to clean them also become
hazardous waste.
» Make a good faith effort.
SQGs do not have to docu-
ment their waste minimiza-
tion activities or create a
waste minimization plan. You
do, however, need to certify
on your manifests that you
have made a good faith
effort to minimize waste gen-
eration when you send your
waste off site.
CORRd
12
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so.
For tanks, you must:
»> Label each tank with the
words "HAZARDOUS WASTE"
and the date that the waste
was generated.
» Store only waste that will not
cause the tank or the inner
liner of the tank to rupture,
leak, corrode, or fail.
M» Equip tanks that have an
automatic waste feed with a
waste feed cutoff system, or a
bypass system for use in the
event of a leak or overflow.
» Inspect discharge control and
monitoring equipment and the
level of waste in uncovered
tanks at least once each
operating day. Inspect the
tanks and surrounding areas
for leaks or other problems
(such as corrosion) at least
weekly.
Use the National Fire
Protection Association's
(NFPA's) buffer zone require-
ments for covered tanks con-
taining ignitable or reactive
wastes. These requirements
specify distances considered
to be safe buffer zones for
various ignitable or reactive
wastes. You can reach the
NFPA at 617 770-3000.
Do not mix incompatible
wastes or materials unless
precautions are taken to pre-
vent certain hazards.
Do not place ignitable or reac-
tive wastes in tanks unless
certain precautions are taken.
Provide at least 2 feet (60
centimeters) of freeboard
(space at the top of each
tank) in uncovered tanks,
unless the tank is equipped
with a containment structure,
a drainage control system, or
a standby tank with adequate
capacity.
Treating Your Waste
to Meet the Land Disposal
Restrictions (LDRs)
M;
Iost hazardous wastes may
not be land disposed unless
they meet "treatment standards."
The Land Disposal Restrictions
(LDR) program requires that the
waste is treated to reduce the haz-
ardous constituents to levels set
by EPA, or that the waste is treat-
ed using a specific technology. It is
your responsibility to ensure that
your waste is treated to meet LDR
treatment standards before it is
land disposed. (See page 17 for a
description of required LDR
notices.) Most SQGs probably will
have their designated TSDF do this
treatment. If you choose to treat
your waste yourself to meet LDR
treatment standards, there are
additional requirements including
waste analysis plans, notifications,
and certifications. To learn about
these requirements, contact the
RCRA Call Center, your state
agency, or EPA regional office, and
consult 40 CFR Part 268.
Preventing Accidents
Whenever you store hazardous
waste on site, you must mini-
mize the potential risks from fires,
explosions, or other accidents.
13
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SQG
All SQGs that store hazardous
waste on site must be equipped
with:
» An internal communications or
alarm system capable of pro-
viding immediate emergency
instruction (voice or signal) to
all personnel.
» A device, such as a telephone
(immediately available at the
scene of operations) or a
hand-held, two-way radio,
capable of summoning emer-
gency assistance from local
police and fire departments or
emergency response teams.
» Portable fire extinguishers,
fire-control devices (including
special extinguishing equip-
ment, such as those using
foam, inert gas, or dry chemi-
cals), spill-control materials,
and decontamination
supplies.
» Water at adequate volume
and pressure to supply water-
hose streams, foam-producing
equipment, automatic sprin-
klers, or water spray systems.
You must test and maintain all
equipment to ensure proper opera-
tion. Allow sufficient aisle space to
permit the unobstructed movement
of personnel, fire protection equip-
ment, spill-control equipment, and
decontamination equipment to any
area of facility operation. Attempt
to secure arrangements with fire
departments, police, emergency
response teams, equipment suppli-
IF YOU THINK YOU HAVE AN EMERGENCY,
IMMEDIATELY CALL 911 AND THE NATIONAL
RESPONSE CENTER AT 800 424-8802.
In the event of a fire, explosion,
or other release of hazardous
waste that could threaten
human health outside the facili-
ty, or if you think that a spill has
reached surface water, call the
National Response Center to
report the emergency. The
Response Center will evaluate
ers, and local hospitals, as appro-
priate, to provide services in the
event of an emergency. Ensure
that personnel handling hazardous
waste have immediate access to
an alarm or emergency communi-
cations device.
You are not required to have a for-
mal personnel training program, but
you must ensure that employees
handling hazardous waste are famil-
iar with proper handling and emer-
gency procedures. In addition, you
must have an emergency coordina-
tor on the premises or on-call at all
times, and have basic facility safety
information readily accessible.
Responding to Emergencies
Although EPA does not require
SQGs to have a written contin-
gency plan, you must be prepared
for an emergency at your facility.
You should also be prepared to
answer a set of "what if" ques-
tions. For example: "What if there
is a fire in the area where haz-
the situation and help you make
appropriate emergency deci-
sions. In many cases, you will
find that the problem you faced
was not a true emergency, but it
is better to call if you are not
sure. Serious penalties exist for
failing to report emergencies.
ardous waste is stored?" or "What
if I spill hazardous waste, or one of
my hazardous waste containers
leaks?" In case of a fire, explo-
sion, or toxic release, having such
a plan provides an organized and
coordinated course of action.
SQGs are required to establish
basic safety guidelines and
response procedures to follow in
the event of an emergency.
Worksheets 1 and 2 (on page 15)
can help you set up these proce-
dures. The information on
Worksheet 1 must be posted near
your phone. You must ensure that
employees are familiar with these
procedures.
14
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Worksheet 1 Fill in and post this information next to your telephone.
EMERGENCY RESPONSE INFORMATION
Emergency Coordinator
Name:
Telephone:
Fire Extinguisher
Spill-Control Materials
Location(s):
Fire Alarm (if present)
Fire Department
Telephone:
Worksheet 2 Fill in and post this information next to your telephone. Make sure all employees read and are familiar
with its contents.
EMERGENCY RESPONSE PROCEDURES
In the event of a spill:
Contain the flow of hazardous waste
to the extent possible, and as soon
as is possible, clean up the haz-
ardous waste and any contaminated
materials or soil.
In the event of a fire:
Call the fire department and, if safe,
attempt to extinguish the fire using
a fire extinguisher.
In the event of a fire, explosion, or
other release that could threaten
human health outside the facility, or
if you know that the spill has
reached surface water:
Call the National Response Center
at its 24-hour number (800 424-
8802). Provide the following infor-
mation:
Our company name:
Our address:
Our U.S. EPA identification number:
Date of accident
Time of accident
Type of accident (e.g., spill or fire)
Quantity of hazardous waste involved
Extent of injuries, if any
Estimated quantity and disposition of recovered materials, if any
15
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SQG
SHIPPING WASTE OFF SITE
When shipping waste off
site, SQGs must follow
certain procedures that
are designed to ensure
safe transport and proper
management of the waste.
Selecting a Treatment,
Storage, and Disposal
Facility (TSDF)
SQGs may send their waste only
to a regulated Treatment,
Storage, and Disposal Facility
(TSDF) or recycler. Most regulated
TSDFs and recyclers will have a
permit from the state or EPA.
Some, however, may operate under
other regulations that do not
require a permit. Check with the
appropriate state authorities to be
sure the facility you select has any
necessary permits. All TSDFs and
recyclers must have EPA identifica-
tion numbers.
Labeling Waste Shipments
SQGs must properly package,
label, and mark all hazardous
waste shipments, and placard the
vehicles in which these wastes are
shipped following Department of
Transportation (DOT) regulations.
Most small businesses use a com-
mercial transporter to ship haz-
ardous waste. These transporters
can advise you on specific require-
ments for placarding, labeling,
marking, and packaging; however,
you remain responsible for compli-
ance. For additional information,
consult the DOT regulations (49
CFR Parts 172 and 173) or call
the DOT hazardous materials infor-
mation line at 202 366-4488 or
800 467-4922.
Federal regulations allow you to
transport your own hazardous
waste to a designated TSDF provid-
ed that you comply with DOT rules.
Some states, however, do not
allow this practice. Call DOT and
your state hazardous waste man-
agement agency regarding applica-
ble regulations.
w
if
Package, label, and mark your shipment, and
placard the vehicle in which your waste is
shipped as specified in DOT regulations.
i) Prepare a hazardous waste manifest to accom-
pany your shipment.
Include a notice and certification with the first
waste shipment.
Ensure the proper management of any hazardous
waste you ship (even when it is no longer in your
possession).
-------
«
Preparing Hazardous Waste
Manifests
The Hazardous Waste Manifest
System is a set of forms,
reports, and procedures designed
to seamlessly track hazardous
waste from the time it leaves the
generator until it reaches the off-
site waste management facility
that will store, treat, or dispose of
the hazardous waste. The system
allows the waste generator to
verify that its waste has been prop-
erly delivered and that no waste
has been lost or unaccounted for
in the process.
The key component of this system
is the Uniform Hazardous Waste
Manifest, which is a multipart form
prepared by most generators that
transport hazardous waste for off-
site treatment, recycling, storage,
or disposal. The manifest is
required by both the DOT and EPA.
When completed, it contains infor-
mation on the type and quantity of
the waste being transported,
instructions for handling the
waste, and signatures of all par-
ties involved in the off-site treat-
ments, recycling, storage, or
disposal process. Each party also
must retain a copy of the mani-
fest. This process ensures critical
accountability in the transportation
and disposal process. Once the
waste reaches its destination, the
receiving facility returns a signed
copy of the manifest to the genera-
tor, confirming that the waste has
been received.
At press time, the Uniform
Hazardous Waste Manifest system
is in the process of being updated
and modernized. Please check the
Internet at www.epa.gov/
epaoswer/hazwaste/gener/
manifest/index.htm.
EPA expects to standardize the
content and appearance of the cur-
rent manifest form so that the
same form may be used by waste
handlers nationwide. Other antici-
pated changes include improved
tracking procedures and an option
to complete, send, and store the
mainfest information electronically.
Land Disposal Restrictions
(LDR) Reporting
Requirements
Regardless of where the waste
is being sent, the initial ship-
ment of waste subject to LDRs
must be sent to a receiving TSDF
or recycler along with an LDR
notice. You must send an addition-
al LDR notice if your waste or
receiving facility changes. This
notice must provide information
about your waste, such as the EPA
hazardous waste code and the
LDR treatment standard. The pur-
pose of this notice is to let the
TSDF know that the waste must
17
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SQG
meet treatment standards before it
is land disposed. There is no
required form for this notice, but
your TSDF may provide a form for
you to use. A certification may
also be required in specific situa-
tions. Contact the RCRA Call
Center, your state agency, or EPA
regional office and consult 40 CFR
Part 268 for help with LDR notifica-
tion and certification requirements.
Export Notification
If you choose to export your haz-
ardous waste, you must notify
EPA 60 days before the intended
date of shipment to obtain written
consent. EPA's "Acknowledge-ment
of Consent" document must
accompany the shipment at all
times. For more information on
how to obtain the consent to
export hazardous waste, contact
the RCRA Call Center at 800 424-
9346.
Closure
When you close your facility,
you must ensure that all haz-
ardous waste has been removed
from your hazardous waste tanks,
discharge-control equipment, and
discharge confinement structures.
In addition, any contamination you
might have caused must be
cleaned up and managed under all
applicable hazardous waste
regulations.
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MANAGING USED OIL
EPA's used oil management stan- |
dards are a set of "good house-
keeping" requirements that
encourage used oil handlers to
recycle used oil instead of dispos-
ing of it. Used oil can be collected,
refined and recycled, and used
again—for the same job or a com-
pletely different task.
Used oil is defined as "any oil that
has been refined from crude oil or
any synthetic oil that has been
used and, as a result of such use,
is contaminated by physical or
chemical impurities." To meet
EPA's definition of used oil, a sub-
stance must meet each of the fol-
lowing criteria:
» Origin. Used oil must have
been refined from crude oil or
made from synthetic materi-
als. Animal and vegetable oils
are excluded from EPA's defi-
nition of used oil.
Use. Oils used as lubricants,
hydraulic fluids, head transfer
fluids, buoyants, and for other
similar purposes are consid-
ered used oil. Unused oil
such as bottom clean-out
waste from virgin fuel oil stor-
age tanks or virgin fuel oil
recovered from a spill do not
meet EPA's definition of used
oil because these oils have
never been used. EPA's defini-
tion also excludes products
used as cleaning agents or
solely for their solvent proper-
ties, as well as certain petro-
leum-derived products such
as antifreeze and kerosene.
Contaminants. To meet EPA's
definition, used oil must
become contaminated as a
result of being used. This
includes residues and contami-
nants generated from handling,
storing, and processing used
oil. Physical contaminants can
include dirt, metal scrapings, or
sawdust. Chemical contami-
nants could include solvents,
halogens, or saltwater.
The following types of businesses
handle used oil:
» Generators are businesses
that handle used oil through
commercial or industrial oper-
ations or from the mainte-
nance of vehicles and
equipment. Examples include
car repair shops, service sta-
tions, government motor
pools, grocery stores, metal-
working industries, and boat
marinas. Farmers who pro-
duce less than an average of
25 gallons of used oil per
month are excluded from gen-
erator status. Individuals who
generate used oil through the
maintenance of their personal
vehicles and equipment are
SELECTING A TRANSPORTER OR TSDF/RECYCLER
It is important to choose your transporter and your
TSDF carefully because you remain responsible for
the proper management of your hazardous waste
even after it has left your site.
For help in choosing a transporter or TSDF, check
with the following sources:
» References from business colleagues who have
used a specific hazardous waste transporter or
TSDF.
» Trade associations for your industry that might
keep a file on companies that handle hazardous
waste.
The Better Business Bureau or Chamber of
Commerce in the TSDF's area, which might have
a record of any complaints registered against a
transporter or a facility.
Your state hazardous waste management
agency or EPA regional office, which can tell you
whether the transporter or TSDF has an EPA
identification number and a permit, if required.
Facility information, including types and quanti-
ties of waste managed and violations
assessed, can be accessed via the Envirofacts
Internet site at .
19
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SQG
not subject to regulation
under the used oil manage-
ment standards.
^> Collection centers and aggre-
gation points are facilities
that accept small amounts of
used oil and store it until
enough is collected to ship it
elsewhere for recycling.
» Transporters are companies
that pick up used oil from all
sources and deliver it to re-
refiners, processors, or burners.
Transfer facilities are any struc-
ture or area where used oil is
held for longer than 24 hours
but not longer than 35 days.
*> Re-refiners and processors
are facilities that blend or
remove impurities from used
oil so the oil can be burned
for energy recovery or reused.
» Burners burn used oil for
energy recovery in boilers,
industrial furnaces, or in haz-
ardous waste incinerators.
l»> Marketers are handlers that
either a) direct shipments of
used oil to be burned as fuel in
regulated devices or b) claim
that certain EPA specifications
are met for used oil to be
burned for energy recovery in
devices that are not regulated.
Although different used oil han-
dlers have specific requirements,
the following requirements are
common to all types of handlers:
Storage
»> Label all containers and tanks
as Used Oil.
*> Keep containers and tanks in
good condition. Do not allow
tanks to rust, leak, or deterio-
rate. Fix structural defects
immediately.
» Never store used oil in any-
thing other than tanks and
storage containers. Used oil
also can be stored in units
that are permitted to store
regulated hazardous waste.
Oil Leaks or Spills
» Take steps to prevent leaks
and spills. Keep machinery,
equipment, containers, and
tanks in good working condi-
tion, and be careful when trans-
ferring used oil. Keep sorbent
materials available at the site.
» If a leak or spill occurs, stop
the oil from flowing at the
source. If a leak can't be
stopped, put the oil in another
holding container or tank.
*-*• Contain spilled oil using sor-
bent berms or spreading sor-
bent over the oil and
surrounding area.
»> Clean up the used oil and
recycle it as you would have
before it was spilled. If recy-
cling is not possible, you
must first make sure the used
oil is not a hazardous waste
and dispose of it appropriate-
ly. All used cleanup materials,
including rags and sorbent
booms, that contain used oil
must also be handled accord-
ing to the used oil manage-
ment standards.
»> Remove, repair, or replace the
defective tank or container
immediately.
Used oil requirements are detailed
in 40 CFR Part 279. For more
information, contact the Emergency
Response Division's Information
Hotline at 202 260-2342.
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SUMMARY OF REQUIREMENTS FOR LARGE QUANTITY
GENERATORS
If you are a Large Quantity Generator (LQG) (generating more than 2,200 Ibs (1,000
kg) per month), you must comply with the full set of hazardous waste regulations. This
table summarizes the federal LQG requirements. This is only a summary and does not
include all of the LQG requirements. For more details, contact the RCRA Call Center at
800 424-9346, or TDD 800 553-7672, or see 40 CFR Part 262. Be sure to check with
your state as well because certain states have additional or more stringent require-
ments than the federal government.
LQG Requirements
Summary
Hazardous Waste Determination
(40 CFR Part 262.10)
Generator Category Determination
(40 CFR Part 262.10 (b) and 261.5 (b)
and (c))
Identify all hazardous wastes you generate. Measure the amount of hazardous waste you
generate per month to determine your generator category (e.g., LQG).
EPA Identification Numbers
(40 CFR 262.12)
Obtain a copy of EPA Form 8700-12, fill out the form, and send it to the contact listed with
the form. An EPA identification number will be returned to you for your location.
Prepare Hazardous Waste for Shipment
Off Site (40 CFR Parts 262.30 - 262.33)
Package, label, mark, and placard wastes following Department of Transportation require-
ments. Ship waste using hazardous waste transporter.
The Manifest
(40 CFR Parts 262.20 - 262.23, 262.42)
Ship waste to hazardous waste treatment, storage, disposal, or recycling facility. Ship haz-
ardous waste off site using the manifest system (EPA Form 8700-22) or state equivalent.
Managing Hazardous Waste On Site
(40 CFR Part 262.34)
Accumulate waste for no more than 90 days without a permit. Accumulate waste in contain-
ers, tanks, drip pads, or containment buildings. Comply with specified technical standards for
each unit type.
Recordkeeping and Biennial Report
(40 CFR Parts 262.40 - 262.41)
Retain specified records for 3 years. Submit biennial report by March 1 of even numbered
years covering generator activities for the previous year.
Comply with Land Disposal Restrictions
(40 CFR 268)
Ensure that wastes meet treatment standards prior to land disposal. Send notifications and
certifications to TSDF as required. Maintain waste analysis plan if treating on site.
Export/Import Requirements
(40 CFR Subparts E and F)
Follow requirements for exports and imports, including notification of intent to export and
acknowledgement of consent from receiving country.
Air Emissions (40 CFR Part 265,
Subpart CC)
If applicable, use various monitoring and control mechanisms to:
• Control volatile organic compound (VOC) emissions from hazardous waste management
activities.
• Reduce organic emissions from process vents associated with certain recycling activities
and equipment that is in contact with hazardous waste that has significant organic content.
• Control VOCs from hazardous waste tanks, surface impoundments, and containers using
fixed roofs, floating roofs, or closed-vent systems routed to control devices.
Closure (40 CFR Parts 265.111 and
265.114)
Decontaminate and remove all contaminated equipment, structures, and soil, and minimize
the need for further maintenance of your site. Meet unit-specific closure standards for tanks,
containment buildings, and drip pads.
21
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WHERE TO GET MORE HELP
For further assistance in
understanding the haz-
ardous waste regulations
applicable to you, contact
your state hazardous waste
agency. Other assistance
resources include the EPA
Resource Centers (includ-
ing the RCRA Call Center),
or your EPA regional office
(page 24).
Also, see other related sections of
the Code of Federal Regulations:
^ Handling PCBs (40 CFR Part
761)
^ Toxic Release Inventory (TRI)
Reporting (40 CFR Part 372)
^ Domestic Sewage Waste
Disposal Reporting (40 CFR
Part 403)
^ Shipping Hazardous Materials
(49 CFR Parts 171-180)
EPA and Other Federal
Resource Centers
RCRA Call Center
U.S. Environmental Protection
Agency
1200 Pennsylvania Ave, NW.
Washington, DC 20460
Phone: 800 424-9346, or TDD
800 553-7672. In Washington,
DC: 703 412-9810, or
TDD 703 412-3323
Web: www.epa.gov/epaoswer/hotline
Answers questions on matters
related to solid waste, hazardous
waste, and underground storage
tanks. Also can be used to find
and order EPA publications.
RCRA in Focus
RCRA in Focus is a series of
short informational booklets
that describes the RCRA regula-
tions as they apply to specific
industry sectors. The documents
explain what RCRA is, who is
regulated, and what hazardous
waste is; provide a sample life
cycle of a RCRA waste in each
industry; include a quick refer-
ence chart of all applicable
RCRA regulations and a series
of waste minimization sugges-
tions for various specific indus-
trial processes; and provide
information on other relevant
environmental laws and a page
of contacts and resources.
Individual issues of RCRA in
Focus have been written for the
following industries:
Dry Cleaning (EPA530-K-99-
005)
• Leather Manufacturing
(EPA530-K-00-002)
• Motor Freight & Railroad
Transportation (EPA530-K-
00-003)
Photo Processing (EPA530-
K-99-002)
• Printing (EPA530-K-97-007)
• Vehicle Maintenance
(EPA530-K-99-004)
Other issues of RCRA in Focus
will cover:
• Wood Preserving/Wood
Products
• Construction, Demolition &
Renovation
• Metals Manufacturing
• Furniture Manufacturing
• Pharmaceutical
Manufacturing
• Laboratories
Copies of RCRA in Focus can be
obtained by contacting the RCRA
Call Center at 800 424-9346 or
TDD 800 553-7672 and request-
ing the document numbers list-
ed above. You can also view the
documents online at
.
22
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Small Business Ombudsman
Clearinghouse/Hotline
U.S. Environmental Protection
Agency
Small Business Ombudsman
(1230C)
1200 Pennsylvania Ave, NW.
Washington, DC 20460
Phone: 800 368-5888 or
202 260-1211
Fax: 202 401-2302
Web: www.epa.gov/sbo
Helps private citizens, small busi-
nesses, and smaller communities
with questions on all program
aspects within EPA.
Department of Transportation
(DOT) Hotline
Office of Hazardous Materials
Standards (DOT)
Research and Special Programs
Administration
400 7th Street, SW.
Washington, DC 20590-0001
Phone: 202 366-4488 or
800 467-4922
Fax: 202 366-3753
Web: http://hazmat.dot.gov
Answers questions on matters
related to DOT'S hazardous materi-
als transportation regulations.
RCRA Docket Information Center
(RIC)
U.S. Environmental Protection
Agency
RCRA Docket Information Center
(5305W)
1200 Pennsylvania Ave, NW.
Washington, DC 20460
Phone: 703 603-9230
Fax: 703 603-9234
E-mail: RCRA-Docket@
epamail.epa.gov
Web: www.epa.gov/epahome/
dockets.htm
Provides public access to all regu-
latory materials on solid waste and
distributes technical and nontech-
nical information on solid waste.
Pollution Protection Information
Clearinghouse (PPIC)
U.S. Environmental Protection
Agency
1200 Pennsylvania Ave, NW.
Washington, DC 20460
Phone: 202 260-4659
Fax: 202 260-0178
E-mail: PPIC@epamail.epa.gov
Web: www.epa.gov/opptintr/
libra ry/libppic.htm
Provides a library and an electronic
bulletin board (accessible by any
PC equipped with a modem) dedi-
cated to information on pollution
prevention.
Information Resource Center
U.S. Environmental Protection
Agency
Headquarters Library
1200 Pennsylvania Ave, NW.
IRC (3404)
Washington, DC 20460
Phone: 202 260-5922
Fax: 202 260-5153
E-mail: public-access®
epamail.epa.gov
Web: www.epa.gov/natlibra/hairc
Maintains environmental reference
materials for EPA staff and the
general public, including books,
journals, abstracts, newsletters,
and audio-visual materials generat-
ed by government agencies and
the private sector.
Methods Information
Communication Exchange (MICE)
U.S. Environmental Protection
Agency
OSW Methods Team
1200 Pennsylvania Ave, NW.
(5307W)
Washington, DC 20460
Phone: 703 676-4690 or
703 308-8855
Fax: 703 318-4682 or
703 308-0511
E-mail: mice@cpmx.saic.com
Web: www.epa.gov/sw-846
23
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EPA Regional Offices
EPA Region 1
CT, MA, ME, NH, Rl, VT
1 Congress Street
Suite 1100
Boston, MA 02114-2023
617 918-1111 or
800 372-7431 in Region 1
Library: 888 372-5427 or
617 918-1990
EPA Region 2
NJ, NY, PR, VI
290 Broadway
26th Floor
New York, NY 10007-1866
212 637-3000
Library: 212 637-3185
EPA Region 3
DC, DE, MD, PA, VA, WV
1650 Arch Street
Philadelphia, PA 19103-2029
215 814-5000 or
800 438-2474 in Region 3
Library: 215 814-5254
EPA Region 4
AL, FL, GA, KY, MS, NC, SC, TN
Atlanta Federal Center
61 Forsyth Street, SW
Atlanta, GA 30303-3104
404 562-9900
800 241-1754 in Region 4
Library: 404 562-8190
EPA Region 5
IL, IN, Ml, MN, OH, Wl
77 West Jackson Boulevard
Chicago, IL 60604
312 353-2000 or
800 621-8431 in Region 5
EPA Region 6
AR, LA, NM, OK, TX
1445 Ross Avenue
Suite 1200
Dallas, TX 75202-2733
214 665-2200 or
800 887-6063 in Region 6
Library: 214 665-6424
EPA Region 7
IA, KS, MO, NE
901 North 5th Street
Kansas City, KS 66101
913 551-7000 or
800 223-0425 in Region 7
Library: 913 551-7241
EPA Region 8
CO, MT, ND, SD, WY, UT
One Denver Place
999 18th Street
Suite 500
Denver, CO 80202-2466
303 312-6312 or
800 227-8917 in Region 8
EPA Region 9
AS, AZ, CA, GU, HI, MH, MP, NV
75 Hawthorne Street
San Francisco, CA 94105
415 744-1305
Library: 415 744-1510
EPA Region 10
AK, ID, OR, WA
1200 Sixth Avenue
Seattle, WA 98101
206 553-1200 or
800 424-4372 in Region 10
Library: 206 553-1289
-------
Worksheet 3 These questions are geared toward the federal requirements for SQGs but may be helpful for other
hazardous waste generators. Use them to help prepare for a visit from a federal, state, or local agency.
Yes
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
No
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
a
Do you have documentation on the amount and kinds of hazardous waste that you generate and on how
you determined that they are hazardous?
Do you have a U.S. EPA identification number?
Do you ship wastes off site?
If so, do you know the name of the transporter and the designated TSDF that you use?
Do you have copies of completed manifests used to ship your hazardous wastes over the past 3 years?
Are they filled out correctly?
Have they been signed by the designated TSDF and transporter?
If you have not received your signed copy of the manifest from the TSDF, have you filed an exception
report?
Is your hazardous waste stored in proper containers or tanks?
Are the containers or tanks properly dated and/ or marked?
Have you complied with the handling requirements described in this handbook?
Have you designated an emergency coordinator?
Have you posted emergency telephone numbers and the location of emergency equipment?
Are your employees thoroughly familiar with proper waste handling and emergency procedures?
Do you understand when you need to contact the National Response Center?
Do you store your waste for no more than 180 days, or 270 days if you ship your waste more than 200
miles?
25
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ACRONYMS AND DEFINITIONS
Byproduct
A material that is not one of the
primary products of a production
process. Examples of byproducts
are process residues such as slags
or distillation column bottoms.
CESQG—Conditionally
Exempt Small Quantity
Generator
A business that generates less
than 220 Ibs (100 kg) per month
of hazardous waste.
CFR—Code of Federal
Regulations
The CFR is a codification of the
general and permanent rules pub-
lished in the Federal Register by
the Executive departments and
agencies of the federal govern-
ment. The CFR is divided into 50
"titles," which represent broad
areas subject to federal regulation.
Each title is divided into chapters,
which usually bear the name of the
issuing agency.
Commercial Chemical
Product
A chemical substance that is man-
ufactured or formulated for com-
mercial or manufacturing use.
Container
Any portable device in which a
material is stored, transported,
treated, disposed of, or otherwise
handled.
DOT—Department of
Transportation
Federal agency that oversees all
national transportation systems
and regulates the transport of
hazardous materials.
Elementary Neutralization
Unit
A tank, tank system, container,
transport vehicle, or vessel (includ-
ing ships) that is designed to con-
tain and neutralize corrosive
waste.
Implementing Agency
EPA regional office or state agency
responsible for enforcing the haz-
ardous waste regulations.
Incompatible Waste
A hazardous waste that can cause
corrosion or decay of containment
materials, or is unsuitable for co-
mingling with another waste or
material because a dangerous
reaction might occur. See 40 CFR
Part 265, Appendix V for more
examples.
LDR—Land Disposal
Restrictions
The LDR program ensures that
toxic constituents present in haz-
ardous waste are properly treated
before hazardous waste is dis-
posed of in the land (such as in a
landfill).
-------
LQG—Large Quantity
Generator
A business that generates more
than 2,200 Ibs (1,000 kg) per
month of hazardous waste.
MICE—Methods Information
Communication Exchange
The MICE service provides
answers to questions about test
methods used to determine
whether a waste is hazardous. It
also takes comments on technical
issues regarding EPA's methods
manual known as Test Methods for
Evaluating Solid Waste:
Physical/Chemical Methods (SW-
846).
MSDS—Material Safety Data
Sheets
Chemical manufacturers and
importers prepare detailed techni-
cal bulletins called Material Safety
Data Sheets about the hazards of
each chemical they produce or
import. Your suppliers must send
you an MSDS at the time of the
first shipment of a chemical and
anytime the MSDS is updated
with new and significant informa-
tion about the hazards. MSDSs
include information about compo-
nents and contaminants, including
exposure limits, physical data, fire
and explosion hazard, toxicity, and
health hazard data. It also discuss-
es emergency and first aid proce-
dures and information about
storage and disposal, and spill or
leak procedures.
NFPA—National Fire
Protection Association
NFPA's mission is to reduce the
worldwide burden of fire and other
hazards on the quality of life by
providing and advocating scientifi-
cally based codes and standards,
research, training, and education.
NFPA has specific rules for storing
hazardous wastes.
PBT—Persistent,
Bioaccumulative, and Toxic
Persistent chemicals are those
that don't readily break down in
the environment and can be trans-
ferred among air, water, soils, and
sediments. Bioaccumulative chemi-
cals are those that concentrate in
animal and plant tissues as a
result of uptake from the surround-
ing environment or as a result of
one organism consuming another.
Toxic chemicals, in this context,
are those that are hazardous to
human health and the environ-
ment. EPA has been tasked with
focusing on reducing the toxicity of
wastes in addition to the quantity
of waste, and its Waste
Minimization National Plan focuses
on reducing PBT wastes.
POTW—Publicly Owned
Treatment Works
A municipal wastewater treatment
plant that receives wastewater
through the public sewer from
households, office buildings, facto-
ries and industrial facilities, and
other places where people live and
work.
Reclaimed Material
Material that is regenerated or
processed to recover a usable
product. Examples are the recov-
ery of lead values from spent bat-
teries and the regeneration of
spent solvents.
Recovered Material
A material or byproduct that has
been recovered or diverted from
solid waste. Does not include
materials or byproducts generated
from, and commonly used within,
an original manufacturing process.
Recycled Material
A material that is used, reused, or
reclaimed.
Reused Material
A material that is employed as an
ingredient in an industrial process
to make a product, or is used as
an effective substitute for a com-
mercial product.
Spent Material
Any material that has been used
and, as a result of contamination,
can no longer serve the purpose
for which it was produced without
first processing it.
SQG—Small Quantity
Generator
A business that generates
between 220 and 2,200 Ibs (100
and 1,000 kg) per month of haz-
ardous waste.
27
-------
Sludge
Any solid, semi-solid, or liquid
waste generated from a municipal,
commercial, or industrial waste-
water treatment plant, water supply
treatment plant, or air pollution
control facility, exclusive of the
treated effluent from a wastewater
treatment plant.
Still Bottom
Residue or byproduct of a distilla-
tion process such as solvent
recycling.
Tank
A stationary device designed to
contain an accumulation of haz-
ardous waste and that is con-
structed primarily of nonearthen
materials (e.g., wood, concrete,
steel, plastic).
Totally Enclosed Treatment
Facility
A facility for the treatment of
hazardous waste that is directly
connected to an industrial produc-
tion process and that is construct-
ed and operated to prevent the
release of hazardous waste into
the environment during treatment.
An example is a pipe in which
waste acid is neutralized.
TCLP—Toxicity
Characteristic Leaching
Procedure
A testing procedure used to deter-
mine whether a waste is haz-
ardous. The procedure identifies
waste that might leach hazardous
constituents into ground water if
improperly managed.
TSDF—Treatment, Storage,
and Disposal Facility
Refers to a facility that treats,
stores, or disposes of hazardous
waste; TSDFs have specific
requirements under RCRA.
VOCs—Volatile Organic
Compounds
VOCs are highly evaporative organ-
ic gases that can be produced dur-
ing the manufacture or use of
chemicals such as paints, sol-
vents, and cleaners. Various pollu-
tion control devices can prevent
the release of VOCs both outdoors
and indoors.
Wastewater Treatment Unit
A tank or tank system that is sub-
ject to regulation under either
Section 402 or 307(b) of the
Clean Water Act, and that treats or
stores an influent wastewater that
is hazardous waste, or that treats
or stores a wastewater treatment
sludge that is hazardous.
-------
-------
United States
Environmental Protection
Agency
Solid Waste and
Emergency Response
(5305W)
EPA530-K-02-020I
October 2001
»EPA
RCRA, Superfund & EPCRA
Call Center Training Module
Introduction to:
RCRA State Programs
Updated October 2001
-------
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.
-------
STATE PROGRAMS
Contents
1. Introduction 1
2. Elements of State Authorization Process 2
2.1 State Authorization Authority 2
2.2 State Authorization Applications 2
2.3 EPA Approval Process 4
2.4 Subsequent Program Revisions 7
3. State Authorization and Effective Dates 10
3.1 Effect of RCRA/HSWA Authority 10
3.2 Less Stringent Provisions 11
4. Withdrawal of Authorization 12
-------
-------
State Programs - 1
1. INTRODUCTION
The Resource Conservation and Recovery Act (RCRA) addresses an enormous problem - how to
safely manage the huge volumes of solid and hazardous waste generated in this country. In the
Statute, Congress established the framework for a program that would address this problem by
establishing regulations for identifying and managing hazardous waste.
Congress delegated the responsibility to develop and oversee the implementation of these
regulations to EPA. However, Congress intended that states would assume the responsibility for
day-to-day implementation of the regulations and that EPA s role would be to provide federal
oversight for such state programs. The rationale was that states are more familiar with the
regulated community and are therefore able to administer the programs in a way that responds to
specific state and local needs.
In order to ensure that state programs are at least equivalent to and consistent with the federal
regulations, RCRA requires states to become authorized to meet minimum federal standards.
Once a state has met the federal standards and gone through the authorization process, the state
implements and enforces its program in lieu of the federal government. This prevents
overlapping or duplicative state and federal regulations.
This module outlines the requirements and procedures for a state to become authorized to manage
and oversee its own RCRA program. It also describes how the state authorization system can
affect the applicability of certain rules. When you have completed this module you will be
familiar with the state authorization process for hazardous waste management programs.
Specifically, you will be able to:
• Specify why states are authorized by EPA and list the elements of an authorized state
program
• Identify components of an authorization application and outline the stages of EPA s
approval process
• Specify the applicability of Hazardous and Solid Waste Amendments (HSWA) and non-
HSWA provisions in authorized and unauthorized states
• Define the effect of the "cluster rule."
Use this list of objectives to check your knowledge 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.
-------
- State Programs
2. ELEMENTS OF STATE AUTHORIZATION PROCESS
To become authorized to implement the hazardous waste regulations found in Subtitle C, states
must develop their own hazardous waste program and receive EPA approval for it. Initially, a
state typically adopts the federal rules in some manner. The state can write federal rules into the
state regulations or simply incorporate them by reference. The state may then submit an
application for final authorization to the EPA Administrator. The application must contain
certain elements that are described in 40 CFR Part 271. These elements are discussed below.
2.1 STATE AUTHORIZATION AUTHORITY
RCRA/3006 gives EPA the authority to authorize qualified states to administer and enforce the
RCRA hazardous waste program within the state. Following authorization, state regulations
operate in lieu of the federal regulations in that state (with some limits). In order to receive
authorization, a state's statute(s) and regulations must be equivalent to federal authorities,
consistent with the federal program, and at least as stringent as the federal program. The state
program must address requirements for permitting, compliance evaluation, enforcement, public
participation, and sharing of information. As part of the consistency requirement, state programs
may not restrict the free movement of hazardous waste across state borders to or from treatment,
storage, or disposal facilities (TSDFs) permitted to operate under RCRA or any approved state
program. Although many of the state programs closely parallel the federal program, some states
do adopt requirements more stringent or broader in scope for generators, transporters, or other
facilities handling hazardous waste.
While authorized states have primary enforcement responsibility under state law, EPA retains
enforcement authority under RCRA^3007, 3008, 3013, and 7003. When EPA does enforce in
authorized states (called "overfiling"), it enforces the authorized state programs where
appropriate.
2.2 STATE AUTHORIZATION APPLICATIONS
Any state that seeks authorization for its hazardous waste program must submit an application
to EPA for review and approval. The state program application must include the following
items:
• Letter from the governor
• Description of the state s program
• Statement from the state attorney general
• Memorandum of agreement between state and Region
• Provisions for public involvement for initial program authorization.
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.
-------
State Programs - 3
GOVERNOR'S LETTER
In order to become authorized, a state must indicate a desire to implement its own RCRA
program. The state does this by submitting a letter from the governor of the state requesting
program approval (/271.5(a)(l)). The governor's letter transmits the state's application and is
the formal request for program approval.
PROGRAM DESCRIPTION
The state must demonstrate to EPA that its program meets minimum federal requirements. To
become authorized, the state must submit a copy of the state statutes and regulations that will
act in place of the federal RCRA regulations. A document is often included with the application
highlighting where federal requirements are incorporated in the state code (/271.5(a)(5)). Any
state that seeks approval to administer its own RCRA program must also submit a description of
the proposed program (/III.5(a)(2)). Pursuant to/271.6, the program description must include:
• Scope, structure, coverage, and processes of the state program
• Description of the organization or state agency that will manage the program
• Estimate of the cost of administering the program, as well as sources and amounts of
funding available
• Description of the applicable state procedures, such as procedures for permitting or
judicial review
• Copies of any forms used to administer the program under state law
• Description of the state's compliance tracking and enforcement program
• Description of the state's manifest tracking system
• Estimation of the size of the regulated community in the state (i.e., number of generators,
transporters, and TSDFs)
• Estimate of the annual quantities of hazardous waste generated, transported, stored,
treated, or disposed of within the state, if available.
ATTORNEY GENERAL'S STATEMENT
Before EPA can grant authorization to a state, it must be clear that the state has the necessary
legal authority to be able to implement and enforce the regulations. This is demonstrated by a
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.
-------
4 — State Programs
statement, signed by the state attorney general, certifying that the state has the legal authority to
implement and enforce the regulations submitted in the application and that the submitted
regulations are adequate to meet authorization standards (/271.7).
MEMORANDUM OF AGREEMENT
A memorandum of agreement (MOA) serves as a contract between the state and the Regional
Administrator. This agreement identifies each party's roles and responsibilities and how the state
and Region plan to measure achievements. According to/271.8, the MOA must address:
• Cooperative activities in areas for which the state is not authorized (e.g., joint permitting)
• Transitional activities (e.g., transfer of permit or delisting applications)
• Enforcement and oversight authorities that EPA retains after authorization (e.g., routine
and emergency inspections by EPA)
• Administrative procedures (e.g., sharing information between state and EPA)
• Any state commitments to carry out administrative procedures or variances and waivers
to ensure state's adherence to authorization standards.
PUBLIC INVOLVEMENT
A state must demonstrate that the public was allowed to participate in the state s decision to
seek final authorization. Prior to submitting the application to EPA, a state seeking program
approval must give public notice across the state (e.g., by publication in major newspaper). The
notice must allow for a 30-day public comment period, as well as a public hearing if comments
are extensive. The state must document public involvement by compiling copies of comments
submitted as well as transcripts, recordings, or summaries of any public hearings held by the
state on program approval. The state must also address the comments received from the public
in the application (Z271.20).
2.3 EPA APPROVAL PROCESS
Once the state has followed the regulatory procedures for submitting an application for
authorization, EPA begins a process to determine whether or not authorization should be granted.
Some states are not able to receive final authorization immediately because their programs do not
meet minimum federal requirements. As a result, these states can obtain interim authorization.
Other states with programs that are fully equivalent to the federal program receive final
authorization directly.
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.
-------
State Programs - 5
INTERIM AUTHORZATION
To provide for smoother transitions from federal to state implementation, Congress allowed
interim authorization under both RCRA (X3006(c)) and HSWA (X3006(g)) statutory provisions
(/271.24(a)). Interim authorization was established to allow states to continue operating their
own hazardous waste programs while striving to achieve the requirements for final authorization.
This provides states with a transition period to adopt all the changes necessary to implement
programs equivalent to the federal requirements. A state with interim authorization can
temporarily implement the state hazardous waste program in lieu of the federal program.
Although RCRA program interim authorization expired on January 31, 1986, interim
authorization still exists for HSWA provisions. Interim authorization for the HSWA provisions
expires January 1, 2003 (/271.24(c)). Any state with HSWA interim authorization must obtain
final authorization by this date or the HSWA program will revert to EPA.
FINAL AUTHORIZATION PROCESS
In order to grant final authorization to a state, the EPA Regional Administrator (RA) must
determine whether or not the state s program meets the federal requirements (See Figure 1). The
RA will review the application and must be satisfied that the program is consistent with and at
least as stringent as the federal program before approval. After receipt of the state program
application, the RA has 90 days to make a tentative determination in the Federal Register (then
there is an additional 30-day public comment period). Within 90 days of the tentative
determination, the RA must make a final determination and publish a notice in the Federal
Register and major newspapers within the state. The notice must include the reasons for making
any determination and responses to significant comments received (/271.20(e)).
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.
-------
- State Programs
Figure 1
Initial Program Applications
State Program Approval Process
State issues public notice of intent to seek approval
(/I 71.20(a))
3 0-day coment period (/2 71.20(a)(4))
Sufficient public interest
YES
Public hearing 30 days after
notice(/27 1.20(a)(6)
NO
State submits proposed program to EPA for
approval^ 71.20(c))
NO
Substantial modification to
program (/271.20(b))
Within 90 days the Administrator gives notice
of tentative determination in the Federal Register
(/I 71.20(d))
YES
Further opportunity for
comment
Sufficient public interest
(/I 71.20(d)(l)?
NO
May not require
sufficient public hearing
YES
Public hearinhno earlier than 30 days
after tentative determination (/21 1.20(d)(l))
I
3 0-day comment period (/ 271.20(d)(2))
Within 90 days the Administrator makes a final
determination (/I 71.20(e))
The Administrator publishes notices in
the Federal Register and newspapers
addressing reasons for determination
and responding to comments
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.
-------
State Programs - 7
2.4 SUBSEQUENT PROGRAM REVISIONS
Once a state has gained final authorization, it must continually amend and revise its program to
reflect changes in the federal regulations and maintain its authorization status. To revise its
authorized program, a state must submit documentation similar to the documents used in the
initial authorization applications discussed above. The actual documentation required will vary,
depending on the scope of the state modifications and previously submitted application
materials. EPA generally uses a streamlined process for issuing an immediate final rule for
subsequent revision approvals. This means that authorization is automatically effective in 60
days unless adverse comment is received within 30 days (/271.21(b)(3)(iii)).
THE CLUSTER RULE
The federal RCRA program is constantly evolving. If states were required to adopt every federal
change into their program as soon as it occurred, they would be continually changing their
requirements. To avoid the burden this would place on state lawmakers and the regulated
community, RCRA only requires that states modify their programs on a yearly basis. Therefore,
a state can incorporate all of the changes of a year into the program at one time. EPA groups new
federal rules into annual clusters (See Figure 2). A state may revise its program by adopting and
becoming authorized for the entire cluster, or may request authorization for parts of a cluster,
provided the state eventually adopts all of the required provisions.
States that have adopted the basic cluster of RCRA regulations, those promulgated before
January 26, 1983, are considered to be base authorized. Rules issued after January 26, 1983,
are each assigned a checklist number, and are grouped into clusters based on the period of time in
which they were promulgated. Each cluster has a name as well as due dates by which authorized
states must submit applications to revise their program to include that group of rules
(/271.21 (e)). See Appendix G of the State Authorization Manual for a complete list of all
clusters.
To become authorized for new regulations, a state must adopt those regulations in its state
program before applying for authorization. Usually the state needs only to amend its regulations
to reflect the new rules. When this is the case, states have one year from the closing date of the
cluster in which the rule was placed to apply for revisions. Sometimes, however, the
implementing agency lacks the statutory authority from the state legislature to write certain
regulations. If a state statutory change is required before regulations can be issued, a second year
is allowed £271.21(e)(2)(v)).
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 — State Programs
Figure 2
The Cluster System
Non-
HSWA
Clusters
HSWA
Clusters
RCRA
Clusters
Cluster
Number*
I
II
III ... V
VI
I
II
I
II
III ... VII
VIII
IX
Cluster
Period
July 1, 1984, to
June 30, 1985
July 1, 1985, to
June 30, 1986
July 1, 1986, to
June 30, 1987, etc.
July 1, 1989, to
June 30, 1990, etc.
November 8, 1984, to
June 30, 1987
July 1, 1987, to
June 30, 1990
July 1, 1990, to
June 30, 1991
July 1, 1991, to
June 30, 1992
July 1, 1992, to
June 30, 1993, etc.
July 1, 1997, to
June 30, 1998
July 1, 1998, to
June 30, 1999
State
Modification
Deadline**
July 1, 1986
July 1, 1987
July 1, 1988, etc.
July 1, 1991
July 1, 1989
July 1, 1991
July 1, 1992
July 1, 1993
July 1, 1994, etc.
July 1, 1999
July 1, 2000
State Revision
Application Deadline
September 1, 1986
September 1, 1987
September 1, 1988, etc.
September 1, 1991
September 1, 1989
September 1, 1991
September 1, 1992
September 1, 1993
September 1, 1994, etc.
September 1, 1999
September 1, 2000
Program Areas
Affected
Non-HSWA Rules and
HSWA/3006(f)
Non-HSWA Rules
Non-HSWA Rules
Non-HSWA Rules
HSWA Provisions
HSWA Provisions
All HSWA and
Non-HSWA Provisions
All HSWA and
Non-HSWA Provisions
All HSWA and
Non-HSWA Provisions
All HSWA and
Non-HSWA Provisions
All HSWA and
Non-HSWA Provisions
* Checklists 1-8 were issued prior to establishment of the cluster system. State modification deadlines for these
rules are one year from the promulgation date of each rule, or two years if a statutory change is required.
** One additional year provided if statutory change is needed. Can be extended by up to 18 months (see
^271.21(e)and(g)).
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.
-------
State Programs - 9
ABBREVIATED REVISION PROCESS
On November 30, 1998, EPA promulgated an abbreviated program revision process in/271.21(h)
(63 FR 65874). EPA believes it is appropriate to have an abbreviated authorization process for
minor or routine rules to be used by states that have already received authorization for the
significant parts of the RCRA program that are being revised. In the future, as EPA proposes
rulemakings, the Agency will also propose to list additional minor or routine rules in Table 1 to
/271.21(h). EPA is developing guidance to enable states and Regions to make proper decisions
regarding which previously promulgated rules should be included in an authorization application
that uses the abbreviated procedures (63 FR 65929; 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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10 — State Programs
3. STATE AUTHORIZATION AND EFFECTIVE DATES
The state authorization process and the effective dates of rules depend upon whether EPA
promulgated a rule pursuant to HSWA or RCRA authority, and whether the rule is less stringent
or more stringent than current regulations.
3.1 EFFECT OF RCRA/HSWA AUTHORITY
Prior to the enactment of HSWA, a state with final authorization administered its hazardous
waste program entirely in lieu of the federal program. This meant the federal requirements no
longer applied in an "authorized" state. When a new, more stringent, federal requirement was
enacted, the state was obligated to enact equivalent authorities within specified time frames, but
the new federal requirements were not effective in the authorized state until the state adopted the
new requirements as state law and received authorization for them. Some federal rules are still
issued based on the original pre-HSWA authority and become effective in authorized states only
when the state adopts the provisions as state law. These rules are known as "non-HSWA"
rulemakings.
In contrast, HSWA amended RCRA by adding/3006(g). Under this section, new requirements
and prohibitions imposed by HSWA take effect in authorized states at the same time that they
take effect in unauthorized states. These regulations are known as "HSWA" provisions. EPA
implements these requirements in authorized states until the state is granted authorization to
implement the new regulation(s). While states must still adopt HSWA provisions as state law to
maintain authorization, HSWA requirements are implemented by EPA in authorized states until
they do so.
The underlying statutory authority is explained with each new rule in the Federal Register on the
first page under "Summary" and at the end of the preamble in a special section titled
"Applicability of Rules in Authorized States." Until authorized states obtain approval for
HSWA-based requirements, there will be joint state/EPA permitting of facilities in the authorized
state. The MOA must discuss joint permitting responsibilities and procedures.
One example of the applicability of HSWA provisions and non-HSWA provisions in authorized
and non-authorized states is illustrated by the rulemaking that promulgated the wood preserving
listings (F032, F034, and F035). These wood preserving wastes were promulgated pursuant to
both HSWA and non-HSWA authorities. The F032 listing is a HSWA provision, and is
applicable in all states, both authorized and non-authorized. The F034 and F035 listings are non-
HSWA provisions. The F034 and F035 listings are effective only in states that are not
authorized for the RCRA program and in states that have incorporated the listings into their state
programs and have received EPA approval for their revised state programs. The F034 and F035
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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State Programs - 11
listings are not applicable in authorized states that have not yet modified their state programs to
include the listings.
3.2 LESS STRINGENT PROVISIONS
In order to maintain the authority to administer the federal hazardous waste program, authorized
states are generally required to revise their state hazardous waste programs as new federal
regulations are promulgated. Sometimes, however, federal rulemakings are less stringent than the
existing federal standards. In such instances, authorized states are not required to incorporate the
less stringent standards into the state hazardous waste program, and they retain authorization for
the RCRA program. For example, if EPA were to promulgate an exemption for some forms of a
currently listed hazardous waste, authorized states would be under no obligation to adopt the
less stringent rule. The rule would be effective in the authorized state only if adopted by the
state.
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 — State Programs
4. WITHDRAWAL OF AUTHORIZATION
Neither RCRA nor HSWA requires that states apply for initial authorization. Once a state has
been granted authorization, however, it must regularly modify its program to incorporate new
federal requirements in order to maintain full authorization (/271.21(e)(l)). An authorized state
must modify its program and submit authorization applications according to the schedule in the
cluster rule, described above. If a state falls behind the schedule set out by the cluster rule, the
Region may grant the state an extension or put it on a compliance schedule (/111.21 (g)). An
important exception to this requirement is for changes in the federal program that are deemed less
stringent than previous requirements. States are not required to incorporate less stringent
provisions into their hazardous waste programs.
The Administrator may withdraw program approval of any authorized state when the state no
longer complies with the requirements of Part 271. Withdrawal of program approval may occur
for the following reasons: the state's legal authority no longer meets the requirements of Part 271,
the operation of the state program does not comply with the Part 271 requirements, the state's
enforcement program fails to comply with Part 271, or the state program fails to comply with
the terms of the MOA (/271.22). The program withdrawal authority is discretionary, however,
and EPA encourages Regions to approve states' authorization applications, even when there are
elements of a cluster that are incomplete or overdue.
If an authorized state determines that it can no longer comply with the requirements of Part 271,
the state may voluntarily transfer program responsibilities to EPA. In doing so, the state must
give the Administrator 180 days notice of the proposed transfer of all relevant program
information. At least 30 days before the approved transfer occurs, the Administrator must
publish notices of the transfer in the Federal Register and major newspapers within the state.
A transfer of program responsibilities may also occur after the Administrator orders withdrawal
proceedings to begin. Commencement of the proceedings may be under the Administrator's own
initiative or in response to a petition from an interested person alleging failure of the state to
comply with the requirements of Part 271. A more detailed description of the procedures for
withdrawing approval of a state program is codified in/271.23.
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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United States
Environmental
Protection Agency
Solid Waste and
Emergency Response
(5305W)
EPA530-R-99-063
PB2000-101 903
February 2000
RCRA, Superfund & EPCRA
Hotline Training Module
Introduction to:
RCRA Statutory Overview
Updated October 1999
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DISCLAIMER
This document was developed by Booz-Allen & Hamilton Inc. under contract 68-WO-0039 to EPA. It is
intended to be used as a training tool for Hotline specialists and does not represent a statement of EPA
policy.
The information in this document is not by any means a complete representation of EPA's regulations or
policies. This document is used only in the capacity of the Hotline training and is not used as a reference
tool on Hotline calls. The Hotline revises and updates this document as regulatory program areas
change.
The information in this docume nt 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,
RCRA, Superfund & EPCRA Hotline 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 Hotline is open from 9 am to 6 pm Eastern Time,
Monday through Friday, except for federal holidays.
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RCRA STATUTORY OVERVIEW
CONTENTS
1. Introduction 1
2. Statutory Summary 2
2.1 General Provisions — Subtitle A 3
2.2 Office of Solid Waste; Authorities of the Administrator and
Interagency Coordinating Committee — Subtitle B 5
2.3 Hazardous Waste Management — Subtitle C 6
2.4 State or Regional Solid Waste Plans — Subtitle D 16
2.5 Duties of the Secretary of Commerce in Resource
and Recovery — Subtitle E 18
2.6 Federal Responsibilities/Federal Procurement — Subtitle F 18
2.7 Miscellaneous Provisions — Subtitle G 19
2.8 Research Development, Demonstration, and Information —
Subtitle H 20
2.9 Regulation of Underground Storage Tanks — Subtitle I 22
2.10 Medical Waste Tracking Act — Subtitle J 22
3. Statutory Developments 24
4. Appendix: Subtitle C — Table of Statutory and Regulatory Citations 26
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RCRA Statutory Overview - 1
1. INTRODUCTION
This module presents a brief overview of the Resource Conservation and Recovery Act
(RCRA). Through RCRA, Congress provided EPA with the framework to develop
regulatory programs to manage solid waste, hazardous waste, medical waste and
underground storage tanks. The statute includes 10 subtitles, briefly surveyed in this
module. This module emphasizes the components of Subtitles C, D, and I, which
provide the authority for EPA to establish many of the major regulatory components of
the hazardous waste, solid waste, and underground storage tank programs
respectively.
The statute represents Congress's intent for the design and implementation of the
programs regulating hazardous and solid waste. Since EPA codified most of the
statute into regulations, associating statutory language with a regulatory citation is
fundamental to understanding the RCRA program.
After completing this module, you will have an understanding of the content and
format of the law. Specifically, you will be able to:
• Explain the relationship between RCRA statutory language and codified
regulatory language
• Describe the major components of each subtitle
• Identify the major provisions established by the Hazardous and Solid Waste
Amendments (HSWA).
Use this list of objectives to check your knowledge of this topic after you complete the
training session.
Before you begin this module, review the table of contents in the statute. Refer to the
statute while you read the module.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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2 - RCRA Statutory Overview
2. STATUTORY SUMMARY
In 1965, Congress enacted the Solid Waste Disposal Act (SWDA), which provided the
first federal statutory provisions designed to improve solid waste disposal practices.
The SWDA was amended in 1970 by the Resource Recovery Act, and amended again in
1976 by the Resource Conservation and Recovery Act (RCRA). The changes embodied
in RCRA restructured our nation's waste management practices by adding provisions
for proper hazardous waste management. Congress continued to amend the statute
after 1976. The most significant change occurred in 1984 with the passage of the
Hazardous and Solid Waste Amendments (HSWA), which expanded the scope and
requirements of the law. RCRA was subsequently amended by the Federal Facilities
Compliance Act of 1992. This Act amends RCRA to state clearly that the federal
government is part of the regulated community and that federal facilities are also
subject to the wide range of enforcement actions, including fines and penalties.
The law referred to as RCRA is actually a combination of the first federal solid waste
statute and all subsequent amendments. RCRA was most recently amended by the
Land Disposal Program Flexibility Act of 1996. This amendment mandated changes to
the RCRA land disposal restrictions regulatory program and the non-hazardous landfill
groundwater monitoring program. Congress wrote RCRA to achieve three primary
goals: (1) protection of human health and the environment; (2) reduction of waste and
conservation of energy and natural resources; and (3) reduction or elimination of the
generation of hazardous waste as expeditiously as possible. The Act is divided into 10
subtitles (A through J) that provide EPA with the framework and authority to achieve
the goals of RCRA. Subtitles A, B, E, F, G, and H outline general provisions, authorities
of the Administrator, duties of the Secretary of Commerce, federal responsibilities,
miscellaneous provisions, and research, development, demonstration, and information.
Subtitles C, D, I, and J establish the framework for four environmental programs:
hazardous waste management, solid waste management, underground storage tanks,
and medical waste, respectively.
RCRA Subtitle C establishes a system for controlling hazardous waste from its point of
generation to its final disposal. The program under RCRA Subtitle D encourages states
to develop comprehensive plans to manage primarily nonhazardous solid waste, such
as household and industrial solid waste, and mandates certain minimum technological
standards for municipal solid waste landfills. Subtitle I provides the authority to
regulate certain underground storage tanks. This Subtitle establishes performance
standards for new tanks and requires leak detection, prevention, and corrective action
at underground storage tank sites. The last program to be established was the medical
waste program found in Subtitle J, which tracks medical waste from generation to
disposal. The program, however, expired in June 1991.
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 Hotline training purposes.
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RCRA Statutory Overview - 3
2.1 GENERAL PROVISIONS — SUBTITLE A
This subtitle, found in §§1002 through 1008 of the statute, sets forth Congressional
findings on solid waste management and provides guidelines for establishing a
nationwide solid and hazardous waste management program. Congress concluded
that the generation of municipal and industrial waste increases each year and that
unsound disposal practices have increased the amount of pollution in the environment.
Subtitle A defines key terms, explains state cooperative agreements, and discusses the
integration of the statute with other acts. In addition, it outlines the primary goals of
the RCRA program.
Congress directed EPA to fulfill the mandate of RCRA by meeting the following
objectives, outlined in §1003:
• Provide technical and financial assistance to state and local entities
• Prohibit future open dumping of solid and hazardous wastes, and develop
alternative land disposal options
• Minimize the generation of hazardous waste
• Require proper management of hazardous waste
• Establish a federal-state partnership to implement Subtitle C
• Provide authority for promulgating solid waste management guidelines
• Promote solid waste management research and development
• Establish a cooperative effort among federal, state, local, and private entities to
recover energy and materials.
DEFINITIONS
The following terms are used throughout the statute and the codified regulations. The
following definitions are statutory. In many cases, the regulatory definitions mirror the
statutory definitions; however, in some cases these definitions may differ significantly.
The complete list of statutory definitions is in §1004.
Administrator means the Administrator of the EPA. Throughout this module the
term "Administrator" is used interchangeably with the term "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 Hotline training purposes.
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4 - RCRA Statutory Overview
Disposal means the discharge, deposit, injection, dumping, spilling, leaking, or
placing of any solid waste or hazardous waste into or on any land or water so that
such solid waste or hazardous waste or any constituent thereof may enter the
environment or be emitted into the air or discharged into any waters, including
groundwater.
Hazardous waste means a solid waste, or combination of solid wastes, which
because of its quantity, concentration, or physical, chemical, or infectious
characteristics may either cause, or significantly contribute to an increase in
mortality or an increase in serious irreversible or incapacitating reversible illness; or
pose a substantial present or potential hazard to human health or the environment
when improperly treated, stored, transported, or disposed of, or otherwise
managed.
Hazardous waste management means the systematic control of the collection,
source separation, storage, transportation, processing, treatment, recovery, and
disposal of hazardous wastes.
Solid waste means any garbage; refuse; sludge from a waste treatment plant, water
supply treatment plant, or air pollution control facility; and other discarded
material including solid, liquid, semisolid, or contained gaseous material resulting
from industrial, commercial, mining, and agricultural operations, and from
community activities; but does not include solid or dissolved material in domestic
sewage, or solid or dissolved materials in irrigation return flows or industrial
discharges which are point sources subject to permits under §402 of the Federal
Water Pollution Control Act, as amended, or source, special nuclear, or byproduct
material as defined by the Atomic Energy Act of 1954, as amended.
Storage, when used in connection with hazardous waste, means the containment of
hazardous waste, either on a temporary basis or for a period of years, in such a
manner as not to constitute disposal of such hazardous waste.
Treatment, when used in connection with hazardous waste, means any method,
technique, or process, including neutralization, 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 render such waste nonhazardous, safer for
transport, amenable for recovery, amenable for storage, or reduced in volume. This
includes any activity or processing designed to change the physical form or
chemical composition of hazardous waste so as to render it nonhazardous.
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 Hotline training purposes.
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RCRA Statutory Overview - 5
GOVERNMENTAL COOPERATION
Section 1005 states that the provisions of RCRA that are carried out by the states may
also be administered by interstate agencies. Provisions applicable to states may also
apply to interstate regions where such agencies and regions have been established by
respective states and approved by the Administrator. In addition, this section permits
two or more states to negotiate and enter into agreements or compacts, to assist each
other with waste management practices and enforcement of the respective states' laws.
These compacts are not binding unless all participating entities agree on the
arrangement and it has been approved by the Administrator and Congress.
INTEGRATION OF THE STATUTE WITH OTHER ACTS
According to §1006, EPA is directed to administer and enforce all provisions of the Act
while avoiding duplication, to the maximum extent practicable, with other acts (e.g.,
the Clean Air Act, the Clean Water Act). For example, §1006(c) specifically authorizes
EPA to review the RCRA regulations applicable to the treatment, storage, or disposal of
coal mining wastes and overburden that may duplicate regulations under the Surface
Mining Control and Reclamation Act of 1977. This section also states that the RCRA
requirements do not necessarily apply to activities or substances subject to the Clean
Water Act, Safe Drinking Water Act, the Marine Protection, Research, and Sanctuaries
Act, or the Atomic Energy Act.
2.2 OFFICE OF SOLID WASTE; AUTHORITIES OF THE
ADMINISTRATOR AND INTERAGENCY COORDINATING
COMMITTEE — SUBTITLE B
The administrative framework for EPA's management of the RCRA program is set forth
in §§2001 through 2008, Subtitle B. One of the fundamental components, discussed in
§2001, provides the authority for establishing EPA's Office of Solid Waste. This office
executes the duties and responsibilities of the Administrator, outlined in §2002 and
throughout the statute. Section 2001 (b) authorizes the establishment of an Interagency
Coordinating Committee to coordinate all activities concerning resource conservation
and recovery from solid waste performed by all other federal agencies.
This subtitle also includes several miscellaneous provisions such as §2004, which
authorized grants for discarded tire disposal. This type of grant is no longer available
because the statute only authorized funds for fiscal years 1978 and 1979, and no
additional funds were authorized. Another miscellaneous provision is found in §2005,
which requires the labeling of certain oils with a statement encouraging the
conservation of resources and the recycling of used oils.
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 Hotline training purposes.
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6 - RCRA Statutory Overview
ANNUAL REPORT AND PROGRAM AUTHORIZATION
Under §2006, the Administrator must submit a detailed annual report to Congress on
all activities of the Office of Solid Waste during the preceding fiscal year. The content
of the report is detailed in §2006. Congress authorized funds in §2007 to implement the
provisions of the Act for fiscal years 1977 through 1988. Since 1988, funding for the
RCRA program has been provided through an annual Congressional appropriations
process. In this way, Congress has been able to provide funding to EPA without
revising the statute. Congress will address reauthorization of the RCRA program at
some point in the future.
OFFICE OF OMBUDSMAN
Under §2008, the statute authorizes the Administrator to establish an Office of
Ombudsman. The purpose of this office is to receive individual complaints,
grievances, and requests for information submitted by any person with respect to any
program or requirement under RCRA. EPA has established a central Office of
Ombudsman, as well as 10 Regional offices to fulfill this requirement.
2.3 HAZARDOUS WASTE MANAGEMENT — SUBTITLE C
The provisions of Subtitle C, in §§3001 through 3023, establish the criteria for managing
hazardous waste from point of generation to ultimate disposal. Although the
regulations set out in 40 CFR Parts 260 to 279 are the primary reference for information
on the hazardous waste program, the statute provides important background
information and provides the legal authority to EPA for promulgation of the
regulations. This section addresses each heading within Subtitle C.
HAZARDOUS WASTE IDENTIFICATION AND LISTING
Section 3001 authorizes the Administrator to promulgate regulations to identify the
characteristics of hazardous waste (e.g., ignitability, corrosivity, reactivity, and toxicity)
and lists of particular hazardous wastes. This section also provides EPA with the
authority to grant delisting petitions for listed wastestreams generated by individual
facilities.
HSWA added §3001 (g) to the statute, requiring EPA to evaluate the effectiveness of the
EP Toxicity test used to determine whether a waste exhibits the hazardous waste
characteristic of toxicity. Ultimately, this provision resulted in the promulgation of a
new test method for evaluating the toxicity characteristic and the addition of 25 organic
constituents to the list of toxic constituents of concern: the Toxicity Characteristic
Leaching Procedure (TCLP).
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 Hotline training purposes.
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RCRA Statutory Overview - 7
GENERATORS OF HAZARDOUS WASTE
Sections 3002 and 3001 (d) create distinctions between generators of hazardous waste
based on quantities of waste generated. RCRA §3002 (a) authorizes the Administrator to
regulate generators of hazardous waste by establishing waste management standards.
Section 3002 (b) requires generators of hazardous waste to implement a waste
minimization program. HSWA added a class of generators and redefined conditionally
exempt small quantity generator requirements in §3001 (d). Congress further defined
generators by requiring a quantity determination for acutely hazardous waste
(§3001(d)(7)(B)).
TRANSPORTERS OF HAZARDOUS WASTE
Section 3003 authorizes EPA to regulate transporters of hazardous waste by
establishing standards for recordkeeping, labeling, compliance with the manifest
system, and transporting hazardous waste to a designated treatment, storage, or
disposal facility. This section also requires that EPA's transporter requirements
coordinate with DOT's.
TREATMENT, STORAGE, AND DISPOSAL FACILITIES
Under §3004, the statute authorizes EPA to promulgate regulations establishing
standards applicable to owners/operators of hazardous waste treatment, storage, and
disposal facilities (TSDFs). These standards apply to the treatment, storage, or disposal
of any hazardous waste listed or identified in Subtitle C. The statute authorizes
regulation of the treatment, storage, and disposal of hazardous waste by establishing
standards for the following provisions: recordkeeping and reporting requirements;
compliance with the manifest system; location, design, and construction standards;
emergency and contingency plans; financial responsibility standards; and facility
permit standards.
Salt Formations and Underground Mines and Caves
Section 3004 (b) specifically prohibits the disposal of hazardous waste in any salt dome
formation, salt bed formation, or underground mines and caves, unless the
Administrator determines that such action is protective of human health and the
environment and issues a permit before disposal begins.
Liquid Waste
The statute prohibits the disposal of bulk or noncontainerized liquid hazardous waste
in landfills in §3004 (c). This prohibition remains in effect until the Administrator
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 Hotline training purposes.
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8 - RCRA Statutory Overview
promulgates regulations to mitigate risks associated with these disposal practices.
Land Disposal Restrictions
HSWA added the land disposal restrictions (LDR) to the RCRA program in §3004 (d).
The primary purpose of LDR is to reduce the toxicity and mobility of hazardous
constituents in a hazardous waste prior to disposing of it directly on the land or in the
ground.
HSWA divided the universe of listed and characteristic wastes into five groups for the
purpose of LDR, and set schedules for EPA to develop treatment standards for these
groups. EPA scheduled the development of standards based on the intrinsic hazard
and volume of waste within each group, so that the first wastes to have treatment
standards set were those wastes that were high in volume and had a high intrinsic
hazard. Following is a description of the major LDR provisions.
Solvents and Dioxins
Solvent- and dioxin-containing wastes were the first category of wastes prohibited
from land disposal. The statutory deadline was November 8, 1986 (§3004 (e)).
California Wastes
The California list includes liquid hazardous wastes containing certain metals, free
cyanides, PCBs, corrosives with a pH less than or equal to 2.0, and certain liquid
and nonliquid hazardous wastes containing halogenated organic compounds
(HOCs) (wastes which California originally restricted from land disposal). The
statutory deadline was July 8, 1987 (§3004(d)).
"First, Second, and Third Third" Wastes
Under §3004 (g), HSWA mandated that the remaining wastes be addressed in thirds.
The statutory deadlines were as follows: First Third - August 8, 1988; Second Third
- June 8, 1989; Third Third - May 8, 1990.
Newly Identified Wastes
Section 3004 (g) (4) (c) addresses newly listed wastes, or those wastes that are listed or
identified after November 8, 1984, the date of HSWA enactment. The statute
requires that the Administrator make a determination about whether the waste may
be land disposed within six months of the date that the waste was identified or
listed as hazardous. Unlike the wastes that were specifically assigned prohibition
dates, HSWA does not impose an automatic prohibition on land disposal if EPA
misses the six-month deadline for a newly identified or listed waste. EPA plans to
establish the additional treatment standards for newly identified wastes in
upcoming rulemakings.
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 Hotline training purposes.
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RCRA Statutory Overview - 9
Variances from Land Disposal Prohibitions
According to §3004 (h), EPA may determine that a waste-specific or site-specific
variance from final land disposal prohibition is necessary based on extenuating
circumstances. Such variances include national capacity variances, case-by-case
extensions, and no-migration petitions.
Deep Injection Well Disposal
Section 3004 (f) specifically authorizes EPA to determine if the disposal of solvents,
dioxins, and California list wastes should be prohibited from injection well disposal
unless the wastes meet treatment standards. Section 3004(g), which defines well
injection as a type of land disposal, provides the authority for EPA to prohibit the
disposal of First, Second, and Third Third wastes from deep well injection unless
the wastes meet treatment standards. EPA codified regulations pursuant to this
provision in 40 CFR Part 148, Hazardous Waste Injection Restrictions.
Storage of Prohibited Waste
Hazardous waste that is prohibited from land disposal is also prohibited from
storage unless such storage is solely for the purpose of accumulating sufficient
quantities of the waste to facilitate proper recovery, treatment, or disposal (§3004 (j)).
In 1992, Congress amended the statutory language in §3004(j) with the Federal
Facility Compliance Act. Congress recognized that the Department of Energy (DOE)
handles mixed waste for which there is currently no available treatment. In order to
provide DOE with sufficient time to submit and obtain approval of plans for the
development of treatment capacity and technologies for mixed wastes, Congress
amended the prohibition on storage to allow DOE to retain sovereign immunity
regarding mixed waste for three years. DOE is liable, however, at all times for any
other RCRA violations.
Land Disposal Program Flexibility Act of 1996
Congress again amended RCRA in 1996 with the Land Disposal Program Flexibility
Act of 1996. This statute amends §3004(g) by exempting decharacterized wastewater
handled in Clean Water Act surface impoundments and Safe Drinking Water Act
injection wells from RCRA LDR. The Act also requires EPA to conduct a study of
any residual risks, not addressed by other federal or state laws, posed by
decharacterized wastewater managed in surface impoundments.
Ban on Dust Suppression
Section 3004(1) prohibits the use of waste, used oil, or any other material that is
contaminated with a hazardous waste as a dust suppressant or road treatment.
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 Hotline training purposes.
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10 - RCRA Statutory Overview
Air Emissions
HSWA added §3004 (n) to the statute. This provision requires the Administrator to
promulgate regulations to monitor and control organic air emissions at hazardous
waste TSDFs, including but not limited to open tanks, surface impoundments, and
landfills.
Minimum Technological Requirements
Section 3004 (o), added by HSWA, establishes minimum technology requirements for
landfills and surface impoundments. The statute requires these units to be equipped
with (1) two or more liners, (2) a leachate collection system, (3) a leak detection system,
and (4) groundwater monitoring. This section also requires new landfills, surface
impoundments, waste piles, underground tanks, and land treatment units to use
approved leak detection systems. In addition, §3004 (o) provides the authority for the
establishment of location standards for new and existing treatment, storage, and
disposal facilities. Section 3004(o) also requires incinerators to meet destruction and
removal efficiency.
Groundwater Monitoring
The standards for groundwater monitoring in §3004 (p) are applicable to surface
impoundments, waste piles, land treatment units, and landfills. The Administrator is
authorized, however, to exempt such units from groundwater monitoring requirements
on a case-by-case basis if the Administrator concludes that there is a reasonable
certainty that hazardous constituents will not migrate beyond the outer layer of
containment prior to the end of the post-closure care period.
Hazardous Waste Fuels
Section 3004 (q) of the statute requires EPA to promulgate standards applicable to
owners/operators of facilities producing a fuel from hazardous waste or burning any
hazardous waste listed in §3001 in a boiler or industrial furnace (BIF). This provision
requires these types of recycling activities to be regulated similarly to TSDFs, and is a
particularly noteworthy provision because historically all recycling processes have
been exempt from regulation. The statute authorizes the Administrator to regulate the
use of hazardous waste as fuel by establishing standards for the following provisions:
labeling requirements, recordkeeping and reporting, and financial responsibility
standards.
Financial Responsibility
Section 3004 (t) details the mechanisms that are allowable to demonstrate financial
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 Hotline training purposes.
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RCRA Statutory Overview - 11
responsibility as required by §3004(a). Guarantor liability and owner/operator
bankruptcy or reorganization are also described in §3004 (t).
Corrective Action at TSDFs
Added by HSWA, §3004 (u) authorizes the Administrator or a state to require corrective
action for all releases of hazardous waste or constituents from any solid waste
management unit at a TSDF seeking a permit under Subtitle C, regardless of the time at
which the waste was placed in the unit. If such corrective action cannot be completed
prior to issuance of the permit, the permit must contain a schedule for completion of
the corrective action and provisions for financial assurance.
TSDFs must also take corrective action measures beyond facility boundaries to protect
human health and the environment (§3004 (v)). The owner/operator may be released
from this responsibility only by demonstrating to the Administrator that despite best
efforts, he or she is unable to get permission to carry out such action.
PERMITS
Section 3005 discusses several types of permits. Each category defines operating
requirements and various provisions for certain hazardous waste activities.
Treatment, Storage, and Disposal Facility Permits
Pursuant to §3005(a), EPA promulgated regulations requiring each person owning or
operating an existing hazardous waste TSDF or planning to construct a new hazardous
waste TSDF to have an operating permit. Section 3005 (c) (3) states that any permit
issued to a treatment, storage, or land disposal facility under this section shall be for a
fixed term not to exceed 10 years. Permits for land disposal facilities are reviewed
every five years and modified as necessary to ensure compliance and safety.
Omnibus Authority
Section 3005 (c) (3) authorizes EPA to review or modify a permit at any time during
its term as necessary to protect human health and the environment. This statutory
provision allows EPA to incorporate any additional standards into a RCRA permit
that are necessary to protect human health and the environment. For example, EPA
uses the omnibus authority to require site-specific risk assessments at facilities
seeking permits to operate RCRA combustion units.
Waste Minimization
Section 3005 (h) mandates, as a permit condition, that TSDFs that are also generators
must have a program in place to reduce the volume and toxicity of the waste they
generate. TSDFs must also manage that waste in a way which will minimize any
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 Hotline training purposes.
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12 - RCRA Statutory Overview
threat to human health and the environment.
Interim Status Surface Impoundments
Under §3005 (j), the statute identifies extensive provisions for proper management of
interim status surface impoundments. Without proper management standards,
surface impoundments pose a substantial threat to human health and the
environment (e.g., migration of leachate from unlined surface impoundments). All
surface impoundments that were in existence on the date of enactment of HSWA are
required to apply for interim status or close. All surface impoundments that receive
interim status are required to comply with the minimum technology requirements
of §3004 (o) (1) (A) within four years of receiving interim status.
Surface Mining Control and Reclamation Permits
According to §3005 (f), a permit for the treatment, storage, or disposal of coal mining
wastes or overburden issued under the Surface Mining Control and Reclamation Act of
1977 is regarded as a permit issued under Subtitle C. Regulations promulgated under
Subtitle C do not apply to the treatment, storage, and disposal of coal mining wastes or
overburden which are covered by this type of permit.
Research, Development, and Demonstration Permits
EPA encourages the use of alternative treatment technologies by issuing research,
development, and demonstration (RD&D) permits to any hazardous waste treatment
facility that proposes to use innovative and experimental treatment technologies.
Section 3005 (g) provides this permitting incentive for experimental activities that are
not currently subject to any specific RCRA standards. The RD&D permit requires that
national standards must not exist for the proposed treatment technology. Although the
statute authorizes EPA to waive general permit criteria, no waivers or modifications of
financial assurance responsibilities or procedures regarding public participation are
possible. This type of permit may only be renewed three times and the renewal period
cannot exceed one year.
AUTHORIZED STATE HAZARDOUS WASTE PROGRAMS
Section 3006 requires the Administrator to promulgate guidelines to assist states in the
development of hazardous waste programs. Once a state has been authorized by EPA
to administer and enforce a hazardous waste program pursuant to Subtitle C, the state
is authorized to implement its program in lieu of the federal program. Although a state
may have an authorized program, the Administrator retains the authority to revoke the
state's authorization. State authorization may only be withdrawn after a public hearing,
if the Administrator determines that the state is not implementing the program in
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 Hotline training purposes.
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RCRA Statutory Overview - 13
accordance with federal regulations.
Because the state authorization process takes place piecemeal, a state may be
authorized for some provisions and not others. This interface creates a conflict in terms
of enforcement. Sometimes it is difficult to determine the effective date of a given
regulation, particularly when examining the interface between provisions promulgated
pursuant to RCRA versus those promulgated pursuant to HSWA.
INSPECTIONS
Under §3007, the statute empowers the Administrator and authorized states to gain
access to information relating to the generation, transportation, treatment, storage, and
disposal of hazardous waste. Officers, employees, and representatives of EPA are
authorized to enter any establishment that is managing hazardous waste, inspect the
facilities, and obtain samples of any such waste. Any records, reports, or other
information obtained by EPA are available to the public unless such information is
deemed confidential.
The statute authorizes EPA and authorized states to commence biennial inspections of
all TSDFs and authorizes the Administrator to inspect state or local TSDFs. Also, the
statute authorizes the Administrator and authorized states to inspect federal facilities
annually for proper treatment, storage, and disposal of hazardous waste.
ENFORCEMENT
Section 3008 authorizes the Administrator, for any violation of RCRA, to issue an order
requiring compliance, issue an order for civil penalties up to $27,500 per day per
violation, or issue an order for both compliance and penalties. Alternatively, the
Administrator may commence a civil action in the U.S. District Court for appropriate
relief. EPA must give notice of such enforcement action to authorized states. If a
violator fails to comply with an order, the Administrator may assess a civil penalty up
to $27,500 for each day of noncompliance and revoke any permits issued to the violator.
Section 3008(d) provides a list of actions that warrant criminal penalties, such as fines or
imprisonment. Under §3008 (e), the statute requires criminal penalties for any person
who knowingly endangers another person in the course of hazardous waste
management activities.
Under 3008 (h), the statute authorizes EPA to issue a corrective action order to an
interim status facility or assess a civil penalty to any interim status facility that has
released hazardous waste into the environment. This section of the statute provides the
enforcement authority that EPA may use in response to interim status facility and
federal facility hazardous waste releases. An order issued under this section also may
suspend or revoke an interim status permit, causing the facility to cease operations.
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 Hotline training purposes.
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14 - RCRA Statutory Overview
Imminent Hazard
The imminent hazard provision is an important enforcement tool and is therefore
included in this part of the module as well as Miscellaneous Provisions — Subtitle G.
Under §7003, the statute authorizes the Administrator to bring suit, or issue an order,
against any person who has contributed to the past or present handling, storage,
treatment, transportation, or disposal of any solid or hazardous waste that may present
an imminent and substantial endangerment to human health or the environment.
PRELIMINARY NOTIFICATION
Under §3010, the statute requires any person generating, transporting, treating, storing,
or disposing of hazardous waste to notify the Administrator. The notification must be
filed no later than 90 days after a facility becomes subject to regulation under Subtitle
C. It must state the location, general description of site activities, and hazardous waste
that is being handled. This notification provision is used by the Agency to issue EPA
identification numbers. Currently, EPA Form 8700-12 is used to notify EPA of
regulated waste activity.
MONITORING, ANALYSIS, AND TESTING
According to §3013, the statute authorizes EPA to issue an order requiring the
owner/operator of any facility that presents a substantial hazard to human health or the
environment to conduct monitoring, analysis, and reporting to determine the nature
and extent of the hazard. If the Administrator determines that the current
owner/operator could not have known of the presence of the hazard, the Administrator
may issue an order requiring the most recent previous owner/ operator to carry out the
investigation.
RESTRICTIONS ON RECYCLED OIL
Section 3014 of the statute, enacted as the Used Oil Recycling Act (UORA), requires
EPA to promulgate regulations establishing performance standards and other
requirements for the safe management of recycled oil. The Administrator must ensure
that such regulations do not discourage the recovery or recycling of used oil. These
standards are designed to encourage recycling and to protect human health and the
environment. EPA also determined not to list used oil as hazardous waste since the
standards that were promulgated were sufficient to ensure used oil would be handled
safely.
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 Hotline training purposes.
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RCRA Statutory Overview - 15
INVENTORY OF FEDERAL HAZARDOUS WASTE FACILITIES
According to §3016, each federal agency is required every two years to submit to the
Administrator a list of sites owned or operated by the agency at which hazardous waste
is treated, stored, disposed of, or has been disposed of at any time. If any federal
agency fails to submit an inventory to the Administrator, the statute authorizes the
Administrator to complete the inventory.
EXPORT OF HAZARDOUS WASTE
Standards affecting the export of hazardous waste were added by HSWA in §3017. This
provision requires any person exporting hazardous waste to (1) notify the
Administrator, (2) obtain written consent from the receiving country, and (3) file an
activity report to the Administrator no later than March 1 of each year (the
Administrator conveys the written consent to the exporter). If there are applicable
international agreements, exporters must comply with the terms of those agreements.
DOMESTIC SEWAGE
Under §3018, the statute requires the Administrator to submit a report to Congress
concerning substances identified or listed under §3001 that are not regulated under
Subtitle C because of the domestic sewage exclusion. This report, completed in
February 1986, is titled, Report to Congress on the Discharge of Hazardous Wastes to
Publicly Owned Treatment Works.
EXPOSURE INFORMATION AND HEALTH ASSESSMENTS
Under §3019, the statute requires owners/operators applying for a permit for a landfill
or a surface impoundment under §3005 (c) to submit information on the potential for
public exposure to hazardous wastes or hazardous constituents from a release related
to such a unit. If the Administrator or authorized state decides that a landfill or surface
impoundment poses a potential risk to human health, the Administrator or state may
require the Agency for Toxic Substances and Disease Registry (ATSDR) to conduct a
health assessment at the facility. If the assessment results indicate public exposure to a
release of a hazardous substance under CERCLA, EPA may seek cost recovery from the
owner/operator under CERCLA §107.
SAFE DRINKING WATER ACT PROVISION
Although HSWA's primary purpose was to amend the RCRA program, Congress also
added a provision (§3020) under the authority of the Safe Drinking Water Act (SOWA).
This provision requires that no hazardous wastes may be disposed of by underground
injection into any underground drinking water source or any formation located above
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 Hotline training purposes.
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16 - RCRA Statutory Overview
such a source. Such provisions are enforceable pursuant to the SDWA. This provision
does not apply to the injection of contaminated groundwater into the aquifer from
which it was withdrawn if the injection is a response action under CERCLA or part of a
corrective action under Subtitle C and if such contaminated groundwater is treated to
substantially reduce hazardous constituents.
MIXED WASTE PROVISIONS
When Congress amended RCRA in 1992 with the Federal Facility Compliance Act, it
included §3021 covering mixed waste inventory reports and plans. This section
requires the Secretary of Energy to submit a detailed report and inventory of all mixed
waste activity. This report is submitted to the EPA Administrator and all affected state
governors. The primary purpose of this provision is to ensure that the DOE discloses
the amount of mixed waste at each of its facilities and its intentions for proper disposal.
PUBLIC VESSEL
Section 3022, added by the Federal Facility Compliance Act, mandates that any
hazardous waste generated on a public vessel is not subject to the storage, manifest,
inspection, or recordkeeping requirements until the waste is transferred onshore. For
purposes of this section Congress defines public vessel as a vessel owned/operated by
the United States, or by a foreign nation, except when the vessel is engaged in
commerce. This provision is applicable unless the waste is stored for more than 90
days or if the waste is transferred to another public vessel and stored there for more
than 90 days.
Section 3023, also added to RCRA by the Federal Facility Compliance Act, extends the
domestic sewage exclusion in §1004(27) to include wastes that are discharged to
federally owned treatment works. These wastes would need to meet the criteria
established under §3023 to be excluded.
2.4 STATE OR REGIONAL SOLID WASTE PLANS — SUBTITLE D
Subtitle D, set forth in §4001 through §4010, provides guidelines for establishing a solid
waste management program. The term "solid waste" used in Subtitle D refers almost
exclusively to nonhazardous solid waste. It does, however, include certain hazardous
wastes that are excluded from regulation under Subtitle C, such as household
hazardous waste and hazardous waste generated by conditionally exempt small
quantity generators. The primary objectives of the Subtitle D program are to assist in
developing and encouraging methods for the disposal of solid waste which are
environmentally sound and which maximize the use of valuable resources, including
energy and materials. Subtitle D also encourages the recovery of reusable materials
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 Hotline training purposes.
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RCRA Statutory Overview - 17
from solid waste. The statute authorizes state and regional authorities to use federal
technical and financial assistance to establish solid waste management programs
pursuant to federal guidelines.
GUIDELINES AND ASSISTANCE FOR STATE AND LOCAL PLANS
Under §4002, the statute authorizes EPA to promulgate regulations to assist in the
development and implementation of state solid waste management plans. In
establishing such regulations EPA must consider the following provisions: protection
of groundwater and surface water from leachate contamination; collection, storage,
processing, and disposal practices; methods for closing and upgrading open dumps;
and population density, distribution, and projected growth.
In order for a state solid waste management plan to be approved by the Administrator,
a state program must meet the minimum requirements of §4003. Some of these
requirements include closing or upgrading existing open dumps, recovering resources
from all solid waste or disposing of such waste in a sanitary landfill, and coordinating
regional planning and implementation. The statute authorizes states to use federal
funds to meet the minimum requirements; however, no funding is available at this
time.
Section 4004 specifically authorizes the Administrator to promulgate regulations
containing criteria for determining the classification of solid waste management
facilities as sanitary landfills or as open dumps. The statute further mandates that state
plans prohibit the establishment of any new open dumps. Section 4005 actually
prohibits the open dumping of solid or hazardous waste and sets minimum federal
standards for municipal solid waste landfills.
Section 4007 outlines the criteria for approval of a state plan for federal financial
assistance. The funds appropriated for this assistance are listed in §4008 but only cover
fiscal years 1978 through 1988. According to §4009, the statute authorizes the
Administrator to provide grants to states for distribution to municipalities with a
population of less than 5,000 or less than 20 persons per square mile and not within a
metropolitan area. Such grants are available to municipalities that cannot feasibly be
connected to a solid waste management system, are unable to close or upgrade open
dumps, or have plans consistent with state program objectives.
Section 4010 of HSWA authorized EPA to revise the existing sanitary landfill criteria to
establish specific regulations for facilities that may receive household hazardous waste
or hazardous waste from conditionally exempt small quantity generators (i.e.,
municipal solid waste landfills (MSWLFs)). The statute mandated that these standards,
at a minimum, require groundwater monitoring at MSWLFs, establish criteria for
acceptable location of new or existing facilities, and provide for corrective action as
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 Hotline training purposes.
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18 - RCRA Statutory Overview
appropriate (§4010(c)).
Congress slightly amended these provisions with the Land Disposal Program
Flexibility Act of 1996. This Act exempts certain small, remote, or arid MSWLFs from
groundwater monitoring standards, and also directs EPA to study (and if necessary,
promulgate revisions to) the cover, methane monitoring, and financial assurance
requirements for such landfills.
RECYCLING PROVISIONS
Under §§4003 (b) and 4008 (g), the statute authorizes provisions to encourage recycling
of used oil. The Administrator may make grants to states for the implementation of
such recycling programs. Such funds may not be used for construction or acquisition of
land or equipment. No funding is available at this time.
2.5 DUTIES OF THE SECRETARY OF COMMERCE IN RESOURCE
AND RECOVERY — SUBTITLE E
In addition to EPA's mandate under RCRA, the statute (§§5001 through 5006)
authorizes the Secretary of Commerce to carry out the following duties:
• Encourage greater commercialization of proven resource recovery technology
• Publish guidelines for the development of specifications for the classification of
materials recovered from waste which are destined for disposal
• Identify and develop potential markets for recovered materials
• Evaluate the commercial feasibility of resource recovery facilities.
2.6 FEDERAL RESPONSIBILITIES/FEDERAL PROCUREMENT —
SUBTITLE F
Under §6001, the statute requires each department, agency, and instrumentality of the
executive, legislative, and judicial branches of the federal government to comply with
all federal, state, interstate, and local requirements, both substantive and procedural,
that apply to solid and hazardous waste management. The President may exempt any
solid waste management facility of any department, agency, or instrumentality in the
executive branch from compliance with such a requirement if he or she determines that
it is paramount to the interest of the United States. The period for any exemption may
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 Hotline training purposes.
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RCRA Statutory Overview - 19
not exceed one year, but additional exemptions may be granted.
According to §6002, the statute requires the Administrator to prepare and occasionally
revise guidelines which encourage procuring agencies to manage and arrange for the
procurement of solid waste services in a manner which maximizes energy and resource
recovery. This section applies to all procuring agencies that purchase items exceeding
$10,000. The statute requires such agencies to purchase items that are composed of the
highest percentage of recovered materials, consistent with maintaining a satisfactory
level of competition. Each procuring agency must develop an affirmative procurement
program, which will ensure that items composed of recovered materials are purchased
to the maximum extent practicable.
Procurement guidelines have been established for the following items: paper and
paper products, vehicular products, construction products, transportation products,
park and recreation products, landscaping products, and non-paper office products.
2.7 MISCELLANEOUS PROVISIONS — SUBTITLE G
Subtitle G, set forth in §§7001 through 7010, addresses several important but not
necessarily related provisions. These provisions include employee protection, citizen
suits, imminent hazard, public participation, and grants.
EMPLOYEE PROTECTION
Under §7001, the statute provides employees with protection from being fired or
discriminated against for either filing a proceeding or testifying about issues related to
RCRA enforcement. If an employee is fired and believes discrimination was the basis
for such action, he or she may apply for a review by the Administrator.
CITIZEN SUITS
In §7002 the statute authorizes any citizen to commence a civil action on his or her own
behalf against any person, including any governmental entity, who is alleged to be in
violation of any permit, standard, regulation, condition, requirement, prohibition, or
order which is effective pursuant to RCRA. Citizen suits also may be filed against any
past or present generator, transporter, or owner/operator of a TSDF who presents an
imminent or substantial endangerment to human health or the environment or against
the EPA for failure to take a nondiscretionary action. No citizen suits may commence if
the Administrator is already taking action under RCRA or CERCLA §104 or §106.
Citizen suits are codified in 40 CFR Part 254.
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 Hotline training purposes.
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20 - RCRA Statutory Overview
IMMINENT HAZARD
Section 7003 provides an important enforcement authority under the RCRA program.
This section states,
Notwithstanding any other provision of this Act, upon receipt of evidence
that the past or present handling, storage, treatment, transportation, or
disposal of any solid or hazardous waste may present an imminent and
substantial endangerment to health or the environment, the Administrator
may bring suit on behalf of the United States in the appropriate district
court against any person who has contributed or is contributing... [or
issue] such orders as may be necessary to protect public health and the
environment.
This broad citation is very useful in explaining to callers that generators, transporters,
and owner/operators of TSDFs are responsible for proper solid and hazardous waste
management.
PUBLIC PARTICIPATION
According to §7004, any person may petition the Administrator for the promulgation,
amendment, or repeal of any regulation under RCRA. The statute requires the
Administrator (with input from states) to develop and publish guidelines for public
participation in the development, implementation, and enforcement of any regulation,
guideline, or program under the Act. EPA codified regulations concerning public
participation at 40 CFR Part 124.
SEPARABILITY
Although a provision of RCRA may be deemed inapplicable to a particular person or
situation, such provision remains applicable to all other persons and situations. This
provision is known as the "separability provision" in §7005.
TRAINING GRANTS
Under §7007, the statute authorizes the Administrator to provide grants to states,
municipalities, educational institutions, or any other organization capable of effectively
implementing a training program for proper solid waste management and resource
recovery operations. No grants will be issued under this provision to any private,
profit-making organization.
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 Hotline training purposes.
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RCRA Statutory Overview - 21
2.8 RESEARCH, DEVELOPMENT, DEMONSTRATION, AND
INFORMATION — SUBTITLE H
The Administrator is authorized by §§8001 through 8007 to promote the following
through both technical and financial assistance: research, investigation, experiments,
training, demonstrations, surveys, public education programs, and studies relating to
health effects of solid waste releases into the environment, operation and financing of
solid waste management programs, resource conservation and recovery operations,
and innovative technical advances. The Administrator shall establish a management
program to coordinate activities and facilitate results.
SPECIAL STUDIES
Under §8002, the statute requires the Administrator to complete studies and publish
results on several specific solid waste issues including glass and plastic recovery, solid
wastestream composition, small-scale and low technology solid waste management,
and household resource recovery. Other important studies include the following:
• The negative environmental effects of solid wastes from active and abandoned
surface and underground mines
• The classification and analysis of sludge
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